diff --git a/build/Makefile b/build/Makefile new file mode 100644 index 00000000..15dc5190 --- /dev/null +++ b/build/Makefile @@ -0,0 +1,115 @@ +SHELL:=/usr/bin/env bash +SRC_DIR:=../src +SRC_FILES:=$(shell find $(SRC_DIR) -name '*.xml' -o -name '*.json') +SRC_XML_PROFILES:=$(shell find $(SRC_DIR) -name '*profile.xml') +SRC_READMES:=$(shell find $(SRC_DIR) -iname 'README.md') +GEN_CONTENT_DIR:=generated +GEN_READMES:=$(patsubst $(SRC_DIR)/%,$(GEN_CONTENT_DIR)/%,$(SRC_READMES)) +GEN_XML_FILES:=$(patsubst $(SRC_DIR)/%,$(GEN_CONTENT_DIR)/%,$(SRC_FILES)) +GEN_XML_PROFILES:=$(subst _profile.xml,-resolved-profile_catalog.xml,$(patsubst $(SRC_DIR)/%,$(GEN_CONTENT_DIR)/%,$(SRC_XML_PROFILES))) +GEN_JSON_FILES:=$(subst xml,json,$(GEN_XML_FILES)) +GEN_MIN_JSON_FILES:=$(subst .json,-min.json,$(subst xml,json,$(GEN_XML_FILES))) +GEN_YAML_FILES:=$(subst xml,yaml,$(GEN_XML_FILES)) +NPM_PREFIX_DIR:=oscal/build +NPM_PKGS_DIR:=node_modules +XSLT_RUNNER:=oscal/build/xslt-runner.sh +PROFILE_RESOLVER_RUNNER:=oscal/src/utils/resolver-pipeline/oscal-profile-resolve.sh +PROFILE_RESOLVER_ARGS:="hide-source-profile-uri=true" "uuid-method='random-xslt'" +XML_JSON_CONVERTER_XSLT:=oscal/build/generated/oscal_complete_xml-to-json-converter.xsl +OSCAL_COMPLETE_XML_SCHEMA:=oscal/build/generated/oscal_complete_schema.xsd +OSCAL_COMPLETE_JSON_SCHEMA:=oscal/build/generated/oscal_complete_schema.json + +.PHONY: help +# Run "make" or "make help" to get a list of user targets +# Adapted from https://marmelab.com/blog/2016/02/29/auto-documented-makefile.html +help: ## Show this help message + @grep -E '^[a-zA-Z_-]+:.*?##.*$$' $(MAKEFILE_LIST) | awk 'BEGIN { \ + FS = ":.*?## "; \ + printf "\033[1m%-30s\033[0m %s\n", "TARGET", "DESCRIPTION" \ + } \ + { printf "\033[32m%-30s\033[0m %s\n", $$1, $$2 }' + +.PHONY: all +all: build copy-readmes copy-xml-examples resolve-xml-profiles convert-min-json-examples reformat-json-examples convert-yaml-examples validate-xml-examples validate-json-examples validate-yaml-examples ## Run all steps for content preparation + +.PHONY: build +build: ## Build core OSCAL artifacts to convert content examples + $(MAKE) -C oscal/build artifacts + +.PHONY: copy-readmes +copy-readmes: $(GEN_READMES) ## Copy README files to release location + +$(GEN_CONTENT_DIR)/%.md: $(SRC_DIR)/%.md + @mkdir -p $(@D) + @cp $(SRC_DIR)/$*.md $(GEN_CONTENT_DIR)/$*.md + +.PHONY: copy-xml-examples +copy-xml-examples: $(GEN_XML_FILES) ## Copy OSCAL XML files to release location + +$(GEN_CONTENT_DIR)/%.xml: $(SRC_DIR)/%.xml + @mkdir -p $(@D) + @cp $(SRC_DIR)/$*.xml $(GEN_CONTENT_DIR)/$*.xml + +.PHONY: resolve-xml-profiles +resolve-xml-profiles: $(GEN_XML_PROFILES) ## Resolve OSCAL XML profiles for custom catalogs + +$(GEN_CONTENT_DIR)/%-resolved-profile_catalog.xml: $(SRC_DIR)/%_profile.xml + mkdir -p $(@D) + $(PROFILE_RESOLVER_RUNNER) $(SRC_DIR)/$*_profile.xml $(GEN_CONTENT_DIR)/$*-resolved-profile_catalog.xml $(PROFILE_RESOLVER_ARGS) + +.PHONY: validate-xml-examples +validate-xml-examples: $(GEN_XML_FILES) ## Validate XML files + @xmllint --schema $(OSCAL_COMPLETE_XML_SCHEMA) --noout $(GEN_XML_FILES) + +.PHONY: convert-min-json-examples +convert-min-json-examples: $(GEN_MIN_JSON_FILES) ## Convert examples from OSCAL XML to JSON + +.SECONDEXPANSION: +$(GEN_CONTENT_DIR)/%-min.json: $(GEN_CONTENT_DIR)/$$(subst json,xml,%).xml + @mkdir -p $(@D) + $(XSLT_RUNNER) $(XML_JSON_CONVERTER_XSLT) $(GEN_CONTENT_DIR)/$(subst json,xml,$*).xml $(GEN_CONTENT_DIR)/$*-min.json + +.PHONY: reformat-json-examples +reformat-json-examples: $(GEN_JSON_FILES) ## Format minified JSON to pretty-printed JSON + +$(NPM_PREFIX_DIR)/$(NPM_PKGS_DIR): + $(MAKE) -C oscal/build dependencies + +$(GEN_CONTENT_DIR)/%.json: $(GEN_CONTENT_DIR)/%-min.json + jq . $(GEN_CONTENT_DIR)/$*-min.json > $(GEN_CONTENT_DIR)/$*.json + +.PHONY: validate-json-examples +validate-json-examples: $(GEN_JSON_FILES) ## Validate JSON files + npx --prefix $(NPM_PREFIX_DIR) ajv validate -s $(OSCAL_COMPLETE_JSON_SCHEMA) -c ajv-formats $(foreach file,$(GEN_JSON_FILES),-d $(file)) + +.PHONY: convert-yaml-examples +convert-yaml-examples: $(GEN_YAML_FILES) ## Convert examples from OSCAL JSON to YAML + +.SECONDEXPANSION: +$(GEN_CONTENT_DIR)/%.yaml: $(GEN_CONTENT_DIR)/$$(subst yaml,json,%).json + @mkdir -p $(@D) + @cat $(GEN_CONTENT_DIR)/$(subst yaml,json,$*).json | yq e -P - > $(GEN_CONTENT_DIR)/$(subst json,yaml,$*).yaml + +.PHONY: validate-yaml-examples +validate-yaml-examples: $(GEN_YAML_FILES) ## Validate YAML files + npx --prefix $(NPM_PREFIX_DIR) ajv validate -s $(OSCAL_COMPLETE_JSON_SCHEMA) -c ajv-formats $(foreach file,$(GEN_YAML_FILES),-d $(file)) + +.PHONY: clean +clean: clean-readmes clean-json-examples clean-xml-examples clean-yaml-examples ## Clean all generated content + +.PHONY: clean-readmes +clean-readmes: ## Clean generated README files + @find $(GEN_READMES) + +.PHONY: clean-json-examples +clean-json-examples: ## Clean generated JSON content + @rm -f $(GEN_JSON_FILES) + @rm -f $(GEN_MIN_JSON_FILES) + +.PHONY: clean-xml-examples +clean-xml-examples: ## Clean generated XML content + @rm -f $(GEN_XML_FILES) + +.PHONY: clean-yaml-examples +clean-yaml-examples: ## Clean generated YAML content + @rm -f $(GEN_YAML_FILES) diff --git a/fedramp.gov/README.md b/fedramp.gov/README.md deleted file mode 100644 index c15c1812..00000000 --- a/fedramp.gov/README.md +++ /dev/null @@ -1,3 +0,0 @@ -# Content Moved - -All 800-53 OSCAL content files for [FedRAMP](https://fedramp.gov) have been moved to their official location [in the `baselines` directory of the GSA/fedramp-automation repository](https://github.com/GSA/fedramp-automation/tree/master/dist/content/baselines). diff --git a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog-min.json b/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog-min.json deleted file mode 100644 index 677c329a..00000000 --- a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog-min.json +++ /dev/null @@ -1,197890 +0,0 @@ -{ - "catalog": { - "uuid": "922ba9f7-9220-4b30-9883-955dfa2f65a7", - "metadata": { - "title": "Electronic Version of NIST SP 800-53 Rev 5 Controls and Draft SP 800-53A Rev 5 Assessment Procedures", - "last-modified": "2021-07-29T17:22:02.981-04:00", - "version": "5.1.1-draft", - "oscal-version": "1.0.0", - "props": [ - { - "name": "keywords", - "value": "assessment, assessment plan, assurance, availability, computer security, confidentiality, control, control assessment, cybersecurity, FISMA, information security, information system, integrity, personally identifiable information, OSCAL, Open Security Controls Assessment Language, Privacy Act, privacy controls, privacy functions, privacy requirements, Risk Management Framework, security controls, security functions, security requirements, system, system security" - } - ], - "links": [ - { - "href": "#c3397cc9-83c6-4459-adb2-836739dc1b94", - "rel": "alternate" - }, - { - "href": "#f7cf488d-bc64-4a91-a994-810e153ee481", - "rel": "canonical" - } - ], - "roles": [ - { - "id": "creator", - "title": "Document creator" - }, - { - "id": "contact", - "title": "Contact" - } - ], - "parties": [ - { - "uuid": "41a93829-b76b-43ec-b9e7-250553511549", - "type": "organization", - "name": "Joint Task Force, Interagency Working Group", - "email-addresses": [ - "sec-cert@nist.gov" - ], - "addresses": [ - { - "addr-lines": [ - "National Institute of Standards and Technology", - "Attn: Computer Security Division", - "Information Technology Laboratory", - "100 Bureau Drive (Mail Stop 8930)" - ], - "city": "Gaithersburg", - "state": "MD", - "postal-code": "20899-8930" - } - ] - } - ], - "responsible-parties": [ - { - "role-id": "creator", - "party-uuids": [ - "41a93829-b76b-43ec-b9e7-250553511549" - ] - }, - { - "role-id": "contact", - "party-uuids": [ - "41a93829-b76b-43ec-b9e7-250553511549" - ] - } - ] - }, - "groups": [ - { - "id": "ac", - "class": "family", - "title": "Access Control", - "controls": [ - { - "id": "ac-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ac-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-01_odp.01" - }, - { - "name": "aggregates", - "value": "ac-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the access control policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ac-01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the access control procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ac-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_2" - }, - { - "name": "label", - "value": "AC-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ac-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_3" - }, - { - "name": "label", - "value": "AC-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the access control policy and procedures is defined;" - } - ] - }, - { - "id": "ac-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_4" - }, - { - "name": "label", - "value": "AC-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current access control policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ac-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_5" - }, - { - "name": "label", - "value": "AC-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current access control policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ac-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_6" - }, - { - "name": "label", - "value": "AC-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current access control procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ac-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_7" - }, - { - "name": "label", - "value": "AC-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-01" - }, - { - "name": "sort-id", - "value": "ac-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-1_smt", - "name": "statement", - "parts": [ - { - "id": "ac-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ac-1_prm_1 }}:", - "parts": [ - { - "id": "ac-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ac-01_odp.03 }} access control policy that:", - "parts": [ - { - "id": "ac-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and the associated access controls;" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ac-01_odp.04 }} to manage the development, documentation, and dissemination of the access control policy and procedures; and" - }, - { - "id": "ac-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current access control:", - "parts": [ - { - "id": "ac-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ac-01_odp.05 }} and following {{ insert: param, ac-01_odp.06 }} ; and" - }, - { - "id": "ac-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ac-01_odp.07 }} and following {{ insert: param, ac-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an access control policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the access control policy is disseminated to {{ insert: param, ac-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "access control procedures to facilitate the implementation of the access control policy and associated controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the access control procedures are disseminated to {{ insert: param, ac-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the access control policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current access control policy is reviewed and updated {{ insert: param, ac-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current access control policy is reviewed and updated following {{ insert: param, ac-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current access control procedures are reviewed and updated {{ insert: param, ac-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current access control procedures are reviewed and updated following {{ insert: param, ac-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\n\norganizational personnel with information security with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "params": [ - { - "id": "ac-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_1" - }, - { - "name": "label", - "value": "AC-02_ODP[01]" - } - ], - "label": "prerequisites and criteria", - "guidelines": [ - { - "prose": "prerequisites and criteria for group and role membership are defined;" - } - ] - }, - { - "id": "ac-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_2" - }, - { - "name": "label", - "value": "AC-02_ODP[02]" - } - ], - "label": "attributes (as required)", - "guidelines": [ - { - "prose": "attributes (as required) for each account are defined;" - } - ] - }, - { - "id": "ac-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_3" - }, - { - "name": "label", - "value": "AC-02_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to approve requests to create accounts is/are defined;" - } - ] - }, - { - "id": "ac-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_4" - }, - { - "name": "label", - "value": "AC-02_ODP[04]" - } - ], - "label": "policy, procedures, prerequisites, and criteria", - "guidelines": [ - { - "prose": "policy, procedures, prerequisites, and criteria for account creation, enabling, modification, disabling, and removal are defined;" - } - ] - }, - { - "id": "ac-02_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_5" - }, - { - "name": "label", - "value": "AC-02_ODP[05]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified is/are defined;" - } - ] - }, - { - "id": "ac-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_6" - }, - { - "name": "label", - "value": "AC-02_ODP[06]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when accounts are no longer required is defined;" - } - ] - }, - { - "id": "ac-02_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_7" - }, - { - "name": "label", - "value": "AC-02_ODP[07]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when users are terminated or transferred is defined;" - } - ] - }, - { - "id": "ac-02_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_8" - }, - { - "name": "label", - "value": "AC-02_ODP[08]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when system usage or the need to know changes for an individual is defined;" - } - ] - }, - { - "id": "ac-02_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_9" - }, - { - "name": "label", - "value": "AC-02_ODP[09]" - } - ], - "label": "attributes (as required)", - "guidelines": [ - { - "prose": "attributes needed to authorize system access (as required) are defined;" - } - ] - }, - { - "id": "ac-02_odp.10", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_10" - }, - { - "name": "label", - "value": "AC-02_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of account review is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02" - }, - { - "name": "sort-id", - "value": "ac-02" - } - ], - "links": [ - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#53df282b-8b3f-483a-bad1-6a8b8ac00114", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define and document the types of accounts allowed and specifically prohibited for use within the system;" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign account managers;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require {{ insert: param, ac-02_odp.01 }} for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specify:", - "parts": [ - { - "id": "ac-2_smt.d.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Authorized users of the system;" - }, - { - "id": "ac-2_smt.d.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Group and role membership; and" - }, - { - "id": "ac-2_smt.d.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Access authorizations (i.e., privileges) and {{ insert: param, ac-02_odp.02 }} for each account;" - } - ] - }, - { - "id": "ac-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Require approvals by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitor the use of accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notify account managers and {{ insert: param, ac-02_odp.05 }} within:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ac-02_odp.06 }} when accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, ac-02_odp.07 }} when users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ac-02_odp.08 }} when system usage or need-to-know changes for an individual;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorize access to the system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ac-02_odp.09 }};" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Review accounts for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "props": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and" - }, - { - "id": "ac-2_smt.l", - "name": "item", - "props": [ - { - "name": "label", - "value": "l." - } - ], - "prose": "Align account management processes with personnel termination and transfer processes." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts.\n\nWhere access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability.\n\nTemporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "account types allowed for use within the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "account types specifically prohibited for use within the system are defined and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02b.", - "class": "sp800-53A" - } - ], - "prose": "account managers are assigned;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02_odp.01 }} for group and role membership are required;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.01", - "class": "sp800-53A" - } - ], - "prose": "authorized users of the system are specified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.02", - "class": "sp800-53A" - } - ], - "prose": "group and role membership are specified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03[01]", - "class": "sp800-53A" - } - ], - "prose": "access authorizations (i.e., privileges) are specified for each account;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02_odp.02 }} are specified for each account;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02e.", - "class": "sp800-53A" - } - ], - "prose": "approvals are required by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[01]", - "class": "sp800-53A" - } - ], - "prose": "accounts are created in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[02]", - "class": "sp800-53A" - } - ], - "prose": "accounts are enabled in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[03]", - "class": "sp800-53A" - } - ], - "prose": "accounts are modified in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[04]", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[05]", - "class": "sp800-53A" - } - ], - "prose": "accounts are removed in accordance with {{ insert: param, ac-02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02g.", - "class": "sp800-53A" - } - ], - "prose": "the use of accounts is monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.01", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.06 }} when accounts are no longer required;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.02", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.07 }} when users are terminated or transferred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.03", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.08 }} when system usage or the need to know changes for an individual;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.01", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on a valid access authorization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.02", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on intended system usage;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.03", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on {{ insert: param, ac-02_odp.09 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02j.", - "class": "sp800-53A" - } - ], - "prose": "accounts are reviewed for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is established for changing shared or group account authenticators (if deployed) when individuals are removed from the group;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for changing shared or group account authenticators (if deployed) when individuals are removed from the group;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.[01]", - "class": "sp800-53A" - } - ], - "prose": "account management processes are aligned with personnel termination processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.[02]", - "class": "sp800-53A" - } - ], - "prose": "account management processes are aligned with personnel transfer processes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\npersonnel termination policy and procedure\n\npersonnel transfer policy and procedure\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated with each account\n\nlist of recently disabled system accounts and the name of the individual associated with each account\n\nlist of conditions for group and role membership\n\nnotifications of recent transfers, separations, or terminations of employees\n\naccess authorization records\n\naccount management compliance reviews\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for account management on the system\n\nautomated mechanisms for implementing account management" - } - ] - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "params": [ - { - "id": "ac-02.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.1_prm_1" - }, - { - "name": "label", - "value": "AC-02(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to support the management of system accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(01)" - }, - { - "name": "sort-id", - "value": "ac-02.01" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "Support the management of system accounts using {{ insert: param, ac-02.01_odp }}." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(01)", - "class": "sp800-53A" - } - ], - "prose": "the management of system accounts is supported using {{ insert: param, ac-02.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Temporary and Emergency Account Management", - "params": [ - { - "id": "ac-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.2_prm_1" - }, - { - "name": "label", - "value": "AC-02(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "remove", - "disable" - ] - } - }, - { - "id": "ac-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.2_prm_2" - }, - { - "name": "label", - "value": "AC-02(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which to automatically remove or disable temporary or emergency accounts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(02)" - }, - { - "name": "sort-id", - "value": "ac-02.02" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, ac-02.02_odp.01 }} temporary and emergency accounts after {{ insert: param, ac-02.02_odp.02 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(02)", - "class": "sp800-53A" - } - ], - "prose": "temporary and emergency accounts are automatically {{ insert: param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of temporary accounts removed and/or disabled\n\nsystem-generated list of emergency accounts removed and/or disabled\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Accounts", - "params": [ - { - "id": "ac-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.3_prm_1" - }, - { - "name": "label", - "value": "AC-02(03)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to disable accounts is defined;" - } - ] - }, - { - "id": "ac-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.3_prm_2" - }, - { - "name": "label", - "value": "AC-02(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for account inactivity before disabling is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(03)" - }, - { - "name": "sort-id", - "value": "ac-02.03" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "Disable accounts within {{ insert: param, ac-02.03_odp.01 }} when the accounts:", - "parts": [ - { - "id": "ac-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have expired;" - }, - { - "id": "ac-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Are no longer associated with a user or individual;" - }, - { - "id": "ac-2.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are in violation of organizational policy; or" - }, - { - "id": "ac-2.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Have been inactive for {{ insert: param, ac-02.03_odp.02 }}." - } - ] - }, - { - "id": "ac-2.3_gdn", - "name": "guidance", - "prose": "Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have expired;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are no longer associated with a user or individual;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are in violation of organizational policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have been inactive for {{ insert: param, ac-02.03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of temporary accounts removed and/or disabled\n\nsystem-generated list of emergency accounts removed and/or disabled\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "props": [ - { - "name": "label", - "value": "AC-02(04)" - }, - { - "name": "sort-id", - "value": "ac-02.04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "Automatically audit account creation, modification, enabling, disabling, and removal actions." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "prose": "Account management audit records are defined in accordance with [AU-2](#au-2) and reviewed, analyzed, and reported in accordance with [AU-6](#au-6)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "account creation is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "account modification is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "account enabling is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[04]", - "class": "sp800-53A" - } - ], - "prose": "account disabling is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[05]", - "class": "sp800-53A" - } - ], - "prose": "account removal actions are automatically audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nnotifications/alerts of account creation, modification, enabling, disabling, and removal actions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "params": [ - { - "id": "ac-02.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.5_prm_1" - }, - { - "name": "label", - "value": "AC-02(05)_ODP" - } - ], - "label": "time period of expected inactivity or description of when to log out", - "guidelines": [ - { - "prose": "the time period of expected inactivity or description of when to log out is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(05)" - }, - { - "name": "sort-id", - "value": "ac-02.05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "Require that users log out when {{ insert: param, ac-02.05_odp }}." - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "prose": "Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by [AC-11](#ac-11)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(05)", - "class": "sp800-53A" - } - ], - "prose": "users are required to log out when {{ insert: param, ac-02.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity violation reports\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nusers that must comply with inactivity logout policy" - } - ] - } - ] - }, - { - "id": "ac-2.6", - "class": "SP800-53-enhancement", - "title": "Dynamic Privilege Management", - "params": [ - { - "id": "ac-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.6_prm_1" - }, - { - "name": "label", - "value": "AC-02(06)_ODP" - } - ], - "label": "dynamics privilege management capabilities", - "guidelines": [ - { - "prose": "dynamic privilege management capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(06)" - }, - { - "name": "sort-id", - "value": "ac-02.06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.6_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-02.06_odp }}." - }, - { - "id": "ac-2.6_gdn", - "name": "guidance", - "prose": "In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on runtime access control decisions facilitated by dynamic privilege management, such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and the operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, if their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.06_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of dynamic privilege management capabilities\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system or mechanisms implementing dynamic privilege management capabilities" - } - ] - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Privileged User Accounts", - "params": [ - { - "id": "ac-02.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.7_prm_1" - }, - { - "name": "label", - "value": "AC-02(07)_ODP" - } - ], - "select": { - "choice": [ - "a role-based access scheme", - "an attribute-based access scheme" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(07)" - }, - { - "name": "sort-id", - "value": "ac-02.07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish and administer privileged user accounts in accordance with {{ insert: param, ac-02.07_odp }};" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor privileged role or attribute assignments;" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Monitor changes to roles or attributes; and" - }, - { - "id": "ac-2.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Revoke access when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "privileged user accounts are established and administered in accordance with {{ insert: param, ac-02.07_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "privileged role or attribute assignments are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(c)", - "class": "sp800-53A" - } - ], - "prose": "changes to roles or attributes are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(d)", - "class": "sp800-53A" - } - ], - "prose": "access is revoked when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged user accounts and associated roles\n\nrecords of actions taken when privileged role assignments are no longer appropriate\n\nsystem audit records\n\naudit tracking and monitoring reports\n\nsystem monitoring records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions\n\nautomated mechanisms monitoring privileged role assignments" - } - ] - } - ] - }, - { - "id": "ac-2.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Account Management", - "params": [ - { - "id": "ac-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.8_prm_1" - }, - { - "name": "label", - "value": "AC-02(08)_ODP" - } - ], - "label": "system accounts", - "guidelines": [ - { - "prose": "system accounts that are dynamically created, activated, managed, and deactivated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(08)" - }, - { - "name": "sort-id", - "value": "ac-02.08" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.8_smt", - "name": "statement", - "prose": "Create, activate, manage, and deactivate {{ insert: param, ac-02.08_odp }} dynamically." - }, - { - "id": "ac-2.8_gdn", - "name": "guidance", - "prose": "Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at runtime for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are created dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are activated dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are managed dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are deactivated dynamically." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of system accounts\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions on Use of Shared and Group Accounts", - "params": [ - { - "id": "ac-02.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.9_prm_1" - }, - { - "name": "label", - "value": "AC-02(09)_ODP" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions for establishing shared and group accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(09)" - }, - { - "name": "sort-id", - "value": "ac-02.09" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "Only permit the use of shared and group accounts that meet {{ insert: param, ac-02.09_odp }}." - }, - { - "id": "ac-2.9_gdn", - "name": "guidance", - "prose": "Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(09)", - "class": "sp800-53A" - } - ], - "prose": "the use of shared and group accounts is only permitted if {{ insert: param, ac-02.09_odp }} are met." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of shared/group accounts and associated roles\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of shared/group accounts" - } - ] - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared and Group Account Credential Change", - "props": [ - { - "name": "label", - "value": "AC-02(10)" - }, - { - "name": "sort-id", - "value": "ac-02.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2_smt.k", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-2.11", - "class": "SP800-53-enhancement", - "title": "Usage Conditions", - "params": [ - { - "id": "ac-02.11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.11_prm_1" - }, - { - "name": "label", - "value": "AC-02(11)_ODP[01]" - } - ], - "label": "circumstances and/or usage conditions", - "guidelines": [ - { - "prose": "circumstances and/or usage conditions to be enforced for system accounts are defined;" - } - ] - }, - { - "id": "ac-02.11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.11_prm_2" - }, - { - "name": "label", - "value": "AC-02(11)_ODP[02]" - } - ], - "label": "system accounts", - "guidelines": [ - { - "prose": "system accounts subject to enforcement of circumstances and/or usage conditions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(11)" - }, - { - "name": "sort-id", - "value": "ac-02.11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.11_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }}." - }, - { - "id": "ac-2.11_gdn", - "name": "guidance", - "prose": "Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }} are enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of system accounts and associated assignments of usage circumstances and/or usage conditions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring for Atypical Usage", - "params": [ - { - "id": "ac-02.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.12_prm_1" - }, - { - "name": "label", - "value": "AC-02(12)_ODP[01]" - } - ], - "label": "atypical usage", - "guidelines": [ - { - "prose": "atypical usage for which to monitor system accounts is defined;" - } - ] - }, - { - "id": "ac-02.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.12_prm_2" - }, - { - "name": "label", - "value": "AC-02(12)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to report atypical usage is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(12)" - }, - { - "name": "sort-id", - "value": "ac-02.12" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitor system accounts for {{ insert: param, ac-02.12_odp.01 }} ; and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Report atypical usage of system accounts to {{ insert: param, ac-02.12_odp.02 }}." - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "system accounts are monitored for {{ insert: param, ac-02.12_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "atypical usage of system accounts is reported to {{ insert: param, ac-02.12_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring records\n\nsystem audit records\n\naudit tracking and monitoring reports\n\nprivacy impact assessment\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.13", - "class": "SP800-53-enhancement", - "title": "Disable Accounts for High-risk Individuals", - "params": [ - { - "id": "ac-02.13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.13_prm_1" - }, - { - "name": "label", - "value": "AC-02(13)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to disable accounts of individuals who are discovered to pose significant risk is defined;" - } - ] - }, - { - "id": "ac-02.13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.13_prm_2" - }, - { - "name": "label", - "value": "AC-02(13)_ODP[02]" - } - ], - "label": "significant risks", - "guidelines": [ - { - "prose": "significant risks leading to disabling accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(13)" - }, - { - "name": "sort-id", - "value": "ac-02.13" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.13_smt", - "name": "statement", - "prose": "Disable accounts of individuals within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}." - }, - { - "id": "ac-2.13_gdn", - "name": "guidance", - "prose": "Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(13)", - "class": "sp800-53A" - } - ], - "prose": "accounts of individuals are disabled within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of disabled accounts\n\nlist of user activities posing significant organizational risk\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "props": [ - { - "name": "label", - "value": "AC-03" - }, - { - "name": "sort-id", - "value": "ac-03" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection ( [PE](#pe) ) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03", - "class": "sp800-53A" - } - ], - "prose": "approved authorizations for logical access to information and system resources are enforced in accordance with applicable access control policies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-3.1", - "class": "SP800-53-enhancement", - "title": "Restricted Access to Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-03(01)" - }, - { - "name": "sort-id", - "value": "ac-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.2", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "ac-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.2_prm_1" - }, - { - "name": "label", - "value": "AC-03(02)_ODP" - } - ], - "label": "privileged commands and/or other actions", - "guidelines": [ - { - "prose": "privileged commands and/or other actions requiring dual authorization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(02)" - }, - { - "name": "sort-id", - "value": "ac-03.02" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.2_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, ac-03.02_odp }}." - }, - { - "id": "ac-3.2_gdn", - "name": "guidance", - "prose": "Dual authorization, also known as two-person control, reduces risk related to insider threats. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties. Organizations consider the risk associated with implementing dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(02)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization is enforced for {{ insert: param, ac-03.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement and dual authorization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged commands requiring dual authorization\n\nlist of actions requiring dual authorization\n\nlist of approved authorizations (user privileges)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Dual authorization mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.3", - "class": "SP800-53-enhancement", - "title": "Mandatory Access Control", - "params": [ - { - "id": "ac-3.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.03_odp.01" - }, - { - "name": "aggregates", - "value": "ac-03.03_odp.02" - } - ], - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-03.03_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(03)_ODP[01]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "mandatory access control policy enforced over the set of covered subjects is defined;" - } - ] - }, - { - "id": "ac-03.03_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(03)_ODP[02]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "mandatory access control policy enforced over the set of covered objects is defined;" - } - ] - }, - { - "id": "ac-03.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.3_prm_2" - }, - { - "name": "label", - "value": "AC-03(03)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be explicitly granted privileges are defined;" - } - ] - }, - { - "id": "ac-03.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.3_prm_3" - }, - { - "name": "label", - "value": "AC-03(03)_ODP[04]" - } - ], - "label": "privileges", - "guidelines": [ - { - "prose": "privileges to be explicitly granted to subjects are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(03)" - }, - { - "name": "sort-id", - "value": "ac-03.03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy:", - "parts": [ - { - "id": "ac-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Is uniformly enforced across the covered subjects and objects within the system;" - }, - { - "id": "ac-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Specifies that a subject that has been granted access to information is constrained from doing any of the following;", - "parts": [ - { - "id": "ac-3.3_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Passing the information to unauthorized subjects or objects;" - }, - { - "id": "ac-3.3_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Granting its privileges to other subjects;" - }, - { - "id": "ac-3.3_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(03)" - } - ], - "prose": "Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;" - }, - { - "id": "ac-3.3_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(04)" - } - ], - "prose": "Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and" - }, - { - "id": "ac-3.3_smt.b.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "(05)" - } - ], - "prose": "Changing the rules governing access control; and" - } - ] - }, - { - "id": "ac-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Specifies that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints." - } - ] - }, - { - "id": "ac-3.3_gdn", - "name": "guidance", - "prose": "Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions that subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in [AC-25](#ac-25) . The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect).\n\nThe trusted subjects described above are granted privileges consistent with the concept of least privilege (see [AC-6](#ac-6) ). Trusted subjects are only given the minimum privileges necessary for satisfying organizational mission/business needs relative to the above policy. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in [AC-3(4)](#ac-3.4) . A subject constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint that prevents a subject from passing information to another subject operating at a different impact or classification level, AC-3(4) permits the subject to pass the information to any other subject with the same impact or classification level as the subject. Examples of mandatory access control policies include the Bell-LaPadula policy to protect confidentiality of information and the Biba policy to protect the integrity of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.02 }} is enforced over the set of covered objects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} is uniformly enforced across the covered subjects within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.02 }} is uniformly enforced across the covered objects within the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from passing the information to unauthorized subjects or objects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from granting its privileges to other subjects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing one of more security attributes (specified by the policy) on subjects, objects, the system, or system components are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(4)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(5)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing the rules governing access control are enforced;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nmandatory access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing mandatory access control" - } - ] - } - ] - }, - { - "id": "ac-3.4", - "class": "SP800-53-enhancement", - "title": "Discretionary Access Control", - "params": [ - { - "id": "ac-3.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.04_odp.01" - } - ], - "label": "organization-defined discretionary access control policy" - }, - { - "id": "ac-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(04)_ODP[01]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "discretionary access control policy enforced over the set of covered subjects is defined;" - } - ] - }, - { - "id": "ac-03.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(04)_ODP[02]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "discretionary access control policy enforced over the set of covered objects is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(04)" - }, - { - "name": "sort-id", - "value": "ac-03.04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.4_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:", - "parts": [ - { - "id": "ac-3.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Pass the information to any other subjects or objects;" - }, - { - "id": "ac-3.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Grant its privileges to other subjects;" - }, - { - "id": "ac-3.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change security attributes on subjects, objects, the system, or the system\u2019s components;" - }, - { - "id": "ac-3.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Choose the security attributes to be associated with newly created or revised objects; or" - }, - { - "id": "ac-3.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Change the rules governing access control." - } - ] - }, - { - "id": "ac-3.4_gdn", - "name": "guidance", - "prose": "When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in [AC-3(3)](#ac-3.3) and [AC-3(15)](#ac-3.15) . A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while [AC-3(3)](#ac-3.3) imposes constraints that prevent a subject from passing information to another subject operating at a different impact or classification level, [AC-3(4)](#ac-3.4) permits the subject to pass the information to any subject at the same impact or classification level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.02 }} is enforced over the set of covered objects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can pass the information to any other subjects or objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can grant its privileges to other subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change security attributes on subjects, objects, the system, or the system\u2019s components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can choose the security attributes to be associated with newly created or revised objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(e)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change the rules governing access control." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ndiscretionary access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing discretionary access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.5", - "class": "SP800-53-enhancement", - "title": "Security-relevant Information", - "params": [ - { - "id": "ac-03.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.5_prm_1" - }, - { - "name": "label", - "value": "AC-03(05)_ODP" - } - ], - "label": "security-relevant information", - "guidelines": [ - { - "prose": "security-relevant information to which access is prevented except during secure, non-operable system states is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(05)" - }, - { - "name": "sort-id", - "value": "ac-03.05" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.5_smt", - "name": "statement", - "prose": "Prevent access to {{ insert: param, ac-03.05_odp }} except during secure, non-operable system states." - }, - { - "id": "ac-3.5_gdn", - "name": "guidance", - "prose": "Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security and privacy policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing, such as when the system is offline for maintenance, boot-up, troubleshooting, or shut down." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(05)", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, ac-03.05_odp }} is prevented except during secure, non-operable system states." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing access to security-relevant information within the system" - } - ] - } - ] - }, - { - "id": "ac-3.6", - "class": "SP800-53-enhancement", - "title": "Protection of User and System Information", - "props": [ - { - "name": "label", - "value": "AC-03(06)" - }, - { - "name": "sort-id", - "value": "ac-03.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "incorporated-into" - }, - { - "href": "#sc-28", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.7", - "class": "SP800-53-enhancement", - "title": "Role-based Access Control", - "params": [ - { - "id": "ac-3.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.07_odp.01" - } - ], - "label": "organization-defined roles and users authorized to assume such roles" - }, - { - "id": "ac-03.07_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(07)_ODP[01]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "roles upon which to base control of access are defined;" - } - ] - }, - { - "id": "ac-03.07_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(07)_ODP[02]" - } - ], - "label": "users authorized to assume such roles", - "guidelines": [ - { - "prose": "users authorized to assume roles (defined in AC-03(07)_ODP[01]) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(07)" - }, - { - "name": "sort-id", - "value": "ac-03.07" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.7_smt", - "name": "statement", - "prose": "Enforce a role-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.7_prm_1 }}." - }, - { - "id": "ac-3.7_gdn", - "name": "guidance", - "prose": "Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a large number of individuals) but are instead acquired through role assignments. RBAC can also increase privacy and security risk if individuals assigned to a role are given access to information beyond what they need to support organizational missions or business functions. RBAC can be implemented as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "a role-based access control policy is enforced over defined subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "a role-based access control policy is enforced over defined objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is controlled based on {{ insert: param, ac-03.07_odp.01 }} and {{ insert: param, ac-03.07_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nrole-based access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of roles, users, and associated privileges required to control system access\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing role-based access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.8", - "class": "SP800-53-enhancement", - "title": "Revocation of Access Authorizations", - "params": [ - { - "id": "ac-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.8_prm_1" - }, - { - "name": "label", - "value": "AC-03(08)_ODP" - } - ], - "label": "rules", - "guidelines": [ - { - "prose": "rules governing the timing of revocations of access authorizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(08)" - }, - { - "name": "sort-id", - "value": "ac-03.08" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.8_smt", - "name": "statement", - "prose": "Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on {{ insert: param, ac-03.08_odp }}." - }, - { - "id": "ac-3.8_gdn", - "name": "guidance", - "prose": "Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts to access the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "revocation of access authorizations is enforced, resulting from changes to the security attributes of subjects based on {{ insert: param, ac-03.08_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "revocation of access authorizations is enforced resulting from changes to the security attributes of objects based on {{ insert: param, ac-03.08_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrules governing revocation of access authorizations, system audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.9", - "class": "SP800-53-enhancement", - "title": "Controlled Release", - "params": [ - { - "id": "ac-03.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_1" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[01]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "the outside system or system component to which to release information is defined;" - } - ] - }, - { - "id": "ac-03.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_2" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be provided by the outside system or system component (defined in AC-03(09)_ODP[01]) are defined;" - } - ] - }, - { - "id": "ac-03.09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_3" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to validate appropriateness of information to be released are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(09)" - }, - { - "name": "sort-id", - "value": "ac-03.09" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.9_smt", - "name": "statement", - "prose": "Release information outside of the system only if:", - "parts": [ - { - "id": "ac-3.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "The receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }} ; and" - }, - { - "id": "ac-3.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "id": "ac-3.9_gdn", - "name": "guidance", - "prose": "Organizations can only directly protect information when it resides within the system. Additional controls may be needed to ensure that organizational information is adequately protected once it is transmitted outside of the system. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigation measure, organizations procedurally determine whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests), establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals\u2019 privacy.\n\nControlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "information is released outside of the system only if the receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "information is released outside of the system only if {{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy safeguards provided by receiving system or system components\n\nlist of security and privacy safeguards validating appropriateness of information designated for release\n\nsystem audit records\n\nresults of period assessments (inspections/tests) of the external system\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nacquisitions/contractual agreements\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements\n\nlegal counsel\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.10", - "class": "SP800-53-enhancement", - "title": "Audited Override of Access Control Mechanisms", - "params": [ - { - "id": "ac-03.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.10_prm_1" - }, - { - "name": "label", - "value": "AC-03(10)_ODP[01]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which to employ an audited override of automated access control mechanisms are defined;" - } - ] - }, - { - "id": "ac-03.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.10_prm_2" - }, - { - "name": "label", - "value": "AC-03(10)_ODP[02]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "roles allowed to employ an audited override of automated access control mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(10)" - }, - { - "name": "sort-id", - "value": "ac-03.10" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.10_smt", - "name": "statement", - "prose": "Employ an audited override of automated access control mechanisms under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}." - }, - { - "id": "ac-3.10_gdn", - "name": "guidance", - "prose": "In certain situations, such as when there is a threat to human life or an event that threatens the organization\u2019s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and used only in those limited circumstances. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(10)", - "class": "sp800-53A" - } - ], - "prose": "an audited override of automated access control mechanisms is employed under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nconditions for employing audited override of automated access control mechanisms\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.11", - "class": "SP800-53-enhancement", - "title": "Restrict Access to Specific Information Types", - "params": [ - { - "id": "ac-03.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.11_prm_1" - }, - { - "name": "label", - "value": "AC-03(11)_ODP" - } - ], - "label": "information types", - "guidelines": [ - { - "prose": "information types requiring restricted access to data repositories are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(11)" - }, - { - "name": "sort-id", - "value": "ac-03.11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.11_smt", - "name": "statement", - "prose": "Restrict access to data repositories containing {{ insert: param, ac-03.11_odp }}." - }, - { - "id": "ac-3.11_gdn", - "name": "guidance", - "prose": "Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(11)", - "class": "sp800-53A" - } - ], - "prose": "access to data repositories containing {{ insert: param, ac-03.11_odp }} is restricted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\norganizational personnel with responsibilities for data repositories\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.12", - "class": "SP800-53-enhancement", - "title": "Assert and Enforce Application Access", - "params": [ - { - "id": "ac-03.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.12_prm_1" - }, - { - "name": "label", - "value": "AC-03(12)_ODP" - } - ], - "label": "system applications and functions", - "guidelines": [ - { - "prose": "system applications and functions requiring access assertion are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(12)" - }, - { - "name": "sort-id", - "value": "ac-03.12" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};" - }, - { - "id": "ac-3.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide an enforcement mechanism to prevent unauthorized access; and" - }, - { - "id": "ac-3.12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Approve access changes after initial installation of the application." - } - ] - }, - { - "id": "ac-3.12_gdn", - "name": "guidance", - "prose": "Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning systems, cameras, keyboards, microphones, networks, phones, or other files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "as part of the installation process, applications are required to assert the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "an enforcement mechanism to prevent unauthorized access is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(c)", - "class": "sp800-53A" - } - ], - "prose": "access changes after initial installation of the application are approved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.13", - "class": "SP800-53-enhancement", - "title": "Attribute-based Access Control", - "params": [ - { - "id": "ac-03.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.13_prm_1" - }, - { - "name": "label", - "value": "AC-03(13)_ODP" - } - ], - "label": "attributes", - "guidelines": [ - { - "prose": "attributes to assume access permissions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(13)" - }, - { - "name": "sort-id", - "value": "ac-03.13" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.13_smt", - "name": "statement", - "prose": "Enforce attribute-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-03.13_odp }}." - }, - { - "id": "ac-3.13_gdn", - "name": "guidance", - "prose": "Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity), action attributes (e.g., read, write, delete), environmental attributes (e.g., time of day, location), and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource. Attribute-based access control can be implemented as either a mandatory or discretionary form of access control. When implemented with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[01]", - "class": "sp800-53A" - } - ], - "prose": "the attribute-based access control policy is enforced over defined subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[02]", - "class": "sp800-53A" - } - ], - "prose": "the attribute-based access control policy is enforced over defined objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is controlled based on {{ insert: param, ac-03.13_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of attribute-based access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.14", - "class": "SP800-53-enhancement", - "title": "Individual Access", - "params": [ - { - "id": "ac-03.14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.14_prm_1" - }, - { - "name": "label", - "value": "AC-03(14)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms enabling individuals to have access to elements of their personally identifiable information are defined;" - } - ] - }, - { - "id": "ac-03.14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.14_prm_2" - }, - { - "name": "label", - "value": "AC-03(14)_ODP[02]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements of personally identifiable information to which individuals have access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(14)" - }, - { - "name": "sort-id", - "value": "ac-03.14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.14_smt", - "name": "statement", - "prose": "Provide {{ insert: param, ac-03.14_odp.01 }} to enable individuals to have access to the following elements of their personally identifiable information: {{ insert: param, ac-03.14_odp.02 }}." - }, - { - "id": "ac-3.14_gdn", - "name": "guidance", - "prose": "Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. For federal agencies, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) processes can be located in systems of record notices and on agency websites. Access to certain types of records may not be appropriate (e.g., for federal agencies, law enforcement records within a system of records may be exempt from disclosure under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ) or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.14_odp.01 }} are provided to enable individuals to have access to {{ insert: param, ac-03.14_odp.02 }} of their personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access mechanisms (e.g., request forms and application interfaces)\n\naccess control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation regarding access to an individual\u2019s personally identifiable information\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy assessment findings and/or reports\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions\n\nmechanisms enabling individual access to personally identifiable information" - } - ] - } - ] - }, - { - "id": "ac-3.15", - "class": "SP800-53-enhancement", - "title": "Discretionary and Mandatory Access Control", - "params": [ - { - "id": "ac-3.15_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.15_odp.01" - }, - { - "name": "aggregates", - "value": "ac-03.15_odp.02" - } - ], - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-03.15_odp.03" - }, - { - "name": "aggregates", - "value": "ac-03.15_odp.04" - } - ], - "label": "organization-defined discretionary access control policy" - }, - { - "id": "ac-03.15_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[01]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "a mandatory access control policy enforced over the set of covered subjects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[02]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "a mandatory access control policy enforced over the set of covered objects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.03", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[03]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "a discretionary access control policy enforced over the set of covered subjects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.04", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[04]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "a discretionary access control policy enforced over the set of covered objects specified in the policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(15)" - }, - { - "name": "sort-id", - "value": "ac-03.15" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.15_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_1 }} over the set of covered subjects and objects specified in the policy; and" - }, - { - "id": "ac-3.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_2 }} over the set of covered subjects and objects specified in the policy." - } - ] - }, - { - "id": "ac-3.15_gdn", - "name": "guidance", - "prose": "Simultaneously implementing a mandatory access control policy and a discretionary access control policy can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.02 }} is enforced over the set of covered objects specified in the policy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.03 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.04 }} is enforced over the set of covered objects specified in the policy." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing mandatory and discretionary access control policy" - } - ] - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "params": [ - { - "id": "ac-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4_prm_1" - }, - { - "name": "label", - "value": "AC-04_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies within the system and between connected systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04" - }, - { - "name": "sort-id", - "value": "ac-04" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see [CA-3](#ca-3) ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels.\n\nOrganizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04", - "class": "sp800-53A" - } - ], - "prose": "approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsecurity architecture documentation\n\nprivacy architecture documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem baseline configuration\n\nlist of information flow authorizations\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-4.1", - "class": "SP800-53-enhancement", - "title": "Object Security and Privacy Attributes", - "params": [ - { - "id": "ac-4.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.01_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.02" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-4.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.01_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.04" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.05" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.06" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.07" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.08" - } - ], - "label": "organization-defined information, source, and destination objects" - }, - { - "id": "ac-04.01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with information, source, and destination objects are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with information, source, and destination objects are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[03]" - } - ], - "label": "information objects", - "guidelines": [ - { - "prose": "information objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[04]" - } - ], - "label": "information objects", - "guidelines": [ - { - "prose": "information objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.05", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[05]" - } - ], - "label": "source objects", - "guidelines": [ - { - "prose": "source objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.06", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[06]" - } - ], - "label": "source objects", - "guidelines": [ - { - "prose": "source objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.07", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[07]" - } - ], - "label": "destination objects", - "guidelines": [ - { - "prose": "destination objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.08", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[08]" - } - ], - "label": "destination objects", - "guidelines": [ - { - "prose": "destination objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.1_prm_3" - }, - { - "name": "label", - "value": "AC-04(01)_ODP[09]" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies as a basis for enforcement of flow control decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(01)" - }, - { - "name": "sort-id", - "value": "ac-04.01" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.1_gdn", - "name": "guidance", - "prose": "Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets and, thus, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.01_odp.01 }} associated with {{ insert: param, ac-04.01_odp.03 }}, {{ insert: param, ac-04.01_odp.05 }} , and {{ insert: param, ac-04.01_odp.07 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.01_odp.02 }} associated with {{ insert: param, ac-04.01_odp.04 }}, {{ insert: param, ac-04.01_odp.06 }} , and {{ insert: param, ac-04.01_odp.08 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy attributes and associated source and destination objects\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.2", - "class": "SP800-53-enhancement", - "title": "Processing Domains", - "params": [ - { - "id": "ac-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.2_prm_1" - }, - { - "name": "label", - "value": "AC-04(02)_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies to be enforced by use of protected processing domains are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(02)" - }, - { - "name": "sort-id", - "value": "ac-04.02" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.2_smt", - "name": "statement", - "prose": "Use protected processing domains to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions." - }, - { - "id": "ac-4.2_gdn", - "name": "guidance", - "prose": "Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains, information is identified by types, and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(02)", - "class": "sp800-53A" - } - ], - "prose": "protected processing domains are used to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem security architecture and associated documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Information Flow Control", - "params": [ - { - "id": "ac-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.3_prm_1" - }, - { - "name": "label", - "value": "AC-04(03)_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies to be enforced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(03)" - }, - { - "name": "sort-id", - "value": "ac-04.03" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-04.03_odp }}." - }, - { - "id": "ac-4.3_gdn", - "name": "guidance", - "prose": "Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.03_odp }} are enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem security architecture and associated documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.4", - "class": "SP800-53-enhancement", - "title": "Flow Control of Encrypted Information", - "params": [ - { - "id": "ac-04.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_1" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[01]" - } - ], - "label": "information flow control mechanisms", - "guidelines": [ - { - "prose": "information flow control mechanisms that encrypted information is prevented from bypassing are defined;" - } - ] - }, - { - "id": "ac-04.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_2" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "decrypting the information", - "blocking the flow of the encrypted information", - "terminating communications sessions attempting to pass encrypted information", - " {{ insert: param, ac-04.04_odp.03 }} " - ] - } - }, - { - "id": "ac-04.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_3" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[03]" - } - ], - "label": "organization-defined procedure or method", - "guidelines": [ - { - "prose": "the organization-defined procedure or method used to prevent encrypted information from bypassing information flow control mechanisms is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(04)" - }, - { - "name": "sort-id", - "value": "ac-04.04" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.4_smt", - "name": "statement", - "prose": "Prevent encrypted information from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}." - }, - { - "id": "ac-4.4_gdn", - "name": "guidance", - "prose": "Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(04)", - "class": "sp800-53A" - } - ], - "prose": "encrypted information is prevented from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.5", - "class": "SP800-53-enhancement", - "title": "Embedded Data Types", - "params": [ - { - "id": "ac-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.5_prm_1" - }, - { - "name": "label", - "value": "AC-04(05)_ODP" - } - ], - "label": "limitations", - "guidelines": [ - { - "prose": "limitations on embedding data types within other data types are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(05)" - }, - { - "name": "sort-id", - "value": "ac-04.05" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.5_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-04.05_odp }} on embedding data types within other data types." - }, - { - "id": "ac-4.5_gdn", - "name": "guidance", - "prose": "Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.05_odp }} are enforced on embedding data types within other data types." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of limitations to be enforced on embedding data types within other data types\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.6", - "class": "SP800-53-enhancement", - "title": "Metadata", - "params": [ - { - "id": "ac-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.6_prm_1" - }, - { - "name": "label", - "value": "AC-04(06)_ODP" - } - ], - "label": "metadata", - "guidelines": [ - { - "prose": "metadata on which to base enforcement of information flow control is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(06)" - }, - { - "name": "sort-id", - "value": "ac-04.06" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.6_smt", - "name": "statement", - "prose": "Enforce information flow control based on {{ insert: param, ac-04.06_odp }}." - }, - { - "id": "ac-4.6_gdn", - "name": "guidance", - "prose": "Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., employing sufficiently strong binding techniques with appropriate assurance)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(06)", - "class": "sp800-53A" - } - ], - "prose": "information flow control enforcement is based on {{ insert: param, ac-04.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntypes of metadata used to enforce information flow control decisions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.7", - "class": "SP800-53-enhancement", - "title": "One-way Flow Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-04(07)" - }, - { - "name": "sort-id", - "value": "ac-04.07" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.7_smt", - "name": "statement", - "prose": "Enforce one-way information flows through hardware-based flow control mechanisms." - }, - { - "id": "ac-4.7_gdn", - "name": "guidance", - "prose": "One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system while permitting data from a lower impact or unclassified domain or system to be imported." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(07)", - "class": "sp800-53A" - } - ], - "prose": "one-way information flows are enforced through hardware-based flow control mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem hardware mechanisms and associated configurations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Hardware mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.8", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Policy Filters", - "params": [ - { - "id": "ac-4.8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.8_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.04" - } - ], - "label": "organization-defined information flows" - }, - { - "id": "ac-4.8_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.06" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.07" - } - ], - "label": "organization-defined security or privacy policy" - }, - { - "id": "ac-04.08_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[01]" - } - ], - "label": "security policy filter", - "guidelines": [ - { - "prose": "security policy filters to be used as a basis for enforcing information flow control are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[02]" - } - ], - "label": "privacy policy filter", - "guidelines": [ - { - "prose": "privacy policy filters to be used as a basis for enforcing information flow control are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[03]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows for which information flow control is enforced by security filters are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[04]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows for which information flow control is enforced by privacy filters are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.8_prm_3" - }, - { - "name": "label", - "value": "AC-04(08)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "block", - "strip", - "modify", - "quarantine" - ] - } - }, - { - "id": "ac-04.08_odp.06", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[06]" - } - ], - "label": "security policy", - "guidelines": [ - { - "prose": "security policy identifying actions to be taken after a filter processing failure are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.07", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[07]" - } - ], - "label": "privacy policy", - "guidelines": [ - { - "prose": "privacy policy identifying actions to be taken after a filter processing failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(08)" - }, - { - "name": "sort-id", - "value": "ac-04.08" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-4.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce information flow control using {{ insert: param, ac-4.8_prm_1 }} as a basis for flow control decisions for {{ insert: param, ac-4.8_prm_2 }} ; and" - }, - { - "id": "ac-4.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-4.8_prm_4 }}." - } - ] - }, - { - "id": "ac-4.8_gdn", - "name": "guidance", - "prose": "Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words, enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the impact or classification level of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files) and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "information flow control is enforced using {{ insert: param, ac-04.08_odp.01 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "information flow control is enforced using {{ insert: param, ac-04.08_odp.02 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.06 }};\n\n{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.07 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters regulating flow control decisions\n\nlist of privacy policy filters regulating flow control decisions\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.9", - "class": "SP800-53-enhancement", - "title": "Human Reviews", - "params": [ - { - "id": "ac-04.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.9_prm_1" - }, - { - "name": "label", - "value": "AC-04(09)_ODP[01]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows requiring the use of human reviews are defined;" - } - ] - }, - { - "id": "ac-04.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.9_prm_2" - }, - { - "name": "label", - "value": "AC-04(09)_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which the use of human reviews for information flows are to be enforced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(09)" - }, - { - "name": "sort-id", - "value": "ac-04.09" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.9_smt", - "name": "statement", - "prose": "Enforce the use of human reviews for {{ insert: param, ac-04.09_odp.01 }} under the following conditions: {{ insert: param, ac-04.09_odp.02 }}." - }, - { - "id": "ac-4.9_gdn", - "name": "guidance", - "prose": "Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of or as a complement to automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(09)", - "class": "sp800-53A" - } - ], - "prose": "human reviews are used for {{ insert: param, ac-04.09_odp.01 }} under {{ insert: param, ac-04.09_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of human reviews regarding information flows\n\nlist of information flows requiring the use of human reviews\n\nlist of conditions requiring human reviews for information flows\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with information flow enforcement responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms enforcing the use of human reviews" - } - ] - } - ] - }, - { - "id": "ac-4.10", - "class": "SP800-53-enhancement", - "title": "Enable and Disable Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.10_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.10_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.10_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.10_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.10_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.10_odp.04" - } - ], - "label": "organization-defined conditions" - }, - { - "id": "ac-04.10_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[01]" - } - ], - "label": "security filters", - "guidelines": [ - { - "prose": "security policy filters that privileged administrators have the capability to enable and disable are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[02]" - } - ], - "label": "privacy filters", - "guidelines": [ - { - "prose": "privacy policy filters that privileged administrators have the capability to enable and disable are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[03]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which privileged administrators have the capability to enable and disable security policy filters are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[04]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which privileged administrators have the capability to enable and disable privacy policy filters are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(10)" - }, - { - "name": "sort-id", - "value": "ac-04.10" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.10_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to enable and disable {{ insert: param, ac-4.10_prm_1 }} under the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - }, - { - "id": "ac-4.10_gdn", - "name": "guidance", - "prose": "For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security domains, and other security or privacy relevant features, as needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.01 }} under {{ insert: param, ac-04.10_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.02 }} under {{ insert: param, ac-04.10_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow information policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters enabled/disabled by privileged administrators\n\nlist of privacy policy filters enabled/disabled by privileged administrators\n\nlist of approved data types for enabling/disabling by privileged administrators\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for enabling/disabling security and privacy policy filters\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.11", - "class": "SP800-53-enhancement", - "title": "Configuration of Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.11_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.11_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.11_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.11_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(11)_ODP[01]" - } - ], - "label": "security policy filters", - "guidelines": [ - { - "prose": "security policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;" - } - ] - }, - { - "id": "ac-04.11_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(11)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(11)" - }, - { - "name": "sort-id", - "value": "ac-04.11" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.11_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to configure {{ insert: param, ac-4.11_prm_1 }} to support different security or privacy policies." - }, - { - "id": "ac-4.11_gdn", - "name": "guidance", - "prose": "Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of inappropriate words that security or privacy policy mechanisms check in accordance with the definitions provided by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.01 }} to support different security or privacy policies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.02 }} to support different security or privacy policies." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters\n\nlist of privacy policy filters\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for configuring security and privacy policy filters\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.12", - "class": "SP800-53-enhancement", - "title": "Data Type Identifiers", - "params": [ - { - "id": "ac-04.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.12_prm_1" - }, - { - "name": "label", - "value": "AC-04(12)_ODP" - } - ], - "label": "data type identifiers", - "guidelines": [ - { - "prose": "data type identifiers to be used to validate data essential for information flow decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(12)" - }, - { - "name": "sort-id", - "value": "ac-04.12" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.12_smt", - "name": "statement", - "prose": "When transferring information between different security domains, use {{ insert: param, ac-04.12_odp }} to validate data essential for information flow decisions." - }, - { - "id": "ac-4.12_gdn", - "name": "guidance", - "prose": "Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems only allow transfer of data that is compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure that it is the proper data type." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(12)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.12_odp }} are used to validate data essential for information flow decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of data type identifiers\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.13", - "class": "SP800-53-enhancement", - "title": "Decomposition into Policy-relevant Subcomponents", - "params": [ - { - "id": "ac-04.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.13_prm_1" - }, - { - "name": "label", - "value": "AC-04(13)_ODP" - } - ], - "label": "policy-relevant subcomponents", - "guidelines": [ - { - "prose": "policy-relevant subcomponents into which to decompose information for submission to policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(13)" - }, - { - "name": "sort-id", - "value": "ac-04.13" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.13_smt", - "name": "statement", - "prose": "When transferring information between different security domains, decompose information into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms." - }, - { - "id": "ac-4.13_gdn", - "name": "guidance", - "prose": "Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(13)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, information is decomposed into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.14", - "class": "SP800-53-enhancement", - "title": "Security or Privacy Policy Filter Constraints", - "params": [ - { - "id": "ac-4.14_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.14_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.14_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.14_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(14)_ODP[01]" - } - ], - "label": "security policy filters", - "guidelines": [ - { - "prose": "security policy filters to be implemented that require fully enumerated formats restricting data structure and content have been defined;" - } - ] - }, - { - "id": "ac-04.14_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(14)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters to be implemented that require fully enumerated formats restricting data structure and content are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(14)" - }, - { - "name": "sort-id", - "value": "ac-04.14" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.14_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring fully enumerated formats that restrict data structure and content." - }, - { - "id": "ac-4.14_gdn", - "name": "guidance", - "prose": "Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets, restricting character data fields to only contain alpha-numeric characters, prohibiting special characters, and validating schema structures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.01 }} require fully enumerated formats that restrict data structure and content;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.02 }} require fully enumerated formats that restrict data structure and content." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy policy filters\n\nlist of data structure policy filters\n\nlist of data content policy filters\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.15", - "class": "SP800-53-enhancement", - "title": "Detection of Unsanctioned Information", - "params": [ - { - "id": "ac-4.15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.15_odp.02" - }, - { - "name": "aggregates", - "value": "ac-04.15_odp.03" - } - ], - "label": "organization-defined security or privacy policy" - }, - { - "id": "ac-04.15_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.15_prm_1" - }, - { - "name": "label", - "value": "AC-04(15)_ODP[01]" - } - ], - "label": "unsanctioned information", - "guidelines": [ - { - "prose": "unsanctioned information to be detected is defined;" - } - ] - }, - { - "id": "ac-04.15_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(15)_ODP[02]" - } - ], - "label": "security policy", - "guidelines": [ - { - "prose": "security policy that requires the transfer of unsanctioned information between different security domains to be prohibited is defined;" - } - ] - }, - { - "id": "ac-04.15_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(15)_ODP[03]" - } - ], - "label": "privacy policy", - "guidelines": [ - { - "prose": "privacy policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(15)" - }, - { - "name": "sort-id", - "value": "ac-04.15" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.15_smt", - "name": "statement", - "prose": "When transferring information between different security domains, examine the information for the presence of {{ insert: param, ac-04.15_odp.01 }} and prohibit the transfer of such information in accordance with the {{ insert: param, ac-4.15_prm_2 }}." - }, - { - "id": "ac-4.15_gdn", - "name": "guidance", - "prose": "Unsanctioned information includes malicious code, information that is inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, information is examined for the presence of {{ insert: param, ac-04.15_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[03]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of unsanctioned information types and associated information\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.16", - "class": "SP800-53-enhancement", - "title": "Information Transfers on Interconnected Systems", - "props": [ - { - "name": "label", - "value": "AC-04(16)" - }, - { - "name": "sort-id", - "value": "ac-04.16" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.17", - "class": "SP800-53-enhancement", - "title": "Domain Authentication", - "params": [ - { - "id": "ac-04.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.17_prm_1" - }, - { - "name": "label", - "value": "AC-04(17)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization, system, application, service, individual" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(17)" - }, - { - "name": "sort-id", - "value": "ac-04.17" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.17_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate source and destination points by {{ insert: param, ac-04.17_odp }} for information transfer." - }, - { - "id": "ac-4.17_gdn", - "name": "guidance", - "prose": "Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems allows the forensic reconstruction of events and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(17)", - "class": "sp800-53A" - } - ], - "prose": "source and destination points are uniquely identified and authenticated by {{ insert: param, ac-04.17_odp }} for information transfer." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nprocedures addressing source and destination domain identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system labels\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.18", - "class": "SP800-53-enhancement", - "title": "Security Attribute Binding", - "props": [ - { - "name": "label", - "value": "AC-04(18)" - }, - { - "name": "sort-id", - "value": "ac-04.18" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.19", - "class": "SP800-53-enhancement", - "title": "Validation of Metadata", - "params": [ - { - "id": "ac-4.19_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.19_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.19_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.19_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(19)_ODP[01]" - } - ], - "label": "security filters", - "guidelines": [ - { - "prose": "security policy filters to be implemented on metadata are defined;" - } - ] - }, - { - "id": "ac-04.19_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(19)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters to be implemented on metadata are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(19)" - }, - { - "name": "sort-id", - "value": "ac-04.19" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.19_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata." - }, - { - "id": "ac-4.19_gdn", - "name": "guidance", - "prose": "All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions and consider metadata and the data to which the metadata applies to be part of the payload." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.19_odp.01 }} are implemented on metadata;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.19_odp.02 }} are implemented on metadata." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filtering criteria applied to metadata and data payloads\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nsecurity and policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.20", - "class": "SP800-53-enhancement", - "title": "Approved Solutions", - "params": [ - { - "id": "ac-04.20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.20_prm_1" - }, - { - "name": "label", - "value": "AC-04(20)_ODP[01]" - } - ], - "label": "solutions in approved configurations", - "guidelines": [ - { - "prose": "solutions in approved configurations to control the flow of information across security domains are defined;" - } - ] - }, - { - "id": "ac-04.20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.20_prm_2" - }, - { - "name": "label", - "value": "AC-04(20)_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be controlled when it flows across security domains is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(20)" - }, - { - "name": "sort-id", - "value": "ac-04.20" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-04.20_odp.01 }} to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains." - }, - { - "id": "ac-4.20_gdn", - "name": "guidance", - "prose": "Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The National Security Agency (NSA) National Cross Domain Strategy and Management Office provides a listing of approved cross-domain solutions. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.20_odp.01 }} are employed to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of solutions in approved configurations\n\napproved configuration baselines\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Separation of Information Flows", - "params": [ - { - "id": "ac-4.21_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.21_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.21_odp.02" - } - ], - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-04.21_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(21)_ODP[01]" - } - ], - "label": "mechanisms and/or techniques", - "guidelines": [ - { - "prose": "mechanisms and/or techniques used to logically separate information flows are defined;" - } - ] - }, - { - "id": "ac-04.21_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(21)_ODP[02]" - } - ], - "label": "mechanisms and/or techniques", - "guidelines": [ - { - "prose": "mechanisms and/or techniques used to physically separate information flows are defined;" - } - ] - }, - { - "id": "ac-04.21_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.21_prm_2" - }, - { - "name": "label", - "value": "AC-04(21)_ODP[03]" - } - ], - "label": "required separations", - "guidelines": [ - { - "prose": "required separations by types of information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(21)" - }, - { - "name": "sort-id", - "value": "ac-04.21" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)[01]", - "class": "sp800-53A" - } - ], - "prose": "information flows are separated logically using {{ insert: param, ac-04.21_odp.01 }} to accomplish {{ insert: param, ac-04.21_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)[02]", - "class": "sp800-53A" - } - ], - "prose": "information flows are separated physically using {{ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of required separation of information flows by information types\n\nlist of mechanisms and/or techniques used to logically or physically separate information flows\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.22", - "class": "SP800-53-enhancement", - "title": "Access Only", - "props": [ - { - "name": "label", - "value": "AC-04(22)" - }, - { - "name": "sort-id", - "value": "ac-04.22" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.22_smt", - "name": "statement", - "prose": "Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing information flow between the different security domains." - }, - { - "id": "ac-4.22_gdn", - "name": "guidance", - "prose": "The system provides a capability for users to access each connected security domain without providing any mechanisms to allow users to transfer data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(22)", - "class": "sp800-53A" - } - ], - "prose": "access is provided from a single device to computing platforms, applications, or data that reside in multiple different security domains while preventing information flow between the different security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.23", - "class": "SP800-53-enhancement", - "title": "Modify Non-releasable Information", - "params": [ - { - "id": "ac-04.23_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.23_prm_1" - }, - { - "name": "label", - "value": "AC-04(23)_ODP" - } - ], - "label": "modification action", - "guidelines": [ - { - "prose": "modification action implemented on non-releasable information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(23)" - }, - { - "name": "sort-id", - "value": "ac-04.23" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.23_smt", - "name": "statement", - "prose": "When transferring information between different security domains, modify non-releasable information by implementing {{ insert: param, ac-04.23_odp }}." - }, - { - "id": "ac-4.23_gdn", - "name": "guidance", - "prose": "Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(23)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, non-releasable information is modified by implementing {{ insert: param, ac-04.23_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.24", - "class": "SP800-53-enhancement", - "title": "Internal Normalized Format", - "props": [ - { - "name": "label", - "value": "AC-04(24)" - }, - { - "name": "sort-id", - "value": "ac-04.24" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.24_smt", - "name": "statement", - "prose": "When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification." - }, - { - "id": "ac-4.24_gdn", - "name": "guidance", - "prose": "Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, incoming data is parsed into an internal, normalized format;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the data is regenerated to be consistent with its intended specification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.25", - "class": "SP800-53-enhancement", - "title": "Data Sanitization", - "params": [ - { - "id": "ac-04.25_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.25_prm_1" - }, - { - "name": "label", - "value": "AC-04(25)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "delivery of malicious content, command and control of malicious code, malicious code augmentation, and steganography-encoded data", - "spillage of sensitive information" - ] - } - }, - { - "id": "ac-04.25_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.25_prm_2" - }, - { - "name": "label", - "value": "AC-04(25)_ODP[02]" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "policy for sanitizing data is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(25)" - }, - { - "name": "sort-id", - "value": "ac-04.25" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.25_smt", - "name": "statement", - "prose": "When transferring information between different security domains, sanitize data to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - }, - { - "id": "ac-4.25_gdn", - "name": "guidance", - "prose": "Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/solid state drives, mobile devices, CDs, and DVDs) or in hard copy form." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(25)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, data is sanitized to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.26", - "class": "SP800-53-enhancement", - "title": "Audit Filtering Actions", - "props": [ - { - "name": "label", - "value": "AC-04(26)" - }, - { - "name": "sort-id", - "value": "ac-04.26" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.26_smt", - "name": "statement", - "prose": "When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered." - }, - { - "id": "ac-4.26_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Content filtering actions and the results of filtering actions are recorded for individual messages to ensure that the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions by, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, content-filtering actions are recorded and audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, results for the information being filtered are recorded and audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering\n\nmechanisms recording and auditing content filtering" - } - ] - } - ] - }, - { - "id": "ac-4.27", - "class": "SP800-53-enhancement", - "title": "Redundant/independent Filtering Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-04(27)" - }, - { - "name": "sort-id", - "value": "ac-04.27" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.27_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type." - }, - { - "id": "ac-4.27_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as the implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors\u2019 JPEG libraries) and multiple, independent system processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(27)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, implemented content filtering solutions provide redundant and independent filtering mechanisms for each data type." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.28", - "class": "SP800-53-enhancement", - "title": "Linear Filter Pipelines", - "props": [ - { - "name": "label", - "value": "AC-04(28)" - }, - { - "name": "sort-id", - "value": "ac-04.28" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.28_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls." - }, - { - "id": "ac-4.28_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces bypass and non-invocation issues." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(28)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, a linear content filter pipeline is implemented that is enforced with discretionary and mandatory access controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing linear content filters" - } - ] - } - ] - }, - { - "id": "ac-4.29", - "class": "SP800-53-enhancement", - "title": "Filter Orchestration Engines", - "params": [ - { - "id": "ac-04.29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.29_prm_1" - }, - { - "name": "label", - "value": "AC-04(29)_ODP" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "policy for content-filtering actions is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(29)" - }, - { - "name": "sort-id", - "value": "ac-04.29" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.29_smt", - "name": "statement", - "prose": "When transferring information between different security domains, employ content filter orchestration engines to ensure that:", - "parts": [ - { - "id": "ac-4.29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Content filtering mechanisms successfully complete execution without errors; and" - }, - { - "id": "ac-4.29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Content filtering actions occur in the correct order and comply with {{ insert: param, ac-04.29_odp }}." - } - ] - }, - { - "id": "ac-4.29_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due to non-compliance with policy. Content filter reports are a commonly used mechanism to ensure that expected filtering actions are completed successfully." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(a)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering mechanisms successfully complete execution without errors;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions occur in the correct order;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions comply with {{ insert: param, ac-04.29_odp }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filter orchestration engines" - } - ] - } - ] - }, - { - "id": "ac-4.30", - "class": "SP800-53-enhancement", - "title": "Filter Mechanisms Using Multiple Processes", - "props": [ - { - "name": "label", - "value": "AC-04(30)" - }, - { - "name": "sort-id", - "value": "ac-04.30" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.30_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement content filtering mechanisms using multiple processes." - }, - { - "id": "ac-4.30_gdn", - "name": "guidance", - "prose": "The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(30)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content-filtering mechanisms using multiple processes are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(30)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(30)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(30)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering" - } - ] - } - ] - }, - { - "id": "ac-4.31", - "class": "SP800-53-enhancement", - "title": "Failed Content Transfer Prevention", - "props": [ - { - "name": "label", - "value": "AC-04(31)" - }, - { - "name": "sort-id", - "value": "ac-04.31" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.31_smt", - "name": "statement", - "prose": "When transferring information between different security domains, prevent the transfer of failed content to the receiving domain." - }, - { - "id": "ac-4.31_gdn", - "name": "guidance", - "prose": "Content that failed filtering checks can corrupt the system if transferred to the receiving domain." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(31)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the transfer of failed content to the receiving domain is prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(31)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(31)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(31)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.32", - "class": "SP800-53-enhancement", - "title": "Process Requirements for Information Transfer", - "props": [ - { - "name": "label", - "value": "AC-04(32)" - }, - { - "name": "sort-id", - "value": "ac-04.32" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.32_smt", - "name": "statement", - "prose": "When transferring information between different security domains, the process that transfers information between filter pipelines:", - "parts": [ - { - "id": "ac-4.32_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Does not filter message content;" - }, - { - "id": "ac-4.32_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Validates filtering metadata;" - }, - { - "id": "ac-4.32_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Ensures the content associated with the filtering metadata has successfully completed filtering; and" - }, - { - "id": "ac-4.32_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Transfers the content to the destination filter pipeline." - } - ] - }, - { - "id": "ac-4.32_gdn", - "name": "guidance", - "prose": "The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(a)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines does not filter message content;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(b)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines validates filtering metadata;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(c)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines ensures that the content with the filtering metadata has successfully completed filtering;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(d)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines transfers the content to the destination filter pipeline." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(32)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(32)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(32)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering" - } - ] - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "params": [ - { - "id": "ac-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-5_prm_1" - }, - { - "name": "label", - "value": "AC-05_ODP" - } - ], - "label": "duties of individuals", - "guidelines": [ - { - "prose": "duties of individuals requiring separation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-05" - }, - { - "name": "sort-id", - "value": "ac-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-12", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document {{ insert: param, ac-05_odp }} ; and" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define system access authorizations to support separation of duties." - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in [AC-2](#ac-2) , access control mechanisms in [AC-3](#ac-3) , and identity management activities in [IA-2](#ia-2), [IA-4](#ia-4) , and [IA-12](#ia-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-05_odp }} are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05b.", - "class": "sp800-53A" - } - ], - "prose": "system access authorizations to support separation of duties are defined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing divisions of responsibility and separation of duties\n\nsystem configuration settings and associated documentation\n\nlist of divisions of responsibility and separation of duties\n\nsystem access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing separation of duties policy" - } - ] - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "props": [ - { - "name": "label", - "value": "AC-06" - }, - { - "name": "sort-id", - "value": "ac-06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06", - "class": "sp800-53A" - } - ], - "prose": "the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of assigned access authorizations (user privileges)\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "params": [ - { - "id": "ac-6.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-06.01_odp.02" - }, - { - "name": "aggregates", - "value": "ac-06.01_odp.03" - }, - { - "name": "aggregates", - "value": "ac-06.01_odp.04" - } - ], - "label": "organization-defined security functions (deployed in hardware, software, and firmware)" - }, - { - "id": "ac-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.1_prm_1" - }, - { - "name": "label", - "value": "AC-06(01)_ODP[01]" - } - ], - "label": "individuals and roles", - "guidelines": [ - { - "prose": "individuals and roles with authorized access to security functions and security-relevant information are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[02]" - } - ], - "label": "security functions (deployed in hardware)", - "guidelines": [ - { - "prose": "security functions (deployed in hardware) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[03]" - } - ], - "label": "security functions (deployed in software)", - "guidelines": [ - { - "prose": "security functions (deployed in software) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[04]" - } - ], - "label": "security functions (deployed in firmware)", - "guidelines": [ - { - "prose": "security functions (deployed in firmware) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.1_prm_3" - }, - { - "name": "label", - "value": "AC-06(01)_ODP[05]" - } - ], - "label": "security-relevant functions", - "guidelines": [ - { - "prose": "security-relevant information for authorized access is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(01)" - }, - { - "name": "sort-id", - "value": "ac-06.01" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "Authorize access for {{ insert: param, ac-06.01_odp.01 }} to:", - "parts": [ - { - "id": "ac-6.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_2 }} ; and" - }, - { - "id": "ac-6.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-06.01_odp.05 }}." - } - ] - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "params": [ - { - "id": "ac-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.2_prm_1" - }, - { - "name": "label", - "value": "AC-06(02)_ODP" - } - ], - "label": "security functions or security-relevant information", - "guidelines": [ - { - "prose": "security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(02)" - }, - { - "name": "sort-id", - "value": "ac-06.02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "Require that users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} use non-privileged accounts or roles, when accessing nonsecurity functions." - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(02)", - "class": "sp800-53A" - } - ], - "prose": "users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} are required to use non-privileged accounts or roles when accessing non-security functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated security functions or security-relevant information assigned to system accounts or roles\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.3", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Commands", - "params": [ - { - "id": "ac-06.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.3_prm_1" - }, - { - "name": "label", - "value": "AC-06(03)_ODP[01]" - } - ], - "label": "privileged commands", - "guidelines": [ - { - "prose": "privileged commands to which network access is to be authorized only for compelling operational needs are defined;" - } - ] - }, - { - "id": "ac-06.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.3_prm_2" - }, - { - "name": "label", - "value": "AC-06(03)_ODP[02]" - } - ], - "label": "compelling operational needs", - "guidelines": [ - { - "prose": "compelling operational needs necessitating network access to privileged commands are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(03)" - }, - { - "name": "sort-id", - "value": "ac-06.03" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.3_smt", - "name": "statement", - "prose": "Authorize network access to {{ insert: param, ac-06.03_odp.01 }} only for {{ insert: param, ac-06.03_odp.02 }} and document the rationale for such access in the security plan for the system." - }, - { - "id": "ac-6.3_gdn", - "name": "guidance", - "prose": "Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "network access to {{ insert: param, ac-06.03_odp.01 }} is authorized only for {{ insert: param, ac-06.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the rationale for authorizing network access to privileged commands is documented in the security plan for the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of operational needs for authorizing network access to privileged commands\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.4", - "class": "SP800-53-enhancement", - "title": "Separate Processing Domains", - "props": [ - { - "name": "label", - "value": "AC-06(04)" - }, - { - "name": "sort-id", - "value": "ac-06.04" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.4_smt", - "name": "statement", - "prose": "Provide separate processing domains to enable finer-grained allocation of user privileges." - }, - { - "id": "ac-6.4_gdn", - "name": "guidance", - "prose": "Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine, implementing separate physical domains, and employing hardware or software domain separation mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(04)", - "class": "sp800-53A" - } - ], - "prose": "separate processing domains are provided to enable finer-grain allocation of user privileges." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "params": [ - { - "id": "ac-06.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.5_prm_1" - }, - { - "name": "label", - "value": "AC-06(05)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to which privileged accounts on the system are to be restricted is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(05)" - }, - { - "name": "sort-id", - "value": "ac-06.05" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "Restrict privileged accounts on the system to {{ insert: param, ac-06.05_odp }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(05)", - "class": "sp800-53A" - } - ], - "prose": "privileged accounts on the system are restricted to {{ insert: param, ac-06.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of system administration personnel\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.6", - "class": "SP800-53-enhancement", - "title": "Privileged Access by Non-organizational Users", - "props": [ - { - "name": "label", - "value": "AC-06(06)" - }, - { - "name": "sort-id", - "value": "ac-06.06" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.6_smt", - "name": "statement", - "prose": "Prohibit privileged access to the system by non-organizational users." - }, - { - "id": "ac-6.6_gdn", - "name": "guidance", - "prose": "An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policies and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(06)", - "class": "sp800-53A" - } - ], - "prose": "privileged access to the system by non-organizational users is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of non-organizational users\n\nsystem configuration settings and associated documentation\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting privileged access to the system" - } - ] - } - ] - }, - { - "id": "ac-6.7", - "class": "SP800-53-enhancement", - "title": "Review of User Privileges", - "params": [ - { - "id": "ac-06.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.7_prm_1" - }, - { - "name": "label", - "value": "AC-06(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the privileges assigned to roles or classes of users is defined;" - } - ] - }, - { - "id": "ac-06.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.7_prm_2" - }, - { - "name": "label", - "value": "AC-06(07)_ODP[02]" - } - ], - "label": "roles and classes", - "guidelines": [ - { - "prose": "roles or classes of users to which privileges are assigned are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(07)" - }, - { - "name": "sort-id", - "value": "ac-06.07" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-6.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review {{ insert: param, ac-06.07_odp.01 }} the privileges assigned to {{ insert: param, ac-06.07_odp.02 }} to validate the need for such privileges; and" - }, - { - "id": "ac-6.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "id": "ac-6.7_gdn", - "name": "guidance", - "prose": "The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "privileges assigned to {{ insert: param, ac-06.07_odp.02 }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to validate the need for such privileges;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated roles or classes of users and assigned privileges\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation reviews of privileges assigned to roles or classes or users\n\nrecords of privilege removals or reassignments for roles or classes of users\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing review of user privileges" - } - ] - } - ] - }, - { - "id": "ac-6.8", - "class": "SP800-53-enhancement", - "title": "Privilege Levels for Code Execution", - "params": [ - { - "id": "ac-06.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.8_prm_1" - }, - { - "name": "label", - "value": "AC-06(08)_ODP" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be prevented from executing at higher privilege levels than users executing the software is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(08)" - }, - { - "name": "sort-id", - "value": "ac-06.08" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-6.8_smt", - "name": "statement", - "prose": "Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-06.08_odp }}." - }, - { - "id": "ac-6.8_gdn", - "name": "guidance", - "prose": "In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-06.08_odp }} is prevented from executing at higher privilege levels than users executing the software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of software that should not execute at higher privilege levels than users executing software\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for software execution" - } - ] - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Log Use of Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-06(09)" - }, - { - "name": "sort-id", - "value": "ac-06.09" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "Log the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(09)", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged functions is logged." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged functions to be audited\n\nlist of audited events\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms auditing the execution of least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-06(10)" - }, - { - "name": "sort-id", - "value": "ac-06.10" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "Prevent non-privileged users from executing privileged functions." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by [AC-3](#ac-3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(10)", - "class": "sp800-53A" - } - ], - "prose": "non-privileged users are prevented from executing privileged functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged functions and associated user account assignments\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for non-privileged users" - } - ] - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "params": [ - { - "id": "ac-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_1" - }, - { - "name": "label", - "value": "AC-07_ODP[01]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive invalid logon attempts by a user allowed during a time period is defined;" - } - ] - }, - { - "id": "ac-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_2" - }, - { - "name": "label", - "value": "AC-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to which the number of consecutive invalid logon attempts by a user is limited is defined;" - } - ] - }, - { - "id": "ac-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_3" - }, - { - "name": "label", - "value": "AC-07_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "lock the account or node for an{{ insert: param, ac-07_odp.04 }} ", - "lock the account or node until released by an administrator", - "delay next logon prompt per{{ insert: param, ac-07_odp.05 }} ", - "notify system administrator", - "take other{{ insert: param, ac-07_odp.06 }} " - ] - } - }, - { - "id": "ac-07_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_4" - }, - { - "name": "label", - "value": "AC-07_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for an account or node to be locked is defined (if selected);" - } - ] - }, - { - "id": "ac-07_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_5" - }, - { - "name": "label", - "value": "AC-07_ODP[05]" - } - ], - "label": "delay algorithm", - "guidelines": [ - { - "prose": "delay algorithm for the next logon prompt is defined (if selected);" - } - ] - }, - { - "id": "ac-07_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_6" - }, - { - "name": "label", - "value": "AC-07_ODP[06]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "other action to be taken when the maximum number of unsuccessful attempts is exceeded is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07" - }, - { - "name": "sort-id", - "value": "ac-07" - } - ], - "links": [ - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-07_odp.02 }} ; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07a.", - "class": "sp800-53A" - } - ], - "prose": "a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-07_odp.02 }} is enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07b.", - "class": "sp800-53A" - } - ], - "prose": "automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ], - "controls": [ - { - "id": "ac-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Account Lock", - "props": [ - { - "name": "label", - "value": "AC-07(01)" - }, - { - "name": "sort-id", - "value": "ac-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-7.2", - "class": "SP800-53-enhancement", - "title": "Purge or Wipe Mobile Device", - "params": [ - { - "id": "ac-07.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_1" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[01]" - } - ], - "label": "mobile devices", - "guidelines": [ - { - "prose": "mobile devices to be purged or wiped of information are defined;" - } - ] - }, - { - "id": "ac-07.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_2" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[02]" - } - ], - "label": "purging or wiping requirements or techniques", - "guidelines": [ - { - "prose": "purging or wiping requirements and techniques to be used when mobile devices are purged or wiped of information are defined;" - } - ] - }, - { - "id": "ac-07.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_3" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[03]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive, unsuccessful logon attempts before the information is purged or wiped from mobile devices is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(02)" - }, - { - "name": "sort-id", - "value": "ac-07.02" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.2_smt", - "name": "statement", - "prose": "Purge or wipe information from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts." - }, - { - "id": "ac-7.2_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(02)", - "class": "sp800-53A" - } - ], - "prose": "information is purged or wiped from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts on mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts\n\nlist of purging/wiping requirements or techniques for mobile devices\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful device logon attempts" - } - ] - } - ] - }, - { - "id": "ac-7.3", - "class": "SP800-53-enhancement", - "title": "Biometric Attempt Limiting", - "params": [ - { - "id": "ac-07.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.3_prm_1" - }, - { - "name": "label", - "value": "AC-07(03)_ODP" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of unsuccessful biometric logon attempts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(03)" - }, - { - "name": "sort-id", - "value": "ac-07.03" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.3_smt", - "name": "statement", - "prose": "Limit the number of unsuccessful biometric logon attempts to {{ insert: param, ac-07.03_odp }}." - }, - { - "id": "ac-7.3_gdn", - "name": "guidance", - "prose": "Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts for users based on organizationally-defined factors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(03)", - "class": "sp800-53A" - } - ], - "prose": "unsuccessful biometric logon attempts are limited to {{ insert: param, ac-07.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts on biometric devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ] - }, - { - "id": "ac-7.4", - "class": "SP800-53-enhancement", - "title": "Use of Alternate Authentication Factor", - "params": [ - { - "id": "ac-07.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_1" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[01]" - } - ], - "label": "authentication factors", - "guidelines": [ - { - "prose": "authentication factors allowed to be used that are different from the primary authentication factors are defined;" - } - ] - }, - { - "id": "ac-07.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_2" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[02]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive, invalid logon attempts through the use of alternative factors for which to enforce a limit by a user is defined;" - } - ] - }, - { - "id": "ac-07.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_3" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period during which a user can attempt logons through alternative factors is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(04)" - }, - { - "name": "sort-id", - "value": "ac-07.04" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allow the use of {{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and" - }, - { - "id": "ac-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through use of the alternative factors by a user during a {{ insert: param, ac-07.04_odp.03 }}." - } - ] - }, - { - "id": "ac-7.4_gdn", - "name": "guidance", - "prose": "The use of alternate authentication factors supports the objective of availability and allows a user who has inadvertently been locked out to use additional authentication factors to bypass the lockout." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors are allowed to be used after the number of organization-defined consecutive invalid logon attempts have been exceeded;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through the use of the alternative factors by the user during a {{ insert: param, ac-07.04_odp.03 }} is enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts for primary and alternate authentication factors\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "params": [ - { - "id": "ac-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-8_prm_1" - }, - { - "name": "label", - "value": "AC-08_ODP[01]" - } - ], - "label": "system use notification", - "guidelines": [ - { - "prose": "system use notification message or banner to be displayed by the system to users before granting access to the system is defined;" - } - ] - }, - { - "id": "ac-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-8_prm_2" - }, - { - "name": "label", - "value": "AC-08_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions for system use to be displayed by the system before granting further access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-08" - }, - { - "name": "sort-id", - "value": "ac-08" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Display {{ insert: param, ac-08_odp.01 }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Users are accessing a U.S. Government system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "System usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Display system use information {{ insert: param, ac-08_odp.02 }} , before granting further access to the publicly accessible system;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Include a description of the authorized uses of the system." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.01", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that users are accessing a U.S. Government system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.02", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that system usage may be monitored, recorded, and subject to audit;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.03", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.04", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08b.", - "class": "sp800-53A" - } - ], - "prose": "the notification message or banner is retained on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.01", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, system use information {{ insert: param, ac-08_odp.02 }} is displayed before granting further access to the publicly accessible system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.02", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, any references to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities are displayed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.03", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, a description of the authorized uses of the system is included." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of system use notification messages or banners\n\nsystem audit records\n\nuser acknowledgements of notification message or banner\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem use notification messages\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy assessment report\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - } - ] - }, - { - "id": "ac-9", - "class": "SP800-53", - "title": "Previous Logon Notification", - "props": [ - { - "name": "label", - "value": "AC-09" - }, - { - "name": "sort-id", - "value": "ac-09" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-9_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon to the system, of the date and time of the last logon." - }, - { - "id": "ac-9_gdn", - "name": "guidance", - "prose": "Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user\u2019s last access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon to the system, of the date and time of the last logon." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem notification messages\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ], - "controls": [ - { - "id": "ac-9.1", - "class": "SP800-53-enhancement", - "title": "Unsuccessful Logons", - "props": [ - { - "name": "label", - "value": "AC-09(01)" - }, - { - "name": "sort-id", - "value": "ac-09.01" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.1_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "id": "ac-9.1_gdn", - "name": "guidance", - "prose": "Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user\u2019s actual logon attempts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(01)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.2", - "class": "SP800-53-enhancement", - "title": "Successful and Unsuccessful Logons", - "params": [ - { - "id": "ac-09.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.2_prm_1" - }, - { - "name": "label", - "value": "AC-09(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "successful logons", - "unsuccessful logon attempts", - "both" - ] - } - }, - { - "id": "ac-09.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.2_prm_2" - }, - { - "name": "label", - "value": "AC-09(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for which the system notifies the user of the number of successful logons, unsuccessful logon attempts, or both is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(02)" - }, - { - "name": "sort-id", - "value": "ac-09.02" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.2_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}." - }, - { - "id": "ac-9.2_gdn", - "name": "guidance", - "prose": "Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts are consistent with the user\u2019s actual logon attempts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(02)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.3", - "class": "SP800-53-enhancement", - "title": "Notification of Account Changes", - "params": [ - { - "id": "ac-09.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.3_prm_1" - }, - { - "name": "label", - "value": "AC-09(03)_ODP[01]" - } - ], - "label": "security-related characteristics or parameters", - "guidelines": [ - { - "prose": "changes to security-related characteristics or parameters of the user\u2019s account that require notification are defined;" - } - ] - }, - { - "id": "ac-09.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.3_prm_2" - }, - { - "name": "label", - "value": "AC-09(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for which the system notifies the user of changes to security-related characteristics or parameters of the user\u2019s account is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(03)" - }, - { - "name": "sort-id", - "value": "ac-09.03" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.3_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}." - }, - { - "id": "ac-9.3_gdn", - "name": "guidance", - "prose": "Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(03)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.4", - "class": "SP800-53-enhancement", - "title": "Additional Logon Information", - "params": [ - { - "id": "ac-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.4_prm_1" - }, - { - "name": "label", - "value": "AC-09(04)_ODP" - } - ], - "label": "additional information", - "guidelines": [ - { - "prose": "additional information about which to notify the user is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(04)" - }, - { - "name": "sort-id", - "value": "ac-09.04" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.4_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the following additional information: {{ insert: param, ac-09.04_odp }}." - }, - { - "id": "ac-9.4_gdn", - "name": "guidance", - "prose": "Organizations can specify additional information to be provided to users upon logon, including the location of the last logon. User location is defined as information that can be determined by systems, such as Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(04)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of {{ insert: param, ac-09.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "params": [ - { - "id": "ac-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-10_prm_1" - }, - { - "name": "label", - "value": "AC-10_ODP[01]" - } - ], - "label": "account and/or account types", - "guidelines": [ - { - "prose": "accounts and/or account types for which to limit the number of concurrent sessions is defined;" - } - ] - }, - { - "id": "ac-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-10_prm_2" - }, - { - "name": "label", - "value": "AC-10_ODP[02]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of concurrent sessions to be allowed for each account and/or account type is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "ac-10" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "Limit the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} to {{ insert: param, ac-10_odp.02 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-10", - "class": "sp800-53A" - } - ], - "prose": "the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} is limited to {{ insert: param, ac-10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing concurrent session control\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for concurrent session control" - } - ] - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Device Lock", - "params": [ - { - "id": "ac-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-11_prm_1" - }, - { - "name": "label", - "value": "AC-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "initiating a device lock after{{ insert: param, ac-11_odp.02 }}of inactivity", - "requiring the user to initiate a device lock before leaving the system unattended" - ] - } - }, - { - "id": "ac-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-11_prm_2" - }, - { - "name": "label", - "value": "AC-11_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period of inactivity after which a device lock is initiated is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "ac-11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevent further access to the system by {{ insert: param, ac-11_odp.01 }} ; and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the device lock until the user reestablishes access using established identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11a.", - "class": "sp800-53A" - } - ], - "prose": "further access to the system is prevented by {{ insert: param, ac-11_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11b.", - "class": "sp800-53A" - } - ], - "prose": "device lock is retained until the user re-establishes access using established identification and authentication procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session lock\n\nprocedures addressing identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for session lock" - } - ] - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "props": [ - { - "name": "label", - "value": "AC-11(01)" - }, - { - "name": "sort-id", - "value": "ac-11.01" - } - ], - "links": [ - { - "href": "#ac-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "**Conceal, via the device lock, information previously visible on the display with a publicly viewable image**." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11(01)", - "class": "sp800-53A" - } - ], - "prose": "information previously visible on the display is concealed, via device lock, with a publicly viewable image." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session lock\n\ndisplay screen with session lock activated\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session lock mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "params": [ - { - "id": "ac-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12_prm_1" - }, - { - "name": "label", - "value": "AC-12_ODP" - } - ], - "label": "conditions or trigger events", - "guidelines": [ - { - "prose": "conditions or trigger events requiring session disconnect are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "ac-12" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "Automatically terminate a user session after {{ insert: param, ac-12_odp }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "Session termination addresses the termination of user-initiated logical sessions (in contrast to [SC-10](#sc-10) , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user\u2019s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12", - "class": "sp800-53A" - } - ], - "prose": "a user session is automatically terminated after {{ insert: param, ac-12_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of conditions or trigger events requiring session disconnect\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session termination" - } - ] - } - ], - "controls": [ - { - "id": "ac-12.1", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts", - "params": [ - { - "id": "ac-12.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12.1_prm_1" - }, - { - "name": "label", - "value": "AC-12(01)_ODP" - } - ], - "label": "information resources", - "guidelines": [ - { - "prose": "information resources for which a logout capability for user-initiated communications sessions is required are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(01)" - }, - { - "name": "sort-id", - "value": "ac-12.01" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.1_smt", - "name": "statement", - "prose": "Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}." - }, - { - "id": "ac-12.1_gdn", - "name": "guidance", - "prose": "Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(01)", - "class": "sp800-53A" - } - ], - "prose": "a logout capability is provided for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nuser logout messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\nlogout capabilities for user-initiated communications sessions" - } - ] - } - ] - }, - { - "id": "ac-12.2", - "class": "SP800-53-enhancement", - "title": "Termination Message", - "props": [ - { - "name": "label", - "value": "AC-12(02)" - }, - { - "name": "sort-id", - "value": "ac-12.02" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.2_smt", - "name": "statement", - "prose": "Display an explicit logout message to users indicating the termination of authenticated communications sessions." - }, - { - "id": "ac-12.2_gdn", - "name": "guidance", - "prose": "Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(02)", - "class": "sp800-53A" - } - ], - "prose": "an explicit logout message is displayed to users indicating the termination of authenticated communication sessions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nuser logout messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\ndisplay of logout messages" - } - ] - } - ] - }, - { - "id": "ac-12.3", - "class": "SP800-53-enhancement", - "title": "Timeout Warning Message", - "params": [ - { - "id": "ac-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12.3_prm_1" - }, - { - "name": "label", - "value": "AC-12(03)_ODP" - } - ], - "label": "time", - "guidelines": [ - { - "prose": "time until the end of session for display to users is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(03)" - }, - { - "name": "sort-id", - "value": "ac-12.03" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.3_smt", - "name": "statement", - "prose": "Display an explicit message to users indicating that the session will end in {{ insert: param, ac-12.03_odp }}." - }, - { - "id": "ac-12.3_gdn", - "name": "guidance", - "prose": "To increase usability, notify users of pending session termination and prompt users to continue the session. The pending session termination time period is based on the parameters defined in the [AC-12](#ac-12) base control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(03)", - "class": "sp800-53A" - } - ], - "prose": "an explicit message to users is displayed indicating that the session will end in {{ insert: param, ac-12.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\ntime until end of session messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\ndisplay of end of session time" - } - ] - } - ] - } - ] - }, - { - "id": "ac-13", - "class": "SP800-53", - "title": "Supervision and Review \u2014 Access Control", - "props": [ - { - "name": "label", - "value": "AC-13" - }, - { - "name": "sort-id", - "value": "ac-13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "params": [ - { - "id": "ac-14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-14_prm_1" - }, - { - "name": "label", - "value": "AC-14_ODP" - } - ], - "label": "user actions", - "guidelines": [ - { - "prose": "user actions that can be performed on the system without identification or authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - } - ], - "links": [ - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify {{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be \"none.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "user actions not requiring identification or authentication are documented in the security plan for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a rationale for user actions not requiring identification or authentication is provided in the security plan for the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing permitted actions without identification or authentication\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or authentication\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ac-14.1", - "class": "SP800-53-enhancement", - "title": "Necessary Uses", - "props": [ - { - "name": "label", - "value": "AC-14(01)" - }, - { - "name": "sort-id", - "value": "ac-14.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ac-15", - "class": "SP800-53", - "title": "Automated Marking", - "props": [ - { - "name": "label", - "value": "AC-15" - }, - { - "name": "sort-id", - "value": "ac-15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-16", - "class": "SP800-53", - "title": "Security and Privacy Attributes", - "params": [ - { - "id": "ac-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16_odp.02" - } - ], - "label": "organization-defined types of security and privacy attributes" - }, - { - "id": "ac-16_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16_odp.04" - } - ], - "label": "organization-defined security and privacy attribute values" - }, - { - "id": "ac-16_prm_3", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16_odp.06" - } - ], - "label": "organization-defined systems" - }, - { - "id": "ac-16_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16_odp.08" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_6", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16_odp.08" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_7", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.10" - }, - { - "name": "aggregates", - "value": "ac-16_odp.11" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "ac-16_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[01]" - } - ], - "label": "types of security attributes", - "guidelines": [ - { - "prose": "types of security attributes to be associated with information security attribute values for information in storage, in process, and/or in transmission are defined;" - } - ] - }, - { - "id": "ac-16_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[02]" - } - ], - "label": "types of privacy attributes", - "guidelines": [ - { - "prose": "types of privacy attributes to be associated with privacy attribute values for information in storage, in process, and/or in transmission are defined;" - } - ] - }, - { - "id": "ac-16_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[03]" - } - ], - "label": "security attribute values", - "guidelines": [ - { - "prose": "security attribute values for types of security attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[04]" - } - ], - "label": "privacy attribute values", - "guidelines": [ - { - "prose": "privacy attribute values for types of privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[05]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which permitted security attributes are to be established are defined;" - } - ] - }, - { - "id": "ac-16_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[06]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which permitted privacy attributes are to be established are defined;" - } - ] - }, - { - "id": "ac-16_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[07]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes defined as part of AC-16a that are permitted for systems are defined;" - } - ] - }, - { - "id": "ac-16_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[08]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes defined as part of AC-16a that are permitted for systems are defined;" - } - ] - }, - { - "id": "ac-16_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16_prm_5" - }, - { - "name": "label", - "value": "AC-16_ODP[09]" - } - ], - "label": "attribute values or ranges", - "guidelines": [ - { - "prose": "attribute values or ranges for established attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.10", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review security attributes for applicability is defined;" - } - ] - }, - { - "id": "ac-16_odp.11", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[11]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review privacy attributes for applicability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16" - }, - { - "name": "sort-id", - "value": "ac-16" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16_smt", - "name": "statement", - "parts": [ - { - "id": "ac-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the means to associate {{ insert: param, ac-16_prm_1 }} with {{ insert: param, ac-16_prm_2 }} for information in storage, in process, and/or in transmission;" - }, - { - "id": "ac-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the attribute associations are made and retained with the information;" - }, - { - "id": "ac-16_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish the following permitted security and privacy attributes from the attributes defined in [AC-16a](#ac-16_smt.a) for {{ insert: param, ac-16_prm_3 }}: {{ insert: param, ac-16_prm_4 }};" - }, - { - "id": "ac-16_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determine the following permitted attribute values or ranges for each of the established attributes: {{ insert: param, ac-16_odp.09 }};" - }, - { - "id": "ac-16_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Audit changes to attributes; and" - }, - { - "id": "ac-16_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Review {{ insert: param, ac-16_prm_6 }} for applicability {{ insert: param, ac-16_prm_7 }}." - } - ] - }, - { - "id": "ac-16_gdn", - "name": "guidance", - "prose": "Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures, such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions that represent the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components.\n\nAttributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, cause information to flow among objects, or change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play important parts in the trust that organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information.\n\nOrganizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements (e.g., top secret, secret, confidential, controlled unclassified), information impact level; high value asset information, access authorizations, nationality; data life cycle protection (i.e., encryption and data expiration), personally identifiable information processing permissions, including individual consent to personally identifiable information processing, and contractor affiliation. A related term to labeling is marking. Marking refers to the association of attributes with objects in a human-readable form and displayed on system media. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Security and privacy labels may have the same value as media markings (e.g., top secret, secret, confidential). See [MP-3](#mp-3) (Media Marking)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the means to associate {{ insert: param, ac-16_odp.01 }} with {{ insert: param, ac-16_odp.03 }} for information in storage, in process, and/or in transmission are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the means to associate {{ insert: param, ac-16_odp.02 }} with {{ insert: param, ac-16_odp.04 }} for information in storage, in process, and/or in transmission are provided;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.[01]", - "class": "sp800-53A" - } - ], - "prose": "attribute associations are made;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.[02]", - "class": "sp800-53A" - } - ], - "prose": "attribute associations are retained with the information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the following permitted security attributes are established from the attributes defined in AC-16a. for {{ insert: param, ac-16_odp.05 }}: {{ insert: param, ac-16_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the following permitted privacy attributes are established from the attributes defined in AC-16a. for {{ insert: param, ac-16_odp.06 }}: {{ insert: param, ac-16_odp.08 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16d.", - "class": "sp800-53A" - } - ], - "prose": "the following permitted attribute values or ranges for each of the established attributes are determined: {{ insert: param, ac-16_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16e.", - "class": "sp800-53A" - } - ], - "prose": "changes to attributes are audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16_odp.07 }} are reviewed for applicability {{ insert: param, ac-16_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16_odp.08 }} are reviewed for applicability {{ insert: param, ac-16_odp.11 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information in storage, in process, and in transmission\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational capability supporting and maintaining the association of security and privacy attributes to information in storage, in process, and in transmission" - } - ] - } - ], - "controls": [ - { - "id": "ac-16.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Attribute Association", - "params": [ - { - "id": "ac-16.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.01_odp.01" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.01_odp.05" - } - ], - "label": "organization-defined security and privacy policies" - }, - { - "id": "ac-16.01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[01]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects with which security attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[02]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects with which security attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects with which privacy attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[04]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects with which privacy attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[05]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies requiring dynamic association of security attributes with subjects and objects are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[06]" - } - ], - "label": "privacy policies", - "guidelines": [ - { - "prose": "privacy policies requiring dynamic association of privacy attributes with subjects and objects are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(01)" - }, - { - "name": "sort-id", - "value": "ac-16.01" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.1_smt", - "name": "statement", - "prose": "Dynamically associate security and privacy attributes with {{ insert: param, ac-16.1_prm_1 }} in accordance with the following security and privacy policies as information is created and combined: {{ insert: param, ac-16.1_prm_2 }}." - }, - { - "id": "ac-16.1_gdn", - "name": "guidance", - "prose": "Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, or changes in security or privacy policies. Attributes may also change situationally." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.01 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.02 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.03 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.04 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing dynamic association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing dynamic association of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.2", - "class": "SP800-53-enhancement", - "title": "Attribute Value Changes by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(02)" - }, - { - "name": "sort-id", - "value": "ac-16.02" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.2_smt", - "name": "statement", - "prose": "Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes." - }, - { - "id": "ac-16.2_gdn", - "name": "guidance", - "prose": "The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated security attributes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated privacy attributes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the change of security and privacy attribute values\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of individuals authorized to change security and privacy attributes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for changing values of security and privacy attributes\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms permitting changes to values of security and privacy attributes" - } - ] - } - ] - }, - { - "id": "ac-16.3", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Associations by System", - "params": [ - { - "id": "ac-16.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.03_odp.01" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.3_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.03_odp.03" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.03_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes that require association and integrity maintenance are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes that require association and integrity maintenance are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association and integrity of security attributes to such subjects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[04]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association and integrity of security attributes to such objects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association and integrity of privacy attributes to such subjects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association and integrity of privacy attributes to such objects to be maintained are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(03)" - }, - { - "name": "sort-id", - "value": "ac-16.03" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.3_smt", - "name": "statement", - "prose": "Maintain the association and integrity of {{ insert: param, ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - }, - { - "id": "ac-16.3_gdn", - "name": "guidance", - "prose": "Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from \"known good\" baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.03 }} is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.04 }} is maintained." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.05 }} is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.06 }} is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information\n\nprocedures addressing labeling or marking\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms maintaining association and integrity of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.4", - "class": "SP800-53-enhancement", - "title": "Association of Attributes by Authorized Individuals", - "params": [ - { - "id": "ac-16.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.04_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.02" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.04" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.04_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.06" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.08" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[02]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[03]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[04]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[07]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[08]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(04)" - }, - { - "name": "sort-id", - "value": "ac-16.04" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.4_smt", - "name": "statement", - "prose": "Provide the capability to associate {{ insert: param, ac-16.4_prm_1 }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals (or processes acting on behalf of individuals)." - }, - { - "id": "ac-16.4_gdn", - "name": "guidance", - "prose": "Systems, in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects, employing automated mechanisms to categorize information with attributes based on defined policies, or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.01 }} with {{ insert: param, ac-16.04_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.02 }} with {{ insert: param, ac-16.04_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.03 }} with {{ insert: param, ac-16.04_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[04]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.04 }} with {{ insert: param, ac-16.04_odp.08 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of users authorized to associate security and privacy attributes to information\n\nsystem prompts for privileged users to select security and privacy attributes to be associated with information objects\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting user associations of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.5", - "class": "SP800-53-enhancement", - "title": "Attribute Displays on Objects to Be Output", - "params": [ - { - "id": "ac-16.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16.5_prm_1" - }, - { - "name": "label", - "value": "AC-16(05)_ODP[01]" - } - ], - "label": "special dissemination, handling, or distribution instructions", - "guidelines": [ - { - "prose": "special dissemination, handling, or distribution instructions to be used for each object that the system transmits to output devices are defined;" - } - ] - }, - { - "id": "ac-16.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16.5_prm_2" - }, - { - "name": "label", - "value": "AC-16(05)_ODP[02]" - } - ], - "label": "human-readable, standard naming conventions", - "guidelines": [ - { - "prose": "human-readable, standard naming conventions for the security and privacy attributes to be displayed in human-readable form on each object that the system transmits to output devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(05)" - }, - { - "name": "sort-id", - "value": "ac-16.05" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.5_smt", - "name": "statement", - "prose": "Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}." - }, - { - "id": "ac-16.5_gdn", - "name": "guidance", - "prose": "System outputs include printed pages, screens, or equivalent items. System output devices include printers, notebook computers, video displays, smart phones, and tablets. To mitigate the risk of unauthorized exposure of information (e.g., shoulder surfing), the outputs display full attribute values when unmasked by the subscriber." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing display of security and privacy attributes in human-readable form\n\nspecial dissemination, handling, or distribution instructions\n\ntypes of human-readable, standard naming conventions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System output devices displaying security and privacy attributes in human-readable form on each object" - } - ] - } - ] - }, - { - "id": "ac-16.6", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Association", - "params": [ - { - "id": "ac-16.6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.02" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.04" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.6_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.06" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.08" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.6_prm_3", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.09" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.10" - } - ], - "label": "organization-defined security and privacy policies" - }, - { - "id": "ac-16.06_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with subjects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[02]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with objects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[03]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with subjects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[04]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with objects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[07]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[08]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.09", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[09]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;" - } - ] - }, - { - "id": "ac-16.06_odp.10", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[10]" - } - ], - "label": "privacy policies", - "guidelines": [ - { - "prose": "privacy policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(06)" - }, - { - "name": "sort-id", - "value": "ac-16.06" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.6_smt", - "name": "statement", - "prose": "Require personnel to associate and maintain the association of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param, ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3 }}." - }, - { - "id": "ac-16.6_gdn", - "name": "guidance", - "prose": "Maintaining attribute association requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.01 }} with {{ insert: param, ac-16.06_odp.05 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.02 }} with {{ insert: param, ac-16.06_odp.06 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[03]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.03 }} with {{ insert: param, ac-16.06_odp.07 }} in accordance with {{ insert: param, ac-16.06_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[04]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.04 }} with {{ insert: param, ac-16.06_odp.08 }} in accordance with {{ insert: param, ac-16.06_odp.10 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing association of security and privacy attributes with subjects and objects\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating and maintaining association of security and privacy attributes with subjects and objects\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting associations of security and privacy attributes to subjects and objects" - } - ] - } - ] - }, - { - "id": "ac-16.7", - "class": "SP800-53-enhancement", - "title": "Consistent Attribute Interpretation", - "props": [ - { - "name": "label", - "value": "AC-16(07)" - }, - { - "name": "sort-id", - "value": "ac-16.07" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.7_smt", - "name": "statement", - "prose": "Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components." - }, - { - "id": "ac-16.7_gdn", - "name": "guidance", - "prose": "To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "a consistent interpretation of security attributes transmitted between distributed system components is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "a consistent interpretation of privacy attributes transmitted between distributed system components is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policies and procedures\n\nprocedures addressing consistent interpretation of security and privacy attributes transmitted between distributed system components\n\nprocedures addressing access enforcement\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy access control policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for providing consistent interpretation of security and privacy attributes used in access enforcement and information flow enforcement actions\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement and information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-16.8", - "class": "SP800-53-enhancement", - "title": "Association Techniques and Technologies", - "params": [ - { - "id": "ac-16.8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.08_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.08_odp.02" - } - ], - "label": "organization-defined techniques and technologies" - }, - { - "id": "ac-16.08_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(08)_ODP[01]" - } - ], - "label": "techniques and technologies", - "guidelines": [ - { - "prose": "techniques and technologies to be implemented in associating security attributes to information are defined;" - } - ] - }, - { - "id": "ac-16.08_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(08)_ODP[02]" - } - ], - "label": "techniques and technologies", - "guidelines": [ - { - "prose": "techniques and technologies to be implemented in associating privacy attributes to information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(08)" - }, - { - "name": "sort-id", - "value": "ac-16.08" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-16.8_prm_1 }} in associating security and privacy attributes to information." - }, - { - "id": "ac-16.8_gdn", - "name": "guidance", - "prose": "The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques that provide different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures that support cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16.08_odp.01 }} are implemented in associating security attributes to information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16.08_odp.02 }} are implemented in associating privacy attributes to information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing techniques or technologies associating security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.9", - "class": "SP800-53-enhancement", - "title": "Attribute Reassignment \u2014 Regrading Mechanisms", - "params": [ - { - "id": "ac-16.9_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.09_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.09_odp.02" - } - ], - "label": "organization-defined techniques or procedures" - }, - { - "id": "ac-16.09_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(09)_ODP[01]" - } - ], - "label": "techniques and procedures", - "guidelines": [ - { - "prose": "techniques or procedures used to validate regrading mechanisms for security attributes are defined;" - } - ] - }, - { - "id": "ac-16.09_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(09)_ODP[02]" - } - ], - "label": "techniques and procedures", - "guidelines": [ - { - "prose": "techniques or procedures used to validate regrading mechanisms for privacy attributes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(09)" - }, - { - "name": "sort-id", - "value": "ac-16.09" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.9_smt", - "name": "statement", - "prose": "Change security and privacy attributes associated with information only via regrading mechanisms validated using {{ insert: param, ac-16.9_prm_1 }}." - }, - { - "id": "ac-16.9_gdn", - "name": "guidance", - "prose": "A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes associated with information are changed only via regarding mechanisms validated using {{ insert: param, ac-16.09_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes associated with information are changed only via regarding mechanisms validated using {{ insert: param, ac-16.09_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing reassignment of security attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reassigning association of security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing techniques or procedures for reassigning association of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.10", - "class": "SP800-53-enhancement", - "title": "Attribute Configuration by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(10)" - }, - { - "name": "sort-id", - "value": "ac-16.10" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.10_smt", - "name": "statement", - "prose": "Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects." - }, - { - "id": "ac-16.10_gdn", - "name": "guidance", - "prose": "The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Thus, it is important for systems to be able to limit the ability to create or modify the type and value of attributes available for association with subjects and objects to authorized individuals only." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are provided with the capability to define or change the type and value of security attributes available for association with subjects and objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are provided with the capability to define or change the type and value of privacy attributes available for association with subjects and objects." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing configuration of security and privacy attributes by authorized individuals\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining or changing security and privacy attributes associated with information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability for defining or changing security and privacy attributes" - } - ] - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "props": [ - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - } - ], - "links": [ - { - "href": "#83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "rel": "reference" - }, - { - "href": "#d17ebd7a-ffab-499d-bfff-e705bbb01fa6", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of remote access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of [CA-3](#ca-3) . Enforcing access restrictions for remote access is addressed via [AC-3](#ac-3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[01]", - "class": "sp800-53A" - } - ], - "prose": "usage restrictions are established and documented for each type of remote access allowed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration/connection requirements are established and documented for each type of remote access allowed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established and documented for each type of remote access allowed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17b.", - "class": "sp800-53A" - } - ], - "prose": "each type of remote access to the system is authorized prior to allowing such connections." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access implementation and usage (including restrictions)\n\nconfiguration management plan\n\nsystem configuration settings and associated documentation\n\nremote access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the system" - } - ] - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Monitoring and Control", - "props": [ - { - "name": "label", - "value": "AC-17(01)" - }, - { - "name": "sort-id", - "value": "ac-17.01" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to monitor and control remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to monitor remote access methods;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to control remote access methods." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem monitoring records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms monitoring and controlling remote access methods" - } - ] - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality and Integrity Using Encryption", - "props": [ - { - "name": "label", - "value": "AC-17(02)" - }, - { - "name": "sort-id", - "value": "ac-17.02" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(02)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions" - } - ] - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "props": [ - { - "name": "label", - "value": "AC-17(03)" - }, - { - "name": "sort-id", - "value": "ac-17.03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "Route remote accesses through authorized and managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Organizations consider the Trusted Internet Connections (TIC) initiative [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(03)", - "class": "sp800-53A" - } - ], - "prose": "remote accesses are routed through authorized and managed network access control points." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nlist of all managed network access control points\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms routing all remote accesses through managed network access control points" - } - ] - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands and Access", - "params": [ - { - "id": "ac-17.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-17.04_odp.01" - }, - { - "name": "aggregates", - "value": "ac-17.04_odp.02" - } - ], - "label": "organization-defined needs" - }, - { - "id": "ac-17.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-17(04)_ODP[01]" - } - ], - "label": "needs requiring remote access", - "guidelines": [ - { - "prose": "needs requiring execution of privileged commands via remote access are defined;" - } - ] - }, - { - "id": "ac-17.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-17(04)_ODP[02]" - } - ], - "label": "needs requiring remote access", - "guidelines": [ - { - "prose": "needs requiring access to security-relevant information via remote access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(04)" - }, - { - "name": "sort-id", - "value": "ac-17.04" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }} ; and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document the rationale for remote access in the security plan for the system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "prose": "Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "access to security-relevant information via remote access is authorized only in a format that provides assessable evidence;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged commands via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "access to security-relevant information via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "the rationale for remote access is documented in the security plan for the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote access management" - } - ] - } - ] - }, - { - "id": "ac-17.5", - "class": "SP800-53-enhancement", - "title": "Monitoring for Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-17(05)" - }, - { - "name": "sort-id", - "value": "ac-17.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.6", - "class": "SP800-53-enhancement", - "title": "Protection of Mechanism Information", - "props": [ - { - "name": "label", - "value": "AC-17(06)" - }, - { - "name": "sort-id", - "value": "ac-17.06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.6_smt", - "name": "statement", - "prose": "Protect information about remote access mechanisms from unauthorized use and disclosure." - }, - { - "id": "ac-17.6_gdn", - "name": "guidance", - "prose": "Remote access to organizational information by non-organizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(06)", - "class": "sp800-53A" - } - ], - "prose": "information about remote access mechanisms is protected from unauthorized use and disclosure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for implementing or monitoring remote access to the system\n\nsystem users with knowledge of information about remote access mechanisms\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-17.7", - "class": "SP800-53-enhancement", - "title": "Additional Protection for Security Function Access", - "props": [ - { - "name": "label", - "value": "AC-17(07)" - }, - { - "name": "sort-id", - "value": "ac-17.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-3.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.8", - "class": "SP800-53-enhancement", - "title": "Disable Nonsecure Network Protocols", - "props": [ - { - "name": "label", - "value": "AC-17(08)" - }, - { - "name": "sort-id", - "value": "ac-17.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect or Disable Access", - "params": [ - { - "id": "ac-17.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.9_prm_1" - }, - { - "name": "label", - "value": "AC-17(09)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which to disconnect or disable remote access to the system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(09)" - }, - { - "name": "sort-id", - "value": "ac-17.09" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "Provide the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "The speed of system disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(09)", - "class": "sp800-53A" - } - ], - "prose": "the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing disconnecting or disabling remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan, system audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to disconnect or disable remote access to system" - } - ] - } - ] - }, - { - "id": "ac-17.10", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "ac-17.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.10_prm_1" - }, - { - "name": "label", - "value": "AC-17(10)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms implemented to authenticate remote commands are defined;" - } - ] - }, - { - "id": "ac-17.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.10_prm_2" - }, - { - "name": "label", - "value": "AC-17(10)_ODP[02]" - } - ], - "label": "remote commands", - "guidelines": [ - { - "prose": "remote commands to be authenticated by mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(10)" - }, - { - "name": "sort-id", - "value": "ac-17.10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.10_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-17.10_odp.01 }} to authenticate {{ insert: param, ac-17.10_odp.02 }}." - }, - { - "id": "ac-17.10_gdn", - "name": "guidance", - "prose": "Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The ability to authenticate remote commands is important for remote systems for which loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, such as injury, death, property damage, loss of high value assets, failure of mission or business functions, or compromise of classified or controlled unclassified information. Authentication mechanisms for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-17.10_odp.01 }} are implemented to authenticate {{ insert: param, ac-17.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing authentication of remote commands\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing authentication of remote commands" - } - ] - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "props": [ - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - } - ], - "links": [ - { - "href": "#25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "rel": "reference" - }, - { - "href": "#03fb73bc-1b12-4182-bd96-e5719254ea61", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of wireless access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration requirements are established for each type of wireless access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "connection requirements are established for each type of wireless access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established for each type of wireless access;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18b.", - "class": "sp800-53A" - } - ], - "prose": "each type of wireless access to the system is authorized prior to allowing such connections." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless access implementation and usage (including restrictions)\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nwireless access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access connections\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the system" - } - ] - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "params": [ - { - "id": "ac-18.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-18.1_prm_1" - }, - { - "name": "label", - "value": "AC-18(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "users", - "devices" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-18(01)" - }, - { - "name": "sort-id", - "value": "ac-18.01" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "Protect wireless access to the system using authentication of {{ insert: param, ac-18.01_odp }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "wireless access to the system is protected using authentication of {{ insert: param, ac-18.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "wireless access to the system is protected using encryption." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing wireless access protections to the system" - } - ] - } - ] - }, - { - "id": "ac-18.2", - "class": "SP800-53-enhancement", - "title": "Monitoring Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-18(02)" - }, - { - "name": "sort-id", - "value": "ac-18.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-18.3", - "class": "SP800-53-enhancement", - "title": "Disable Wireless Networking", - "props": [ - { - "name": "label", - "value": "AC-18(03)" - }, - { - "name": "sort-id", - "value": "ac-18.03" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-18.3_smt", - "name": "statement", - "prose": "Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment." - }, - { - "id": "ac-18.3_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(03)", - "class": "sp800-53A" - } - ], - "prose": "when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within system components" - } - ] - } - ] - }, - { - "id": "ac-18.4", - "class": "SP800-53-enhancement", - "title": "Restrict Configurations by Users", - "props": [ - { - "name": "label", - "value": "AC-18(04)" - }, - { - "name": "sort-id", - "value": "ac-18.04" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.4_smt", - "name": "statement", - "prose": "Identify and explicitly authorize users allowed to independently configure wireless networking capabilities." - }, - { - "id": "ac-18.4_gdn", - "name": "guidance", - "prose": "Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "users allowed to independently configure wireless networking capabilities are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "users allowed to independently configure wireless networking capabilities are explicitly authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms authorizing independent user configuration of wireless networking capabilities" - } - ] - } - ] - }, - { - "id": "ac-18.5", - "class": "SP800-53-enhancement", - "title": "Antennas and Transmission Power Levels", - "props": [ - { - "name": "label", - "value": "AC-18(05)" - }, - { - "name": "sort-id", - "value": "ac-18.05" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.5_smt", - "name": "statement", - "prose": "Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - }, - { - "id": "ac-18.5_gdn", - "name": "guidance", - "prose": "Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "radio antennas are selected to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "transmission power levels are calibrated to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Calibration of transmission power levels for wireless access\n\nradio antenna signals for wireless access\n\nwireless access reception outside of organization-controlled boundaries" - } - ] - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "props": [ - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - } - ], - "links": [ - { - "href": "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize the connection of mobile devices to organizational systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems.\n\nDue to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware.\n\nUsage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in [AC-19](#ac-19) . Many safeguards for mobile devices are reflected in other controls. [AC-20](#ac-20) addresses mobile devices that are not organization-controlled." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[02]", - "class": "sp800-53A" - } - ], - "prose": "connection requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19b.", - "class": "sp800-53A" - } - ], - "prose": "the connection of mobile devices to organizational systems is authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control for mobile device usage (including restrictions)\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability for mobile device connections to organizational systems\n\nconfigurations of mobile devices" - } - ] - } - ], - "controls": [ - { - "id": "ac-19.1", - "class": "SP800-53-enhancement", - "title": "Use of Writable and Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(01)" - }, - { - "name": "sort-id", - "value": "ac-19.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.2", - "class": "SP800-53-enhancement", - "title": "Use of Personally Owned Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(02)" - }, - { - "name": "sort-id", - "value": "ac-19.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.3", - "class": "SP800-53-enhancement", - "title": "Use of Portable Storage Devices with No Identifiable Owner", - "props": [ - { - "name": "label", - "value": "AC-19(03)" - }, - { - "name": "sort-id", - "value": "ac-19.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.4", - "class": "SP800-53-enhancement", - "title": "Restrictions for Classified Information", - "params": [ - { - "id": "ac-19.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.4_prm_1" - }, - { - "name": "label", - "value": "AC-19(04)_ODP[01]" - } - ], - "label": "security officials", - "guidelines": [ - { - "prose": "security officials responsible for the review and inspection of unclassified mobile devices and the information stored on those devices are defined;" - } - ] - }, - { - "id": "ac-19.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.4_prm_2" - }, - { - "name": "label", - "value": "AC-19(04)_ODP[02]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies restricting the connection of classified mobile devices to classified systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(04)" - }, - { - "name": "sort-id", - "value": "ac-19.04" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and" - }, - { - "id": "ac-19.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:", - "parts": [ - { - "id": "ac-19.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Connection of unclassified mobile devices to classified systems is prohibited;" - }, - { - "id": "ac-19.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;" - }, - { - "id": "ac-19.4_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(03)" - } - ], - "prose": "Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and" - }, - { - "id": "ac-19.4_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(04)" - } - ], - "prose": "Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by {{ insert: param, ac-19.04_odp.01 }} , and if classified information is found, the incident handling policy is followed." - } - ] - }, - { - "id": "ac-19.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Restrict the connection of classified mobile devices to classified systems in accordance with {{ insert: param, ac-19.04_odp.02 }}." - } - ] - }, - { - "id": "ac-19.4_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information is prohibited unless specifically permitted by the authorizing official;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "prohibition of the connection of unclassified mobile devices to classified systems is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "approval by the authorizing official for the connection of unclassified mobile devices to unclassified systems is enforced on individuals permitted to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(03)", - "class": "sp800-53A" - } - ], - "prose": "prohibition of the use of internal or external modems or wireless interfaces within unclassified mobile devices is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "random review and inspection of unclassified mobile devices and the information stored on those devices by {{ insert: param, ac-19.04_odp.01 }} are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "following of the incident handling policy is enforced if classified information is found during a random review and inspection of unclassified mobile devices;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the connection of classified mobile devices to classified systems is restricted in accordance with {{ insert: param, ac-19.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nincident handling policy\n\nprocedures addressing access control for mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nevidentiary documentation for random inspections and reviews of mobile devices\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for random reviews/inspections of mobile devices\n\norganizational personnel using mobile devices in facilities containing systems processing, storing, or transmitting classified information\n\norganizational personnel with incident response responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices" - } - ] - } - ] - }, - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device or Container-based Encryption", - "params": [ - { - "id": "ac-19.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.5_prm_1" - }, - { - "name": "label", - "value": "AC-19(05)_ODP[01]" - } - ], - "select": { - "choice": [ - "full-device encryption", - "container-based encryption" - ] - } - }, - { - "id": "ac-19.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.5_prm_2" - }, - { - "name": "label", - "value": "AC-19(05)_ODP[02]" - } - ], - "label": "mobile devices", - "guidelines": [ - { - "prose": "mobile devices on which to employ encryption are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(05)" - }, - { - "name": "sort-id", - "value": "ac-19.05" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-19.05_odp.01 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-19.05_odp.01 }} is employed to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control for mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nencryption mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities for mobile devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Encryption mechanisms protecting confidentiality and integrity of information on mobile devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Systems", - "params": [ - { - "id": "ac-20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_1" - }, - { - "name": "label", - "value": "AC-20_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "establish{{ insert: param, ac-20_odp.02 }} ", - "identify{{ insert: param, ac-20_odp.03 }} " - ] - } - }, - { - "id": "ac-20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_2" - }, - { - "name": "label", - "value": "AC-20_ODP[02]" - } - ], - "label": "terms and conditions", - "guidelines": [ - { - "prose": "terms and conditions consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);" - } - ] - }, - { - "id": "ac-20_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_3" - }, - { - "name": "label", - "value": "AC-20_ODP[03]" - } - ], - "label": "controls asserted", - "guidelines": [ - { - "prose": "controls asserted to be implemented on external systems consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);" - } - ] - }, - { - "id": "ac-20_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_4" - }, - { - "name": "label", - "value": "AC-20_ODP[04]" - } - ], - "label": "prohibited types of external systems", - "guidelines": [ - { - "prose": "types of external systems prohibited from use are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Access the system from external systems; and" - }, - { - "id": "ac-20_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external systems; or" - } - ] - }, - { - "id": "ac-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of {{ insert: param, ac-20_odp.04 }}." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems).\n\nFor some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.\n\nExternal systems used to access public interfaces to organizational systems are outside the scope of [AC-20](#ac-20) . Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.1", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to access the system from external systems (if applicable);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.2", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to process, store, or transmit organization-controlled information using external systems (if applicable);" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20b.", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, ac-20_odp.04 }} is prohibited (if applicable)." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nexternal systems terms and conditions\n\nlist of types of applications accessible from external systems\n\nmaximum security categorization for information processed, stored, or transmitted on external systems\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits on Authorized Use", - "props": [ - { - "name": "label", - "value": "AC-20(01)" - }, - { - "name": "sort-id", - "value": "ac-20.01" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verification of the implementation of controls on the external system as specified in the organization\u2019s security and privacy policies and security and privacy plans; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retention of approved system connection or processing agreements with the organizational entity hosting the external system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization\u2019s security and privacy policies and security and privacy plans (if applicable);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable)." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing limits on use of external systems" - } - ] - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices \u2014 Restricted Use", - "params": [ - { - "id": "ac-20.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.2_prm_1" - }, - { - "name": "label", - "value": "AC-20(02)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(02)" - }, - { - "name": "sort-id", - "value": "ac-20.02" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.02_odp }}." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(02)", - "class": "sp800-53A" - } - ], - "prose": "the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using {{ insert: param, ac-20.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on use of portable storage devices" - } - ] - } - ] - }, - { - "id": "ac-20.3", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems \u2014 Restricted Use", - "params": [ - { - "id": "ac-20.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.3_prm_1" - }, - { - "name": "label", - "value": "AC-20(03)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of non-organizationally owned systems or system components to process, store, or transmit organizational information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(03)" - }, - { - "name": "sort-id", - "value": "ac-20.03" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-20.3_smt", - "name": "statement", - "prose": "Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using {{ insert: param, ac-20.03_odp }}." - }, - { - "id": "ac-20.3_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations as well as personally owned devices. There are potential risks to using non-organizationally owned systems or components. In some cases, the risk is sufficiently high as to prohibit such use (see [AC-20 b.](#ac-20_smt.b) ). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(03)", - "class": "sp800-53A" - } - ], - "prose": "the use of non-organizationally owned systems or system components to process, store, or transmit organizational information is restricted using {{ insert: param, ac-20.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem audit records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting the use of non-organizationally owned systems, system components, or devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on the use of non-organizationally owned systems, components, or devices" - } - ] - } - ] - }, - { - "id": "ac-20.4", - "class": "SP800-53-enhancement", - "title": "Network Accessible Storage Devices \u2014 Prohibited Use", - "params": [ - { - "id": "ac-20.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.4_prm_1" - }, - { - "name": "label", - "value": "AC-20(04)_ODP" - } - ], - "label": "network-accessible storage devices", - "guidelines": [ - { - "prose": "network-accessible storage devices prohibited from use in external systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(04)" - }, - { - "name": "sort-id", - "value": "ac-20.04" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-20.4_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-20.04_odp }} in external systems." - }, - { - "id": "ac-20.4_gdn", - "name": "guidance", - "prose": "Network-accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(04)", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, ac-20.04_odp }} is prohibited in external systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing use of network-accessible storage devices in external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\nlist of network-accessible storage devices prohibited from use in external systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for prohibiting the use of network-accessible storage devices in external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the use of network-accessible storage devices in external systems" - } - ] - } - ] - }, - { - "id": "ac-20.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices \u2014 Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(05)" - }, - { - "name": "sort-id", - "value": "ac-20.05" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.5_smt", - "name": "statement", - "prose": "Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems." - }, - { - "id": "ac-20.5_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices. Prohibiting such use is enforced using technical methods and/or nontechnical (i.e., process-based) methods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of organization-controlled portable storage devices by authorized individuals is prohibited on external systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing use of portable storage devices in external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for prohibiting the use of portable storage devices in external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "params": [ - { - "id": "ac-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21_prm_1" - }, - { - "name": "label", - "value": "AC-21_ODP[01]" - } - ], - "label": "information-sharing circumstances", - "guidelines": [ - { - "prose": "information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information\u2019s access and use restrictions are defined;" - } - ] - }, - { - "id": "ac-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21_prm_2" - }, - { - "name": "label", - "value": "AC-21_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "ac-21" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information\u2019s access and use restrictions for {{ insert: param, ac-21_odp.01 }} ; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ {{ insert: param, ac-21_odp.02 }} to assist users in making information sharing and collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21a.", - "class": "sp800-53A" - } - ], - "prose": "authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information\u2019s access and use restrictions for {{ insert: param, ac-21_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-21_odp.02 }} are employed to assist users in making information-sharing and collaboration decisions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of users authorized to make information-sharing/collaboration decisions\n\nlist of information-sharing circumstances requiring user discretion\n\nnon-disclosure agreements\n\nacquisitions/contractual agreements\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nsecurity and privacy risk assessments\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information-sharing/collaboration decisions\n\norganizational personnel with responsibility for acquisitions/contractual agreements\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions" - } - ] - } - ], - "controls": [ - { - "id": "ac-21.1", - "class": "SP800-53-enhancement", - "title": "Automated Decision Support", - "params": [ - { - "id": "ac-21.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21.1_prm_1" - }, - { - "name": "label", - "value": "AC-21(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms employed to enforce information-sharing decisions by authorized users are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(01)" - }, - { - "name": "sort-id", - "value": "ac-21.01" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-21.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-21.01_odp }} to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "id": "ac-21.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms are used to enforce information sharing decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-21.01_odp }} are employed to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of users authorized to make information-sharing/collaboration decisions\n\nsystem-generated list of sharing partners and access authorizations\n\nsystem-generated list of access restrictions regarding information to be shared\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access authorizations supporting information-sharing/user collaboration decisions" - } - ] - } - ] - }, - { - "id": "ac-21.2", - "class": "SP800-53-enhancement", - "title": "Information Search and Retrieval", - "params": [ - { - "id": "ac-21.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21.2_prm_1" - }, - { - "name": "label", - "value": "AC-21(02)_ODP" - } - ], - "label": "information-sharing restrictions", - "guidelines": [ - { - "prose": "information-sharing restrictions to be enforced by information search and retrieval services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(02)" - }, - { - "name": "sort-id", - "value": "ac-21.02" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-21.2_smt", - "name": "statement", - "prose": "Implement information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }}." - }, - { - "id": "ac-21.2_gdn", - "name": "guidance", - "prose": "Information search and retrieval services identify information system resources relevant to an information need." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21(02)", - "class": "sp800-53A" - } - ], - "prose": "information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of access restrictions regarding information to be shared\n\ninformation search and retrieval records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities for system search and retrieval services\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System search and retrieval services enforcing information-sharing restrictions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "params": [ - { - "id": "ac-22_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-22_prm_1" - }, - { - "name": "label", - "value": "AC-22_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the content on the publicly accessible system for non-public information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designate individuals authorized to make information publicly accessible;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the content on the publicly accessible system for nonpublic information {{ insert: param, ac-22_odp }} and remove such information, if discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22a.", - "class": "sp800-53A" - } - ], - "prose": "designated individuals are authorized to make information publicly accessible;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22b.", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are trained to ensure that publicly accessible information does not contain non-public information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22c.", - "class": "sp800-53A" - } - ], - "prose": "the proposed content of information is reviewed prior to posting onto the publicly accessible system to ensure that non-public information is not included;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the content on the publicly accessible system is reviewed for non-public information {{ insert: param, ac-22_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.[02]", - "class": "sp800-53A" - } - ], - "prose": "non-public information is removed from the publicly accessible system, if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to non-public information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - }, - { - "id": "ac-23", - "class": "SP800-53", - "title": "Data Mining Protection", - "params": [ - { - "id": "ac-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-23_prm_1" - }, - { - "name": "label", - "value": "AC-23_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "data mining prevention and detection techniques are defined;" - } - ] - }, - { - "id": "ac-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-23_prm_2" - }, - { - "name": "label", - "value": "AC-23_ODP[02]" - } - ], - "label": "data storage objects", - "guidelines": [ - { - "prose": "data storage objects to be protected against unauthorized data mining are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-23" - }, - { - "name": "sort-id", - "value": "ac-23" - } - ], - "links": [ - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-23_odp.01 }} for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining." - }, - { - "id": "ac-23_gdn", - "name": "guidance", - "prose": "Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.\n\nData mining prevention and detection techniques include limiting the number and frequency of database queries to increase the work factor needed to determine the contents of databases, limiting types of responses provided to database queries, applying differential privacy techniques or homomorphic encryption, and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, [AU-13](#au-13) focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open-source information residing on external sites, such as social networking or social media websites.\n\n[EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. Data mining protection requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining. Data mining can be used by an insider to collect organizational information for the purpose of exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-23", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-23_odp.01 }} are employed for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for preventing and detecting data mining\n\npolicies and procedures addressing authorized data mining techniques\n\nprocedures addressing protection of data storage objects against data mining\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit logs\n\nsystem audit records\n\nprocedures addressing differential privacy techniques\n\nnotifications of atypical database queries or accesses\n\ndocumentation or reports of insider threat program\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing data mining prevention and detection" - } - ] - } - ] - }, - { - "id": "ac-24", - "class": "SP800-53", - "title": "Access Control Decisions", - "params": [ - { - "id": "ac-24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24_prm_1" - }, - { - "name": "label", - "value": "AC-24_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "establish procedures", - "implement mechanisms" - ] - } - }, - { - "id": "ac-24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24_prm_2" - }, - { - "name": "label", - "value": "AC-24_ODP[02]" - } - ], - "label": "access control decisions", - "guidelines": [ - { - "prose": "access control decisions applied to each access request prior to access enforcement are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24" - }, - { - "name": "sort-id", - "value": "ac-24" - } - ], - "links": [ - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24_smt", - "name": "statement", - "prose": "{{ insert: param, ac-24_odp.01 }} to ensure {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement." - }, - { - "id": "ac-24_gdn", - "name": "guidance", - "prose": "Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may make access control decisions and enforce access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-24_odp.01 }} are taken to ensure that {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control decisions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the system\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms applying established access control decisions and procedures" - } - ] - } - ], - "controls": [ - { - "id": "ac-24.1", - "class": "SP800-53-enhancement", - "title": "Transmit Access Authorization Information", - "params": [ - { - "id": "ac-24.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_1" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[01]" - } - ], - "label": "access authorization information", - "guidelines": [ - { - "prose": "access authorization information transmitted to systems that enforce access control decisions is defined;" - } - ] - }, - { - "id": "ac-24.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_2" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be used when authorization information is transmitted to systems that enforce access control decisions are defined;" - } - ] - }, - { - "id": "ac-24.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_3" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[03]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems that enforce access control decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(01)" - }, - { - "name": "sort-id", - "value": "ac-24.01" - } - ], - "links": [ - { - "href": "#ac-24", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24.1_smt", - "name": "statement", - "prose": "Transmit {{ insert: param, ac-24.01_odp.01 }} using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions." - }, - { - "id": "ac-24.1_gdn", - "name": "guidance", - "prose": "Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so that timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made, and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-24.01_odp.01 }} is transmitted using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-24.2", - "class": "SP800-53-enhancement", - "title": "No User or Process Identity", - "params": [ - { - "id": "ac-24.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-24.02_odp.01" - }, - { - "name": "aggregates", - "value": "ac-24.02_odp.02" - } - ], - "label": "organization-defined security or privacy attributes" - }, - { - "id": "ac-24.02_odp.01", - "props": [ - { - "name": "label", - "value": "AC-24(02)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes that do not include the identity of the user or process acting on behalf of the user are defined;" - } - ] - }, - { - "id": "ac-24.02_odp.02", - "props": [ - { - "name": "label", - "value": "AC-24(02)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes that do not include the identity of the user or process acting on behalf of the user are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(02)" - }, - { - "name": "sort-id", - "value": "ac-24.02" - } - ], - "links": [ - { - "href": "#ac-24", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-24.2_smt", - "name": "statement", - "prose": "Enforce access control decisions based on {{ insert: param, ac-24.2_prm_1 }} that do not include the identity of the user or process acting on behalf of the user." - }, - { - "id": "ac-24.2_gdn", - "name": "guidance", - "prose": "In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions, and especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "access control decisions are enforced based on {{ insert: param, ac-24.02_odp.01 }} that do not include the identity of the user or process acting on behalf of the user;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "access control decisions are enforced based on {{ insert: param, ac-24.02_odp.02 }} that do not include the identity of the user or process acting on behalf of the user." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-25", - "class": "SP800-53", - "title": "Reference Monitor", - "params": [ - { - "id": "ac-25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-25_prm_1" - }, - { - "name": "label", - "value": "AC-25_ODP" - } - ], - "label": "access control policies", - "guidelines": [ - { - "prose": "access control policies for which a reference monitor is implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-25" - }, - { - "name": "sort-id", - "value": "ac-25" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-25_smt", - "name": "statement", - "prose": "Implement a reference monitor for {{ insert: param, ac-25_odp }} that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "id": "ac-25_gdn", - "name": "guidance", - "prose": "A reference monitor is a set of design requirements on a reference validation mechanism that, as a key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked, tamper-proof, and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures, such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamper-proof property of the reference monitor prevents determined adversaries from compromising the functioning of the reference validation mechanism. The always invoked property prevents adversaries from bypassing the mechanism and violating the security policy. The smallness property helps to ensure completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-25", - "class": "sp800-53A" - } - ], - "prose": "a reference monitor is implemented for {{ insert: param, ac-25_odp }} that is tamper-proof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "at-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-01_odp.01" - }, - { - "name": "aggregates", - "value": "at-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "at-01_odp.01", - "props": [ - { - "name": "label", - "value": "AT-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the awareness and training policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "at-01_odp.02", - "props": [ - { - "name": "label", - "value": "AT-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the awareness and training procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "at-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_2" - }, - { - "name": "label", - "value": "AT-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "at-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_3" - }, - { - "name": "label", - "value": "AT-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the awareness and training policy and procedures is defined;" - } - ] - }, - { - "id": "at-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_4" - }, - { - "name": "label", - "value": "AT-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current awareness and training policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "at-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_5" - }, - { - "name": "label", - "value": "AT-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current awareness and training policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "at-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_6" - }, - { - "name": "label", - "value": "AT-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current awareness and training procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "at-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_7" - }, - { - "name": "label", - "value": "AT-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-01" - }, - { - "name": "sort-id", - "value": "at-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, at-01_odp.03 }} awareness and training policy that:", - "parts": [ - { - "id": "at-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "at-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, at-01_odp.04 }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and" - }, - { - "id": "at-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current awareness and training:", - "parts": [ - { - "id": "at-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, at-01_odp.05 }} and following {{ insert: param, at-01_odp.06 }} ; and" - }, - { - "id": "at-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, at-01_odp.07 }} and following {{ insert: param, at-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an awareness and training policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the awareness and training policy is disseminated to {{ insert: param, at-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "awareness and training procedures to facilitate the implementation of the awareness and training policy and associated access controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the awareness and training procedures are disseminated to {{ insert: param, at-01_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses compliance; and" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the awareness and training policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training policy is reviewed and updated {{ insert: param, at-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training policy is reviewed and updated following {{ insert: param, at-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training procedures are reviewed and updated {{ insert: param, at-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training procedures are reviewed and updated following {{ insert: param, at-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nawareness and training policy and procedures\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with awareness and training responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Literacy Training and Awareness", - "params": [ - { - "id": "at-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-02_odp.01" - }, - { - "name": "aggregates", - "value": "at-02_odp.02" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "at-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "at-02_odp.03" - }, - { - "name": "aggregates", - "value": "at-02_odp.04" - } - ], - "label": "organization-defined events" - }, - { - "id": "at-02_odp.01", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide security literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;" - } - ] - }, - { - "id": "at-02_odp.02", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide privacy literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;" - } - ] - }, - { - "id": "at-02_odp.03", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[03]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require security literacy training for system users are defined;" - } - ] - }, - { - "id": "at-02_odp.04", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require privacy literacy training for system users are defined;" - } - ] - }, - { - "id": "at-02_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_3" - }, - { - "name": "label", - "value": "AT-02_ODP[05]" - } - ], - "label": "awareness techniques", - "guidelines": [ - { - "prose": "techniques to be employed to increase the security and privacy awareness of system users are defined;" - } - ] - }, - { - "id": "at-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_4" - }, - { - "name": "label", - "value": "AT-02_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update literacy training and awareness content is defined;" - } - ] - }, - { - "id": "at-02_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_5" - }, - { - "name": "label", - "value": "AT-02_ODP[07]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require literacy training and awareness content to be updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-02" - }, - { - "name": "sort-id", - "value": "at-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#89f2a08d-fc49-46d0-856e-bf974c9b1573", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "As part of initial training for new users and {{ insert: param, at-2_prm_1 }} thereafter; and" - }, - { - "id": "at-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes or following {{ insert: param, at-2_prm_2 }};" - } - ] - }, - { - "id": "at-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following techniques to increase the security and privacy awareness of system users {{ insert: param, at-02_odp.05 }};" - }, - { - "id": "at-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update literacy training and awareness content {{ insert: param, at-02_odp.06 }} and following {{ insert: param, at-02_odp.07 }} ; and" - }, - { - "id": "at-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information.\n\nAwareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in [AT-2a.1](#at-2_smt.a.1) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.01 }} thereafter;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.04 }};" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02b", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-02_odp.05 }} are employed to increase the security and privacy awareness of system users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training and awareness content is updated {{ insert: param, at-02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training and awareness content is updated following {{ insert: param, at-02_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02d.", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from internal or external security incidents or breaches are incorporated into literacy training and awareness techniques." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nappropriate codes of federal regulations\n\nsecurity and privacy literacy training curriculum\n\nsecurity and privacy literacy training materials\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel comprising the general system user community" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing information security and privacy literacy training" - } - ] - } - ], - "controls": [ - { - "id": "at-2.1", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-02(01)" - }, - { - "name": "sort-id", - "value": "at-02.01" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.1_smt", - "name": "statement", - "prose": "Provide practical exercises in literacy training that simulate events and incidents." - }, - { - "id": "at-2.1_gdn", - "name": "guidance", - "prose": "Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(01)", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in literacy training that simulate events and incidents are provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nsecurity awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in security awareness training\n\norganizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cyber-attack simulations in practical exercises" - } - ] - } - ] - }, - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "props": [ - { - "name": "label", - "value": "AT-02(02)" - }, - { - "name": "sort-id", - "value": "at-02.02" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing and reporting potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential indicators of insider threat is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential indicators of insider threat is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.3", - "class": "SP800-53-enhancement", - "title": "Social Engineering and Mining", - "props": [ - { - "name": "label", - "value": "AT-02(03)" - }, - { - "name": "sort-id", - "value": "at-02.03" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.3_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining." - }, - { - "id": "at-2.3_gdn", - "name": "guidance", - "prose": "Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential and actual instances of social engineering is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential and actual instances of social engineering is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential and actual instances of social mining is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential and actual instances of social mining is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "params": [ - { - "id": "at-02.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2.4_prm_1" - }, - { - "name": "label", - "value": "AT-02(04)_ODP" - } - ], - "label": "indicators of malicious code", - "guidelines": [ - { - "prose": "indicators of malicious code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-02(04)" - }, - { - "name": "sort-id", - "value": "at-02.04" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.4_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }}." - }, - { - "id": "at-2.4_gdn", - "name": "guidance", - "prose": "A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender that appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(04)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.5", - "class": "SP800-53-enhancement", - "title": "Advanced Persistent Threat", - "props": [ - { - "name": "label", - "value": "AT-02(05)" - }, - { - "name": "sort-id", - "value": "at-02.05" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.5_smt", - "name": "statement", - "prose": "Provide literacy training on the advanced persistent threat." - }, - { - "id": "at-2.5_gdn", - "name": "guidance", - "prose": "An effective way to detect advanced persistent threats (APT) and to preclude successful attacks is to provide specific literacy training for individuals. Threat literacy training includes educating individuals on the various ways that APTs can infiltrate the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(05)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on the advanced persistent threat is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.6", - "class": "SP800-53-enhancement", - "title": "Cyber Threat Environment", - "props": [ - { - "name": "label", - "value": "AT-02(06)" - }, - { - "name": "sort-id", - "value": "at-02.06" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.6_smt", - "name": "statement", - "parts": [ - { - "id": "at-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide literacy training on the cyber threat environment; and" - }, - { - "id": "at-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reflect current cyber threat information in system operations." - } - ] - }, - { - "id": "at-2.6_gdn", - "name": "guidance", - "prose": "Since threats continue to change over time, threat literacy training by the organization is dynamic. Moreover, threat literacy training is not performed in isolation from the system operations that support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on the cyber threat environment is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "system operations reflects current cyber threat information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness training implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Training", - "params": [ - { - "id": "at-3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-03_odp.01" - }, - { - "name": "aggregates", - "value": "at-03_odp.02" - } - ], - "label": "organization-defined roles and responsibilities" - }, - { - "id": "at-03_odp.01", - "props": [ - { - "name": "label", - "value": "AT-03_ODP[01]" - } - ], - "label": "roles and responsibilities", - "guidelines": [ - { - "prose": "roles and responsibilities for role-based security training are defined;" - } - ] - }, - { - "id": "at-03_odp.02", - "props": [ - { - "name": "label", - "value": "AT-03_ODP[02]" - } - ], - "label": "roles and responsibilities", - "guidelines": [ - { - "prose": "roles and responsibilities for role-based privacy training are defined;" - } - ] - }, - { - "id": "at-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_2" - }, - { - "name": "label", - "value": "AT-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;" - } - ] - }, - { - "id": "at-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_3" - }, - { - "name": "label", - "value": "AT-03_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update role-based training content is defined;" - } - ] - }, - { - "id": "at-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_4" - }, - { - "name": "label", - "value": "AT-03_ODP[05]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require role-based training content to be updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03" - }, - { - "name": "sort-id", - "value": "at-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, at-3_prm_1 }}:", - "parts": [ - { - "id": "at-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, at-03_odp.03 }} thereafter; and" - }, - { - "id": "at-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes;" - } - ] - }, - { - "id": "at-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update role-based training content {{ insert: param, at-03_odp.04 }} and following {{ insert: param, at-03_odp.05 }} ; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from internal or external security incidents or breaches into role-based training." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information.\n\nComprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to {{ insert: param, at-03_odp.01 }} before authorizing access to the system, information, or performing assigned duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} before authorizing access to the system, information, or performing assigned duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to {{ insert: param, at-03_odp.01 }} {{ insert: param, at-03_odp.03 }} thereafter;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} {{ insert: param, at-03_odp.03 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based training content is updated {{ insert: param, at-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based training content is updated following {{ insert: param, at-03_odp.05 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03c.", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from internal or external security incidents or breaches are incorporated into role-based training." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nsecurity and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\ncodes of federal regulations\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with assigned system security and privacy roles and responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security and privacy training" - } - ] - } - ], - "controls": [ - { - "id": "at-3.1", - "class": "SP800-53-enhancement", - "title": "Environmental Controls", - "params": [ - { - "id": "at-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.1_prm_1" - }, - { - "name": "label", - "value": "AT-03(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls are defined;" - } - ] - }, - { - "id": "at-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.1_prm_2" - }, - { - "name": "label", - "value": "AT-03(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of environmental controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(01)" - }, - { - "name": "sort-id", - "value": "at-03.01" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.01_odp.01 }} with initial and {{ insert: param, at-03.01_odp.02 }} training in the employment and operation of environmental controls." - }, - { - "id": "at-3.1_gdn", - "name": "guidance", - "prose": "Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, air conditioning, and power within the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.01_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.01_odp.02 }} in the employment and operation of environmental." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\nsystem security plan\n\nprivacy plan\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with responsibilities for employing and operating environmental controls" - } - ] - } - ] - }, - { - "id": "at-3.2", - "class": "SP800-53-enhancement", - "title": "Physical Security Controls", - "params": [ - { - "id": "at-03.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.2_prm_1" - }, - { - "name": "label", - "value": "AT-03(02)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls is/are defined;" - } - ] - }, - { - "id": "at-03.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.2_prm_2" - }, - { - "name": "label", - "value": "AT-03(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of physical security controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(02)" - }, - { - "name": "sort-id", - "value": "at-03.02" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.2_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.02_odp.01 }} with initial and {{ insert: param, at-03.02_odp.02 }} training in the employment and operation of physical security controls." - }, - { - "id": "at-3.2_gdn", - "name": "guidance", - "prose": "Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.02_odp.01 }} is/are provided with initial and refresher training {{ insert: param, at-03.02_odp.02 }} in the employment and operation of physical security controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\nsystem security plan\n\nprivacy plan\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with responsibilities for employing and operating physical security controls" - } - ] - } - ] - }, - { - "id": "at-3.3", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-03(03)" - }, - { - "name": "sort-id", - "value": "at-03.03" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-3.3_smt", - "name": "statement", - "prose": "Provide practical exercises in security and privacy training that reinforce training objectives." - }, - { - "id": "at-3.3_gdn", - "name": "guidance", - "prose": "Practical exercises for security include training for software developers that addresses simulated attacks that exploit common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on identifying and processing personally identifiable information in various scenarios or scenarios on conducting privacy impact assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in security training that reinforce training objectives are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in privacy training that reinforce training objectives are provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy awareness training implementation\n\nsecurity and privacy awareness training curriculum\n\nsecurity and privacy awareness training materials\n\nsecurity and privacy awareness training reports and results\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel who participate in security and privacy awareness training" - } - ] - } - ] - }, - { - "id": "at-3.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "props": [ - { - "name": "label", - "value": "AT-03(04)" - }, - { - "name": "sort-id", - "value": "at-03.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#at-2.4", - "rel": "moved-to" - } - ] - }, - { - "id": "at-3.5", - "class": "SP800-53-enhancement", - "title": "Processing Personally Identifiable Information", - "params": [ - { - "id": "at-03.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.5_prm_1" - }, - { - "name": "label", - "value": "AT-03(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls is/are defined;" - } - ] - }, - { - "id": "at-03.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.5_prm_2" - }, - { - "name": "label", - "value": "AT-03(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of personally identifiable information processing and transparency controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(05)" - }, - { - "name": "sort-id", - "value": "at-03.05" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.05_odp.01 }} with initial and {{ insert: param, at-03.05_odp.02 }} training in the employment and operation of personally identifiable information processing and transparency controls." - }, - { - "id": "at-3.5_gdn", - "name": "guidance", - "prose": "Personally identifiable information processing and transparency controls include the organization\u2019s authority to process personally identifiable information and personally identifiable information processing purposes. Role-based training for federal agencies addresses the types of information that may constitute personally identifiable information and the risks, considerations, and obligations associated with its processing. Such training also considers the authority to process personally identifiable information documented in privacy policies and notices, system of records notices, computer matching agreements and notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.05_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.05_odp.02 }} in the employment and operation of personally identifiable information processing and transparency controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy awareness training implementation\n\nsecurity and privacy awareness training curriculum\n\nsecurity and privacy awareness training materials\n\nsystem security plan\n\nprivacy plan\n\norganizational privacy notices\n\norganizational policies\n\nsystem of records notices\n\nPrivacy Act statements\n\ncomputer matching agreements and notices\n\nprivacy impact assessments\n\ninformation sharing agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel who participate in security and privacy awareness training" - } - ] - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Training Records", - "params": [ - { - "id": "at-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "at-4_prm_1" - }, - { - "name": "label", - "value": "AT-04_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for retaining individual training records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-04" - }, - { - "name": "sort-id", - "value": "at-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain individual training records for {{ insert: param, at-04_odp }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04b.", - "class": "sp800-53A" - } - ], - "prose": "individual training records are retained for {{ insert: param, at-04_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training records\n\nsecurity and privacy awareness and training records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy training record retention responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security and privacy training records" - } - ] - } - ] - }, - { - "id": "at-5", - "class": "SP800-53", - "title": "Contacts with Security Groups and Associations", - "props": [ - { - "name": "label", - "value": "AT-05" - }, - { - "name": "sort-id", - "value": "at-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pm-15", - "rel": "incorporated-into" - } - ] - }, - { - "id": "at-6", - "class": "SP800-53", - "title": "Training Feedback", - "params": [ - { - "id": "at-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-6_prm_1" - }, - { - "name": "label", - "value": "AT-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide feedback on organizational training results is defined;" - } - ] - }, - { - "id": "at-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-6_prm_2" - }, - { - "name": "label", - "value": "AT-06_ODP[02]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom feedback on organizational training results will be provided is/are assigned;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-06" - }, - { - "name": "sort-id", - "value": "at-06" - } - ], - "parts": [ - { - "id": "at-6_smt", - "name": "statement", - "prose": "Provide feedback on organizational training results to the following personnel {{ insert: param, at-06_odp.01 }}: {{ insert: param, at-06_odp.02 }}." - }, - { - "id": "at-6_gdn", - "name": "guidance", - "prose": "Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the evaluation and update of organizational training described in [AT-2b](#at-2_smt.b) and [AT-3b](#at-3_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-06", - "class": "sp800-53A" - } - ], - "prose": "feedback on organizational training results is provided {{ insert: param, at-06_odp.01 }} to {{ insert: param, at-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security training record retention responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "au-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-01_odp.01" - }, - { - "name": "aggregates", - "value": "au-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "au-01_odp.01", - "props": [ - { - "name": "label", - "value": "AU-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the audit and accountability policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "au-01_odp.02", - "props": [ - { - "name": "label", - "value": "AU-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the audit and accountability procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "au-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_2" - }, - { - "name": "label", - "value": "AU-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "au-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_3" - }, - { - "name": "label", - "value": "AU-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the audit and accountability policy and procedures is defined;" - } - ] - }, - { - "id": "au-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_4" - }, - { - "name": "label", - "value": "AU-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current audit and accountability policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "au-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_5" - }, - { - "name": "label", - "value": "AU-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current audit and accountability policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "au-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_6" - }, - { - "name": "label", - "value": "AU-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current audit and accountability procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "au-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_7" - }, - { - "name": "label", - "value": "AU-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require audit and accountability procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-01" - }, - { - "name": "sort-id", - "value": "au-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, au-01_odp.03 }} audit and accountability policy that:", - "parts": [ - { - "id": "au-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "au-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, au-01_odp.04 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and" - }, - { - "id": "au-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current audit and accountability:", - "parts": [ - { - "id": "au-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, au-01_odp.05 }} and following {{ insert: param, au-01_odp.06 }} ; and" - }, - { - "id": "au-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, au-01_odp.07 }} and following {{ insert: param, au-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit and accountability policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the audit and accountability policy is disseminated to {{ insert: param, au-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the audit and accountability procedures are disseminated to {{ insert: param, au-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability policy is reviewed and updated {{ insert: param, au-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability policy is reviewed and updated following {{ insert: param, au-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability procedures are reviewed and updated {{ insert: param, au-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability procedures are reviewed and updated following {{ insert: param, au-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Event Logging", - "params": [ - { - "id": "au-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "au-02_odp.02" - }, - { - "name": "aggregates", - "value": "au-02_odp.03" - } - ], - "label": "organization-defined event types (subset of the event types defined in[AU-2a.](#au-2_smt.a)) along with the frequency of (or situation requiring) logging for each identified event type" - }, - { - "id": "au-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-2_prm_1" - }, - { - "name": "label", - "value": "AU-02_ODP[01]" - } - ], - "label": "event types", - "guidelines": [ - { - "prose": "the event types that the system is capable of logging in support of the audit function are defined;" - } - ] - }, - { - "id": "au-02_odp.02", - "props": [ - { - "name": "label", - "value": "AU-02_ODP[02]" - } - ], - "label": "event types (subset of AU-02_ODP[01])", - "guidelines": [ - { - "prose": "the event types (subset of AU-02_ODP[01]) for logging within the system are defined;" - } - ] - }, - { - "id": "au-02_odp.03", - "props": [ - { - "name": "label", - "value": "AU-02_ODP[03]" - } - ], - "label": "frequency or situation", - "guidelines": [ - { - "prose": "the frequency or situation requiring logging for each specified event type is defined;" - } - ] - }, - { - "id": "au-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-2_prm_3" - }, - { - "name": "label", - "value": "AU-02_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of event types selected for logging are reviewed and updated;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-02" - }, - { - "name": "sort-id", - "value": "au-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, au-02_odp.01 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Specify the following event types for logging within the system: {{ insert: param, au-2_prm_2 }};" - }, - { - "id": "au-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and" - }, - { - "id": "au-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Review and update the event types selected for logging {{ insert: param, au-02_odp.04 }}." - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system.\n\nTo balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage.\n\nEvent logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include [AC-2(4)](#ac-2.4), [AC-3(10)](#ac-3.10), [AC-6(9)](#ac-6.9), [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](#ia-3.3_smt.b), [MA-4(1)](#ma-4.1), [MP-4(2)](#mp-4.2), [PE-3](#pe-3), [PM-21](#pm-21), [PT-7](#pt-7), [RA-8](#ra-8), [SC-7(9)](#sc-7.9), [SC-7(15)](#sc-7.15), [SI-3(8)](#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](#si-7.8) , and [SI-10(1)](#si-10.1) . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-02_odp.01 }} that the system is capable of logging are identified in support of the audit logging function;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02b.", - "class": "sp800-53A" - } - ], - "prose": "the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-02_odp.02 }} are specified for logging within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the specified event types are logged within the system {{ insert: param, au-02_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02d.", - "class": "sp800-53A" - } - ], - "prose": "a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02e.", - "class": "sp800-53A" - } - ], - "prose": "the event types selected for logging are reviewed and updated {{ insert: param, au-02_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing auditable events\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem auditable events\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-2.1", - "class": "SP800-53-enhancement", - "title": "Compilation of Audit Records from Multiple Sources", - "props": [ - { - "name": "label", - "value": "AU-02(01)" - }, - { - "name": "sort-id", - "value": "au-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.2", - "class": "SP800-53-enhancement", - "title": "Selection of Audit Events by Component", - "props": [ - { - "name": "label", - "value": "AU-02(02)" - }, - { - "name": "sort-id", - "value": "au-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "AU-02(03)" - }, - { - "name": "sort-id", - "value": "au-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.4", - "class": "SP800-53-enhancement", - "title": "Privileged Functions", - "props": [ - { - "name": "label", - "value": "AU-02(04)" - }, - { - "name": "sort-id", - "value": "au-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "props": [ - { - "name": "label", - "value": "AU-03" - }, - { - "name": "sort-id", - "value": "au-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "Ensure that audit records contain information that establishes the following:", - "parts": [ - { - "id": "au-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "What type of event occurred;" - }, - { - "id": "au-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When the event occurred;" - }, - { - "id": "au-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Where the event occurred;" - }, - { - "id": "au-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Source of the event;" - }, - { - "id": "au-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Outcome of the event; and" - }, - { - "id": "au-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03a.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes what type of event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03b.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes when the event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03c.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes where the event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03d.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the source of the event;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03e.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the outcome of the event;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03f.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing content of audit records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nsystem incident reports\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system auditing of auditable events" - } - ] - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "params": [ - { - "id": "au-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-3.1_prm_1" - }, - { - "name": "label", - "value": "AU-03(01)_ODP" - } - ], - "label": "additional information", - "guidelines": [ - { - "prose": "additional information to be included in audit records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-03(01)" - }, - { - "name": "sort-id", - "value": "au-03.01" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "Generate audit records containing the following additional information: {{ insert: param, au-03.01_odp }}." - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03(01)", - "class": "sp800-53A" - } - ], - "prose": "generated audit records contain the following {{ insert: param, au-03.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing content of audit records\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system audit capability" - } - ] - } - ] - }, - { - "id": "au-3.2", - "class": "SP800-53-enhancement", - "title": "Centralized Management of Planned Audit Record Content", - "props": [ - { - "name": "label", - "value": "AU-03(02)" - }, - { - "name": "sort-id", - "value": "au-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-3.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "au-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-3.3_prm_1" - }, - { - "name": "label", - "value": "AU-03(03)_ODP" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements identified in the privacy risk assessment are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-03(03)" - }, - { - "name": "sort-id", - "value": "au-03.03" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: {{ insert: param, au-03.03_odp }}." - }, - { - "id": "au-3.3_gdn", - "name": "guidance", - "prose": "Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information contained in audit records is limited to {{ insert: param, au-03.03_odp }} identified in the privacy risk assessment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprivacy risk assessment\n\nprivacy risk assessment results\n\nprocedures addressing content of audit records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nthird party contracts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system audit capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Log Storage Capacity", - "params": [ - { - "id": "au-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-4_prm_1" - }, - { - "name": "label", - "value": "AU-04_ODP" - } - ], - "label": "audit log retention requirements", - "guidelines": [ - { - "prose": "audit log retention requirements are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-04" - }, - { - "name": "sort-id", - "value": "au-04" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "Allocate audit log storage capacity to accommodate {{ insert: param, au-04_odp }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-04", - "class": "sp800-53A" - } - ], - "prose": "audit log storage capacity is allocated to accommodate {{ insert: param, au-04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for system components\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "au-4.1", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage", - "params": [ - { - "id": "au-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-4.1_prm_1" - }, - { - "name": "label", - "value": "AU-04(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of audit logs transferred to a different system, system component, or media other than the system or system component conducting the logging is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-04(01)" - }, - { - "name": "sort-id", - "value": "au-04.01" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-4.1_smt", - "name": "statement", - "prose": "Transfer audit logs {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "id": "au-4.1_gdn", - "name": "guidance", - "prose": "Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is only used in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. Transferring audit logs to alternate storage is similar to [AU-9(2)](#au-9.2) in that audit logs are transferred to a different entity. However, the purpose of selecting [AU-9(2)](#au-9.2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-04(01)", - "class": "sp800-53A" - } - ], - "prose": "audit logs are transferred {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit storage capacity\n\nprocedures addressing transfer of system audit records to secondary or alternate systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogs of audit record transfers to secondary or alternate systems\n\nsystem audit records transferred to secondary or alternate systems\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit storage capacity planning responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting transfer of audit records onto a different system" - } - ] - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Logging Process Failures", - "params": [ - { - "id": "au-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_1" - }, - { - "name": "label", - "value": "AU-05_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles receiving audit logging process failure alerts are defined;" - } - ] - }, - { - "id": "au-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_2" - }, - { - "name": "label", - "value": "AU-05_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for personnel or roles receiving audit logging process failure alerts is defined;" - } - ] - }, - { - "id": "au-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_3" - }, - { - "name": "label", - "value": "AU-05_ODP[03]" - } - ], - "label": "additional actions", - "guidelines": [ - { - "prose": "additional actions to be taken in the event of an audit logging process failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05" - }, - { - "name": "sort-id", - "value": "au-05" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alert {{ insert: param, au-05_odp.01 }} within {{ insert: param, au-05_odp.02 }} in the event of an audit logging process failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-05_odp.03 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05_odp.01 }} are alerted in the event of an audit logging process failure within {{ insert: param, au-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system response to audit processing failures" - } - ] - } - ], - "controls": [ - { - "id": "au-5.1", - "class": "SP800-53-enhancement", - "title": "Storage Capacity Warning", - "params": [ - { - "id": "au-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_1" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[01]" - } - ], - "label": "personnel, roles, and/or locations", - "guidelines": [ - { - "prose": "personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity." - } - ] - }, - { - "id": "au-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_2" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for defined personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity is defined;" - } - ] - }, - { - "id": "au-05.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_3" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[03]" - } - ], - "label": "percentage", - "guidelines": [ - { - "prose": "percentage of repository maximum audit log storage capacity is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(01)" - }, - { - "name": "sort-id", - "value": "au-05.01" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.1_smt", - "name": "statement", - "prose": "Provide a warning to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity." - }, - { - "id": "au-5.1_gdn", - "name": "guidance", - "prose": "Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(01)", - "class": "sp800-53A" - } - ], - "prose": "a warning is provided to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy system configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit storage limit warnings" - } - ] - } - ] - }, - { - "id": "au-5.2", - "class": "SP800-53-enhancement", - "title": "Real-time Alerts", - "params": [ - { - "id": "au-05.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_1" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[01]" - } - ], - "label": "real-time period", - "guidelines": [ - { - "prose": "real-time period requiring alerts when audit failure events (defined in AU-05(02)_ODP[03]) occur is defined;" - } - ] - }, - { - "id": "au-05.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_2" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[02]" - } - ], - "label": "personnel, roles, and/or locations", - "guidelines": [ - { - "prose": "personnel, roles, and/or locations to be alerted in real time when audit failure events (defined in AU-05(02)_ODP[03]) occur is/are defined;" - } - ] - }, - { - "id": "au-05.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_3" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[03]" - } - ], - "label": "audit logging failure events requiring real-time alerts", - "guidelines": [ - { - "prose": "audit logging failure events requiring real-time alerts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(02)" - }, - { - "name": "sort-id", - "value": "au-05.02" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.2_smt", - "name": "statement", - "prose": "Provide an alert within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when the following audit failure events occur: {{ insert: param, au-05.02_odp.03 }}." - }, - { - "id": "au-5.2_gdn", - "name": "guidance", - "prose": "Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(02)", - "class": "sp800-53A" - } - ], - "prose": "an alert is provided within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when {{ insert: param, au-05.02_odp.03 }} occurs." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - } - ] - }, - { - "id": "au-5.3", - "class": "SP800-53-enhancement", - "title": "Configurable Traffic Volume Thresholds", - "params": [ - { - "id": "au-05.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.3_prm_1" - }, - { - "name": "label", - "value": "AU-05(03)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "reject", - "delay" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(03)" - }, - { - "name": "sort-id", - "value": "au-05.03" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.3_smt", - "name": "statement", - "prose": "Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and {{ insert: param, au-05.03_odp }} network traffic above those thresholds." - }, - { - "id": "au-5.3_gdn", - "name": "guidance", - "prose": "Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "network traffic is {{ insert: param, au-05.03_odp }} if network traffic volume reaches thresholds." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - } - ] - }, - { - "id": "au-5.4", - "class": "SP800-53-enhancement", - "title": "Shutdown on Failure", - "params": [ - { - "id": "au-05.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.4_prm_1" - }, - { - "name": "label", - "value": "AU-05(04)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "full system shutdown", - "partial system shutdown", - "degraded operational mode with limited mission or business functionality available" - ] - } - }, - { - "id": "au-05.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.4_prm_2" - }, - { - "name": "label", - "value": "AU-05(04)_ODP[02]" - } - ], - "label": "audit logging failures", - "guidelines": [ - { - "prose": "audit logging failures that trigger a change in operational mode are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(04)" - }, - { - "name": "sort-id", - "value": "au-05.04" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - }, - { - "href": "#au-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.4_smt", - "name": "statement", - "prose": "Invoke a {{ insert: param, au-05.04_odp.01 }} in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists." - }, - { - "id": "au-5.4_gdn", - "name": "guidance", - "prose": "Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05.04_odp.01 }} is invoked in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure" - } - ] - } - ] - }, - { - "id": "au-5.5", - "class": "SP800-53-enhancement", - "title": "Alternate Audit Logging Capability", - "params": [ - { - "id": "au-05.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.5_prm_1" - }, - { - "name": "label", - "value": "AU-05(05)_ODP" - } - ], - "label": "alternate audit logging functionality", - "guidelines": [ - { - "prose": "an alternate audit logging functionality in the event of a failure in primary audit logging capability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(05)" - }, - { - "name": "sort-id", - "value": "au-05.05" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - }, - { - "href": "#au-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.5_smt", - "name": "statement", - "prose": "Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}." - }, - { - "id": "au-5.5_gdn", - "name": "guidance", - "prose": "Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(05)", - "class": "sp800-53A" - } - ], - "prose": "an alternate audit logging capability is provided in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Alternate audit logging capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Record Review, Analysis, and Reporting", - "params": [ - { - "id": "au-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_1" - }, - { - "name": "label", - "value": "AU-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which system audit records are reviewed and analyzed is defined;" - } - ] - }, - { - "id": "au-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_2" - }, - { - "name": "label", - "value": "AU-06_ODP[02]" - } - ], - "label": "inappropriate or unusual activity", - "guidelines": [ - { - "prose": "inappropriate or unusual activity is defined;" - } - ] - }, - { - "id": "au-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_3" - }, - { - "name": "label", - "value": "AU-06_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to receive findings from reviews and analyses of system records is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06" - }, - { - "name": "sort-id", - "value": "au-06" - } - ], - "links": [ - { - "href": "#cfdb1858-c473-46b3-89f9-a700308d0be2", - "rel": "reference" - }, - { - "href": "#10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and analyze system audit records {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;" - }, - { - "id": "au-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report findings to {{ insert: param, au-06_odp.03 }} ; and" - }, - { - "id": "au-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06a", - "class": "sp800-53A" - } - ], - "prose": "system audit records are reviewed and analyzed {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06b", - "class": "sp800-53A" - } - ], - "prose": "findings are reported to {{ insert: param, au-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06c", - "class": "sp800-53A" - } - ], - "prose": "the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Process Integration", - "params": [ - { - "id": "au-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6.1_prm_1" - }, - { - "name": "label", - "value": "AU-06(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(01)" - }, - { - "name": "sort-id", - "value": "au-06.01" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#pm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-06.01_odp }}." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(01)", - "class": "sp800-53A" - } - ], - "prose": "audit record review, analysis, and reporting processes are integrated using {{ insert: param, au-06.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing investigation and response to suspicious activities\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms integrating audit review, analysis, and reporting processes" - } - ] - } - ] - }, - { - "id": "au-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Security Alerts", - "props": [ - { - "name": "label", - "value": "AU-06(02)" - }, - { - "name": "sort-id", - "value": "au-06.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Record Repositories", - "props": [ - { - "name": "label", - "value": "AU-06(03)" - }, - { - "name": "sort-id", - "value": "au-06.03" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "Analyze and correlate audit records across different repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(03)", - "class": "sp800-53A" - } - ], - "prose": "audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records across different repositories\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting analysis and correlation of audit records" - } - ] - } - ] - }, - { - "id": "au-6.4", - "class": "SP800-53-enhancement", - "title": "Central Review and Analysis", - "props": [ - { - "name": "label", - "value": "AU-06(04)" - }, - { - "name": "sort-id", - "value": "au-06.04" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.4_smt", - "name": "statement", - "prose": "Provide and implement the capability to centrally review and analyze audit records from multiple components within the system." - }, - { - "id": "au-6.4_gdn", - "name": "guidance", - "prose": "Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to centrally review and analyze audit records from multiple components within the system is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to centrally review and analyze audit records from multiple components within the system is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability to centralize review and analysis of audit records" - } - ] - } - ] - }, - { - "id": "au-6.5", - "class": "SP800-53-enhancement", - "title": "Integrated Analysis of Audit Records", - "params": [ - { - "id": "au-6.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-06.05_odp.01" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-6.5_prm_2 }} " - ] - } - }, - { - "id": "au-6.5_prm_2", - "depends-on": "au-6.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-06.05_odp.02" - } - ], - "label": "organization-defined data/information collected from other sources" - }, - { - "id": "au-06.05_odp.01", - "props": [ - { - "name": "label", - "value": "AU-06(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-06.05_odp.02 }} " - ] - } - }, - { - "id": "au-06.05_odp.02", - "props": [ - { - "name": "label", - "value": "AU-06(05)_ODP[02]" - } - ], - "label": "data/information collected from other sources", - "guidelines": [ - { - "prose": "data/information collected from other sources to be analyzed is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(05)" - }, - { - "name": "sort-id", - "value": "au-06.05" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.5_smt", - "name": "statement", - "prose": "Integrate analysis of audit records with analysis of {{ insert: param, au-6.5_prm_1 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "id": "au-6.5_gdn", - "name": "guidance", - "prose": "Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(05)", - "class": "sp800-53A" - } - ], - "prose": "analysis of audit records is integrated with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information, and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources" - } - ] - } - ] - }, - { - "id": "au-6.6", - "class": "SP800-53-enhancement", - "title": "Correlation with Physical Monitoring", - "props": [ - { - "name": "label", - "value": "AU-06(06)" - }, - { - "name": "sort-id", - "value": "au-06.06" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-6.6_smt", - "name": "statement", - "prose": "Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "id": "au-6.6_gdn", - "name": "guidance", - "prose": "The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual\u2019s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(06)", - "class": "sp800-53A" - } - ], - "prose": "information from audit records is correlated with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing physical access monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing evidence of correlated information obtained from audit records and physical access monitoring records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access" - } - ] - } - ] - }, - { - "id": "au-6.7", - "class": "SP800-53-enhancement", - "title": "Permitted Actions", - "params": [ - { - "id": "au-06.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6.7_prm_1" - }, - { - "name": "label", - "value": "AU-06(07)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "system process", - "role", - "user" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(07)" - }, - { - "name": "sort-id", - "value": "au-06.07" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-6.7_smt", - "name": "statement", - "prose": "Specify the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information." - }, - { - "id": "au-6.7_gdn", - "name": "guidance", - "prose": "Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(07)", - "class": "sp800-53A" - } - ], - "prose": "the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information is specified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information" - } - ] - } - ] - }, - { - "id": "au-6.8", - "class": "SP800-53-enhancement", - "title": "Full Text Analysis of Privileged Commands", - "props": [ - { - "name": "label", - "value": "AU-06(08)" - }, - { - "name": "sort-id", - "value": "au-06.08" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.8_smt", - "name": "statement", - "prose": "Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis." - }, - { - "id": "au-6.8_gdn", - "name": "guidance", - "prose": "Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(08)", - "class": "sp800-53A" - } - ], - "prose": "a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system or other system that is dedicated to that analysis is performed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntext analysis tools and techniques\n\ntext analysis documentation of audited privileged commands\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands" - } - ] - } - ] - }, - { - "id": "au-6.9", - "class": "SP800-53-enhancement", - "title": "Correlation with Information from Nontechnical Sources", - "props": [ - { - "name": "label", - "value": "AU-06(09)" - }, - { - "name": "sort-id", - "value": "au-06.09" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.9_smt", - "name": "statement", - "prose": "Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness." - }, - { - "id": "au-6.9_gdn", - "name": "guidance", - "prose": "Nontechnical sources include records that document organizational policy violations related to harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals who do not have a need to know. The correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(09)", - "class": "sp800-53A" - } - ], - "prose": "information from non-technical sources is correlated with audit record information to enhance organization-wide situational awareness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources\n\nlist of information types from non-technical sources for correlation with audit information\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to correlate information from non-technical sources" - } - ] - } - ] - }, - { - "id": "au-6.10", - "class": "SP800-53-enhancement", - "title": "Audit Level Adjustment", - "props": [ - { - "name": "label", - "value": "AU-06(10)" - }, - { - "name": "sort-id", - "value": "au-06.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Record Reduction and Report Generation", - "props": [ - { - "name": "label", - "value": "AU-07" - }, - { - "name": "sort-id", - "value": "au-07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "Provide and implement an audit record reduction and report generation capability that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit reduction and report generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "params": [ - { - "id": "au-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-7.1_prm_1" - }, - { - "name": "label", - "value": "AU-07(01)_ODP" - } - ], - "label": "fields within audit records", - "guidelines": [ - { - "prose": "fields within audit records that can be processed, sorted, or searched are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-07(01)" - }, - { - "name": "sort-id", - "value": "au-07.01" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-07.01_odp }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit reduction and report generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\naudit record criteria (fields) establishing events of interest\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ] - }, - { - "id": "au-7.2", - "class": "SP800-53-enhancement", - "title": "Automatic Sort and Search", - "props": [ - { - "name": "label", - "value": "AU-07(02)" - }, - { - "name": "sort-id", - "value": "au-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-7.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "params": [ - { - "id": "au-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-8_prm_1" - }, - { - "name": "label", - "value": "AU-08_ODP" - } - ], - "label": "granularity of time measurement", - "guidelines": [ - { - "prose": "granularity of time measurement for audit record timestamps is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-08" - }, - { - "name": "sort-id", - "value": "au-08" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Record time stamps for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08a.", - "class": "sp800-53A" - } - ], - "prose": "internal system clocks are used to generate timestamps for audit records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08b.", - "class": "sp800-53A" - } - ], - "prose": "timestamps are recorded for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or include the local time offset as part of the timestamp." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing timestamp generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing timestamp generation" - } - ] - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-08(01)" - }, - { - "name": "sort-id", - "value": "au-08.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-45.1", - "rel": "moved-to" - } - ] - }, - { - "id": "au-8.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-08(02)" - }, - { - "name": "sort-id", - "value": "au-08.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-45.2", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "params": [ - { - "id": "au-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9_prm_1" - }, - { - "name": "label", - "value": "AU-09_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09" - }, - { - "name": "sort-id", - "value": "au-09" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#au-15", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "parts": [ - { - "id": "au-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and" - }, - { - "id": "au-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Alert {{ insert: param, au-09_odp }} upon detection of unauthorized access, modification, or deletion of audit information." - } - ] - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09a.", - "class": "sp800-53A" - } - ], - "prose": "audit information and audit logging tools are protected from unauthorized access, modification, and deletion;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-09_odp }} are alerted upon detection of unauthorized access, modification, or deletion of audit information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\naudit tools\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing audit information protection" - } - ] - } - ], - "controls": [ - { - "id": "au-9.1", - "class": "SP800-53-enhancement", - "title": "Hardware Write-once Media", - "props": [ - { - "name": "label", - "value": "AU-09(01)" - }, - { - "name": "sort-id", - "value": "au-09.01" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.1_smt", - "name": "statement", - "prose": "Write audit trails to hardware-enforced, write-once media." - }, - { - "id": "au-9.1_gdn", - "name": "guidance", - "prose": "Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disc-Recordable (CD-R), Blu-Ray Disc Recordable (BD-R), and Digital Versatile Disc-Recordable (DVD-R). In contrast, the use of switchable write-protection media, such as tape cartridges, Universal Serial Bus (USB) drives, Compact Disc Re-Writeable (CD-RW), and Digital Versatile Disc-Read Write (DVD-RW) results in write-protected but not write-once media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(01)", - "class": "sp800-53A" - } - ], - "prose": "audit trails are written to hardware-enforced, write-once media." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem hardware settings\n\nsystem configuration settings and associated documentation\n\nsystem storage media\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media storing audit trails" - } - ] - } - ] - }, - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Store on Separate Physical Systems or Components", - "params": [ - { - "id": "au-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.2_prm_1" - }, - { - "name": "label", - "value": "AU-09(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of storing audit records in a repository is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(02)" - }, - { - "name": "sort-id", - "value": "au-09.02" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "Store audit records {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(02)", - "class": "sp800-53A" - } - ], - "prose": "audit records are stored {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem or media storing backups of system audit records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the backing up of audit records" - } - ] - } - ] - }, - { - "id": "au-9.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "AU-09(03)" - }, - { - "name": "sort-id", - "value": "au-09.03" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the integrity of audit information and audit tools." - }, - { - "id": "au-9.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms to protect the integrity of audit information and audit tools are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem hardware settings\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting integrity of audit information and tools" - } - ] - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "params": [ - { - "id": "au-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.4_prm_1" - }, - { - "name": "label", - "value": "AU-09(04)_ODP" - } - ], - "label": "subset of privileged users or roles", - "guidelines": [ - { - "prose": "a subset of privileged users or roles authorized to access management of audit logging functionality is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(04)" - }, - { - "name": "sort-id", - "value": "au-09.04" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "Authorize access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(04)", - "class": "sp800-53A" - } - ], - "prose": "access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }} is authorized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged users with access to management of audit functionality\n\naccess authorizations\n\naccess control list\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit functionality" - } - ] - } - ] - }, - { - "id": "au-9.5", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "au-09.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.5_prm_1" - }, - { - "name": "label", - "value": "AU-09(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "movement", - "deletion" - ] - } - }, - { - "id": "au-09.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.5_prm_2" - }, - { - "name": "label", - "value": "AU-09(05)_ODP[02]" - } - ], - "label": "audit information", - "guidelines": [ - { - "prose": "audit information for which dual authorization is to be enforced is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(05)" - }, - { - "name": "sort-id", - "value": "au-09.05" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.5_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}." - }, - { - "id": "au-9.5_gdn", - "name": "guidance", - "prose": "Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(05)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization is enforced for the {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naccess authorizations\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing enforcement of dual authorization" - } - ] - } - ] - }, - { - "id": "au-9.6", - "class": "SP800-53-enhancement", - "title": "Read-only Access", - "params": [ - { - "id": "au-09.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.6_prm_1" - }, - { - "name": "label", - "value": "AU-09(06)_ODP" - } - ], - "label": "subset of privileged users or roles", - "guidelines": [ - { - "prose": "a subset of privileged users or roles with authorized read-only access to audit information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(06)" - }, - { - "name": "sort-id", - "value": "au-09.06" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-9.6_smt", - "name": "statement", - "prose": "Authorize read-only access to audit information to {{ insert: param, au-09.06_odp }}." - }, - { - "id": "au-9.6_gdn", - "name": "guidance", - "prose": "Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, such as deleting audit records to cover up malicious activity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(06)", - "class": "sp800-53A" - } - ], - "prose": "read-only access to audit information is authorized to {{ insert: param, au-09.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged users with read-only access to audit information\n\naccess authorizations\n\naccess control list\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit information" - } - ] - } - ] - }, - { - "id": "au-9.7", - "class": "SP800-53-enhancement", - "title": "Store on Component with Different Operating System", - "props": [ - { - "name": "label", - "value": "AU-09(07)" - }, - { - "name": "sort-id", - "value": "au-09.07" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.7_smt", - "name": "statement", - "prose": "Store audit information on a component running a different operating system than the system or component being audited." - }, - { - "id": "au-9.7_gdn", - "name": "guidance", - "prose": "Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system, resulting in a compromise of the audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(07)", - "class": "sp800-53A" - } - ], - "prose": "audit information is stored on a component running a different operating system than the system or component being audited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing operating system verification capability\n\nmechanisms verifying audit information storage location" - } - ] - } - ] - } - ] - }, - { - "id": "au-10", - "class": "SP800-53", - "title": "Non-repudiation", - "params": [ - { - "id": "au-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10_prm_1" - }, - { - "name": "label", - "value": "AU-10_ODP" - } - ], - "label": "actions to be covered by non-repudiation", - "guidelines": [ - { - "prose": "actions to be covered by non-repudiation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10" - }, - { - "name": "sort-id", - "value": "au-10" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10_smt", - "name": "statement", - "prose": "Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}." - }, - { - "id": "au-10_gdn", - "name": "guidance", - "prose": "Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10", - "class": "sp800-53A" - } - ], - "prose": "irrefutable evidence is provided that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-10.1", - "class": "SP800-53-enhancement", - "title": "Association of Identities", - "params": [ - { - "id": "au-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.1_prm_1" - }, - { - "name": "label", - "value": "AU-10(01)_ODP" - } - ], - "label": "strength of binding", - "guidelines": [ - { - "prose": "the strength of binding between the identity of the information producer and the information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(01)" - }, - { - "name": "sort-id", - "value": "au-10.01" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Bind the identity of the information producer with the information to {{ insert: param, au-10.01_odp }} ; and" - }, - { - "id": "au-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide the means for authorized individuals to determine the identity of the producer of the information." - } - ] - }, - { - "id": "au-10.1_gdn", - "name": "guidance", - "prose": "Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the identity of the information producer is bound with the information to {{ insert: param, au-10.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the means for authorized individuals to determine the identity of the producer of the information is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.2", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Producer Identity", - "params": [ - { - "id": "au-10.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.2_prm_1" - }, - { - "name": "label", - "value": "AU-10(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to validate the binding of the information producer identity to the information is defined;" - } - ] - }, - { - "id": "au-10.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.2_prm_2" - }, - { - "name": "label", - "value": "AU-10(02)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "the actions to be performed in the event of a validation error are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(02)" - }, - { - "name": "sort-id", - "value": "au-10.02" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information producer identity to the information at {{ insert: param, au-10.02_odp.01 }} ; and" - }, - { - "id": "au-10.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.02_odp.02 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.2_gdn", - "name": "guidance", - "prose": "Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved by, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the binding of the information producer identity to the information {{ insert: param, au-10.02_odp.01 }} is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-10.02_odp.02 }} in the event of a validation error are performed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.3", - "class": "SP800-53-enhancement", - "title": "Chain of Custody", - "props": [ - { - "name": "label", - "value": "AU-10(03)" - }, - { - "name": "sort-id", - "value": "au-10.03" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.3_smt", - "name": "statement", - "prose": "Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released." - }, - { - "id": "au-10.3_gdn", - "name": "guidance", - "prose": "Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(03)", - "class": "sp800-53A" - } - ], - "prose": "reviewer or releaser credentials are maintained within the established chain of custody for information reviewed or released." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of information reviews and releases\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.4", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Reviewer Identity", - "params": [ - { - "id": "au-10.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.4_prm_1" - }, - { - "name": "label", - "value": "AU-10(04)_ODP[01]" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains for which the binding of the information reviewer identity to the information is to be validated at transfer or release are defined;" - } - ] - }, - { - "id": "au-10.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.4_prm_2" - }, - { - "name": "label", - "value": "AU-10(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be performed in the event of a validation error are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(04)" - }, - { - "name": "sort-id", - "value": "au-10.04" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.4_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} ; and" - }, - { - "id": "au-10.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.04_odp.02 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.4_gdn", - "name": "guidance", - "prose": "Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-10.04_odp.02 }} are performed in the event of a validation error." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.5", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "AU-10(05)" - }, - { - "name": "sort-id", - "value": "au-10.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "params": [ - { - "id": "au-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-11_prm_1" - }, - { - "name": "label", - "value": "AU-11_ODP" - } - ], - "label": "time period consistent with records retention policy", - "guidelines": [ - { - "prose": "a time period to retain audit records that is consistent with the records retention policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "Retain audit records for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-11", - "class": "sp800-53A" - } - ], - "prose": "audit records are retained for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - } - ], - "controls": [ - { - "id": "au-11.1", - "class": "SP800-53-enhancement", - "title": "Long-term Retrieval Capability", - "params": [ - { - "id": "au-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-11.1_prm_1" - }, - { - "name": "label", - "value": "AU-11(01)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to be employed to ensure that long-term audit records generated by the system can be retrieved are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-11(01)" - }, - { - "name": "sort-id", - "value": "au-11.01" - } - ], - "links": [ - { - "href": "#au-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-11.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-11.01_odp }} to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "id": "au-11.1_gdn", - "name": "guidance", - "prose": "Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining the necessary documentation to help personnel understand how to interpret the records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-11(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-11.01_odp }} are employed to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naudit record retention policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record retention capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Record Generation", - "params": [ - { - "id": "au-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12_prm_1" - }, - { - "name": "label", - "value": "AU-12_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;" - } - ] - }, - { - "id": "au-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12_prm_2" - }, - { - "name": "label", - "value": "AU-12_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide audit record generation capability for the event types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a) on {{ insert: param, au-12_odp.01 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow {{ insert: param, au-12_odp.02 }} to select the event types that are to be logged by specific components of the system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) that include the audit record content defined in [AU-3](#au-3)." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different system components. The event types specified in [AU-2d](#au-2_smt.d) are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12a.", - "class": "sp800-53A" - } - ], - "prose": "audit record generation capability for the event types the system is capable of auditing, as defined in AU-2a, are provided on {{ insert: param, au-12_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-12_odp.02 }} is/are allowed to select the event types that are to be logged by specific components of the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12c.", - "class": "sp800-53A" - } - ], - "prose": "audit records for the event types defined in AU-2c that include the audit record content defined in AU-3 are generated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of auditable events\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-12.1", - "class": "SP800-53-enhancement", - "title": "System-wide and Time-correlated Audit Trail", - "params": [ - { - "id": "au-12.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.1_prm_1" - }, - { - "name": "label", - "value": "AU-12(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail are defined;" - } - ] - }, - { - "id": "au-12.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.1_prm_2" - }, - { - "name": "label", - "value": "AU-12(01)_ODP[02]" - } - ], - "label": "level of tolerance for the relationship between timestamps of individual records in the audit trail", - "guidelines": [ - { - "prose": "level of tolerance for the relationship between timestamps of individual records in the audit trail is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(01)" - }, - { - "name": "sort-id", - "value": "au-12.01" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.1_smt", - "name": "statement", - "prose": "Compile audit records from {{ insert: param, au-12.01_odp.01 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}." - }, - { - "id": "au-12.1_gdn", - "name": "guidance", - "prose": "Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(01)", - "class": "sp800-53A" - } - ], - "prose": "audit records from {{ insert: param, au-12.01_odp.01 }} are compiled into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-wide audit trail (logical or physical)\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.2", - "class": "SP800-53-enhancement", - "title": "Standardized Formats", - "props": [ - { - "name": "label", - "value": "AU-12(02)" - }, - { - "name": "sort-id", - "value": "au-12.02" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-12.2_smt", - "name": "statement", - "prose": "Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format." - }, - { - "id": "au-12.2_gdn", - "name": "guidance", - "prose": "Audit records that follow common standards promote interoperability and information exchange between devices and systems. Promoting interoperability and information exchange facilitates the production of event information that can be readily analyzed and correlated. If logging mechanisms do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(02)", - "class": "sp800-53A" - } - ], - "prose": "a system-wide (logical or physical) audit trail composed of audit records is produced in a standardized format." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-wide audit trail (logical or physical)\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.3", - "class": "SP800-53-enhancement", - "title": "Changes by Authorized Individuals", - "params": [ - { - "id": "au-12.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_1" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[01]" - } - ], - "label": "individuals or roles", - "guidelines": [ - { - "prose": "individuals or roles authorized to change logging on system components are defined;" - } - ] - }, - { - "id": "au-12.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_2" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which logging is to be performed are defined;" - } - ] - }, - { - "id": "au-12.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_3" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[03]" - } - ], - "label": "selectable event criteria", - "guidelines": [ - { - "prose": "selectable event criteria with which change logging to be performed are defined;" - } - ] - }, - { - "id": "au-12.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_4" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[04]" - } - ], - "label": "time thresholds", - "guidelines": [ - { - "prose": "time thresholds in which logging actions are to change is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(03)" - }, - { - "name": "sort-id", - "value": "au-12.03" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }}." - }, - { - "id": "au-12.3_gdn", - "name": "guidance", - "prose": "Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of individuals or roles authorized to change auditing to be performed\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.4", - "class": "SP800-53-enhancement", - "title": "Query Parameter Audits of Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "AU-12(04)" - }, - { - "name": "sort-id", - "value": "au-12.04" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-12.4_smt", - "name": "statement", - "prose": "Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information." - }, - { - "id": "au-12.4_gdn", - "name": "guidance", - "prose": "Query parameters are explicit criteria that an individual or automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit the parameters of user query events for data sets containing personally identifiable information is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit the parameters of user query events for data sets containing personally identifiable information is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nquery event records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmap of system data actions\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-13", - "class": "SP800-53", - "title": "Monitoring for Information Disclosure", - "params": [ - { - "id": "au-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_1" - }, - { - "name": "label", - "value": "AU-13_ODP[01]" - } - ], - "label": "open-source information and/or information sites", - "guidelines": [ - { - "prose": "open-source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information is/are defined;" - } - ] - }, - { - "id": "au-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_2" - }, - { - "name": "label", - "value": "AU-13_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which open-source information and/or information sites are monitored for evidence of unauthorized disclosure of organizational information is defined;" - } - ] - }, - { - "id": "au-13_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_3" - }, - { - "name": "label", - "value": "AU-13_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified if an information disclosure is discovered is/are defined;" - } - ] - }, - { - "id": "au-13_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_4" - }, - { - "name": "label", - "value": "AU-13_ODP[04]" - } - ], - "label": "additional actions", - "guidelines": [ - { - "prose": "additional actions to be taken if an information disclosure is discovered are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13" - }, - { - "name": "sort-id", - "value": "au-13" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-13_smt", - "name": "statement", - "parts": [ - { - "id": "au-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor {{ insert: param, au-13_odp.01 }} {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information; and" - }, - { - "id": "au-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "If an information disclosure is discovered:", - "parts": [ - { - "id": "au-13_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Notify {{ insert: param, au-13_odp.03 }} ; and" - }, - { - "id": "au-13_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-13_odp.04 }}." - } - ] - } - ] - }, - { - "id": "au-13_gdn", - "name": "guidance", - "prose": "Unauthorized disclosure of information is a form of data leakage. Open-source information includes social networking sites and code-sharing platforms and repositories. Examples of organizational information include personally identifiable information retained by the organization or proprietary information generated by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.01 }} are monitored {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.01", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.03 }} are notified if an information disclosure is discovered;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.02", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.04 }} are taken if an information disclosure is discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmonitoring records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring open-source information and/or information sites\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing monitoring for information disclosure" - } - ] - } - ], - "controls": [ - { - "id": "au-13.1", - "class": "SP800-53-enhancement", - "title": "Use of Automated Tools", - "params": [ - { - "id": "au-13.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13.1_prm_1" - }, - { - "name": "label", - "value": "AU-13(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for monitoring open-source information and information sites are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(01)" - }, - { - "name": "sort-id", - "value": "au-13.01" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.1_smt", - "name": "statement", - "prose": "Monitor open-source information and information sites using {{ insert: param, au-13.01_odp }}." - }, - { - "id": "au-13.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include commercial services that provide notifications and alerts to organizations and automated scripts to monitor new posts on websites." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(01)", - "class": "sp800-53A" - } - ], - "prose": "open-source information and information sites are monitored using {{ insert: param, au-13.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nautomated monitoring tools\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring information disclosures\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing monitoring for information disclosure" - } - ] - } - ] - }, - { - "id": "au-13.2", - "class": "SP800-53-enhancement", - "title": "Review of Monitored Sites", - "params": [ - { - "id": "au-13.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13.2_prm_1" - }, - { - "name": "label", - "value": "AU-13(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the open-source information sites being monitored is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(02)" - }, - { - "name": "sort-id", - "value": "au-13.02" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.2_smt", - "name": "statement", - "prose": "Review the list of open-source information sites being monitored {{ insert: param, au-13.02_odp }}." - }, - { - "id": "au-13.2_gdn", - "name": "guidance", - "prose": "Reviewing the current list of open-source information sites being monitored on a regular basis helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open-source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(02)", - "class": "sp800-53A" - } - ], - "prose": "the list of open-source information sites being monitored is reviewed {{ insert: param, au-13.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreviews for open-source information sites being monitored\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring open-source information sites\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing monitoring for information disclosure" - } - ] - } - ] - }, - { - "id": "au-13.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Replication of Information", - "props": [ - { - "name": "label", - "value": "AU-13(03)" - }, - { - "name": "sort-id", - "value": "au-13.03" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.3_smt", - "name": "statement", - "prose": "Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "id": "au-13.3_gdn", - "name": "guidance", - "prose": "The unauthorized use or replication of organizational information by external entities can cause adverse impacts on organizational operations and assets, including damage to reputation. Such activity can include the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques, and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize the unauthorized use of organizational information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(03)", - "class": "sp800-53A" - } - ], - "prose": "discovery techniques, processes, and tools are employed to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nprocedures addressing information replication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\ntraining resources for staff to recognize the unauthorized use of organizational information\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring unauthorized replication of information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Discovery tools for identifying unauthorized information replication" - } - ] - } - ] - } - ] - }, - { - "id": "au-14", - "class": "SP800-53", - "title": "Session Audit", - "params": [ - { - "id": "au-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_1" - }, - { - "name": "label", - "value": "AU-14_ODP[01]" - } - ], - "label": "users or roles", - "guidelines": [ - { - "prose": "users or roles who can audit the content of a user session are defined;" - } - ] - }, - { - "id": "au-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_2" - }, - { - "name": "label", - "value": "AU-14_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "record", - "view", - "hear", - "log" - ] - } - }, - { - "id": "au-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_3" - }, - { - "name": "label", - "value": "AU-14_ODP[03]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances under which the content of a user session can be audited are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-14" - }, - { - "name": "sort-id", - "value": "au-14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14_smt", - "name": "statement", - "parts": [ - { - "id": "au-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide and implement the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} ; and" - }, - { - "id": "au-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "au-14_gdn", - "name": "guidance", - "prose": "Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session audit capability is implemented in addition to event logging and may involve implementation of specialized session capture technology. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk as well as how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including the use of personally identifiable information, are appropriately addressed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-14_odp.01 }} provided with the capability to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} is implemented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are developed in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are integrated in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[03]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are used in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nlegal counsel\n\npersonnel with civil liberties responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing user session auditing capability" - } - ] - } - ], - "controls": [ - { - "id": "au-14.1", - "class": "SP800-53-enhancement", - "title": "System Start-up", - "props": [ - { - "name": "label", - "value": "AU-14(01)" - }, - { - "name": "sort-id", - "value": "au-14.01" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-14.1_smt", - "name": "statement", - "prose": "Initiate session audits automatically at system start-up." - }, - { - "id": "au-14.1_gdn", - "name": "guidance", - "prose": "The automatic initiation of session audits at startup helps to ensure that the information being captured on selected individuals is complete and not subject to compromise through tampering by malicious threat actors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(01)", - "class": "sp800-53A" - } - ], - "prose": "session audits are initiated automatically at system start-up." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session auditing capability" - } - ] - } - ] - }, - { - "id": "au-14.2", - "class": "SP800-53-enhancement", - "title": "Capture and Record Content", - "props": [ - { - "name": "label", - "value": "AU-14(02)" - }, - { - "name": "sort-id", - "value": "au-14.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-14.3", - "class": "SP800-53-enhancement", - "title": "Remote Viewing and Listening", - "props": [ - { - "name": "label", - "value": "AU-14(03)" - }, - { - "name": "sort-id", - "value": "au-14.03" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time." - }, - { - "id": "au-14.3_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability for authorized users to remotely view and hear content related to an established user session in real time is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for authorized users to remotely view and hear content related to an established user session in real time is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nlegal counsel\n\npersonnel with civil liberties responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session auditing capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-15", - "class": "SP800-53", - "title": "Alternate Audit Logging Capability", - "props": [ - { - "name": "label", - "value": "AU-15" - }, - { - "name": "sort-id", - "value": "au-15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-5.5", - "rel": "moved-to" - } - ] - }, - { - "id": "au-16", - "class": "SP800-53", - "title": "Cross-organizational Audit Logging", - "params": [ - { - "id": "au-16_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16_prm_1" - }, - { - "name": "label", - "value": "AU-16_ODP[01]" - } - ], - "label": "methods", - "guidelines": [ - { - "prose": "methods for coordinating audit information among external organizations when audit information is transmitted across organizational boundaries are defined;" - } - ] - }, - { - "id": "au-16_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16_prm_2" - }, - { - "name": "label", - "value": "AU-16_ODP[02]" - } - ], - "label": "audit information", - "guidelines": [ - { - "prose": "audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16" - }, - { - "name": "sort-id", - "value": "au-16" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries." - }, - { - "id": "au-16_gdn", - "name": "guidance", - "prose": "When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals who request specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals who issue requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing methods for coordinating audit information among external organizations\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for coordinating audit information among external organizations\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cross-organizational auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-16.1", - "class": "SP800-53-enhancement", - "title": "Identity Preservation", - "props": [ - { - "name": "label", - "value": "AU-16(01)" - }, - { - "name": "sort-id", - "value": "au-16.01" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.1_smt", - "name": "statement", - "prose": "Preserve the identity of individuals in cross-organizational audit trails." - }, - { - "id": "au-16.1_gdn", - "name": "guidance", - "prose": "Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(01)", - "class": "sp800-53A" - } - ], - "prose": "the identity of individuals in cross-organizational audit trails is preserved." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational audit trails\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with cross-organizational audit responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cross-organizational auditing (if applicable)" - } - ] - } - ] - }, - { - "id": "au-16.2", - "class": "SP800-53-enhancement", - "title": "Sharing of Audit Information", - "params": [ - { - "id": "au-16.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.2_prm_1" - }, - { - "name": "label", - "value": "AU-16(02)_ODP[01]" - } - ], - "label": "organizations", - "guidelines": [ - { - "prose": "organizations with which cross-organizational audit information is to be shared are defined;" - } - ] - }, - { - "id": "au-16.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.2_prm_2" - }, - { - "name": "label", - "value": "AU-16(02)_ODP[02]" - } - ], - "label": "cross-organizational sharing agreements", - "guidelines": [ - { - "prose": "cross-organizational sharing agreements to be used when providing cross-organizational audit information to organizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(02)" - }, - { - "name": "sort-id", - "value": "au-16.02" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.2_smt", - "name": "statement", - "prose": "Provide cross-organizational audit information to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}." - }, - { - "id": "au-16.2_gdn", - "name": "guidance", - "prose": "Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals\u2019 home organizations have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(02)", - "class": "sp800-53A" - } - ], - "prose": "cross-organizational audit information is provided to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational sharing of audit information\n\ninformation sharing agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for sharing cross-organizational audit information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "au-16.3", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "au-16.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.3_prm_1" - }, - { - "name": "label", - "value": "AU-16(03)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to disassociate individuals from audit information transmitted across organizational boundaries are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(03)" - }, - { - "name": "sort-id", - "value": "au-16.03" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, au-16.03_odp }} to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "id": "au-16.3_gdn", - "name": "guidance", - "prose": "Preserving identities in audit trails could have privacy ramifications, such as enabling the tracking and profiling of individuals, but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Implementing privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-16.03_odp }} are implemented to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational sharing of audit information\n\npolicy and/or procedures regarding the deidentification of PII\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for sharing cross-organizational audit information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing disassociability" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Assessment, Authorization, and Monitoring", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ca-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ca-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-01_odp.01", - "props": [ - { - "name": "label", - "value": "CA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the assessment, authorization, and monitoring policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ca-01_odp.02", - "props": [ - { - "name": "label", - "value": "CA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the assessment, authorization, and monitoring procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ca-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_2" - }, - { - "name": "label", - "value": "CA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ca-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_3" - }, - { - "name": "label", - "value": "CA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the assessment, authorization, and monitoring policy and procedures is defined;" - } - ] - }, - { - "id": "ca-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_4" - }, - { - "name": "label", - "value": "CA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ca-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_5" - }, - { - "name": "label", - "value": "CA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ca-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_6" - }, - { - "name": "label", - "value": "CA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ca-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_7" - }, - { - "name": "label", - "value": "CA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-01" - }, - { - "name": "sort-id", - "value": "ca-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#62ea77ca-e450-4323-b210-e0d75390e785", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy that:", - "parts": [ - { - "id": "ca-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ca-01_odp.04 }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and" - }, - { - "id": "ca-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current assessment, authorization, and monitoring:", - "parts": [ - { - "id": "ca-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ca-01_odp.05 }} and following {{ insert: param, ca-01_odp.06 }} ; and" - }, - { - "id": "ca-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ca-01_odp.07 }} and following {{ insert: param, ca-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an assessment, authorization, and monitoring policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the assessment, authorization, and monitoring policy is disseminated to {{ insert: param, ca-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the assessment, authorization, and monitoring procedures are disseminated to {{ insert: param, ca-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses scope;[03] SELECTED PARAMETER(S)> assessment, authorization, and monitoring policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses roles;[03] SELECTED PARAMETER(S)> assessment, authorization, and monitoring policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring policy is reviewed and updated {{ insert: param, ca-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring policy is reviewed and updated following {{ insert: param, ca-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring procedures are reviewed and updated {{ insert: param, ca-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring procedures are reviewed and updated following {{ insert: param, ca-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment, authorization, and monitoring policy responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Control Assessments", - "params": [ - { - "id": "ca-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2_prm_1" - }, - { - "name": "label", - "value": "CA-02_ODP[01]" - } - ], - "label": "assessment frequency", - "guidelines": [ - { - "prose": "the frequency at which to assess controls in the system and its environment of operation is defined;" - } - ] - }, - { - "id": "ca-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2_prm_2" - }, - { - "name": "label", - "value": "CA-02_ODP[02]" - } - ], - "label": "individuals or roles", - "guidelines": [ - { - "prose": "individuals or roles to whom control assessment results are to be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02" - }, - { - "name": "sort-id", - "value": "ca-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Select the appropriate assessor or assessment team for the type of assessment to be conducted;" - }, - { - "id": "ca-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop a control assessment plan that describes the scope of the assessment including:", - "parts": [ - { - "id": "ca-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Assessment procedures to be used to determine control effectiveness; and" - }, - { - "id": "ca-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Assess the controls in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;" - }, - { - "id": "ca-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Produce a control assessment report that document the results of the assessment; and" - }, - { - "id": "ca-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Provide the results of the control assessment to {{ insert: param, ca-02_odp.02 }}." - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented.\n\nOrganizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes.\n\nOrganizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs.\n\nOrganizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives.\n\nTo satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of [CA-2](#ca-2)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02a.", - "class": "sp800-53A" - } - ], - "prose": "an appropriate assessor or assessment team is selected for the type of assessment to be conducted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.01", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.02", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including the assessment environment;\n\na control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including the assessment team;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02c.", - "class": "sp800-53A" - } - ], - "prose": "the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.[01]", - "class": "sp800-53A" - } - ], - "prose": "controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.[02]", - "class": "sp800-53A" - } - ], - "prose": "controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02e.", - "class": "sp800-53A" - } - ], - "prose": "a control assessment report is produced that documents the results of the assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02f.", - "class": "sp800-53A" - } - ], - "prose": "the results of the control assessment are provided to {{ insert: param, ca-02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing assessment planning\n\nprocedures addressing control assessments\n\ncontrol assessment plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "props": [ - { - "name": "label", - "value": "CA-02(01)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to conduct control assessments." - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services.\n\nIndependent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews.\n\nWhen organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "independent assessors or assessment teams are employed to conduct control assessments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\nprevious control assessment plan\n\nprevious control assessment report\n\nplan of action and milestones\n\nexisting authorization statement\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "params": [ - { - "id": "ca-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_1" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[01]" - } - ], - "label": "specialized assessment frequency", - "guidelines": [ - { - "prose": "frequency at which to include specialized assessments as part of the control assessment is defined;" - } - ] - }, - { - "id": "ca-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_2" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[02]" - } - ], - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - }, - { - "id": "ca-02.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_3" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "in-depth monitoring", - "security instrumentation", - "automated security test cases", - "vulnerability scanning", - "malicious user testing", - "insider threat assessment", - "performance and load testing", - "data leakage or data loss assessment", - " {{ insert: param, ca-02.02_odp.04 }} " - ] - } - }, - { - "id": "ca-02.02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_4" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[04]" - } - ], - "label": "other forms of assessment", - "guidelines": [ - { - "prose": "other forms of assessment are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02(02)" - }, - { - "name": "sort-id", - "value": "ca-02.02" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "Include as part of control assessments, {{ insert: param, ca-02.02_odp.01 }}, {{ insert: param, ca-02.02_odp.02 }}, {{ insert: param, ca-02.02_odp.03 }}." - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-02.02_odp.01 }} {{ insert: param, ca-02.02_odp.02 }} {{ insert: param, ca-02.02_odp.03 }} is/are included as part of control assessments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting control assessment" - } - ] - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "Leveraging Results from External Organizations", - "params": [ - { - "id": "ca-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_1" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations from which the results of control assessments are leveraged are defined;" - } - ] - }, - { - "id": "ca-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_2" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[02]" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "system on which a control assessment was performed by an external organization is defined;" - } - ] - }, - { - "id": "ca-02.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_3" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[03]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements to be met by the control assessment performed by an external organization on the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02(03)" - }, - { - "name": "sort-id", - "value": "ca-02.03" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "Leverage the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} when the assessment meets {{ insert: param, ca-02.03_odp.03 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization\u2019s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program [ISO 15408-1](#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73) , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(03)", - "class": "sp800-53A" - } - ], - "prose": "the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} are leveraged when the assessment meets {{ insert: param, ca-02.03_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\ncontrol assessment requirements\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel performing control assessments for the specified external organization" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "Information Exchange", - "params": [ - { - "id": "ca-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_1" - }, - { - "name": "label", - "value": "CA-03_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "interconnection security agreements", - "information exchange security agreements", - "memoranda of understanding or agreement", - "service level agreements", - "user agreements", - "non-disclosure agreements", - " {{ insert: param, ca-03_odp.02 }} " - ] - } - }, - { - "id": "ca-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_2" - }, - { - "name": "label", - "value": "CA-03_ODP[02]" - } - ], - "label": "type of agreement", - "guidelines": [ - { - "prose": "the type of agreement used to approve and manage the exchange of information is defined (if selected);" - } - ] - }, - { - "id": "ca-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_3" - }, - { - "name": "label", - "value": "CA-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update agreements is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-03" - }, - { - "name": "sort-id", - "value": "ca-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#c3a76872-e160-4267-99e8-6952de967d04", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and manage the exchange of information between the system and other systems using {{ insert: param, ca-03_odp.01 }};" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the agreements {{ insert: param, ca-03_odp.03 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in [CA-6(1)](#ca-6.1) or [CA-6(2)](#ca-6.2) , may help to communicate and reduce risk.\n\nAuthorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from [CA-3a](#ca-3_smt.a) in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03a.", - "class": "sp800-53A" - } - ], - "prose": "the exchange of information between system and other systems is approved and managed using {{ insert: param, ca-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the interface characteristics are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "security requirements are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy requirements are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[04]", - "class": "sp800-53A" - } - ], - "prose": "controls are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[05]", - "class": "sp800-53A" - } - ], - "prose": "responsibilities for each system are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[06]", - "class": "sp800-53A" - } - ], - "prose": "the impact level of the information communicated is documented as part of each exchange agreement;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03c.", - "class": "sp800-53A" - } - ], - "prose": "agreements are reviewed and updated {{ insert: param, ca-03_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection security agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel managing the system(s) to which the interconnection security agreement applies" - } - ] - } - ], - "controls": [ - { - "id": "ca-3.1", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(01)" - }, - { - "name": "sort-id", - "value": "ca-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.25", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.2", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(02)" - }, - { - "name": "sort-id", - "value": "ca-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.26", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(03)" - }, - { - "name": "sort-id", - "value": "ca-03.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.27", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.4", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "props": [ - { - "name": "label", - "value": "CA-03(04)" - }, - { - "name": "sort-id", - "value": "ca-03.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.28", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions on External System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(05)" - }, - { - "name": "sort-id", - "value": "ca-03.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.5", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.6", - "class": "SP800-53-enhancement", - "title": "Transfer Authorizations", - "props": [ - { - "name": "label", - "value": "CA-03(06)" - }, - { - "name": "sort-id", - "value": "ca-03.06" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.6_smt", - "name": "statement", - "prose": "Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "id": "ca-3.6_gdn", - "name": "guidance", - "prose": "To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies\u2014via independent means\u2014 whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(06)", - "class": "sp800-53A" - } - ], - "prose": "individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontrol assessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing connections to external systems\n\nnetwork administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system connections" - } - ] - } - ] - }, - { - "id": "ca-3.7", - "class": "SP800-53-enhancement", - "title": "Transitive Information Exchanges", - "props": [ - { - "name": "label", - "value": "CA-03(07)" - }, - { - "name": "sort-id", - "value": "ca-03.07" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.7_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify transitive (downstream) information exchanges with other systems through the systems identified in [CA-3a](#ca-3_smt.a) ; and" - }, - { - "id": "ca-3.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "id": "ca-3.7_gdn", - "name": "guidance", - "prose": "Transitive or \"downstream\" information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission-essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential to understanding the security and privacy risks resulting from those information exchanges. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges, which can make the organizational systems more susceptible to threats, hazards, and adverse impacts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "transitive (downstream) information exchanges with other systems through the systems identified in CA-03a are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "measures are taken to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontrol assessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing connections to external systems\n\nnetwork administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system connections" - } - ] - } - ] - } - ] - }, - { - "id": "ca-4", - "class": "SP800-53", - "title": "Security Certification", - "props": [ - { - "name": "label", - "value": "CA-04" - }, - { - "name": "sort-id", - "value": "ca-04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "params": [ - { - "id": "ca-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-5_prm_1" - }, - { - "name": "label", - "value": "CA-05_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-05" - }, - { - "name": "sort-id", - "value": "ca-05" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update existing plan of action and milestones {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities." - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05a.", - "class": "sp800-53A" - } - ], - "prose": "a plan of action and milestones for the system is developed to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05b.", - "class": "sp800-53A" - } - ], - "prose": "existing plan of action and milestones are updated {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing plan of action and milestones\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action and milestones" - } - ] - } - ], - "controls": [ - { - "id": "ca-5.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "ca-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-5.1_prm_1" - }, - { - "name": "label", - "value": "CA-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-05(01)" - }, - { - "name": "sort-id", - "value": "ca-05.01" - } - ], - "links": [ - { - "href": "#ca-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-5.1_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using {{ insert: param, ca-05.01_odp }}." - }, - { - "id": "ca-5.1_gdn", - "name": "guidance", - "prose": "Using automated tools helps maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing help to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-05.01_odp }} are used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing plan of action and milestones\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining a plan of action and milestones" - } - ] - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Authorization", - "params": [ - { - "id": "ca-06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-6_prm_1" - }, - { - "name": "label", - "value": "CA-06_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to update the authorizations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-06" - }, - { - "name": "sort-id", - "value": "ca-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a senior official as the authorizing official for the system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure that the authorizing official for the system, before commencing operations:", - "parts": [ - { - "id": "ca-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Accepts the use of common controls inherited by the system; and" - }, - { - "id": "ca-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Authorizes the system to operate;" - } - ] - }, - { - "id": "ca-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the authorizations {{ insert: param, ca-06_odp }}." - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities.\n\nAuthorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06a.", - "class": "sp800-53A" - } - ], - "prose": "a senior official is assigned as the authorizing official for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06b.", - "class": "sp800-53A" - } - ], - "prose": "a senior official is assigned as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.01", - "class": "sp800-53A" - } - ], - "prose": "before commencing operations, the authorizing official for the system accepts the use of common controls inherited by the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.02", - "class": "sp800-53A" - } - ], - "prose": "before commencing operations, the authorizing official for the system authorizes the system to operate;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06d.", - "class": "sp800-53A" - } - ], - "prose": "the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06e.", - "class": "sp800-53A" - } - ], - "prose": "the authorizations are updated {{ insert: param, ca-06_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan, privacy plan, assessment report, plan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ], - "controls": [ - { - "id": "ca-6.1", - "class": "SP800-53-enhancement", - "title": "Joint Authorization \u2014 Intra-organization", - "props": [ - { - "name": "label", - "value": "CA-06(01)" - }, - { - "name": "sort-id", - "value": "ca-06.01" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.1_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization." - }, - { - "id": "ca-6.1_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "a joint authorization process is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the joint authorization process employed for the system includes multiple authorizing officials from the same organization conducting the authorization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan\n\nprivacy plan\n\nassessment report\n\nplan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ] - }, - { - "id": "ca-6.2", - "class": "SP800-53-enhancement", - "title": "Joint Authorization \u2014 Inter-organization", - "props": [ - { - "name": "label", - "value": "CA-06(02)" - }, - { - "name": "sort-id", - "value": "ca-06.02" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.2_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - }, - { - "id": "ca-6.2_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials, at least one of whom comes from an external organization, to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization that owns or hosts the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "a joint authorization process is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the joint authorization process employed for the system includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan\n\nprivacy plan\n\nassessment report\n\nplan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "params": [ - { - "id": "ca-7_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ca-07_odp.04" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-7_prm_5", - "props": [ - { - "name": "aggregates", - "value": "ca-07_odp.05" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "ca-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_1" - }, - { - "name": "label", - "value": "CA-07_ODP[01]" - } - ], - "label": "system-level metrics", - "guidelines": [ - { - "prose": "system-level metrics to be monitored are defined;" - } - ] - }, - { - "id": "ca-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_2" - }, - { - "name": "label", - "value": "CA-07_ODP[02]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "frequencies at which to monitor control effectiveness are defined;" - } - ] - }, - { - "id": "ca-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_3" - }, - { - "name": "label", - "value": "CA-07_ODP[03]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "frequencies at which to assess control effectiveness are defined;" - } - ] - }, - { - "id": "ca-07_odp.04", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the security status of the system is reported are defined;" - } - ] - }, - { - "id": "ca-07_odp.05", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which the security status of the system is reported is defined;" - } - ] - }, - { - "id": "ca-07_odp.06", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the privacy status of the system is reported are defined;" - } - ] - }, - { - "id": "ca-07_odp.07", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which the privacy status of the system is reported is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07" - }, - { - "name": "sort-id", - "value": "ca-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-31", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following system-level metrics to be monitored: {{ insert: param, ca-07_odp.01 }};" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, ca-07_odp.02 }} for monitoring and {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}." - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms \"continuous\" and \"ongoing\" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.\n\nAutomation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PM-31](#pm-31), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SR-4](#sr-4), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) , and [SI-4](#si-4)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07[01]", - "class": "sp800-53A" - } - ], - "prose": "a system-level continuous monitoring strategy is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring is implemented in accordance with the organization-level continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07a.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes establishment of the following system-level metrics to be monitored {{ insert: param, ca-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes established {{ insert: param, ca-07_odp.02 }} for monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes established {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07c.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07d.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07e.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07f.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes response actions to address the results of the analysis of control assessment and monitoring information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.[01]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes reporting the security status of the system to {{ insert: param, ca-07_odp.04 }} {{ insert: param, ca-07_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes reporting the privacy status of the system to {{ insert: param, ca-07_odp.06 }} {{ insert: param, ca-07_odp.07 }} ._ODP[07] frequency>." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nprocedures addressing configuration management\n\ncontrol assessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nconfiguration management records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring\n\nmechanisms supporting response actions to address assessment and monitoring results\n\nmechanisms supporting security and privacy status reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "props": [ - { - "name": "label", - "value": "CA-07(01)" - }, - { - "name": "sort-id", - "value": "ca-07.01" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(01)", - "class": "sp800-53A" - } - ], - "prose": "independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\ncontrol assessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-7.2", - "class": "SP800-53-enhancement", - "title": "Types of Assessments", - "props": [ - { - "name": "label", - "value": "CA-07(02)" - }, - { - "name": "sort-id", - "value": "ca-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-7.3", - "class": "SP800-53-enhancement", - "title": "Trend Analyses", - "props": [ - { - "name": "label", - "value": "CA-07(03)" - }, - { - "name": "sort-id", - "value": "ca-07.03" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.3_smt", - "name": "statement", - "prose": "Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data." - }, - { - "id": "ca-7.3_gdn", - "name": "guidance", - "prose": "Trend analyses include examining recent threat information that addresses the types of threat events that have occurred in the organization or the Federal Government, success rates of certain types of attacks, emerging vulnerabilities in technologies, evolving social engineering techniques, the effectiveness of configuration settings, results from multiple control assessments, and findings from Inspectors General or auditors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if control implementations used in the continuous monitoring process need to be modified based on empirical data;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if the frequency of continuous monitoring activities used in the continuous monitoring process needs to be modified based on empirical data;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if the types of activities used in the continuous monitoring process need to be modified based on empirical data." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nassessment, authorization, and monitoring policy\n\nprocedures addressing continuous monitoring of system controls\n\nprivacy controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting trend analyses" - } - ] - } - ] - }, - { - "id": "ca-7.4", - "class": "SP800-53-enhancement", - "title": "Risk Monitoring", - "props": [ - { - "name": "label", - "value": "CA-07(04)" - }, - { - "name": "sort-id", - "value": "ca-07.04" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.4_smt", - "name": "statement", - "prose": "Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:", - "parts": [ - { - "id": "ca-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Effectiveness monitoring;" - }, - { - "id": "ca-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Compliance monitoring; and" - }, - { - "id": "ca-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change monitoring." - } - ] - }, - { - "id": "ca-7.4_gdn", - "name": "guidance", - "prose": "Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)", - "class": "sp800-53A" - } - ], - "prose": "risk monitoring is an integral part of the continuous monitoring strategy;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "effectiveness monitoring is included in risk monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "compliance monitoring is included in risk monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "change monitoring is included in risk monitoring." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting risk monitoring" - } - ] - } - ] - }, - { - "id": "ca-7.5", - "class": "SP800-53-enhancement", - "title": "Consistency Analysis", - "params": [ - { - "id": "ca-7.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ca-07.05_odp.01" - } - ], - "label": "organization-defined actions" - }, - { - "id": "ca-07.05_odp.01", - "props": [ - { - "name": "label", - "value": "CA-07(05)_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to validate that policies are established are defined;" - } - ] - }, - { - "id": "ca-07.05_odp.02", - "props": [ - { - "name": "label", - "value": "CA-07(05)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to validate that implemented controls are operating in a consistent manner are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07(05)" - }, - { - "name": "sort-id", - "value": "ca-07.05" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.5_smt", - "name": "statement", - "prose": "Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: {{ insert: param, ca-7.5_prm_1 }}." - }, - { - "id": "ca-7.5_gdn", - "name": "guidance", - "prose": "Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent, and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). In other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate\u2014through testing, monitoring, and analysis\u2014that the implemented controls are operating in a consistent, coordinated, non-interfering manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.05_odp.01 }} are employed to validate that policies are established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.05_odp.02 }} are employed to validate that implemented controls are operating in a consistent manner." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system security controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nsecurity impact analyses\n\nstatus reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting consistency analyses" - } - ] - } - ] - }, - { - "id": "ca-7.6", - "class": "SP800-53-enhancement", - "title": "Automation Support for Monitoring", - "params": [ - { - "id": "ca-07.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7.6_prm_1" - }, - { - "name": "label", - "value": "CA-07(06)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to ensure the accuracy, currency, and availability of monitoring results for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07(06)" - }, - { - "name": "sort-id", - "value": "ca-07.06" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.6_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of monitoring results for the system using {{ insert: param, ca-07.06_odp }}." - }, - { - "id": "ca-7.6_gdn", - "name": "guidance", - "prose": "Using automated tools for monitoring helps to maintain the accuracy, currency, and availability of monitoring information which in turns helps to increase the level of ongoing awareness of the system security and privacy posture in support of organizational risk management decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.06_odp }} are used to ensure the accuracy, currency, and availability of monitoring results for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting automated monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "params": [ - { - "id": "ca-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8_prm_1" - }, - { - "name": "label", - "value": "CA-08_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to conduct penetration testing on systems or system components is defined;" - } - ] - }, - { - "id": "ca-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8_prm_2" - }, - { - "name": "label", - "value": "CA-08_ODP[02]" - } - ], - "label": "system(s) or system components", - "guidelines": [ - { - "prose": "systems or system components on which penetration testing is to be conducted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-08" - }, - { - "name": "sort-id", - "value": "ca-08" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "Conduct penetration testing {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}." - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).\n\nOrganizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08", - "class": "sp800-53A" - } - ], - "prose": "penetration testing is conducted {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nassessment plan\n\npenetration test report\n\nassessment report\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting penetration testing" - } - ] - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Testing Agent or Team", - "props": [ - { - "name": "label", - "value": "CA-08(01)" - }, - { - "name": "sort-id", - "value": "ca-08.01" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "Employ an independent penetration testing agent or team to perform penetration testing on the system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) provides additional information on independent assessments that can be applied to penetration testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(01)", - "class": "sp800-53A" - } - ], - "prose": "an independent penetration testing agent or team is employed to perform penetration testing on the system or system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nassessment plan\n\npenetration test report\n\nassessment report\n\nsecurity assessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-8.2", - "class": "SP800-53-enhancement", - "title": "Red Team Exercises", - "params": [ - { - "id": "ca-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.2_prm_1" - }, - { - "name": "label", - "value": "CA-08(02)_ODP" - } - ], - "label": "red team exercises", - "guidelines": [ - { - "prose": "red team exercises to simulate attempts by adversaries to compromise organizational systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-08(02)" - }, - { - "name": "sort-id", - "value": "ca-08.02" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-8.2_smt", - "name": "statement", - "prose": "Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-08.02_odp }}." - }, - { - "id": "ca-8.2_gdn", - "name": "guidance", - "prose": "Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-08.02_odp }} are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nprocedures addressing red team exercises\n\nassessment plan\n\nresults of red team exercises\n\npenetration test report\n\nassessment report\n\nrules of engagement\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the employment of red team exercises" - } - ] - } - ] - }, - { - "id": "ca-8.3", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "params": [ - { - "id": "ca-08.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.3_prm_1" - }, - { - "name": "label", - "value": "CA-08(03)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to employ penetration testing that attempts to bypass or circumvent controls associated with physical access points to the facility is defined;" - } - ] - }, - { - "id": "ca-08.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.3_prm_2" - }, - { - "name": "label", - "value": "CA-08(03)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "announced", - "unannounced" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CA-08(03)" - }, - { - "name": "sort-id", - "value": "ca-08.03" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.3_smt", - "name": "statement", - "prose": "Employ a penetration testing process that includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to the facility." - }, - { - "id": "ca-8.3_gdn", - "name": "guidance", - "prose": "Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(03)", - "class": "sp800-53A" - } - ], - "prose": "the penetration testing process includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to facility." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nprocedures addressing red team exercises\n\nassessment plan\n\nresults of red team exercises\n\npenetration test report\n\nassessment report\n\nrules of engagement\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the employment of red team exercises" - } - ] - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "params": [ - { - "id": "ca-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_1" - }, - { - "name": "label", - "value": "CA-09_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components or classes of components requiring internal connections to the system are defined;" - } - ] - }, - { - "id": "ca-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_2" - }, - { - "name": "label", - "value": "CA-09_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions requiring termination of internal connections are defined;" - } - ] - }, - { - "id": "ca-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_3" - }, - { - "name": "label", - "value": "CA-09_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the continued need for each internal connection is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-09" - }, - { - "name": "sort-id", - "value": "ca-09" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize internal connections of {{ insert: param, ca-09_odp.01 }} to the system;" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;" - }, - { - "id": "ca-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Terminate internal system connections after {{ insert: param, ca-09_odp.02 }} ; and" - }, - { - "id": "ca-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review {{ insert: param, ca-09_odp.03 }} the continued need for each internal connection." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09a.", - "class": "sp800-53A" - } - ], - "prose": "internal connections of {{ insert: param, ca-09_odp.01 }} to the system are authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the interface characteristics are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the security requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[03]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the privacy requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[04]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the nature of the information communicated is documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09c.", - "class": "sp800-53A" - } - ], - "prose": "internal system connections are terminated after {{ insert: param, ca-09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09d.", - "class": "sp800-53A" - } - ], - "prose": "the continued need for each internal connection is reviewed {{ insert: param, ca-09_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\naccess control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system connections\n\nassessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting internal system connections" - } - ] - } - ], - "controls": [ - { - "id": "ca-9.1", - "class": "SP800-53-enhancement", - "title": "Compliance Checks", - "props": [ - { - "name": "label", - "value": "CA-09(01)" - }, - { - "name": "sort-id", - "value": "ca-09.01" - } - ], - "links": [ - { - "href": "#ca-9", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9.1_smt", - "name": "statement", - "prose": "Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection." - }, - { - "id": "ca-9.1_gdn", - "name": "guidance", - "prose": "Compliance checks include verification of the relevant baseline configuration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "security compliance checks are performed on constituent system components prior to the establishment of the internal connection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy compliance checks are performed on constituent system components prior to the establishment of the internal connection." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\naccess control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system connections\n\nassessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting compliance checks" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cm-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-01_odp.01", - "props": [ - { - "name": "label", - "value": "CM-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the configuration management policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "cm-01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the configuration management procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "cm-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_2" - }, - { - "name": "label", - "value": "CM-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cm-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_3" - }, - { - "name": "label", - "value": "CM-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the configuration management policy and procedures is defined;" - } - ] - }, - { - "id": "cm-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_4" - }, - { - "name": "label", - "value": "CM-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current configuration management policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "cm-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_5" - }, - { - "name": "label", - "value": "CM-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current configuration management policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "cm-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_6" - }, - { - "name": "label", - "value": "CM-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current configuration management procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "cm-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_7" - }, - { - "name": "label", - "value": "CM-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require configuration management procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-01" - }, - { - "name": "sort-id", - "value": "cm-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cm-01_odp.03 }} configuration management policy that:", - "parts": [ - { - "id": "cm-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cm-01_odp.04 }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and" - }, - { - "id": "cm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current configuration management:", - "parts": [ - { - "id": "cm-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, cm-01_odp.05 }} and following {{ insert: param, cm-01_odp.06 }} ; and" - }, - { - "id": "cm-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, cm-01_odp.07 }} and following {{ insert: param, cm-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management policy is disseminated to {{ insert: param, cm-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management procedures are disseminated to {{ insert: param, cm-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management policy is reviewed and updated {{ insert: param, cm-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management policy is reviewed and updated following {{ insert: param, cm-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management procedures are reviewed and updated {{ insert: param, cm-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management procedures are reviewed and updated following {{ insert: param, cm-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\n\nsecurity and privacy program policies and procedures\n\nassessment or audit findings\n\ndocumentation of security incidents or breaches\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy\n\nother relevant artifacts, documents, or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "params": [ - { - "id": "cm-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2_prm_1" - }, - { - "name": "label", - "value": "CM-02_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of baseline configuration review and update is defined;" - } - ] - }, - { - "id": "cm-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2_prm_2" - }, - { - "name": "label", - "value": "CM-02_ODP[02]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances requiring baseline configuration review and update are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02" - }, - { - "name": "sort-id", - "value": "cm-02" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and maintain under configuration control, a current baseline configuration of the system; and" - }, - { - "id": "cm-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the baseline configuration of the system:", - "parts": [ - { - "id": "cm-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cm-02_odp.01 }};" - }, - { - "id": "cm-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required due to {{ insert: param, cm-02_odp.02 }} ; and" - }, - { - "id": "cm-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "When system components are installed or upgraded." - } - ] - } - ] - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a current baseline configuration of the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a current baseline configuration of the system is maintained under configuration control;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.01", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated {{ insert: param, cm-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.02", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated when required due to {{ insert: param, cm-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.03", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated when system components are installed or upgraded." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nchange control records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline configuration" - } - ] - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "CM-02(01)" - }, - { - "name": "sort-id", - "value": "cm-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "cm-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.2_prm_1" - }, - { - "name": "label", - "value": "CM-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for maintaining baseline configuration of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(02)" - }, - { - "name": "sort-id", - "value": "cm-02.02" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-02.02_odp }}." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of [CM-8(2)](#cm-8.2) for organizations that combine system component inventory and baseline configuration activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the currency of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the completeness of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the accuracy of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the availability of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing the baseline configuration of the\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nconfiguration change control records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing baseline configuration maintenance" - } - ] - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "params": [ - { - "id": "cm-02.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.3_prm_1" - }, - { - "name": "label", - "value": "CM-02(03)_ODP" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of previous baseline configuration versions to be retained is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(03)" - }, - { - "name": "sort-id", - "value": "cm-02.03" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "Retain {{ insert: param, cm-02.03_odp }} of previous versions of baseline configurations of the system to support rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.03_odp }} of previous baseline configuration version(s) of the system is/are retained to support rollback." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ncopies of previous baseline configuration versions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-2.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software", - "props": [ - { - "name": "label", - "value": "CM-02(04)" - }, - { - "name": "sort-id", - "value": "cm-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software", - "props": [ - { - "name": "label", - "value": "CM-02(05)" - }, - { - "name": "sort-id", - "value": "cm-02.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.6", - "class": "SP800-53-enhancement", - "title": "Development and Test Environments", - "props": [ - { - "name": "label", - "value": "CM-02(06)" - }, - { - "name": "sort-id", - "value": "cm-02.06" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.6_smt", - "name": "statement", - "prose": "Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration." - }, - { - "id": "cm-2.6_gdn", - "name": "guidance", - "prose": "Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations do not necessarily require separate physical environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "a baseline configuration for system development environments that is managed separately from the operational baseline configuration is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "a baseline configuration for test environments that is managed separately from the operational baseline configuration is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing separate baseline configurations for development, test, and operational environments" - } - ] - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems and Components for High-risk Areas", - "params": [ - { - "id": "cm-02.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_1" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components to be issued when individuals travel to high-risk areas are defined;" - } - ] - }, - { - "id": "cm-02.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_2" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[02]" - } - ], - "label": "configurations", - "guidelines": [ - { - "prose": "configurations for systems or system components to be issued when individuals travel to high-risk areas are defined;" - } - ] - }, - { - "id": "cm-02.07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_3" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "the controls to be applied when the individuals return from travel are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(07)" - }, - { - "name": "sort-id", - "value": "cm-02.07" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issue {{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} to individuals traveling to locations that the organization deems to be of significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-02.07_odp.03 }}." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the [MP](#mp) (Media Protection) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} are issued to individuals traveling to locations that the organization deems to be of significant risk;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.07_odp.03 }} are applied to the systems or system components when the individuals return from travel." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the system\n\nprocedures addressing system component installations and upgrades\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nrecords of system baseline configuration reviews and updates\n\nsystem component installations/upgrades and associated records\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "params": [ - { - "id": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.03" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-3_prm_4 }} ", - "when{{ insert: param, cm-3_prm_5 }} " - ] - } - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.04" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.05" - } - ], - "label": "organization-defined configuration change conditions" - }, - { - "id": "cm-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3_prm_1" - }, - { - "name": "label", - "value": "CM-03_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to retain records of configuration-controlled changes is defined;" - } - ] - }, - { - "id": "cm-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3_prm_2" - }, - { - "name": "label", - "value": "CM-03_ODP[02]" - } - ], - "label": "configuration change control element", - "guidelines": [ - { - "prose": "the configuration change control element responsible for coordinating and overseeing change control activities is defined;" - } - ] - }, - { - "id": "cm-03_odp.03", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-03_odp.04 }} ", - " {{ insert: param, cm-03_odp.05 }} " - ] - } - }, - { - "id": "cm-03_odp.04", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the configuration control element convenes is defined (if selected);" - } - ] - }, - { - "id": "cm-03_odp.05", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[05]" - } - ], - "label": "defined in change conditions", - "guidelines": [ - { - "prose": "change conditions that prompt the configuration control element to convene are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03" - }, - { - "name": "sort-id", - "value": "cm-03" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the types of changes to the system that are configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document configuration change decisions associated with the system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement approved configuration-controlled changes to the system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain records of configuration-controlled changes to the system for {{ insert: param, cm-03_odp.01 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Monitor and review activities associated with configuration-controlled changes to the system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-03_odp.02 }} that convenes {{ insert: param, cm-3_prm_3 }}." - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also [SA-10](#sa-10)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03a.", - "class": "sp800-53A" - } - ], - "prose": "the types of changes to the system that are configuration-controlled are determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "proposed configuration-controlled changes to the system are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03c.", - "class": "sp800-53A" - } - ], - "prose": "configuration change decisions associated with the system are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03d.", - "class": "sp800-53A" - } - ], - "prose": "approved configuration-controlled changes to the system are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03e.", - "class": "sp800-53A" - } - ], - "prose": "records of configuration-controlled changes to the system are retained for {{ insert: param, cm-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.[01]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with configuration-controlled changes to the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.[02]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with configuration-controlled changes to the system are reviewed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration change control activities are coordinated and overseen by {{ insert: param, cm-03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration control element convenes {{ insert: param, cm-03_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nchange control records\n\nsystem audit records\n\nchange control audit and review reports\n\nagenda/minutes/documentation from configuration change control oversight meetings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessments\n\nsystem of records notices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms that implement configuration change control" - } - ] - } - ], - "controls": [ - { - "id": "cm-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Documentation, Notification, and Prohibition of Changes", - "params": [ - { - "id": "cm-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_1" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate configuration change control are defined;" - } - ] - }, - { - "id": "cm-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_2" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[02]" - } - ], - "label": "approval authorities", - "guidelines": [ - { - "prose": "approval authorities to be notified of and request approval for proposed changes to the system are defined;" - } - ] - }, - { - "id": "cm-03.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_3" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which to highlight changes that have not been approved or disapproved is defined;" - } - ] - }, - { - "id": "cm-03.01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_4" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[04]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to be notified when approved changes are complete is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(01)" - }, - { - "name": "sort-id", - "value": "cm-03.01" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, cm-03.01_odp.01 }} to:", - "parts": [ - { - "id": "cm-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Document proposed changes to the system;" - }, - { - "id": "cm-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;" - }, - { - "id": "cm-3.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};" - }, - { - "id": "cm-3.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Prohibit changes to the system until designated approvals are received;" - }, - { - "id": "cm-3.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Document all changes to the system; and" - }, - { - "id": "cm-3.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed." - } - ] - }, - { - "id": "cm-3.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to document proposed changes to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(d)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to prohibit changes to the system until designated approvals are received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(e)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to document all changes to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(f)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nautomated configuration control mechanisms\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nchange approval requests\n\nchange approvals\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing configuration change control activities" - } - ] - } - ] - }, - { - "id": "cm-3.2", - "class": "SP800-53-enhancement", - "title": "Testing, Validation, and Documentation of Changes", - "props": [ - { - "name": "label", - "value": "CM-03(02)" - }, - { - "name": "sort-id", - "value": "cm-03.02" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.2_smt", - "name": "statement", - "prose": "Test, validate, and document changes to the system before finalizing the implementation of the changes." - }, - { - "id": "cm-3.2_gdn", - "name": "guidance", - "prose": "Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in [CM-6](#cm-6) . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are tested before finalizing the implementation of the changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are validated before finalizing the implementation of the changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are documented before finalizing the implementation of the changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing system configuration change control\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ntest records\n\nvalidation records\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms supporting and/or implementing, testing, validating, and documenting system changes" - } - ] - } - ] - }, - { - "id": "cm-3.3", - "class": "SP800-53-enhancement", - "title": "Automated Change Implementation", - "params": [ - { - "id": "cm-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.3_prm_1" - }, - { - "name": "label", - "value": "CM-03(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate the implementation of changes and deployment of the updated baseline across the installed base are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(03)" - }, - { - "name": "sort-id", - "value": "cm-03.03" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.3_smt", - "name": "statement", - "prose": "Implement changes to the current system baseline and deploy the updated baseline across the installed base using {{ insert: param, cm-03.03_odp }}." - }, - { - "id": "cm-3.3_gdn", - "name": "guidance", - "prose": "Automated tools can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the current system baseline are implemented using {{ insert: param, cm-03.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the updated baseline is deployed across the installed base using {{ insert: param, cm-03.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing system configuration change control\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nautomated configuration control mechanisms\n\nchange control records\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing changes to current system baseline" - } - ] - } - ] - }, - { - "id": "cm-3.4", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "cm-3.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-03.04_odp.01" - } - ], - "label": "organization-defined security and privacy representatives" - }, - { - "id": "cm-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "CM-03(04)_ODP[01]" - } - ], - "label": "security representatives", - "guidelines": [ - { - "prose": "security representatives required to be members of the change control element are defined;" - } - ] - }, - { - "id": "cm-03.04_odp.02", - "props": [ - { - "name": "label", - "value": "CM-03(04)_ODP[02]" - } - ], - "label": "privacy representatives", - "guidelines": [ - { - "prose": "privacy representatives required to be members of the change control element are defined;" - } - ] - }, - { - "id": "cm-03.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.4_prm_2" - }, - { - "name": "label", - "value": "CM-03(04)_ODP[03]" - } - ], - "label": "configuration change control element", - "guidelines": [ - { - "prose": "the configuration change control element of which the security and privacy representatives are to be members is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(04)" - }, - { - "name": "sort-id", - "value": "cm-03.04" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.4_smt", - "name": "statement", - "prose": "Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-03.04_odp.03 }}." - }, - { - "id": "cm-3.4_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in [CM-3g](#cm-3_smt.g)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.04_odp.01 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.04_odp.02 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control" - } - ] - } - ] - }, - { - "id": "cm-3.5", - "class": "SP800-53-enhancement", - "title": "Automated Security Response", - "params": [ - { - "id": "cm-03.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.5_prm_1" - }, - { - "name": "label", - "value": "CM-03(05)_ODP" - } - ], - "label": "security responses", - "guidelines": [ - { - "prose": "security responses to be automatically implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(05)" - }, - { - "name": "sort-id", - "value": "cm-03.05" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.5_smt", - "name": "statement", - "prose": "Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: {{ insert: param, cm-03.05_odp }}." - }, - { - "id": "cm-3.5_gdn", - "name": "guidance", - "prose": "Automated security responses include halting selected system functions, halting system processing, and issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.05_odp }} are automatically implemented if baseline configurations are changed in an unauthorized manner." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized baseline configuration changes\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing security responses to unauthorized changes to the baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-3.6", - "class": "SP800-53-enhancement", - "title": "Cryptography Management", - "params": [ - { - "id": "cm-03.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.6_prm_1" - }, - { - "name": "label", - "value": "CM-03(06)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls provided by cryptographic mechanisms that are to be under configuration management are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(06)" - }, - { - "name": "sort-id", - "value": "cm-03.06" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.6_smt", - "name": "statement", - "prose": "Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-03.06_odp }}." - }, - { - "id": "cm-3.6_gdn", - "name": "guidance", - "prose": "The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(06)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms used to provide {{ insert: param, cm-03.06_odp }} are under configuration management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\ncryptographic mechanisms implementing organizational security safeguards (controls)" - } - ] - } - ] - }, - { - "id": "cm-3.7", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "params": [ - { - "id": "cm-03.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.7_prm_1" - }, - { - "name": "label", - "value": "CM-03(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which changes are to be reviewed is defined;" - } - ] - }, - { - "id": "cm-03.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.7_prm_2" - }, - { - "name": "label", - "value": "CM-03(07)_ODP[02]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances under which changes are to be reviewed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(07)" - }, - { - "name": "sort-id", - "value": "cm-03.07" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.7_smt", - "name": "statement", - "prose": "Review changes to the system {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred." - }, - { - "id": "cm-3.7_gdn", - "name": "guidance", - "prose": "Indications that warrant a review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(07)", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are reviewed {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nchange control records\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nmechanisms implementing audit records for changes" - } - ] - } - ] - }, - { - "id": "cm-3.8", - "class": "SP800-53-enhancement", - "title": "Prevent or Restrict Configuration Changes", - "params": [ - { - "id": "cm-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.8_prm_1" - }, - { - "name": "label", - "value": "CM-03(08)_ODP" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances under which changes are to be prevented or restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(08)" - }, - { - "name": "sort-id", - "value": "cm-03.08" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.8_smt", - "name": "statement", - "prose": "Prevent or restrict changes to the configuration of the system under the following circumstances: {{ insert: param, cm-03.08_odp }}." - }, - { - "id": "cm-3.8_gdn", - "name": "guidance", - "prose": "System configuration changes can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(08)", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration of the system are prevented or restricted under {{ insert: param, cm-03.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nchange control records\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Impact Analyses", - "props": [ - { - "name": "label", - "value": "CM-04" - }, - { - "name": "sort-id", - "value": "cm-04" - } - ], - "links": [ - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "Analyze changes to the system to determine potential security and privacy impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed to determine potential security impacts prior to change implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed to determine potential privacy impacts prior to change implementation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nprivacy impact analysis documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation, system design documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact analyses\n\norganizational personnel with responsibility for conducting privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analyses\n\norganizational processes for privacy impact analyses" - } - ] - } - ], - "controls": [ - { - "id": "cm-4.1", - "class": "SP800-53-enhancement", - "title": "Separate Test Environments", - "props": [ - { - "name": "label", - "value": "CM-04(01)" - }, - { - "name": "sort-id", - "value": "cm-04.01" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.1_smt", - "name": "statement", - "prose": "Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice." - }, - { - "id": "cm-4.1_gdn", - "name": "guidance", - "prose": "A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed in a separate test environment before implementation in an operational environment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to weaknesses;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[05]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to weaknesses;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[06]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to incompatibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[07]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to incompatibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[08]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to intentional malice;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[09]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to intentional malice." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nprivacy impact analysis documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nanalysis tools and associated outputs system design documentation\n\nsystem architecture and configuration documentation\n\nchange control records\n\nprocedures addressing the authority to test with PII\n\nsystem audit records\n\ndocumentation of separate test and operational environments\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security and privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy impact analyses\n\nautomated mechanisms supporting and/or implementing security and privacy impact analyses of changes" - } - ] - } - ] - }, - { - "id": "cm-4.2", - "class": "SP800-53-enhancement", - "title": "Verification of Controls", - "props": [ - { - "name": "label", - "value": "CM-04(02)" - }, - { - "name": "sort-id", - "value": "cm-04.02" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.2_smt", - "name": "statement", - "prose": "After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system." - }, - { - "id": "cm-4.2_gdn", - "name": "guidance", - "prose": "Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[05]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[06]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nprivacy risk assessment documentation\n\nconfiguration management plan\n\nsecurity and privacy impact analysis documentation\n\nprivacy impact assessment\n\nanalysis tools and associated outputs\n\nchange control records\n\ncontrol assessment results\n\nsystem audit records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security and privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsecurity and privacy assessors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy impact analyses\n\nautomated mechanisms supporting and/or implementing security and privacy impact analyses of changes" - } - ] - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "props": [ - { - "name": "label", - "value": "CM-05" - }, - { - "name": "sort-id", - "value": "cm-05" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals\u2019 privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see [AC-3](#ac-3) and [PE-3](#pe-3) ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[03]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[04]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[05]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[06]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nlogical access approvals\n\nphysical access approvals\n\naccess credentials\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system" - } - ] - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement and Audit Records", - "params": [ - { - "id": "cm-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-5.1_prm_1" - }, - { - "name": "label", - "value": "CM-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate the enforcement of access restrictions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(01)" - }, - { - "name": "sort-id", - "value": "cm-05.01" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce access restrictions using {{ insert: param, cm-05.01_odp }} ; and" - }, - { - "id": "cm-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Automatically generate audit records of the enforcement actions." - } - ] - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "prose": "Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "access restrictions for change are enforced using {{ insert: param, cm-05.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "audit records of enforcement actions are automatically generated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing the enforcement of access restrictions for changes to the system\n\nautomated mechanisms supporting auditing of enforcement actions" - } - ] - } - ] - }, - { - "id": "cm-5.2", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "props": [ - { - "name": "label", - "value": "CM-05(02)" - }, - { - "name": "sort-id", - "value": "cm-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-3.7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "props": [ - { - "name": "label", - "value": "CM-05(03)" - }, - { - "name": "sort-id", - "value": "cm-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-14", - "rel": "moved-to" - } - ] - }, - { - "id": "cm-5.4", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cm-5.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-05.04_odp.01" - } - ], - "label": "organization-defined system components and system-level information" - }, - { - "id": "cm-05.04_odp.01", - "props": [ - { - "name": "label", - "value": "CM-05(04)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring dual authorization for changes are defined;" - } - ] - }, - { - "id": "cm-05.04_odp.02", - "props": [ - { - "name": "label", - "value": "CM-05(04)_ODP[02]" - } - ], - "label": "system-level information", - "guidelines": [ - { - "prose": "system-level information requiring dual authorization for changes is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(04)" - }, - { - "name": "sort-id", - "value": "cm-05.04" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.4_smt", - "name": "statement", - "prose": "Enforce dual authorization for implementing changes to {{ insert: param, cm-5.4_prm_1 }}." - }, - { - "id": "cm-5.4_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.01 }} is enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.02 }} is enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nsystem component inventory\n\nsystem information types information\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with dual authorization enforcement responsibilities for implementing system changes\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing dual authorization enforcement" - } - ] - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Privilege Limitation for Production and Operation", - "params": [ - { - "id": "cm-5.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-05.05_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cm-05.05_odp.01", - "props": [ - { - "name": "label", - "value": "CM-05(05)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review privileges is defined;" - } - ] - }, - { - "id": "cm-05.05_odp.02", - "props": [ - { - "name": "label", - "value": "CM-05(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to reevaluate privileges is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(05)" - }, - { - "name": "sort-id", - "value": "cm-05.05" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit privileges to change system components and system-related information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "privileges to change system components within a production or operational environment are limited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "privileges to change system-related information within a production or operational environment are limited;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "privileges are reviewed {{ insert: param, cm-05.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "privileges are reevaluated {{ insert: param, cm-05.05_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nuser privilege reviews\n\nuser privilege recertifications\n\nsystem component inventory\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for change" - } - ] - } - ] - }, - { - "id": "cm-5.6", - "class": "SP800-53-enhancement", - "title": "Limit Library Privileges", - "props": [ - { - "name": "label", - "value": "CM-05(06)" - }, - { - "name": "sort-id", - "value": "cm-05.06" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.6_smt", - "name": "statement", - "prose": "Limit privileges to change software resident within software libraries." - }, - { - "id": "cm-5.6_gdn", - "name": "guidance", - "prose": "Software libraries include privileged programs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(06)", - "class": "sp800-53A" - } - ], - "prose": "privileges to change software resident within software libraries are limited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for change" - } - ] - } - ] - }, - { - "id": "cm-5.7", - "class": "SP800-53-enhancement", - "title": "Automatic Implementation of Security Safeguards", - "props": [ - { - "name": "label", - "value": "CM-05(07)" - }, - { - "name": "sort-id", - "value": "cm-05.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "params": [ - { - "id": "cm-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_1" - }, - { - "name": "label", - "value": "CM-06_ODP[01]" - } - ], - "label": "common secure configurations", - "guidelines": [ - { - "prose": "common secure configurations to establish and document configuration settings for components employed within the system are defined;" - } - ] - }, - { - "id": "cm-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_2" - }, - { - "name": "label", - "value": "CM-06_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which approval of deviations is needed are defined;" - } - ] - }, - { - "id": "cm-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_3" - }, - { - "name": "label", - "value": "CM-06_ODP[03]" - } - ], - "label": "operational requirements", - "guidelines": [ - { - "prose": "operational requirements necessitating approval of deviations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06" - }, - { - "name": "sort-id", - "value": "cm-06" - } - ], - "links": [ - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#98498928-3ca3-44b3-8b1e-f48685373087", - "rel": "reference" - }, - { - "href": "#d744d9a3-73eb-4085-b9ff-79e82e9e2d6e", - "rel": "reference" - }, - { - "href": "#aa66e14f-e7cb-4a37-99d2-07578dfd4608", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using {{ insert: param, cm-06_odp.01 }};" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify, document, and approve any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} based on {{ insert: param, cm-06_odp.03 }} ; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor and control changes to the configuration settings in accordance with organizational policies and procedures." - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system.\n\nCommon secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors.\n\nImplementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB](#98498928-3ca3-44b3-8b1e-f48685373087) and security technical implementation guides (STIGs), which affect the implementation of [CM-6](#cm-6) and other controls such as [AC-19](#ac-19) and [CM-7](#cm-7) . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06a.", - "class": "sp800-53A" - } - ], - "prose": "configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using {{ insert: param, cm-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06b.", - "class": "sp800-53A" - } - ], - "prose": "the configuration settings documented in CM-06a are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are identified and documented based on {{ insert: param, cm-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are approved;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration settings are monitored in accordance with organizational policies and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration settings are controlled in accordance with organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncommon secure configuration checklists\n\nsystem component inventory\n\nevidence supporting approved deviations from established configuration settings\n\nchange control records\n\nsystem data processing and retention permissions\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with privacy configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control system configuration settings\n\nautomated mechanisms that identify and/or document deviations from established configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Management, Application, and Verification", - "params": [ - { - "id": "cm-6.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-06.01_odp.01" - } - ], - "label": "organization-defined system components" - }, - { - "id": "cm-6.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-06.01_odp.02" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-06.01_odp.01", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which to manage, apply, and verify configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to manage configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.03", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to apply configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.04", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[04]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to verify configuration settings are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06(01)" - }, - { - "name": "sort-id", - "value": "cm-06.01" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "Manage, apply, and verify configuration settings for {{ insert: param, cm-6.1_prm_1 }} using {{ insert: param, cm-6.1_prm_2 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are managed using {{ insert: param, cm-06.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are applied using {{ insert: param, cm-06.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are verified using {{ insert: param, cm-06.01_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\n\nautomated mechanisms implemented to manage, apply, and verify system configuration settings" - } - ] - } - ] - }, - { - "id": "cm-6.2", - "class": "SP800-53-enhancement", - "title": "Respond to Unauthorized Changes", - "params": [ - { - "id": "cm-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6.2_prm_2" - }, - { - "name": "label", - "value": "CM-06(02)_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken upon an unauthorized change are defined;" - } - ] - }, - { - "id": "cm-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6.2_prm_1" - }, - { - "name": "label", - "value": "CM-06(02)_ODP[02]" - } - ], - "label": "configuration settings", - "guidelines": [ - { - "prose": "configuration settings requiring action upon an unauthorized change are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06(02)" - }, - { - "name": "sort-id", - "value": "cm-06.02" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "required" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.2_smt", - "name": "statement", - "prose": "Take the following actions in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}: {{ insert: param, cm-06.02_odp.01 }}." - }, - { - "id": "cm-6.2_gdn", - "name": "guidance", - "prose": "Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or\u2014in extreme cases\u2014halting affected system processing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-06.02_odp.01 }} are taken in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nconfiguration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized changes to system configuration settings\n\nsystem component inventory\n\ndocumented responses to unauthorized changes to system configuration settings\n\nchange control records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for responding to unauthorized changes to system configuration settings\n\nautomated mechanisms supporting and/or implementing actions in response to unauthorized changes" - } - ] - } - ] - }, - { - "id": "cm-6.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Change Detection", - "props": [ - { - "name": "label", - "value": "CM-06(03)" - }, - { - "name": "sort-id", - "value": "cm-06.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-6.4", - "class": "SP800-53-enhancement", - "title": "Conformance Demonstration", - "props": [ - { - "name": "label", - "value": "CM-06(04)" - }, - { - "name": "sort-id", - "value": "cm-06.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "params": [ - { - "id": "cm-7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-07_odp.02" - } - ], - "label": "organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services" - }, - { - "id": "cm-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7_prm_1" - }, - { - "name": "label", - "value": "CM-07_ODP[01]" - } - ], - "label": "mission-essential capabilities", - "guidelines": [ - { - "prose": "mission-essential capabilities for the system are defined;" - } - ] - }, - { - "id": "cm-07_odp.02", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[02]" - } - ], - "label": "functions", - "guidelines": [ - { - "prose": "functions to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.03", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[03]" - } - ], - "label": "ports", - "guidelines": [ - { - "prose": "ports to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.04", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[04]" - } - ], - "label": "protocols", - "guidelines": [ - { - "prose": "protocols to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.05", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[05]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be prohibited or restricted is defined;" - } - ] - }, - { - "id": "cm-07_odp.06", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[06]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services to be prohibited or restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07" - }, - { - "name": "sort-id", - "value": "cm-07" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#38f39739-1ebd-43b1-8b8c-00f591d89ebd", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configure the system to provide only {{ insert: param, cm-07_odp.01 }} ; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}." - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , and [SC-3](#sc-3))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07a.", - "class": "sp800-53A" - } - ], - "prose": "the system is configured to provide only {{ insert: param, cm-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.02 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.03 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.04 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[04]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.05 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[05]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.06 }} is prohibited or restricted." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services" - } - ] - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "params": [ - { - "id": "cm-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-07.01_odp.02" - } - ], - "label": "organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure" - }, - { - "id": "cm-07.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.1_prm_1" - }, - { - "name": "label", - "value": "CM-07(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined;" - } - ] - }, - { - "id": "cm-07.01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[02]" - } - ], - "label": "functions", - "guidelines": [ - { - "prose": "functions to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.03", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[03]" - } - ], - "label": "ports", - "guidelines": [ - { - "prose": "ports to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.04", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[04]" - } - ], - "label": "protocols", - "guidelines": [ - { - "prose": "protocols to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.05", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[05]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be disabled or removed when deemed unnecessary or non-secure is defined;" - } - ] - }, - { - "id": "cm-07.01_odp.06", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[06]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(01)" - }, - { - "name": "sort-id", - "value": "cm-07.01" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review the system {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the system is reviewed {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.02 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.03 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.04 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.05 }} deemed to be unnecessary and/or non-secure is disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[05]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.06 }} deemed to be unnecessary and/or non-secure are disabled or removed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncommon secure configuration checklists\n\ndocumented reviews of functions, ports, protocols, and/or services\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system\n\nautomated mechanisms implementing review and disabling of functions, ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "params": [ - { - "id": "cm-07.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.2_prm_1" - }, - { - "name": "label", - "value": "CM-07(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-07.02_odp.02 }} ", - "rules authorizing the terms and conditions of software program usage" - ] - } - }, - { - "id": "cm-07.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.2_prm_2" - }, - { - "name": "label", - "value": "CM-07(02)_ODP[02]" - } - ], - "label": "policies, rules of behavior, and/or access agreements regarding software program usage and restrictions", - "guidelines": [ - { - "prose": "policies, rules of behavior, and/or access agreements regarding software program usage and restrictions are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(02)" - }, - { - "name": "sort-id", - "value": "cm-07.02" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "Prevent program execution in accordance with {{ insert: param, cm-07.02_odp.01 }}." - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "prose": "Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(02)", - "class": "sp800-53A" - } - ], - "prose": "program execution is prevented in accordance with {{ insert: param, cm-07.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nspecifications for preventing software program execution\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes preventing program execution on the system\n\norganizational processes for software program usage and restrictions\n\nautomated mechanisms preventing program execution on the system\n\nautomated mechanisms supporting and/or implementing software program usage and restrictions" - } - ] - } - ] - }, - { - "id": "cm-7.3", - "class": "SP800-53-enhancement", - "title": "Registration Compliance", - "params": [ - { - "id": "cm-07.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.3_prm_1" - }, - { - "name": "label", - "value": "CM-07(03)_ODP" - } - ], - "label": "registration requirements for functions, ports, protocols, and services", - "guidelines": [ - { - "prose": "registration requirements for functions, ports, protocols, and services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(03)" - }, - { - "name": "sort-id", - "value": "cm-07.03" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-7.3_smt", - "name": "statement", - "prose": "Ensure compliance with {{ insert: param, cm-07.03_odp }}." - }, - { - "id": "cm-7.3_gdn", - "name": "guidance", - "prose": "Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.03_odp }} are complied with." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\naudit and compliance reviews\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services\n\nautomated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software \u2014 Deny-by-exception", - "params": [ - { - "id": "cm-07.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.4_prm_1" - }, - { - "name": "label", - "value": "CM-07(04)_ODP[01]" - } - ], - "label": "software programs not authorized to execute on the system", - "guidelines": [ - { - "prose": "software programs not authorized to execute on the system are defined;" - } - ] - }, - { - "id": "cm-07.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.4_prm_2" - }, - { - "name": "label", - "value": "CM-07(04)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of unauthorized software programs is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(04)" - }, - { - "name": "sort-id", - "value": "cm-07.04" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.04_odp.01 }};" - }, - { - "id": "cm-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and" - }, - { - "id": "cm-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of unauthorized software programs {{ insert: param, cm-07.04_odp.02 }}." - } - ] - }, - { - "id": "cm-7.4_gdn", - "name": "guidance", - "prose": "Unauthorized software programs can be limited to specific versions or from a specific source. The concept of prohibiting the execution of unauthorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.04_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "an allow-all, deny-by-exception policy is employed to prohibit the execution of unauthorized software programs on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of unauthorized software programs is reviewed and updated {{ insert: param, cm-07.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software programs not authorized to execute on the system\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nreview and update records associated with list of unauthorized software programs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software not authorized to execute on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs not authorized to execute on the system\n\norganizational process for implementing unauthorized software policy\n\nautomated mechanisms supporting and/or implementing unauthorized software policy" - } - ] - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software \u2014 Allow-by-exception", - "params": [ - { - "id": "cm-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.5_prm_1" - }, - { - "name": "label", - "value": "CM-07(05)_ODP[01]" - } - ], - "label": "software programs authorized to execute on the system", - "guidelines": [ - { - "prose": "software programs authorized to execute on the system are defined;" - } - ] - }, - { - "id": "cm-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.5_prm_2" - }, - { - "name": "label", - "value": "CM-07(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of authorized software programs is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(05)" - }, - { - "name": "sort-id", - "value": "cm-07.05" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.05_odp.01 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized software programs {{ insert: param, cm-07.05_odp.02 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in [CA-3(5)](#ca-3.5) and [SC-7](#sc-7)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.05_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of authorized software programs is reviewed and updated {{ insert: param, cm-07.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software programs authorized to execute on the system\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nreview and update records associated with list of authorized software programs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software authorized to execute on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs authorized to execute on the system\n\norganizational process for implementing authorized software policy\n\nautomated mechanisms supporting and/or implementing authorized software policy" - } - ] - } - ] - }, - { - "id": "cm-7.6", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "params": [ - { - "id": "cm-07.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.6_prm_1" - }, - { - "name": "label", - "value": "CM-07(06)_ODP" - } - ], - "label": "user-installed software", - "guidelines": [ - { - "prose": "user-installed software required to be executed in a confined environment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(06)" - }, - { - "name": "sort-id", - "value": "cm-07.06" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.6_smt", - "name": "statement", - "prose": "Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: {{ insert: param, cm-07.06_odp }}." - }, - { - "id": "cm-7.6_gdn", - "name": "guidance", - "prose": "Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.06_odp }} is required to be executed in a confined physical or virtual machine environment with limited privileges." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of software required to execute in a confined environment\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying and/or managing user-installed software and associated privileges\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying user-installed software required to execute in a confined environment\n\nautomated mechanisms supporting and/or implementing the confinement of user-installed software to physical or virtual machine environments\n\nautomated mechanisms supporting and/or implementing privilege limitations on user-installed software" - } - ] - } - ] - }, - { - "id": "cm-7.7", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "params": [ - { - "id": "cm-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.7_prm_1" - }, - { - "name": "label", - "value": "CM-07(07)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to explicitly approve execution of binary or machine-executable code is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(07)" - }, - { - "name": "sort-id", - "value": "cm-07.07" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.7_smt", - "name": "statement", - "prose": "Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of {{ insert: param, cm-07.07_odp }} when such code is:", - "parts": [ - { - "id": "cm-7.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Obtained from sources with limited or no warranty; and/or" - }, - { - "id": "cm-7.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Without the provision of source code." - } - ] - }, - { - "id": "cm-7.7_gdn", - "name": "guidance", - "prose": "Code execution in protected environments applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code is only allowed in confined physical or virtual machine environments;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code obtained from sources with limited or no warranty is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code without the provision of source code is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of binary or machine-executable code\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for approving execution of binary or machine-executable code\n\norganizational personnel with information security responsibilities\n\norganizational personnel with software management responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\norganizational process for confining binary or machine-executable code to physical or virtual machine environments\n\nautomated mechanisms supporting and/or implementing the confinement of binary or machine-executable code to physical or virtual machine environments" - } - ] - } - ] - }, - { - "id": "cm-7.8", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "CM-07(08)" - }, - { - "name": "sort-id", - "value": "cm-07.08" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and" - }, - { - "id": "cm-7.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official." - } - ] - }, - { - "id": "cm-7.8_gdn", - "name": "guidance", - "prose": "Binary or machine executable code applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open-source software is used, the assessments address the fact that there is no warranty, the open-source software could contain back doors or malware, and there may be no support available." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of binary or machine-executable code is prohibited when it originates from sources with limited or no warranty or without the provision of source code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only for compelling mission or operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only with the approval of the authorizing official." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of binary or machine-executable code\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for determining mission and operational requirements\n\nauthorizing official for the system\n\norganizational personnel with information security responsibilities\n\norganizational personnel with software management responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\nautomated mechanisms supporting and/or implementing the prohibition of binary or machine-executable code" - } - ] - } - ] - }, - { - "id": "cm-7.9", - "class": "SP800-53-enhancement", - "title": "Prohibiting The Use of Unauthorized Hardware", - "params": [ - { - "id": "cm-07.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.9_prm_1" - }, - { - "name": "label", - "value": "CM-07(09)_ODP[01]" - } - ], - "label": "hardware components authorized for system use", - "guidelines": [ - { - "prose": "hardware components authorized for system use are defined;" - } - ] - }, - { - "id": "cm-07.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.9_prm_2" - }, - { - "name": "label", - "value": "CM-07(09)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of authorized hardware components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(09)" - }, - { - "name": "sort-id", - "value": "cm-07.09" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.09_odp.01 }};" - }, - { - "id": "cm-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prohibit the use or connection of unauthorized hardware components;" - }, - { - "id": "cm-7.9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized hardware components {{ insert: param, cm-07.09_odp.02 }}." - } - ] - }, - { - "id": "cm-7.9_gdn", - "name": "guidance", - "prose": "Hardware components provide the foundation for organizational systems and the platform for the execution of authorized software programs. Managing the inventory of hardware components and controlling which hardware components are permitted to be installed or connected to organizational systems is essential in order to provide adequate security." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.09_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "the use or connection of unauthorized hardware components is prohibited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of authorized hardware components is reviewed and updated {{ insert: param, cm-07.09_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nnetwork connection policy and procedures\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system hardware management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\nautomated mechanisms supporting and/or implementing the prohibition of binary or machine-executable code" - } - ] - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "System Component Inventory", - "params": [ - { - "id": "cm-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8_prm_1" - }, - { - "name": "label", - "value": "CM-08_ODP[01]" - } - ], - "label": "information deemed necessary to achieve effective system component accountability", - "guidelines": [ - { - "prose": "information deemed necessary to achieve effective system component accountability is defined;" - } - ] - }, - { - "id": "cm-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8_prm_2" - }, - { - "name": "label", - "value": "CM-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the system component inventory is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08" - }, - { - "name": "sort-id", - "value": "cm-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#70402863-5078-43af-9a6c-e11b0f3ec370", - "rel": "reference" - }, - { - "href": "#996241f8-f692-42d5-91f1-ce8b752e39e6", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document an inventory of system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Accurately reflects the system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes all components within the system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Does not include duplicate accounting of components or components assigned to any other system;" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting; and" - }, - { - "id": "cm-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Includes the following information to achieve system component accountability: {{ insert: param, cm-08_odp.01 }} ; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the system component inventory {{ insert: param, cm-08_odp.02 }}." - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.\n\nPreventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of [CM-8(7)](#cm-8.7) can help to eliminate duplicate accounting of components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.01", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that accurately reflects the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.02", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that includes all components within the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.03", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.04", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.05", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that includes {{ insert: param, cm-08_odp.01 }} is developed and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08b.", - "class": "sp800-53A" - } - ], - "prose": "the system component inventory is reviewed and updated {{ insert: param, cm-08_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\ninventory reviews and update records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installation and Removal", - "props": [ - { - "name": "label", - "value": "CM-08(01)" - }, - { - "name": "sort-id", - "value": "cm-08.01" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "Update the inventory of system components as part of component installations, removals, and system updates." - }, - { - "id": "cm-8.1_gdn", - "name": "guidance", - "prose": "Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of component installations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of component removals;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of system updates." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem component inventory\n\ninventory reviews and update records\n\nchange control records\n\ncomponent installation records\n\ncomponent removal records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory updating responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for updating the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory updates" - } - ] - } - ] - }, - { - "id": "cm-8.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance", - "params": [ - { - "id": "cm-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-08.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-08.02_odp.01", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the currency of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.02", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the completeness of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.03", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the accuracy of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.04", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[04]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the availability of the system component inventory are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(02)" - }, - { - "name": "sort-id", - "value": "cm-08.02" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}." - }, - { - "id": "cm-8.2_gdn", - "name": "guidance", - "prose": "Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of [CM-2(2)](#cm-2.2) for organizations that combine system component inventory and baseline configuration activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.01 }} are used to maintain the currency of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.02 }} are used to maintain the completeness of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.03 }} are used to maintain the accuracy of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.04 }} are used to maintain the availability of the system component inventory." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nchange control records\n\nsystem maintenance records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the system component inventory\n\nautomated mechanisms supporting and/or implementing the system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "params": [ - { - "id": "cm-8.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-08.03_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-08.03_odp.01", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized hardware within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.02", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized software within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.03", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized firmware within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_2" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined;" - } - ] - }, - { - "id": "cm-08.03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_3" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "disable network access by unauthorized components", - "isolate unauthorized components", - "notify{{ insert: param, cm-08.03_odp.06 }} " - ] - } - }, - { - "id": "cm-08.03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_4" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when unauthorized components are detected is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(03)" - }, - { - "name": "sort-id", - "value": "cm-08.03" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-08.03_odp.04 }} ; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions when unauthorized components are detected: {{ insert: param, cm-08.03_odp.05 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see [CM-7(9)](#cm-7.9) ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as \"sandboxing.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized hardware within the system is detected using {{ insert: param, cm-08.03_odp.01 }} {{ insert: param, cm-08.03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized software within the system is detected using {{ insert: param, cm-08.03_odp.02 }} {{ insert: param, cm-08.03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized firmware within the system is detected using {{ insert: param, cm-08.03_odp.03 }} {{ insert: param, cm-08.03_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized hardware is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized software is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized firmware is detected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nchange control records\n\nalerts/notifications of unauthorized components within the system\n\nsystem monitoring records\n\nsystem maintenance records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detection of unauthorized system components\n\norganizational processes for taking action when unauthorized system components are detected\n\nautomated mechanisms supporting and/or implementing the detection of unauthorized system components\n\nautomated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected" - } - ] - } - ] - }, - { - "id": "cm-8.4", - "class": "SP800-53-enhancement", - "title": "Accountability Information", - "params": [ - { - "id": "cm-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.4_prm_1" - }, - { - "name": "label", - "value": "CM-08(04)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "name", - "position", - "role" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(04)" - }, - { - "name": "sort-id", - "value": "cm-08.04" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.4_smt", - "name": "statement", - "prose": "Include in the system component inventory information, a means for identifying by {{ insert: param, cm-08.04_odp }} , individuals responsible and accountable for administering those components." - }, - { - "id": "cm-8.4_gdn", - "name": "guidance", - "prose": "Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(04)", - "class": "sp800-53A" - } - ], - "prose": "individuals responsible and accountable for administering system components are identified by {{ insert: param, cm-08.04_odp }} in the system component inventory." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing the system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "props": [ - { - "name": "label", - "value": "CM-08(05)" - }, - { - "name": "sort-id", - "value": "cm-08.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-8.6", - "class": "SP800-53-enhancement", - "title": "Assessed Configurations and Approved Deviations", - "props": [ - { - "name": "label", - "value": "CM-08(06)" - }, - { - "name": "sort-id", - "value": "cm-08.06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.6_smt", - "name": "statement", - "prose": "Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory." - }, - { - "id": "cm-8.6_gdn", - "name": "guidance", - "prose": "Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "assessed component configurations are included in the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "any approved deviations to current deployed configurations are included in the system component inventory." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with assessment responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.7", - "class": "SP800-53-enhancement", - "title": "Centralized Repository", - "props": [ - { - "name": "label", - "value": "CM-08(07)" - }, - { - "name": "sort-id", - "value": "cm-08.07" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.7_smt", - "name": "statement", - "prose": "Provide a centralized repository for the inventory of system components." - }, - { - "id": "cm-8.7_gdn", - "name": "guidance", - "prose": "Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(07)", - "class": "sp800-53A" - } - ], - "prose": "a centralized repository for the system component inventory is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with security responsibilities\n\n" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.8", - "class": "SP800-53-enhancement", - "title": "Automated Location Tracking", - "params": [ - { - "id": "cm-08.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.8_prm_1" - }, - { - "name": "label", - "value": "CM-08(08)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for tracking components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(08)" - }, - { - "name": "sort-id", - "value": "cm-08.08" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.8_smt", - "name": "statement", - "prose": "Support the tracking of system components by geographic location using {{ insert: param, cm-08.08_odp }}." - }, - { - "id": "cm-8.8_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications that affect individual privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.08_odp }} are used to support the tracking of system components by geographic location." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory\n\nautomated mechanisms supporting and/or implementing tracking of components by geographic locations" - } - ] - } - ] - }, - { - "id": "cm-8.9", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "params": [ - { - "id": "cm-08.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.9_prm_1" - }, - { - "name": "label", - "value": "CM-08(09)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles from which to receive an acknowledgement is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(09)" - }, - { - "name": "sort-id", - "value": "cm-08.09" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assign system components to a system; and" - }, - { - "id": "cm-8.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Receive an acknowledgement from {{ insert: param, cm-08.09_odp }} of this assignment." - } - ] - }, - { - "id": "cm-8.9_gdn", - "name": "guidance", - "prose": "System components that are not assigned to a system may be unmanaged, lack the required protection, and become an organizational vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "system components are assigned to a system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "an acknowledgement of the component assignment is received from {{ insert: param, cm-08.09_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nchange control records\n\nacknowledgements of system component assignments\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\nsystem owner\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning components to systems\n\norganizational processes for acknowledging assignment of components to systems\n\nautomated mechanisms implementing assignment of components to the system\n\nautomated mechanisms implementing acknowledgment of assignment of components to the system" - } - ] - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "params": [ - { - "id": "cm-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-9_prm_1" - }, - { - "name": "label", - "value": "CM-09_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to review and approve the configuration management plan is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-09" - }, - { - "name": "sort-id", - "value": "cm-09" - } - ], - "links": [ - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "Develop, document, and implement a configuration management plan for the system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the system and places the configuration items under configuration management;" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cm-09_odp }} ; and" - }, - { - "id": "cm-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities.\n\nConfiguration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents.\n\nOrganizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09[01]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management plan for the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09[02]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management plan for the system is implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses configuration management processes and procedures;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan establishes a process for managing the configuration of the configuration items;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan defines the configuration items for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan places the configuration items under configuration management;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09d.", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is reviewed and approved by {{ insert: param, cm-09_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration management planning\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing the configuration management plan\n\norganizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan\n\norganizational personnel with responsibilities for protecting the configuration management plan\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting the configuration management plan\n\norganizational processes for identifying and managing configuration items\n\norganizational processes for protecting the configuration management plan\n\nautomated mechanisms implementing the configuration management plan\n\nautomated mechanisms for managing configuration items\n\nautomated mechanisms for protecting the configuration management plan" - } - ] - } - ], - "controls": [ - { - "id": "cm-9.1", - "class": "SP800-53-enhancement", - "title": "Assignment of Responsibility", - "props": [ - { - "name": "label", - "value": "CM-09(01)" - }, - { - "name": "sort-id", - "value": "cm-09.01" - } - ], - "links": [ - { - "href": "#cm-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-9.1_smt", - "name": "statement", - "prose": "Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development." - }, - { - "id": "cm-9.1_gdn", - "name": "guidance", - "prose": "In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked with developing configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09(01)", - "class": "sp800-53A" - } - ], - "prose": "the responsibility for developing the configuration management process is assigned to organizational personnel who are not directly involved in system development." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing responsibilities for configuration management process development\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for configuration management process development\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use software and associated documentation in accordance with contract agreements and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10a.", - "class": "sp800-53A" - } - ], - "prose": "software and associated documentation are used in accordance with contract agreements and copyright laws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10b.", - "class": "sp800-53A" - } - ], - "prose": "the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10c.", - "class": "sp800-53A" - } - ], - "prose": "the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nsoftware usage restrictions\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with software license management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking the use of software protected by quantity licenses\n\norganizational processes for controlling/documenting the use of peer-to-peer file sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology" - } - ] - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open-source Software", - "params": [ - { - "id": "cm-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-10.1_prm_1" - }, - { - "name": "label", - "value": "CM-10(01)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of open-source software are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-10(01)" - }, - { - "name": "sort-id", - "value": "cm-10.01" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "Establish the following restrictions on the use of open-source software: {{ insert: param, cm-10.01_odp }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open-source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open-source software is that it provides organizations with the ability to examine the source code. In some cases, there is an online community associated with the software that inspects, tests, updates, and reports on issues found in software on an ongoing basis. However, remediating vulnerabilities in open-source software may be problematic. There may also be licensing issues associated with open-source software, including the constraints on derivative use of such software. Open-source software that is available only in binary form may increase the level of risk in using such software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-10.01_odp }} are established for the use of open-source software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nsoftware usage restrictions\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with software license management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking the use of software protected by quantity licenses\n\norganizational processes for controlling/documenting the use of peer-to-peer file sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology" - } - ] - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "params": [ - { - "id": "cm-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_1" - }, - { - "name": "label", - "value": "CM-11_ODP[01]" - } - ], - "label": "policies", - "guidelines": [ - { - "prose": "policies governing the installation of software by users are defined;" - } - ] - }, - { - "id": "cm-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_2" - }, - { - "name": "label", - "value": "CM-11_ODP[02]" - } - ], - "label": "methods", - "guidelines": [ - { - "prose": "methods used to enforce software installation policies are defined;" - } - ] - }, - { - "id": "cm-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_3" - }, - { - "name": "label", - "value": "CM-11_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to monitor compliance is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, cm-11_odp.01 }} governing the installation of software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforce software installation policies through the following methods: {{ insert: param, cm-11_odp.02 }} ; and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitor policy compliance {{ insert: param, cm-11_odp.03 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved \"app stores.\" Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-11_odp.01 }} governing the installation of software by users are established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11b.", - "class": "sp800-53A" - } - ], - "prose": "software installation policies are enforced through {{ insert: param, cm-11_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11c.", - "class": "sp800-53A" - } - ], - "prose": "compliance with {{ insert: param, cm-11_odp.01 }} is monitored {{ insert: param, cm-11_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of rules governing user installed software\n\nsystem monitoring records\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel monitoring compliance with user-installed software policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms enforcing policies and methods for governing the installation of software by users\n\nautomated mechanisms monitoring policy compliance" - } - ] - } - ], - "controls": [ - { - "id": "cm-11.1", - "class": "SP800-53-enhancement", - "title": "Alerts for Unauthorized Installations", - "props": [ - { - "name": "label", - "value": "CM-11(01)" - }, - { - "name": "sort-id", - "value": "cm-11.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-11.2", - "class": "SP800-53-enhancement", - "title": "Software Installation with Privileged Status", - "props": [ - { - "name": "label", - "value": "CM-11(02)" - }, - { - "name": "sort-id", - "value": "cm-11.02" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11.2_smt", - "name": "statement", - "prose": "Allow user installation of software only with explicit privileged status." - }, - { - "id": "cm-11.2_gdn", - "name": "guidance", - "prose": "Privileged status can be obtained, for example, by serving in the role of system administrator." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(02)", - "class": "sp800-53A" - } - ], - "prose": "user installation of software is allowed only with explicit privileged status." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized software installations\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms for prohibiting installation of software without privileged status (e.g. access controls)" - } - ] - } - ] - }, - { - "id": "cm-11.3", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement and Monitoring", - "params": [ - { - "id": "cm-11.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-11.03_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-11.03_odp.01", - "props": [ - { - "name": "label", - "value": "CM-11(03)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to enforce compliance are defined;" - } - ] - }, - { - "id": "cm-11.03_odp.02", - "props": [ - { - "name": "label", - "value": "CM-11(03)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to monitor compliance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-11(03)" - }, - { - "name": "sort-id", - "value": "cm-11.03" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-11.3_smt", - "name": "statement", - "prose": "Enforce and monitor compliance with software installation policies using {{ insert: param, cm-11.3_prm_1 }}." - }, - { - "id": "cm-11.3_gdn", - "name": "guidance", - "prose": "Organizations enforce and monitor compliance with software installation policies using automated mechanisms to more quickly detect and respond to unauthorized software installation which can be an indicator of an internal or external hostile attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "compliance with software installation policies is enforced using {{ insert: param, cm-11.03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "compliance with software installation policies is monitored using {{ insert: param, cm-11.03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of rules governing user installed software\n\nsystem monitoring records\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel monitoring compliance with user-installed software policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms enforcing policies on installation of software by users\n\nautomated mechanisms monitoring policy compliance" - } - ] - } - ] - } - ] - }, - { - "id": "cm-12", - "class": "SP800-53", - "title": "Information Location", - "params": [ - { - "id": "cm-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12_prm_1" - }, - { - "name": "label", - "value": "CM-12_ODP" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information for which the location is to be identified and documented is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-12" - }, - { - "name": "sort-id", - "value": "cm-12" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-23", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-12_smt", - "name": "statement", - "parts": [ - { - "id": "cm-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the location of {{ insert: param, cm-12_odp }} and the specific system components on which the information is processed and stored;" - }, - { - "id": "cm-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify and document the users who have access to the system and system components where the information is processed and stored; and" - }, - { - "id": "cm-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document changes to the location (i.e., system or system components) where the information is processed and stored." - } - ] - }, - { - "id": "cm-12_gdn", - "name": "guidance", - "prose": "Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) ). The location of the information and system components is also a factor in the architecture and design of the system (see [SA-4](#sa-4), [SA-8](#sa-8), [SA-17](#sa-17))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the location of {{ insert: param, cm-12_odp }} is identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the specific system components on which {{ insert: param, cm-12_odp }} is processed are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the specific system components on which {{ insert: param, cm-12_odp }} is stored are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is processed are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is stored are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is processed are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is stored are documented." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing identification and documentation of information location\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\naudit records\n\nlist of users with system and system component access\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location and user access to information\n\norganizational personnel with responsibilities for operating, using, and/or maintaining the system\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location" - } - ] - } - ], - "controls": [ - { - "id": "cm-12.1", - "class": "SP800-53-enhancement", - "title": "Automated Tools to Support Information Location", - "params": [ - { - "id": "cm-12.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12.1_prm_1" - }, - { - "name": "label", - "value": "CM-12(01)_ODP[01]" - } - ], - "label": "information by information type", - "guidelines": [ - { - "prose": "information to be protected is defined by information type;" - } - ] - }, - { - "id": "cm-12.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12.1_prm_2" - }, - { - "name": "label", - "value": "CM-12(01)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where the information is located are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-12(01)" - }, - { - "name": "sort-id", - "value": "cm-12.01" - } - ], - "links": [ - { - "href": "#cm-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-12.1_smt", - "name": "statement", - "prose": "Use automated tools to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure controls are in place to protect organizational information and individual privacy." - }, - { - "id": "cm-12.1_gdn", - "name": "guidance", - "prose": "The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12(01)", - "class": "sp800-53A" - } - ], - "prose": "automated tools are used to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls are in place to protect organizational information and individual privacy." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing identification and documentation of information location\n\nconfiguration management plan\n\nsystem design documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location\n\nautomated tools used to identify information on system components" - } - ] - } - ] - } - ] - }, - { - "id": "cm-13", - "class": "SP800-53", - "title": "Data Action Mapping", - "props": [ - { - "name": "label", - "value": "CM-13" - }, - { - "name": "sort-id", - "value": "cm-13" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-13_smt", - "name": "statement", - "prose": "Develop and document a map of system data actions." - }, - { - "id": "cm-13_gdn", - "name": "guidance", - "prose": "Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle, which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, system components involved in the data actions, and the owners or operators of the system components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed in another part of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. Data maps can be illustrated in different ways, and the level of detail may vary based on the mission and business needs of the organization. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-13", - "class": "sp800-53A" - } - ], - "prose": "a map of system data actions is developed and documented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures for identification and documentation of information location\n\nprocedures for mapping data actions\n\nconfiguration management plan\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\nchange control records\n\nsystem component inventory\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location\n\norganizational personnel responsible for data action mapping\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms supporting or implementing data action mapping" - } - ] - } - ] - }, - { - "id": "cm-14", - "class": "SP800-53", - "title": "Signed Components", - "params": [ - { - "id": "cm-14_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-14_odp.01" - } - ], - "label": "organization-defined software and firmware components" - }, - { - "id": "cm-14_odp.01", - "props": [ - { - "name": "label", - "value": "CM-14_ODP[01]" - } - ], - "label": "software components", - "guidelines": [ - { - "prose": "software components requiring verification of a digitally signed certificate before installation are defined;" - } - ] - }, - { - "id": "cm-14_odp.02", - "props": [ - { - "name": "label", - "value": "CM-14_ODP[02]" - } - ], - "label": "firmware components", - "guidelines": [ - { - "prose": "firmware components requiring verification of a digitally signed certificate before installation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-14" - }, - { - "name": "sort-id", - "value": "cm-14" - } - ], - "links": [ - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-14_smt", - "name": "statement", - "prose": "Prevent the installation of {{ insert: param, cm-14_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization." - }, - { - "id": "cm-14_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14[01]", - "class": "sp800-53A" - } - ], - "prose": "the installation of {{ insert: param, cm-14_odp.01 }} is prevented unless it is verified that the software has been digitally signed using a certificate recognized and approved by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14[02]", - "class": "sp800-53A" - } - ], - "prose": "the installation of {{ insert: param, cm-14_odp.02 }} is prevented unless it is verified that the firmware has been digitally signed using a certificate recognized and approved by the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing digitally signed certificates for software and firmware components\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for verifying digitally signed certificates for software and firmware component installation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location\n\nautomated tools supporting or implementing digitally signatures for software and firmware components\n\nautomated tools supporting or implementing verification of digital signatures for software and firmware component installation" - } - ] - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cp-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-01_odp.01", - "props": [ - { - "name": "label", - "value": "CP-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the contingency planning policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "cp-01_odp.02", - "props": [ - { - "name": "label", - "value": "CP-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the contingency planning procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "cp-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_2" - }, - { - "name": "label", - "value": "CP-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cp-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_3" - }, - { - "name": "label", - "value": "CP-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the contingency planning policy and procedures is defined;" - } - ] - }, - { - "id": "cp-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_4" - }, - { - "name": "label", - "value": "CP-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current contingency planning policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "cp-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_5" - }, - { - "name": "label", - "value": "CP-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current contingency planning policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "cp-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_6" - }, - { - "name": "label", - "value": "CP-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current contingency planning procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "cp-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_7" - }, - { - "name": "label", - "value": "CP-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-01" - }, - { - "name": "sort-id", - "value": "cp-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cp-01_odp.03 }} contingency planning policy that:", - "parts": [ - { - "id": "cp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cp-01_odp.04 }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and" - }, - { - "id": "cp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current contingency planning:", - "parts": [ - { - "id": "cp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, cp-01_odp.05 }} and following {{ insert: param, cp-01_odp.06 }} ; and" - }, - { - "id": "cp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, cp-01_odp.07 }} and following {{ insert: param, cp-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency planning policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency planning policy is disseminated to {{ insert: param, cp-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "contingency planning procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the contingency planning procedures are disseminated to {{ insert: param, cp-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the contingency planning policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning policy is reviewed and updated {{ insert: param, cp-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning policy is reviewed and updated following {{ insert: param, cp-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning procedures are reviewed and updated {{ insert: param, cp-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning procedures are reviewed and updated following {{ insert: param, cp-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "params": [ - { - "id": "cp-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-02_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cp-02_odp.05" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-02_odp.01", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to review a contingency plan is/are defined;" - } - ] - }, - { - "id": "cp-02_odp.02", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to approve a contingency plan is/are defined;" - } - ] - }, - { - "id": "cp-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2_prm_2" - }, - { - "name": "label", - "value": "CP-02_ODP[03]" - } - ], - "label": "key contingency personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "key contingency personnel (identified by name and/or by role) to whom copies of the contingency plan are distributed are defined;" - } - ] - }, - { - "id": "cp-02_odp.04", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[04]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "key contingency organizational elements to which copies of the contingency plan are distributed are defined;" - } - ] - }, - { - "id": "cp-02_odp.05", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency of contingency plan review is defined;" - } - ] - }, - { - "id": "cp-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2_prm_4" - }, - { - "name": "label", - "value": "CP-02_ODP[06]" - } - ], - "label": "key contingency personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "key contingency personnel (identified by name and/or by role) to communicate changes to are defined;" - } - ] - }, - { - "id": "cp-02_odp.07", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[07]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "key contingency organizational elements to communicate changes to are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-02" - }, - { - "name": "sort-id", - "value": "cp-02" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a contingency plan for the system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Identifies essential mission and business functions and associated contingency requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Addresses the sharing of contingency information; and" - }, - { - "id": "cp-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the contingency plan to {{ insert: param, cp-02_odp.03 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the contingency plan for the system {{ insert: param, cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicate contingency plan changes to {{ insert: param, cp-02_odp.06 }};" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and" - }, - { - "id": "cp-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protect the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level.\n\nActions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in [IR-4(5)](#ir-4.5) . Incident response planning is part of contingency planning for organizations and is addressed in the [IR](#ir) (Incident Response) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.01", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that identifies essential mission and business functions and associated contingency requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides recovery objectives;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides restoration priorities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides metrics;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses contingency roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses contingency responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[03]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses assigned individuals with contact information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.04", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.05", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses eventual, full-system restoration without deterioration of the controls originally planned and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.06", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses the sharing of contingency information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that is reviewed by {{ insert: param, cp-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that is approved by {{ insert: param, cp-02_odp.02 }};" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02c.", - "class": "sp800-53A" - } - ], - "prose": "contingency planning activities are coordinated with incident handling activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02d.", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan for the system is reviewed {{ insert: param, cp-02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is updated to address changes to the organization, system, or environment of operation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is updated to address problems encountered during contingency plan implementation, execution, or testing;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.[01]", - "class": "sp800-53A" - } - ], - "prose": "contingency plan changes are communicated to {{ insert: param, cp-02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.[02]", - "class": "sp800-53A" - } - ], - "prose": "contingency plan changes are communicated to {{ insert: param, cp-02_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.[01]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from contingency plan testing or actual contingency activities are incorporated into contingency testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.[02]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from contingency plan training or actual contingency activities are incorporated into contingency testing and training;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nevidence of contingency plan reviews and updates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and protection\n\nautomated mechanisms for developing, reviewing, updating, and/or protecting the contingency plan" - } - ] - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-02(01)" - }, - { - "name": "sort-id", - "value": "cp-02.01" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan development with organizational elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(01)", - "class": "sp800-53A" - } - ], - "prose": "contingency plan development is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness contingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plan\n\ninsider threat implementation plans\n\noccupant emergency plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel with responsibility for related plans" - } - ] - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "props": [ - { - "name": "label", - "value": "CP-02(02)" - }, - { - "name": "sort-id", - "value": "cp-02.02" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for information processing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for telecommunications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for environmental support." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\ncapacity planning documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel responsible for capacity planning\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Mission and Business Functions", - "params": [ - { - "id": "cp-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.3_prm_1" - }, - { - "name": "label", - "value": "CP-02(03)_ODP[01]" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - }, - { - "id": "cp-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.3_prm_2" - }, - { - "name": "label", - "value": "CP-02(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the contingency plan activation time period within which to resume mission and business functions is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(03)" - }, - { - "name": "sort-id", - "value": "cp-02.03" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "Plan for the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(03)", - "class": "sp800-53A" - } - ], - "prose": "the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions are planned for within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nsystem security plan\n\nprivacy plan\n\nother related plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for resumption of missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.4", - "class": "SP800-53-enhancement", - "title": "Resume All Mission and Business Functions", - "props": [ - { - "name": "label", - "value": "CP-02(04)" - }, - { - "name": "sort-id", - "value": "cp-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-2.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-2.5", - "class": "SP800-53-enhancement", - "title": "Continue Mission and Business Functions", - "params": [ - { - "id": "cp-02.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.5_prm_1" - }, - { - "name": "label", - "value": "CP-02(05)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(05)" - }, - { - "name": "sort-id", - "value": "cp-02.05" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.5_smt", - "name": "statement", - "prose": "Plan for the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites." - }, - { - "id": "cp-2.5_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity is planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "continuity is sustained until full system restoration at primary processing and/or storage sites." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nprimary processing site agreements\n\nprimary storage site agreements\n\nalternate processing site agreements\n\nalternate storage site agreements\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for continuing missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.6", - "class": "SP800-53-enhancement", - "title": "Alternate Processing and Storage Sites", - "params": [ - { - "id": "cp-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.6_prm_1" - }, - { - "name": "label", - "value": "CP-02(06)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(06)" - }, - { - "name": "sort-id", - "value": "cp-02.06" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.6_smt", - "name": "statement", - "prose": "Plan for the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites." - }, - { - "id": "cp-2.6_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities for alternate processing and storage sites as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity is planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "operational continuity is sustained until full system restoration at primary processing and/or storage sites." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nalternate processing site agreements\n\nalternate storage site agreements\n\ncontingency plan testing documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for transfer of essential mission and business functions to alternate processing/storage sites" - } - ] - } - ] - }, - { - "id": "cp-2.7", - "class": "SP800-53-enhancement", - "title": "Coordinate with External Service Providers", - "props": [ - { - "name": "label", - "value": "CP-02(07)" - }, - { - "name": "sort-id", - "value": "cp-02.07" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.7_smt", - "name": "statement", - "prose": "Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "id": "cp-2.7_gdn", - "name": "guidance", - "prose": "When the capability of an organization to carry out its mission and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When mission and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(07)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is coordinated with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\ncontingency plans of external\n\nservice providers\n\nservice level agreements\n\ncontingency plan requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\nexternal service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "params": [ - { - "id": "cp-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.8_prm_1" - }, - { - "name": "label", - "value": "CP-02(08)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(08)" - }, - { - "name": "sort-id", - "value": "cp-02.08" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "Identify critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing [CP-2(7)](#cp-2.7) as a control enhancement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(08)", - "class": "sp800-53A" - } - ], - "prose": "critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions are identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "params": [ - { - "id": "cp-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_1" - }, - { - "name": "label", - "value": "CP-03_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which to provide contingency training after assuming a contingency role or responsibility is defined;" - } - ] - }, - { - "id": "cp-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_2" - }, - { - "name": "label", - "value": "CP-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide training to system users with a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_3" - }, - { - "name": "label", - "value": "CP-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update contingency training content;" - } - ] - }, - { - "id": "cp-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_4" - }, - { - "name": "label", - "value": "CP-03_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events necessitating review and update of contingency training are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-03" - }, - { - "name": "sort-id", - "value": "cp-03" - } - ], - "links": [ - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide contingency training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;" - }, - { - "id": "cp-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "cp-3_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, cp-03_odp.02 }} thereafter; and" - } - ] - }, - { - "id": "cp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update contingency training content {{ insert: param, cp-03_odp.03 }} and following {{ insert: param, cp-03_odp.04 }}." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.01", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.02", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.03", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, cp-03_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan training content is reviewed and updated {{ insert: param, cp-03_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan training content is reviewed and updated following {{ insert: param, cp-03_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\ncontingency training records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - } - ], - "controls": [ - { - "id": "cp-3.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "CP-03(01)" - }, - { - "name": "sort-id", - "value": "cp-03.01" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-3.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "id": "cp-3.1_gdn", - "name": "guidance", - "prose": "The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03(01)", - "class": "sp800-53A" - } - ], - "prose": "simulated events are incorporated into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training\n\nautomated mechanisms for simulating contingency events" - } - ] - } - ] - }, - { - "id": "cp-3.2", - "class": "SP800-53-enhancement", - "title": "Mechanisms Used in Training Environments", - "props": [ - { - "name": "label", - "value": "CP-03(02)" - }, - { - "name": "sort-id", - "value": "cp-03.02" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-3.2_smt", - "name": "statement", - "prose": "Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment." - }, - { - "id": "cp-3.2_gdn", - "name": "guidance", - "prose": "Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission and business processes, systems, and/or facilities may be used to generate simulated events and enhance the realism of simulated events during contingency training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03(02)", - "class": "sp800-53A" - } - ], - "prose": "mechanisms used in operations are employed to provide a more thorough and realistic contingency training environment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training\n\nautomated mechanisms for providing contingency training environments" - } - ] - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "params": [ - { - "id": "cp-4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cp-04_odp.02" - } - ], - "label": "organization-defined tests" - }, - { - "id": "cp-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4_prm_1" - }, - { - "name": "label", - "value": "CP-04_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency of testing the contingency plan for the system is defined;" - } - ] - }, - { - "id": "cp-04_odp.02", - "props": [ - { - "name": "label", - "value": "CP-04_ODP[02]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests for determining the effectiveness of the contingency plan are defined;" - } - ] - }, - { - "id": "cp-04_odp.03", - "props": [ - { - "name": "label", - "value": "CP-04_ODP[03]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests for determining readiness to execute the contingency plan are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04" - }, - { - "name": "sort-id", - "value": "cp-04" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Test the contingency plan for the system {{ insert: param, cp-04_odp.01 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, cp-4_prm_2 }}." - }, - { - "id": "cp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiate corrective actions, if needed." - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan for the system is tested {{ insert: param, cp-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04_odp.02 }} are used to determine the effectiveness of the plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04_odp.03 }} are used to determine the readiness to execute the plan;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04b.", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan test results are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04c.", - "class": "sp800-53A" - } - ], - "prose": "corrective actions are initiated, if needed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan testing" - } - ] - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-04(01)" - }, - { - "name": "sort-id", - "value": "cp-04.01" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan testing with organizational elements responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(01)", - "class": "sp800-53A" - } - ], - "prose": "contingency plan testing is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nincident response policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan testing documentation\n\ncontingency plan\n\nbusiness continuity plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plans\n\noccupant emergency plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\npersonnel with responsibilities for related plans\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-4.2", - "class": "SP800-53-enhancement", - "title": "Alternate Processing Site", - "props": [ - { - "name": "label", - "value": "CP-04(02)" - }, - { - "name": "sort-id", - "value": "cp-04.02" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.2_smt", - "name": "statement", - "prose": "Test the contingency plan at the alternate processing site:", - "parts": [ - { - "id": "cp-4.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "To familiarize contingency personnel with the facility and available resources; and" - }, - { - "id": "cp-4.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "To evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "id": "cp-4.2_gdn", - "name": "guidance", - "prose": "Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested at the alternate processing site to familiarize contingency personnel with the facility and available resources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested at the alternate processing site to evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nalternate processing site agreements\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan testing" - } - ] - } - ] - }, - { - "id": "cp-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "cp-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.3_prm_1" - }, - { - "name": "label", - "value": "CP-04(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for contingency plan testing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04(03)" - }, - { - "name": "sort-id", - "value": "cp-04.03" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-4.3_smt", - "name": "statement", - "prose": "Test the contingency plan using {{ insert: param, cp-04.03_odp }}." - }, - { - "id": "cp-4.3_gdn", - "name": "guidance", - "prose": "Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues, selecting more realistic test scenarios and environments, and effectively stressing the system and supported mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(03)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested using {{ insert: param, cp-04.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nautomated mechanisms supporting contingency plan testing\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing" - } - ] - } - ] - }, - { - "id": "cp-4.4", - "class": "SP800-53-enhancement", - "title": "Full Recovery and Reconstitution", - "props": [ - { - "name": "label", - "value": "CP-04(04)" - }, - { - "name": "sort-id", - "value": "cp-04.04" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.4_smt", - "name": "statement", - "prose": "Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing." - }, - { - "id": "cp-4.4_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "a full recovery of the system to a known state is included as part of contingency plan testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "a full reconstitution of the system to a known state is included as part of contingency plan testing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing\n\nautomated mechanisms supporting recovery and reconstitution of the system" - } - ] - } - ] - }, - { - "id": "cp-4.5", - "class": "SP800-53-enhancement", - "title": "Self-challenge", - "params": [ - { - "id": "cp-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.5_prm_1" - }, - { - "name": "label", - "value": "CP-04(05)_ODP[01]" - } - ], - "label": "mechanism/mechanisms", - "guidelines": [ - { - "prose": "mechanisms employed to disrupt and adversely affect the system or system component are defined;" - } - ] - }, - { - "id": "cp-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.5_prm_2" - }, - { - "name": "label", - "value": "CP-04(05)_ODP[02]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "system or system component on which to apply disruption mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04(05)" - }, - { - "name": "sort-id", - "value": "cp-04.05" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-4.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-04.05_odp.01 }} to {{ insert: param, cp-04.05_odp.02 }} to disrupt and adversely affect the system or system component." - }, - { - "id": "cp-4.5_gdn", - "name": "guidance", - "prose": "Often, the best method of assessing system resilience is to disrupt the system in some manner. The mechanisms used by the organization could disrupt system functions or system services in many ways, including terminating or disabling critical system components, changing the configuration of system components, degrading critical functionality (e.g., restricting network bandwidth), or altering privileges. Automated, on-going, and simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04.05_odp.01 }} is/are employed to disrupt and adversely affect the {{ insert: param, cp-04.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nmechanisms supporting contingency plan testing" - } - ] - } - ] - } - ] - }, - { - "id": "cp-5", - "class": "SP800-53", - "title": "Contingency Plan Update", - "props": [ - { - "name": "label", - "value": "CP-05" - }, - { - "name": "sort-id", - "value": "cp-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "props": [ - { - "name": "label", - "value": "CP-06" - }, - { - "name": "sort-id", - "value": "cp-06" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an alternate storage site is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06b.", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing and retrieving system backup information at the alternate storage site\n\nautomated mechanisms supporting and/or implementing storage and retrieval of system backup information at the alternate storage site" - } - ] - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-06(01)" - }, - { - "name": "sort-id", - "value": "cp-06.01" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(01)", - "class": "sp800-53A" - } - ], - "prose": "an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-6.2", - "class": "SP800-53-enhancement", - "title": "Recovery Time and Recovery Point Objectives", - "props": [ - { - "name": "label", - "value": "CP-06(02)" - }, - { - "name": "sort-id", - "value": "cp-06.02" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-6.2_smt", - "name": "statement", - "prose": "Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives." - }, - { - "id": "cp-6.2_gdn", - "name": "guidance", - "prose": "Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site is configured to facilitate recovery operations in accordance with recovery point objectives." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nalternate storage site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with responsibilities for testing related plans\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting recovery time and point objectives" - } - ] - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-06(03)" - }, - { - "name": "sort-id", - "value": "cp-06.03" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "explicit mitigation actions to address identified accessibility problems are outlined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nlist of potential accessibility problems to alternate storage site\n\nmitigation actions for accessibility problems to alternate storage site\n\norganizational risk assessments\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "params": [ - { - "id": "cp-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-7_prm_1" - }, - { - "name": "label", - "value": "CP-07_ODP[01]" - } - ], - "label": "system operations", - "guidelines": [ - { - "prose": "system operations for essential mission and business functions are defined;" - } - ] - }, - { - "id": "cp-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-7_prm_2" - }, - { - "name": "label", - "value": "CP-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-07" - }, - { - "name": "sort-id", - "value": "cp-07" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provide controls at the alternate processing site that are equivalent to those at the primary site." - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07a.", - "class": "sp800-53A" - } - ], - "prose": "an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions, is established within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for transfer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for resumption;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07c.", - "class": "sp800-53A" - } - ], - "prose": "controls provided at the alternate processing site are equivalent to those at the primary site." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nspare equipment and supplies inventory at alternate processing site\n\nequipment and supply contracts\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for recovery at the alternate site\n\nautomated mechanisms supporting and/or implementing recovery at the alternate processing site" - } - ] - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-07(01)" - }, - { - "name": "sort-id", - "value": "cp-07.01" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats." - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(01)", - "class": "sp800-53A" - } - ], - "prose": "an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-07(02)" - }, - { - "name": "sort-id", - "value": "cp-07.02" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "explicit mitigation actions to address identified accessibility problems are outlined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "props": [ - { - "name": "label", - "value": "CP-07(03)" - }, - { - "name": "sort-id", - "value": "cp-07.03" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(03)", - "class": "sp800-53A" - } - ], - "prose": "alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - } - ] - }, - { - "id": "cp-7.4", - "class": "SP800-53-enhancement", - "title": "Preparation for Use", - "props": [ - { - "name": "label", - "value": "CP-07(04)" - }, - { - "name": "sort-id", - "value": "cp-07.04" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.4_smt", - "name": "statement", - "prose": "Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions." - }, - { - "id": "cp-7.4_gdn", - "name": "guidance", - "prose": "Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(04)", - "class": "sp800-53A" - } - ], - "prose": "the alternate processing site is prepared so that the site can serve as the operational site supporting essential mission and business functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nalternate processing site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery at the alternate processing site" - } - ] - } - ] - }, - { - "id": "cp-7.5", - "class": "SP800-53-enhancement", - "title": "Equivalent Information Security Safeguards", - "props": [ - { - "name": "label", - "value": "CP-07(05)" - }, - { - "name": "sort-id", - "value": "cp-07.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-7.6", - "class": "SP800-53-enhancement", - "title": "Inability to Return to Primary Site", - "props": [ - { - "name": "label", - "value": "CP-07(06)" - }, - { - "name": "sort-id", - "value": "cp-07.06" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-7.6_smt", - "name": "statement", - "prose": "Plan and prepare for circumstances that preclude returning to the primary processing site." - }, - { - "id": "cp-7.6_gdn", - "name": "guidance", - "prose": "There may be situations that preclude an organization from returning to the primary processing site such as if a natural disaster (e.g., flood or a hurricane) damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "circumstances that preclude returning to the primary processing site are planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "circumstances that preclude returning to the primary processing site are prepared for." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nalternate processing site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "params": [ - { - "id": "cp-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8_prm_1" - }, - { - "name": "label", - "value": "CP-08_ODP[01]" - } - ], - "label": "system operations", - "guidelines": [ - { - "prose": "system operations to be resumed for essential mission and business functions are defined;" - } - ] - }, - { - "id": "cp-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8_prm_2" - }, - { - "name": "label", - "value": "CP-08_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08" - }, - { - "name": "sort-id", - "value": "cp-08" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for [CP-8](#cp-8) . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} , are established for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "props": [ - { - "name": "label", - "value": "CP-08(01)" - }, - { - "name": "sort-id", - "value": "cp-08.01" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nTelecommunications Service Priority documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "props": [ - { - "name": "label", - "value": "CP-08(02)" - }, - { - "name": "sort-id", - "value": "cp-08.02" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services." - }, - { - "id": "cp-8.2_gdn", - "name": "guidance", - "prose": "In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(02)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.3", - "class": "SP800-53-enhancement", - "title": "Separation of Primary and Alternate Providers", - "props": [ - { - "name": "label", - "value": "CP-08(03)" - }, - { - "name": "sort-id", - "value": "cp-08.03" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.3_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats." - }, - { - "id": "cp-8.3_gdn", - "name": "guidance", - "prose": "Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(03)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services from providers that are separated from primary service providers are obtained to reduce susceptibility to the same threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nalternate telecommunications service provider site\n\nprimary telecommunications service provider site\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.4", - "class": "SP800-53-enhancement", - "title": "Provider Contingency Plan", - "params": [ - { - "id": "cp-8.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-08.04_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-08.04_odp.01", - "props": [ - { - "name": "label", - "value": "CP-08(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to obtain evidence of contingency testing by providers is defined;" - } - ] - }, - { - "id": "cp-08.04_odp.02", - "props": [ - { - "name": "label", - "value": "CP-08(04)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to obtain evidence of contingency training by providers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08(04)" - }, - { - "name": "sort-id", - "value": "cp-08.04" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require primary and alternate telecommunications service providers to have contingency plans;" - }, - { - "id": "cp-8.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and" - }, - { - "id": "cp-8.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}." - } - ] - }, - { - "id": "cp-8.4_gdn", - "name": "guidance", - "prose": "Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "primary telecommunications service providers are required to have contingency plans;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications service providers are required to have contingency plans;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "provider contingency plans are reviewed to ensure that the plans meet organizational contingency requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "evidence of contingency testing by providers is obtained {{ insert: param, cp-08.04_odp.01 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "evidence of contingency training by providers is obtained {{ insert: param, cp-08.04_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprovider contingency plans\n\nevidence of contingency testing/training by providers\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and testing responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - } - ] - }, - { - "id": "cp-8.5", - "class": "SP800-53-enhancement", - "title": "Alternate Telecommunication Service Testing", - "params": [ - { - "id": "cp-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8.5_prm_1" - }, - { - "name": "label", - "value": "CP-08(05)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which alternate telecommunications services are tested is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08(05)" - }, - { - "name": "sort-id", - "value": "cp-08.05" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - }, - { - "href": "#cp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.5_smt", - "name": "statement", - "prose": "Test alternate telecommunication services {{ insert: param, cp-08.05_odp }}." - }, - { - "id": "cp-8.5_gdn", - "name": "guidance", - "prose": "Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure that there is no degradation in organizational missions or functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(05)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services are tested {{ insert: param, cp-08.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nevidence of testing alternate telecommunications services\n\nalternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and testing responsibilities\n\nalternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting testing alternate telecommunications services" - } - ] - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "System Backup", - "params": [ - { - "id": "cp-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_1" - }, - { - "name": "label", - "value": "CP-09_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which to conduct backups of user-level information is defined;" - } - ] - }, - { - "id": "cp-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_2" - }, - { - "name": "label", - "value": "CP-09_ODP[02]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of user-level information consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_3" - }, - { - "name": "label", - "value": "CP-09_ODP[03]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of system-level information consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_4" - }, - { - "name": "label", - "value": "CP-09_ODP[04]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09" - }, - { - "name": "sort-id", - "value": "cp-09" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#3653e316-8923-430e-8943-b3b2b2562fc6", - "rel": "reference" - }, - { - "href": "#2494df28-9049-4196-b233-540e7440993f", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} {{ insert: param, cp-09_odp.02 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct backups of system-level information contained in the system {{ insert: param, cp-09_odp.03 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct backups of system documentation, including security- and privacy-related documentation {{ insert: param, cp-09_odp.04 }} ; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the confidentiality, integrity, and availability of backup information." - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by [MP-5](#mp-5) and [SC-8](#sc-8) . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09a.", - "class": "sp800-53A" - } - ], - "prose": "backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} are conducted {{ insert: param, cp-09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09b.", - "class": "sp800-53A" - } - ], - "prose": "backups of system-level information contained in the system are conducted {{ insert: param, cp-09_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09c.", - "class": "sp800-53A" - } - ], - "prose": "backups of system documentation, including security- and privacy-related documentation are conducted {{ insert: param, cp-09_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the confidentiality of backup information is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of backup information is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[03]", - "class": "sp800-53A" - } - ], - "prose": "the availability of backup information is protected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nbackup storage location(s)\n\nsystem backup logs or records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability and Integrity", - "params": [ - { - "id": "cp-9.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-09.01_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-09.01_odp.01", - "props": [ - { - "name": "label", - "value": "CP-09(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test backup information for media reliability is defined;" - } - ] - }, - { - "id": "cp-09.01_odp.02", - "props": [ - { - "name": "label", - "value": "CP-09(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test backup information for information integrity is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(01)" - }, - { - "name": "sort-id", - "value": "cp-09.01" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "prose": "Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "backup information is tested {{ insert: param, cp-09.01_odp.01 }} to verify media reliability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "backup information is tested {{ insert: param, cp-09.01_odp.02 }} to verify information integrity." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "cp-9.2", - "class": "SP800-53-enhancement", - "title": "Test Restoration Using Sampling", - "props": [ - { - "name": "label", - "value": "CP-09(02)" - }, - { - "name": "sort-id", - "value": "cp-09.02" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.2_smt", - "name": "statement", - "prose": "Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing." - }, - { - "id": "cp-9.2_gdn", - "name": "guidance", - "prose": "Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(02)", - "class": "sp800-53A" - } - ], - "prose": "a sample of backup information in the restoration of selected system functions is used as part of contingency plan testing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with contingency planning/contingency plan testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "params": [ - { - "id": "cp-09.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.3_prm_1" - }, - { - "name": "label", - "value": "CP-09(03)_ODP" - } - ], - "label": "critical system software and other security-related information", - "guidelines": [ - { - "prose": "critical system software and other security-related information backups to be stored in a separate facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(03)" - }, - { - "name": "sort-id", - "value": "cp-09.03" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "Store backup copies of {{ insert: param, cp-09.03_odp }} in a separate facility or in a fire rated container that is not collocated with the operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(03)", - "class": "sp800-53A" - } - ], - "prose": "backup copies of {{ insert: param, cp-09.03_odp }} are stored in a separate facility or in a fire rated container that is not collocated with the operational system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nbackup storage location(s)\n\nsystem backup configurations and associated documentation\n\nsystem backup logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-9.4", - "class": "SP800-53-enhancement", - "title": "Protection from Unauthorized Modification", - "props": [ - { - "name": "label", - "value": "CP-09(04)" - }, - { - "name": "sort-id", - "value": "cp-09.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-9.5", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage Site", - "params": [ - { - "id": "cp-9.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-09.05_odp.01" - } - ], - "label": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" - }, - { - "id": "cp-09.05_odp.01", - "props": [ - { - "name": "label", - "value": "CP-09(05)_ODP[01]" - } - ], - "label": "time period consistent with the recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09.05_odp.02", - "props": [ - { - "name": "label", - "value": "CP-09(05)_ODP[02]" - } - ], - "label": "transfer rate consistent with the recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "transfer rate consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(05)" - }, - { - "name": "sort-id", - "value": "cp-09.05" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.5_smt", - "name": "statement", - "prose": "Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}." - }, - { - "id": "cp-9.5_gdn", - "name": "guidance", - "prose": "System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "system backup information is transferred to the alternate storage site for {{ insert: param, cp-09.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "system backup information is transferred to the alternate storage site {{ insert: param, cp-09.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup logs or records\n\nevidence of system backup information transferred to alternate storage site\n\nalternate storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for transferring system backups to the alternate storage site\n\nautomated mechanisms supporting and/or implementing system backups\n\nautomated mechanisms supporting and/or implementing information transfer to the alternate storage site" - } - ] - } - ] - }, - { - "id": "cp-9.6", - "class": "SP800-53-enhancement", - "title": "Redundant Secondary System", - "props": [ - { - "name": "label", - "value": "CP-09(06)" - }, - { - "name": "sort-id", - "value": "cp-09.06" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.6_smt", - "name": "statement", - "prose": "Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations." - }, - { - "id": "cp-9.6_gdn", - "name": "guidance", - "prose": "The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "system backup is conducted by maintaining a redundant secondary system that is not collocated with the primary system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "system backup is conducted by maintaining a redundant secondary system that can be activated without loss of information or disruption to operations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for the redundant secondary system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining redundant secondary systems\n\nautomated mechanisms supporting and/or implementing system backups\n\nautomated mechanisms supporting and/or implementing information transfer to a redundant secondary system" - } - ] - } - ] - }, - { - "id": "cp-9.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization for Deletion or Destruction", - "params": [ - { - "id": "cp-09.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.7_prm_1" - }, - { - "name": "label", - "value": "CP-09(07)_ODP" - } - ], - "label": "backup information", - "guidelines": [ - { - "prose": "backup information for which to enforce dual authorization in order to delete or destroy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(07)" - }, - { - "name": "sort-id", - "value": "cp-09.07" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }}." - }, - { - "id": "cp-9.7_gdn", - "name": "guidance", - "prose": "Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(07)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }} is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem generated list of dual authorization credentials or rules\n\nlogs or records of deletion or destruction of backup information\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing dual authorization\n\nautomated mechanisms supporting and/or implementing deletion/destruction of backup information" - } - ] - } - ] - }, - { - "id": "cp-9.8", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "cp-09.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.8_prm_1" - }, - { - "name": "label", - "value": "CP-09(08)_ODP" - } - ], - "label": "backup information", - "guidelines": [ - { - "prose": "backup information to protect against unauthorized disclosure and modification is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(08)" - }, - { - "name": "sort-id", - "value": "cp-09.08" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.8_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}." - }, - { - "id": "cp-9.8_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(08)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection of backup information" - } - ] - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "System Recovery and Reconstitution", - "params": [ - { - "id": "cp-10_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-10_odp.01" - } - ], - "label": "organization-defined time period consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-10_odp.01", - "props": [ - { - "name": "label", - "value": "CP-10_ODP[01]" - } - ], - "label": "time period consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives for the recovery of the system is determined;" - } - ] - }, - { - "id": "cp-10_odp.02", - "props": [ - { - "name": "label", - "value": "CP-10_ODP[02]" - } - ], - "label": "time period consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives for the reconstitution of the system is determined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, cp-10_prm_1 }} after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10[01]", - "class": "sp800-53A" - } - ], - "prose": "the recovery of the system to a known state is provided within {{ insert: param, cp-10_odp.01 }} after a disruption, compromise, or failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10[02]", - "class": "sp800-53A" - } - ], - "prose": "a reconstitution of the system to a known state is provided within {{ insert: param, cp-10_odp.02 }} after a disruption, compromise, or failure." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing system recovery and reconstitution operations\n\nautomated mechanisms supporting and/or implementing system recovery and reconstitution operations" - } - ] - } - ], - "controls": [ - { - "id": "cp-10.1", - "class": "SP800-53-enhancement", - "title": "Contingency Plan Testing", - "props": [ - { - "name": "label", - "value": "CP-10(01)" - }, - { - "name": "sort-id", - "value": "cp-10.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "props": [ - { - "name": "label", - "value": "CP-10(02)" - }, - { - "name": "sort-id", - "value": "cp-10.02" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "Implement transaction recovery for systems that are transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(02)", - "class": "sp800-53A" - } - ], - "prose": "transaction recovery is implemented for systems that are transaction-based." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem transaction recovery records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for transaction recovery\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transaction recovery capability" - } - ] - } - ] - }, - { - "id": "cp-10.3", - "class": "SP800-53-enhancement", - "title": "Compensating Security Controls", - "props": [ - { - "name": "label", - "value": "CP-10(03)" - }, - { - "name": "sort-id", - "value": "cp-10.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "parts": [ - { - "id": "cp-10.3_smt", - "name": "statement", - "prose": "Addressed through tailoring." - } - ] - }, - { - "id": "cp-10.4", - "class": "SP800-53-enhancement", - "title": "Restore Within Time Period", - "params": [ - { - "id": "cp-10.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-10.4_prm_1" - }, - { - "name": "label", - "value": "CP-10(04)_ODP" - } - ], - "label": "restoration time periods", - "guidelines": [ - { - "prose": "restoration time period within which to restore system components to a known, operational state is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-10(04)" - }, - { - "name": "sort-id", - "value": "cp-10.04" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.4_smt", - "name": "statement", - "prose": "Provide the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components." - }, - { - "id": "cp-10.4_gdn", - "name": "guidance", - "prose": "Restoration of system components includes reimaging, which restores the components to known, operational states." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(04)", - "class": "sp800-53A" - } - ], - "prose": "the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nevidence of system recovery and reconstitution operations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery/reconstitution of system information" - } - ] - } - ] - }, - { - "id": "cp-10.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "props": [ - { - "name": "label", - "value": "CP-10(05)" - }, - { - "name": "sort-id", - "value": "cp-10.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.6", - "class": "SP800-53-enhancement", - "title": "Component Protection", - "props": [ - { - "name": "label", - "value": "CP-10(06)" - }, - { - "name": "sort-id", - "value": "cp-10.06" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.6_smt", - "name": "statement", - "prose": "Protect system components used for recovery and reconstitution." - }, - { - "id": "cp-10.6_gdn", - "name": "guidance", - "prose": "Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(06)", - "class": "sp800-53A" - } - ], - "prose": "system components used for recovery and reconstitution are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogical access credentials\n\nphysical access credentials\n\nlogical access authorization records\n\nphysical access authorization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting backup and restoration of hardware, firmware, and software\n\nautomated mechanisms supporting and/or implementing protection of backups and restoration of hardware, firmware, and software" - } - ] - } - ] - } - ] - }, - { - "id": "cp-11", - "class": "SP800-53", - "title": "Alternate Communications Protocols", - "params": [ - { - "id": "cp-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-11_prm_1" - }, - { - "name": "label", - "value": "CP-11_ODP" - } - ], - "label": "alternative communications protocols", - "guidelines": [ - { - "prose": "alternative communications protocols in support of maintaining continuity of operations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-11" - }, - { - "name": "sort-id", - "value": "cp-11" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-11_smt", - "name": "statement", - "prose": "Provide the capability to employ {{ insert: param, cp-11_odp }} in support of maintaining continuity of operations." - }, - { - "id": "cp-11_gdn", - "name": "guidance", - "prose": "Contingency plans and the contingency training or testing associated with those plans incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-11", - "class": "sp800-53A" - } - ], - "prose": "the capability to employ {{ insert: param, cp-11_odp }} are provided in support of maintaining continuity of operations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternative communications protocols\n\ncontingency plan\n\ncontinuity of operations plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of alternative communications protocols supporting continuity of operations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with continuity of operations planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms employing alternative communications protocols" - } - ] - } - ] - }, - { - "id": "cp-12", - "class": "SP800-53", - "title": "Safe Mode", - "params": [ - { - "id": "cp-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-12_prm_2" - }, - { - "name": "label", - "value": "CP-12_ODP[01]" - } - ], - "label": "restrictions for safe mode of operation", - "guidelines": [ - { - "prose": "restrictions for safe mode of operation are defined;" - } - ] - }, - { - "id": "cp-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-12_prm_1" - }, - { - "name": "label", - "value": "CP-12_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions detected to enter a safe mode of operation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-12" - }, - { - "name": "sort-id", - "value": "cp-12" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#si-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-12_smt", - "name": "statement", - "prose": "When {{ insert: param, cp-12_odp.02 }} are detected, enter a safe mode of operation with {{ insert: param, cp-12_odp.01 }}." - }, - { - "id": "cp-12_gdn", - "name": "guidance", - "prose": "For systems that support critical mission and business functions\u2014including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments)\u2014organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations that systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-12", - "class": "sp800-53A" - } - ], - "prose": "a safe mode of operation is entered with {{ insert: param, cp-12_odp.01 }} when {{ insert: param, cp-12_odp.02 }} are detected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing safe mode of operation for the system\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem administration manuals\n\nsystem operation manuals\n\nsystem installation manuals\n\ncontingency plan test records\n\nincident handling records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing safe mode of operation" - } - ] - } - ] - }, - { - "id": "cp-13", - "class": "SP800-53", - "title": "Alternative Security Mechanisms", - "params": [ - { - "id": "cp-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-13_prm_1" - }, - { - "name": "label", - "value": "CP-13_ODP[01]" - } - ], - "label": "alternative or supplemental security mechanisms", - "guidelines": [ - { - "prose": "alternative or supplemental security mechanisms are defined;" - } - ] - }, - { - "id": "cp-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-13_prm_2" - }, - { - "name": "label", - "value": "CP-13_ODP[02]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-13" - }, - { - "name": "sort-id", - "value": "cp-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-13_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-13_odp.01 }} for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "id": "cp-13_gdn", - "name": "guidance", - "prose": "Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are only applied to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue one-time pads to senior executives, officials, and system administrators if multi-factor tokens\u2014the standard means for achieving secure authentication\u2014 are compromised." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-13", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-13_odp.01 }} are employed for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate security mechanisms\n\ncontingency plan\n\ncontinuity of operations plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test records\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system capability implementing alternative security mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ia-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ia-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-01_odp.01", - "props": [ - { - "name": "label", - "value": "IA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the identification and authentication policy is to be disseminated are defined;" - } - ] - }, - { - "id": "ia-01_odp.02", - "props": [ - { - "name": "label", - "value": "IA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the identification and authentication procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ia-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_2" - }, - { - "name": "label", - "value": "IA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ia-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_3" - }, - { - "name": "label", - "value": "IA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the identification and authentication policy and procedures is defined;" - } - ] - }, - { - "id": "ia-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_4" - }, - { - "name": "label", - "value": "IA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current identification and authentication policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ia-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_5" - }, - { - "name": "label", - "value": "IA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current identification and authentication policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ia-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_6" - }, - { - "name": "label", - "value": "IA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current identification and authentication procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ia-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_7" - }, - { - "name": "label", - "value": "IA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require identification and authentication procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-01" - }, - { - "name": "sort-id", - "value": "ia-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ia-01_odp.03 }} identification and authentication policy that:", - "parts": [ - { - "id": "ia-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ia-01_odp.04 }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and" - }, - { - "id": "ia-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current identification and authentication:", - "parts": [ - { - "id": "ia-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ia-01_odp.05 }} and following {{ insert: param, ia-01_odp.06 }} ; and" - }, - { - "id": "ia-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ia-01_odp.07 }} and following {{ insert: param, ia-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an identification and authentication policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the identification and authentication policy is disseminated to {{ insert: param, ia-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the identification and authentication procedures are disseminated to {{ insert: param, ia-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication policy is reviewed and updated {{ insert: param, ia-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication policy is reviewed and updated following {{ insert: param, ia-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication procedures are reviewed and updated {{ insert: param, ia-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication procedures are reviewed and updated following {{ insert: param, ia-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\nlist of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings)\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-02" - }, - { - "name": "sort-id", - "value": "ia-02" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#d9e036ba-6eec-46a6-9340-b0bf1fea23b4", - "rel": "reference" - }, - { - "href": "#e8552d48-cf41-40aa-8b06-f45f7fb4706c", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#4b38e961-1125-4a5b-aa35-1d6c02846dad", - "rel": "reference" - }, - { - "href": "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "rel": "reference" - }, - { - "href": "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12](#f16e438e-7114-4144-bfe2-2dfcad8cb2d0) . Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in [AC-14](#ac-14) and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity.\n\nOrganizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks.\n\nThe use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in [IA-8](#ia-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational users are uniquely identified and authenticated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02[02]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of authenticated organizational users is associated with processes acting on behalf of those users." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\nsystem security plan, system design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Multi-factor Authentication to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(01)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for access to privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "prose": "Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for access to privileged accounts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Multi-factor Authentication to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(02)" - }, - { - "name": "sort-id", - "value": "ia-02.02" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for access to non-privileged accounts." - }, - { - "id": "ia-2.2_gdn", - "name": "guidance", - "prose": "Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(02)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication for access to non-privileged accounts is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(03)" - }, - { - "name": "sort-id", - "value": "ia-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.4", - "class": "SP800-53-enhancement", - "title": "Local Access to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(04)" - }, - { - "name": "sort-id", - "value": "ia-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Individual Authentication with Group Authentication", - "props": [ - { - "name": "label", - "value": "IA-02(05)" - }, - { - "name": "sort-id", - "value": "ia-02.05" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(05)", - "class": "sp800-53A" - } - ], - "prose": "users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authentication capability for group accounts" - } - ] - } - ] - }, - { - "id": "ia-2.6", - "class": "SP800-53-enhancement", - "title": "Access to Accounts \u2014separate Device", - "params": [ - { - "id": "ia-02.06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_1" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "network", - "remote" - ] - } - }, - { - "id": "ia-02.06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_2" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - }, - { - "id": "ia-02.06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_3" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[03]" - } - ], - "label": "strength of mechanism requirements", - "guidelines": [ - { - "prose": "the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(06)" - }, - { - "name": "sort-id", - "value": "ia-02.06" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.6_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that:", - "parts": [ - { - "id": "ia-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "One of the factors is provided by a device separate from the system gaining access; and" - }, - { - "id": "ia-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "The device meets {{ insert: param, ia-02.06_odp.03 }}." - } - ] - }, - { - "id": "ia-2.6_gdn", - "name": "guidance", - "prose": "The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that one of the factors is provided by a device separate from the system gaining access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that the device meets {{ insert: param, ia-02.06_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.7", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts \u2014 Separate Device", - "props": [ - { - "name": "label", - "value": "IA-02(07)" - }, - { - "name": "sort-id", - "value": "ia-02.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Access to Accounts \u2014 Replay Resistant", - "params": [ - { - "id": "ia-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.8_prm_1" - }, - { - "name": "label", - "value": "IA-02(08)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(08)" - }, - { - "name": "sort-id", - "value": "ia-02.08" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "Implement replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }}." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(08)", - "class": "sp800-53A" - } - ], - "prose": "replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of privileged system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing replay-resistant authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-2.9", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts \u2014 Replay Resistant", - "props": [ - { - "name": "label", - "value": "IA-02(09)" - }, - { - "name": "sort-id", - "value": "ia-02.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.10", - "class": "SP800-53-enhancement", - "title": "Single Sign-on", - "params": [ - { - "id": "ia-02.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.10_prm_1" - }, - { - "name": "label", - "value": "IA-02(10)_ODP" - } - ], - "label": "system accounts and services", - "guidelines": [ - { - "prose": "system accounts and services for which a single sign-on capability must be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(10)" - }, - { - "name": "sort-id", - "value": "ia-02.10" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.10_smt", - "name": "statement", - "prose": "Provide a single sign-on capability for {{ insert: param, ia-02.10_odp }}." - }, - { - "id": "ia-2.10_gdn", - "name": "guidance", - "prose": "Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multi-factor authentication for applications and systems (existing and new) that may not be able to natively support multi-factor authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(10)", - "class": "sp800-53A" - } - ], - "prose": "a single sign-on capability is provided for {{ insert: param, ia-02.10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing single sign-on capability for system accounts and services\n\nprocedures addressing identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts and services requiring single sign-on capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing single sign-on capability for system accounts and services" - } - ] - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access \u2014 Separate Device", - "props": [ - { - "name": "label", - "value": "IA-02(11)" - }, - { - "name": "sort-id", - "value": "ia-02.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "props": [ - { - "name": "label", - "value": "IA-02(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials." - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03) . Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166](#e8552d48-cf41-40aa-8b06-f45f7fb4706c) . The DOD Common Access Card (CAC) is an example of a PIV credential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(12)", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials are accepted and electronically verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-2.13", - "class": "SP800-53-enhancement", - "title": "Out-of-band Authentication", - "params": [ - { - "id": "ia-02.13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.13_prm_2" - }, - { - "name": "label", - "value": "IA-02(13)_ODP[01]" - } - ], - "label": "out-of-band authentication", - "guidelines": [ - { - "prose": "out-of-band authentication mechanisms to be implemented are defined;" - } - ] - }, - { - "id": "ia-02.13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.13_prm_1" - }, - { - "name": "label", - "value": "IA-02(13)_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which out-of-band authentication is to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(13)" - }, - { - "name": "sort-id", - "value": "ia-02.13" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.13_smt", - "name": "statement", - "prose": "Implement the following out-of-band authentication mechanisms under {{ insert: param, ia-02.13_odp.02 }}: {{ insert: param, ia-02.13_odp.01 }}." - }, - { - "id": "ia-2.13_gdn", - "name": "guidance", - "prose": "Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path) is used to identify and authenticate users or devices and is generally the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user\u2019s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected \"man-in the-middle\" attacks. The conditions or criteria for activation include suspicious activities, new threat indicators, elevated threat levels, or the impact or classification level of information in requested transactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-02.13_odp.01 }} mechanisms are implemented under {{ insert: param, ia-02.13_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem-generated list of out-of-band authentication paths\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing out-of-band authentication capability" - } - ] - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "params": [ - { - "id": "ia-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3_prm_1" - }, - { - "name": "label", - "value": "IA-03_ODP[01]" - } - ], - "label": "devices and/or types of devices", - "guidelines": [ - { - "prose": "devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined;" - } - ] - }, - { - "id": "ia-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3_prm_2" - }, - { - "name": "label", - "value": "IA-03_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-03" - }, - { - "name": "sort-id", - "value": "ia-03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-03_odp.01 }} before establishing a {{ insert: param, ia-03_odp.02 }} connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-03_odp.01 }} are uniquely identified and authenticated before establishing a {{ insert: param, ia-03_odp.02 }} connection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\nsystem configuration settings and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-3.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Authentication", - "params": [ - { - "id": "ia-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.1_prm_1" - }, - { - "name": "label", - "value": "IA-03(01)_ODP[01]" - } - ], - "label": "devices and/or types of devices", - "guidelines": [ - { - "prose": "devices and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more connections are defined;" - } - ] - }, - { - "id": "ia-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.1_prm_2" - }, - { - "name": "label", - "value": "IA-03(01)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(01)" - }, - { - "name": "sort-id", - "value": "ia-03.01" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.1_smt", - "name": "statement", - "prose": "Authenticate {{ insert: param, ia-03.01_odp.01 }} before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "id": "ia-3.1_gdn", - "name": "guidance", - "prose": "A local connection is a connection with a device that communicates without the use of a network. A network connection is a connection with a device that communicates through a network. A remote connection is a connection with a device that communicates through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-03.01_odp.01 }} are authenticated before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\nsystem configuration settings and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device authentication capability\n\ncryptographically based bidirectional authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-3.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Network Authentication", - "props": [ - { - "name": "label", - "value": "IA-03(02)" - }, - { - "name": "sort-id", - "value": "ia-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-3.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Address Allocation", - "params": [ - { - "id": "ia-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.3_prm_1" - }, - { - "name": "label", - "value": "IA-03(03)_ODP" - } - ], - "label": "lease information and lease duration", - "guidelines": [ - { - "prose": "lease information and lease duration to be employed to standardize dynamic address allocation for devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(03)" - }, - { - "name": "sort-id", - "value": "ia-03.03" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.3_smt", - "name": "statement", - "parts": [ - { - "id": "ia-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with {{ insert: param, ia-03.03_odp }} ; and" - }, - { - "id": "ia-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit lease information when assigned to a device." - } - ] - }, - { - "id": "ia-3.3_gdn", - "name": "guidance", - "prose": "The Dynamic Host Configuration Protocol (DHCP) is an example of a means by which clients can dynamically receive network address assignments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "dynamic address allocation lease information and lease duration assigned to devices where addresses are allocated dynamically are standardized in accordance with {{ insert: param, ia-03.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "lease information is audited when assigned to a device." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nevidence of lease information and lease duration assigned to devices\n\ndevice connection reports\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing dynamic address allocation\n\nautomated mechanisms supporting and/or implanting auditing of lease information" - } - ] - } - ] - }, - { - "id": "ia-3.4", - "class": "SP800-53-enhancement", - "title": "Device Attestation", - "params": [ - { - "id": "ia-03.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.4_prm_1" - }, - { - "name": "label", - "value": "IA-03(04)_ODP" - } - ], - "label": "configuration management process", - "guidelines": [ - { - "prose": "configuration management process to be employed to handle device identification and authentication based on attestation is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(04)" - }, - { - "name": "sort-id", - "value": "ia-03.04" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.4_smt", - "name": "statement", - "prose": "Handle device identification and authentication based on attestation by {{ insert: param, ia-03.04_odp }}." - }, - { - "id": "ia-3.4_gdn", - "name": "guidance", - "prose": "Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and do not disrupt identification and authentication to other devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(04)", - "class": "sp800-53A" - } - ], - "prose": "device identification and authentication are handled based on attestation by {{ insert: param, ia-03.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nprocedures addressing device configuration management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nconfiguration management records\n\nchange control records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing configuration management\n\ncryptographic mechanisms supporting device attestation" - } - ] - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "params": [ - { - "id": "ia-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4_prm_1" - }, - { - "name": "label", - "value": "IA-04_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles from whom authorization must be received to assign an identifier are defined;" - } - ] - }, - { - "id": "ia-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4_prm_2" - }, - { - "name": "label", - "value": "IA-04_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for preventing reuse of identifiers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04" - }, - { - "name": "sort-id", - "value": "ia-04" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-12", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "Manage system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign an individual, group, role, service, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, service, or device; and" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}." - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of [AC-2](#ac-2) use account names provided by [IA-4](#ia-4) . Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04a.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign to an individual, group, role, or device identifier;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04b.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04c.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by assigning the identifier to the intended individual, group, role, service, or device;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04d.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ], - "controls": [ - { - "id": "ia-4.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Account Identifiers as Public Identifiers", - "props": [ - { - "name": "label", - "value": "IA-04(01)" - }, - { - "name": "sort-id", - "value": "ia-04.01" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.1_smt", - "name": "statement", - "prose": "Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts." - }, - { - "id": "ia-4.1_gdn", - "name": "guidance", - "prose": "Prohibiting account identifiers as public identifiers applies to any publicly disclosed account identifier used for communication such as, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier, such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and credentials to protect the account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the use of system account identifiers that are the same as public identifiers is prohibited for individual accounts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.2", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-04(02)" - }, - { - "name": "sort-id", - "value": "ia-04.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.3", - "class": "SP800-53-enhancement", - "title": "Multiple Forms of Certification", - "props": [ - { - "name": "label", - "value": "IA-04(03)" - }, - { - "name": "sort-id", - "value": "ia-04.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "params": [ - { - "id": "ia-04.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.4_prm_1" - }, - { - "name": "label", - "value": "IA-04(04)_ODP" - } - ], - "label": "characteristics used to identify individual status", - "guidelines": [ - { - "prose": "characteristics used to identify individual status is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(04)" - }, - { - "name": "sort-id", - "value": "ia-04.04" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(04)", - "class": "sp800-53A" - } - ], - "prose": "individual identifiers are managed by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nlist of characteristics identifying individual status\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.5", - "class": "SP800-53-enhancement", - "title": "Dynamic Management", - "params": [ - { - "id": "ia-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.5_prm_1" - }, - { - "name": "label", - "value": "IA-04(05)_ODP" - } - ], - "label": "dynamic identifier policy", - "guidelines": [ - { - "prose": "a dynamic identifier policy for managing individual identifiers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(05)" - }, - { - "name": "sort-id", - "value": "ia-04.05" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.5_smt", - "name": "statement", - "prose": "Manage individual identifiers dynamically in accordance with {{ insert: param, ia-04.05_odp }}." - }, - { - "id": "ia-4.5_gdn", - "name": "guidance", - "prose": "In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at runtime for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate credentials and related identifiers are essential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(05)", - "class": "sp800-53A" - } - ], - "prose": "individual identifiers are dynamically managed in accordance with {{ insert: param, ia-04.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing dynamic identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.6", - "class": "SP800-53-enhancement", - "title": "Cross-organization Management", - "params": [ - { - "id": "ia-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.6_prm_1" - }, - { - "name": "label", - "value": "IA-04(06)_ODP" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations with whom to coordinate the cross-organization management of identifiers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(06)" - }, - { - "name": "sort-id", - "value": "ia-04.06" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.6_smt", - "name": "statement", - "prose": "Coordinate with the following external organizations for cross-organization management of identifiers: {{ insert: param, ia-04.06_odp }}." - }, - { - "id": "ia-4.6_gdn", - "name": "guidance", - "prose": "Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(06)", - "class": "sp800-53A" - } - ], - "prose": "cross-organization management of identifiers is coordinated with {{ insert: param, ia-04.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.7", - "class": "SP800-53-enhancement", - "title": "In-person Registration", - "props": [ - { - "name": "label", - "value": "IA-04(07)" - }, - { - "name": "sort-id", - "value": "ia-04.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.8", - "class": "SP800-53-enhancement", - "title": "Pairwise Pseudonymous Identifiers", - "props": [ - { - "name": "label", - "value": "IA-04(08)" - }, - { - "name": "sort-id", - "value": "ia-04.08" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.8_smt", - "name": "statement", - "prose": "Generate pairwise pseudonymous identifiers." - }, - { - "id": "ia-4.8_gdn", - "name": "guidance", - "prose": "A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identity provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers with no identifying information about a subscriber discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(08)", - "class": "sp800-53A" - } - ], - "prose": "pairwise pseudonymous identifiers are generated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.9", - "class": "SP800-53-enhancement", - "title": "Attribute Maintenance and Protection", - "params": [ - { - "id": "ia-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.9_prm_1" - }, - { - "name": "label", - "value": "IA-04(09)_ODP" - } - ], - "label": "protected central storage", - "guidelines": [ - { - "prose": "protected central storage used to maintain the attributes for each uniquely identified individual, device, or service is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(09)" - }, - { - "name": "sort-id", - "value": "ia-04.09" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-4.9_smt", - "name": "statement", - "prose": "Maintain the attributes for each uniquely identified individual, device, or service in {{ insert: param, ia-04.09_odp }}." - }, - { - "id": "ia-4.9_gdn", - "name": "guidance", - "prose": "For each of the entities covered in [IA-2](#ia-2), [IA-3](#ia-3), [IA-8](#ia-8) , and [IA-9](#ia-9) , it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(09)", - "class": "sp800-53A" - } - ], - "prose": "the attributes for each uniquely identified individual, device, or service are maintained in {{ insert: param, ia-04.09_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "params": [ - { - "id": "ia-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5_prm_1" - }, - { - "name": "label", - "value": "IA-05_ODP[01]" - } - ], - "label": "time period by authenticator type", - "guidelines": [ - { - "prose": "a time period for changing or refreshing authenticators by authenticator type is defined;" - } - ] - }, - { - "id": "ia-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5_prm_2" - }, - { - "name": "label", - "value": "IA-05_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that trigger the change or refreshment of authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05" - }, - { - "name": "sort-id", - "value": "ia-05" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "rel": "reference" - }, - { - "href": "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "Manage system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for any authenticators issued by the organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default authenticators prior to first use;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Changing or refreshing authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and modification;" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Changing authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control [PL-4](#pl-4) or [PS-6](#ps-6) for authenticators in the possession of individuals and by controls [AC-3](#ac-3), [AC-6](#ac-6) , and [SC-28](#sc-28) for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges.\n\nSystems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05a.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the verification of the identity of the individual, group, role, service, or device receiving the authenticator as part of the initial authenticator distribution;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05b.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the establishment of initial authenticator content for any authenticators issued by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05c.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed to ensure that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05d.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the establishment and implementation of administrative procedures for initial authenticator distribution; lost, compromised, or damaged authenticators; and the revocation of authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05e.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change of default authenticators prior to first use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05f.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change or refreshment of authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05g.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the protection of authenticator content from unauthorized disclosure and modification;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.[01]", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the requirement for individuals to take specific controls to protect authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.[02]", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the requirement for devices to implement specific controls to protect authenticators;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05i.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change of authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\naddressing authenticator management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system authenticator types\n\nchange control records associated with managing system authenticators\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "params": [ - { - "id": "ia-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.1_prm_1" - }, - { - "name": "label", - "value": "IA-05(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update the list of commonly used, expected, or compromised passwords is defined;" - } - ] - }, - { - "id": "ia-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.1_prm_2" - }, - { - "name": "label", - "value": "IA-05(01)_ODP[02]" - } - ], - "label": "composition and complexity rules", - "guidelines": [ - { - "prose": "authenticator composition and complexity rules are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(01)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "For password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a);" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Transmit passwords only over cryptographically-protected channels;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Store passwords using an approved salted key derivation function, preferably using a keyed hash;" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Require immediate selection of a new password upon account recovery;" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allow user selection of long passwords and passphrases, including spaces and all printable characters;" - }, - { - "id": "ia-5.1_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Employ automated tools to assist the user in selecting strong password authenticators; and" - }, - { - "id": "ia-5.1_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Enforce the following composition and complexity rules: {{ insert: param, ia-05.01_odp.02 }}." - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, a list of commonly used, expected, or compromised passwords is maintained and updated {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication when passwords are created or updated by users, the passwords are verified not to be found on the list of commonly used, expected, or compromised passwords in IA-05(01)(a);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, passwords are only transmitted over cryptographically protected channels;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(d)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, passwords are stored using an approved salted key derivation function, preferably using a keyed hash;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(e)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, immediate selection of a new password is required upon account recovery;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(f)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, user selection of long passwords and passphrases is allowed, including spaces and all printable characters;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(g)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, automated tools are employed to assist the user in selecting strong password authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(h)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, {{ insert: param, ia-05.01_odp.02 }} are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Public Key-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-05(02)" - }, - { - "name": "sort-id", - "value": "ia-05.02" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "For public key-based authentication:", - "parts": [ - { - "id": "ia-5.2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Enforce authorized access to the corresponding private key; and" - }, - { - "id": "ia-5.2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Map the authenticated identity to the account of the individual or group; and" - } - ] - }, - { - "id": "ia-5.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "When public key infrastructure (PKI) is used:", - "parts": [ - { - "id": "ia-5.2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and" - }, - { - "id": "ia-5.2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Implement a local cache of revocation data to support path discovery and validation." - } - ] - } - ] - }, - { - "id": "ia-5.2_gdn", - "name": "guidance", - "prose": "Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)(01)", - "class": "sp800-53A" - } - ], - "prose": "authorized access to the corresponding private key is enforced for public key-based authentication;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)(02)", - "class": "sp800-53A" - } - ], - "prose": "the authenticated identity is mapped to the account of the individual or group for public key-based authentication;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nPKI certification validation records\n\nPKI certification revocation lists\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with PKI-based, authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Registration", - "props": [ - { - "name": "label", - "value": "IA-05(03)" - }, - { - "name": "sort-id", - "value": "ia-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "props": [ - { - "name": "label", - "value": "IA-05(04)" - }, - { - "name": "sort-id", - "value": "ia-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.5", - "class": "SP800-53-enhancement", - "title": "Change Authenticators Prior to Delivery", - "props": [ - { - "name": "label", - "value": "IA-05(05)" - }, - { - "name": "sort-id", - "value": "ia-05.05" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.5_smt", - "name": "statement", - "prose": "Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "id": "ia-5.5_gdn", - "name": "guidance", - "prose": "Changing authenticators prior to the delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "developers and installers of system components are required to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nsystem and services acquisition policy\n\nprocedures addressing authenticator management\n\nprocedures addressing the integration of security requirements into the acquisition process\n\nacquisition documentation\n\nacquisition contracts for system procurements or services\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security, acquisition, and contracting responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(06)" - }, - { - "name": "sort-id", - "value": "ia-05.06" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ra-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(06)", - "class": "sp800-53A" - } - ], - "prose": "authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity categorization documentation for the system\n\nsecurity assessments of authenticator protections\n\nrisk assessment results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel implementing and/or maintaining authenticator protections\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability\n\nautomated mechanisms protecting authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(07)" - }, - { - "name": "sort-id", - "value": "ia-05.07" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(07)", - "class": "sp800-53A" - } - ], - "prose": "unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing authenticator management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogical access scripts\n\napplication code reviews for detecting unencrypted static authenticators\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability\n\nautomated mechanisms implementing authentication in applications" - } - ] - } - ] - }, - { - "id": "ia-5.8", - "class": "SP800-53-enhancement", - "title": "Multiple System Accounts", - "params": [ - { - "id": "ia-05.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.8_prm_1" - }, - { - "name": "label", - "value": "IA-05(08)_ODP" - } - ], - "label": "security controls", - "guidelines": [ - { - "prose": "security controls implemented to manage the risk of compromise due to individuals having accounts on multiple systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(08)" - }, - { - "name": "sort-id", - "value": "ia-05.08" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ia-05.08_odp }} to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "id": "ia-5.8_gdn", - "name": "guidance", - "prose": "When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6) ) to mitigate the risk of multiple system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.08_odp }} are implemented to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nlist of individuals having accounts on multiple systems\n\nlist of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple systems\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards for authenticator management" - } - ] - } - ] - }, - { - "id": "ia-5.9", - "class": "SP800-53-enhancement", - "title": "Federated Credential Management", - "params": [ - { - "id": "ia-05.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.9_prm_1" - }, - { - "name": "label", - "value": "IA-05(09)_ODP" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations to be used for federating credentials are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(09)" - }, - { - "name": "sort-id", - "value": "ia-05.09" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.9_smt", - "name": "statement", - "prose": "Use the following external organizations to federate credentials: {{ insert: param, ia-05.09_odp }}." - }, - { - "id": "ia-5.9_gdn", - "name": "guidance", - "prose": "Federation provides organizations with the capability to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information. Using a specific list of approved external organizations for authentication helps to ensure that those organizations are vetted and trusted." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.09_odp }} are used to federate credentials." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nprocedures addressing account management\n\nsystem security plan\n\nsecurity agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards for authenticator management" - } - ] - } - ] - }, - { - "id": "ia-5.10", - "class": "SP800-53-enhancement", - "title": "Dynamic Credential Binding", - "params": [ - { - "id": "ia-05.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.10_prm_1" - }, - { - "name": "label", - "value": "IA-05(10)_ODP" - } - ], - "label": "binding rules", - "guidelines": [ - { - "prose": "rules for dynamically binding identities and authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(10)" - }, - { - "name": "sort-id", - "value": "ia-05.10" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.10_smt", - "name": "statement", - "prose": "Bind identities and authenticators dynamically using the following rules: {{ insert: param, ia-05.10_odp }}." - }, - { - "id": "ia-5.10_gdn", - "name": "guidance", - "prose": "Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(10)", - "class": "sp800-53A" - } - ], - "prose": "identities and authenticators are dynamically bound using {{ insert: param, ia-05.10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing identifier management capability\n\nautomated mechanisms implementing dynamic binding of identities and authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-05(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - }, - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.12", - "class": "SP800-53-enhancement", - "title": "Biometric Authentication Performance", - "params": [ - { - "id": "ia-05.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.12_prm_1" - }, - { - "name": "label", - "value": "IA-05(12)_ODP" - } - ], - "label": "biometric quality requirements", - "guidelines": [ - { - "prose": "biometric quality requirements for biometric-based authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(12)" - }, - { - "name": "sort-id", - "value": "ia-05.12" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.12_smt", - "name": "statement", - "prose": "For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements {{ insert: param, ia-05.12_odp }}." - }, - { - "id": "ia-5.12_gdn", - "name": "guidance", - "prose": "Unlike password-based authentication, which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide exact matches. Depending on the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis for comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate, which reflects the accuracy of the biometric matching algorithm used by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(12)", - "class": "sp800-53A" - } - ], - "prose": "mechanisms that satisfy {{ insert: param, ia-05.12_odp }} are employed for biometric-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms employing biometric-based authentication for the system\n\nlist of biometric quality requirements\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing biometric-based authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.13", - "class": "SP800-53-enhancement", - "title": "Expiration of Cached Authenticators", - "params": [ - { - "id": "ia-05.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.13_prm_1" - }, - { - "name": "label", - "value": "IA-05(13)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which the use of cached authenticators is prohibited is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(13)" - }, - { - "name": "sort-id", - "value": "ia-05.13" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.13_smt", - "name": "statement", - "prose": "Prohibit the use of cached authenticators after {{ insert: param, ia-05.13_odp }}." - }, - { - "id": "ia-5.13_gdn", - "name": "guidance", - "prose": "Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(13)", - "class": "sp800-53A" - } - ], - "prose": "the use of cached authenticators is prohibited after {{ insert: param, ia-05.13_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.14", - "class": "SP800-53-enhancement", - "title": "Managing Content of PKI Trust Stores", - "props": [ - { - "name": "label", - "value": "IA-05(14)" - }, - { - "name": "sort-id", - "value": "ia-05.14" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.14_smt", - "name": "statement", - "prose": "For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications." - }, - { - "id": "ia-5.14_gdn", - "name": "guidance", - "prose": "An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(14)", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide methodology for managing the content of PKI trust stores is employed across all platforms, including networks, operating systems, browsers, and applications for PKI-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\norganizational methodology for managing content of PKI trust stores across installed all platforms\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nenterprise security architecture documentation\n\nenterprise architecture documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based authenticator management capability\n\nautomated mechanisms supporting and/or implementing the PKI trust store capability" - } - ] - } - ] - }, - { - "id": "ia-5.15", - "class": "SP800-53-enhancement", - "title": "Gsa-approved Products and Services", - "props": [ - { - "name": "label", - "value": "IA-05(15)" - }, - { - "name": "sort-id", - "value": "ia-05.15" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.15_smt", - "name": "statement", - "prose": "Use only General Services Administration-approved products and services for identity, credential, and access management." - }, - { - "id": "ia-5.15_gdn", - "name": "guidance", - "prose": "General Services Administration (GSA)-approved products and services are products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(15)", - "class": "sp800-53A" - } - ], - "prose": "only General Services Administration-approved products and services are used for identity, credential, and access management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.16", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Authenticator Issuance", - "params": [ - { - "id": "ia-05.16_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_1" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[01]" - } - ], - "label": "types of and/or specific authenticators", - "guidelines": [ - { - "prose": "types of and/or specific authenticators to be issued are defined;" - } - ] - }, - { - "id": "ia-05.16_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_2" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[02]" - } - ], - "select": { - "choice": [ - "in person", - "by a trusted external party" - ] - } - }, - { - "id": "ia-05.16_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_3" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[03]" - } - ], - "label": "registration authority", - "guidelines": [ - { - "prose": "the registration authority that issues authenticators is defined;" - } - ] - }, - { - "id": "ia-05.16_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_4" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles who authorize the issuance of authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(16)" - }, - { - "name": "sort-id", - "value": "ia-05.16" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.16_smt", - "name": "statement", - "prose": "Require that the issuance of {{ insert: param, ia-05.16_odp.01 }} be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}." - }, - { - "id": "ia-5.16_gdn", - "name": "guidance", - "prose": "Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(16)", - "class": "sp800-53A" - } - ], - "prose": "the issuance of {{ insert: param, ia-05.16_odp.01 }} is required to be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.17", - "class": "SP800-53-enhancement", - "title": "Presentation Attack Detection for Biometric Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(17)" - }, - { - "name": "sort-id", - "value": "ia-05.17" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.17_smt", - "name": "statement", - "prose": "Employ presentation attack detection mechanisms for biometric-based authentication." - }, - { - "id": "ia-5.17_gdn", - "name": "guidance", - "prose": "Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses, taking a picture of someone with a camera phone to obtain facial images with or without their knowledge, lifting from objects that someone has touched (e.g., a latent fingerprint), or capturing a high-resolution image (e.g., an iris pattern). Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(17)", - "class": "sp800-53A" - } - ], - "prose": "presentation attack detection mechanisms are employed for biometric-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.18", - "class": "SP800-53-enhancement", - "title": "Password Managers", - "params": [ - { - "id": "ia-05.18_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.18_prm_1" - }, - { - "name": "label", - "value": "IA-05(18)_ODP[01]" - } - ], - "label": "password managers", - "guidelines": [ - { - "prose": "password managers employed for generating and managing passwords are defined;" - } - ] - }, - { - "id": "ia-05.18_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.18_prm_2" - }, - { - "name": "label", - "value": "IA-05(18)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls for protecting passwords are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(18)" - }, - { - "name": "sort-id", - "value": "ia-05.18" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.18_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ {{ insert: param, ia-05.18_odp.01 }} to generate and manage passwords; and" - }, - { - "id": "ia-5.18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect the passwords using {{ insert: param, ia-05.18_odp.02 }}." - } - ] - }, - { - "id": "ia-5.18_gdn", - "name": "guidance", - "prose": "For systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see [IA-5(1)(d)](#ia-5.1_smt.d) ) and storing the collection offline in a token." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.18_odp.01 }} are employed to generate and manage passwords;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)(b)", - "class": "sp800-53A" - } - ], - "prose": "the passwords are protected using {{ insert: param, ia-05.18_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authentication Feedback", - "props": [ - { - "name": "label", - "value": "IA-06" - }, - { - "name": "sort-id", - "value": "ia-06" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-06", - "class": "sp800-53A" - } - ], - "prose": "the feedback of authentication information is obscured during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing authenticator feedback\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "props": [ - { - "name": "label", - "value": "IA-07" - }, - { - "name": "sort-id", - "value": "ia-07" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-07", - "class": "sp800-53A" - } - ], - "prose": "mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing cryptographic module authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-08" - }, - { - "name": "sort-id", - "value": "ia-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a1555677-2b9d-4868-a97b-a1363aff32f5", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#2100332a-16a5-4598-bacf-7261baea9711", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include system users other than organizational users explicitly covered by [IA-2](#ia-2) . Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in [AC-14](#ac-14) . Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors\u2014including security, privacy, scalability, and practicality\u2014when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08", - "class": "sp800-53A" - } - ], - "prose": "non-organizational users or processes acting on behalf of non-organizational users are uniquely identified and authenticated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "props": [ - { - "name": "label", - "value": "IA-08(01)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials from other federal agencies are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials from other federal agencies are electronically verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept and verify PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of External Authenticators", - "props": [ - { - "name": "label", - "value": "IA-08(02)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "parts": [ - { - "id": "ia-8.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Accept only external authenticators that are NIST-compliant; and" - }, - { - "id": "ia-8.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document and maintain a list of accepted external authenticators." - } - ] - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) . Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "only external authenticators that are NIST-compliant are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "a list of accepted external authenticators is documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "a list of accepted external authenticators is maintained." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of third-party credentialing products, components, or services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept external credentials" - } - ] - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "props": [ - { - "name": "label", - "value": "IA-08(03)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-8.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Defined Profiles", - "params": [ - { - "id": "ia-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.4_prm_1" - }, - { - "name": "label", - "value": "IA-08(04)_ODP" - } - ], - "label": "identity management profiles", - "guidelines": [ - { - "prose": "identity management profiles are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(04)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "Conform to the following profiles for identity management {{ insert: param, ia-08.04_odp }}." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(04)", - "class": "sp800-53A" - } - ], - "prose": "there is conformance with {{ insert: param, ia-08.04_odp }} for identity management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing conformance with profiles" - } - ] - } - ] - }, - { - "id": "ia-8.5", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV-I Credentials", - "params": [ - { - "id": "ia-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.5_prm_1" - }, - { - "name": "label", - "value": "IA-08(05)_ODP" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "a policy for using federated or PKI credentials is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(05)" - }, - { - "name": "sort-id", - "value": "ia-08.05" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.5_smt", - "name": "statement", - "prose": "Accept and verify federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }}." - }, - { - "id": "ia-8.5_gdn", - "name": "guidance", - "prose": "Acceptance of PIV-I credentials can be implemented by PIV, PIV-I, and other commercial or external identity providers. The acceptance and verification of PIV-I-compliant credentials apply to both logical and physical access control systems. The acceptance and verification of PIV-I credentials address nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by Federal Government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV-I verification records\n\nevidence of PIV-I credentials\n\nPIV-I credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept and verify PIV-I credentials" - } - ] - } - ] - }, - { - "id": "ia-8.6", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "ia-08.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.6_prm_1" - }, - { - "name": "label", - "value": "IA-08(06)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "disassociability measures are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(06)" - }, - { - "name": "sort-id", - "value": "ia-08.06" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.6_smt", - "name": "statement", - "prose": "Implement the following measures to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties: {{ insert: param, ia-08.06_odp }}." - }, - { - "id": "ia-8.6_gdn", - "name": "guidance", - "prose": "Federated identity solutions can create increased privacy risks due to the tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-08.06_odp }} to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "ia-9", - "class": "SP800-53", - "title": "Service Identification and Authentication", - "params": [ - { - "id": "ia-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-9_prm_1" - }, - { - "name": "label", - "value": "IA-09_ODP" - } - ], - "label": "system services and applications", - "guidelines": [ - { - "prose": "system services and applications to be uniquely identified and authenticated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-09" - }, - { - "name": "sort-id", - "value": "ia-09" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-9_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-09_odp }} before establishing communications with devices, users, or other services or applications." - }, - { - "id": "ia-9_gdn", - "name": "guidance", - "prose": "Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services and applications include information or code signing, provenance graphs, and electronic signatures that indicate the sources of services. Decisions regarding the validity of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authentication data) are provided to the services that need to act on those decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-09", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-09_odp }} are uniquely identified and authenticated before establishing communications with devices, users, or other services or applications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing service identification and authentication\n\nsystem security plan\n\nsystem design documentation\n\nsecurity safeguards used to identify and authenticate system services\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security safeguards implementing service identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-9.1", - "class": "SP800-53-enhancement", - "title": "Information Exchange", - "props": [ - { - "name": "label", - "value": "IA-09(01)" - }, - { - "name": "sort-id", - "value": "ia-09.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-9.2", - "class": "SP800-53-enhancement", - "title": "Transmission of Decisions", - "props": [ - { - "name": "label", - "value": "IA-09(02)" - }, - { - "name": "sort-id", - "value": "ia-09.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ia-10", - "class": "SP800-53", - "title": "Adaptive Authentication", - "params": [ - { - "id": "ia-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-10_prm_1" - }, - { - "name": "label", - "value": "IA-10_ODP[01]" - } - ], - "label": "supplemental authentication techniques or mechanisms", - "guidelines": [ - { - "prose": "supplemental authentication techniques or mechanisms to be employed when accessing the system under specific circumstances or situations are defined;" - } - ] - }, - { - "id": "ia-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-10_prm_2" - }, - { - "name": "label", - "value": "IA-10_ODP[02]" - } - ], - "label": "circumstances or situations", - "guidelines": [ - { - "prose": "circumstances or situations that require individuals accessing the system to employ supplemental authentication techniques or mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-10" - }, - { - "name": "sort-id", - "value": "ia-10" - } - ], - "links": [ - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-10_smt", - "name": "statement", - "prose": "Require individuals accessing the system to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}." - }, - { - "id": "ia-10_gdn", - "name": "guidance", - "prose": "Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multi-factor authentication mechanisms but can augment implementations of multi-factor authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-10", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing the system are required to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing adaptive/supplemental identification and authentication techniques or mechanisms\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsupplemental identification and authentication techniques or mechanisms\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-11", - "class": "SP800-53", - "title": "Re-authentication", - "params": [ - { - "id": "ia-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-11_prm_1" - }, - { - "name": "label", - "value": "IA-11_ODP" - } - ], - "label": "circumstances or situations requiring re-authentication", - "guidelines": [ - { - "prose": "circumstances or situations requiring re-authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-11" - }, - { - "name": "sort-id", - "value": "ia-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-11_smt", - "name": "statement", - "prose": "Require users to re-authenticate when {{ insert: param, ia-11_odp }}." - }, - { - "id": "ia-11_gdn", - "name": "guidance", - "prose": "In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-11", - "class": "sp800-53A" - } - ], - "prose": "users are required to re-authenticate when {{ insert: param, ia-11_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user and device re-authentication\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of circumstances or situations requiring re-authentication\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12", - "class": "SP800-53", - "title": "Identity Proofing", - "props": [ - { - "name": "label", - "value": "IA-12" - }, - { - "name": "sort-id", - "value": "ia-12" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#9099ed2c-922a-493d-bcb4-d896192243ff", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12_smt", - "name": "statement", - "parts": [ - { - "id": "ia-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;" - }, - { - "id": "ia-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Resolve user identities to a unique individual; and" - }, - { - "id": "ia-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Collect, validate, and verify identity evidence." - } - ] - }, - { - "id": "ia-12_gdn", - "name": "guidance", - "prose": "Identity proofing is the process of collecting, validating, and verifying a user\u2019s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3](#737513fa-6758-403f-831d-5ddab5e23cb3) and [SP 800-63A](#9099ed2c-922a-493d-bcb4-d896192243ff) . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12a.", - "class": "sp800-53A" - } - ], - "prose": "users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12b.", - "class": "sp800-53A" - } - ], - "prose": "user identities are resolved to a unique individual;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[01]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is collected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[02]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[03]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is verified." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-12.1", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-12(01)" - }, - { - "name": "sort-id", - "value": "ia-12.01" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.1_smt", - "name": "statement", - "prose": "Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "id": "ia-12.1_gdn", - "name": "guidance", - "prose": "Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user\u2019s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user\u2019s privileges are appropriate for the anticipated responsibilities and authorities within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(01)", - "class": "sp800-53A" - } - ], - "prose": "the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.2", - "class": "SP800-53-enhancement", - "title": "Identity Evidence", - "props": [ - { - "name": "label", - "value": "IA-12(02)" - }, - { - "name": "sort-id", - "value": "ia-12.02" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.2_smt", - "name": "statement", - "prose": "Require evidence of individual identification be presented to the registration authority." - }, - { - "id": "ia-12.2_gdn", - "name": "guidance", - "prose": "Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user\u2019s account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(02)", - "class": "sp800-53A" - } - ], - "prose": "evidence of individual identification is presented to the registration authority." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.3", - "class": "SP800-53-enhancement", - "title": "Identity Evidence Validation and Verification", - "params": [ - { - "id": "ia-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.3_prm_1" - }, - { - "name": "label", - "value": "IA-12(03)_ODP" - } - ], - "label": "methods of validation and verification", - "guidelines": [ - { - "prose": "methods of validation and verification of identity evidence are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(03)" - }, - { - "name": "sort-id", - "value": "ia-12.03" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.3_smt", - "name": "statement", - "prose": "Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.03_odp }}." - }, - { - "id": "ia-12.3_gdn", - "name": "guidance", - "prose": "Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(03)", - "class": "sp800-53A" - } - ], - "prose": "the presented identity evidence is validated and verified through {{ insert: param, ia-12.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.4", - "class": "SP800-53-enhancement", - "title": "In-person Validation and Verification", - "props": [ - { - "name": "label", - "value": "IA-12(04)" - }, - { - "name": "sort-id", - "value": "ia-12.04" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.4_smt", - "name": "statement", - "prose": "Require that the validation and verification of identity evidence be conducted in person before a designated registration authority." - }, - { - "id": "ia-12.4_gdn", - "name": "guidance", - "prose": "In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(04)", - "class": "sp800-53A" - } - ], - "prose": "the validation and verification of identity evidence is conducted in person before a designated registration authority." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.5", - "class": "SP800-53-enhancement", - "title": "Address Confirmation", - "params": [ - { - "id": "ia-12.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.5_prm_1" - }, - { - "name": "label", - "value": "IA-12(05)_ODP" - } - ], - "select": { - "choice": [ - "registration code", - "notice of proofing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(05)" - }, - { - "name": "sort-id", - "value": "ia-12.05" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - }, - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.5_smt", - "name": "statement", - "prose": "Require that a {{ insert: param, ia-12.05_odp }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record." - }, - { - "id": "ia-12.5_gdn", - "name": "guidance", - "prose": "To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(05)", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, ia-12.05_odp }} is delivered through an out-of-band channel to verify the user\u2019s address (physical or digital) of record." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.6", - "class": "SP800-53-enhancement", - "title": "Accept Externally-proofed Identities", - "params": [ - { - "id": "ia-12.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.6_prm_1" - }, - { - "name": "label", - "value": "IA-12(06)_ODP" - } - ], - "label": "identity assurance level", - "guidelines": [ - { - "prose": "an identity assurance level for accepting externally proofed identities is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(06)" - }, - { - "name": "sort-id", - "value": "ia-12.06" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.6_smt", - "name": "statement", - "prose": "Accept externally-proofed identities at {{ insert: param, ia-12.06_odp }}." - }, - { - "id": "ia-12.6_gdn", - "name": "guidance", - "prose": "To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(06)", - "class": "sp800-53A" - } - ], - "prose": "externally proofed identities are accepted {{ insert: param, ia-12.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ir-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ir-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-01_odp.01", - "props": [ - { - "name": "label", - "value": "IR-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the incident response policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ir-01_odp.02", - "props": [ - { - "name": "label", - "value": "IR-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the incident response procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ir-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_2" - }, - { - "name": "label", - "value": "IR-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ir-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_3" - }, - { - "name": "label", - "value": "IR-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the incident response policy and procedures is defined;" - } - ] - }, - { - "id": "ir-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_4" - }, - { - "name": "label", - "value": "IR-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current incident response policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ir-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_5" - }, - { - "name": "label", - "value": "IR-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current incident response policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ir-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_6" - }, - { - "name": "label", - "value": "IR-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current incident response procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ir-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_7" - }, - { - "name": "label", - "value": "IR-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the incident response procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-01" - }, - { - "name": "sort-id", - "value": "ir-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ir-01_odp.03 }} incident response policy that:", - "parts": [ - { - "id": "ir-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ir-01_odp.04 }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and" - }, - { - "id": "ir-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current incident response:", - "parts": [ - { - "id": "ir-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ir-01_odp.05 }} and following {{ insert: param, ir-01_odp.06 }} ; and" - }, - { - "id": "ir-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ir-01_odp.07 }} and following {{ insert: param, ir-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident response policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response policy is disseminated to {{ insert: param, ir-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "incident response procedures to facilitate the implementation of the incident response policy and associated incident response controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the incident response procedures are disseminated to {{ insert: param, ir-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the incident response policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response policy is reviewed and updated {{ insert: param, ir-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response policy is reviewed and updated following {{ insert: param, ir-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response procedures are reviewed and updated {{ insert: param, ir-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response procedures are reviewed and updated following {{ insert: param, ir-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "params": [ - { - "id": "ir-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_1" - }, - { - "name": "label", - "value": "IR-02_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined;" - } - ] - }, - { - "id": "ir-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_2" - }, - { - "name": "label", - "value": "IR-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide incident response training to users is defined;" - } - ] - }, - { - "id": "ir-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_3" - }, - { - "name": "label", - "value": "IR-02_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update incident response training content is defined;" - } - ] - }, - { - "id": "ir-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_4" - }, - { - "name": "label", - "value": "IR-02_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that initiate a review of the incident response training content are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-02" - }, - { - "name": "sort-id", - "value": "ir-02" - } - ], - "links": [ - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide incident response training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "id": "ir-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "ir-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ir-02_odp.02 }} thereafter; and" - } - ] - }, - { - "id": "ir-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update incident response training content {{ insert: param, ir-02_odp.03 }} and following {{ insert: param, ir-02_odp.04 }}." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of [AT-2](#at-2) or [AT-3](#at-3) . Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.01", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.02", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.03", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, ir-02_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response training content is reviewed and updated {{ insert: param, ir-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response training content is reviewed and updated following {{ insert: param, ir-02_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nprivacy plan\n\nincident response plan\n\nincident response training records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-2.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "IR-02(01)" - }, - { - "name": "sort-id", - "value": "ir-02.01" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "id": "ir-2.1_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(01)", - "class": "sp800-53A" - } - ], - "prose": "simulated events are incorporated into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement simulated events for incident response training" - } - ] - } - ] - }, - { - "id": "ir-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Training Environments", - "params": [ - { - "id": "ir-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2.2_prm_1" - }, - { - "name": "label", - "value": "IR-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used in an incident response training environment are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-02(02)" - }, - { - "name": "sort-id", - "value": "ir-02.02" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.2_smt", - "name": "statement", - "prose": "Provide an incident response training environment using {{ insert: param, ir-02.02_odp }}." - }, - { - "id": "ir-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(02)", - "class": "sp800-53A" - } - ], - "prose": "an incident response training environment is provided using {{ insert: param, ir-02.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nautomated mechanisms supporting incident response training\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that provide a thorough and realistic incident response training environment" - } - ] - } - ] - }, - { - "id": "ir-2.3", - "class": "SP800-53-enhancement", - "title": "Breach", - "props": [ - { - "name": "label", - "value": "IR-02(03)" - }, - { - "name": "sort-id", - "value": "ir-02.03" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.3_smt", - "name": "statement", - "prose": "Provide incident response training on how to identify and respond to a breach, including the organization\u2019s process for reporting a breach." - }, - { - "id": "ir-2.3_gdn", - "name": "guidance", - "prose": "For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The incident response training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Incident response training includes tabletop exercises that simulate a breach. See [IR-2(1)](#ir-2.1)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response training on how to identify and respond to a breach is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response training on the organization\u2019s process for reporting a breach is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "params": [ - { - "id": "ir-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3_prm_1" - }, - { - "name": "label", - "value": "IR-03_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test the effectiveness of the incident response capability for the system is defined;" - } - ] - }, - { - "id": "ir-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3_prm_2" - }, - { - "name": "label", - "value": "IR-03_ODP[02]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests used to test the effectiveness of the incident response capability for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-03" - }, - { - "name": "sort-id", - "value": "ir-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "Test the effectiveness of the incident response capability for the system {{ insert: param, ir-03_odp.01 }} using the following tests: {{ insert: param, ir-03_odp.02 }}." - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of the incident response capability for the system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert: param, ir-03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "ir-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3.1_prm_1" - }, - { - "name": "label", - "value": "IR-03(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to test the incident response capability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-03(01)" - }, - { - "name": "sort-id", - "value": "ir-03.01" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.1_smt", - "name": "statement", - "prose": "Test the incident response capability using {{ insert: param, ir-03.01_odp }}." - }, - { - "id": "ir-3.1_gdn", - "name": "guidance", - "prose": "Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues, selecting realistic test scenarios and environments, and stressing the response capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(01)", - "class": "sp800-53A" - } - ], - "prose": "the incident response capability is tested using {{ insert: param, ir-03.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing documentation\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nautomated mechanisms supporting incident response tests\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that more thoroughly and effectively test the incident response capability" - } - ] - } - ] - }, - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "props": [ - { - "name": "label", - "value": "IR-03(02)" - }, - { - "name": "sort-id", - "value": "ir-03.02" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "Coordinate incident response testing with organizational elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(02)", - "class": "sp800-53A" - } - ], - "prose": "incident response testing is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans related to incident response testing\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ir-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "IR-03(03)" - }, - { - "name": "sort-id", - "value": "ir-03.03" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.3_smt", - "name": "statement", - "prose": "Use qualitative and quantitative data from testing to:", - "parts": [ - { - "id": "ir-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine the effectiveness of incident response processes;" - }, - { - "id": "ir-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Continuously improve incident response processes; and" - }, - { - "id": "ir-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format." - } - ] - }, - { - "id": "ir-3.3_gdn", - "name": "guidance", - "prose": "To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to determine the effectiveness of incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to determine the effectiveness of incident response processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative and quantitative data from testing are used to continuously improve incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to continuously improve incident response processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics that are accurate;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics that are accurate;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[03]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics that are consistent;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[04]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics that are consistent;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[05]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics in a reproducible format;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[06]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics in a reproducible format." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans related to incident response testing\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "props": [ - { - "name": "label", - "value": "IR-04" - }, - { - "name": "sort-id", - "value": "ir-04" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#cfdb1858-c473-46b3-89f9-a700308d0be2", - "rel": "reference" - }, - { - "href": "#10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "rel": "reference" - }, - { - "href": "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#31ae65ab-3f26-46b7-9d64-f25a4dac5778", - "rel": "reference" - }, - { - "href": "#2be7b163-e50a-435c-8906-f1162f2a457a", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and" - }, - { - "id": "ir-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization." - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents is implemented that is consistent with the incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes preparation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes detection and analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes containment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes eradication;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes recovery;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(b)", - "class": "sp800-53A" - } - ], - "prose": "incident handling activities are coordinated with contingency planning activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from ongoing incident handling activities are incorporated into incident response procedures, training, and testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the changes resulting from the incorporated lessons learned are implemented accordingly;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "the rigor of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "the intensity of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[03]", - "class": "sp800-53A" - } - ], - "prose": "the scope of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[04]", - "class": "sp800-53A" - } - ], - "prose": "the results of incident handling activities are comparable and predictable across the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "params": [ - { - "id": "ir-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.1_prm_1" - }, - { - "name": "label", - "value": "IR-04(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to support the incident handling process are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(01)" - }, - { - "name": "sort-id", - "value": "ir-04.01" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "Support the incident handling process using {{ insert: param, ir-04.01_odp }}." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the incident handling process is supported using {{ insert: param, ir-04.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the incident handling process" - } - ] - } - ] - }, - { - "id": "ir-4.2", - "class": "SP800-53-enhancement", - "title": "Dynamic Reconfiguration", - "params": [ - { - "id": "ir-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.2_prm_2" - }, - { - "name": "label", - "value": "IR-04(02)_ODP[01]" - } - ], - "label": "types of dynamic reconfiguration", - "guidelines": [ - { - "prose": "types of dynamic reconfiguration for system components are defined;" - } - ] - }, - { - "id": "ir-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.2_prm_1" - }, - { - "name": "label", - "value": "IR-04(02)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components that require dynamic reconfiguration are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(02)" - }, - { - "name": "sort-id", - "value": "ir-04.02" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.2_smt", - "name": "statement", - "prose": "Include the following types of dynamic reconfiguration for {{ insert: param, ir-04.02_odp.02 }} as part of the incident response capability: {{ insert: param, ir-04.02_odp.01 }}." - }, - { - "id": "ir-4.2_gdn", - "name": "guidance", - "prose": "Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.02_odp.01 }} for {{ insert: param, ir-04.02_odp.02 }} are included as part of the incident response capability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nlist of system components to be dynamically reconfigured as part of incident response capability\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response" - } - ] - } - ] - }, - { - "id": "ir-4.3", - "class": "SP800-53-enhancement", - "title": "Continuity of Operations", - "params": [ - { - "id": "ir-04.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.3_prm_1" - }, - { - "name": "label", - "value": "IR-04(03)_ODP[01]" - } - ], - "label": "classes of incidents", - "guidelines": [ - { - "prose": "classes of incidents requiring an organization-defined action (defined in IR-04(03)_ODP[02]) to be taken are defined;" - } - ] - }, - { - "id": "ir-04.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.3_prm_2" - }, - { - "name": "label", - "value": "IR-04(03)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken in response to organization-defined classes of incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(03)" - }, - { - "name": "sort-id", - "value": "ir-04.03" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.3_smt", - "name": "statement", - "prose": "Identify {{ insert: param, ir-04.03_odp.01 }} and take the following actions in response to those incidents to ensure continuation of organizational mission and business functions: {{ insert: param, ir-04.03_odp.02 }}." - }, - { - "id": "ir-4.3_gdn", - "name": "guidance", - "prose": "Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of [IR-4(5)](#ir-4.5)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.03_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.03_odp.02 }} are taken in response to those incidents to ensure the continuation of organizational mission and business functions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nprivacy plan\n\nlist of classes of incidents\n\nlist of appropriate incident response actions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement continuity of operations" - } - ] - } - ] - }, - { - "id": "ir-4.4", - "class": "SP800-53-enhancement", - "title": "Information Correlation", - "props": [ - { - "name": "label", - "value": "IR-04(04)" - }, - { - "name": "sort-id", - "value": "ir-04.04" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.4_smt", - "name": "statement", - "prose": "Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response." - }, - { - "id": "ir-4.4_gdn", - "name": "guidance", - "prose": "Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(04)", - "class": "sp800-53A" - } - ], - "prose": "incident information and individual incident responses are correlated to achieve an organization-wide perspective on incident awareness and response." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nprivacy plan\n\nautomated mechanisms supporting incident and event correlation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nincident management correlation logs\n\nevent management correlation logs\n\nsecurity information and event management logs\n\nincident management correlation reports\n\nevent management correlation reports\n\nsecurity information and event management reports\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with whom incident information and individual incident responses are to be correlated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for correlating incident information and individual incident responses\n\nautomated mechanisms that support and or implement the correlation of incident response information with individual incident responses" - } - ] - } - ] - }, - { - "id": "ir-4.5", - "class": "SP800-53-enhancement", - "title": "Automatic Disabling of System", - "params": [ - { - "id": "ir-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.5_prm_1" - }, - { - "name": "label", - "value": "IR-04(05)_ODP" - } - ], - "label": "security violations", - "guidelines": [ - { - "prose": "security violations that automatically disable a system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(05)" - }, - { - "name": "sort-id", - "value": "ir-04.05" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.5_smt", - "name": "statement", - "prose": "Implement a configurable capability to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected." - }, - { - "id": "ir-4.5_gdn", - "name": "guidance", - "prose": "Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of [CP-2](#cp-2) or [IR-4(3)](#ir-4.3) . Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information and serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(05)", - "class": "sp800-53A" - } - ], - "prose": "a configurable capability is implemented to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nincident response plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization\n\nautomated mechanisms supporting and/or implementing automatic disabling of the system" - } - ] - } - ] - }, - { - "id": "ir-4.6", - "class": "SP800-53-enhancement", - "title": "Insider Threats", - "props": [ - { - "name": "label", - "value": "IR-04(06)" - }, - { - "name": "sort-id", - "value": "ir-04.06" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.6_smt", - "name": "statement", - "prose": "Implement an incident handling capability for incidents involving insider threats." - }, - { - "id": "ir-4.6_gdn", - "name": "guidance", - "prose": "Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(06)", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability is implemented for incidents involving insider threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-4.7", - "class": "SP800-53-enhancement", - "title": "Insider Threats \u2014 Intra-organization Coordination", - "params": [ - { - "id": "ir-04.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.7_prm_1" - }, - { - "name": "label", - "value": "IR-04(07)_ODP" - } - ], - "label": "entities", - "guidelines": [ - { - "prose": "entities that require coordination for an incident handling capability for insider threats are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(07)" - }, - { - "name": "sort-id", - "value": "ir-04.07" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.7_smt", - "name": "statement", - "prose": "Coordinate an incident handling capability for insider threats that includes the following organizational entities {{ insert: param, ir-04.07_odp }}." - }, - { - "id": "ir-4.7_gdn", - "name": "guidance", - "prose": "Incident handling for insider threat incidents (e.g., preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability is coordinated for insider threats;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "the coordinated incident handling capability includes {{ insert: param, ir-04.07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ninsider threat program plan\n\ninsider threat CONOPS\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel/elements with whom the incident handling capability is to be coordinated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for coordinating incident handling" - } - ] - } - ] - }, - { - "id": "ir-4.8", - "class": "SP800-53-enhancement", - "title": "Correlation with External Organizations", - "params": [ - { - "id": "ir-04.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.8_prm_1" - }, - { - "name": "label", - "value": "IR-04(08)_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations with whom organizational incident information is to be coordinated and shared are defined;" - } - ] - }, - { - "id": "ir-04.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.8_prm_2" - }, - { - "name": "label", - "value": "IR-04(08)_ODP[02]" - } - ], - "label": "incident information", - "guidelines": [ - { - "prose": "incident information to be correlated and shared with organization-defined external organizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(08)" - }, - { - "name": "sort-id", - "value": "ir-04.08" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.8_smt", - "name": "statement", - "prose": "Coordinate with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "id": "ir-4.8_gdn", - "name": "guidance", - "prose": "The coordination of incident information with external organizations\u2014including mission or business partners, military or coalition partners, customers, and developers\u2014can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage information from a variety of sources to effectively respond to incidents and breaches that could potentially affect the organization\u2019s operations, assets, and individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(08)", - "class": "sp800-53A" - } - ], - "prose": "there is coordination with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nlist of external organizations\n\nrecords of incident handling coordination with external organizations\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel from external organizations with whom incident response information is to be coordinated, shared, and correlated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for coordinating incident handling information with external organizations" - } - ] - } - ] - }, - { - "id": "ir-4.9", - "class": "SP800-53-enhancement", - "title": "Dynamic Response Capability", - "params": [ - { - "id": "ir-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.9_prm_1" - }, - { - "name": "label", - "value": "IR-04(09)_ODP" - } - ], - "label": "dynamic response capabilities", - "guidelines": [ - { - "prose": "dynamic response capabilities to be employed to respond to incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(09)" - }, - { - "name": "sort-id", - "value": "ir-04.09" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.9_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ir-04.09_odp }} to respond to incidents." - }, - { - "id": "ir-4.9_gdn", - "name": "guidance", - "prose": "The dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.09_odp }} are employed to respond to incidents." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting dynamic response capabilities\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dynamic response capability\n\nautomated mechanisms supporting and/or implementing the dynamic response capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-4.10", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-04(10)" - }, - { - "name": "sort-id", - "value": "ir-04.10" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.10_smt", - "name": "statement", - "prose": "Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain." - }, - { - "id": "ir-4.10_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents can occur anywhere through or to the supply chain and include compromises or breaches that involve primary or sub-tier providers, information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements and their obligations for reporting incidents to government oversight bodies (e.g., Federal Acquisition Security Council)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(10)", - "class": "sp800-53A" - } - ], - "prose": "incident handling activities involving supply chain events are coordinated with other organizations involved in the supply chain." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council\n\nacquisition contracts\n\nservice-level agreements\n\nincident response plan\n\nsupply chain risk management plan\n\nsystem security plan\n\nincident response plans of other organization involved in supply chain activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with mission and business responsibilities\n\norganizational personnel with legal responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with acquisition responsibilities" - } - ] - } - ] - }, - { - "id": "ir-4.11", - "class": "SP800-53-enhancement", - "title": "Integrated Incident Response Team", - "params": [ - { - "id": "ir-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.11_prm_1" - }, - { - "name": "label", - "value": "IR-04(11)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which an integrated incident response team can be deployed is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(11)" - }, - { - "name": "sort-id", - "value": "ir-04.11" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.11_smt", - "name": "statement", - "prose": "Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}." - }, - { - "id": "ir-4.11_gdn", - "name": "guidance", - "prose": "An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity.\n\nAn integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "an integrated incident response team is established and maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrated incident response team can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nmembers of the integrated incident response team" - } - ] - } - ] - }, - { - "id": "ir-4.12", - "class": "SP800-53-enhancement", - "title": "Malicious Code and Forensic Analysis", - "props": [ - { - "name": "label", - "value": "IR-04(12)" - }, - { - "name": "sort-id", - "value": "ir-04.12" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.12_smt", - "name": "statement", - "prose": "Analyze malicious code and/or other residual artifacts remaining in the system after the incident." - }, - { - "id": "ir-4.12_gdn", - "name": "guidance", - "prose": "When conducted carefully in an isolated environment, analysis of malicious code and other residual artifacts of a security incident or breach can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. In addition, malicious code analysis can help the organization develop responses to future incidents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code remaining in the system is analyzed after the incident;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)[02]", - "class": "sp800-53A" - } - ], - "prose": "other residual artifacts remaining in the system (if any) are analyzed after the incident." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing code and forensic analysis\n\nprocedures addressing incident response\n\nincident response plan\n\nsystem design documentation\n\nmalicious code protection mechanisms, tools, and techniques\n\nresults from malicious code analyses\n\nsystem security plan\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for incident response\n\norganizational processes for conducting forensic analysis\n\ntools and techniques for analysis of malicious code characteristics and behavior" - } - ] - } - ] - }, - { - "id": "ir-4.13", - "class": "SP800-53-enhancement", - "title": "Behavior Analysis", - "params": [ - { - "id": "ir-04.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.13_prm_1" - }, - { - "name": "label", - "value": "IR-04(13)_ODP" - } - ], - "label": "environments or resources", - "guidelines": [ - { - "prose": "environments or resources which may contain or may be related to anomalous or suspected adversarial behavior are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(13)" - }, - { - "name": "sort-id", - "value": "ir-04.13" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.13_smt", - "name": "statement", - "prose": "Analyze anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }}." - }, - { - "id": "ir-4.13_gdn", - "name": "guidance", - "prose": "If the organization maintains a deception environment, an analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)", - "class": "sp800-53A" - } - ], - "prose": "anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }} are analyzed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)-Examine[SELECT", - "class": "sp800-53A" - } - ], - "prose": "FROM: Incident response policy; procedures addressing system monitoring tools and techniques; incident response plan; system monitoring logs or records; system monitoring tools and techniques documentation; system configuration settings and associated documentation; security plan; system component inventory; network diagram; system protocols documentation; list of acceptable thresholds for false positives and false negatives; system security plan; other relevant documents or records]." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)-Interview[SELECT", - "class": "sp800-53A" - } - ], - "prose": "FROM: Organizational personnel with information security responsibilities; system/network administrators]." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detecting anomalous behavior" - } - ] - } - ] - }, - { - "id": "ir-4.14", - "class": "SP800-53-enhancement", - "title": "Security Operations Center", - "props": [ - { - "name": "label", - "value": "IR-04(14)" - }, - { - "name": "sort-id", - "value": "ir-04.14" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.14_smt", - "name": "statement", - "prose": "Establish and maintain a security operations center." - }, - { - "id": "ir-4.14_gdn", - "name": "guidance", - "prose": "A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization\u2019s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such a capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "a security operations center is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "a security operations center is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nprocedures addressing the security operations center operations\n\nautomated mechanisms supporting dynamic response capabilities\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\nsecurity operations center personnel\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the security operations center capability\n\nautomated mechanisms that support and/or implement the incident handling process" - } - ] - } - ] - }, - { - "id": "ir-4.15", - "class": "SP800-53-enhancement", - "title": "Public Relations and Reputation Repair", - "props": [ - { - "name": "label", - "value": "IR-04(15)" - }, - { - "name": "sort-id", - "value": "ir-04.15" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.15_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Manage public relations associated with an incident; and" - }, - { - "id": "ir-4.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ measures to repair the reputation of the organization." - } - ] - }, - { - "id": "ir-4.15_gdn", - "name": "guidance", - "prose": "It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public, have cast the organization in a negative light, or have affected the organization\u2019s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and affect its ability to carry out its mission and business functions. Taking proactive steps to repair the organization\u2019s reputation is an essential aspect of reestablishing the trust and confidence of its constituents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)(a)", - "class": "sp800-53A" - } - ], - "prose": "public relations associated with an incident are managed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)(b)", - "class": "sp800-53A" - } - ], - "prose": "measures are employed to repair the reputation of the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing incident handling\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with communications or public relations responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "props": [ - { - "name": "label", - "value": "IR-05" - }, - { - "name": "sort-id", - "value": "ir-05" - } - ], - "links": [ - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "Track and document incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. [IR-4](#ir-4) provides information on the types of incidents that are appropriate for monitoring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05[01]", - "class": "sp800-53A" - } - ], - "prose": "incidents are tracked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05[02]", - "class": "sp800-53A" - } - ], - "prose": "incidents are documented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents" - } - ] - } - ], - "controls": [ - { - "id": "ir-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Tracking, Data Collection, and Analysis", - "params": [ - { - "id": "ir-5.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ir-05.01_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "ir-05.01_odp.01", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to track incidents are defined;" - } - ] - }, - { - "id": "ir-05.01_odp.02", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to collect incident information are defined;" - } - ] - }, - { - "id": "ir-05.01_odp.03", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to analyze incident information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-05(01)" - }, - { - "name": "sort-id", - "value": "ir-05.01" - } - ], - "links": [ - { - "href": "#ir-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-5.1_smt", - "name": "statement", - "prose": "Track incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}." - }, - { - "id": "ir-5.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "incidents are tracked using {{ insert: param, ir-05.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "incident information is collected using {{ insert: param, ir-05.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "incident information is analyzed using {{ insert: param, ir-05.01_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nsystem security plan\n\nincident response plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents" - } - ] - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "params": [ - { - "id": "ir-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6_prm_1" - }, - { - "name": "label", - "value": "IR-06_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for personnel to report suspected incidents to the organizational incident response capability is defined;" - } - ] - }, - { - "id": "ir-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6_prm_2" - }, - { - "name": "label", - "value": "IR-06_ODP[02]" - } - ], - "label": "authorities", - "guidelines": [ - { - "prose": "authorities to whom incident information is to be reported are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06" - }, - { - "name": "sort-id", - "value": "ir-06" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#40b78258-c892-480e-9af8-77ac36648301", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require personnel to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }} ; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report incident information to {{ insert: param, ir-06_odp.02 }}." - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(a)", - "class": "sp800-53A" - } - ], - "prose": "personnel is/are required to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(b)", - "class": "sp800-53A" - } - ], - "prose": "incident information is reported to {{ insert: param, ir-06_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported\n\nsystem users" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "params": [ - { - "id": "ir-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6.1_prm_1" - }, - { - "name": "label", - "value": "IR-06(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used for reporting incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06(01)" - }, - { - "name": "sort-id", - "value": "ir-06.01" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - }, - { - "href": "#ir-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "Report incidents using {{ insert: param, ir-06.01_odp }}." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "prose": "The recipients of incident reports are specified in [IR-6b](#ir-6_smt.b) . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(01)", - "class": "sp800-53A" - } - ], - "prose": "incidents are reported using {{ insert: param, ir-06.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nautomated mechanisms supporting incident reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing reporting of security incidents" - } - ] - } - ] - }, - { - "id": "ir-6.2", - "class": "SP800-53-enhancement", - "title": "Vulnerabilities Related to Incidents", - "params": [ - { - "id": "ir-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6.2_prm_1" - }, - { - "name": "label", - "value": "IR-06(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom system vulnerabilities associated with reported incidents are reported to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06(02)" - }, - { - "name": "sort-id", - "value": "ir-06.02" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-6.2_smt", - "name": "statement", - "prose": "Report system vulnerabilities associated with reported incidents to {{ insert: param, ir-06.02_odp }}." - }, - { - "id": "ir-6.2_gdn", - "name": "guidance", - "prose": "Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners, mission and business owners, senior agency information security officers, senior agency officials for privacy, authorizing officials, and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(02)", - "class": "sp800-53A" - } - ], - "prose": "system vulnerabilities associated with reported incidents are reported to {{ insert: param, ir-06.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nsecurity incident reports and associated system vulnerabilities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\npersonnel to whom vulnerabilities associated with security incidents are to be reported" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing the reporting of vulnerabilities associated with security incidents" - } - ] - } - ] - }, - { - "id": "ir-6.3", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-06(03)" - }, - { - "name": "sort-id", - "value": "ir-06.03" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.3_smt", - "name": "statement", - "prose": "Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident." - }, - { - "id": "ir-6.3_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(03)", - "class": "sp800-53A" - } - ], - "prose": "incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council\n\nacquisition policy\n\nacquisition contracts\n\nservice-level agreements\n\nincident response plan\n\nsupply chain risk management plan\n\nsystem security plan\n\nplans of other organizations involved in supply chain activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganization personnel with acquisition responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\norganizational processes for supply chain risk information sharing\n\nautomated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain" - } - ] - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "props": [ - { - "name": "label", - "value": "IR-07" - }, - { - "name": "sort-id", - "value": "ir-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#2be7b163-e50a-435c-8906-f1162f2a457a", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident response support resource, integral to the organizational incident response capability, is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support responsibilities\n\norganizational personnel with access to incident response support and assistance capability\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response assistance" - } - ] - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information and Support", - "params": [ - { - "id": "ir-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-7.1_prm_1" - }, - { - "name": "label", - "value": "IR-07(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to increase the availability of incident response information and support are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-07(01)" - }, - { - "name": "sort-id", - "value": "ir-07.01" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "Increase the availability of incident response information and support using {{ insert: param, ir-07.01_odp }}." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(01)", - "class": "sp800-53A" - } - ], - "prose": "the availability of incident response information and support is increased using {{ insert: param, ir-07.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nautomated mechanisms supporting incident response support and assistance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance responsibilities\n\norganizational personnel with access to incident response support and assistance capability\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing an increase in the availability of incident response information and support" - } - ] - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "props": [ - { - "name": "label", - "value": "IR-07(02)" - }, - { - "name": "sort-id", - "value": "ir-07.02" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identify organizational incident response team members to the external providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "a direct, cooperative relationship is established between its incident response capability and external providers of the system protection capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "organizational incident response team members are identified to the external providers." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance responsibilities\n\nexternal providers of system protection capability\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "params": [ - { - "id": "ir-8_prm_5", - "props": [ - { - "name": "aggregates", - "value": "ir-08_odp.06" - } - ], - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "ir-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_1" - }, - { - "name": "label", - "value": "IR-08_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles that review and approve the incident response plan is/are identified;" - } - ] - }, - { - "id": "ir-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_2" - }, - { - "name": "label", - "value": "IR-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and approve the incident response plan is defined;" - } - ] - }, - { - "id": "ir-08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_3" - }, - { - "name": "label", - "value": "IR-08_ODP[03]" - } - ], - "label": "entities, personnel, or roles", - "guidelines": [ - { - "prose": "entities, personnel, or roles with designated responsibility for incident response are defined;" - } - ] - }, - { - "id": "ir-08_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_4" - }, - { - "name": "label", - "value": "IR-08_ODP[04]" - } - ], - "label": "incident response personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined;" - } - ] - }, - { - "id": "ir-08_odp.05", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[05]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "organizational elements to which copies of the incident response plan are to be distributed are defined;" - } - ] - }, - { - "id": "ir-08_odp.06", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[06]" - } - ], - "label": "incident response personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to whom changes to the incident response plan are communicated are defined;" - } - ] - }, - { - "id": "ir-08_odp.07", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[07]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "organizational elements to which changes to the incident response plan are communicated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-08" - }, - { - "name": "sort-id", - "value": "ir-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Describes the structure and organization of the incident response capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "08." - } - ], - "prose": "Addresses the sharing of incident information;" - }, - { - "id": "ir-8_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "09." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }} ; and" - }, - { - "id": "ir-8_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}." - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the incident response plan to {{ insert: param, ir-08_odp.04 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Communicate incident response plan changes to {{ insert: param, ir-8_prm_5 }} ; and" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the incident response plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.01", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.02", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that describes the structure and organization of the incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.03", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.04", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that meets the unique requirements of the organization with regard to mission, size, structure, and functions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.05", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that defines reportable incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.06", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides metrics for measuring the incident response capability within the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.07", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.08", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that addresses the sharing of incident information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.09", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.10", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.05 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08c.", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is updated to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response plan changes are communicated to {{ insert: param, ir-08_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response plan changes are communicated to {{ insert: param, ir-08_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ], - "controls": [ - { - "id": "ir-8.1", - "class": "SP800-53-enhancement", - "title": "Breaches", - "props": [ - { - "name": "label", - "value": "IR-08(01)" - }, - { - "name": "sort-id", - "value": "ir-08.01" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "required" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8.1_smt", - "name": "statement", - "prose": "Include the following in the Incident Response Plan for breaches involving personally identifiable information:", - "parts": [ - { - "id": "ir-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "id": "ir-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and" - }, - { - "id": "ir-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identification of applicable privacy requirements." - } - ] - }, - { - "id": "ir-8.1_gdn", - "name": "guidance", - "prose": "Organizations may be required by law, regulation, or policy to follow specific procedures relating to breaches, including notice to individuals, affected organizations, and oversight bodies; standards of harm; and mitigation or other specific requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes a process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes an assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes the identification of applicable privacy requirements." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "params": [ - { - "id": "ir-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_1" - }, - { - "name": "label", - "value": "IR-09_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles assigned the responsibility for responding to information spills is/are defined;" - } - ] - }, - { - "id": "ir-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_2" - }, - { - "name": "label", - "value": "IR-09_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined;" - } - ] - }, - { - "id": "ir-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_3" - }, - { - "name": "label", - "value": "IR-09_ODP[03]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09" - }, - { - "name": "sort-id", - "value": "ir-09" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "Respond to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigning {{ insert: param, ir-09_odp.01 }} with responsibility for responding to information spills;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifying the specific information involved in the system contamination;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alerting {{ insert: param, ir-09_odp.02 }} of the information spill using a method of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Isolating the contaminated system or system component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Eradicating the information from the contaminated system or component;" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identifying other systems or system components that may have been subsequently contaminated; and" - }, - { - "id": "ir-9_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Performing the following additional actions: {{ insert: param, ir-09_odp.03 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility to respond to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(b)", - "class": "sp800-53A" - } - ], - "prose": "the specific information involved in the system contamination is identified in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.02 }} is/are alerted of the information spill using a method of communication not associated with the spill;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(d)", - "class": "sp800-53A" - } - ], - "prose": "the contaminated system or system component is isolated in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(e)", - "class": "sp800-53A" - } - ], - "prose": "the information is eradicated from the contaminated system or component in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(f)", - "class": "sp800-53A" - } - ], - "prose": "other systems or system components that may have been subsequently contaminated are identified in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(g)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.03 }} are performed in response to information spills." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nrecords of information spillage alerts/notifications\n\nlist of personnel who should receive alerts of information spillage\n\nlist of actions to be performed regarding information spillage\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information spillage response\n\nautomated mechanisms supporting and/or implementing information spillage response actions and related communications" - } - ] - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "props": [ - { - "name": "label", - "value": "IR-09(01)" - }, - { - "name": "sort-id", - "value": "ir-09.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "params": [ - { - "id": "ir-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.2_prm_1" - }, - { - "name": "label", - "value": "IR-09(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide information spillage response training is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(02)" - }, - { - "name": "sort-id", - "value": "ir-09.02" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "Provide information spillage response training {{ insert: param, ir-09.02_odp }}." - }, - { - "id": "ir-9.2_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(02)", - "class": "sp800-53A" - } - ], - "prose": "information spillage response training is provided {{ insert: param, ir-09.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing information spillage response training\n\ninformation spillage response training curriculum\n\ninformation spillage response training materials\n\nincident response plan\n\nsystem security plan\n\ninformation spillage response training records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "params": [ - { - "id": "ir-09.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.3_prm_1" - }, - { - "name": "label", - "value": "IR-09(03)_ODP" - } - ], - "label": "procedures", - "guidelines": [ - { - "prose": "procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(03)" - }, - { - "name": "sort-id", - "value": "ir-09.03" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-09.03_odp }}." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09.03_odp }} are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-spill operations" - } - ] - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "params": [ - { - "id": "ir-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.4_prm_1" - }, - { - "name": "label", - "value": "IR-09(04)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls employed for personnel exposed to information not within assigned access authorizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(04)" - }, - { - "name": "sort-id", - "value": "ir-09.04" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-09.04_odp }}." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09.04_odp }} are employed for personnel exposed to information not within assigned access authorizations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nsecurity safeguards regarding information spillage/exposure to unauthorized personnel\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dealing with information exposed to unauthorized personnel\n\nautomated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations" - } - ] - } - ] - } - ] - }, - { - "id": "ir-10", - "class": "SP800-53", - "title": "Integrated Information Security Analysis Team", - "props": [ - { - "name": "label", - "value": "IR-10" - }, - { - "name": "sort-id", - "value": "ir-10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ir-4.11", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ma-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-01_odp.01", - "props": [ - { - "name": "label", - "value": "MA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the maintenance policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ma-01_odp.02", - "props": [ - { - "name": "label", - "value": "MA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the maintenance procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ma-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_2" - }, - { - "name": "label", - "value": "MA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ma-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_3" - }, - { - "name": "label", - "value": "MA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the maintenance policy and procedures is defined;" - } - ] - }, - { - "id": "ma-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_4" - }, - { - "name": "label", - "value": "MA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current maintenance policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ma-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_5" - }, - { - "name": "label", - "value": "MA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current maintenance policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ma-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_6" - }, - { - "name": "label", - "value": "MA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current maintenance procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ma-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_7" - }, - { - "name": "label", - "value": "MA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the maintenance procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-01" - }, - { - "name": "sort-id", - "value": "ma-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ma-01_odp.03 }} maintenance policy that:", - "parts": [ - { - "id": "ma-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ma-01_odp.04 }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and" - }, - { - "id": "ma-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current maintenance:", - "parts": [ - { - "id": "ma-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ma-01_odp.05 }} and following {{ insert: param, ma-01_odp.06 }} ; and" - }, - { - "id": "ma-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ma-01_odp.07 }} and following {{ insert: param, ma-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a maintenance policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the maintenance policy is disseminated to {{ insert: param, ma-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "maintenance procedures to facilitate the implementation of the maintenance policy and associated maintenance controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the maintenance procedures are disseminated to {{ insert: param, ma-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the maintenance policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance policy is reviewed and updated {{ insert: param, ma-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance policy is reviewed and updated following {{ insert: param, ma-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance procedures are reviewed and updated {{ insert: param, ma-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance procedures are reviewed and updated following {{ insert: param, ma-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\n\nsystem security plan\n\nprivacy plan\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "params": [ - { - "id": "ma-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_1" - }, - { - "name": "label", - "value": "MA-02_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined;" - } - ] - }, - { - "id": "ma-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_2" - }, - { - "name": "label", - "value": "MA-02_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined;" - } - ] - }, - { - "id": "ma-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_3" - }, - { - "name": "label", - "value": "MA-02_ODP[03]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be included in organizational maintenance records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-02" - }, - { - "name": "sort-id", - "value": "ma-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require that {{ insert: param, ma-02_odp.01 }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, ma-02_odp.02 }};" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Include the following information in organizational maintenance records: {{ insert: param, ma-02_odp.03 }}." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "maintenance, repair, and replacement of system components are scheduled in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "maintenance, repair, and replacement of system components are documented in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "records of maintenance, repair, and replacement of system components are reviewed in accordance with manufacturer or vendor specifications and/or organizational requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02_odp.01 }} is/are required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02d.", - "class": "sp800-53A" - } - ], - "prose": "equipment is sanitized to remove {{ insert: param, ma-02_odp.02 }} from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02e.", - "class": "sp800-53A" - } - ], - "prose": "all potentially impacted controls are checked to verify that the controls are still functioning properly following maintenance, repair, or replacement actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02f.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02_odp.03 }} is included in organizational maintenance records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing controlled system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system\n\norganizational processes for sanitizing system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of system components" - } - ] - } - ], - "controls": [ - { - "id": "ma-2.1", - "class": "SP800-53-enhancement", - "title": "Record Content", - "props": [ - { - "name": "label", - "value": "MA-02(01)" - }, - { - "name": "sort-id", - "value": "ma-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance Activities", - "params": [ - { - "id": "ma-2.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-02.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "ma-02.02_odp.01", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to schedule maintenance, repair, and replacement actions for the system are defined;" - } - ] - }, - { - "id": "ma-02.02_odp.02", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to conduct maintenance, repair, and replacement actions for the system are defined;" - } - ] - }, - { - "id": "ma-02.02_odp.03", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to document maintenance, repair, and replacement actions for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-02(02)" - }, - { - "name": "sort-id", - "value": "ma-02.02" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "required" - }, - { - "href": "#ma-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2.2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }} ; and" - }, - { - "id": "ma-2.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed." - } - ] - }, - { - "id": "ma-2.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.01 }} are used to schedule maintenance, repair, and replacement actions for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.02 }} are used to conduct maintenance, repair, and replacement actions for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.03 }} are used to document maintenance, repair, and replacement actions for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all maintenance actions requested, scheduled, in process, and completed are produced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all repair actions requested, scheduled, in process, and completed are produced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all replacement actions requested, scheduled, in process, and completed are produced." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing controlled system maintenance\n\nautomated mechanisms supporting system maintenance activities\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms supporting and/or implementing production of records of maintenance and repair actions" - } - ] - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "params": [ - { - "id": "ma-03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-3_prm_1" - }, - { - "name": "label", - "value": "MA-03_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review previously approved system maintenance tools is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-03" - }, - { - "name": "sort-id", - "value": "ma-03" - } - ], - "links": [ - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve, control, and monitor the use of system maintenance tools; and" - }, - { - "id": "ma-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review previously approved system maintenance tools {{ insert: param, ma-03_odp }}." - } - ] - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as \"ping,\" \"ls,\" \"ipconfig,\" or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(b)", - "class": "sp800-53A" - } - ], - "prose": "previously approved system maintenance tools are reviewed {{ insert: param, ma-03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving, controlling, and monitoring maintenance tools\n\nautomated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools" - } - ] - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "props": [ - { - "name": "label", - "value": "MA-03(01)" - }, - { - "name": "sort-id", - "value": "ma-03.01" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor\u2019s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance tool inspection records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\n\nautomated mechanisms supporting and/or implementing inspection of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "props": [ - { - "name": "label", - "value": "MA-03(02)" - }, - { - "name": "sort-id", - "value": "ma-03.02" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "Check media containing diagnostic and test programs for malicious code before the media are used in the system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(02)", - "class": "sp800-53A" - } - ], - "prose": "media containing diagnostic and test programs are checked for malicious code before the media are used in the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for inspecting media for malicious code\n\nautomated mechanisms supporting and/or implementing inspection of media used for maintenance" - } - ] - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "params": [ - { - "id": "ma-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-3.3_prm_1" - }, - { - "name": "label", - "value": "MA-03(03)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles who can authorize removal of equipment from the facility is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-03(03)" - }, - { - "name": "sort-id", - "value": "ma-03.03" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "Prevent the removal of maintenance equipment containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nequipment sanitization records\n\nmedia sanitization records\n\nexemptions for equipment removal\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for preventing unauthorized removal of information\n\nautomated mechanisms supporting media sanitization or destruction of equipment\n\nautomated mechanisms supporting verification of media sanitization" - } - ] - } - ] - }, - { - "id": "ma-3.4", - "class": "SP800-53-enhancement", - "title": "Restricted Tool Use", - "props": [ - { - "name": "label", - "value": "MA-03(04)" - }, - { - "name": "sort-id", - "value": "ma-03.04" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.4_smt", - "name": "statement", - "prose": "Restrict the use of maintenance tools to authorized personnel only." - }, - { - "id": "ma-3.4_gdn", - "name": "guidance", - "prose": "Restricting the use of maintenance tools to only authorized personnel applies to systems that are used to carry out maintenance functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(04)", - "class": "sp800-53A" - } - ], - "prose": "the use of maintenance tools is restricted to authorized personnel only." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting the use of maintenance tools\n\nautomated mechanisms supporting and/or implementing restricted use of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.5", - "class": "SP800-53-enhancement", - "title": "Execution with Privilege", - "props": [ - { - "name": "label", - "value": "MA-03(05)" - }, - { - "name": "sort-id", - "value": "ma-03.05" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.5_smt", - "name": "statement", - "prose": "Monitor the use of maintenance tools that execute with increased privilege." - }, - { - "id": "ma-3.5_gdn", - "name": "guidance", - "prose": "Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of maintenance tools that execute with increased privilege is monitored." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting the use of maintenance tools\n\norganizational process for monitoring maintenance tools and maintenance tool usage\n\nautomated mechanisms monitoring the use of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.6", - "class": "SP800-53-enhancement", - "title": "Software Updates and Patches", - "props": [ - { - "name": "label", - "value": "MA-03(06)" - }, - { - "name": "sort-id", - "value": "ma-03.06" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.6_smt", - "name": "statement", - "prose": "Inspect maintenance tools to ensure the latest software updates and patches are installed." - }, - { - "id": "ma-3.6_gdn", - "name": "guidance", - "prose": "Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(06)", - "class": "sp800-53A" - } - ], - "prose": "maintenance tools are inspected to ensure that the latest software updates and patches are installed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\n\norganizational processes for maintenance tools updates\n\nautomated mechanisms supporting and/or implementing inspection of maintenance tools\n\nautomated mechanisms supporting and/or implementing maintenance tool updates." - } - ] - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-04" - }, - { - "name": "sort-id", - "value": "ma-04" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#736d6310-e403-4b57-a79d-9967970c66d7", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and monitor nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintain records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminate session and network connections when nonlocal maintenance is completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in [IA-2](#ia-2) . Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in [MA-4](#ma-4) is accomplished, in part, by other controls. [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) provides additional guidance on strong authentication and authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance and diagnostic activities are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance and diagnostic activities are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of nonlocal maintenance and diagnostic tools are allowed only as consistent with organizational policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of nonlocal maintenance and diagnostic tools are documented in the security plan for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04c.", - "class": "sp800-53A" - } - ], - "prose": "strong authentication is employed in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04d.", - "class": "sp800-53A" - } - ], - "prose": "records for nonlocal maintenance and diagnostic activities are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.[01]", - "class": "sp800-53A" - } - ], - "prose": "session connections are terminated when nonlocal maintenance is completed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.[02]", - "class": "sp800-53A" - } - ], - "prose": "network connections are terminated when nonlocal maintenance is completed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nremote access policy\n\nremote access procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\nrecords of remote access\n\ndiagnostic records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network connections" - } - ] - } - ], - "controls": [ - { - "id": "ma-4.1", - "class": "SP800-53-enhancement", - "title": "Logging and Review", - "params": [ - { - "id": "ma-4.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-04.01_odp.01" - } - ], - "label": "organization-defined audit events" - }, - { - "id": "ma-04.01_odp.01", - "props": [ - { - "name": "label", - "value": "MA-04(01)_ODP[01]" - } - ], - "label": "audit events", - "guidelines": [ - { - "prose": "audit events to be logged for nonlocal maintenance are defined;" - } - ] - }, - { - "id": "ma-04.01_odp.02", - "props": [ - { - "name": "label", - "value": "MA-04(01)_ODP[02]" - } - ], - "label": "audit events", - "guidelines": [ - { - "prose": "audit events to be logged for diagnostic sessions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(01)" - }, - { - "name": "sort-id", - "value": "ma-04.01" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance and diagnostic sessions; and" - }, - { - "id": "ma-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review the audit records of the maintenance and diagnostic sessions to detect anomalous behavior." - } - ] - }, - { - "id": "ma-4.1_gdn", - "name": "guidance", - "prose": "Audit logging for nonlocal maintenance is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.01_odp.01 }} are logged for nonlocal maintenance sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.01_odp.02 }} are logged for nonlocal diagnostic sessions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the audit records of the maintenance sessions are reviewed to detect anomalous behavior;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the audit records of the diagnostic sessions are reviewed to detect anomalous behavior." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nlist of audit events\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nreviews of maintenance and diagnostic session records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with audit and review responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for audit and review of nonlocal maintenance\n\nautomated mechanisms supporting and/or implementing audit and review of nonlocal maintenance" - } - ] - } - ] - }, - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Document Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-04(02)" - }, - { - "name": "sort-id", - "value": "ma-04.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-1", - "rel": "incorporated-into" - }, - { - "href": "#ma-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-4.3", - "class": "SP800-53-enhancement", - "title": "Comparable Security and Sanitization", - "props": [ - { - "name": "label", - "value": "MA-04(03)" - }, - { - "name": "sort-id", - "value": "ma-04.03" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - }, - { - "id": "ma-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system." - } - ] - }, - { - "id": "ma-4.3_gdn", - "name": "guidance", - "prose": "Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal diagnostic services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the component to be serviced is removed from the system prior to nonlocal maintenance or diagnostic services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the component to be serviced is sanitized (for organizational information);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "the component is inspected and sanitized (for potentially malicious software) after the service is performed and before reconnecting the component to the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nservice provider contracts and/or service-level agreements\n\nmaintenance records\n\ninspection records\n\naudit records\n\nequipment sanitization records\n\nmedia sanitization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nsystem maintenance provider\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for comparable security and sanitization for nonlocal maintenance\n\norganizational processes for the removal, sanitization, and inspection of components serviced via nonlocal maintenance\n\nautomated mechanisms supporting and/or implementing component sanitization and inspection" - } - ] - } - ] - }, - { - "id": "ma-4.4", - "class": "SP800-53-enhancement", - "title": "Authentication and Separation of Maintenance Sessions", - "params": [ - { - "id": "ma-04.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.4_prm_1" - }, - { - "name": "label", - "value": "MA-04(04)_ODP" - } - ], - "label": "authenticators that are replay resistant", - "guidelines": [ - { - "prose": "authenticators that are replay resistant are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(04)" - }, - { - "name": "sort-id", - "value": "ma-04.04" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-4.4_smt", - "name": "statement", - "prose": "Protect nonlocal maintenance sessions by:", - "parts": [ - { - "id": "ma-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employing {{ insert: param, ma-04.04_odp }} ; and" - }, - { - "id": "ma-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Separating the maintenance sessions from other network sessions with the system by either:", - "parts": [ - { - "id": "ma-4.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Physically separated communications paths; or" - }, - { - "id": "ma-4.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Logically separated communications paths." - } - ] - } - ] - }, - { - "id": "ma-4.4_gdn", - "name": "guidance", - "prose": "Communications paths can be logically separated using encryption." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by employing {{ insert: param, ma-04.04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by separating maintenance sessions from other network sessions with the system by physically separated communication paths; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by logically separated communication paths." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting nonlocal maintenance sessions\n\nautomated mechanisms implementing replay-resistant authenticators\n\nautomated mechanisms implementing logically separated/encrypted communication paths" - } - ] - } - ] - }, - { - "id": "ma-4.5", - "class": "SP800-53-enhancement", - "title": "Approvals and Notifications", - "params": [ - { - "id": "ma-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.5_prm_1" - }, - { - "name": "label", - "value": "MA-04(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to approve each nonlocal maintenance session is/are defined;" - } - ] - }, - { - "id": "ma-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.5_prm_2" - }, - { - "name": "label", - "value": "MA-04(05)_ODP[02]" - } - ], - "label": "personnel and roles", - "guidelines": [ - { - "prose": "personnel and roles to be notified of the date and time of planned nonlocal maintenance is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(05)" - }, - { - "name": "sort-id", - "value": "ma-04.05" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-4.5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require the approval of each nonlocal maintenance session by {{ insert: param, ma-04.05_odp.01 }} ; and" - }, - { - "id": "ma-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify the following personnel or roles of the date and time of planned nonlocal maintenance: {{ insert: param, ma-04.05_odp.02 }}." - } - ] - }, - { - "id": "ma-4.5_gdn", - "name": "guidance", - "prose": "Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the approval of each nonlocal maintenance session is required by {{ insert: param, ma-04.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.05_odp.02 }} is/are notified of the date and time of planned nonlocal maintenance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nnotifications supporting nonlocal maintenance sessions\n\nmaintenance records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with notification responsibilities\n\norganizational personnel with approval responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving and notifying personnel regarding nonlocal maintenance\n\nautomated mechanisms supporting notification and approval of nonlocal maintenance" - } - ] - } - ] - }, - { - "id": "ma-4.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "ma-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.6_prm_1" - }, - { - "name": "label", - "value": "MA-04(06)_ODP" - } - ], - "label": "cryptographic mechanisms", - "guidelines": [ - { - "prose": "cryptographic mechanisms to be implemented to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(06)" - }, - { - "name": "sort-id", - "value": "ma-04.06" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.6_smt", - "name": "statement", - "prose": "Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: {{ insert: param, ma-04.06_odp }}." - }, - { - "id": "ma-4.6_gdn", - "name": "guidance", - "prose": "Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions, including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission or business capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.06_odp }} are implemented to protect the integrity of nonlocal maintenance and diagnostic communications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.06_odp }} are implemented to protect the confidentiality of nonlocal maintenance and diagnostic communications." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms protecting nonlocal maintenance activities\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications" - } - ] - } - ] - }, - { - "id": "ma-4.7", - "class": "SP800-53-enhancement", - "title": "Disconnect Verification", - "props": [ - { - "name": "label", - "value": "MA-04(07)" - }, - { - "name": "sort-id", - "value": "ma-04.07" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#ac-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.7_smt", - "name": "statement", - "prose": "Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions." - }, - { - "id": "ma-4.7_gdn", - "name": "guidance", - "prose": "Verifying the termination of a connection once maintenance is completed ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "session connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "network connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms protecting nonlocal maintenance activities\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions" - } - ] - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "props": [ - { - "name": "label", - "value": "MA-05" - }, - { - "name": "sort-id", - "value": "ma-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while [PE-2](#pe-2) addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel\u2014such as information technology manufacturers, vendors, systems integrators, and consultants\u2014may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "a process for maintenance personnel authorization is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "a list of authorized maintenance organizations or personnel is maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(b)", - "class": "sp800-53A" - } - ], - "prose": "non-escorted personnel performing maintenance on the system possess the required access authorizations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(c)", - "class": "sp800-53A" - } - ], - "prose": "organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance personnel" - } - ] - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "params": [ - { - "id": "ma-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-5.1_prm_1" - }, - { - "name": "label", - "value": "MA-05(01)_ODP" - } - ], - "label": "alternate controls", - "guidelines": [ - { - "prose": "alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-05(01)" - }, - { - "name": "sort-id", - "value": "ma-05.01" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop and implement {{ insert: param, ma-05.01_odp }} in the event a system component cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)(01)", - "class": "sp800-53A" - } - ], - "prose": "procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)(02)", - "class": "sp800-53A" - } - ], - "prose": "procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-05.01_odp }} are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\nphysical and environmental protection policy\n\nlist of maintenance personnel requiring escort/supervision\n\nmaintenance records\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing maintenance personnel without appropriate access\n\nautomated mechanisms supporting and/or implementing alternative security safeguards\n\nautomated mechanisms supporting and/or implementing information storage component sanitization" - } - ] - } - ] - }, - { - "id": "ma-5.2", - "class": "SP800-53-enhancement", - "title": "Security Clearances for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-05(02)" - }, - { - "name": "sort-id", - "value": "ma-05.02" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.2_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system." - }, - { - "id": "ma-5.2_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances for at least the highest classification level and for compartments of information on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess formal access approvals for at least the highest classification level and for compartments of information on the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\npersonnel records\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing security clearances for maintenance personnel" - } - ] - } - ] - }, - { - "id": "ma-5.3", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-05(03)" - }, - { - "name": "sort-id", - "value": "ma-05.03" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.3_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "id": "ma-5.3_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U.S. citizens, the same restriction is applied to personnel performing maintenance on those systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(03)", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\npersonnel records\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-5.4", - "class": "SP800-53-enhancement", - "title": "Foreign Nationals", - "props": [ - { - "name": "label", - "value": "MA-05(04)" - }, - { - "name": "sort-id", - "value": "ma-05.04" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.4_smt", - "name": "statement", - "prose": "Ensure that:", - "parts": [ - { - "id": "ma-5.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and" - }, - { - "id": "ma-5.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements." - } - ] - }, - { - "id": "ma-5.4_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance and diagnostic activities on organizational systems may be exposed to classified information. If non-U.S. citizens are permitted to perform maintenance and diagnostics activities on classified systems, then additional vetting is required to ensure agreements and restrictions are not being violated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments or owned and operated solely by foreign allied governments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "approvals regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "consents regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmemorandum of agreement\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities, organizational personnel with personnel security responsibilities\n\norganizational personnel managing memoranda of agreements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing foreign national maintenance personnel" - } - ] - } - ] - }, - { - "id": "ma-5.5", - "class": "SP800-53-enhancement", - "title": "Non-system Maintenance", - "props": [ - { - "name": "label", - "value": "MA-05(05)" - }, - { - "name": "sort-id", - "value": "ma-05.05" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-5.5_smt", - "name": "statement", - "prose": "Ensure that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations." - }, - { - "id": "ma-5.5_gdn", - "name": "guidance", - "prose": "Personnel who perform maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system have required access authorizations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmaintenance records\n\naccess control records\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "params": [ - { - "id": "ma-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6_prm_1" - }, - { - "name": "label", - "value": "MA-06_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which maintenance support and/or spare parts are obtained are defined;" - } - ] - }, - { - "id": "ma-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6_prm_2" - }, - { - "name": "label", - "value": "MA-06_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which maintenance support and/or spare parts are to be obtained after a failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06" - }, - { - "name": "sort-id", - "value": "ma-06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "Obtain maintenance support and/or spare parts for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06", - "class": "sp800-53A" - } - ], - "prose": "maintenance support and/or spare parts are obtained for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\ninventory and availability of spare parts\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring timely maintenance" - } - ] - } - ], - "controls": [ - { - "id": "ma-6.1", - "class": "SP800-53-enhancement", - "title": "Preventive Maintenance", - "params": [ - { - "id": "ma-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.1_prm_1" - }, - { - "name": "label", - "value": "MA-06(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which preventive maintenance is to be performed are defined;" - } - ] - }, - { - "id": "ma-06.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.1_prm_2" - }, - { - "name": "label", - "value": "MA-06(01)_ODP[02]" - } - ], - "label": "time intervals", - "guidelines": [ - { - "prose": "time intervals within which preventive maintenance is to be performed on system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(01)" - }, - { - "name": "sort-id", - "value": "ma-06.01" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.1_smt", - "name": "statement", - "prose": "Perform preventive maintenance on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}." - }, - { - "id": "ma-6.1_gdn", - "name": "guidance", - "prose": "Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(01)", - "class": "sp800-53A" - } - ], - "prose": "preventive maintenance is performed on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring preventive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for preventive maintenance\n\nautomated mechanisms supporting and/or implementing preventive maintenance" - } - ] - } - ] - }, - { - "id": "ma-6.2", - "class": "SP800-53-enhancement", - "title": "Predictive Maintenance", - "params": [ - { - "id": "ma-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.2_prm_1" - }, - { - "name": "label", - "value": "MA-06(02)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which predictive maintenance is to be performed are defined;" - } - ] - }, - { - "id": "ma-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.2_prm_2" - }, - { - "name": "label", - "value": "MA-06(02)_ODP[02]" - } - ], - "label": "time intervals", - "guidelines": [ - { - "prose": "time intervals within which predictive maintenance is to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(02)" - }, - { - "name": "sort-id", - "value": "ma-06.02" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.2_smt", - "name": "statement", - "prose": "Perform predictive maintenance on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}." - }, - { - "id": "ma-6.2_gdn", - "name": "guidance", - "prose": "Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(02)", - "class": "sp800-53A" - } - ], - "prose": "predictive maintenance is performed on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring predictive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for predictive maintenance\n\nautomated mechanisms supporting and/or implementing predictive maintenance" - } - ] - } - ] - }, - { - "id": "ma-6.3", - "class": "SP800-53-enhancement", - "title": "Automated Support for Predictive Maintenance", - "params": [ - { - "id": "ma-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.3_prm_1" - }, - { - "name": "label", - "value": "MA-06(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to transfer predictive maintenance data to a maintenance management system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(03)" - }, - { - "name": "sort-id", - "value": "ma-06.03" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.3_smt", - "name": "statement", - "prose": "Transfer predictive maintenance data to a maintenance management system using {{ insert: param, ma-06.03_odp }}." - }, - { - "id": "ma-6.3_gdn", - "name": "guidance", - "prose": "A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates the processing of equipment condition data to trigger maintenance planning, execution, and reporting." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(03)", - "class": "sp800-53A" - } - ], - "prose": "predictive maintenance data is transferred to a maintenance management system using {{ insert: param, ma-06.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring predictive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system\n\noperations of the computer maintenance management system" - } - ] - } - ] - } - ] - }, - { - "id": "ma-7", - "class": "SP800-53", - "title": "Field Maintenance", - "params": [ - { - "id": "ma-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-7_prm_1" - }, - { - "name": "label", - "value": "MA-07_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components on which field maintenance is restricted or prohibited to trusted maintenance facilities are defined;" - } - ] - }, - { - "id": "ma-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-7_prm_2" - }, - { - "name": "label", - "value": "MA-07_ODP[02]" - } - ], - "label": "trusted maintenance facilities", - "guidelines": [ - { - "prose": "trusted maintenance facilities that are not restricted or prohibited from conducting field maintenance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-07" - }, - { - "name": "sort-id", - "value": "ma-07" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-7_smt", - "name": "statement", - "prose": "Restrict or prohibit field maintenance on {{ insert: param, ma-07_odp.01 }} to {{ insert: param, ma-07_odp.02 }}." - }, - { - "id": "ma-7_gdn", - "name": "guidance", - "prose": "Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-07", - "class": "sp800-53A" - } - ], - "prose": "field maintenance on {{ insert: param, ma-07_odp.01 }} are restricted or prohibited to {{ insert: param, ma-07_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing field maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nsystem security plan\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing field maintenance\n\nautomated mechanisms implementing, supporting, and/or managing field maintenance\n\nautomated mechanisms for strong authentication of field maintenance diagnostic sessions\n\nautomated mechanisms for terminating field maintenance sessions and network connections" - } - ] - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "mp-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-01_odp.01", - "props": [ - { - "name": "label", - "value": "MP-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the media protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "mp-01_odp.02", - "props": [ - { - "name": "label", - "value": "MP-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the media protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "mp-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_2" - }, - { - "name": "label", - "value": "MP-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "mp-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_3" - }, - { - "name": "label", - "value": "MP-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the media protection policy and procedures is defined;" - } - ] - }, - { - "id": "mp-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_4" - }, - { - "name": "label", - "value": "MP-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current media protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "mp-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_5" - }, - { - "name": "label", - "value": "MP-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current media protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "mp-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_6" - }, - { - "name": "label", - "value": "MP-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current media protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "mp-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_7" - }, - { - "name": "label", - "value": "MP-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require media protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-01" - }, - { - "name": "sort-id", - "value": "mp-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, mp-01_odp.03 }} media protection policy that:", - "parts": [ - { - "id": "mp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, mp-01_odp.04 }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and" - }, - { - "id": "mp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current media protection:", - "parts": [ - { - "id": "mp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, mp-01_odp.05 }} and following {{ insert: param, mp-01_odp.06 }} ; and" - }, - { - "id": "mp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, mp-01_odp.07 }} and following {{ insert: param, mp-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a media protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the media protection policy is disseminated to {{ insert: param, mp-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "media protection procedures to facilitate the implementation of the media protection policy and associated media protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the media protection procedures are disseminated to {{ insert: param, mp-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the media protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the media protection policy and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection policy is reviewed and updated {{ insert: param, mp-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection policy is reviewed and updated following {{ insert: param, mp-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection procedures are reviewed and updated {{ insert: param, mp-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection procedures are reviewed and updated following {{ insert: param, mp-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\n\norganizational risk management strategy\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "params": [ - { - "id": "mp-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-02_odp.01" - } - ], - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-02_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[01]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to which access is restricted are defined;" - } - ] - }, - { - "id": "mp-02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles authorized to access digital media is/are defined;" - } - ] - }, - { - "id": "mp-02_odp.03", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[03]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to which access is restricted are defined;" - } - ] - }, - { - "id": "mp-02_odp.04", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles authorized to access non-digital media is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-02" - }, - { - "name": "sort-id", - "value": "mp-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert: param, mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02[01]", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, mp-02_odp.01 }} is restricted to {{ insert: param, mp-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02[02]", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, mp-02_odp.03 }} is restricted to {{ insert: param, mp-02_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - } - ], - "controls": [ - { - "id": "mp-2.1", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "props": [ - { - "name": "label", - "value": "MP-02(01)" - }, - { - "name": "sort-id", - "value": "mp-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-2.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-02(02)" - }, - { - "name": "sort-id", - "value": "mp-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "params": [ - { - "id": "mp-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-3_prm_1" - }, - { - "name": "label", - "value": "MP-03_ODP[01]" - } - ], - "label": "types of media exempted from marking", - "guidelines": [ - { - "prose": "types of system media exempt from marking when remaining in controlled areas are defined;" - } - ] - }, - { - "id": "mp-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-3_prm_2" - }, - { - "name": "label", - "value": "MP-03_ODP[02]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas where media is exempt from marking are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-03" - }, - { - "name": "sort-id", - "value": "mp-03" - } - ], - "links": [ - { - "href": "#34a5571f-e252-4309-a8a1-2fdb2faefbcd", - "rel": "reference" - }, - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempt {{ insert: param, mp-03_odp.01 }} from marking if the media remain within {{ insert: param, mp-03_odp.02 }}." - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03a.", - "class": "sp800-53A" - } - ], - "prose": "system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-03_odp.01 }} remain within {{ insert: param, mp-03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media marking\n\nphysical and environmental protection policy and procedures\n\nlist of system media marking security attributes\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and marking responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for marking information media\n\nautomated mechanisms supporting and/or implementing media marking" - } - ] - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "params": [ - { - "id": "mp-4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-04_odp.01" - } - ], - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-04_odp.05" - } - ], - "label": "organization-defined controlled areas" - }, - { - "id": "mp-04_odp.01", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[01]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to be physically controlled are defined;" - } - ] - }, - { - "id": "mp-04_odp.02", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[02]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to be physically controlled are defined;" - } - ] - }, - { - "id": "mp-04_odp.03", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[03]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to be securely stored are defined;" - } - ] - }, - { - "id": "mp-04_odp.04", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[04]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to be securely stored are defined;" - } - ] - }, - { - "id": "mp-04_odp.05", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[05]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which to securely store digital media are defined;" - } - ] - }, - { - "id": "mp-04_odp.06", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[06]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which to securely store non-digital media are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-04" - }, - { - "name": "sort-id", - "value": "mp-04" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }} ; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures." - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.01 }} are physically controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.02 }} are physically controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.03 }} are securely stored within {{ insert: param, mp-04_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.04 }} are securely stored within {{ insert: param, mp-04_odp.06 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsystem media\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing secure media storage/media protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-4.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-04(01)" - }, - { - "name": "sort-id", - "value": "mp-04.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "params": [ - { - "id": "mp-4.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-04.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "mp-04.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-04(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to restrict access to media storage areas are defined;" - } - ] - }, - { - "id": "mp-04.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-04(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to log access attempts and access granted to media storage areas are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-04(02)" - }, - { - "name": "sort-id", - "value": "mp-04.02" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4.2_smt", - "name": "statement", - "prose": "Restrict access to media storage areas and log access attempts and access granted using {{ insert: param, mp-4.2_prm_1 }}." - }, - { - "id": "mp-4.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms include keypads, biometric readers, or card readers on the external entries to media storage areas." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "access to media storage areas is restricted using {{ insert: param, mp-04.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "access attempts to media storage areas are logged using {{ insert: param, mp-04.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "access granted to media storage areas is logged using {{ insert: param, mp-04.02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmedia storage facilities\n\naccess control devices\n\naccess control records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting access to media storage areas\n\nautomated mechanisms auditing access attempts and access granted to media storage areas" - } - ] - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "params": [ - { - "id": "mp-5_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-05_odp.02" - } - ], - "label": "organization-defined controls" - }, - { - "id": "mp-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-5_prm_1" - }, - { - "name": "label", - "value": "MP-05_ODP[01]" - } - ], - "label": "types of system media", - "guidelines": [ - { - "prose": "types of system media to protect and control during transport outside of controlled areas are defined;" - } - ] - }, - { - "id": "mp-05_odp.02", - "props": [ - { - "name": "label", - "value": "MP-05_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to protect system media outside of controlled areas are defined;" - } - ] - }, - { - "id": "mp-05_odp.03", - "props": [ - { - "name": "label", - "value": "MP-05_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to control system media outside of controlled areas are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-05" - }, - { - "name": "sort-id", - "value": "mp-05" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect and control {{ insert: param, mp-05_odp.01 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain accountability for system media during transport outside of controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document activities associated with the transport of system media; and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restrict the activities associated with the transport of system media to authorized personnel." - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-05_odp.01 }} are protected during transport outside of controlled areas using {{ insert: param, mp-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-05_odp.01 }} are controlled during transport outside of controlled areas using {{ insert: param, mp-05_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05b.", - "class": "sp800-53A" - } - ], - "prose": "accountability for system media is maintained during transport outside of controlled areas;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05c.", - "class": "sp800-53A" - } - ], - "prose": "activities associated with the transport of system media are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel authorized to conduct media transport activities is/are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.[02]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with the transport of system media are restricted to identified authorized personnel." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nauthorized personnel list\n\nsystem media\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing media storage/media protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-5.1", - "class": "SP800-53-enhancement", - "title": "Protection Outside of Controlled Areas", - "props": [ - { - "name": "label", - "value": "MP-05(01)" - }, - { - "name": "sort-id", - "value": "mp-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.2", - "class": "SP800-53-enhancement", - "title": "Documentation of Activities", - "props": [ - { - "name": "label", - "value": "MP-05(02)" - }, - { - "name": "sort-id", - "value": "mp-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.3", - "class": "SP800-53-enhancement", - "title": "Custodians", - "props": [ - { - "name": "label", - "value": "MP-05(03)" - }, - { - "name": "sort-id", - "value": "mp-05.03" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-5.3_smt", - "name": "statement", - "prose": "Employ an identified custodian during transport of system media outside of controlled areas." - }, - { - "id": "mp-5.3_gdn", - "name": "guidance", - "prose": "Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a custodian to transport system media outside of controlled areas is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the identified custodian is employed during the transport of system media outside of controlled areas." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media transport\n\nphysical and environmental protection policy and procedures\n\nsystem media transport records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media transport responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying and employing a custodian to transport media outside of controlled areas" - } - ] - } - ] - }, - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-05(04)" - }, - { - "name": "sort-id", - "value": "mp-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "params": [ - { - "id": "mp-6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-06_odp.01" - } - ], - "label": "organization-defined system media" - }, - { - "id": "mp-6_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-06_odp.04" - } - ], - "label": "organization-defined sanitization techniques and procedures" - }, - { - "id": "mp-06_odp.01", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[01]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to disposal is defined;" - } - ] - }, - { - "id": "mp-06_odp.02", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[02]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to release from organizational control is defined;" - } - ] - }, - { - "id": "mp-06_odp.03", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[03]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to release for reuse is defined;" - } - ] - }, - { - "id": "mp-06_odp.04", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[04]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to disposal are defined;" - } - ] - }, - { - "id": "mp-06_odp.05", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[05]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to release from organizational control are defined;" - } - ] - }, - { - "id": "mp-06_odp.06", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[06]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to release for reuse are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06" - }, - { - "name": "sort-id", - "value": "mp-06" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, mp-6_prm_2 }} ; and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques\u2014including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction\u2014prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.01 }} is sanitized using {{ insert: param, mp-06_odp.04 }} prior to disposal;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.02 }} is sanitized using {{ insert: param, mp-06_odp.05 }} prior to release from organizational control;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.03 }} is sanitized using {{ insert: param, mp-06_odp.06 }} prior to release for reuse;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06b.", - "class": "sp800-53A" - } - ], - "prose": "sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization policy\n\nmedia sanitization records\n\nsystem audit records\n\nsystem design documentation\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ], - "controls": [ - { - "id": "mp-6.1", - "class": "SP800-53-enhancement", - "title": "Review, Approve, Track, Document, and Verify", - "props": [ - { - "name": "label", - "value": "MP-06(01)" - }, - { - "name": "sort-id", - "value": "mp-06.01" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.1_smt", - "name": "statement", - "prose": "Review, approve, track, document, and verify media sanitization and disposal actions." - }, - { - "id": "mp-6.1_gdn", - "name": "guidance", - "prose": "Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are tracked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[05]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nmedia sanitization and disposal records\n\nreview records for media sanitization and disposal actions\n\napprovals for media sanitization and disposal actions\n\ntracking records\n\nverification records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization and disposal responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing verification of media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-6.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-06.02_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "mp-06.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-06(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to test sanitization equipment is defined;" - } - ] - }, - { - "id": "mp-06.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-06(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to test sanitization procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(02)" - }, - { - "name": "sort-id", - "value": "mp-06.02" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to ensure that the intended sanitization is being achieved." - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "sanitization equipment is tested {{ insert: param, mp-06.02_odp.01 }} to ensure that the intended sanitization is being achieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "sanitization procedures are tested {{ insert: param, mp-06.02_odp.02 }} to ensure that the intended sanitization is being achieved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nprocedures addressing testing of media sanitization equipment\n\nresults of media sanitization equipment and procedures testing\n\nsystem audit records\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization procedures\n\nsanitization equipment" - } - ] - } - ] - }, - { - "id": "mp-6.3", - "class": "SP800-53-enhancement", - "title": "Nondestructive Techniques", - "params": [ - { - "id": "mp-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.3_prm_1" - }, - { - "name": "label", - "value": "MP-06(03)_ODP" - } - ], - "label": "circumstances requiring sanitization of portable storage devices", - "guidelines": [ - { - "prose": "circumstances requiring sanitization of portable storage devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(03)" - }, - { - "name": "sort-id", - "value": "mp-06.03" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.3_smt", - "name": "statement", - "prose": "Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-06.03_odp }}." - }, - { - "id": "mp-6.3_gdn", - "name": "guidance", - "prose": "Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(03)", - "class": "sp800-53A" - } - ], - "prose": "non-destructive sanitization techniques are applied to portable storage devices prior to connecting such devices to the system under {{ insert: param, mp-06.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\ninformation on portable storage devices for the system\n\nlist of circumstances requiring sanitization of portable storage devices\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization of portable storage devices\n\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.4", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-06(04)" - }, - { - "name": "sort-id", - "value": "mp-06.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.5", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-06(05)" - }, - { - "name": "sort-id", - "value": "mp-06.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.6", - "class": "SP800-53-enhancement", - "title": "Media Destruction", - "props": [ - { - "name": "label", - "value": "MP-06(06)" - }, - { - "name": "sort-id", - "value": "mp-06.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "mp-06.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.7_prm_1" - }, - { - "name": "label", - "value": "MP-06(07)_ODP" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized using dual authorization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(07)" - }, - { - "name": "sort-id", - "value": "mp-06.07" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the sanitization of {{ insert: param, mp-06.07_odp }}." - }, - { - "id": "mp-6.7_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals who sanitize system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(07)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for sanitization of {{ insert: param, mp-06.07_odp }} is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\ndual authorization policy and procedures\n\nlist of system media requiring dual authorization for sanitization\n\nauthorization records\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes requiring dual authorization for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing dual authorization" - } - ] - } - ] - }, - { - "id": "mp-6.8", - "class": "SP800-53-enhancement", - "title": "Remote Purging or Wiping of Information", - "params": [ - { - "id": "mp-06.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_1" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components to purge or wipe information either remotely or under specific conditions are defined;" - } - ] - }, - { - "id": "mp-06.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_2" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[02]" - } - ], - "select": { - "choice": [ - "remotely", - "under{{ insert: param, mp-06.08_odp.03 }} " - ] - } - }, - { - "id": "mp-06.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_3" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[03]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which information is to be purged or wiped are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(08)" - }, - { - "name": "sort-id", - "value": "mp-06.08" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.8_smt", - "name": "statement", - "prose": "Provide the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }}." - }, - { - "id": "mp-6.8_gdn", - "name": "guidance", - "prose": "Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(08)", - "class": "sp800-53A" - } - ], - "prose": "the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nauthorization records\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for purging/wiping media\n\nautomated mechanisms supporting and/or implementing purge/wipe capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "params": [ - { - "id": "mp-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_2" - }, - { - "name": "label", - "value": "MP-07_ODP[01]" - } - ], - "label": "types of system media", - "guidelines": [ - { - "prose": "types of system media to be restricted or prohibited from use on systems or system components are defined;" - } - ] - }, - { - "id": "mp-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_1" - }, - { - "name": "label", - "value": "MP-07_ODP[02]" - } - ], - "select": { - "choice": [ - "restrict", - "prohibit" - ] - } - }, - { - "id": "mp-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_3" - }, - { - "name": "label", - "value": "MP-07_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components on which the use of specific types of system media to be restricted or prohibited are defined;" - } - ] - }, - { - "id": "mp-07_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_4" - }, - { - "name": "label", - "value": "MP-07_ODP[04]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to restrict or prohibit the use of specific types of system media on systems or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-07" - }, - { - "name": "sort-id", - "value": "mp-07" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "parts": [ - { - "id": "mp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, mp-07_odp.02 }} the use of {{ insert: param, mp-07_odp.01 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }} ; and" - }, - { - "id": "mp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner." - } - ] - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to [MP-2](#mp-2) , which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07a.", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, mp-07_odp.01 }} is {{ insert: param, mp-07_odp.02 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07b.", - "class": "sp800-53A" - } - ], - "prose": "the use of portable storage devices in organizational systems is prohibited when such devices have no identifiable owner." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nrules of behavior\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of system media on systems or system components" - } - ] - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "props": [ - { - "name": "label", - "value": "MP-07(01)" - }, - { - "name": "sort-id", - "value": "mp-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-7.2", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Sanitization-resistant Media", - "props": [ - { - "name": "label", - "value": "MP-07(02)" - }, - { - "name": "sort-id", - "value": "mp-07.02" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7.2_smt", - "name": "statement", - "prose": "Prohibit the use of sanitization-resistant media in organizational systems." - }, - { - "id": "mp-7.2_gdn", - "name": "guidance", - "prose": "Sanitization resistance refers to how resistant media are to non-destructive sanitization techniques with respect to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media includes compact flash, embedded flash on boards and devices, solid state drives, and USB removable media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "sanitization-resistant media is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of sanitization-resistant media in organizational systems is prohibited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nrules of behavior\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\n\nautomated mechanisms prohibiting use of media on systems or system components" - } - ] - } - ] - } - ] - }, - { - "id": "mp-8", - "class": "SP800-53", - "title": "Media Downgrading", - "params": [ - { - "id": "mp-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-8_prm_1" - }, - { - "name": "label", - "value": "MP-08_ODP[01]" - } - ], - "label": "system media downgrading process", - "guidelines": [ - { - "prose": "a system media downgrading process is defined;" - } - ] - }, - { - "id": "mp-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-8_prm_2" - }, - { - "name": "label", - "value": "MP-08_ODP[02]" - } - ], - "label": "system media requiring downgrading", - "guidelines": [ - { - "prose": "system media requiring downgrading is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-08" - }, - { - "name": "sort-id", - "value": "mp-08" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21", - "rel": "reference" - } - ], - "parts": [ - { - "id": "mp-8_smt", - "name": "statement", - "parts": [ - { - "id": "mp-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, mp-08_odp.01 }} that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - }, - { - "id": "mp-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;" - }, - { - "id": "mp-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify {{ insert: param, mp-08_odp.02 }} ; and" - }, - { - "id": "mp-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Downgrade the identified system media using the established process." - } - ] - }, - { - "id": "mp-8_gdn", - "name": "guidance", - "prose": "Media downgrading applies to digital and non-digital media subject to release outside of the organization, whether the media is considered removable or not. When applied to system media, the downgrading process removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading ensures that empty space on the media is devoid of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, mp-08_odp.01 }} is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-08_odp.01 }} includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "there is verification that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "there is verification that the system media downgrading process is commensurate with the access authorizations of the potential recipients of the downgraded information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-08_odp.02 }} is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08d.", - "class": "sp800-53A" - } - ], - "prose": "the identified system media is downgraded using the {{ insert: param, mp-08_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nsystem categorization documentation\n\nlist of media requiring downgrading\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ], - "controls": [ - { - "id": "mp-8.1", - "class": "SP800-53-enhancement", - "title": "Documentation of Process", - "props": [ - { - "name": "label", - "value": "MP-08(01)" - }, - { - "name": "sort-id", - "value": "mp-08.01" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.1_smt", - "name": "statement", - "prose": "Document system media downgrading actions." - }, - { - "id": "mp-8.1_gdn", - "name": "guidance", - "prose": "Organizations can document the media downgrading process by providing information, such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(01)", - "class": "sp800-53A" - } - ], - "prose": "system media downgrading actions are documented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nsystem categorization documentation\n\nlist of media requiring downgrading\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-08.02_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "mp-08.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-08(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which to test downgrading equipment is defined;" - } - ] - }, - { - "id": "mp-08.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-08(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which to test downgrading procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-08(02)" - }, - { - "name": "sort-id", - "value": "mp-08.02" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.2_smt", - "name": "statement", - "prose": "Test downgrading equipment and procedures {{ insert: param, mp-8.2_prm_1 }} to ensure that downgrading actions are being achieved." - }, - { - "id": "mp-8.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "downgrading equipment is tested {{ insert: param, mp-08.02_odp.01 }} to ensure that downgrading actions are being achieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "downgrading procedures are tested {{ insert: param, mp-08.02_odp.02 }} to ensure that downgrading actions are being achieved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nprocedures addressing testing of media downgrading equipment\n\nresults of downgrading equipment and procedures testing\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.3", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-08(03)" - }, - { - "name": "sort-id", - "value": "mp-08.03" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.3_smt", - "name": "statement", - "prose": "Downgrade system media containing controlled unclassified information prior to public release." - }, - { - "id": "mp-8.3_gdn", - "name": "guidance", - "prose": "The downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "system media containing controlled unclassified information is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "system media containing controlled unclassified information is downgraded prior to public release." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\naccess authorization policy\n\nprocedures addressing downgrading of media containing CUI\n\napplicable federal and organizational standards and policies regarding protection of CUI\n\nmedia downgrading records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.4", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-08(04)" - }, - { - "name": "sort-id", - "value": "mp-08.04" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.4_smt", - "name": "statement", - "prose": "Downgrade system media containing classified information prior to release to individuals without required access authorizations." - }, - { - "id": "mp-8.4_gdn", - "name": "guidance", - "prose": "Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "system media containing classified information is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "system media containing classified information is downgraded prior to release to individuals without required access authorizations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\naccess authorization policy\n\nprocedures addressing downgrading of media containing classified information\n\nprocedures addressing handling of classified information\n\nNSA standards and policies regarding protection of classified information\n\nmedia downgrading records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pe-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-01_odp.01", - "props": [ - { - "name": "label", - "value": "PE-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the physical and environmental protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pe-01_odp.02", - "props": [ - { - "name": "label", - "value": "PE-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the physical and environmental protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pe-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_2" - }, - { - "name": "label", - "value": "PE-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pe-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_3" - }, - { - "name": "label", - "value": "PE-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the physical and environmental protection policy and procedures is defined;" - } - ] - }, - { - "id": "pe-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_4" - }, - { - "name": "label", - "value": "PE-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current physical and environmental protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pe-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_5" - }, - { - "name": "label", - "value": "PE-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current physical and environmental protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pe-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_6" - }, - { - "name": "label", - "value": "PE-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pe-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_7" - }, - { - "name": "label", - "value": "PE-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the physical and environmental protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-01" - }, - { - "name": "sort-id", - "value": "pe-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pe-01_odp.03 }} physical and environmental protection policy that:", - "parts": [ - { - "id": "pe-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pe-01_odp.04 }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and" - }, - { - "id": "pe-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current physical and environmental protection:", - "parts": [ - { - "id": "pe-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pe-01_odp.05 }} and following {{ insert: param, pe-01_odp.06 }} ; and" - }, - { - "id": "pe-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pe-01_odp.07 }} and following {{ insert: param, pe-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a physical and environmental protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the physical and environmental protection policy is disseminated to {{ insert: param, pe-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "physical and environmental protection procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the physical and environmental protection procedures are disseminated to {{ insert: param, pe-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection policy is reviewed and updated {{ insert: param, pe-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection policy is reviewed and updated following {{ insert: param, pe-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection procedures are reviewed and updated {{ insert: param, pe-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection procedures are reviewed and updated following {{ insert: param, pe-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\n\nsystem security plan\n\nprivacy plan\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "params": [ - { - "id": "pe-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2_prm_1" - }, - { - "name": "label", - "value": "PE-02_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the access list detailing authorized facility access by individuals is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02" - }, - { - "name": "sort-id", - "value": "pe-02" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issue authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the access list detailing authorized facility access by individuals {{ insert: param, pe-02_odp }} ; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remove individuals from the facility access list when access is no longer required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a list of individuals with authorized access to the facility where the system resides has been developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the list of individuals with authorized access to the facility where the system resides has been approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the list of individuals with authorized access to the facility where the system resides has been maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02b.", - "class": "sp800-53A" - } - ], - "prose": "authorization credentials are issued for facility access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02c.", - "class": "sp800-53A" - } - ], - "prose": "the access list detailing authorized facility access by individuals is reviewed {{ insert: param, pe-02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02d.", - "class": "sp800-53A" - } - ], - "prose": "individuals are removed from the facility access list when access is no longer required." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ], - "controls": [ - { - "id": "pe-2.1", - "class": "SP800-53-enhancement", - "title": "Access by Position or Role", - "props": [ - { - "name": "label", - "value": "PE-02(01)" - }, - { - "name": "sort-id", - "value": "pe-02.01" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.1_smt", - "name": "statement", - "prose": "Authorize physical access to the facility where the system resides based on position or role." - }, - { - "id": "pe-2.1_gdn", - "name": "guidance", - "prose": "Role-based facility access includes access by authorized permanent and regular/routine maintenance personnel, duty officers, and emergency medical staff." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(01)", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is authorized based on position or role." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nphysical access control logs or records\n\nlist of positions/roles and corresponding physical access authorizations\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - }, - { - "id": "pe-2.2", - "class": "SP800-53-enhancement", - "title": "Two Forms of Identification", - "params": [ - { - "id": "pe-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.2_prm_1" - }, - { - "name": "label", - "value": "PE-02(02)_ODP" - } - ], - "label": "list of acceptable forms of identification", - "guidelines": [ - { - "prose": "a list of acceptable forms of identification for visitor access to the facility where the system resides is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02(02)" - }, - { - "name": "sort-id", - "value": "pe-02.02" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.2_smt", - "name": "statement", - "prose": "Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: {{ insert: param, pe-02.02_odp }}." - }, - { - "id": "pe-2.2_gdn", - "name": "guidance", - "prose": "Acceptable forms of identification include passports, REAL ID-compliant drivers\u2019 licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(02)", - "class": "sp800-53A" - } - ], - "prose": "two forms of identification are required from {{ insert: param, pe-02.02_odp }} for visitor access to the facility where the system resides." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nlist of acceptable forms of identification for visitor access to the facility where the system resides\n\naccess authorization forms\n\naccess credentials\n\nphysical access control logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to the system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - }, - { - "id": "pe-2.3", - "class": "SP800-53-enhancement", - "title": "Restrict Unescorted Access", - "params": [ - { - "id": "pe-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.3_prm_1" - }, - { - "name": "label", - "value": "PE-02(03)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security clearances for all information contained within the system", - "formal access authorizations for all information contained within the system", - "need for access to all information contained within the system", - " {{ insert: param, pe-02.03_odp.02 }} " - ] - } - }, - { - "id": "pe-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.3_prm_2" - }, - { - "name": "label", - "value": "PE-02(03)_ODP[02]" - } - ], - "label": "physical access authorizations", - "guidelines": [ - { - "prose": "physical access authorizations for unescorted access to the facility where the system resides are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02(03)" - }, - { - "name": "sort-id", - "value": "pe-02.03" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.3_smt", - "name": "statement", - "prose": "Restrict unescorted access to the facility where the system resides to personnel with {{ insert: param, pe-02.03_odp.01 }}." - }, - { - "id": "pe-2.3_gdn", - "name": "guidance", - "prose": "Individuals without required security clearances, access approvals, or need to know are escorted by individuals with appropriate physical access authorizations to ensure that information is not exposed or otherwise compromised." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(03)", - "class": "sp800-53A" - } - ], - "prose": "unescorted access to the facility where the system resides is restricted to personnel with {{ insert: param, pe-02.03_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nauthorized personnel access list\n\nsecurity clearances\n\naccess authorizations\n\naccess credentials\n\nphysical access control logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to the system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "params": [ - { - "id": "pe-3_prm_9", - "props": [ - { - "name": "aggregates", - "value": "pe-03_odp.09" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pe-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_1" - }, - { - "name": "label", - "value": "PE-03_ODP[01]" - } - ], - "label": "entry and exit points", - "guidelines": [ - { - "prose": "entry and exit points to the facility in which the system resides are defined;" - } - ] - }, - { - "id": "pe-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_2" - }, - { - "name": "label", - "value": "PE-03_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pe-03_odp.03 }} ", - "guards" - ] - } - }, - { - "id": "pe-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_3" - }, - { - "name": "label", - "value": "PE-03_ODP[03]" - } - ], - "label": "systems or devices", - "guidelines": [ - { - "prose": "physical access control systems or devices used to control ingress and egress to the facility are defined (if selected);" - } - ] - }, - { - "id": "pe-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_4" - }, - { - "name": "label", - "value": "PE-03_ODP[04]" - } - ], - "label": "entry or exit points", - "guidelines": [ - { - "prose": "entry or exit points for which physical access logs are maintained are defined;" - } - ] - }, - { - "id": "pe-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_5" - }, - { - "name": "label", - "value": "PE-03_ODP[05]" - } - ], - "label": "physical access controls", - "guidelines": [ - { - "prose": "physical access controls to control access to areas within the facility designated as publicly accessible are defined;" - } - ] - }, - { - "id": "pe-03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_6" - }, - { - "name": "label", - "value": "PE-03_ODP[06]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances requiring visitor escorts and control of visitor activity are defined;" - } - ] - }, - { - "id": "pe-03_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_7" - }, - { - "name": "label", - "value": "PE-03_ODP[07]" - } - ], - "label": "physical access devices", - "guidelines": [ - { - "prose": "physical access devices to be inventoried are defined;" - } - ] - }, - { - "id": "pe-03_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_8" - }, - { - "name": "label", - "value": "PE-03_ODP[08]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to inventory physical access devices is defined;" - } - ] - }, - { - "id": "pe-03_odp.09", - "props": [ - { - "name": "label", - "value": "PE-03_ODP[09]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to change combinations is defined;" - } - ] - }, - { - "id": "pe-03_odp.10", - "props": [ - { - "name": "label", - "value": "PE-03_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to change keys is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03" - }, - { - "name": "sort-id", - "value": "pe-03" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#2100332a-16a5-4598-bacf-7261baea9711", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce physical access authorizations at {{ insert: param, pe-03_odp.01 }} by:", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Verifying individual access authorizations before granting access to the facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain physical access audit logs for {{ insert: param, pe-03_odp.04 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, pe-03_odp.05 }};" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escort visitors and control visitor activity {{ insert: param, pe-03_odp.06 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secure keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventory {{ insert: param, pe-03_odp.07 }} every {{ insert: param, pe-03_odp.08 }} ; and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Change combinations and keys {{ insert: param, pe-3_prm_9 }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.01", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by verifying individual access authorizations before granting access to the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.02", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03b.", - "class": "sp800-53A" - } - ], - "prose": "physical access audit logs are maintained for {{ insert: param, pe-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03c.", - "class": "sp800-53A" - } - ], - "prose": "access to areas within the facility designated as publicly accessible are maintained by implementing {{ insert: param, pe-03_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "visitors are escorted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "visitor activity is controlled {{ insert: param, pe-03_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[01]", - "class": "sp800-53A" - } - ], - "prose": "keys are secured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[02]", - "class": "sp800-53A" - } - ], - "prose": "combinations are secured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[03]", - "class": "sp800-53A" - } - ], - "prose": "other physical access devices are secured;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03f.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-03_odp.07 }} are inventoried {{ insert: param, pe-03_odp.08 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.[01]", - "class": "sp800-53A" - } - ], - "prose": "combinations are changed {{ insert: param, pe-03_odp.09 }} , when combinations are compromised, or when individuals possessing the combinations are transferred or terminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.[02]", - "class": "sp800-53A" - } - ], - "prose": "keys are changed {{ insert: param, pe-03_odp.10 }} , when keys are lost, or when individuals possessing the keys are transferred or terminated." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\nsystem entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible areas within facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices" - } - ] - } - ], - "controls": [ - { - "id": "pe-3.1", - "class": "SP800-53-enhancement", - "title": "System Access", - "params": [ - { - "id": "pe-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.1_prm_1" - }, - { - "name": "label", - "value": "PE-03(01)_ODP" - } - ], - "label": "physical spaces", - "guidelines": [ - { - "prose": "physical spaces containing one or more components of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(01)" - }, - { - "name": "sort-id", - "value": "pe-03.01" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.1_smt", - "name": "statement", - "prose": "Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-03.01_odp }}." - }, - { - "id": "pe-3.1_gdn", - "name": "guidance", - "prose": "Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations to the system are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)02]", - "class": "sp800-53A" - } - ], - "prose": "physical access controls are enforced for the facility at {{ insert: param, pe-03.01_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\nsystem entry and exit points\n\nlist of areas within the facility containing concentrations of system components or system components requiring additional physical protection\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the information system/components\n\nautomated mechanisms supporting and/or implementing physical access control for facility areas containing system components" - } - ] - } - ] - }, - { - "id": "pe-3.2", - "class": "SP800-53-enhancement", - "title": "Facility and Systems", - "params": [ - { - "id": "pe-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.2_prm_1" - }, - { - "name": "label", - "value": "PE-03(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(02)" - }, - { - "name": "sort-id", - "value": "pe-03.02" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.2_smt", - "name": "statement", - "prose": "Perform security checks {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "id": "pe-3.2_gdn", - "name": "guidance", - "prose": "Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(02)", - "class": "sp800-53A" - } - ], - "prose": "security checks are performed {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nrecords of security checks\n\nsecurity audit reports\n\nsecurity inspection reports\n\nfacility layout documentation\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the facility and/or system\n\nautomated mechanisms supporting and/or implementing physical access control for the facility or system\n\nautomated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information" - } - ] - } - ] - }, - { - "id": "pe-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Guards", - "params": [ - { - "id": "pe-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.3_prm_1" - }, - { - "name": "label", - "value": "PE-03(03)_ODP" - } - ], - "label": "physical access points", - "guidelines": [ - { - "prose": "physical access points to the facility where the system resides are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(03)" - }, - { - "name": "sort-id", - "value": "pe-03.03" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.3_smt", - "name": "statement", - "prose": "Employ guards to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "id": "pe-3.3_gdn", - "name": "guidance", - "prose": "Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(03)", - "class": "sp800-53A" - } - ], - "prose": "guards are employed to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nphysical access control devices\n\nfacility surveillance records\n\nfacility layout documentation\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the facility where the system resides\n\nautomated mechanisms supporting and/or implementing physical access control for the facility where the system resides" - } - ] - } - ] - }, - { - "id": "pe-3.4", - "class": "SP800-53-enhancement", - "title": "Lockable Casings", - "params": [ - { - "id": "pe-03.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.4_prm_1" - }, - { - "name": "label", - "value": "PE-03(04)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be protected from unauthorized physical access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(04)" - }, - { - "name": "sort-id", - "value": "pe-03.04" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.4_smt", - "name": "statement", - "prose": "Use lockable physical casings to protect {{ insert: param, pe-03.04_odp }} from unauthorized physical access." - }, - { - "id": "pe-3.4_gdn", - "name": "guidance", - "prose": "The greatest risk from the use of portable devices\u2014such as smart phones, tablets, and notebook computers\u2014is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(04)", - "class": "sp800-53A" - } - ], - "prose": "lockable physical casings are used to protect {{ insert: param, pe-03.04_odp }} from unauthorized access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of system components requiring protection through lockable physical casings\n\nlockable physical casings\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Lockable physical casings" - } - ] - } - ] - }, - { - "id": "pe-3.5", - "class": "SP800-53-enhancement", - "title": "Tamper Protection", - "params": [ - { - "id": "pe-03.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_1" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[01]" - } - ], - "label": "anti-tamper technologies", - "guidelines": [ - { - "prose": "anti-tamper technologies to be employed are defined;" - } - ] - }, - { - "id": "pe-03.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_2" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "detect", - "prevent" - ] - } - }, - { - "id": "pe-03.05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_3" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[03]" - } - ], - "label": "hardware components", - "guidelines": [ - { - "prose": "hardware components to be protected from physical tampering or alteration are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(05)" - }, - { - "name": "sort-id", - "value": "pe-03.05" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-03.05_odp.01 }} to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system." - }, - { - "id": "pe-3.5_gdn", - "name": "guidance", - "prose": "Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-03.05_odp.01 }} are employed to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of security safeguards to detect/prevent physical tampering or alteration of system hardware components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes to detect/prevent physical tampering or alteration of system hardware components\n\nautomated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of system hardware components" - } - ] - } - ] - }, - { - "id": "pe-3.6", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "props": [ - { - "name": "label", - "value": "PE-03(06)" - }, - { - "name": "sort-id", - "value": "pe-03.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-3.7", - "class": "SP800-53-enhancement", - "title": "Physical Barriers", - "props": [ - { - "name": "label", - "value": "PE-03(07)" - }, - { - "name": "sort-id", - "value": "pe-03.07" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.7_smt", - "name": "statement", - "prose": "Limit access using physical barriers." - }, - { - "id": "pe-3.7_gdn", - "name": "guidance", - "prose": "Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(07)", - "class": "sp800-53A" - } - ], - "prose": "physical barriers are used to limit access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of physical barriers to limit access to the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-3.8", - "class": "SP800-53-enhancement", - "title": "Access Control Vestibules", - "params": [ - { - "id": "pe-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.8_prm_1" - }, - { - "name": "label", - "value": "PE-03(08)_ODP" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations within the facility where access control vestibules are to be employed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(08)" - }, - { - "name": "sort-id", - "value": "pe-03.08" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.8_smt", - "name": "statement", - "prose": "Employ access control vestibules at {{ insert: param, pe-03.08_odp }}." - }, - { - "id": "pe-3.8_gdn", - "name": "guidance", - "prose": "An access control vestibule is part of a physical access control system that typically provides a space between two sets of interlocking doors. Vestibules are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Interlocking door controllers can be used to limit the number of individuals who enter controlled access points and to provide containment areas while authorization for physical access is verified. Interlocking door controllers can be fully automated (i.e., controlling the opening and closing of the doors) or partially automated (i.e., using security guards to control the number of individuals entering the containment area)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(08)", - "class": "sp800-53A" - } - ], - "prose": "access control vestibules are employed at {{ insert: param, pe-03.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of access control vestibules and locations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vestibules to prevent unauthorized access." - } - ] - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission", - "params": [ - { - "id": "pe-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-4_prm_1" - }, - { - "name": "label", - "value": "PE-04_ODP[01]" - } - ], - "label": "system distribution and transmission lines", - "guidelines": [ - { - "prose": "system distribution and transmission lines requiring physical access controls are defined;" - } - ] - }, - { - "id": "pe-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-4_prm_2" - }, - { - "name": "label", - "value": "PE-04_ODP[02]" - } - ], - "label": "security controls", - "guidelines": [ - { - "prose": "security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-04" - }, - { - "name": "sort-id", - "value": "pe-04" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "Control physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities using {{ insert: param, pe-04_odp.02 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-04", - "class": "sp800-53A" - } - ], - "prose": "physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities is controlled using {{ insert: param, pe-04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing access control for transmission mediums\n\nsystem design documentation\n\nfacility communications and wiring diagrams\n\nlist of physical security safeguards applied to system distribution and transmission lines\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to distribution and transmission lines\n\nautomated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines" - } - ] - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "params": [ - { - "id": "pe-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-5_prm_1" - }, - { - "name": "label", - "value": "PE-05_ODP" - } - ], - "label": "output devices", - "guidelines": [ - { - "prose": "output devices that require physical access control to output are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-05" - }, - { - "name": "sort-id", - "value": "pe-05" - } - ], - "links": [ - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "Control physical access to output from {{ insert: param, pe-05_odp }} to prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-05", - "class": "sp800-53A" - } - ], - "prose": "physical access to output from {{ insert: param, pe-05_odp }} is controlled to prevent unauthorized individuals from obtaining the output." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing access control for display medium\n\nfacility layout of system components\n\nactual displays from system components\n\nlist of output devices and associated outputs requiring physical access controls\n\nphysical access control logs or records for areas containing output devices and related outputs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output devices" - } - ] - } - ], - "controls": [ - { - "id": "pe-5.1", - "class": "SP800-53-enhancement", - "title": "Access to Output by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "PE-05(01)" - }, - { - "name": "sort-id", - "value": "pe-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-5.2", - "class": "SP800-53-enhancement", - "title": "Link to Individual Identity", - "props": [ - { - "name": "label", - "value": "PE-05(02)" - }, - { - "name": "sort-id", - "value": "pe-05.02" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-5.2_smt", - "name": "statement", - "prose": "Link individual identity to receipt of output from output devices." - }, - { - "id": "pe-5.2_gdn", - "name": "guidance", - "prose": "Methods for linking individual identity to the receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-05(02)", - "class": "sp800-53A" - } - ], - "prose": "individual identity is linked to the receipt of output from output devices." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of output devices and associated outputs requiring physical access controls\n\nphysical access control logs or records for areas containing output devices and related outputs\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output devices" - } - ] - } - ] - }, - { - "id": "pe-5.3", - "class": "SP800-53-enhancement", - "title": "Marking Output Devices", - "props": [ - { - "name": "label", - "value": "PE-05(03)" - }, - { - "name": "sort-id", - "value": "pe-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "params": [ - { - "id": "pe-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6_prm_1" - }, - { - "name": "label", - "value": "PE-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review physical access logs is defined;" - } - ] - }, - { - "id": "pe-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6_prm_2" - }, - { - "name": "label", - "value": "PE-06_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events or potential indication of events requiring physical access logs to be reviewed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06" - }, - { - "name": "sort-id", - "value": "pe-06" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review physical access logs {{ insert: param, pe-06_odp.01 }} and upon occurrence of {{ insert: param, pe-06_odp.02 }} ; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate results of reviews and investigations with the organizational incident response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as [AU-2](#au-2) , if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06a.", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored to detect and respond to physical security incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access logs are reviewed {{ insert: param, pe-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access logs are reviewed upon occurrence of {{ insert: param, pe-06_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "results of reviews are coordinated with organizational incident response capabilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "results of investigations are coordinated with organizational incident response capabilities." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing the review of physical access logs" - } - ] - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms and Surveillance Equipment", - "props": [ - { - "name": "label", - "value": "PE-06(01)" - }, - { - "name": "sort-id", - "value": "pe-06.01" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment." - }, - { - "id": "pe-6.1_gdn", - "name": "guidance", - "prose": "Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored using physical intrusion alarms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored using physical surveillance equipment." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical intrusion alarms and surveillance equipment\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment" - } - ] - } - ] - }, - { - "id": "pe-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Intrusion Recognition and Responses", - "params": [ - { - "id": "pe-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_1" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[01]" - } - ], - "label": "classes or types of intrusions", - "guidelines": [ - { - "prose": "classes or types of intrusions to be recognized by automated mechanisms are defined;" - } - ] - }, - { - "id": "pe-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_2" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[02]" - } - ], - "label": "response actions", - "guidelines": [ - { - "prose": "response actions to be initiated by automated mechanisms when organization-defined classes or types of intrusions are recognized are defined;" - } - ] - }, - { - "id": "pe-06.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_3" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to recognize classes or types of intrusions and initiate response actions (defined in PE-06(02)_ODP) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(02)" - }, - { - "name": "sort-id", - "value": "pe-06.02" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6.2_smt", - "name": "statement", - "prose": "Recognize {{ insert: param, pe-06.02_odp.01 }} and initiate {{ insert: param, pe-06.02_odp.02 }} using {{ insert: param, pe-06.02_odp.03 }}." - }, - { - "id": "pe-6.2_gdn", - "name": "guidance", - "prose": "Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-06.02_odp.01 }} are recognized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-06.02_odp.02 }} are initiated using {{ insert: param, pe-06.02_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of response actions to be initiated when specific classes/types of intrusions are recognized\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response" - } - ] - } - ] - }, - { - "id": "pe-6.3", - "class": "SP800-53-enhancement", - "title": "Video Surveillance", - "params": [ - { - "id": "pe-06.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_1" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[01]" - } - ], - "label": "operational areas", - "guidelines": [ - { - "prose": "operational areas where video surveillance is to be employed are defined;" - } - ] - }, - { - "id": "pe-06.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_2" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review video recordings is defined;" - } - ] - }, - { - "id": "pe-06.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_3" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for which to retain video recordings is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(03)" - }, - { - "name": "sort-id", - "value": "pe-06.03" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ video surveillance of {{ insert: param, pe-06.03_odp.01 }};" - }, - { - "id": "pe-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review video recordings {{ insert: param, pe-06.03_odp.02 }} ; and" - }, - { - "id": "pe-6.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retain video recordings for {{ insert: param, pe-06.03_odp.03 }}." - } - ] - }, - { - "id": "pe-6.3_gdn", - "name": "guidance", - "prose": "Video surveillance focuses on recording activity in specified areas for the purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required, although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "video surveillance of {{ insert: param, pe-06.03_odp.01 }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "video recording are reviewed {{ insert: param, pe-06.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "video recordings are retained for {{ insert: param, pe-06.03_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nvideo surveillance equipment used to monitor operational areas\n\nvideo recordings of operational areas where video surveillance is employed\n\nvideo surveillance equipment logs or records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing video surveillance" - } - ] - } - ] - }, - { - "id": "pe-6.4", - "class": "SP800-53-enhancement", - "title": "Monitoring Physical Access to Systems", - "params": [ - { - "id": "pe-06.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.4_prm_1" - }, - { - "name": "label", - "value": "PE-06(04)_ODP" - } - ], - "label": "physical spaces", - "guidelines": [ - { - "prose": "physical spaces containing one or more components of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(04)" - }, - { - "name": "sort-id", - "value": "pe-06.04" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.4_smt", - "name": "statement", - "prose": "Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}." - }, - { - "id": "pe-6.4_gdn", - "name": "guidance", - "prose": "Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(04)", - "class": "sp800-53A" - } - ], - "prose": "physical access to the system is monitored in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\nlist of areas within the facility containing concentrations of system components or system components requiring additional physical access monitoring\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access to the system\n\nautomated mechanisms supporting and/or implementing physical access monitoring for facility areas containing system components" - } - ] - } - ] - } - ] - }, - { - "id": "pe-7", - "class": "SP800-53", - "title": "Visitor Control", - "props": [ - { - "name": "label", - "value": "PE-07" - }, - { - "name": "sort-id", - "value": "pe-07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - }, - { - "href": "#pe-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "params": [ - { - "id": "pe-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_1" - }, - { - "name": "label", - "value": "PE-08_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for which to maintain visitor access records for the facility where the system resides is defined;" - } - ] - }, - { - "id": "pe-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_2" - }, - { - "name": "label", - "value": "PE-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review visitor access records is defined;" - } - ] - }, - { - "id": "pe-08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_3" - }, - { - "name": "label", - "value": "PE-08_ODP[03]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom visitor access records anomalies are reported to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08" - }, - { - "name": "sort-id", - "value": "pe-08" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain visitor access records to the facility where the system resides for {{ insert: param, pe-08_odp.01 }};" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review visitor access records {{ insert: param, pe-08_odp.02 }} ; and" - }, - { - "id": "pe-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Report anomalies in visitor access records to {{ insert: param, pe-08_odp.03 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08a.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records for the facility where the system resides are maintained for {{ insert: param, pe-08_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08b.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are reviewed {{ insert: param, pe-08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08c.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records anomalies are reported to {{ insert: param, pe-08_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access record responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of visitor access records" - } - ] - } - ], - "controls": [ - { - "id": "pe-8.1", - "class": "SP800-53-enhancement", - "title": "Automated Records Maintenance and Review", - "params": [ - { - "id": "pe-8.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-08.01_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "pe-08.01_odp.01", - "props": [ - { - "name": "label", - "value": "PE-08(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain visitor access records are defined;" - } - ] - }, - { - "id": "pe-08.01_odp.02", - "props": [ - { - "name": "label", - "value": "PE-08(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to review visitor access records are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08(01)" - }, - { - "name": "sort-id", - "value": "pe-08.01" - } - ], - "links": [ - { - "href": "#pe-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-8.1_smt", - "name": "statement", - "prose": "Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}." - }, - { - "id": "pe-8.1_gdn", - "name": "guidance", - "prose": "Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are maintained using {{ insert: param, pe-08.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are reviewed using {{ insert: param, pe-08.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nautomated mechanisms supporting management of visitor access records\n\nvisitor access control logs or records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access record responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of visitor access records" - } - ] - } - ] - }, - { - "id": "pe-8.2", - "class": "SP800-53-enhancement", - "title": "Physical Access Records", - "props": [ - { - "name": "label", - "value": "PE-08(02)" - }, - { - "name": "sort-id", - "value": "pe-08.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "pe-08.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8.3_prm_1" - }, - { - "name": "label", - "value": "PE-08(03)_ODP" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements identified in the privacy risk assessment to limit personally identifiable information contained in visitor access logs are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08(03)" - }, - { - "name": "sort-id", - "value": "pe-08.03" - } - ], - "links": [ - { - "href": "#pe-8", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in visitor access records to the following elements identified in the privacy risk assessment: {{ insert: param, pe-08.03_odp }}." - }, - { - "id": "pe-8.3_gdn", - "name": "guidance", - "prose": "Organizations may have requirements that specify the contents of visitor access records. Limiting personally identifiable information in visitor access records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information contained in visitor access records is limited to {{ insert: param, pe-08.03_odp }} identified in the privacy risk assessment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\npersonally identifiable information processing policy\n\nprivacy risk assessment documentation\n\nprivacy impact assessment\n\nvisitor access records\n\npersonally identifiable information inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records" - } - ] - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "props": [ - { - "name": "label", - "value": "PE-09" - }, - { - "name": "sort-id", - "value": "pe-09" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "Protect power equipment and power cabling for the system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09[01]", - "class": "sp800-53A" - } - ], - "prose": "power equipment for the system is protected from damage and destruction;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09[02]", - "class": "sp800-53A" - } - ], - "prose": "power cabling for the system is protected from damage and destruction." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility to protect power equipment/cabling\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power equipment/cabling" - } - ] - } - ], - "controls": [ - { - "id": "pe-9.1", - "class": "SP800-53-enhancement", - "title": "Redundant Cabling", - "params": [ - { - "id": "pe-09.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-9.1_prm_1" - }, - { - "name": "label", - "value": "PE-09(01)_ODP" - } - ], - "label": "distance", - "guidelines": [ - { - "prose": "distance by which redundant power cabling paths are to be physically separated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-09(01)" - }, - { - "name": "sort-id", - "value": "pe-09.01" - } - ], - "links": [ - { - "href": "#pe-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-9.1_smt", - "name": "statement", - "prose": "Employ redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }}." - }, - { - "id": "pe-9.1_gdn", - "name": "guidance", - "prose": "Physically separate and redundant power cables ensure that power continues to flow in the event that one of the cables is cut or otherwise damaged." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09(01)", - "class": "sp800-53A" - } - ], - "prose": "redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }} are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility to protect power equipment/cabling\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power equipment/cabling" - } - ] - } - ] - }, - { - "id": "pe-9.2", - "class": "SP800-53-enhancement", - "title": "Automatic Voltage Controls", - "params": [ - { - "id": "pe-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-9.2_prm_1" - }, - { - "name": "label", - "value": "PE-09(02)_ODP" - } - ], - "label": "critical system components", - "guidelines": [ - { - "prose": "the critical system components that require automatic voltage controls are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-09(02)" - }, - { - "name": "sort-id", - "value": "pe-09.02" - } - ], - "links": [ - { - "href": "#pe-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-9.2_smt", - "name": "statement", - "prose": "Employ automatic voltage controls for {{ insert: param, pe-09.02_odp }}." - }, - { - "id": "pe-9.2_gdn", - "name": "guidance", - "prose": "Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09(02)", - "class": "sp800-53A" - } - ], - "prose": "automatic voltage controls for {{ insert: param, pe-09.02_odp }} are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing voltage control\n\nsecurity plan\n\nlist of critical system components requiring automatic voltage controls\n\nautomatic voltage control mechanisms and associated configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for environmental protection of system components\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing automatic voltage controls" - } - ] - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "params": [ - { - "id": "pe-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-10_prm_1" - }, - { - "name": "label", - "value": "PE-10_ODP[01]" - } - ], - "label": "system or individual system components", - "guidelines": [ - { - "prose": "system or individual system components that require the capability to shut off power in emergency situations is/are defined;" - } - ] - }, - { - "id": "pe-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-10_prm_2" - }, - { - "name": "label", - "value": "PE-10_ODP[02]" - } - ], - "label": "location", - "guidelines": [ - { - "prose": "location of emergency shutoff switches or devices by system or system component are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "pe-10" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the capability of shutting off power to {{ insert: param, pe-10_odp.01 }} in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Place emergency shutoff switches or devices in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(a)", - "class": "sp800-53A" - } - ], - "prose": "the capability to shut off power to {{ insert: param, pe-10_odp.01 }} in emergency situations is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(b)", - "class": "sp800-53A" - } - ], - "prose": "emergency shutoff switches or devices are placed in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(c)", - "class": "sp800-53A" - } - ], - "prose": "the emergency power shutoff capability is protected from unauthorized activation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power source emergency shutoff\n\nemergency shutoff controls or switches\n\nlocations housing emergency shutoff switches and devices\n\nsecurity safeguards protecting the emergency power shutoff capability from unauthorized activation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability)\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency power shutoff" - } - ] - } - ], - "controls": [ - { - "id": "pe-10.1", - "class": "SP800-53-enhancement", - "title": "Accidental and Unauthorized Activation", - "props": [ - { - "name": "label", - "value": "PE-10(01)" - }, - { - "name": "sort-id", - "value": "pe-10.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-10", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "params": [ - { - "id": "pe-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11_prm_1" - }, - { - "name": "label", - "value": "PE-11_ODP" - } - ], - "select": { - "choice": [ - "an orderly shutdown of the system", - "transition of the system to long-term alternate power" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "pe-11" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "prose": "An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11", - "class": "sp800-53A" - } - ], - "prose": "an uninterruptible power supply is provided to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nuninterruptible power supply\n\nuninterruptible power supply documentation\n\nuninterruptible power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing uninterruptible power supply\n\nthe uninterruptable power supply" - } - ] - } - ], - "controls": [ - { - "id": "pe-11.1", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply \u2014 Minimal Operational Capability", - "params": [ - { - "id": "pe-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.1_prm_1" - }, - { - "name": "label", - "value": "PE-11(01)_ODP" - } - ], - "select": { - "choice": [ - "manually", - "automatically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(01)" - }, - { - "name": "sort-id", - "value": "pe-11.01" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-11.1_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.01_odp }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source." - }, - { - "id": "pe-11.1_gdn", - "name": "guidance", - "prose": "Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an alternate power supply provided for the system is activated {{ insert: param, pe-11.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system can maintain minimally required operational capability in the event of an extended loss of the primary power source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nalternate power supply\n\nalternate power supply documentation\n\nalternate power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate power supply\n\nthe alternate power supply" - } - ] - } - ] - }, - { - "id": "pe-11.2", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply \u2014 Self-contained", - "params": [ - { - "id": "pe-11.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.2_prm_1" - }, - { - "name": "label", - "value": "PE-11(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "manually", - "automatically" - ] - } - }, - { - "id": "pe-11.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.2_prm_2" - }, - { - "name": "label", - "value": "PE-11(02)_ODP[02]" - } - ], - "select": { - "choice": [ - "minimally required operational capability", - "full operational capability" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(02)" - }, - { - "name": "sort-id", - "value": "pe-11.02" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-11.2_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.02_odp.01 }} and that is:", - "parts": [ - { - "id": "pe-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Self-contained;" - }, - { - "id": "pe-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Not reliant on external power generation; and" - }, - { - "id": "pe-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "id": "pe-11.2_gdn", - "name": "guidance", - "prose": "The provision of a long-term, self-contained power supply can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)", - "class": "sp800-53A" - } - ], - "prose": "an alternate power supply provided for the system is activated {{ insert: param, pe-11.02_odp.01 }};", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is self-contained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is not reliant on external power generation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(c)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nalternate power supply\n\nalternate power supply documentation\n\nalternate power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate power supply\n\nthe alternate power supply" - } - ] - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "props": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[01]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting that activates in the event of a power outage or disruption is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[02]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting that activates in the event of a power outage or disruption is maintained for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[03]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting for the system covers emergency exits within the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[04]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting for the system covers evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency lighting and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the emergency lighting capability" - } - ] - } - ], - "controls": [ - { - "id": "pe-12.1", - "class": "SP800-53-enhancement", - "title": "Essential Mission and Business Functions", - "props": [ - { - "name": "label", - "value": "PE-12(01)" - }, - { - "name": "sort-id", - "value": "pe-12.01" - } - ], - "links": [ - { - "href": "#pe-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-12.1_smt", - "name": "statement", - "prose": "Provide emergency lighting for all areas within the facility supporting essential mission and business functions." - }, - { - "id": "pe-12.1_gdn", - "name": "guidance", - "prose": "Organizations define their essential missions and functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12(01)", - "class": "sp800-53A" - } - ], - "prose": "emergency lighting is provided for all areas within the facility supporting essential mission and business functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nareas/locations within facility supporting essential missions and business functions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency lighting and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the emergency lighting capability" - } - ] - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "props": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "Employ and maintain fire detection and suppression systems that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[01]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems are employed by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[02]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems are maintained by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[03]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems are employed by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[04]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems are maintained by an independent energy source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems" - } - ] - } - ], - "controls": [ - { - "id": "pe-13.1", - "class": "SP800-53-enhancement", - "title": "Detection Systems \u2014 Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.1_prm_1" - }, - { - "name": "label", - "value": "PE-13(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified in the event of a fire is/are defined;" - } - ] - }, - { - "id": "pe-13.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.1_prm_2" - }, - { - "name": "label", - "value": "PE-13(01)_ODP[02]" - } - ], - "label": "emergency responders", - "guidelines": [ - { - "prose": "emergency responders to be notified in the event of a fire are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(01)" - }, - { - "name": "sort-id", - "value": "pe-13.01" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.1_smt", - "name": "statement", - "prose": "Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.01_odp.01 }} and {{ insert: param, pe-13.01_odp.02 }} in the event of a fire." - }, - { - "id": "pe-13.1_gdn", - "name": "guidance", - "prose": "Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that activate automatically are employed in the event of a fire;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that notify {{ insert: param, pe-13.01_odp.01 }} automatically are employed in the event of a fire;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that notify {{ insert: param, pe-13.01_odp.02 }} automatically are employed in the event of a fire." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\nalerts/notifications of fire events\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire detection devices/systems\n\nactivation of fire detection devices/systems (simulated)\n\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Systems \u2014 Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.2_prm_1" - }, - { - "name": "label", - "value": "PE-13(02)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified in the event of a fire is/are defined;" - } - ] - }, - { - "id": "pe-13.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.2_prm_2" - }, - { - "name": "label", - "value": "PE-13(02)_ODP[02]" - } - ], - "label": "emergency responders", - "guidelines": [ - { - "prose": "emergency responders to be notified in the event of a fire are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(02)" - }, - { - "name": "sort-id", - "value": "pe-13.02" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-13.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.02_odp.01 }} and {{ insert: param, pe-13.02_odp.02 }} ; and" - }, - { - "id": "pe-13.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis." - } - ] - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that activate automatically are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that notify {{ insert: param, pe-13.02_odp.01 }} automatically are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that notify {{ insert: param, pe-13.02_odp.02 }} automatically are employed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression devices/systems\n\nactivation of fire suppression devices/systems (simulated)\n\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "props": [ - { - "name": "label", - "value": "PE-13(03)" - }, - { - "name": "sort-id", - "value": "pe-13.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-13.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-13.4", - "class": "SP800-53-enhancement", - "title": "Inspections", - "params": [ - { - "id": "pe-13.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.4_prm_1" - }, - { - "name": "label", - "value": "PE-13(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for conducting fire protection inspections on the facility is defined;" - } - ] - }, - { - "id": "pe-13.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.4_prm_2" - }, - { - "name": "label", - "value": "PE-13(04)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for resolving deficiencies identified by fire protection inspections is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(04)" - }, - { - "name": "sort-id", - "value": "pe-13.04" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.4_smt", - "name": "statement", - "prose": "Ensure that the facility undergoes {{ insert: param, pe-13.04_odp.01 }} fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within {{ insert: param, pe-13.04_odp.02 }}." - }, - { - "id": "pe-13.4_gdn", - "name": "guidance", - "prose": "Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the facility undergoes fire protection inspections {{ insert: param, pe-13.04_odp.01 }} by authorized and qualified inspectors;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the identified deficiencies from fire protection inspections are resolved within {{ insert: param, pe-13.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfacility housing the system\n\ninspection plans\n\ninspection results\n\ninspect reports\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for planning, approving, and executing fire inspections\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Environmental Controls", - "params": [ - { - "id": "pe-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_1" - }, - { - "name": "label", - "value": "PE-14_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "temperature", - "humidity", - "pressure", - "radiation", - " {{ insert: param, pe-14_odp.02 }} " - ] - } - }, - { - "id": "pe-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_2" - }, - { - "name": "label", - "value": "PE-14_ODP[02]" - } - ], - "label": "environmental control", - "guidelines": [ - { - "prose": "environmental control levels to be maintained in the facility where the system resides are defined (if selected);" - } - ] - }, - { - "id": "pe-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_3" - }, - { - "name": "label", - "value": "PE-14_ODP[03]" - } - ], - "label": "acceptable levels", - "guidelines": [ - { - "prose": "acceptable levels for environmental controls are defined;" - } - ] - }, - { - "id": "pe-14_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_4" - }, - { - "name": "label", - "value": "PE-14_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to monitor environmental control levels is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain {{ insert: param, pe-14_odp.01 }} levels within the facility where the system resides at {{ insert: param, pe-14_odp.03 }} ; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitor environmental control levels {{ insert: param, pe-14_odp.04 }}." - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-14_odp.01 }} levels are maintained at {{ insert: param, pe-14_odp.03 }} within the facility where the system resides;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14b.", - "class": "sp800-53A" - } - ], - "prose": "environmental control levels are monitored {{ insert: param, pe-14_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\ntemperature and humidity controls\n\nfacility housing the system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels" - } - ] - } - ], - "controls": [ - { - "id": "pe-14.1", - "class": "SP800-53-enhancement", - "title": "Automatic Controls", - "params": [ - { - "id": "pe-14.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14.1_prm_1" - }, - { - "name": "label", - "value": "PE-14(01)_ODP" - } - ], - "label": "automatic environmental controls", - "guidelines": [ - { - "prose": "automatic environmental controls to prevent fluctuations that are potentially harmful to the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(01)" - }, - { - "name": "sort-id", - "value": "pe-14.01" - } - ], - "links": [ - { - "href": "#pe-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-14.1_smt", - "name": "statement", - "prose": "Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: {{ insert: param, pe-14.01_odp }}." - }, - { - "id": "pe-14.1_gdn", - "name": "guidance", - "prose": "The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-14.01_odp }} are employed in the facility to prevent fluctuations that are potentially harmful to the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity controls\n\nfacility housing the system\n\nautomated mechanisms for temperature and humidity\n\ntemperature and humidity controls\n\ntemperature and humidity documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity levels" - } - ] - } - ] - }, - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms and Notifications", - "params": [ - { - "id": "pe-14.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14.2_prm_1" - }, - { - "name": "label", - "value": "PE-14(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified by environmental control monitoring when environmental changes are potentially harmful to personnel or equipment is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(02)" - }, - { - "name": "sort-id", - "value": "pe-14.02" - } - ], - "links": [ - { - "href": "#pe-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.02_odp }}." - }, - { - "id": "pe-14.2_gdn", - "name": "guidance", - "prose": "The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "environmental control monitoring is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the environmental control monitoring capability provides an alarm or notification to {{ insert: param, pe-14.02_odp }} when changes are potentially harmful to personnel or equipment." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity monitoring\n\nfacility housing the system\n\nlogs or records of temperature and humidity monitoring\n\nrecords of changes to temperature and humidity levels that generate alarms or notifications\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "props": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is protected from damage resulting from water leakage by providing master shutoff or isolation valves;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[02]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are accessible;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[03]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are working properly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[04]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are known to key personnel." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\n\norganizational process for activating master water shutoff" - } - ] - } - ], - "controls": [ - { - "id": "pe-15.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "pe-15.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-15.1_prm_1" - }, - { - "name": "label", - "value": "PE-15(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when the presence of water is detected near the system is/are defined;" - } - ] - }, - { - "id": "pe-15.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-15.1_prm_2" - }, - { - "name": "label", - "value": "PE-15(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of water near the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-15(01)" - }, - { - "name": "sort-id", - "value": "pe-15.01" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-15.1_smt", - "name": "statement", - "prose": "Detect the presence of water near the system and alert {{ insert: param, pe-15.01_odp.01 }} using {{ insert: param, pe-15.01_odp.02 }}." - }, - { - "id": "pe-15.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include notification systems, water detection sensors, and alarms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the presence of water near the system can be detected automatically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-15.01_odp.01 }} is/are alerted using {{ insert: param, pe-15.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the system\n\nautomated mechanisms for water shutoff valves\n\nautomated mechanisms for detecting the presence of water in the vicinity of the system\n\nalerts/notifications of water detection in system facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing water detection capabilities and alerts for the system" - } - ] - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "params": [ - { - "id": "pe-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-16_odp.01" - } - ], - "label": "organization-defined types of system components" - }, - { - "id": "pe-16_odp.01", - "props": [ - { - "name": "label", - "value": "PE-16_ODP[01]" - } - ], - "label": "types of system components", - "guidelines": [ - { - "prose": "types of system components to be authorized and controlled when entering the facility are defined;" - } - ] - }, - { - "id": "pe-16_odp.02", - "props": [ - { - "name": "label", - "value": "PE-16_ODP[02]" - } - ], - "label": "types of system components", - "guidelines": [ - { - "prose": "types of system components to be authorized and controlled when exiting the facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "parts": [ - { - "id": "pe-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize and control {{ insert: param, pe-16_prm_1 }} entering and exiting the facility; and" - }, - { - "id": "pe-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain records of the system components." - } - ] - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.01 }} are authorized when entering the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.01 }} are controlled when entering the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.02 }} are authorized when exiting the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.02 }} are controlled when exiting the facility;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16b.", - "class": "sp800-53A" - } - ], - "prose": "records of the system components are maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing the delivery and removal of system components from the facility\n\nfacility housing the system\n\nrecords of items entering and exiting the facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling system components entering and exiting the facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility" - } - ] - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "params": [ - { - "id": "pe-17_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-17_prm_1" - }, - { - "name": "label", - "value": "PE-17_ODP[01]" - } - ], - "label": "alternate work sites", - "guidelines": [ - { - "prose": "alternate work sites allowed for use by employees are defined;" - } - ] - }, - { - "id": "pe-17_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-17_prm_2" - }, - { - "name": "label", - "value": "PE-17_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed at alternate work sites are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "pe-17" - } - ], - "links": [ - { - "href": "#83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pe-17_odp.01 }} allowed for use by employees;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls at alternate work sites: {{ insert: param, pe-17_odp.02 }};" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the effectiveness of controls at alternate work sites; and" - }, - { - "id": "pe-17_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a means for employees to communicate with information security and privacy personnel in case of incidents." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-17_odp.01 }} are determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-17_odp.02 }} are employed at alternate work sites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17c.", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of controls at alternate work sites is assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17d.", - "class": "sp800-53A" - } - ], - "prose": "a means for employees to communicate with information security and privacy personnel in case of incidents is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing alternate work sites for organizational personnel\n\nlist of security controls required for alternate work sites\n\nassessments of security controls at alternate work sites\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel approving the use of alternate work sites\n\norganizational personnel using alternate work sites\n\norganizational personnel assessing controls at alternate work sites\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy at alternate work sites\n\nautomated mechanisms supporting alternate work sites\n\nsecurity and privacy controls employed at alternate work sites\n\nmeans of communication between personnel at alternate work sites and security and privacy personnel" - } - ] - } - ] - }, - { - "id": "pe-18", - "class": "SP800-53", - "title": "Location of System Components", - "params": [ - { - "id": "pe-18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-18_prm_1" - }, - { - "name": "label", - "value": "PE-18_ODP" - } - ], - "label": "physical and environmental hazards", - "guidelines": [ - { - "prose": "physical and environmental hazards that could result in potential damage to system components within the facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-18" - }, - { - "name": "sort-id", - "value": "pe-18" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-18_smt", - "name": "statement", - "prose": "Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access." - }, - { - "id": "pe-18_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-18", - "class": "sp800-53A" - } - ], - "prose": "system components are positioned within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing the positioning of system components\n\ndocumentation providing the location and position of system components within the facility\n\nlocations housing system components within the facility\n\nlist of physical and environmental hazards with the potential to damage system components within the facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for positioning system components\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for positioning system components" - } - ] - } - ], - "controls": [ - { - "id": "pe-18.1", - "class": "SP800-53-enhancement", - "title": "Facility Site", - "props": [ - { - "name": "label", - "value": "PE-18(01)" - }, - { - "name": "sort-id", - "value": "pe-18.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-23", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "pe-19", - "class": "SP800-53", - "title": "Information Leakage", - "props": [ - { - "name": "label", - "value": "PE-19" - }, - { - "name": "sort-id", - "value": "pe-19" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-19_smt", - "name": "statement", - "prose": "Protect the system from information leakage due to electromagnetic signals emanations." - }, - { - "id": "pe-19_gdn", - "name": "guidance", - "prose": "Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19", - "class": "sp800-53A" - } - ], - "prose": "the system is protected from information leakage due to electromagnetic signal emanations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing information leakage due to electromagnetic signal emanations\n\nmechanisms protecting the system against electronic signal emanations\n\nfacility housing the system\n\nrecords from electromagnetic signal emanation tests\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signal emanations" - } - ] - } - ], - "controls": [ - { - "id": "pe-19.1", - "class": "SP800-53-enhancement", - "title": "National Emissions Policies and Procedures", - "props": [ - { - "name": "label", - "value": "PE-19(01)" - }, - { - "name": "sort-id", - "value": "pe-19.01" - } - ], - "links": [ - { - "href": "#pe-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-19.1_smt", - "name": "statement", - "prose": "Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information." - }, - { - "id": "pe-19.1_gdn", - "name": "guidance", - "prose": "Emissions Security (EMSEC) policies include the former TEMPEST policies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "system components are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "associated data communications are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "networks are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-19(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures\n\nsystem component design documentation\n\nsystem configuration settings and associated documentation system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-19(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-19(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system components for compliance with national emissions and TEMPEST policies and procedures" - } - ] - } - ] - } - ] - }, - { - "id": "pe-20", - "class": "SP800-53", - "title": "Asset Monitoring and Tracking", - "params": [ - { - "id": "pe-20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_1" - }, - { - "name": "label", - "value": "PE-20_ODP[01]" - } - ], - "label": "asset location technologies", - "guidelines": [ - { - "prose": "asset location technologies to be employed to track and monitor the location and movement of assets is defined;" - } - ] - }, - { - "id": "pe-20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_2" - }, - { - "name": "label", - "value": "PE-20_ODP[02]" - } - ], - "label": "assets", - "guidelines": [ - { - "prose": "assets whose location and movement are to be tracked and monitored are defined;" - } - ] - }, - { - "id": "pe-20_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_3" - }, - { - "name": "label", - "value": "PE-20_ODP[03]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which asset location and movement are to be tracked and monitored are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-20" - }, - { - "name": "sort-id", - "value": "pe-20" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-20_odp.01 }} to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}." - }, - { - "id": "pe-20_gdn", - "name": "guidance", - "prose": "Asset location technologies can help ensure that critical assets\u2014including vehicles, equipment, and system components\u2014remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-20", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-20_odp.01 }} are employed to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing asset monitoring and tracking\n\ndocumentation showing the use of asset location technologies\n\nsystem configuration documentation\n\nlist of organizational assets requiring tracking and monitoring\n\nasset monitoring and tracking records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with asset monitoring and tracking responsibilities\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking and monitoring assets\n\nautomated mechanisms supporting and/or implementing the tracking and monitoring of assets" - } - ] - } - ] - }, - { - "id": "pe-21", - "class": "SP800-53", - "title": "Electromagnetic Pulse Protection", - "params": [ - { - "id": "pe-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-21_prm_1" - }, - { - "name": "label", - "value": "PE-21_ODP[01]" - } - ], - "label": "protective measures", - "guidelines": [ - { - "prose": "protective measures to be employed against electromagnetic pulse damage are defined;" - } - ] - }, - { - "id": "pe-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-21_prm_2" - }, - { - "name": "label", - "value": "PE-21_ODP[02]" - } - ], - "label": "system and system components", - "guidelines": [ - { - "prose": "system and system components requiring protection against electromagnetic pulse damage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-21" - }, - { - "name": "sort-id", - "value": "pe-21" - } - ], - "links": [ - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-21_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-21_odp.01 }} against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}." - }, - { - "id": "pe-21_gdn", - "name": "guidance", - "prose": "An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding. EMP protection may be especially significant for systems and applications that are part of the U.S. critical infrastructure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-21", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-21_odp.01 }} are employed against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing protective measures to mitigate EMP risk to systems and components\n\ndocumentation detailing protective measures to mitigate EMP risk\n\nlist of locations where protective measures to mitigate EMP risk are implemented\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for physical and environmental protection\n\nsystem developers/integrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms for mitigating EMP risk" - } - ] - } - ] - }, - { - "id": "pe-22", - "class": "SP800-53", - "title": "Component Marking", - "params": [ - { - "id": "pe-22_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-22_prm_1" - }, - { - "name": "label", - "value": "PE-22_ODP" - } - ], - "label": "system hardware components", - "guidelines": [ - { - "prose": "system hardware components to be marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-22" - }, - { - "name": "sort-id", - "value": "pe-22" - } - ], - "links": [ - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-22_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-22_odp }} indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "id": "pe-22_gdn", - "name": "guidance", - "prose": "Hardware components that may require marking include input and output devices. Input devices include desktop and notebook computers, keyboards, tablets, and smart phones. Output devices include printers, monitors/video displays, facsimile machines, scanners, copiers, and audio devices. Permissions controlling output to the output devices are addressed in [AC-3](#ac-3) or [AC-4](#ac-4) . Components are marked to indicate the impact level or classification level of the system to which the devices are connected, or the impact level or classification level of the information permitted to be output. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal system data structures. Security marking is generally not required for hardware components that process, store, or transmit information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components that process, store, or transmit public information in order to indicate that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-22", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-22_odp }} are marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing component marking\n\nlist of component marking security attributes\n\ncomponent inventory\n\ninformation types and their impact/classification level\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component marking responsibilities\n\norganizational personnel with component inventory responsibilities\n\norganizational personnel with information categorization/classification responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for component marking\n\nautomated mechanisms supporting and/or implementing component marking" - } - ] - } - ] - }, - { - "id": "pe-23", - "class": "SP800-53", - "title": "Facility Location", - "props": [ - { - "name": "label", - "value": "PE-23" - }, - { - "name": "sort-id", - "value": "pe-23" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-23_smt", - "name": "statement", - "parts": [ - { - "id": "pe-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Plan the location or site of the facility where the system resides considering physical and environmental hazards; and" - }, - { - "id": "pe-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy." - } - ] - }, - { - "id": "pe-23_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in [PE-18](#pe-18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23a.", - "class": "sp800-53A" - } - ], - "prose": "the location or site of the facility where the system resides is planned considering physical and environmental hazards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23b.", - "class": "sp800-53A" - } - ], - "prose": "for existing facilities, physical and environmental hazards are considered in the organizational risk management strategy." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nphysical site planning documents\n\norganizational assessment of risk\n\ncontingency plan\n\nrisk mitigation strategy documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with site selection responsibilities for the facility housing the system\n\norganizational personnel with risk mitigation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for site planning" - } - ] - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pl-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pl-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-01_odp.01", - "props": [ - { - "name": "label", - "value": "PL-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the planning policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pl-01_odp.02", - "props": [ - { - "name": "label", - "value": "PL-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the planning procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pl-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_2" - }, - { - "name": "label", - "value": "PL-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pl-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_3" - }, - { - "name": "label", - "value": "PL-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the planning policy and procedures is defined;" - } - ] - }, - { - "id": "pl-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_4" - }, - { - "name": "label", - "value": "PL-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current planning policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pl-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_5" - }, - { - "name": "label", - "value": "PL-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current planning policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pl-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_6" - }, - { - "name": "label", - "value": "PL-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current planning procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pl-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_7" - }, - { - "name": "label", - "value": "PL-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-01" - }, - { - "name": "sort-id", - "value": "pl-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pl-01_odp.03 }} planning policy that:", - "parts": [ - { - "id": "pl-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the planning policy and the associated planning controls;" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pl-01_odp.04 }} to manage the development, documentation, and dissemination of the planning policy and procedures; and" - }, - { - "id": "pl-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current planning:", - "parts": [ - { - "id": "pl-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pl-01_odp.05 }} and following {{ insert: param, pl-01_odp.06 }} ; and" - }, - { - "id": "pl-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pl-01_odp.07 }} and following {{ insert: param, pl-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a planning policy is developed and documented." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the planning policy is disseminated to {{ insert: param, pl-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the planning procedures are disseminated to {{ insert: param, pl-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the planning policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current planning policy is reviewed and updated {{ insert: param, pl-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current planning policy is reviewed and updated following {{ insert: param, pl-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current planning procedures are reviewed and updated {{ insert: param, pl-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current planning procedures are reviewed and updated following {{ insert: param, pl-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security and Privacy Plans", - "params": [ - { - "id": "pl-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_1" - }, - { - "name": "label", - "value": "PL-02_ODP[01]" - } - ], - "label": "individuals or groups", - "guidelines": [ - { - "prose": "individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned;" - } - ] - }, - { - "id": "pl-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_2" - }, - { - "name": "label", - "value": "PL-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles for distributed copies of the system security and privacy plans is/are assigned;" - } - ] - }, - { - "id": "pl-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_3" - }, - { - "name": "label", - "value": "PL-02_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency to review system security and privacy plans is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-02" - }, - { - "name": "sort-id", - "value": "pl-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy plans for the system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are consistent with the organization\u2019s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Explicitly define the constituent system components;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Describe the operational context of the system in terms of mission and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Identify the individuals that fulfill system roles and responsibilities;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Identify the information types processed, stored, and transmitted by the system;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Provide the security categorization of the system, including supporting rationale;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Describe any specific threats to the system that are of concern to the organization;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "08." - } - ], - "prose": "Provide the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "09." - } - ], - "prose": "Describe the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "id": "pl-2_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Provide an overview of the security and privacy requirements for the system;" - }, - { - "id": "pl-2_smt.a.11", - "name": "item", - "props": [ - { - "name": "label", - "value": "11." - } - ], - "prose": "Identify any relevant control baselines or overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.12", - "name": "item", - "props": [ - { - "name": "label", - "value": "12." - } - ], - "prose": "Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;" - }, - { - "id": "pl-2_smt.a.13", - "name": "item", - "props": [ - { - "name": "label", - "value": "13." - } - ], - "prose": "Include risk determinations for security and privacy architecture and design decisions;" - }, - { - "id": "pl-2_smt.a.14", - "name": "item", - "props": [ - { - "name": "label", - "value": "14." - } - ], - "prose": "Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }} ; and" - }, - { - "id": "pl-2_smt.a.15", - "name": "item", - "props": [ - { - "name": "label", - "value": "15." - } - ], - "prose": "Are reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, pl-02_odp.02 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the plans {{ insert: param, pl-02_odp.03 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the plans from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). [Section 2.1](#c3397cc9-83c6-4459-adb2-836739dc1b94) describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls.\n\nOrganizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented.\n\nSecurity and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide\u2014explicitly or by reference\u2014sufficient information to define what needs to be accomplished by those plans.\n\nSecurity- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that is consistent with the organization\u2019s enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that is consistent with the organization\u2019s enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that explicitly defines the constituent system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that explicitly defines the constituent system components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides the security categorization of the system, including supporting rationale;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides an overview of the security requirements for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides an overview of the privacy requirements for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that includes risk determinations for security architecture and design decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the plans were distributed to {{ insert: param, pl-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "subsequent changes to the plans are communicated to {{ insert: param, pl-02_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02c.", - "class": "sp800-53A" - } - ], - "prose": "plans are reviewed {{ insert: param, pl-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[01]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address changes to the system and environment of operations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[02]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address problems identified during the plan implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[03]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address problems identified during control assessments;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02e.", - "class": "sp800-53A" - } - ], - "prose": "plans are protected from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nprocedures addressing security and privacy plan reviews and updates\n\nenterprise architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nrecords of system security and privacy plan reviews and updates\n\nsecurity and privacy architecture and design documentation\n\nrisk assessments\n\nrisk assessment results\n\ncontrol assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system security and privacy planning and plan implementation responsibilities\n\nsystem developers\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system security and privacy plan development, review, update, and approval\n\nautomated mechanisms supporting the system security and privacy plan" - } - ] - } - ], - "controls": [ - { - "id": "pl-2.1", - "class": "SP800-53-enhancement", - "title": "Concept of Operations", - "props": [ - { - "name": "label", - "value": "PL-02(01)" - }, - { - "name": "sort-id", - "value": "pl-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.2", - "class": "SP800-53-enhancement", - "title": "Functional Architecture", - "props": [ - { - "name": "label", - "value": "PL-02(02)" - }, - { - "name": "sort-id", - "value": "pl-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan and Coordinate with Other Organizational Entities", - "props": [ - { - "name": "label", - "value": "PL-02(03)" - }, - { - "name": "sort-id", - "value": "pl-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pl-3", - "class": "SP800-53", - "title": "System Security Plan Update", - "props": [ - { - "name": "label", - "value": "PL-03" - }, - { - "name": "sort-id", - "value": "pl-03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "params": [ - { - "id": "pl-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_1" - }, - { - "name": "label", - "value": "PL-04_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for reviewing and updating the rules of behavior is defined;" - } - ] - }, - { - "id": "pl-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_2" - }, - { - "name": "label", - "value": "PL-04_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pl-04_odp.03 }} ", - "when the rules are revised or updated" - ] - } - }, - { - "id": "pl-04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_3" - }, - { - "name": "label", - "value": "PL-04_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for individuals to read and re-acknowledge the rules of behavior is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-04" - }, - { - "name": "sort-id", - "value": "pl-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the rules of behavior {{ insert: param, pl-04_odp.01 }} ; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-04_odp.02 }}." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see [PS-6](#ps-6) ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in [AC-8](#ac-8) . The related controls section provides a list of controls that are relevant to organizational rules of behavior. [PL-4b](#pl-4_smt.b) , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04b.", - "class": "sp800-53A" - } - ], - "prose": "before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04c.", - "class": "sp800-53A" - } - ], - "prose": "rules of behavior are reviewed and updated {{ insert: param, pl-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04d.", - "class": "sp800-53A" - } - ], - "prose": "individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge {{ insert: param, pl-04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing rules of behavior for system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\n\norganizational personnel with responsibility for literacy training and awareness and role-based training\n\norganizational personnel who are authorized users of the system and have signed and resigned rules of behavior\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior" - } - ] - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and External Site/application Usage Restrictions", - "props": [ - { - "name": "label", - "value": "PL-04(01)" - }, - { - "name": "sort-id", - "value": "pl-04.01" - } - ], - "links": [ - { - "href": "#pl-4", - "rel": "required" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "Include in the rules of behavior, restrictions on:", - "parts": [ - { - "id": "pl-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Use of social media, social networking sites, and external sites/applications;" - }, - { - "id": "pl-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Posting organizational information on public websites; and" - }, - { - "id": "pl-4.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications." - } - ] - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on the use of social media, social networking sites, and external sites/applications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on posting organizational information on public websites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on the use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing rules of behavior for system users\n\nrules of behavior\n\ntraining policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\n\norganizational personnel with responsibility for literacy training and awareness and role-based training\n\norganizational personnel who are authorized users of the system and have signed rules of behavior\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment of rules of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "pl-5", - "class": "SP800-53", - "title": "Privacy Impact Assessment", - "props": [ - { - "name": "label", - "value": "PL-05" - }, - { - "name": "sort-id", - "value": "pl-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-6", - "class": "SP800-53", - "title": "Security-related Activity Planning", - "props": [ - { - "name": "label", - "value": "PL-06" - }, - { - "name": "sort-id", - "value": "pl-06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-7", - "class": "SP800-53", - "title": "Concept of Operations", - "params": [ - { - "id": "pl-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-7_prm_1" - }, - { - "name": "label", - "value": "PL-07_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for review and update of the Concept of Operations (CONOPS) is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-07" - }, - { - "name": "sort-id", - "value": "pl-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-7_smt", - "name": "statement", - "parts": [ - { - "id": "pl-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and" - }, - { - "id": "pl-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the CONOPS {{ insert: param, pl-07_odp }}." - } - ] - }, - { - "id": "pl-7_gdn", - "name": "guidance", - "prose": "The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other organizational documents, such as procurement specifications, system development life cycle documents, and systems engineering documents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07a.", - "class": "sp800-53A" - } - ], - "prose": "a CONOPS for the system describing how the organization intends to operate the system from the perspective of information security and privacy is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07b.", - "class": "sp800-53A" - } - ], - "prose": "a CONOPS is reviewed and updated {{ insert: param, pl-07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing security and privacy CONOPS development\n\nprocedures addressing security and privacy CONOPS reviews and updates\n\nsecurity and privacy CONOPS for the system\n\nsystem security plan\n\nprivacy plan\n\nrecords of security and privacy CONOPS reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the security CONOPS\n\nautomated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS" - } - ] - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Security and Privacy Architectures", - "params": [ - { - "id": "pl-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8_prm_1" - }, - { - "name": "label", - "value": "PL-08_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for review and update to reflect changes in the enterprise architecture;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08" - }, - { - "name": "sort-id", - "value": "pl-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy architectures for the system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Describe how the architectures are integrated into and support the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Describe any assumptions about, and dependencies on, external systems and services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the architectures {{ insert: param, pl-08_odp }} to reflect changes in the enterprise architecture; and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions." - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in [PM-7](#pm-7) , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs.\n\n[SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03](#c5e11048-1d38-4af3-b00b-0d88dc26860c) requires the use of the systems security engineering concepts described in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews).\n\nIn today\u2019s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures.\n\n[PL-8](#pl-8) is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, [SA-17](#sa-17) is primarily directed at the external information technology product and system developers and integrators. [SA-17](#sa-17) , which is complementary to [PL-8](#pl-8) , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization\u2019s enterprise architecture and security and privacy architectures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.01", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.02", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture describes the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes any assumptions about and dependencies on external systems and services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture for the system describes any assumptions about and dependencies on external systems and services;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08b.", - "class": "sp800-53A" - } - ], - "prose": "changes in the enterprise architecture are reviewed and updated {{ insert: param, pl-08_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[01]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the security plan are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[02]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the privacy plan are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[03]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the Concept of Operations (CONOPS) are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[04]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in criticality analysis are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[05]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in organizational procedures are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[06]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in procurements and acquisitions are reflected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nprocedures addressing information security and privacy architecture reviews and updates\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nrecords of information security and privacy architecture reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the information security and privacy architecture\n\nautomated mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture" - } - ] - } - ], - "controls": [ - { - "id": "pl-8.1", - "class": "SP800-53-enhancement", - "title": "Defense in Depth", - "params": [ - { - "id": "pl-08.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.1_prm_1" - }, - { - "name": "label", - "value": "PL-08(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be allocated are defined;" - } - ] - }, - { - "id": "pl-08.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.1_prm_2" - }, - { - "name": "label", - "value": "PL-08(01)_ODP[02]" - } - ], - "label": "locations and architectural layers", - "guidelines": [ - { - "prose": "locations and architectural layers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08(01)" - }, - { - "name": "sort-id", - "value": "pl-08.01" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.1_smt", - "name": "statement", - "prose": "Design the security and privacy architectures for the system using a defense-in-depth approach that:", - "parts": [ - { - "id": "pl-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }} ; and" - }, - { - "id": "pl-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - }, - { - "id": "pl-8.1_gdn", - "name": "guidance", - "prose": "Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; it also increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse, unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity that requires thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see [SA-8(3)](#sa-8.3) ), separation of system and user functionality (see [SC-2](#sc-2) ), and security function isolation (see [SC-3](#sc-3))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the security architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the security architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for designing the information security and privacy architecture\n\nautomated mechanisms supporting and/or implementing the design of the information security and privacy architecture" - } - ] - } - ] - }, - { - "id": "pl-8.2", - "class": "SP800-53-enhancement", - "title": "Supplier Diversity", - "params": [ - { - "id": "pl-08.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.2_prm_1" - }, - { - "name": "label", - "value": "PL-08(02)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be allocated are defined;" - } - ] - }, - { - "id": "pl-08.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.2_prm_2" - }, - { - "name": "label", - "value": "PL-08(02)_ODP[02]" - } - ], - "label": "locations and architectural layers", - "guidelines": [ - { - "prose": "locations and architectural layers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08(02)" - }, - { - "name": "sort-id", - "value": "pl-08.02" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "required" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.2_smt", - "name": "statement", - "prose": "Require that {{ insert: param, pl-08.02_odp.01 }} allocated to {{ insert: param, pl-08.02_odp.02 }} are obtained from different suppliers." - }, - { - "id": "pl-8.2_gdn", - "name": "guidance", - "prose": "Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pl-08.02_odp.01 }} that are allocated to {{ insert: param, pl-08.02_odp.02 }} are required to be obtained from different suppliers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nIT acquisitions policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining information security and privacy safeguards from different suppliers" - } - ] - } - ] - } - ] - }, - { - "id": "pl-9", - "class": "SP800-53", - "title": "Central Management", - "params": [ - { - "id": "pl-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-9_prm_1" - }, - { - "name": "label", - "value": "PL-09_ODP" - } - ], - "label": "controls and related processes", - "guidelines": [ - { - "prose": "security and privacy controls and related processes to be centrally managed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-09" - }, - { - "name": "sort-id", - "value": "pl-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-9_smt", - "name": "statement", - "prose": "Centrally manage {{ insert: param, pl-09_odp }}." - }, - { - "id": "pl-9_gdn", - "name": "guidance", - "prose": "Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and the judicious use of organizational resources. Centrally managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring.\n\nAutomated tools (e.g., security information and event management tools or enterprise security monitoring and management tools) can improve the accuracy, consistency, and availability of information associated with centrally managed controls and processes. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision-making within the organization.\n\nAs part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include but are not limited to: [AC-2(1)](#ac-2.1), [AC-2(2)](#ac-2.2), [AC-2(3)](#ac-2.3), [AC-2(4)](#ac-2.4), [AC-4(all)](#ac-4), [AC-17(1)](#ac-17.1), [AC-17(2)](#ac-17.2), [AC-17(3)](#ac-17.3), [AC-17(9)](#ac-17.9), [AC-18(1)](#ac-18.1), [AC-18(3)](#ac-18.3), [AC-18(4)](#ac-18.4), [AC-18(5)](#ac-18.5), [AC-19(4)](#ac-19.4), [AC-22](#ac-22), [AC-23](#ac-23), [AT-2(1)](#at-2.1), [AT-2(2)](#at-2.2), [AT-3(1)](#at-3.1), [AT-3(2)](#at-3.2), [AT-3(3)](#at-3.3), [AT-4](#at-4), [AU-3](#au-3), [AU-6(1)](#au-6.1), [AU-6(3)](#au-6.3), [AU-6(5)](#au-6.5), [AU-6(6)](#au-6.6), [AU-6(9)](#au-6.9), [AU-7(1)](#au-7.1), [AU-7(2)](#au-7.2), [AU-11](#au-11), [AU-13](#au-13), [AU-16](#au-16), [CA-2(1)](#ca-2.1), [CA-2(2)](#ca-2.2), [CA-2(3)](#ca-2.3), [CA-3(1)](#ca-3.1), [CA-3(2)](#ca-3.2), [CA-3(3)](#ca-3.3), [CA-7(1)](#ca-7.1), [CA-9](#ca-9), [CM-2(2)](#cm-2.2), [CM-3(1)](#cm-3.1), [CM-3(4)](#cm-3.4), [CM-4](#cm-4), [CM-6](#cm-6), [CM-6(1)](#cm-6.1), [CM-7(2)](#cm-7.2), [CM-7(4)](#cm-7.4), [CM-7(5)](#cm-7.5), [CM-8(all)](#cm-8), [CM-9(1)](#cm-9.1), [CM-10](#cm-10), [CM-11](#cm-11), [CP-7(all)](#cp-7), [CP-8(all)](#cp-8), [SC-43](#sc-43), [SI-2](#si-2), [SI-3](#si-3), [SI-4(all)](#si-4), [SI-7](#si-7), [SI-8](#si-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-09", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pl-09_odp }} are centrally managed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing security and privacy plan development and implementation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with responsibilities for planning/implementing central management of controls and related processes\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the central management of controls and related processes\n\nautomated mechanisms supporting and/or implementing central management of controls and related processes" - } - ] - } - ] - }, - { - "id": "pl-10", - "class": "SP800-53", - "title": "Baseline Selection", - "props": [ - { - "name": "label", - "value": "PL-10" - }, - { - "name": "sort-id", - "value": "pl-10" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#46d9e201-840e-440e-987c-2c773333c752", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-10_smt", - "name": "statement", - "prose": "Select a control baseline for the system." - }, - { - "id": "pl-10_gdn", - "name": "guidance", - "prose": "Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals\u2019 privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see [PL-11](#pl-11) ). Federal control baselines are provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) are based on the requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9) and [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization\u2019s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides guidance on control baselines for national security systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-10", - "class": "sp800-53A" - } - ], - "prose": "a control baseline for the system is selected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nprocedures addressing system security and privacy plan reviews and updates\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem categorization decision\n\ninformation types stored, transmitted, and processed by the system\n\nsystem element/component information\n\nstakeholder needs analysis\n\nlist of security and privacy requirements allocated to the system, system elements, and environment of operation\n\nlist of contractual requirements allocated to external providers of the system or system element\n\nbusiness impact analysis or criticality analysis\n\nrisk assessments\n\nrisk management strategy\n\norganizational security and privacy policy\n\nfederal or organization-approved or mandated baselines or overlays\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with responsibility for organizational risk management activities" - } - ] - } - ] - }, - { - "id": "pl-11", - "class": "SP800-53", - "title": "Baseline Tailoring", - "props": [ - { - "name": "label", - "value": "PL-11" - }, - { - "name": "sort-id", - "value": "pl-11" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#46d9e201-840e-440e-987c-2c773333c752", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-11_smt", - "name": "statement", - "prose": "Tailor the selected control baseline by applying specified tailoring actions." - }, - { - "id": "pl-11_gdn", - "name": "guidance", - "prose": "The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) in accordance with the security and privacy requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) . Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) to specialize or customize the controls that represent the specific needs and concerns of those entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-11", - "class": "sp800-53A" - } - ], - "prose": "the selected control baseline is tailored by applying specified tailoring actions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nsystem design documentation\n\nsystem categorization decision\n\ninformation types stored, transmitted, and processed by the system\n\nsystem element/component information\n\nstakeholder needs analysis\n\nlist of security and privacy requirements allocated to the system, system elements, and environment of operation\n\nlist of contractual requirements allocated to external providers of the system or system element\n\nbusiness impact analysis or criticality analysis\n\nrisk assessments\n\nrisk management strategy\n\norganizational security and privacy policy\n\nfederal or organization-approved or mandated baselines or overlays\n\nbaseline tailoring rationale\n\nsystem security plan\n\nprivacy plan\n\nrecords of system security and privacy plan reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pm", - "class": "family", - "title": "Program Management", - "parts": [ - { - "id": "pm_ovw", - "name": "overview", - "title": "Program Management Controls", - "prose": "[FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) require federal agencies to develop, implement, and provide oversight for organization-wide information security and privacy programs to help ensure the confidentiality, integrity, and availability of federal information processed, stored, and transmitted by federal information systems and to protect individual privacy. The program management (PM) controls described in this section are implemented at the organization level and not directed at individual information systems. The PM controls have been designed to facilitate organizational compliance with applicable federal laws, executive orders, directives, policies, regulations, and standards. The controls are independent of [FIPS 200](#599fb53d-5041-444e-a7fe-640d6d30ad05) impact levels and, therefore, are not associated with the control baselines described in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752).\n\nOrganizations document program management controls in the information security and privacy program plans. The organization-wide information security program plan (see [PM-1](#pm-1) ) and privacy program plan (see [PM-18](#pm-18) ) supplement system security and privacy plans (see [PL-2](#pl-2) ) developed for organizational information systems. Together, the system security and privacy plans for the individual information systems and the information security and privacy program plans cover the totality of security and privacy controls employed by the organization." - } - ], - "controls": [ - { - "id": "pm-1", - "class": "SP800-53", - "title": "Information Security Program Plan", - "params": [ - { - "id": "pm-01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-1_prm_1" - }, - { - "name": "label", - "value": "PM-01_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the organization-wide information security program plan is defined;" - } - ] - }, - { - "id": "pm-01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-1_prm_2" - }, - { - "name": "label", - "value": "PM-01_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that trigger the review and update of the organization-wide information security program plan are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-01" - }, - { - "name": "sort-id", - "value": "pm-01" - } - ], - "links": [ - { - "href": "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-1_smt", - "name": "statement", - "parts": [ - { - "id": "pm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide information security program plan that:", - "parts": [ - { - "id": "pm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;" - }, - { - "id": "pm-1_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Reflects the coordination among organizational entities responsible for information security; and" - }, - { - "id": "pm-1_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "id": "pm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the organization-wide information security program plan {{ insert: param, pm-01_odp.01 }} and following {{ insert: param, pm-01_odp.02 }} ; and" - }, - { - "id": "pm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect the information security program plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pm-1_gdn", - "name": "guidance", - "prose": "An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. An information security program plan can be represented in a single document or compilations of documents. Privacy program plans and supply chain risk management plans are addressed separately in [PM-18](#pm-18) and [SR-2](#sr-2) , respectively.\n\nAn information security program plan documents implementation details about program management and common controls. The plan provides sufficient information about the controls (including specification of parameters for assignment and selection operations, explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended. Updates to information security program plans include organizational changes and problems identified during plan implementation or control assessments.\n\nProgram management controls may be implemented at the organization level or the mission or business process level, and are essential for managing the organization\u2019s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular system. Together, the individual system security plans and the organization-wide information security program plan provide complete coverage for the security controls employed within the organization.\n\nCommon controls available for inheritance by organizational systems are documented in an appendix to the organization\u2019s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls.\n\nEvents that may precipitate an update to the information security program plan include, but are not limited to, organization-wide assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide information security program plan is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is disseminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides an overview of the requirements for the security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides a description of the security program management controls in place or planned for meeting those requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides a description of the common controls in place or planned for meeting those requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan includes the identification and assignment of roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan includes the identification and assignment of responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[04]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[05]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.03", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan reflects the coordination among the organizational entities responsible for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.04", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is reviewed and updated {{ insert: param, pm-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is reviewed and updated following {{ insert: param, pm-01_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews and updates\n\nprocedures addressing coordination of the program plan with relevant entities\n\nprocedures for program plan approvals\n\nrecords of program plan reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-01-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information security program plan development, review, update, and approval\n\nautomated mechanisms supporting and/or implementing the information security program plan" - } - ] - } - ] - }, - { - "id": "pm-2", - "class": "SP800-53", - "title": "Information Security Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-02" - }, - { - "name": "sort-id", - "value": "pm-02" - } - ], - "links": [ - { - "href": "#81c44706-0227-4258-a920-620a4d259990", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-2_smt", - "name": "statement", - "prose": "Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program." - }, - { - "id": "pm-2_gdn", - "name": "guidance", - "prose": "The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[01]", - "class": "sp800-53A" - } - ], - "prose": "a senior agency information security officer is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[02]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to coordinate an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[03]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to develop an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[04]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to implement an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[05]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to maintain an organization-wide information security program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews and updates\n\nprocedures addressing coordination of the program plan with relevant entities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning and plan implementation responsibilities\n\nsenior information security officer\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pm-3", - "class": "SP800-53", - "title": "Information Security and Privacy Resources", - "props": [ - { - "name": "label", - "value": "PM-03" - }, - { - "name": "sort-id", - "value": "pm-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-3_smt", - "name": "statement", - "parts": [ - { - "id": "pm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;" - }, - { - "id": "pm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and" - }, - { - "id": "pm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make available for expenditure, the planned information security and privacy resources." - } - ] - }, - { - "id": "pm-3_gdn", - "name": "guidance", - "prose": "Organizations consider establishing champions for information security and privacy and, as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the resources needed to implement the information security program are included in capital planning and investment requests, and all exceptions are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the resources needed to implement the privacy program are included in capital planning and investment requests, and all exceptions are documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the documentation required for addressing the information security program in capital planning and investment requests is prepared in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the documentation required for addressing the privacy program in capital planning and investment requests is prepared in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security resources are made available for expenditure as planned;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy resources are made available for expenditure as planned." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nExhibit 300\n\nExhibit 53\n\nbusiness cases for capital planning and investment\n\nprocedures for capital planning and investment\n\ndocumentation of exceptions to capital planning requirements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning responsibilities\n\norganizational personnel responsible for capital planning and investment\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for capital planning and investment\n\norganizational processes for business case, Exhibit 300, and Exhibit 53 development\n\nautomated mechanisms supporting the capital planning and investment process" - } - ] - } - ] - }, - { - "id": "pm-4", - "class": "SP800-53", - "title": "Plan of Action and Milestones Process", - "props": [ - { - "name": "label", - "value": "PM-04" - }, - { - "name": "sort-id", - "value": "pm-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-4_smt", - "name": "statement", - "parts": [ - { - "id": "pm-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process to ensure that plans of action and milestones for the information security, privacy, and supply chain risk management programs and associated organizational systems:", - "parts": [ - { - "id": "pm-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are developed and maintained;" - }, - { - "id": "pm-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Document the remedial information security, privacy, and supply chain risk management actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-4_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Are reported in accordance with established reporting requirements." - } - ] - }, - { - "id": "pm-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-4_gdn", - "name": "guidance", - "prose": "The plan of action and milestones is a key organizational document and is subject to reporting requirements established by the Office of Management and Budget. Organizations develop plans of action and milestones with an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple plans of action and milestones corresponding to the information system level, mission/business process level, and organizational/governance level. While plans of action and milestones are required for federal organizations, other types of organizations can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones at the system level is provided in [CA-5](#ca-5)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[05]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[06]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems document remedial information security risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems document remedial privacy risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems document remedial supply chain risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.[01]", - "class": "sp800-53A" - } - ], - "prose": "plans of action and milestones are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.[02]", - "class": "sp800-53A" - } - ], - "prose": "plans of action and milestones are reviewed for consistency with organization-wide priorities for risk response actions." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nplans of action and milestones\n\nprocedures addressing plans of action and milestones development and maintenance\n\nprocedures addressing plans of action and milestones reporting\n\nprocedures for reviewing plans of action and milestones for consistency with risk management strategy and risk response priorities\n\nresults of risk assessments associated with plans of action and milestones\n\nOMB FISMA reporting requirements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, maintaining, reviewing, and reporting plans of action and milestones\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for plan of action and milestones development, review, maintenance, and reporting\n\nautomated mechanisms supporting plans of action and milestones" - } - ] - } - ] - }, - { - "id": "pm-5", - "class": "SP800-53", - "title": "System Inventory", - "params": [ - { - "id": "pm-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-5_prm_1" - }, - { - "name": "label", - "value": "PM-05_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update the inventory of organizational systems is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-05" - }, - { - "name": "sort-id", - "value": "pm-05" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-5_smt", - "name": "statement", - "prose": "Develop and update {{ insert: param, pm-05_odp }} an inventory of organizational systems." - }, - { - "id": "pm-5_gdn", - "name": "guidance", - "prose": "[OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) provides guidance on developing systems inventories and associated reporting requirements. 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Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is updated {{ insert: param, pm-05.01_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing system inventory development, maintenance, and updates\n\nOMB FISMA reporting guidance\n\nprivacy program plan\n\ninformation security program plan\n\npersonally identifiable information processing policy\n\nsystem inventory\n\npersonally identifiable information inventory\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing and maintaining the system inventory\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system inventory development, maintenance, and updates\n\nautomated mechanisms supporting the system inventory" - } - ] - } - ] - } - ] - }, - { - "id": "pm-6", - "class": "SP800-53", - "title": "Measures of Performance", - "props": [ - { - "name": "label", - "value": "PM-06" - }, - { - "name": "sort-id", - "value": "pm-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#7798067b-4ed0-4adc-a505-79dad4741693", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-6_smt", - "name": "statement", - "prose": "Develop, monitor, and report on the results of information security and privacy measures of performance." - }, - { - "id": "pm-6_gdn", - "name": "guidance", - "prose": "Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program. To facilitate security and privacy risk management, organizations consider aligning measures of performance with the organizational risk tolerance as defined in the risk management strategy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[01]", - "class": "sp800-53A" - } - ], - "prose": "information security measures of performance are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[02]", - "class": "sp800-53A" - } - ], - "prose": "information security measures of performance are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[03]", - "class": "sp800-53A" - } - ], - "prose": "the results of information security measures of performance are reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy measures of performance are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[05]", - "class": "sp800-53A" - } - ], - "prose": "privacy measures of performance are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[06]", - "class": "sp800-53A" - } - ], - "prose": "the results of privacy measures of performance are reported." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ninformation security measures of performance\n\nprivacy measures of performance\n\nprocedures addressing the development, monitoring, and reporting of information security and privacy measures of performance\n\nrisk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing, monitoring, and reporting information security and privacy measures of performance\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, monitoring, and reporting information security and privacy measures of performance\n\nautomated mechanisms supporting the development, monitoring, and reporting of information security and privacy measures of performance" - } - ] - } - ] - }, - { - "id": "pm-7", - "class": "SP800-53", - "title": "Enterprise Architecture", - "props": [ - { - "name": "label", - "value": "PM-07" - }, - { - "name": "sort-id", - "value": "pm-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7_smt", - "name": "statement", - "prose": "Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - }, - { - "id": "pm-7_gdn", - "name": "guidance", - "prose": "The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization\u2019s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture and the organization\u2019s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For [PL-8](#pl-8) , the security and privacy architectures are developed at a level that represents an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37](#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8) and supporting security standards and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[01]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[02]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[03]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[04]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[05]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[06]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nprocedures addressing enterprise architecture development\n\nresults of risk assessments of enterprise architecture\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing enterprise architecture\n\norganizational personnel responsible for risk assessments of enterprise architecture\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for enterprise architecture development\n\nautomated mechanisms supporting the enterprise architecture and its development" - } - ] - } - ], - "controls": [ - { - "id": "pm-7.1", - "class": "SP800-53-enhancement", - "title": "Offloading", - "params": [ - { - "id": "pm-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-7.1_prm_1" - }, - { - "name": "label", - "value": "PM-07(01)_ODP" - } - ], - "label": "non-essential functions or services", - "guidelines": [ - { - "prose": "non-essential functions or services to be offloaded are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-07(01)" - }, - { - "name": "sort-id", - "value": "pm-07.01" - } - ], - "links": [ - { - "href": "#pm-7", - "rel": "required" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7.1_smt", - "name": "statement", - "prose": "Offload {{ insert: param, pm-07.01_odp }} to other systems, system components, or an external provider." - }, - { - "id": "pm-7.1_gdn", - "name": "guidance", - "prose": "Not every function or service that a system provides is essential to organizational mission or business functions. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services that support essential mission or business functions. Maintaining such functions on the same system or system component increases the attack surface of the organization\u2019s mission-essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-07.01_odp }} are offloaded to other systems, system components, or an external provider." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nprocedures addressing enterprise architecture development\n\nprocedures for identifying and offloading functions or services\n\nresults of risk assessments of enterprise architecture\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing enterprise architecture\n\norganizational personnel responsible for risk assessments of enterprise architecture\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for enterprise architecture development\n\nautomated mechanisms supporting the enterprise architecture and its development\n\nmechanisms for offloading functions and services" - } - ] - } - ] - } - ] - }, - { - "id": "pm-8", - "class": "SP800-53", - "title": "Critical Infrastructure Plan", - "props": [ - { - "name": "label", - "value": "PM-08" - }, - { - "name": "sort-id", - "value": "pm-08" - } - ], - "links": [ - { - "href": "#3406fdc0-d61c-44a9-a5ca-84180544c83a", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#488d6934-00b2-4252-bf23-1b3c2d71eb13", - "rel": "reference" - }, - { - "href": "#b9951d04-6385-478c-b1a3-ab68c19d9041", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-8_smt", - "name": "statement", - "prose": "Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan." - }, - { - "id": "pm-8_gdn", - "name": "guidance", - "prose": "Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[01]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the development of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[02]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the documentation of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[03]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the update of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the development of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[05]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the documentation of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[06]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the update of a critical infrastructure and key resources protection plan." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ncritical infrastructure and key resources protection plan\n\nprocedures addressing the development, documentation, and updating of the critical infrastructure and key resources protection plan\n\nHSPD 7\n\nNational Infrastructure Protection Plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan\n\nautomated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan" - } - ] - } - ] - }, - { - "id": "pm-9", - "class": "SP800-53", - "title": "Risk Management Strategy", - "params": [ - { - "id": "pm-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-9_prm_1" - }, - { - "name": "label", - "value": "PM-09_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the risk management strategy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-09" - }, - { - "name": "sort-id", - "value": "pm-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-9_smt", - "name": "statement", - "parts": [ - { - "id": "pm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a comprehensive strategy to manage:", - "parts": [ - { - "id": "pm-9_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and" - }, - { - "id": "pm-9_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "id": "pm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the risk management strategy consistently across the organization; and" - }, - { - "id": "pm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the risk management strategy {{ insert: param, pm-09_odp }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-9_gdn", - "name": "guidance", - "prose": "An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization, security and privacy risk mitigation strategies, acceptable risk assessment methodologies, a process for evaluating security and privacy risk across the organization with respect to the organization\u2019s risk tolerance, and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure that the strategy is broad-based and comprehensive. The supply chain risk management strategy described in [PM-30](#pm-30) can also provide useful inputs to the organization-wide risk management strategy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.01", - "class": "sp800-53A" - } - ], - "prose": "a comprehensive strategy is developed to manage security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.02", - "class": "sp800-53A" - } - ], - "prose": "a comprehensive strategy is developed to manage privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09b.", - "class": "sp800-53A" - } - ], - "prose": "the risk management strategy is implemented consistently across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09c.", - "class": "sp800-53A" - } - ], - "prose": "the risk management strategy is reviewed and updated {{ insert: param, pm-09_odp }} or as required to address organizational changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nsupply chain risk management strategy\n\nprocedures addressing the development, implementation, review, and update of the risk management strategy\n\nrisk assessment results relevant to the risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the development, implementation, review, and update of the risk management strategy\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the development, implementation, review, and update of the risk management strategy\n\nautomated mechanisms supporting the development, implementation, review, and update of the risk management strategy" - } - ] - } - ] - }, - { - "id": "pm-10", - "class": "SP800-53", - "title": "Authorization Process", - "props": [ - { - "name": "label", - "value": "PM-10" - }, - { - "name": "sort-id", - "value": "pm-10" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-10_smt", - "name": "statement", - "parts": [ - { - "id": "pm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;" - }, - { - "id": "pm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and" - }, - { - "id": "pm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Integrate the authorization processes into an organization-wide risk management program." - } - ] - }, - { - "id": "pm-10_gdn", - "name": "guidance", - "prose": "Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The authorization processes for the organization are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the security state of organizational systems and the environments in which those systems operate are managed through authorization processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy state of organizational systems and the environments in which those systems operate are managed through authorization processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10b.", - "class": "sp800-53A" - } - ], - "prose": "individuals are designated to fulfill specific roles and responsibilities within the organizational risk management process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10c.", - "class": "sp800-53A" - } - ], - "prose": "the authorization processes are integrated into an organization-wide risk management program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nprocedures addressing management (i.e., documentation, tracking, and reporting) of the authorization process\n\nassessment, authorization, and monitoring policy\n\nassessment, authorization, and monitoring procedures\n\nsystem authorization documentation\n\nlists or other documentation about authorization process roles and responsibilities\n\nrisk assessment results relevant to the authorization process and the organization-wide risk management program\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for management of the authorization process\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorization\n\nautomated mechanisms supporting the authorization process" - } - ] - } - ] - }, - { - "id": "pm-11", - "class": "SP800-53", - "title": "Mission and Business Process Definition", - "params": [ - { - "id": "pm-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-11_prm_1" - }, - { - "name": "label", - "value": "PM-11_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and revise the mission and business processes is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-11" - }, - { - "name": "sort-id", - "value": "pm-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-11_smt", - "name": "statement", - "parts": [ - { - "id": "pm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and" - }, - { - "id": "pm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and revise the mission and business processes {{ insert: param, pm-11_odp }}." - } - ] - }, - { - "id": "pm-11_gdn", - "name": "guidance", - "prose": "Protection needs are technology-independent capabilities that are required to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by organizational stakeholders, the mission and business processes designed to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent to defining protection and personally identifiable information processing needs is an understanding of the adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of the processing of personally identifiable information at any stage of the information life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.[01]", - "class": "sp800-53A" - } - ], - "prose": "information protection needs arising from the defined mission and business processes are determined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.[02]", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information processing needs arising from the defined mission and business processes are determined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11c.", - "class": "sp800-53A" - } - ], - "prose": "the mission and business processes are reviewed and revised {{ insert: param, pm-11_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nprocedures for determining mission and business protection needs\n\ninformation security and privacy risk assessment results relevant to the determination of mission and business protection needs\n\npersonally identifiable information processing policy\n\npersonally identifiable information inventory\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for enterprise risk management\n\norganizational personnel responsible for determining information protection needs for mission and business processes\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining mission and business processes and their information protection needs" - } - ] - } - ] - }, - { - "id": "pm-12", - "class": "SP800-53", - "title": "Insider Threat Program", - "props": [ - { - "name": "label", - "value": "PM-12" - }, - { - "name": "sort-id", - "value": "pm-12" - } - ], - "links": [ - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#528135e3-c65b-461a-93d3-46513610f792", - "rel": "reference" - }, - { - "href": "#06d74ea9-2178-449c-a9c5-b2980f804ac8", - "rel": "reference" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-12_smt", - "name": "statement", - "prose": "Implement an insider threat program that includes a cross-discipline insider threat incident handling team." - }, - { - "id": "pm-12_gdn", - "name": "guidance", - "prose": "Organizations that handle classified information are required, under Executive Order 13587 [EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) and the National Insider Threat Policy [ODNI NITP](#06d74ea9-2178-449c-a9c5-b2980f804ac8) , to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and nontechnical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from offices in the department or agency for insider threat analysis, and conduct self-assessments of department or agency insider threat posture.\n\nInsider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-12", - "class": "sp800-53A" - } - ], - "prose": "an insider threat program that includes a cross-discipline insider threat incident handling team is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the insider threat program\n\nmembers of the cross-discipline insider threat incident handling team\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team\n\nautomated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team" - } - ] - } - ] - }, - { - "id": "pm-13", - "class": "SP800-53", - "title": "Security and Privacy Workforce", - "props": [ - { - "name": "label", - "value": "PM-13" - }, - { - "name": "sort-id", - "value": "pm-13" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-13_smt", - "name": "statement", - "prose": "Establish a security and privacy workforce development and improvement program." - }, - { - "id": "pm-13_gdn", - "name": "guidance", - "prose": "Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13[01]", - "class": "sp800-53A" - } - ], - "prose": "a security workforce development and improvement program is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy workforce development and improvement program is established." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ninformation security and privacy workforce development and improvement program documentation\n\nprocedures for the information security and privacy workforce development and improvement program\n\ninformation security and privacy role-based training program documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the information security and privacy workforce development and improvement program\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the information security and privacy workforce development and improvement program\n\nautomated mechanisms supporting and/or implementing the information security and privacy workforce development and improvement program" - } - ] - } - ] - }, - { - "id": "pm-14", - "class": "SP800-53", - "title": "Testing, Training, and Monitoring", - "props": [ - { - "name": "label", - "value": "PM-14" - }, - { - "name": "sort-id", - "value": "pm-14" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-14_smt", - "name": "statement", - "parts": [ - { - "id": "pm-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:", - "parts": [ - { - "id": "pm-14_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are developed and maintained; and" - }, - { - "id": "pm-14_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Continue to be executed; and" - } - ] - }, - { - "id": "pm-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-14_gdn", - "name": "guidance", - "prose": "A process for organization-wide security and privacy testing, training, and monitoring helps ensure that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems continue to be executed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems continue to be executed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "testing, training, and monitoring plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "training plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[03]", - "class": "sp800-53A" - } - ], - "prose": "monitoring plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[04]", - "class": "sp800-53A" - } - ], - "prose": "testing plans are reviewed for consistency with organization-wide priorities for risk response actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[05]", - "class": "sp800-53A" - } - ], - "prose": "training plans are reviewed for consistency with organization-wide priorities for risk response actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[06]", - "class": "sp800-53A" - } - ], - "prose": "monitoring plans are reviewed for consistency with organization-wide priorities for risk response actions." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nplans for conducting security and privacy testing, training, and monitoring activities\n\norganizational procedures addressing the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities\n\nrisk management strategy\n\nprocedures for the review of plans for conducting security and privacy testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities\n\nresults of risk assessments associated with conducting security and privacy testing, training, and monitoring activities\n\ndocumentation of the timely execution of plans for conducting security and privacy testing, training, and monitoring activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing and maintaining plans for conducting security and privacy testing, training, and monitoring activities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities\n\nautomated mechanisms supporting the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities" - } - ] - } - ] - }, - { - "id": "pm-15", - "class": "SP800-53", - "title": "Security and Privacy Groups and Associations", - "props": [ - { - "name": "label", - "value": "PM-15" - }, - { - "name": "sort-id", - "value": "pm-15" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-15_smt", - "name": "statement", - "prose": "Establish and institutionalize contact with selected groups and associations within the security and privacy communities:", - "parts": [ - { - "id": "pm-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "To facilitate ongoing security and privacy education and training for organizational personnel;" - }, - { - "id": "pm-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "To maintain currency with recommended security and privacy practices, techniques, and technologies; and" - }, - { - "id": "pm-15_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "To share current security and privacy information, including threats, vulnerabilities, and incidents." - } - ] - }, - { - "id": "pm-15_gdn", - "name": "guidance", - "prose": "Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users\u2019 groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on mission and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to facilitate ongoing security education and training for organizational personnel;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to facilitate ongoing privacy education and training for organizational personnel;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to maintain currency with recommended security practices, techniques, and technologies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to maintain currency with recommended privacy practices, techniques, and technologies;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to share current security information, including threats, vulnerabilities, and incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to share current privacy information, including threats, vulnerabilities, and incidents." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nprocedures for establishing and institutionalizing contacts with security and privacy groups and associations\n\nlists or other records of contacts with and/or membership in security and privacy groups and associations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for establishing and institutionalizing contact with security and privacy groups and associations\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel from selected groups and associations with which the organization has established and institutionalized contact" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing and institutionalizing contact with security and privacy groups and associations\n\nautomated mechanisms supporting contact with security and privacy groups and associations" - } - ] - } - ] - }, - { - "id": "pm-16", - "class": "SP800-53", - "title": "Threat Awareness Program", - "props": [ - { - "name": "label", - "value": "PM-16" - }, - { - "name": "sort-id", - "value": "pm-16" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-16_smt", - "name": "statement", - "prose": "Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence." - }, - { - "id": "pm-16_gdn", - "name": "guidance", - "prose": "Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information, including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may require special agreements and protection, or it may be freely shared." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-16", - "class": "sp800-53A" - } - ], - "prose": "a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nthreat awareness program policy\n\nthreat awareness program procedures\n\nrisk assessment results relevant to threat awareness\n\ndocumentation about the cross-organization information-sharing capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the threat awareness program\n\norganizational personnel responsible for the cross-organization information-sharing capability\n\norganizational personnel with information security and privacy responsibilities\n\nexternal personnel with whom threat awareness information is shared by the organization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the threat awareness program\n\norganizational processes for implementing the cross-organization information-sharing capability\n\nautomated mechanisms supporting and/or implementing the threat awareness program\n\nautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability" - } - ] - } - ], - "controls": [ - { - "id": "pm-16.1", - "class": "SP800-53-enhancement", - "title": "Automated Means for Sharing Threat Intelligence", - "props": [ - { - "name": "label", - "value": "PM-16(01)" - }, - { - "name": "sort-id", - "value": "pm-16.01" - } - ], - "links": [ - { - "href": "#pm-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "pm-16.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information." - }, - { - "id": "pm-16.1_gdn", - "name": "guidance", - "prose": "To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By using well-established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed the relevant threat detection signatures into monitoring tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-16(01)", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to maximize the effectiveness of sharing threat intelligence information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nthreat awareness program policy\n\nthreat awareness program procedures\n\nrisk assessment results related to threat awareness\n\ndocumentation about the cross-organization information-sharing capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the threat awareness program\n\norganizational personnel responsible for the cross-organization information-sharing capability\n\norganizational personnel with information security and privacy responsibilities\n\nexternal personnel with whom threat awareness information is shared by the organization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the threat awareness program\n\norganizational processes for implementing the cross-organization information-sharing capability\n\nautomated mechanisms supporting and/or implementing the threat awareness program\n\nautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability" - } - ] - } - ] - } - ] - }, - { - "id": "pm-17", - "class": "SP800-53", - "title": "Protecting Controlled Unclassified Information on External Systems", - "params": [ - { - "id": "pm-17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-17_prm_1" - }, - { - "name": "label", - "value": "PM-17_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the policy and procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-17" - }, - { - "name": "sort-id", - "value": "pm-17" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-17_smt", - "name": "statement", - "parts": [ - { - "id": "pm-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; and" - }, - { - "id": "pm-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the policy and procedures {{ insert: param, pm-17_odp }}." - } - ] - }, - { - "id": "pm-17_gdn", - "name": "guidance", - "prose": "Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) and, specifically for systems external to the federal organization, [32 CFR 2002.14h](https://www.govinfo.gov/content/pkg/CFR-2017-title32-vol6/xml/CFR-2017-title32-vol6-part2002.xml) . The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.[01]", - "class": "sp800-53A" - } - ], - "prose": "policy is established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and standards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.[02]", - "class": "sp800-53A" - } - ], - "prose": "procedures are established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and standards;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17b.", - "class": "sp800-53A" - } - ], - "prose": "policy and procedures are reviewed and updated {{ insert: param, pm-17_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Controlled unclassified information policy\n\ncontrolled unclassified information procedures\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with controlled unclassified information responsibilities\n\norganizational personnel with information security responsibilities." - } - ] - } - ] - }, - { - "id": "pm-18", - "class": "SP800-53", - "title": "Privacy Program Plan", - "params": [ - { - "id": "pm-18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-18_prm_1" - }, - { - "name": "label", - "value": "PM-18_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of updates to the privacy program plan is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-18" - }, - { - "name": "sort-id", - "value": "pm-18" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-18_smt", - "name": "statement", - "parts": [ - { - "id": "pm-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency\u2019s privacy program, and:", - "parts": [ - { - "id": "pm-18_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;" - }, - { - "id": "pm-18_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-18_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;" - }, - { - "id": "pm-18_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;" - }, - { - "id": "pm-18_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Reflects coordination among organizational entities responsible for the different aspects of privacy; and" - }, - { - "id": "pm-18_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and" - } - ] - }, - { - "id": "pm-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the plan {{ insert: param, pm-18_odp }} and to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments." - } - ] - }, - { - "id": "pm-18_gdn", - "name": "guidance", - "prose": "A privacy program plan is a formal document that provides an overview of an organization\u2019s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the senior agency official for privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents.\n\nThe senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection operations explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended.\n\nProgram management controls are generally implemented at the organization level and are essential for managing the organization\u2019s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. Together, the privacy plans for individual systems and the organization-wide privacy program plan provide complete coverage for the privacy controls employed within the organization.\n\nCommon controls are documented in an appendix to the organization\u2019s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide privacy program plan that provides an overview of the agency\u2019s privacy program is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes a description of the structure of the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes a description of the resources dedicated to the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides an overview of the requirements for the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides a description of the privacy program management controls in place or planned for meeting the requirements of the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides a description of common controls in place or planned for meeting the requirements of the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes the role of the senior agency official for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes the identification and assignment of the roles of other privacy officials and staff and their responsibilities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes compliance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes the strategic goals and objectives of the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.05", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan reflects coordination among organizational entities responsible for the different aspects of privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.06", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is approved by a senior official with responsibility and accountability for the privacy risk being incurred by organizational operations (including, mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is disseminated;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated {{ insert: param, pm-18_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address changes in federal privacy laws and policies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address organizational changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[04]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address problems identified during plan implementation or privacy control assessments." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews, updates, and approvals\n\nprocedures addressing coordination of the program plan with relevant entities\n\nrecords of program plan reviews, updates, and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pm-19", - "class": "SP800-53", - "title": "Privacy Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-19" - }, - { - "name": "sort-id", - "value": "pm-19" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-19_smt", - "name": "statement", - "prose": "Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program." - }, - { - "id": "pm-19_gdn", - "name": "guidance", - "prose": "The privacy officer is an organizational official. For federal agencies\u2014as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines\u2014this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has roles on the data management board (see [PM-23](#pm-23) ) and the data integrity board (see [PM-24](#pm-24))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[01]", - "class": "sp800-53A" - } - ], - "prose": "a senior agency official for privacy with authority, mission, accountability, and resources is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[02]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy coordinates applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[03]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy develops applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[04]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy implements applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[05]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy manages privacy risks through the organization-wide privacy program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program documents, including policies, procedures, plans, and reports\n\npublic privacy notices, including Federal Register notices\n\nprivacy impact assessments\n\nprivacy risk assessments\n\nPrivacy Act statements\n\nsystem of records notices\n\ncomputer matching agreements and notices\n\ncontracts, information sharing agreements, and memoranda of understanding\n\ngoverning requirements, including laws, Executive Orders, regulations, standards, and guidance\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel with privacy responsibilities\n\nsenior agency official for privacy\n\nprivacy officials" - } - ] - } - ] - }, - { - "id": "pm-20", - "class": "SP800-53", - "title": "Dissemination of Privacy Program Information", - "props": [ - { - "name": "label", - "value": "PM-20" - }, - { - "name": "sort-id", - "value": "pm-20" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#206a3284-6a7e-423c-8ea9-25b22542541d", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-20_smt", - "name": "statement", - "prose": "Maintain a central resource webpage on the organization\u2019s principal public website that serves as a central source of information about the organization\u2019s privacy program and that:", - "parts": [ - { - "id": "pm-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;" - }, - { - "id": "pm-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that organizational privacy practices and reports are publicly available; and" - }, - { - "id": "pm-20_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "id": "pm-20_gdn", - "name": "guidance", - "prose": "For federal agencies, the webpage is located at www.[agency].gov/privacy. Federal agencies include public privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption and implementation rules, privacy reports, privacy policies, instructions for individuals making an access or amendment request, email addresses for questions/complaints, blogs, and periodic publications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20[01]", - "class": "sp800-53A" - } - ], - "prose": "a central resource webpage is maintained on the organization\u2019s principal public website;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage serves as a central source of information about the organization\u2019s privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that the public has access to information about organizational privacy activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that the public can communicate with its senior agency official for privacy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that organizational privacy practices are publicly available;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that organizational privacy reports are publicly available;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20c.", - "class": "sp800-53A" - } - ], - "prose": "the webpage employs publicly facing email addresses and/or phone numbers to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Public website\n\npublicly posted privacy program documents, including policies, procedures, plans, and reports\n\nposition description of the senior agency official for privacy\n\npublic privacy notices, including Federal Register notices\n\nprivacy impact assessments\n\nprivacy risk assessments\n\nPrivacy Act statements and system of records notices\n\ncomputer matching agreements and notices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Location, access, availability, and functionality of privacy resource webpage" - } - ] - } - ], - "controls": [ - { - "id": "pm-20.1", - "class": "SP800-53-enhancement", - "title": "Privacy Policies on Websites, Applications, and Digital Services", - "props": [ - { - "name": "label", - "value": "PM-20(01)" - }, - { - "name": "sort-id", - "value": "pm-20.01" - } - ], - "links": [ - { - "href": "#pm-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "pm-20.1_smt", - "name": "statement", - "prose": "Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:", - "parts": [ - { - "id": "pm-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Are written in plain language and organized in a way that is easy to understand and navigate;" - }, - { - "id": "pm-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide information needed by the public to make an informed decision about whether and how to interact with the organization; and" - }, - { - "id": "pm-20.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes." - } - ] - }, - { - "id": "pm-20.1_gdn", - "name": "guidance", - "prose": "Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations provide a link to the privacy policy on any webpage that collects personally identifiable information. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that require the provision of specific information to the public. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all external-facing websites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all mobile applications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all other digital services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are written in plain language;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are organized in a way that is easy to understand and navigate;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies provide the information needed by the public to make an informed decision about whether to interact with the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies provide the information needed by the public to make an informed decision about how to interact with the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are updated whenever the organization makes a substantive change to the practices it describes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies include a time/date stamp to inform the public of the date of the most recent changes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-20(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprivacy policies on the agency website, mobile applications, and/or other digital services" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-20(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-20(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing\n\norganizational procedures and practices for disseminating privacy program information\n\nautomated mechanisms supporting the dissemination of privacy program information" - } - ] - } - ] - } - ] - }, - { - "id": "pm-21", - "class": "SP800-53", - "title": "Accounting of Disclosures", - "props": [ - { - "name": "label", - "value": "PM-21" - }, - { - "name": "sort-id", - "value": "pm-21" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-21_smt", - "name": "statement", - "parts": [ - { - "id": "pm-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:", - "parts": [ - { - "id": "pm-21_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Date, nature, and purpose of each disclosure; and" - }, - { - "id": "pm-21_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Name and address, or other contact information of the individual or organization to which the disclosure was made;" - } - ] - }, - { - "id": "pm-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and" - }, - { - "id": "pm-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "id": "pm-21_gdn", - "name": "guidance", - "prose": "The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed, to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information, and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision.\n\nOrganizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services that provide notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing the disclosure or dissemination of information and dissemination restrictions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.", - "class": "sp800-53A" - } - ], - "prose": "an accurate accounting of disclosures of personally identifiable information is developed and maintained;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the date of each disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the nature of each disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the purpose of each disclosure;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the name of the individual or organization to whom the disclosure was made;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the address or other contact information of the individual or organization to whom the disclosure was made;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21b.", - "class": "sp800-53A" - } - ], - "prose": "the accounting of disclosures is retained for the length of time that the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21c.", - "class": "sp800-53A" - } - ], - "prose": "the accounting of disclosures is made available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ndisclosure policies and procedures\n\nrecords of disclosures\n\naudit logs\n\nPrivacy Act policies and procedures\n\nsystem of records notice\n\nPrivacy Act exemption rules." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for disclosures\n\nautomated mechanisms supporting the accounting of disclosures, including commercial services that provide notifications and alerts." - } - ] - } - ] - }, - { - "id": "pm-22", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Management", - "props": [ - { - "name": "label", - "value": "PM-22" - }, - { - "name": "sort-id", - "value": "pm-22" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#227063d4-431e-435f-9e8f-009b6dbc20f4", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-22_smt", - "name": "statement", - "prose": "Develop and document organization-wide policies and procedures for:", - "parts": [ - { - "id": "pm-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;" - }, - { - "id": "pm-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "id": "pm-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and" - }, - { - "id": "pm-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Appeals of adverse decisions on correction or deletion requests." - } - ] - }, - { - "id": "pm-22_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality management includes steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information.\n\nThe senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations.\n\nOrganizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to the complexity of data flows and storage, other entities may need to be informed of the correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22[01]", - "class": "sp800-53A" - } - ], - "prose": "organization-wide policies for personally identifiable information quality management are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22[02]", - "class": "sp800-53A" - } - ], - "prose": "organization-wide procedures for personally identifiable information quality management are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the accuracy of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the relevance of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the timeliness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the completeness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the accuracy of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the relevance of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the timeliness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the completeness of personally identifiable information across the information life cycle;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address correcting or deleting inaccurate or outdated personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address appeals of adverse decisions on correction or deletion requests;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address appeals of adverse decisions on correction or deletion requests." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\npolicies and procedures addressing personally identifiable information quality management, information life cycle documentation, and sample notices of correction or deletion\n\nrecords of monitoring PII quality management practices\n\ndocumentation of reviews and updates of policies and procedures" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "[Organizational processes for data quality and personally identifiable information quality management procedures\n\nautomated mechanisms supporting and/or implementing quality management requirements" - } - ] - } - ] - }, - { - "id": "pm-23", - "class": "SP800-53", - "title": "Data Governance Body", - "params": [ - { - "id": "pm-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-23_prm_1" - }, - { - "name": "label", - "value": "PM-23_ODP[01]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "the roles of a data governance body are defined;" - } - ] - }, - { - "id": "pm-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-23_prm_2" - }, - { - "name": "label", - "value": "PM-23_ODP[02]" - } - ], - "label": "responsibilities", - "guidelines": [ - { - "prose": "the responsibilities of a data governance body are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-23" - }, - { - "name": "sort-id", - "value": "pm-23" - } - ], - "links": [ - { - "href": "#511da9ca-604d-43f7-be41-b862085420a9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#d886c141-c832-4ad7-ac6d-4b94f4b550d3", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-23_smt", - "name": "statement", - "prose": "Establish a Data Governance Body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }}." - }, - { - "id": "pm-23_gdn", - "name": "guidance", - "prose": "A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines that support data modeling, quality, integrity, and the de-identification needs of personally identifiable information across the information life cycle as well as reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT](#511da9ca-604d-43f7-be41-b862085420a9) and policies set forth under [OMB M-19-23](#d886c141-c832-4ad7-ac6d-4b94f4b550d3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-23", - "class": "sp800-53A" - } - ], - "prose": "a data governance body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }} is established." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ndocumentation relating to a data governance body, including documents establishing such a body, its charter of operations, and any plans and reports\n\nrecords of board meetings and decisions\n\nrecords of requests to review data\n\npolicies, procedures, and standards that facilitate data governance" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Officials serving on the data governance dody (e.g., chief information officer, senior agency information security officer, and senior agency official for privacy)" - } - ] - } - ] - }, - { - "id": "pm-24", - "class": "SP800-53", - "title": "Data Integrity Board", - "props": [ - { - "name": "label", - "value": "PM-24" - }, - { - "name": "sort-id", - "value": "pm-24" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-24_smt", - "name": "statement", - "prose": "Establish a Data Integrity Board to:", - "parts": [ - { - "id": "pm-24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review proposals to conduct or participate in a matching program; and" - }, - { - "id": "pm-24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "id": "pm-24_gdn", - "name": "guidance", - "prose": "A Data Integrity Board is the board of senior officials designated by the head of a federal agency and is responsible for, among other things, reviewing the agency\u2019s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24", - "class": "sp800-53A" - } - ], - "prose": "a data integrity board is established;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24a.", - "class": "sp800-53A" - } - ], - "prose": "the data integrity board reviews proposals to conduct or participate in a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24b.", - "class": "sp800-53A" - } - ], - "prose": "the data integrity board conducts an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprivacy program documents relating to a data integrity board, including documents establishing the board, its charter of operations, and any plans and reports\n\ncomputer matching agreements and notices\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nrecords documenting annual reviews\n\ngoverning requirements, including laws, Executive Orders, regulations, standards, and guidance" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "members of the data integrity board (e.g., the chief information officer, senior information security officer, senior agency official for privacy, and agency Inspector General)" - } - ] - } - ] - }, - { - "id": "pm-25", - "class": "SP800-53", - "title": "Minimization of Personally Identifiable Information Used in Testing, Training, and Research", - "params": [ - { - "id": "pm-25_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pm-25_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pm-25_odp.01", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing policies that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.02", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating policies that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.03", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing procedures that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.04", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating procedures that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-25" - }, - { - "name": "sort-id", - "value": "pm-25" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-25_smt", - "name": "statement", - "parts": [ - { - "id": "pm-25_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;" - }, - { - "id": "pm-25_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;" - }, - { - "id": "pm-25_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and" - }, - { - "id": "pm-25_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review and update policies and procedures {{ insert: param, pm-25_prm_1 }}." - } - ] - }, - { - "id": "pm-25_gdn", - "name": "guidance", - "prose": "The use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and/or legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[01]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal testing are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[02]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal training are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[03]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal research are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[04]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal testing are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[05]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal training are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[06]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal research are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[07]", - "class": "sp800-53A" - } - ], - "prose": "policies and procedures that address the use of personally identifiable information for internal testing, training, and research are implemented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal testing purposes is limited or minimized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal training purposes is limited or minimized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal research purposes is limited or minimized;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal testing is authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal training is authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[03]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal research is authorized;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[01]", - "class": "sp800-53A" - } - ], - "prose": "policies are reviewed {{ insert: param, pm-25_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[02]", - "class": "sp800-53A" - } - ], - "prose": "policies are updated {{ insert: param, pm-25_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[03]", - "class": "sp800-53A" - } - ], - "prose": "procedures are reviewed {{ insert: param, pm-25_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[04]", - "class": "sp800-53A" - } - ], - "prose": "procedures are updated {{ insert: param, pm-25_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\npolicies and procedures for the minimization of personally identifiable information used in testing, training, and research\n\ndocumentation supporting policy implementation (e.g., templates for testing, training, and research\n\nprivacy threshold analysis\n\nprivacy risk assessment)\n\ndata sets used for testing, training, and research" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers\n\npersonnel with IRB responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for data quality and personally identifiable information management\n\nautomated mechanisms supporting data quality management and personally identifiable information management to minimize the use of personally identifiable information" - } - ] - } - ] - }, - { - "id": "pm-26", - "class": "SP800-53", - "title": "Complaint Management", - "params": [ - { - "id": "pm-26_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pm-25_odp.04" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_prm_2", - "props": [ - { - "name": "aggregates", - "value": "pm-26_odp.01" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_prm_3", - "props": [ - { - "name": "aggregates", - "value": "pm-26_odp.02" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_odp.01", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period in which complaints (including concerns or questions) from individuals are to be reviewed is defined;" - } - ] - }, - { - "id": "pm-26_odp.02", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period in which complaints (including concerns or questions) from individuals are to be addressed is defined;" - } - ] - }, - { - "id": "pm-26_odp.03", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for acknowledging the receipt of complaints is defined;" - } - ] - }, - { - "id": "pm-26_odp.04", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for responding to complaints is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-26" - }, - { - "name": "sort-id", - "value": "pm-26" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-26_smt", - "name": "statement", - "prose": "Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:", - "parts": [ - { - "id": "pm-26_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mechanisms that are easy to use and readily accessible by the public;" - }, - { - "id": "pm-26_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "All information necessary for successfully filing complaints;" - }, - { - "id": "pm-26_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};" - }, - { - "id": "pm-26_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_2 }} ; and" - }, - { - "id": "pm-26_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_3 }}." - } - ] - }, - { - "id": "pm-26_gdn", - "name": "guidance", - "prose": "Complaints, concerns, and questions from individuals can serve as valuable sources of input to organizations and ultimately improve operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information which is handled in accordance with relevant policies and processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26", - "class": "sp800-53A" - } - ], - "prose": "a process for receiving complaints, concerns, or questions from individuals about the organizational security and privacy practices is implemented;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes mechanisms that are easy to use by the public;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes mechanisms that are readily accessible by the public;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26b.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes all information necessary for successfully filing complaints;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within {{ insert: param, pm-26_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within {{ insert: param, pm-26_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26d.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26e.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes responding to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-26-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprocedures addressing complaint management\n\ncomplaint documentation\n\nprocedures addressing the reviews of complaints\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-26-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-26-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for complaint management\n\nautomated mechanisms supporting complaint management\n\ntools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms" - } - ] - } - ] - }, - { - "id": "pm-27", - "class": "SP800-53", - "title": "Privacy Reporting", - "params": [ - { - "id": "pm-27_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_1" - }, - { - "name": "label", - "value": "PM-27_ODP[01]" - } - ], - "label": "privacy reports", - "guidelines": [ - { - "prose": "privacy reports are defined;" - } - ] - }, - { - "id": "pm-27_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_2" - }, - { - "name": "label", - "value": "PM-27_ODP[02]" - } - ], - "label": "oversight bodies", - "guidelines": [ - { - "prose": "privacy oversight bodies are defined;" - } - ] - }, - { - "id": "pm-27_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_3" - }, - { - "name": "label", - "value": "PM-27_ODP[03]" - } - ], - "label": "officials", - "guidelines": [ - { - "prose": "officials responsible for monitoring privacy program compliance are defined;" - } - ] - }, - { - "id": "pm-27_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_4" - }, - { - "name": "label", - "value": "PM-27_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating privacy reports is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-27" - }, - { - "name": "sort-id", - "value": "pm-27" - } - ], - "links": [ - { - "href": "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-27_smt", - "name": "statement", - "parts": [ - { - "id": "pm-27_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop {{ insert: param, pm-27_odp.01 }} and disseminate to:", - "parts": [ - { - "id": "pm-27_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and" - }, - { - "id": "pm-27_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, pm-27_odp.03 }} and other personnel with responsibility for monitoring privacy program compliance; and" - } - ] - }, - { - "id": "pm-27_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update privacy reports {{ insert: param, pm-27_odp.04 }}." - } - ] - }, - { - "id": "pm-27_gdn", - "name": "guidance", - "prose": "Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. For federal agencies, privacy reports include annual senior agency official for privacy reports to OMB, reports to Congress required by Implementing Regulations of the 9/11 Commission Act, and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-27_odp.01 }} are developed;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.01", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to {{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to {{ insert: param, pm-27_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to other personnel responsible for monitoring privacy program compliance;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27b.", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are reviewed and updated {{ insert: param, pm-27_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-27-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ninternal and external privacy reports\n\nprivacy program plan\n\nannual senior agency official for privacy reports to OMB\n\nreports to Congress required by law, regulation, or policy, including internal policies\n\nrecords documenting the dissemination of reports to oversight bodies and officials responsible for monitoring privacy program compliance\n\nrecords of review and updates of privacy reports." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-27-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities\n\nlegal counsel." - } - ] - } - ] - }, - { - "id": "pm-28", - "class": "SP800-53", - "title": "Risk Framing", - "params": [ - { - "id": "pm-28_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-28_prm_1" - }, - { - "name": "label", - "value": "PM-28_ODP[01]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "the personnel to receive the results of risk framing activities is/are defined;" - } - ] - }, - { - "id": "pm-28_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-28_prm_2" - }, - { - "name": "label", - "value": "PM-28_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating risk framing considerations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-28" - }, - { - "name": "sort-id", - "value": "pm-28" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-28_smt", - "name": "statement", - "parts": [ - { - "id": "pm-28_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document:", - "parts": [ - { - "id": "pm-28_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Assumptions affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Constraints affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Priorities and trade-offs considered by the organization for managing risk; and" - }, - { - "id": "pm-28_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Organizational risk tolerance;" - } - ] - }, - { - "id": "pm-28_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the results of risk framing activities to {{ insert: param, pm-28_odp.01 }} ; and" - }, - { - "id": "pm-28_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update risk framing considerations {{ insert: param, pm-28_odp.02 }}." - } - ] - }, - { - "id": "pm-28_gdn", - "name": "guidance", - "prose": "Risk framing is most effective when conducted at the organization level and in consultation with stakeholders throughout the organization including mission, business, and system owners. The assumptions, constraints, risk tolerance, priorities, and trade-offs identified as part of the risk framing process inform the risk management strategy, which in turn informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel, including mission and business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk assessments are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk responses are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk monitoring are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk assessments are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk responses are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk monitoring are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "priorities considered by the organization for managing risk are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "trade-offs considered by the organization for managing risk are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.04", - "class": "sp800-53A" - } - ], - "prose": "organizational risk tolerance is identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28b.", - "class": "sp800-53A" - } - ], - "prose": "the results of risk framing activities are distributed to {{ insert: param, pm-28_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28c.", - "class": "sp800-53A" - } - ], - "prose": "risk framing considerations are reviewed and updated {{ insert: param, pm-28_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-28-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nsupply chain risk management strategy\n\ndocumentation of risk framing activities\n\npolicies and procedures for risk framing activities\n\nrisk management strategy" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-28-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel (including mission, business, and system owners or stewards\n\nauthorizing officials\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\nand senior accountable official for risk management)" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-28-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing\n\norganizational processes for risk framing\n\nautomated mechanisms supporting the development, review, update, and approval of risk framing" - } - ] - } - ] - }, - { - "id": "pm-29", - "class": "SP800-53", - "title": "Risk Management Program Leadership Roles", - "props": [ - { - "name": "label", - "value": "PM-29" - }, - { - "name": "sort-id", - "value": "pm-29" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-29_smt", - "name": "statement", - "parts": [ - { - "id": "pm-29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and" - }, - { - "id": "pm-29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization." - } - ] - }, - { - "id": "pm-29_gdn", - "name": "guidance", - "prose": "The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a Senior Accountable Official for Risk Management is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a Senior Accountable Official for Risk Management aligns information security and privacy management processes with strategic, operational, and budgetary planning processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[01]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) views and analyzes risk from an organization-wide perspective;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[03]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) ensures that the management of risk is consistent across the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-29-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nsupply chain risk management strategy\n\ndocumentation of appointment, roles, and responsibilities of a Senior Accountable Official for Risk Management\n\ndocumentation of actions taken by the Official\n\ndocumentation of the establishment, policies, and procedures of a Risk Executive (function)" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-29-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Senior Accountable Official for Risk Management\n\nchief information officer\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\norganizational personnel with information security and privacy program responsibilities" - } - ] - } - ] - }, - { - "id": "pm-30", - "class": "SP800-53", - "title": "Supply Chain Risk Management Strategy", - "params": [ - { - "id": "pm-30_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-30_prm_1" - }, - { - "name": "label", - "value": "PM-30_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating the supply chain risk management strategy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-30" - }, - { - "name": "sort-id", - "value": "pm-30" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#206a3284-6a7e-423c-8ea9-25b22542541d", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30_smt", - "name": "statement", - "parts": [ - { - "id": "pm-30_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;" - }, - { - "id": "pm-30_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management strategy consistently across the organization; and" - }, - { - "id": "pm-30_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management strategy on {{ insert: param, pm-30_odp }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-30_gdn", - "name": "guidance", - "prose": "An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk appetite and tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of the security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization\u2019s overarching risk management strategy and can guide and inform supply chain policies and system-level supply chain risk management plans. In addition, the use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organization and mission/business levels, whereas the supply chain risk management plan (see [SR-2](#sr-2) ) is implemented at the system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide strategy for managing supply chain risks is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the development of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the development of system components;\n\nthe supply chain risk management strategy addresses risks associated with the development of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[09]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[10]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[11]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[12]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of system services;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30b.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy is implemented consistently across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30c.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy is reviewed and updated {{ insert: param, pm-30_odp }} or as required to address organizational changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-30-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management strategy\n\norganizational risk management strategy\n\nenterprise risk management documents\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-30-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "pm-30.1", - "class": "SP800-53-enhancement", - "title": "Suppliers of Critical or Mission-essential Items", - "props": [ - { - "name": "label", - "value": "PM-30(01)" - }, - { - "name": "sort-id", - "value": "pm-30.01" - } - ], - "links": [ - { - "href": "#pm-30", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30.1_smt", - "name": "statement", - "prose": "Identify, prioritize, and assess suppliers of critical or mission-essential technologies, products, and services." - }, - { - "id": "pm-30.1_gdn", - "name": "guidance", - "prose": "The identification and prioritization of suppliers of critical or mission-essential technologies, products, and services is paramount to the mission/business success of organizations. The assessment of suppliers is conducted using supplier reviews (see [SR-6](#sr-6) ) and supply chain risk assessment processes (see [RA-3(1)](#ra-3.1) ). An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are prioritized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are assessed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-30(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management strategy\n\norganization-wide risk management strategy\n\nenterprise risk management documents\n\ninventory records or suppliers\n\nassessment and prioritization documentation\n\ncritical or mission-essential technologies, products, and service documents or records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-30(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-30(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, prioritizing, and assessing critical or mission-essential technologies, products, and services\n\norganizational processes for maintaining an inventory of suppliers\n\norganizational process for associating suppliers with critical or mission-essential technologies, products, and services" - } - ] - } - ] - } - ] - }, - { - "id": "pm-31", - "class": "SP800-53", - "title": "Continuous Monitoring Strategy", - "params": [ - { - "id": "pm-31_prm_4", - "props": [ - { - "name": "aggregates", - "value": "pm-31_odp.04" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pm-31_prm_5", - "props": [ - { - "name": "aggregates", - "value": "pm-31_odp.06" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pm-31_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_1" - }, - { - "name": "label", - "value": "PM-31_ODP[01]" - } - ], - "label": "metrics", - "guidelines": [ - { - "prose": "the metrics for organization-wide continuous monitoring are defined;" - } - ] - }, - { - "id": "pm-31_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_2" - }, - { - "name": "label", - "value": "PM-31_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for monitoring is defined;" - } - ] - }, - { - "id": "pm-31_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_3" - }, - { - "name": "label", - "value": "PM-31_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for assessing control effectiveness is defined;" - } - ] - }, - { - "id": "pm-31_odp.04", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles for reporting the security status of organizational systems to is/are defined;" - } - ] - }, - { - "id": "pm-31_odp.05", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[05]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles for reporting the privacy status of organizational systems to is/are defined;" - } - ] - }, - { - "id": "pm-31_odp.06", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to report the security status of organizational systems is defined;" - } - ] - }, - { - "id": "pm-31_odp.07", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to report the privacy status of organizational systems is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-31" - }, - { - "name": "sort-id", - "value": "pm-31" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#62ea77ca-e450-4323-b210-e0d75390e785", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-31_smt", - "name": "statement", - "prose": "Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:", - "parts": [ - { - "id": "pm-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following organization-wide metrics to be monitored: {{ insert: param, pm-31_odp.01 }};" - }, - { - "id": "pm-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, pm-31_odp.02 }} for monitoring and {{ insert: param, pm-31_odp.03 }} for assessment of control effectiveness;" - }, - { - "id": "pm-31_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "pm-31_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "pm-31_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "pm-31_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Reporting the security and privacy status of organizational systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param, pm-31_prm_5 }}." - } - ] - }, - { - "id": "pm-31_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms \"continuous\" and \"ongoing\" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective, timely, and informed risk management decisions, including ongoing authorization decisions. To further facilitate security and privacy risk management, organizations consider aligning organization-defined monitoring metrics with organizational risk tolerance as defined in the risk management strategy. Monitoring requirements, including the need for monitoring, may be referenced in other controls and control enhancements such as, [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CA-7](#ca-7), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b), [SI-4](#si-4)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide continuous monitoring strategy is developed;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31a.", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include establishing {{ insert: param, pm-31_odp.01 }} to be monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.02 }} for monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.03 }} for assessment of control effectiveness;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31c.", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include monitoring {{ insert: param, pm-31_odp.01 }} on an ongoing basis in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include correlating information generated by control assessments and monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include analyzing information generated by control assessments and monitoring;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include response actions to address the analysis of control assessment information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include response actions to address the analysis of monitoring information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include reporting the security status of organizational systems to {{ insert: param, pm-31_odp.04 }} {{ insert: param, pm-31_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include reporting the privacy status of organizational systems to {{ insert: param, pm-31_odp.05 }} {{ insert: param, pm-31_odp.07 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-31-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nsupply chain risk management plan\n\ncontinuous monitoring strategy\n\nrisk management strategy\n\ninformation security continuous monitoring program documentation, reporting, metrics, and artifacts\n\ninformation security continuous monitoring program assessment documentation, reporting, metrics, and artifacts\n\nassessment and authorization policy\n\nprocedures addressing the continuous monitoring of controls\n\nprivacy program continuous monitoring documentation, reporting, metrics, and artifacts\n\ncontinuous monitoring program records, security, and privacy impact analyses\n\nstatus reports\n\nrisk response documentation\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-31-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Senior Accountable Official for Risk Management\n\nchief information officer\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\norganizational personnel with information security, privacy, and supply chain risk management program responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-31-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and mechanisms used for information security, privacy, and supply chain continuous monitoring" - } - ] - } - ] - }, - { - "id": "pm-32", - "class": "SP800-53", - "title": "Purposing", - "params": [ - { - "id": "pm-32_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-32_prm_1" - }, - { - "name": "label", - "value": "PM-32_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components supporting mission-essential services or functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-32" - }, - { - "name": "sort-id", - "value": "pm-32" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-32_smt", - "name": "statement", - "prose": "Analyze {{ insert: param, pm-32_odp }} supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose." - }, - { - "id": "pm-32_gdn", - "name": "guidance", - "prose": "Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside of the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are more vulnerable to compromise, which can ultimately impact the services and functions for which they were intended. This is especially impactful for mission-essential services and functions. By analyzing resource use, organizations can identify such potential exposures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-32", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-32_odp }} supporting mission-essential services or functions are analyzed to ensure that the information resources are being used in a manner that is consistent with their intended purpose." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nlist of essential services and functions\n\norganizational analysis of information resources\n\nrisk management strategy\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security, privacy, and supply chain risk management program responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ps-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ps-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-01_odp.01", - "props": [ - { - "name": "label", - "value": "PS-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personnel security policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ps-01_odp.02", - "props": [ - { - "name": "label", - "value": "PS-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personnel security procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ps-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_2" - }, - { - "name": "label", - "value": "PS-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ps-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_3" - }, - { - "name": "label", - "value": "PS-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the personnel security policy and procedures is defined;" - } - ] - }, - { - "id": "ps-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_4" - }, - { - "name": "label", - "value": "PS-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personnel security policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ps-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_5" - }, - { - "name": "label", - "value": "PS-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current personnel security policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ps-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_6" - }, - { - "name": "label", - "value": "PS-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personnel security procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ps-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_7" - }, - { - "name": "label", - "value": "PS-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the personnel security procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-01" - }, - { - "name": "sort-id", - "value": "ps-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ps-01_odp.03 }} personnel security policy that:", - "parts": [ - { - "id": "ps-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ps-01_odp.04 }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and" - }, - { - "id": "ps-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personnel security:", - "parts": [ - { - "id": "ps-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ps-01_odp.05 }} and following {{ insert: param, ps-01_odp.06 }} ; and" - }, - { - "id": "ps-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ps-01_odp.07 }} and following {{ insert: param, ps-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a personnel security policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the personnel security policy is disseminated to {{ insert: param, ps-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "personnel security procedures to facilitate the implementation of the personnel security policy and associated personnel security controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the personnel security procedures are disseminated to {{ insert: param, ps-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personnel security policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security policy is reviewed and updated {{ insert: param, ps-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security policy is reviewed and updated following {{ insert: param, ps-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security procedures are reviewed and updated {{ insert: param, ps-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security procedures are reviewed and updated following {{ insert: param, ps-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\naudit findings\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "params": [ - { - "id": "ps-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-2_prm_1" - }, - { - "name": "label", - "value": "PS-02_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update position risk designations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-02" - }, - { - "name": "sort-id", - "value": "ps-02" - } - ], - "links": [ - { - "href": "#a5ef5e56-5c1a-4911-b419-37dddc1b3581", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update position risk designations {{ insert: param, ps-02_odp }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02a.", - "class": "sp800-53A" - } - ], - "prose": "a risk designation is assigned to all organizational positions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02b.", - "class": "sp800-53A" - } - ], - "prose": "screening criteria are established for individuals filling organizational positions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02c.", - "class": "sp800-53A" - } - ], - "prose": "position risk designations are reviewed and updated {{ insert: param, ps-02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nrecords of position risk designation reviews and updates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk designations\n\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "params": [ - { - "id": "ps-3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ps-03_odp.01" - } - ], - "label": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening" - }, - { - "id": "ps-03_odp.01", - "props": [ - { - "name": "label", - "value": "PS-03_ODP[01]" - } - ], - "label": "conditions requiring rescreening", - "guidelines": [ - { - "prose": "conditions requiring rescreening of individuals are defined;" - } - ] - }, - { - "id": "ps-03_odp.02", - "props": [ - { - "name": "label", - "value": "PS-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of rescreening individuals where it is so indicated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03" - }, - { - "name": "sort-id", - "value": "ps-03" - } - ], - "links": [ - { - "href": "#55b0c93a-5e48-457a-baa6-5ce81c239c49", - "rel": "reference" - }, - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screen individuals prior to authorizing access to the system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreen individuals in accordance with {{ insert: param, ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03a.", - "class": "sp800-53A" - } - ], - "prose": "individuals are screened prior to authorizing access to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals are rescreened in accordance with {{ insert: param, ps-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "where rescreening is so indicated, individuals are rescreened {{ insert: param, ps-03_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ], - "controls": [ - { - "id": "ps-3.1", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "PS-03(01)" - }, - { - "name": "sort-id", - "value": "ps-03.01" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.1_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system." - }, - { - "id": "ps-3.1_gdn", - "name": "guidance", - "prose": "Classified information is the most sensitive information that the Federal Government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see [AC-3](#ac-3) ) and flow controls (see [AC-4](#ac-4))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting classified information are cleared;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for clearing and indoctrinating personnel for access to classified information" - } - ] - } - ] - }, - { - "id": "ps-3.2", - "class": "SP800-53-enhancement", - "title": "Formal Indoctrination", - "props": [ - { - "name": "label", - "value": "PS-03(02)" - }, - { - "name": "sort-id", - "value": "ps-03.02" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.2_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system." - }, - { - "id": "ps-3.2_gdn", - "name": "guidance", - "prose": "Types of classified information that require formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartmented Information (SCI)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(02)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination are formally indoctrinated for all of the relevant types of information to which they have access on the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nindoctrination documents\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for formal indoctrination for all relevant types of information to which personnel have access" - } - ] - } - ] - }, - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protective Measures", - "params": [ - { - "id": "ps-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.3_prm_1" - }, - { - "name": "label", - "value": "PS-03(03)_ODP" - } - ], - "label": "additional personnel screening criteria", - "guidelines": [ - { - "prose": "additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03(03)" - }, - { - "name": "sort-id", - "value": "ps-03.03" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ insert: param, ps-03.03_odp }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy {{ insert: param, ps-03.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for information requiring special protection\n\norganizational process for additional personnel screening for information requiring special protection" - } - ] - } - ] - }, - { - "id": "ps-3.4", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements", - "params": [ - { - "id": "ps-03.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.4_prm_1" - }, - { - "name": "label", - "value": "PS-03(04)_ODP[01]" - } - ], - "label": "information types", - "guidelines": [ - { - "prose": "information types that are processed, stored, or transmitted by a system are defined;" - } - ] - }, - { - "id": "ps-03.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.4_prm_2" - }, - { - "name": "label", - "value": "PS-03(04)_ODP[02]" - } - ], - "label": "citizenship requirements", - "guidelines": [ - { - "prose": "citizenship requirements to be met by individuals to access a system processing, storing, or transmitting information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03(04)" - }, - { - "name": "sort-id", - "value": "ps-03.04" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-3.4_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}." - }, - { - "id": "ps-3.4_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(04)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for information requiring citizenship\n\norganizational process for additional personnel screening for information requiring citizenship" - } - ] - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "params": [ - { - "id": "ps-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4_prm_1" - }, - { - "name": "label", - "value": "PS-04_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period within which to disable system access is defined;" - } - ] - }, - { - "id": "ps-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4_prm_2" - }, - { - "name": "label", - "value": "PS-04_ODP[02]" - } - ], - "label": "information security topics", - "guidelines": [ - { - "prose": "information security topics to be discussed when conducting exit interviews are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-04" - }, - { - "name": "sort-id", - "value": "ps-04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "Upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disable system access within {{ insert: param, ps-04_odp.01 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminate or revoke any authenticators and credentials associated with the individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieve all security-related organizational system-related property; and" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain access to organizational information and systems formerly controlled by terminated individual." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04a.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, system access is disabled within {{ insert: param, ps-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04b.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, any authenticators and credentials are terminated or revoked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04c.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }} are conducted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04d.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, all security-related organizational system-related property is retrieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04e.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination notifications\n\nautomated mechanisms for disabling system access/revoking authenticators" - } - ] - } - ], - "controls": [ - { - "id": "ps-4.1", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-04(01)" - }, - { - "name": "sort-id", - "value": "ps-04.01" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and" - }, - { - "id": "ps-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "id": "ps-4.1_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "terminated individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "terminated individuals are required to sign an acknowledgement of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nsigned post-employment acknowledgement forms\n\nlist of applicable, legally binding post-employment requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-employment requirements" - } - ] - } - ] - }, - { - "id": "ps-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Actions", - "params": [ - { - "id": "ps-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_1" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to notify personnel or roles of individual termination actions and/or to disable access to system resources are defined;" - } - ] - }, - { - "id": "ps-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_2" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "notify{{ insert: param, ps-04.02_odp.03 }}of individual termination actions", - "disable access to system resources" - ] - } - }, - { - "id": "ps-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_3" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified upon termination of an individual is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-04(02)" - }, - { - "name": "sort-id", - "value": "ps-04.02" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-4.2_smt", - "name": "statement", - "prose": "Use {{ insert: param, ps-04.02_odp.01 }} to {{ insert: param, ps-04.02_odp.02 }}." - }, - { - "id": "ps-4.2_gdn", - "name": "guidance", - "prose": "In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-04.02_odp.01 }} are used to {{ insert: param, ps-04.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of personnel termination actions\n\nautomated notifications of employee terminations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "params": [ - { - "id": "ps-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_1" - }, - { - "name": "label", - "value": "PS-05_ODP[01]" - } - ], - "label": "transfer or reassignment actions", - "guidelines": [ - { - "prose": "transfer or reassignment actions to be initiated following transfer or reassignment are defined;" - } - ] - }, - { - "id": "ps-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_2" - }, - { - "name": "label", - "value": "PS-05_ODP[02]" - } - ], - "label": "time period following the formal transfer action", - "guidelines": [ - { - "prose": "the time period within which transfer or reassignment actions must occur following transfer or reassignment is defined;" - } - ] - }, - { - "id": "ps-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_3" - }, - { - "name": "label", - "value": "PS-05_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization is/are defined;" - } - ] - }, - { - "id": "ps-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_4" - }, - { - "name": "label", - "value": "PS-05_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-05" - }, - { - "name": "sort-id", - "value": "ps-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiate {{ insert: param, ps-05_odp.01 }} within {{ insert: param, ps-05_odp.02 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notify {{ insert: param, ps-05_odp.03 }} within {{ insert: param, ps-05_odp.04 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05a.", - "class": "sp800-53A" - } - ], - "prose": "the ongoing operational need for current logical and physical access authorizations to systems and facilities are reviewed and confirmed when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-05_odp.01 }} are initiated within {{ insert: param, ps-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05c.", - "class": "sp800-53A" - } - ], - "prose": "access authorization is modified as needed to correspond with any changes in operational need due to reassignment or transfer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05d.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-05_odp.03 }} are notified within {{ insert: param, ps-05_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel transfer\n\nrecords of personnel transfer actions\n\nlist of system and facility access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer notifications\n\nautomated mechanisms for disabling system access/revoking authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "params": [ - { - "id": "ps-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-6_prm_1" - }, - { - "name": "label", - "value": "PS-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update access agreements is defined;" - } - ] - }, - { - "id": "ps-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-6_prm_2" - }, - { - "name": "label", - "value": "PS-06_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to re-sign access agreements to maintain access to organizational information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-06" - }, - { - "name": "sort-id", - "value": "ps-06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document access agreements for organizational systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the access agreements {{ insert: param, ps-06_odp.01 }} ; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that individuals requiring access to organizational information and systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06a.", - "class": "sp800-53A" - } - ], - "prose": "access agreements are developed and documented for organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06b.", - "class": "sp800-53A" - } - ], - "prose": "the access agreements are reviewed and updated {{ insert: param, ps-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.01", - "class": "sp800-53A" - } - ], - "prose": "individuals requiring access to organizational information and systems sign appropriate access agreements prior to being granted access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.02", - "class": "sp800-53A" - } - ], - "prose": "individuals requiring access to organizational information and systems re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing access agreements for organizational information and systems\n\naccess control policy\n\naccess control procedures\n\naccess agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)\n\ndocumentation of access agreement reviews, updates, and re-signing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing, updating, and re-signing access agreements\n\nautomated mechanisms supporting the reviewing, updating, and re-signing of access agreements" - } - ] - } - ], - "controls": [ - { - "id": "ps-6.1", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-06(01)" - }, - { - "name": "sort-id", - "value": "ps-06.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ps-6.2", - "class": "SP800-53-enhancement", - "title": "Classified Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-06(02)" - }, - { - "name": "sort-id", - "value": "ps-06.02" - } - ], - "links": [ - { - "href": "#ps-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-6.2_smt", - "name": "statement", - "prose": "Verify that access to classified information requiring special protection is granted only to individuals who:", - "parts": [ - { - "id": "ps-6.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "id": "ps-6.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy associated personnel security criteria; and" - }, - { - "id": "ps-6.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Have read, understood, and signed a nondisclosure agreement." - } - ] - }, - { - "id": "ps-6.2_gdn", - "name": "guidance", - "prose": "Classified information that requires special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who satisfy associated personnel security criteria;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(c)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who have read, understood, and signed a non-disclosure agreement." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing access agreements for organizational information and systems\n\naccess agreements\n\naccess authorizations\n\npersonnel security criteria\n\nsigned non-disclosure agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed non-disclosure agreements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access to classified information requiring special protection" - } - ] - } - ] - }, - { - "id": "ps-6.3", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-06(03)" - }, - { - "name": "sort-id", - "value": "ps-06.03" - } - ], - "links": [ - { - "href": "#ps-6", - "rel": "required" - }, - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and" - }, - { - "id": "ps-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information." - } - ] - }, - { - "id": "ps-6.3_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "individuals are required to sign an acknowledgement of applicable, legally binding post-employment requirements as part of being granted initial access to covered information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing access agreements for organizational information and systems\n\nsigned post-employment acknowledgement forms\n\naccess agreements\n\nlist of applicable, legally binding post-employment requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed access agreements that include post-employment requirements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-employment requirements\n\nautomated mechanisms supporting notifications and individual acknowledgements of post-employment requirements" - } - ] - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "External Personnel Security", - "params": [ - { - "id": "ps-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-7_prm_1" - }, - { - "name": "label", - "value": "PS-07_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is/are defined;" - } - ] - }, - { - "id": "ps-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-7_prm_2" - }, - { - "name": "label", - "value": "PS-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-07" - }, - { - "name": "sort-id", - "value": "ps-07" - } - ], - "links": [ - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish personnel security requirements, including security roles and responsibilities for external providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Require external providers to comply with personnel security policies and procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require external providers to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, ps-07_odp.02 }} ; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitor provider compliance with personnel security requirements." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(a)", - "class": "sp800-53A" - } - ], - "prose": "personnel security requirements are established, including security roles and responsibilities for external providers;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(b)", - "class": "sp800-53A" - } - ], - "prose": "external providers are required to comply with personnel security policies and procedures established by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(c)", - "class": "sp800-53A" - } - ], - "prose": "personnel security requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(d)", - "class": "sp800-53A" - } - ], - "prose": "external providers are required to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges within {{ insert: param, ps-07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(e)", - "class": "sp800-53A" - } - ], - "prose": "provider compliance with personnel security requirements is monitored." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing external personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\nexternal providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring external personnel security\n\nautomated mechanisms supporting and/or implementing the monitoring of provider compliance" - } - ] - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "params": [ - { - "id": "ps-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-8_prm_1" - }, - { - "name": "label", - "value": "PS-08_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined;" - } - ] - }, - { - "id": "ps-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-8_prm_2" - }, - { - "name": "label", - "value": "PS-08_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-08" - }, - { - "name": "sort-id", - "value": "ps-08" - } - ], - "links": [ - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notify {{ insert: param, ps-08_odp.01 }} within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08a.", - "class": "sp800-53A" - } - ], - "prose": "a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-08_odp.01 }} is/are notified within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing personnel sanctions\n\naccess agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)\n\nlist of personnel or roles to be notified of formal employee sanctions\n\nrecords or notifications of formal employee sanctions\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing formal employee sanctions\n\nautomated mechanisms supporting and/or implementing formal employee sanctions notifications" - } - ] - } - ] - }, - { - "id": "ps-9", - "class": "SP800-53", - "title": "Position Descriptions", - "props": [ - { - "name": "label", - "value": "PS-09" - }, - { - "name": "sort-id", - "value": "ps-09" - } - ], - "links": [ - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - } - ], - "parts": [ - { - "id": "ps-9_smt", - "name": "statement", - "prose": "Incorporate security and privacy roles and responsibilities into organizational position descriptions." - }, - { - "id": "ps-9_gdn", - "name": "guidance", - "prose": "Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09[01]", - "class": "sp800-53A" - } - ], - "prose": "security roles and responsibilities are incorporated into organizational position descriptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy roles and responsibilities are incorporated into organizational position descriptions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing position descriptions\n\nsecurity and privacy position descriptions\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with human capital management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing position descriptions" - } - ] - } - ] - } - ] - }, - { - "id": "pt", - "class": "family", - "title": "Personally Identifiable Information Processing and Transparency", - "controls": [ - { - "id": "pt-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pt-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pt-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pt-01_odp.01", - "props": [ - { - "name": "label", - "value": "PT-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personally identifiable information processing and transparency policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pt-01_odp.02", - "props": [ - { - "name": "label", - "value": "PT-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personally identifiable information processing and transparency procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pt-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_2" - }, - { - "name": "label", - "value": "PT-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pt-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_3" - }, - { - "name": "label", - "value": "PT-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the personally identifiable information processing and transparency policy and procedures is defined;" - } - ] - }, - { - "id": "pt-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_4" - }, - { - "name": "label", - "value": "PT-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personally identifiable information processing and transparency policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pt-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_5" - }, - { - "name": "label", - "value": "PT-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current personally identifiable information processing and transparency policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pt-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_6" - }, - { - "name": "label", - "value": "PT-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personally identifiable information processing and transparency procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pt-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_7" - }, - { - "name": "label", - "value": "PT-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the personally identifiable information processing and transparency procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-01" - }, - { - "name": "sort-id", - "value": "pt-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pt-1_smt", - "name": "statement", - "parts": [ - { - "id": "pt-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pt-1_prm_1 }}:", - "parts": [ - { - "id": "pt-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy that:", - "parts": [ - { - "id": "pt-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pt-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pt-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;" - } - ] - }, - { - "id": "pt-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pt-01_odp.04 }} to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and" - }, - { - "id": "pt-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personally identifiable information processing and transparency:", - "parts": [ - { - "id": "pt-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pt-01_odp.05 }} and following {{ insert: param, pt-01_odp.06 }} ; and" - }, - { - "id": "pt-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pt-01_odp.07 }} and following {{ insert: param, pt-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pt-1_gdn", - "name": "guidance", - "prose": "Personally identifiable information processing and transparency policy and procedures address the controls in the PT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of personally identifiable information processing and transparency policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personally identifiable information processing and transparency policy and procedures include assessment or audit findings, breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a personally identifiable information processing and transparency policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the personally identifiable information processing and transparency policy is disseminated to {{ insert: param, pt-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information processing and transparency procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and associated personally identifiable information processing and transparency controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the personally identifiable information processing and transparency procedures are disseminated to {{ insert: param, pt-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency policy is reviewed and updated {{ insert: param, pt-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency policy is reviewed and updated following {{ insert: param, pt-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency procedures are reviewed and updated {{ insert: param, pt-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency procedures are reviewed and updated following {{ insert: param, pt-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pt-2", - "class": "SP800-53", - "title": "Authority to Process Personally Identifiable Information", - "params": [ - { - "id": "pt-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_1" - }, - { - "name": "label", - "value": "PT-02_ODP[01]" - } - ], - "label": "authority", - "guidelines": [ - { - "prose": "the authority to permit the processing (defined in PT-02_ODP[02]) of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_2" - }, - { - "name": "label", - "value": "PT-02_ODP[02]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the type of processing of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_3" - }, - { - "name": "label", - "value": "PT-02_ODP[03]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the type of processing of personally identifiable information to be restricted is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02" - }, - { - "name": "sort-id", - "value": "pt-02" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2_smt", - "name": "statement", - "parts": [ - { - "id": "pt-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information; and" - }, - { - "id": "pt-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Restrict the {{ insert: param, pt-02_odp.03 }} of personally identifiable information to only that which is authorized." - } - ] - }, - { - "id": "pt-2_gdn", - "name": "guidance", - "prose": "The processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes but is not limited to creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining.\n\nOrganizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization\u2019s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organization\u2019s policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks.\n\nOrganizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and other documentation.\n\nOrganizations take steps to ensure that personally identifiable information is only processed for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02a.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information is determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-02_odp.03 }} of personally identifiable information is restricted to only that which is authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the restriction of personally identifiable information processing" - } - ] - } - ], - "controls": [ - { - "id": "pt-2.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-02.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.1_prm_1" - }, - { - "name": "label", - "value": "PT-02(01)_ODP[01]" - } - ], - "label": "authorized processing", - "guidelines": [ - { - "prose": "the authorized processing of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.1_prm_2" - }, - { - "name": "label", - "value": "PT-02(01)_ODP[02]" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be tagged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02(01)" - }, - { - "name": "sort-id", - "value": "pt-02.01" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.1_smt", - "name": "statement", - "prose": "Attach data tags containing {{ insert: param, pt-02.01_odp.01 }} to {{ insert: param, pt-02.01_odp.02 }}." - }, - { - "id": "pt-2.1_gdn", - "name": "guidance", - "prose": "Data tags support the tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02(01)", - "class": "sp800-53A" - } - ], - "prose": "data tags containing {{ insert: param, pt-02.01_odp.01 }} are attached to {{ insert: param, pt-02.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures including procedures addressing data tagging\n\ndata tag definitions\n\ndocumented requirements for use and monitoring of data tagging\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\norganizational processes for data tagging\n\nautomated mechanisms for applying and monitoring data tagging\n\nautomated mechanisms supporting and/or implementing the restriction of personally identifiable information processing" - } - ] - } - ] - }, - { - "id": "pt-2.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.2_prm_1" - }, - { - "name": "label", - "value": "PT-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to manage enforcement of the authorized processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02(02)" - }, - { - "name": "sort-id", - "value": "pt-02.02" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.2_smt", - "name": "statement", - "prose": "Manage enforcement of the authorized processing of personally identifiable information using {{ insert: param, pt-02.02_odp }}." - }, - { - "id": "pt-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment verification that only authorized processing is occurring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02(02)", - "class": "sp800-53A" - } - ], - "prose": "enforcement of the authorized processing of personally identifiable information is managed using {{ insert: param, pt-02.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing" - } - ] - } - ] - } - ] - }, - { - "id": "pt-3", - "class": "SP800-53", - "title": "Personally Identifiable Information Processing Purposes", - "params": [ - { - "id": "pt-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_1" - }, - { - "name": "label", - "value": "PT-03_ODP[01]" - } - ], - "label": "purpose(s)", - "guidelines": [ - { - "prose": "the purpose(s) for processing personally identifiable information is/are defined;" - } - ] - }, - { - "id": "pt-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_2" - }, - { - "name": "label", - "value": "PT-03_ODP[02]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the processing of personally identifiable information to be restricted is defined;" - } - ] - }, - { - "id": "pt-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_3" - }, - { - "name": "label", - "value": "PT-03_ODP[03]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms to be implemented for ensuring any changes in the processing of personally identifiable information are made in accordance with requirements are defined;" - } - ] - }, - { - "id": "pt-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_4" - }, - { - "name": "label", - "value": "PT-03_ODP[04]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements for changing the processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03" - }, - { - "name": "sort-id", - "value": "pt-03" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3_smt", - "name": "statement", - "parts": [ - { - "id": "pt-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information;" - }, - { - "id": "pt-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Describe the purpose(s) in the public privacy notices and policies of the organization;" - }, - { - "id": "pt-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Restrict the {{ insert: param, pt-03_odp.02 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and" - }, - { - "id": "pt-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-03_odp.03 }} to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}." - } - ] - }, - { - "id": "pt-3_gdn", - "name": "guidance", - "prose": "Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term \"process\" includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system and individuals whose information is processed by the system to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization\u2019s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching notices, and other applicable Federal Register notices.\n\nOrganizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information.\n\nOrganizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes that arise from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks that arise from changes in personally identifiable information processing purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03a.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information is/are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the purpose(s) is/are described in the public privacy notices of the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the purpose(s) is/are described in the policies of the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03c.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-03_odp.02 }} of personally identifiable information are restricted to only that which is compatible with the identified purpose(s);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes in the processing of personally identifiable information are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-03_odp.03 }} are implemented to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconfiguration management plan\n\norganizational privacy notices\n\norganizational policies\n\nPrivacy Act statements\n\ncomputer matching notices\n\napplicable Federal Register notices\n\ndocumented requirements for enforcing and monitoring the processing of personally identifiable information\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing\n\norganizational processes for monitoring changes in processing personally identifiable information" - } - ] - } - ], - "controls": [ - { - "id": "pt-3.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.1_prm_2" - }, - { - "name": "label", - "value": "PT-03(01)_ODP[01]" - } - ], - "label": "processing purposes", - "guidelines": [ - { - "prose": "processing purposes to be contained in data tags are defined;" - } - ] - }, - { - "id": "pt-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.1_prm_1" - }, - { - "name": "label", - "value": "PT-03(01)_ODP[02]" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be tagged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03(01)" - }, - { - "name": "sort-id", - "value": "pt-03.01" - } - ], - "links": [ - { - "href": "#pt-3", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.1_smt", - "name": "statement", - "prose": "Attach data tags containing the following purposes to {{ insert: param, pt-03.01_odp.02 }}: {{ insert: param, pt-03.01_odp.01 }}." - }, - { - "id": "pt-3.1_gdn", - "name": "guidance", - "prose": "Data tags support the tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03(01)", - "class": "sp800-53A" - } - ], - "prose": "data tags containing {{ insert: param, pt-03.01_odp.01 }} are attached to {{ insert: param, pt-03.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\ndocumented description of how data tags are used to identify personally identifiable information data elements and their authorized uses\n\ndata tag schema\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with data tagging responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing data tagging" - } - ] - } - ] - }, - { - "id": "pt-3.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.2_prm_1" - }, - { - "name": "label", - "value": "PT-03(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for tracking the processing purposes of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03(02)" - }, - { - "name": "sort-id", - "value": "pt-03.02" - } - ], - "links": [ - { - "href": "#pt-3", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.2_smt", - "name": "statement", - "prose": "Track processing purposes of personally identifiable information using {{ insert: param, pt-03.02_odp }}." - }, - { - "id": "pt-3.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment tracking of the processing purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03(02)", - "class": "sp800-53A" - } - ], - "prose": "the processing purposes of personally identifiable information are tracked using {{ insert: param, pt-03.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the enforcement of authorized processing of personally identifiable information\n\nautomated tracking mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "pt-4", - "class": "SP800-53", - "title": "Consent", - "params": [ - { - "id": "pt-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4_prm_1" - }, - { - "name": "label", - "value": "PT-04_ODP" - } - ], - "label": "tools or mechanisms", - "guidelines": [ - { - "prose": "the tools or mechanisms to be implemented for individuals to consent to the processing of their personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04" - }, - { - "name": "sort-id", - "value": "pt-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-04_odp }} for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals\u2019 informed decision-making." - }, - { - "id": "pt-4_gdn", - "name": "guidance", - "prose": "Consent allows individuals to participate in making decisions about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting consent as a control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks that arise from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the processing carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including the type of consent (e.g., opt-in, opt-out), how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-04_odp }} are implemented for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals\u2019 informed decision-making." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nconsent tools and mechanisms\n\nconsent presentation or display (user interface)\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the collection of personally identifiable information\n\nconsent tools or mechanisms for users to authorize the processing of their personally identifiable information\n\nautomated mechanisms implementing consent" - } - ] - } - ], - "controls": [ - { - "id": "pt-4.1", - "class": "SP800-53-enhancement", - "title": "Tailored Consent", - "params": [ - { - "id": "pt-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.1_prm_1" - }, - { - "name": "label", - "value": "PT-04(01)_ODP" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "tailoring mechanisms for processing selected elements of personally identifiable information permissions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(01)" - }, - { - "name": "sort-id", - "value": "pt-04.01" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, pt-04.01_odp }} to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "id": "pt-4.1_gdn", - "name": "guidance", - "prose": "While some processing may be necessary for the basic functionality of the product or service, other processing may not. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors, such as abandonment of the product or service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-04.01_odp }} are provided to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nconsent tools and mechanisms\n\nconsent presentation or display (user interface)\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for consenting to the processing of personally identifiable information\n\nconsent tools or mechanisms\n\nautomated mechanisms implementing consent" - } - ] - } - ] - }, - { - "id": "pt-4.2", - "class": "SP800-53-enhancement", - "title": "Just-in-time Consent", - "params": [ - { - "id": "pt-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_1" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[01]" - } - ], - "label": "consent mechanisms", - "guidelines": [ - { - "prose": "consent mechanisms to be presented to individuals are defined;" - } - ] - }, - { - "id": "pt-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_2" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to present consent mechanisms to individuals is defined;" - } - ] - }, - { - "id": "pt-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_3" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[03]" - } - ], - "label": "personally identifiable information processing", - "guidelines": [ - { - "prose": "personally identifiable information processing to be presented in conjunction with organization-defined consent mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(02)" - }, - { - "name": "sort-id", - "value": "pt-04.02" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.2_smt", - "name": "statement", - "prose": "Present {{ insert: param, pt-04.02_odp.01 }} to individuals at {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}." - }, - { - "id": "pt-4.2_gdn", - "name": "guidance", - "prose": "Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time or in conjunction with specific types of data processing when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information is being processed might not be accurate or reliable if time has passed since the individual last gave consent or the type of processing creates significant privacy risk. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals\u2019 privacy interests and concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-04.02_odp.01 }} are presented to individuals {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the collection of personally identifiable information\n\nmechanisms for obtaining just-in-time consent from users for the processing of their personally identifiable information\n\nautomated mechanisms implementing just-in-time consent" - } - ] - } - ] - }, - { - "id": "pt-4.3", - "class": "SP800-53-enhancement", - "title": "Revocation", - "params": [ - { - "id": "pt-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.3_prm_1" - }, - { - "name": "label", - "value": "PT-04(03)_ODP" - } - ], - "label": "tools or mechanisms", - "guidelines": [ - { - "prose": "the tools or mechanisms to be implemented for revoking consent to the processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(03)" - }, - { - "name": "sort-id", - "value": "pt-04.03" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-04.03_odp }} for individuals to revoke consent to the processing of their personally identifiable information." - }, - { - "id": "pt-4.3_gdn", - "name": "guidance", - "prose": "Revocation of consent enables individuals to exercise control over their initial consent decision when circumstances change. Organizations consider usability factors in enabling easy-to-use revocation capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(03)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-04.03_odp }} are implemented for individuals to revoke consent to the processing of their personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent revocation policies and procedures\n\nconsent revocation user interface or user experience\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for consenting to the processing of personally identifiable information\n\ntools or mechanisms for implementing consent revocation" - } - ] - } - ] - } - ] - }, - { - "id": "pt-5", - "class": "SP800-53", - "title": "Privacy Notice", - "params": [ - { - "id": "pt-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5_prm_1" - }, - { - "name": "label", - "value": "PT-05_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which a notice is provided to individuals after initial interaction with an organization is defined;" - } - ] - }, - { - "id": "pt-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5_prm_2" - }, - { - "name": "label", - "value": "PT-05_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be included with the notice about the processing of personally identifiable information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-05" - }, - { - "name": "sort-id", - "value": "pt-05" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5_smt", - "name": "statement", - "prose": "Provide notice to individuals about the processing of personally identifiable information that:", - "parts": [ - { - "id": "pt-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is available to individuals upon first interacting with an organization, and subsequently at {{ insert: param, pt-05_odp.01 }};" - }, - { - "id": "pt-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;" - }, - { - "id": "pt-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies the authority that authorizes the processing of personally identifiable information;" - }, - { - "id": "pt-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Identifies the purposes for which personally identifiable information is to be processed; and" - }, - { - "id": "pt-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Includes {{ insert: param, pt-05_odp.02 }}." - } - ] - }, - { - "id": "pt-5_gdn", - "name": "guidance", - "prose": "Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices.\n\nPrivacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided such that the notice is available to individuals upon first interacting with an organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided such that the notice is subsequently available to individuals {{ insert: param, pt-05_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05b.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided that is clear, easy-to-understand, and expresses information about personally identifiable information processing in plain language;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05c.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information that identifies the authority that authorizes the processing of personally identifiable information is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05d.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information that identifies the purpose for which personally identifiable information is to be processed is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05e.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information which includes {{ insert: param, pt-05_odp.02 }} is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act statements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information" - } - ] - } - ], - "controls": [ - { - "id": "pt-5.1", - "class": "SP800-53-enhancement", - "title": "Just-in-time Notice", - "params": [ - { - "id": "pt-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5.1_prm_1" - }, - { - "name": "label", - "value": "PT-05(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to present a notice of personally identifiable information processing is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-05(01)" - }, - { - "name": "sort-id", - "value": "pt-05.01" - } - ], - "links": [ - { - "href": "#pt-5", - "rel": "required" - }, - { - "href": "#pm-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.1_smt", - "name": "statement", - "prose": "Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}." - }, - { - "id": "pt-5.1_gdn", - "name": "guidance", - "prose": "Just-in-time notices inform individuals of how organizations process their personally identifiable information at a time when such notices may be most useful to the individuals. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. A just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use a just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. A just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use a just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users\u2019 privacy interests and concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05(01)", - "class": "sp800-53A" - } - ], - "prose": "a notice of personally identifiable information processing is presented to individuals at a time and location where the individual provides personally identifiable information, in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information" - } - ] - } - ] - }, - { - "id": "pt-5.2", - "class": "SP800-53-enhancement", - "title": "Privacy Act Statements", - "props": [ - { - "name": "label", - "value": "PT-05(02)" - }, - { - "name": "sort-id", - "value": "pt-05.02" - } - ], - "links": [ - { - "href": "#pt-5", - "rel": "required" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.2_smt", - "name": "statement", - "prose": "Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals." - }, - { - "id": "pt-5.2_gdn", - "name": "guidance", - "prose": "If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond.\n\n[PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05(02)", - "class": "sp800-53A" - } - ], - "prose": "Privacy Act statements are included on forms that collect information that will be maintained in a Privacy Act system of records, or Privacy Act statements are provided on separate forms that can be retained by individuals." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nforms that include Privacy Act statements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for including Privacy Act statements on forms that collect information or on separate forms that can be retained by individuals" - } - ] - } - ] - } - ] - }, - { - "id": "pt-6", - "class": "SP800-53", - "title": "System of Records Notice", - "props": [ - { - "name": "label", - "value": "PT-06" - }, - { - "name": "sort-id", - "value": "pt-06" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6_smt", - "name": "statement", - "prose": "For systems that process information that will be maintained in a Privacy Act system of records:", - "parts": [ - { - "id": "pt-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;" - }, - { - "id": "pt-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Publish system of records notices in the Federal Register; and" - }, - { - "id": "pt-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Keep system of records notices accurate, up-to-date, and scoped in accordance with policy." - } - ] - }, - { - "id": "pt-6_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108](#3671ff20-c17c-44d6-8a88-7de203fa74aa)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are drafted in accordance with OMB guidance for systems that process information that will be maintained in a Privacy Act system of records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "new and significantly modified system of records notices are submitted to the OMB and appropriate congressional committees for advance review for systems that process information that will be maintained in a Privacy Act system of records;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06b.", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are published in the Federal Register for systems that process information that will be maintained in a Privacy Act system of records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06c.", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are kept accurate, up-to-date, and scoped in accordance with policy for systems that process information that will be maintained in a Privacy Act system of records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nFederal Register notices\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for Privacy Act system of records maintenance" - } - ] - } - ], - "controls": [ - { - "id": "pt-6.1", - "class": "SP800-53-enhancement", - "title": "Routine Uses", - "params": [ - { - "id": "pt-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-6.1_prm_1" - }, - { - "name": "label", - "value": "PT-06(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review all routine uses published in the system of records notice is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-06(01)" - }, - { - "name": "sort-id", - "value": "pt-06.01" - } - ], - "links": [ - { - "href": "#pt-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-6.1_smt", - "name": "statement", - "prose": "Review all routine uses published in the system of records notice at {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "id": "pt-6.1_gdn", - "name": "guidance", - "prose": "A [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(01)", - "class": "sp800-53A" - } - ], - "prose": "all routine uses published in the system of records notice are reviewed {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing system of records notices" - } - ] - } - ] - }, - { - "id": "pt-6.2", - "class": "SP800-53-enhancement", - "title": "Exemption Rules", - "params": [ - { - "id": "pt-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-6.2_prm_1" - }, - { - "name": "label", - "value": "PT-06(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review all Privacy Act exemptions claimed for the system of records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-06(02)" - }, - { - "name": "sort-id", - "value": "pt-06.02" - } - ], - "links": [ - { - "href": "#pt-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-6.2_smt", - "name": "statement", - "prose": "Review all Privacy Act exemptions claimed for the system of records at {{ insert: param, pt-06.02_odp }} to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice." - }, - { - "id": "pt-6.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. In certain circumstances, these provisions allow agencies to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . At a minimum, organizations\u2019 [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they remain appropriate and necessary in accordance with law;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they have been promulgated as regulations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they are accurately described in the system of records notice." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nPrivacy Act exemptions\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for Privacy Act system of records maintenance" - } - ] - } - ] - } - ] - }, - { - "id": "pt-7", - "class": "SP800-53", - "title": "Specific Categories of Personally Identifiable Information", - "params": [ - { - "id": "pt-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-7_prm_1" - }, - { - "name": "label", - "value": "PT-07_ODP" - } - ], - "label": "processing conditions", - "guidelines": [ - { - "prose": "processing conditions to be applied for specific categories of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-07" - }, - { - "name": "sort-id", - "value": "pt-07" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7_smt", - "name": "statement", - "prose": "Apply {{ insert: param, pt-07_odp }} for specific categories of personally identifiable information." - }, - { - "id": "pt-7_gdn", - "name": "guidance", - "prose": "Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from the results of privacy risk assessments that factor in contextual changes that may result in an organizational determination that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-07_odp }} are applied for specific categories of personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\ncomputer matching agreements and notices\n\ncontracts\n\nprivacy information sharing agreements\n\nmemoranda of understanding\n\ngoverning requirements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing" - } - ] - } - ], - "controls": [ - { - "id": "pt-7.1", - "class": "SP800-53-enhancement", - "title": "Social Security Numbers", - "props": [ - { - "name": "label", - "value": "PT-07(01)" - }, - { - "name": "sort-id", - "value": "pt-07.01" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "required" - }, - { - "href": "#ia-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7.1_smt", - "name": "statement", - "prose": "When a system processes Social Security numbers:", - "parts": [ - { - "id": "pt-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;" - }, - { - "id": "pt-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Do not deny any individual any right, benefit, or privilege provided by law because of such individual\u2019s refusal to disclose his or her Social Security number; and" - }, - { - "id": "pt-7.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it." - } - ] - }, - { - "id": "pt-7.1_gdn", - "name": "guidance", - "prose": "Federal law and policy establish specific requirements for organizations\u2019 processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information and observe any particular requirements that apply." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, the unnecessary collection, maintenance, and use of Social Security numbers are eliminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, alternatives to the use of Social Security Numbers as a personal identifier are explored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, individual rights, benefits, or privileges provided by law are not denied because of an individual\u2019s refusal to disclose their Social Security number;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed by what statutory or other authority the number is solicited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[03]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed what uses will be made of it." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reviewing, and taking action to control the unnecessary use of Social Security numbers\n\nimplementation of an alternative to Social Security numbers as identifiers" - } - ] - } - ] - }, - { - "id": "pt-7.2", - "class": "SP800-53-enhancement", - "title": "First Amendment Information", - "props": [ - { - "name": "label", - "value": "PT-07(02)" - }, - { - "name": "sort-id", - "value": "pt-07.02" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-7.2_smt", - "name": "statement", - "prose": "Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "id": "pt-7.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) limits agencies\u2019 ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(02)", - "class": "sp800-53A" - } - ], - "prose": "the processing of information describing how any individual exercises rights guaranteed by the First Amendment is prohibited unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing" - } - ] - } - ] - } - ] - }, - { - "id": "pt-8", - "class": "SP800-53", - "title": "Computer Matching Requirements", - "props": [ - { - "name": "label", - "value": "PT-08" - }, - { - "name": "sort-id", - "value": "pt-08" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#94c64e1a-456c-457f-86da-83ac0dfc85ac", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-8_smt", - "name": "statement", - "prose": "When a system or organization processes information for the purpose of conducting a matching program:", - "parts": [ - { - "id": "pt-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain approval from the Data Integrity Board to conduct the matching program;" - }, - { - "id": "pt-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop and enter into a computer matching agreement;" - }, - { - "id": "pt-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Publish a matching notice in the Federal Register;" - }, - { - "id": "pt-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and" - }, - { - "id": "pt-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual." - } - ] - }, - { - "id": "pt-8_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) establishes requirements for federal and non-federal agencies if they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to federal benefit programs or federal personnel or payroll records. A federal benefit match is performed to determine or verify eligibility for payments under federal benefit programs or to recoup payments or delinquent debts under federal benefit programs. A matching program involves not just the matching activity itself but also the investigative follow-up and ultimate action, if any." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08a.", - "class": "sp800-53A" - } - ], - "prose": "approval to conduct the matching program is obtained from the Data Integrity Board when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "a computer matching agreement is developed when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a computer matching agreement is entered into when a system or organization processes information for the purpose of conducting a matching program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08c.", - "class": "sp800-53A" - } - ], - "prose": "a matching notice is published in the Federal Register when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08d.", - "class": "sp800-53A" - } - ], - "prose": "the information produced by the matching program is independently verified before taking adverse action against an individual, if required, when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals are provided with notice when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals are provided with an opportunity to contest the findings before adverse action is taken against them when a system or organization processes information for the purpose of conducting a matching program." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nFederal Register notices\n\nData Integrity Board determinations\n\ncontracts\n\ninformation sharing agreements\n\nmemoranda of understanding\n\ngoverning requirements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing\n\nmatching program" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ra-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-01_odp.01" - }, - { - "name": "aggregates", - "value": "ra-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-01_odp.01", - "props": [ - { - "name": "label", - "value": "RA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the risk assessment policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-01_odp.02", - "props": [ - { - "name": "label", - "value": "RA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the risk assessment procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_2" - }, - { - "name": "label", - "value": "RA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ra-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_3" - }, - { - "name": "label", - "value": "RA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the risk assessment policy and procedures is defined;" - } - ] - }, - { - "id": "ra-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_4" - }, - { - "name": "label", - "value": "RA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current risk assessment policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ra-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_5" - }, - { - "name": "label", - "value": "RA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current risk assessment policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ra-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_6" - }, - { - "name": "label", - "value": "RA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current risk assessment procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ra-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_7" - }, - { - "name": "label", - "value": "RA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require risk assessment procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-01" - }, - { - "name": "sort-id", - "value": "ra-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ra-01_odp.03 }} risk assessment policy that:", - "parts": [ - { - "id": "ra-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ra-01_odp.04 }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and" - }, - { - "id": "ra-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current risk assessment:", - "parts": [ - { - "id": "ra-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ra-01_odp.05 }} and following {{ insert: param, ra-01_odp.06 }} ; and" - }, - { - "id": "ra-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ra-01_odp.07 }} and following {{ insert: param, ra-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment policy is disseminated to {{ insert: param, ra-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment procedures are disseminated to {{ insert: param, ra-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the risk assessment policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment policy is reviewed and updated {{ insert: param, ra-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment policy is reviewed and updated following {{ insert: param, ra-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment procedures are reviewed and updated {{ insert: param, ra-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment procedures are reviewed and updated following {{ insert: param, ra-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "props": [ - { - "name": "label", - "value": "RA-02" - }, - { - "name": "sort-id", - "value": "ra-02" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorize the system and information it processes, stores, and transmits;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document the security categorization results, including supporting rationale, in the security plan for the system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides additional guidance on categorization for national security systems.\n\nOrganizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT](#13f0c39d-eaf7-417a-baef-69a041878bb5) and Homeland Security Presidential Directives, potential national-level adverse impacts.\n\nSecurity categorization processes facilitate the development of inventories of information assets and, along with [CM-8](#cm-8) , mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02a.", - "class": "sp800-53A" - } - ], - "prose": "the system and the information it processes, stores, and transmits are categorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02b.", - "class": "sp800-53A" - } - ], - "prose": "the security categorization results, including supporting rationale, are documented in the security plan for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02c.", - "class": "sp800-53A" - } - ], - "prose": "the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and systems\n\nsecurity categorization documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ], - "controls": [ - { - "id": "ra-2.1", - "class": "SP800-53-enhancement", - "title": "Impact-level Prioritization", - "props": [ - { - "name": "label", - "value": "RA-02(01)" - }, - { - "name": "sort-id", - "value": "ra-02.01" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-2.1_smt", - "name": "statement", - "prose": "Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels." - }, - { - "id": "ra-2.1_gdn", - "name": "guidance", - "prose": "Organizations apply the \"high-water mark\" concept to each system categorized in accordance with [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) , resulting in systems designated as low impact, moderate impact, or high impact. Organizations that desire additional granularity in the system impact designations for risk-based decision-making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and information exchanges. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems. Alternatively, organizations can apply the guidance in [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) for security objective-related categorization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "an impact-level prioritization of organizational systems is conducted to obtain additional granularity on system impact levels." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity and privacy planning policy and procedures\n\nprocedures addressing security categorization of organizational information and systems\n\nsecurity categorization documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "params": [ - { - "id": "ra-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_1" - }, - { - "name": "label", - "value": "RA-03_ODP[01]" - } - ], - "select": { - "choice": [ - "security and privacy plans", - "risk assessment report", - " {{ insert: param, ra-03_odp.02 }} " - ] - } - }, - { - "id": "ra-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_2" - }, - { - "name": "label", - "value": "RA-03_ODP[02]" - } - ], - "label": "document", - "guidelines": [ - { - "prose": "a document in which risk assessment results are to be documented (if not documented in the security and privacy plans or risk assessment report) is defined (if selected);" - } - ] - }, - { - "id": "ra-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_3" - }, - { - "name": "label", - "value": "RA-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to review risk assessment results is defined;" - } - ] - }, - { - "id": "ra-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_4" - }, - { - "name": "label", - "value": "RA-03_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom risk assessment results are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_5" - }, - { - "name": "label", - "value": "RA-03_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to update the risk assessment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03" - }, - { - "name": "sort-id", - "value": "ra-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct a risk assessment, including:", - "parts": [ - { - "id": "ra-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Identifying threats to and vulnerabilities in the system;" - }, - { - "id": "ra-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and" - }, - { - "id": "ra-3_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "id": "ra-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document risk assessment results in {{ insert: param, ra-03_odp.01 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review risk assessment results {{ insert: param, ra-03_odp.03 }};" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disseminate risk assessment results to {{ insert: param, ra-03_odp.04 }} ; and" - }, - { - "id": "ra-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Update the risk assessment {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities.\n\nOrganizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle.\n\nRisk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.01", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to identify threats to and vulnerabilities in the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.02", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.03", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03b.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03c.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are documented in {{ insert: param, ra-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03d.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are reviewed {{ insert: param, ra-03_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03e.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are disseminated to {{ insert: param, ra-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03f.", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment is updated {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nrisk assessment procedures\n\nsecurity and privacy planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ], - "controls": [ - { - "id": "ra-3.1", - "class": "SP800-53-enhancement", - "title": "Supply Chain Risk Assessment", - "params": [ - { - "id": "ra-3.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-03.01_odp.01" - }, - { - "name": "aggregates", - "value": "ra-03.01_odp.02" - }, - { - "name": "aggregates", - "value": "ra-03.01_odp.03" - } - ], - "label": "organization-defined systems, system components, and system services" - }, - { - "id": "ra-03.01_odp.01", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[01]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.02", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.03", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[03]" - } - ], - "label": "system services", - "guidelines": [ - { - "prose": "system services to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.1_prm_2" - }, - { - "name": "label", - "value": "RA-03(01)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to update the supply chain risk assessment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(01)" - }, - { - "name": "sort-id", - "value": "ra-03.01" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#pm-17", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assess supply chain risks associated with {{ insert: param, ra-3.1_prm_1 }} ; and" - }, - { - "id": "ra-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Update the supply chain risk assessment {{ insert: param, ra-03.01_odp.04 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "id": "ra-3.1_gdn", - "name": "guidance", - "prose": "Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.01 }} are assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.02 }} are assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.03 }} are assessed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk assessment is updated {{ insert: param, ra-03.01_odp.04 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\ninventory of critical systems, system components, and system services\n\nrisk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of supply chain risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nacquisition policy\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.2", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "RA-03(02)" - }, - { - "name": "sort-id", - "value": "ra-03.02" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-3.2_smt", - "name": "statement", - "prose": "Use all-source intelligence to assist in the analysis of risk." - }, - { - "id": "ra-3.2_gdn", - "name": "guidance", - "prose": "Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information, measurement and signature intelligence, human intelligence, signals intelligence, and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(02)", - "class": "sp800-53A" - } - ], - "prose": "all-source intelligence is used to assist in the analysis of risk." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk intelligence reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Threat Awareness", - "params": [ - { - "id": "ra-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.3_prm_1" - }, - { - "name": "label", - "value": "RA-03(03)_ODP" - } - ], - "label": "means", - "guidelines": [ - { - "prose": "means to determine the current cyber threat environment on an ongoing basis;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(03)" - }, - { - "name": "sort-id", - "value": "ra-03.03" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.3_smt", - "name": "statement", - "prose": "Determine the current cyber threat environment on an ongoing basis using {{ insert: param, ra-03.03_odp }}." - }, - { - "id": "ra-3.3_gdn", - "name": "guidance", - "prose": "The threat awareness information that is gathered feeds into the organization\u2019s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the current cyber threat environment is determined on an ongoing basis using {{ insert: param, ra-03.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.4", - "class": "SP800-53-enhancement", - "title": "Predictive Cyber Analytics", - "params": [ - { - "id": "ra-3.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ra-03.04_odp.01" - }, - { - "name": "aggregates", - "value": "ra-03.04_odp.03" - } - ], - "label": "organization-defined advanced automation and analytics capabilities" - }, - { - "id": "ra-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "RA-03(04)_ODP[01]" - } - ], - "label": "advanced automation capabilities", - "guidelines": [ - { - "prose": "advanced automation capabilities to predict and identify risks are defined;" - } - ] - }, - { - "id": "ra-03.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.4_prm_1" - }, - { - "name": "label", - "value": "RA-03(04)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components where advanced automation and analytics capabilities are to be employed are defined;" - } - ] - }, - { - "id": "ra-03.04_odp.03", - "props": [ - { - "name": "label", - "value": "RA-03(04)_ODP[03]" - } - ], - "label": "advanced analytics capabilities", - "guidelines": [ - { - "prose": "advanced analytics capabilities to predict and identify risks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(04)" - }, - { - "name": "sort-id", - "value": "ra-03.04" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-3.4_smt", - "name": "statement", - "prose": "Employ the following advanced automation and analytics capabilities to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}: {{ insert: param, ra-3.4_prm_2 }}." - }, - { - "id": "ra-3.4_gdn", - "name": "guidance", - "prose": "A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts, including machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), automated workflow operations, and machine assisted decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure that sophisticated adversaries are not able to conceal their activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-03.04_odp.01 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-03.04_odp.03 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - } - ] - }, - { - "id": "ra-4", - "class": "SP800-53", - "title": "Risk Assessment Update", - "props": [ - { - "name": "label", - "value": "RA-04" - }, - { - "name": "sort-id", - "value": "ra-04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Monitoring and Scanning", - "params": [ - { - "id": "ra-5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-05_odp.01" - }, - { - "name": "aggregates", - "value": "ra-05_odp.02" - } - ], - "label": "organization-defined frequency and/or randomly in accordance with organization-defined process" - }, - { - "id": "ra-05_odp.01", - "props": [ - { - "name": "label", - "value": "RA-05_ODP[01]" - } - ], - "label": "frequency and/or randomly in accordance with organization-defined process", - "guidelines": [ - { - "prose": "frequency for monitoring systems and hosted applications for vulnerabilities is defined;" - } - ] - }, - { - "id": "ra-05_odp.02", - "props": [ - { - "name": "label", - "value": "RA-05_ODP[02]" - } - ], - "label": "frequency and/or randomly in accordance with organization-defined process", - "guidelines": [ - { - "prose": "frequency for scanning systems and hosted applications for vulnerabilities is defined;" - } - ] - }, - { - "id": "ra-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5_prm_2" - }, - { - "name": "label", - "value": "RA-05_ODP[03]" - } - ], - "label": "response times", - "guidelines": [ - { - "prose": "response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk are defined;" - } - ] - }, - { - "id": "ra-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5_prm_3" - }, - { - "name": "label", - "value": "RA-05_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles with whom information obtained from the vulnerability scanning process and control assessments is to be shared;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05" - }, - { - "name": "sort-id", - "value": "ra-05" - } - ], - "links": [ - { - "href": "#8df72805-2e5c-4731-a73e-81db0f0318d0", - "rel": "reference" - }, - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "rel": "reference" - }, - { - "href": "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "rel": "reference" - }, - { - "href": "#d2ebec9b-f868-4ee1-a2bd-0b2282aed248", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyze vulnerability scan reports and results from vulnerability monitoring;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediate legitimate vulnerabilities {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems; and" - }, - { - "id": "ra-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned." - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities\u2014such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers\u2014are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers.\n\nVulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\n\nVulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation.\n\nOrganizations may also employ the use of financial incentives (also known as \"bug bounties\" ) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization\u2019s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "systems and hosted applications are monitored for vulnerabilities {{ insert: param, ra-05_odp.01 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "systems and hosted applications are scanned for vulnerabilities {{ insert: param, ra-05_odp.02 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.01", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to automate parts of the vulnerability management process by using standards for enumerating platforms, software flaws, and improper configurations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.02", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for formatting checklists and test procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.03", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for measuring vulnerability impact;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05c.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability scan reports and results from vulnerability monitoring are analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05d.", - "class": "sp800-53A" - } - ], - "prose": "legitimate vulnerabilities are remediated {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05e.", - "class": "sp800-53A" - } - ], - "prose": "information obtained from the vulnerability monitoring process and control assessments is shared with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05f.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned are employed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing" - } - ] - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "props": [ - { - "name": "label", - "value": "RA-05(01)" - }, - { - "name": "sort-id", - "value": "ra-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update Vulnerabilities to Be Scanned", - "params": [ - { - "id": "ra-05.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.2_prm_1" - }, - { - "name": "label", - "value": "RA-05(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-05.02_odp.02 }} ", - "prior to a new scan", - "when new vulnerabilities are identified and reported" - ] - } - }, - { - "id": "ra-05.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.2_prm_2" - }, - { - "name": "label", - "value": "RA-05(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating the system vulnerabilities scanned is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(02)" - }, - { - "name": "sort-id", - "value": "ra-05.02" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "Update the system vulnerabilities to be scanned {{ insert: param, ra-05.02_odp.01 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "prose": "Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(02)", - "class": "sp800-53A" - } - ], - "prose": "the system vulnerabilities to be scanned are updated {{ insert: param, ra-05.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth and Depth of Coverage", - "props": [ - { - "name": "label", - "value": "RA-05(03)" - }, - { - "name": "sort-id", - "value": "ra-05.03" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "Define the breadth and depth of vulnerability scanning coverage." - }, - { - "id": "ra-5.3_gdn", - "name": "guidance", - "prose": "The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. [SP 800-53A](#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d) provides additional information on the breadth and depth of coverage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(03)", - "class": "sp800-53A" - } - ], - "prose": "the breadth and depth of vulnerability scanning coverage are defined." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.4", - "class": "SP800-53-enhancement", - "title": "Discoverable Information", - "params": [ - { - "id": "ra-05.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.4_prm_1" - }, - { - "name": "label", - "value": "RA-05(04)_ODP" - } - ], - "label": "corrective actions", - "guidelines": [ - { - "prose": "corrective actions to be taken if information about the system is discoverable are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(04)" - }, - { - "name": "sort-id", - "value": "ra-05.04" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.4_smt", - "name": "statement", - "prose": "Determine information about the system that is discoverable and take {{ insert: param, ra-05.04_odp }}." - }, - { - "id": "ra-5.4_gdn", - "name": "guidance", - "prose": "Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "information about the system is discoverable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-05.04_odp }} are taken when information about the system is confirmed as discoverable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\npenetration test results\n\nvulnerability scanning results\n\nrisk assessment report\n\nrecords of corrective actions taken\n\nincident response records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning and/or penetration testing responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel responsible for risk response\n\norganizational personnel responsible for incident management and response\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational processes for risk response\n\norganizational processes for incident management and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing risk response\n\nautomated mechanisms supporting and/or implementing incident management and response" - } - ] - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "params": [ - { - "id": "ra-05.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.5_prm_1" - }, - { - "name": "label", - "value": "RA-05(05)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to which privileged access is authorized for selected vulnerability scanning activities are defined;" - } - ] - }, - { - "id": "ra-05.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.5_prm_2" - }, - { - "name": "label", - "value": "RA-05(05)_ODP[02]" - } - ], - "label": "vulnerability scanning activities", - "guidelines": [ - { - "prose": "vulnerability scanning activities selected for privileged access authorization to system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(05)" - }, - { - "name": "sort-id", - "value": "ra-05.05" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "Implement privileged access authorization to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "privileged access authorization is implemented to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system components for vulnerability scanning\n\npersonnel access authorization list\n\nauthorization credentials\n\naccess authorization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\nsystem/network administrators\n\norganizational personnel responsible for access control to the system\n\norganizational personnel responsible for configuration management of the system\n\nsystem developers\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational processes for access control\n\nautomated mechanisms supporting and/or implementing access control\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "params": [ - { - "id": "ra-05.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.6_prm_1" - }, - { - "name": "label", - "value": "RA-05(06)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to compare the results of multiple vulnerability scans are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(06)" - }, - { - "name": "sort-id", - "value": "ra-05.06" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "Compare the results of multiple vulnerability scans using {{ insert: param, ra-05.06_odp }}." - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to analyze multiple vulnerability scans over time can help determine trends in system vulnerabilities and identify patterns of attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(06)", - "class": "sp800-53A" - } - ], - "prose": "the results of multiple vulnerability scans are compared using {{ insert: param, ra-05.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsystem design documentation\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing trend analysis of vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.7", - "class": "SP800-53-enhancement", - "title": "Automated Detection and Notification of Unauthorized Components", - "props": [ - { - "name": "label", - "value": "RA-05(07)" - }, - { - "name": "sort-id", - "value": "ra-05.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "params": [ - { - "id": "ra-05.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.8_prm_1" - }, - { - "name": "label", - "value": "RA-05(08)_ODP[01]" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "a system whose historic audit logs are to be reviewed is defined;" - } - ] - }, - { - "id": "ra-05.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.8_prm_2" - }, - { - "name": "label", - "value": "RA-05(08)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for a potential previous exploit of a system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(08)" - }, - { - "name": "sort-id", - "value": "ra-05.08" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within an {{ insert: param, ra-05.08_odp.02 }}." - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "prose": "Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(08)", - "class": "sp800-53A" - } - ], - "prose": "historic audit logs are reviewed to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within {{ insert: param, ra-05.08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\naudit logs\n\nrecords of audit log reviews\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with audit record review responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational process for audit record review and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing audit record review" - } - ] - } - ] - }, - { - "id": "ra-5.9", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analyses", - "props": [ - { - "name": "label", - "value": "RA-05(09)" - }, - { - "name": "sort-id", - "value": "ra-05.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.10", - "class": "SP800-53-enhancement", - "title": "Correlate Scanning Information", - "props": [ - { - "name": "label", - "value": "RA-05(10)" - }, - { - "name": "sort-id", - "value": "ra-05.10" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.10_smt", - "name": "statement", - "prose": "Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "id": "ra-5.10_gdn", - "name": "guidance", - "prose": "An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(10)", - "class": "sp800-53A" - } - ], - "prose": "the output from vulnerability scanning tools is correlated to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nvulnerability management records\n\naudit records\n\nevent/vulnerability correlation logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms implementing correlation of vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.11", - "class": "SP800-53-enhancement", - "title": "Public Disclosure Program", - "props": [ - { - "name": "label", - "value": "RA-05(11)" - }, - { - "name": "sort-id", - "value": "ra-05.11" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.11_smt", - "name": "statement", - "prose": "Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "id": "ra-5.11_gdn", - "name": "guidance", - "prose": "The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(11)", - "class": "sp800-53A" - } - ], - "prose": "a public reporting channel is established for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nvulnerability management records\n\naudit records\n\npublic reporting channel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms implementing public reporting of vulnerabilities" - } - ] - } - ] - } - ] - }, - { - "id": "ra-6", - "class": "SP800-53", - "title": "Technical Surveillance Countermeasures Survey", - "params": [ - { - "id": "ra-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_1" - }, - { - "name": "label", - "value": "RA-06_ODP[01]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to employ technical surveillance countermeasure surveys are defined;" - } - ] - }, - { - "id": "ra-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_2" - }, - { - "name": "label", - "value": "RA-06_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-06_odp.03 }} ", - "when{{ insert: param, ra-06_odp.04 }} " - ] - } - }, - { - "id": "ra-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_3" - }, - { - "name": "label", - "value": "RA-06_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to employ technical surveillance countermeasure surveys is defined (if selected);" - } - ] - }, - { - "id": "ra-06_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_4" - }, - { - "name": "label", - "value": "RA-06_ODP[04]" - } - ], - "label": "events or indicators", - "guidelines": [ - { - "prose": "events or indicators which, if they occur, trigger a technical surveillance countermeasures survey are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-06" - }, - { - "name": "sort-id", - "value": "ra-06" - } - ], - "parts": [ - { - "id": "ra-6_smt", - "name": "statement", - "prose": "Employ a technical surveillance countermeasures survey at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}." - }, - { - "id": "ra-6_gdn", - "name": "guidance", - "prose": "A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-06", - "class": "sp800-53A" - } - ], - "prose": "a technical surveillance countermeasures survey is employed at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing technical surveillance countermeasures surveys\n\naudit records/event logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with technical surveillance countermeasures surveys responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for technical surveillance countermeasures surveys\n\nautomated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys" - } - ] - } - ] - }, - { - "id": "ra-7", - "class": "SP800-53", - "title": "Risk Response", - "props": [ - { - "name": "label", - "value": "RA-07" - }, - { - "name": "sort-id", - "value": "ra-07" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-7_smt", - "name": "statement", - "prose": "Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance." - }, - { - "id": "ra-7_gdn", - "name": "guidance", - "prose": "Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[01]", - "class": "sp800-53A" - } - ], - "prose": "findings from security assessments are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[02]", - "class": "sp800-53A" - } - ], - "prose": "findings from privacy assessments are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[03]", - "class": "sp800-53A" - } - ], - "prose": "findings from monitoring are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[04]", - "class": "sp800-53A" - } - ], - "prose": "findings from audits are responded to in accordance with organizational risk tolerance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\naudit records/event logs\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\nsystem/network administrators\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-8", - "class": "SP800-53", - "title": "Privacy Impact Assessments", - "props": [ - { - "name": "label", - "value": "RA-08" - }, - { - "name": "sort-id", - "value": "ra-08" - } - ], - "links": [ - { - "href": "#7b0b9634-741a-4335-b6fa-161228c3a76e", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#d229ae60-51dd-4d7b-a8bf-1f7195cc7561", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-8_smt", - "name": "statement", - "prose": "Conduct privacy impact assessments for systems, programs, or other activities before:", - "parts": [ - { - "id": "ra-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Developing or procuring information technology that processes personally identifiable information; and" - }, - { - "id": "ra-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiating a new collection of personally identifiable information that:", - "parts": [ - { - "id": "ra-8_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Will be processed using information technology; and" - }, - { - "id": "ra-8_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "id": "ra-8_gdn", - "name": "guidance", - "prose": "A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document that details the process and the outcome of the analysis.\n\nOrganizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization\u2019s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization\u2019s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization\u2019s practices, or other factors alter the privacy risks associated with the use of such information technology.\n\nTo conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes that may have different names, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization\u2019s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV](#7b0b9634-741a-4335-b6fa-161228c3a76e) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08a.", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before developing or procuring information technology that processes personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that will be processed using information technology;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity and privacy risk assessment reports\n\nacquisitions documents\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nprogram managers\n\nlegal counsel\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-9", - "class": "SP800-53", - "title": "Criticality Analysis", - "params": [ - { - "id": "ra-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-9_prm_1" - }, - { - "name": "label", - "value": "RA-09_ODP[01]" - } - ], - "label": "systems, system components, or system services", - "guidelines": [ - { - "prose": "systems, system components, or system services to be analyzed for criticality are defined;" - } - ] - }, - { - "id": "ra-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-9_prm_2" - }, - { - "name": "label", - "value": "RA-09_ODP[02]" - } - ], - "label": "decision points in the system development life cycle", - "guidelines": [ - { - "prose": "decision points in the system development life cycle when a criticality analysis is to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-09" - }, - { - "name": "sort-id", - "value": "ra-09" - } - ], - "links": [ - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-9_smt", - "name": "statement", - "prose": "Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}." - }, - { - "id": "ra-9_gdn", - "name": "guidance", - "prose": "Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system.\n\nThe operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions.\n\nCriticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in [RA-2](#ra-2)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-09", - "class": "sp800-53A" - } - ], - "prose": "critical system components and functions are identified by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\ncriticality analysis/finalized criticality for each component/subcomponent\n\naudit records/event logs\n\nanalysis reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\norganizational personnel with criticality analysis responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-10", - "class": "SP800-53", - "title": "Threat Hunting", - "params": [ - { - "id": "ra-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-10_prm_1" - }, - { - "name": "label", - "value": "RA-10_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to employ the threat hunting capability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-10" - }, - { - "name": "sort-id", - "value": "ra-10" - } - ], - "links": [ - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-10_smt", - "name": "statement", - "parts": [ - { - "id": "ra-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and maintain a cyber threat hunting capability to:", - "parts": [ - { - "id": "ra-10_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Search for indicators of compromise in organizational systems; and" - }, - { - "id": "ra-10_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Detect, track, and disrupt threats that evade existing controls; and" - } - ] - }, - { - "id": "ra-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the threat hunting capability {{ insert: param, ra-10_odp }}." - } - ] - }, - { - "id": "ra-10_gdn", - "name": "guidance", - "prose": "Threat hunting is an active means of cyber defense in contrast to traditional protection measures, such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.01", - "class": "sp800-53A" - } - ], - "prose": "a cyber threat capability is established and maintained to search for indicators of compromise in organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.02", - "class": "sp800-53A" - } - ], - "prose": "a cyber threat capability is established and maintained to detect, track, and disrupt threats that evade existing controls;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10b.", - "class": "sp800-53A" - } - ], - "prose": "the threat hunting capability is employed {{ insert: param, ra-10_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\naudit records/event logs\n\nthreat hunting capability\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with threat hunting responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing threat hunting capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sa-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.02" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "Organization-level", - "Mission/business process-level", - "System-level" - ] - } - }, - { - "id": "sa-1_prm_7", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.07" - } - ], - "label": "organization-defined events" - }, - { - "id": "sa-01_odp.01", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and services acquisition policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "sa-01_odp.02", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and services acquisition procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "sa-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_3" - }, - { - "name": "label", - "value": "SA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sa-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_4" - }, - { - "name": "label", - "value": "SA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and services acquisition policy and procedures is defined;" - } - ] - }, - { - "id": "sa-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_5" - }, - { - "name": "label", - "value": "SA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and services acquisition policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sa-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_6" - }, - { - "name": "label", - "value": "SA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and services acquisition policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sa-01_odp.07", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and services acquisition procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "sa-01_odp.08", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and services acquisition procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-01" - }, - { - "name": "sort-id", - "value": "sa-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sa-1_prm_2 }} system and services acquisition policy that:", - "parts": [ - { - "id": "sa-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sa-01_odp.03 }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and" - }, - { - "id": "sa-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and services acquisition:", - "parts": [ - { - "id": "sa-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sa-01_odp.04 }} and following {{ insert: param, sa-01_odp.05 }} ; and" - }, - { - "id": "sa-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sa-01_odp.06 }} and following {{ insert: param, sa-1_prm_7 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and services acquisition policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition policy is disseminated to {{ insert: param, sa-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition procedures are disseminated to {{ insert: param, sa-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition policy is reviewed and updated {{ insert: param, sa-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition policy is reviewed and updated following {{ insert: param, sa-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition procedures are reviewed and updated {{ insert: param, sa-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition procedures are reviewed and updated following {{ insert: param, sa-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nsupply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "props": [ - { - "name": "label", - "value": "SA-02" - }, - { - "name": "sort-id", - "value": "sa-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the high-level information security requirements for the system or system service are determined in mission and business process planning;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the high-level privacy requirements for the system or system service are determined in mission and business process planning;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "a discrete line item for information security is established in organizational programming and budgeting documentation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "a discrete line item for privacy is established in organizational programming and budgeting documentation." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nsystem and services acquisition strategy and plans\n\nprocedures addressing the allocation of resources to information security and privacy requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security and privacy requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "params": [ - { - "id": "sa-03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-3_prm_1" - }, - { - "name": "label", - "value": "SA-03_ODP" - } - ], - "label": "system-development life cycle", - "guidelines": [ - { - "prose": "system development life cycle is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-03" - }, - { - "name": "sort-id", - "value": "sa-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Acquire, develop, and manage the system using {{ insert: param, sa-03_odp }} that incorporates information security and privacy considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document information security and privacy roles and responsibilities throughout the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify individuals having information security and privacy roles and responsibilities; and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrate the organizational information security and privacy risk management process into system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in [SA-8](#sa-8) help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities.\n\nThe effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates information security considerations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates privacy considerations;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security roles and responsibilities are defined and documented throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy roles and responsibilities are defined and documented throughout the system development life cycle;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals with information security roles and responsibilities are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals with privacy roles and responsibilities are identified;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational information security risk management processes are integrated into system development life cycle activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "organizational privacy risk management processes are integrated into system development life cycle activities." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process\n\nsystem development life cycle documentation\n\norganizational risk management strategy\n\ninformation security and privacy risk management strategy documentation\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nrole-based security and privacy training program documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle development responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ], - "controls": [ - { - "id": "sa-3.1", - "class": "SP800-53-enhancement", - "title": "Manage Preproduction Environment", - "props": [ - { - "name": "label", - "value": "SA-03(01)" - }, - { - "name": "sort-id", - "value": "sa-03.01" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.1_smt", - "name": "statement", - "prose": "Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "id": "sa-3.1_gdn", - "name": "guidance", - "prose": "The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense are examples of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribute to a more secure system development environment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "system pre-production environments are protected commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security and supply chain risk management into the system development life cycle process\n\nsystem development life cycle documentation\n\nprocedures addressing program protection planning\n\ncriticality analysis results\n\nsecurity and supply chain risk management strategy/program documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and system life cycle development responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational process for integrating security risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ] - }, - { - "id": "sa-3.2", - "class": "SP800-53-enhancement", - "title": "Use of Live or Operational Data", - "props": [ - { - "name": "label", - "value": "SA-03(02)" - }, - { - "name": "sort-id", - "value": "sa-03.02" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and" - }, - { - "id": "sa-3.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments." - } - ] - }, - { - "id": "sa-3.2_gdn", - "name": "guidance", - "prose": "Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risks to organizations. In addition, the use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Therefore, it is important for the organization to manage any additional risks that may result from the use of live or operational data. Organizations can minimize such risks by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is approved for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is documented for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is controlled for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)b.", - "class": "sp800-53A" - } - ], - "prose": "pre-production environments for the system, system component, or system service are protected at the same impact or classification level as any live data in use within the pre-production environments." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy into the system development life cycle process\n\nsystem development life cycle documentation\n\nsecurity risk assessment documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\ndata mapping documentation\n\npersonally identifiable information processing policy\n\nprocedures addressing the authority to test with personally identifiable information\n\nprocedures addressing the minimization of personally identifiable information used in testing, training, and research\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibility\n\norganizational personnel with system life cycle development responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes the use of live data in pre-production environments\n\nmechanisms for protecting live data in pre-production environments" - } - ] - } - ] - }, - { - "id": "sa-3.3", - "class": "SP800-53-enhancement", - "title": "Technology Refresh", - "props": [ - { - "name": "label", - "value": "SA-03(03)" - }, - { - "name": "sort-id", - "value": "sa-03.03" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#ma-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.3_smt", - "name": "statement", - "prose": "Plan for and implement a technology refresh schedule for the system throughout the system development life cycle." - }, - { - "id": "sa-3.3_gdn", - "name": "guidance", - "prose": "Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase the security and privacy risks associated with unsupported components, counterfeit or repurposed components, components unable to implement security or privacy requirements, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a technology refresh schedule is planned for the system throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "a technology refresh schedule is implemented for the system throughout the system development life cycle." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing technology refresh planning and implementation\n\nsystem development life cycle documentation\n\ntechnology refresh schedule\n\nsecurity risk assessment documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle development responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational processes for integrating security and privacy risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "params": [ - { - "id": "sa-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4_prm_1" - }, - { - "name": "label", - "value": "SA-04_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "standardized contract language", - " {{ insert: param, sa-04_odp.02 }} " - ] - } - }, - { - "id": "sa-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4_prm_2" - }, - { - "name": "label", - "value": "SA-04_ODP[02]" - } - ], - "label": "contract language", - "guidelines": [ - { - "prose": "contract language is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04" - }, - { - "name": "sort-id", - "value": "sa-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73", - "rel": "reference" - }, - { - "href": "#87087451-2af5-43d4-88c1-d66ad850f614", - "rel": "reference" - }, - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#06ce9216-bd54-4054-a422-94f358b50a5d", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#4b38e961-1125-4a5b-aa35-1d6c02846dad", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#795aff72-3e6c-4b6b-a80a-b14d84b7f544", - "rel": "reference" - }, - { - "href": "#3d575737-98cb-459d-b41c-d7e82b73ad78", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security and privacy functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Strength of mechanism requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security and privacy assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Controls needed to satisfy the security and privacy requirements." - }, - { - "id": "sa-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Security and privacy documentation requirements;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Requirements for protecting security and privacy documentation;" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Description of the system development environment and environment in which the system is intended to operate;" - }, - { - "id": "sa-4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and" - }, - { - "id": "sa-4_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Acceptance criteria." - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in [SA-2](#sa-2) . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) describes the process of requirements engineering as part of the system development life cycle.\n\nControls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle.\n\nSecurity and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "security functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04b.", - "class": "sp800-53A" - } - ], - "prose": "strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.[01]", - "class": "sp800-53A" - } - ], - "prose": "security assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.[01]", - "class": "sp800-53A" - } - ], - "prose": "controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.[02]", - "class": "sp800-53A" - } - ], - "prose": "controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.[01]", - "class": "sp800-53A" - } - ], - "prose": "security documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.[01]", - "class": "sp800-53A" - } - ], - "prose": "requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.[02]", - "class": "sp800-53A" - } - ], - "prose": "requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04g.", - "class": "sp800-53A" - } - ], - "prose": "the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[01]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[02]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[03]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04i.", - "class": "sp800-53A" - } - ], - "prose": "acceptance criteria requirements and descriptions are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process\n\nconfiguration management plan\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining system security and privacy functional, strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts" - } - ] - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Controls", - "props": [ - { - "name": "label", - "value": "SA-04(01)" - }, - { - "name": "sort-id", - "value": "sa-04.01" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system services\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining system security functional requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts" - } - ] - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design and Implementation Information for Controls", - "params": [ - { - "id": "sa-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_1" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security-relevant external system interfaces", - "high-level design", - "low-level design", - "source code or hardware schematics", - " {{ insert: param, sa-04.02_odp.02 }} " - ] - } - }, - { - "id": "sa-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_2" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[02]" - } - ], - "label": "design and implementation information", - "guidelines": [ - { - "prose": "design and implementation information is defined (if selected);" - } - ] - }, - { - "id": "sa-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_3" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[03]" - } - ], - "label": "level of detail", - "guidelines": [ - { - "prose": "level of detail is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(02)" - }, - { - "name": "sort-id", - "value": "sa-04.02" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(02)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system components, or system services\n\ndesign and implementation information for controls employed in the system, system component, or system service\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\nsystem developers or service provider\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining the level of detail for system design and controls\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing development of system design details" - } - ] - } - ] - }, - { - "id": "sa-4.3", - "class": "SP800-53-enhancement", - "title": "Development Methods, Techniques, and Practices", - "params": [ - { - "id": "sa-4.3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "sa-04.03_odp.03" - } - ], - "label": "organization-defined software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes" - }, - { - "id": "sa-04.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.3_prm_1" - }, - { - "name": "label", - "value": "SA-04(03)_ODP[01]" - } - ], - "label": "systems engineering methods", - "guidelines": [ - { - "prose": "systems engineering methods are defined;" - } - ] - }, - { - "id": "sa-04.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.3_prm_2" - }, - { - "name": "label", - "value": "SA-04(03)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-04.03_odp.03 }} ", - " {{ insert: param, sa-04.03_odp.04 }} " - ] - } - }, - { - "id": "sa-04.03_odp.03", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[03]" - } - ], - "label": "system security engineering methods", - "guidelines": [ - { - "prose": "system security engineering methods (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.04", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[04]" - } - ], - "label": "privacy engineering methods", - "guidelines": [ - { - "prose": "privacy engineering methods (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.05", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-04.03_odp.06 }} ", - " {{ insert: param, sa-04.03_odp.07 }} ", - " {{ insert: param, sa-04.03_odp.08 }} " - ] - } - }, - { - "id": "sa-04.03_odp.06", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[06]" - } - ], - "label": "software development methods", - "guidelines": [ - { - "prose": "software development methods are defined (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.07", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[07]" - } - ], - "label": "testing, evaluation, assessment, verification, and validation methods", - "guidelines": [ - { - "prose": "testing, evaluation, assessment, verification, and validation methods are defined (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.08", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[08]" - } - ], - "label": "quality control processes", - "guidelines": [ - { - "prose": "quality control processes are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(03)" - }, - { - "name": "sort-id", - "value": "sa-04.03" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:", - "parts": [ - { - "id": "sa-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, sa-04.03_odp.01 }};" - }, - { - "id": "sa-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, sa-04.03_odp.02 }} ; and" - }, - { - "id": "sa-4.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_3 }}." - } - ] - }, - { - "id": "sa-4.3_gdn", - "name": "guidance", - "prose": "Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods and techniques that developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provides an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nlist of systems security and privacy engineering methods to be included in the developer\u2019s system development life cycle process\n\nlist of software development methods to be included in the developer\u2019s system development life cycle process\n\nlist of testing, evaluation, or validation techniques to be included in the developer\u2019s system development life cycle process\n\nlist of quality control processes to be included in the developer\u2019s system development life cycle process\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle responsibilities\n\nsystem developers or service provider" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for development methods, techniques, and processes" - } - ] - } - ] - }, - { - "id": "sa-4.4", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "props": [ - { - "name": "label", - "value": "SA-04(04)" - }, - { - "name": "sort-id", - "value": "sa-04.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8.9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-4.5", - "class": "SP800-53-enhancement", - "title": "System, Component, and Service Configurations", - "params": [ - { - "id": "sa-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.5_prm_1" - }, - { - "name": "label", - "value": "SA-04(05)_ODP" - } - ], - "label": "security configurations", - "guidelines": [ - { - "prose": "security configurations for the system, component, or service are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(05)" - }, - { - "name": "sort-id", - "value": "sa-04.05" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented; and" - }, - { - "id": "sa-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "id": "sa-4.5_gdn", - "name": "guidance", - "prose": "Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the configurations are used as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nsecurity configurations to be implemented by the developer of the system, system component, or system service\n\nservice level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\nsystem developers or service provider\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to verify that the configuration of the system, component, or service is delivered as specified" - } - ] - } - ] - }, - { - "id": "sa-4.6", - "class": "SP800-53-enhancement", - "title": "Use of Information Assurance Products", - "props": [ - { - "name": "label", - "value": "SA-04(06)" - }, - { - "name": "sort-id", - "value": "sa-04.06" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.6_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and" - }, - { - "id": "sa-4.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "id": "sa-4.6_gdn", - "name": "guidance", - "prose": "Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC](#3d575737-98cb-459d-b41c-d7e82b73ad78)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nsecurity configurations to be implemented by the developer of the system, system component, or system service\n\nservice level agreements\n\nNSA-approved list\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\norganizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information" - } - ] - } - ] - }, - { - "id": "sa-4.7", - "class": "SP800-53-enhancement", - "title": "Niap-approved Protection Profiles", - "props": [ - { - "name": "label", - "value": "SA-04(07)" - }, - { - "name": "sort-id", - "value": "sa-04.07" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and" - }, - { - "id": "sa-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved." - } - ] - }, - { - "id": "sa-4.7_gdn", - "name": "guidance", - "prose": "See [NIAP CCEVS](#795aff72-3e6c-4b6b-a80a-b14d84b7f544) for additional information on NIAP. See [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) for additional information on FIPS-validated cryptographic modules." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of commercially provided information assurance and information assurance-enabled information technology products is limited to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that cryptographic module is required to be FIPS-validated or NSA-approved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nNAIP-approved protection profiles\n\nFIPS-validation information for cryptographic functionality\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\norganizational personnel responsible for ensuring that information assurance products have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products" - } - ] - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan for Controls", - "props": [ - { - "name": "label", - "value": "SA-04(08)" - }, - { - "name": "sort-id", - "value": "sa-04.08" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization." - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring programs implemented by organizations. Continuous monitoring plans can include the types of control assessment and monitoring activities planned, frequency of control monitoring, and actions to be taken when controls fail or become ineffective." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(08)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a plan for the continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing developer continuous monitoring plans\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\ndeveloper continuous monitoring plans\n\nsecurity assessment plans\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Vendor processes for continuous monitoring\n\nautomated mechanisms supporting and/or implementing developer continuous monitoring" - } - ] - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions, Ports, Protocols, and Services in Use", - "props": [ - { - "name": "label", - "value": "SA-04(09)" - }, - { - "name": "sort-id", - "value": "sa-04.09" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. [SA-9](#sa-9) describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the functions intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the ports intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the protocols intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the services intended for organizational use." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsystem design documentation\n\nsystem documentation, including functions, ports, protocols, and services intended for organizational use\n\nacquisition contracts for systems or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\norganizational security requirements, descriptions, and criteria for developers of systems, system components, and system services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the system\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "props": [ - { - "name": "label", - "value": "SA-04(10)" - }, - { - "name": "sort-id", - "value": "sa-04.10" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "prose": "Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(10)", - "class": "sp800-53A" - } - ], - "prose": "only information technology products on the FIPS 201-approved products list for the Personal Identity Verification (PIV) capability implemented within organizational systems are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nservice level agreements\n\nFIPS 201 approved products list\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\norganizational personnel with the responsibility for ensuring that only FIPS 201- approved products are implemented\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing FIPS 201-approved products" - } - ] - } - ] - }, - { - "id": "sa-4.11", - "class": "SP800-53-enhancement", - "title": "System of Records", - "params": [ - { - "id": "sa-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.11_prm_1" - }, - { - "name": "label", - "value": "SA-04(11)_ODP" - } - ], - "label": "Privacy Act requirements", - "guidelines": [ - { - "prose": "Privacy Act requirements for the operation of a system of records are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(11)" - }, - { - "name": "sort-id", - "value": "sa-04.11" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.11_smt", - "name": "statement", - "prose": "Include {{ insert: param, sa-04.11_odp }} in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "id": "sa-4.11_gdn", - "name": "guidance", - "prose": "When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) to be applied to the system of records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-04.11_odp }} are defined in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of Privacy Act requirements into systems of records operated by external organizations\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nservice level agreements\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contract management processes to verify Privacy Act requirements are defined for the operation of a system of records\n\nvendor processes for demonstrating incorporation of Privacy Act requirements in its operation of a system of records" - } - ] - } - ] - }, - { - "id": "sa-4.12", - "class": "SP800-53-enhancement", - "title": "Data Ownership", - "params": [ - { - "id": "sa-04.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.12_prm_1" - }, - { - "name": "label", - "value": "SA-04(12)_ODP" - } - ], - "label": "time frame", - "guidelines": [ - { - "prose": "time frame to remove data from a contractor system and return it to the organization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(12)" - }, - { - "name": "sort-id", - "value": "sa-04.12" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.12_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Include organizational data ownership requirements in the acquisition contract; and" - }, - { - "id": "sa-4.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require all data to be removed from the contractor\u2019s system and returned to the organization within {{ insert: param, sa-04.12_odp }}." - } - ] - }, - { - "id": "sa-4.12_gdn", - "name": "guidance", - "prose": "Contractors who operate a system that contains data owned by an organization initiating the contract have policies and procedures in place to remove the data from their systems and/or return the data in a time frame defined by the contract." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "organizational data ownership requirements are included in the acquisition contract;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "all data to be removed from the contractor\u2019s system and returned to the organization is required within {{ insert: param, sa-04.12_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy requirements, descriptions, and criteria into the acquisition process\n\nprocedures addressing the disposition of personally identifiable information\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system or system service\n\npersonally identifiable information processing policy\n\nservice level agreements\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for data management and processing requirements\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contract management processes to verify that data is removed as required\n\nvendor processes for removing data in required timeframe\n\nautomated mechanisms verifying the removal and return of data" - } - ] - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "System Documentation", - "params": [ - { - "id": "sa-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-5_prm_1" - }, - { - "name": "label", - "value": "SA-05_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to take when system, system component, or system service documentation is either unavailable or nonexistent are defined;" - } - ] - }, - { - "id": "sa-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-5_prm_2" - }, - { - "name": "label", - "value": "SA-05_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to distribute system documentation to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-05" - }, - { - "name": "sort-id", - "value": "sa-05" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain or develop administrator documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Effective use and maintenance of security and privacy functions and mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative or privileged functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtain or develop user documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take {{ insert: param, sa-05_odp.01 }} in response; and" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Distribute documentation to {{ insert: param, sa-05_odp.02 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[04]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[03]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[04]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.[01]", - "class": "sp800-53A" - } - ], - "prose": "attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.[02]", - "class": "sp800-53A" - } - ], - "prose": "after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, {{ insert: param, sa-05_odp.01 }} are taken in response;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05d.", - "class": "sp800-53A" - } - ], - "prose": "documentation is distributed to {{ insert: param, sa-05_odp.02 }}." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed;" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system documentation\n\nsystem documentation, including administrator and user guides\n\nsystem design documentation\n\nrecords documenting attempts to obtain unavailable or nonexistent system documentation\n\nlist of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation\n\nrisk management strategy documentation\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem administrators\n\norganizational personnel responsible for operating, using, and/or maintaining the system\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing system administrator and user documentation" - } - ] - } - ], - "controls": [ - { - "id": "sa-5.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "props": [ - { - "name": "label", - "value": "SA-05(01)" - }, - { - "name": "sort-id", - "value": "sa-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant External System Interfaces", - "props": [ - { - "name": "label", - "value": "SA-05(02)" - }, - { - "name": "sort-id", - "value": "sa-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.3", - "class": "SP800-53-enhancement", - "title": "High-level Design", - "props": [ - { - "name": "label", - "value": "SA-05(03)" - }, - { - "name": "sort-id", - "value": "sa-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.4", - "class": "SP800-53-enhancement", - "title": "Low-level Design", - "props": [ - { - "name": "label", - "value": "SA-05(04)" - }, - { - "name": "sort-id", - "value": "sa-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.5", - "class": "SP800-53-enhancement", - "title": "Source Code", - "props": [ - { - "name": "label", - "value": "SA-05(05)" - }, - { - "name": "sort-id", - "value": "sa-05.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-6", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "SA-06" - }, - { - "name": "sort-id", - "value": "sa-06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-7", - "class": "SP800-53", - "title": "User-installed Software", - "props": [ - { - "name": "label", - "value": "SA-07" - }, - { - "name": "sort-id", - "value": "sa-07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security and Privacy Engineering Principles", - "params": [ - { - "id": "sa-8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08_odp.01" - } - ], - "label": "organization-defined systems security and privacy engineering principles" - }, - { - "id": "sa-08_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08_ODP[01]" - } - ], - "label": "systems security engineering principles", - "guidelines": [ - { - "prose": "systems security engineering principles are defined;" - } - ] - }, - { - "id": "sa-08_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08_ODP[02]" - } - ], - "label": "privacy engineering principles", - "guidelines": [ - { - "prose": "privacy engineering principles are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08" - }, - { - "name": "sort-id", - "value": "sa-08" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, sa-8_prm_1 }}." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see [SA-3](#sa-3) ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems.\n\nThe application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk.\n\nOrganizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the specification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the design of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the development of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the implementation of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[05]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the modification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[06]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the specification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[07]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the design of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[08]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the development of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[09]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the implementation of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[10]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the modification of the system and system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nassessment and authorization procedures\n\nprocedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification" - } - ] - } - ], - "controls": [ - { - "id": "sa-8.1", - "class": "SP800-53-enhancement", - "title": "Clear Abstractions", - "props": [ - { - "name": "label", - "value": "SA-08(01)" - }, - { - "name": "sort-id", - "value": "sa-08.01" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.1_smt", - "name": "statement", - "prose": "Implement the security design principle of clear abstractions." - }, - { - "id": "sa-8.1_gdn", - "name": "guidance", - "prose": "The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how the data is managed. The clarity, simplicity, necessity, and sufficiency of the system interfaces\u2014 combined with a precise definition of their functional behavior\u2014promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples that reflect the application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters. Information hiding (i.e., representation-independent programming), is a design discipline used to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(01)", - "class": "sp800-53A" - } - ], - "prose": "the security design principle of clear abstractions is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of clear abstractions used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of clear abstractions to system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of clear abstractions to system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.2", - "class": "SP800-53-enhancement", - "title": "Least Common Mechanism", - "params": [ - { - "id": "sa-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.02_odp" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.02_odp", - "props": [ - { - "name": "label", - "value": "SA-08(02)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least common mechanism are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(02)" - }, - { - "name": "sort-id", - "value": "sa-08.02" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.2_smt", - "name": "statement", - "prose": "Implement the security design principle of least common mechanism in {{ insert: param, sa-8.2_prm_1 }}." - }, - { - "id": "sa-8.2_gdn", - "name": "guidance", - "prose": "The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74](#79453f84-26a4-4995-8257-d32d37aefea3) . Mechanism minimization implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with care to ensure that it does not unintentionally compromise security [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) . Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing the system state among different programs. A single program that corrupts a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73](#d1cdab13-4218-400d-91a9-c3818dfa5ec8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.02_odp }} implement the security design principle of least common mechanism." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of least common mechanism used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of least common mechanism in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of least common mechanism in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.3", - "class": "SP800-53-enhancement", - "title": "Modularity and Layering", - "params": [ - { - "id": "sa-8.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.03_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(03)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of modularity are defined;" - } - ] - }, - { - "id": "sa-08.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(03)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of layering are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(03)" - }, - { - "name": "sort-id", - "value": "sa-08.03" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.3_smt", - "name": "statement", - "prose": "Implement the security design principles of modularity and layering in {{ insert: param, sa-8.3_prm_1 }}." - }, - { - "id": "sa-8.3_gdn", - "name": "guidance", - "prose": "The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the allocation of policies to systems in a network, separation of system applications into processes with distinct address spaces, allocation of system policies to layers, and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.03_odp.01 }} implement the security design principle of modularity;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.03_odp.02 }} implement the security design principle of layering." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principles of modularity and layering used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principles of modularity and layering in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principles of modularity and layering in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing an isolation boundary" - } - ] - } - ] - }, - { - "id": "sa-8.4", - "class": "SP800-53-enhancement", - "title": "Partially Ordered Dependencies", - "params": [ - { - "id": "sa-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.4_prm_1" - }, - { - "name": "label", - "value": "SA-08(04)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least partially ordered dependencies are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(04)" - }, - { - "name": "sort-id", - "value": "sa-08.04" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.4_smt", - "name": "statement", - "prose": "Implement the security design principle of partially ordered dependencies in {{ insert: param, sa-08.04_odp }}." - }, - { - "id": "sa-8.4_gdn", - "name": "guidance", - "prose": "The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent on lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.04_odp }} implement the security design principle of partially ordered dependencies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of partially ordered dependencies used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.5", - "class": "SP800-53-enhancement", - "title": "Efficiently Mediated Access", - "params": [ - { - "id": "sa-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.5_prm_1" - }, - { - "name": "label", - "value": "SA-08(05)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of efficiently mediated access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(05)" - }, - { - "name": "sort-id", - "value": "sa-08.05" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.5_smt", - "name": "statement", - "prose": "Implement the security design principle of efficiently mediated access in {{ insert: param, sa-08.05_odp }}." - }, - { - "id": "sa-8.5_gdn", - "name": "guidance", - "prose": "The principle of efficiently mediated access states that policy enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data, and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.05_odp }} implement the security design principle of efficiently mediated access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of efficiently mediated access used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.6", - "class": "SP800-53-enhancement", - "title": "Minimized Sharing", - "params": [ - { - "id": "sa-08.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.6_prm_1" - }, - { - "name": "label", - "value": "SA-08(06)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of minimized sharing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(06)" - }, - { - "name": "sort-id", - "value": "sa-08.06" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.6_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized sharing in {{ insert: param, sa-08.06_odp }}." - }, - { - "id": "sa-8.6_gdn", - "name": "guidance", - "prose": "The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case of internal entities or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage and timing channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, the use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.06_odp }} implement the security design principle of minimized sharing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of minimized sharing used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of minimized sharing in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of minimized sharing in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.7", - "class": "SP800-53-enhancement", - "title": "Reduced Complexity", - "params": [ - { - "id": "sa-08.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.7_prm_1" - }, - { - "name": "label", - "value": "SA-08(07)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of reduced complexity are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(07)" - }, - { - "name": "sort-id", - "value": "sa-08.07" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.7_smt", - "name": "statement", - "prose": "Implement the security design principle of reduced complexity in {{ insert: param, sa-08.07_odp }}." - }, - { - "id": "sa-8.7_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain; that is, simpler systems contain fewer vulnerabilities. An benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and the existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(07)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.07_odp }} implement the security design principle of reduced complexity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of reduced complexity used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of reduced complexity in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of reduced complexity in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.8", - "class": "SP800-53-enhancement", - "title": "Secure Evolvability", - "params": [ - { - "id": "sa-08.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.8_prm_1" - }, - { - "name": "label", - "value": "SA-08(08)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure evolvability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(08)" - }, - { - "name": "sort-id", - "value": "sa-08.08" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.8_smt", - "name": "statement", - "prose": "Implement the security design principle of secure evolvability in {{ insert: param, sa-08.08_odp }}." - }, - { - "id": "sa-8.8_gdn", - "name": "guidance", - "prose": "The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system\u2019s structure, interfaces, interconnections (i.e., system architecture), functionality, or configuration (i.e., security policy enforcement). Changes include a new, enhanced, or upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction, anticipated changes in the threat environment, and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life cycle costs, reduced cost of ownership, improved system security, more effective management of security risk, and less risk uncertainty." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.08_odp }} implement the security design principle of secure evolvability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of secure evolvability used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure evolvability in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure evolvability in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.9", - "class": "SP800-53-enhancement", - "title": "Trusted Components", - "params": [ - { - "id": "sa-08.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.9_prm_1" - }, - { - "name": "label", - "value": "SA-08(09)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of trusted components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(09)" - }, - { - "name": "sort-id", - "value": "sa-08.09" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.9_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted components in {{ insert: param, sa-08.09_odp }}." - }, - { - "id": "sa-8.9_gdn", - "name": "guidance", - "prose": "The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and the trust is not consequently misplaced. Ultimately, this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships.\n\nThe principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption. However, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives as well as relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component or a replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.09_odp }} implement the security design principle of trusted components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity, supply chain risk management, and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nprocedures for determining component assurance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of trusted components in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.10", - "class": "SP800-53-enhancement", - "title": "Hierarchical Trust", - "params": [ - { - "id": "sa-08.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.10_prm_1" - }, - { - "name": "label", - "value": "SA-08(10)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of hierarchical trust are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(10)" - }, - { - "name": "sort-id", - "value": "sa-08.10" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.10_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical trust in {{ insert: param, sa-08.10_odp }}." - }, - { - "id": "sa-8.10_gdn", - "name": "guidance", - "prose": "The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or an assurance case (assurance argument) when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend on a less trustworthy component in a higher layer, this would, in effect, put the components in the same \"less trustworthy\" equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.10_odp }} implement the security design principle of hierarchical trust." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of hierarchical trust used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of hierarchical trust in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of hierarchical trust in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.11", - "class": "SP800-53-enhancement", - "title": "Inverse Modification Threshold", - "params": [ - { - "id": "sa-08.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.11_prm_1" - }, - { - "name": "label", - "value": "SA-08(11)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of inverse modification threshold are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(11)" - }, - { - "name": "sort-id", - "value": "sa-08.11" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.11_smt", - "name": "statement", - "prose": "Implement the security design principle of inverse modification threshold in {{ insert: param, sa-08.11_odp }}." - }, - { - "id": "sa-8.11_gdn", - "name": "guidance", - "prose": "The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component\u2019s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.11_odp }} implement the security design principle of inverse modification threshold." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of inverse modification threshold used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.12", - "class": "SP800-53-enhancement", - "title": "Hierarchical Protection", - "params": [ - { - "id": "sa-08.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.12_prm_1" - }, - { - "name": "label", - "value": "SA-08(12)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of hierarchical protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(12)" - }, - { - "name": "sort-id", - "value": "sa-08.12" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.12_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical protection in {{ insert: param, sa-08.12_odp }}." - }, - { - "id": "sa-8.12_gdn", - "name": "guidance", - "prose": "The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in \"system high\" environments where users are highly trustworthy and where other protections are put in place to bound and protect the \"system high\" execution environment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.12_odp }} implement the security design principle of hierarchical protection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of hierarchical protection used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of hierarchical protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of hierarchical protection in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.13", - "class": "SP800-53-enhancement", - "title": "Minimized Security Elements", - "params": [ - { - "id": "sa-08.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.13_prm_1" - }, - { - "name": "label", - "value": "SA-08(13)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of minimized security elements are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(13)" - }, - { - "name": "sort-id", - "value": "sa-08.13" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.13_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized security elements in {{ insert: param, sa-08.13_odp }}." - }, - { - "id": "sa-8.13_gdn", - "name": "guidance", - "prose": "The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to the increased rigor of development processes. Trusted components require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.13_odp }} implement the security design principle of minimized security elements." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of minimized security elements used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of minimized security elements in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of minimized security elements in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.14", - "class": "SP800-53-enhancement", - "title": "Least Privilege", - "params": [ - { - "id": "sa-08.14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.14_prm_1" - }, - { - "name": "label", - "value": "SA-08(14)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least privilege are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(14)" - }, - { - "name": "sort-id", - "value": "sa-08.14" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.14_smt", - "name": "statement", - "prose": "Implement the security design principle of least privilege in {{ insert: param, sa-08.14_odp }}." - }, - { - "id": "sa-8.14_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions but no more. Applying the principle of least privilege limits the scope of the component\u2019s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact, and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has need to view the audit data that has been collected but no need to perform operations on that data.\n\nIn addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated on by the functions within the module. Elements external to a module that may be affected by the module\u2019s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality and that the access modes for the elements (e.g., read, write) are minimal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.14_odp }} implement the security design principle of least privilege." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of least privilege used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of least privilege in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of least privilege in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.15", - "class": "SP800-53-enhancement", - "title": "Predicate Permission", - "params": [ - { - "id": "sa-08.15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.15_prm_1" - }, - { - "name": "label", - "value": "SA-08(15)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of predicate permission are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(15)" - }, - { - "name": "sort-id", - "value": "sa-08.15" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.15_smt", - "name": "statement", - "prose": "Implement the security design principle of predicate permission in {{ insert: param, sa-08.15_odp }}." - }, - { - "id": "sa-8.15_gdn", - "name": "guidance", - "prose": "The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(15)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.15_odp }} implement the security design principle of predicate permission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of predicate permission used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of predicate permission in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of predicate permission in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.16", - "class": "SP800-53-enhancement", - "title": "Self-reliant Trustworthiness", - "params": [ - { - "id": "sa-08.16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.16_prm_1" - }, - { - "name": "label", - "value": "SA-08(16)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of self-reliant trustworthiness are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(16)" - }, - { - "name": "sort-id", - "value": "sa-08.16" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.16_smt", - "name": "statement", - "prose": "Implement the security design principle of self-reliant trustworthiness in {{ insert: param, sa-08.16_odp }}." - }, - { - "id": "sa-8.16_gdn", - "name": "guidance", - "prose": "The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default, and any connection to an external entity is used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that could result in the loss or degradation of that connection. The benefit of the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(16)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.16_odp }} implement the security design principle of self-reliant trustworthiness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of self-reliant trustworthiness used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.17", - "class": "SP800-53-enhancement", - "title": "Secure Distributed Composition", - "params": [ - { - "id": "sa-08.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.17_prm_1" - }, - { - "name": "label", - "value": "SA-08(17)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure distributed composition are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(17)" - }, - { - "name": "sort-id", - "value": "sa-08.17" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.17_smt", - "name": "statement", - "prose": "Implement the security design principle of secure distributed composition in {{ insert: param, sa-08.17_odp }}." - }, - { - "id": "sa-8.17_gdn", - "name": "guidance", - "prose": "The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable a capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(17)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.17_odp }} implement the security design principle of secure distributed composition." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of secure distributed composition used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure distributed composition in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure distributed composition in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.18", - "class": "SP800-53-enhancement", - "title": "Trusted Communications Channels", - "params": [ - { - "id": "sa-08.18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.18_prm_1" - }, - { - "name": "label", - "value": "SA-08(18)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of trusted communications channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(18)" - }, - { - "name": "sort-id", - "value": "sa-08.18" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.18_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted communications channels in {{ insert: param, sa-08.18_odp }}." - }, - { - "id": "sa-8.18_gdn", - "name": "guidance", - "prose": "The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception and modification and to further increase the assurance of proper end-to-end communication)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(18)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.18_odp }} implement the security design principle of trusted communications channels." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of trusted communications channels used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of trusted communications channels in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of trusted communications channels in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.19", - "class": "SP800-53-enhancement", - "title": "Continuous Protection", - "params": [ - { - "id": "sa-08.19_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.19_prm_1" - }, - { - "name": "label", - "value": "SA-08(19)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of continuous protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(19)" - }, - { - "name": "sort-id", - "value": "sa-08.19" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.19_smt", - "name": "statement", - "prose": "Implement the security design principle of continuous protection in {{ insert: param, sa-08.19_odp }}." - }, - { - "id": "sa-8.19_gdn", - "name": "guidance", - "prose": "The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor; the reference monitor is able to protect itself from tampering; and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing) and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes).\n\nContinuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(19)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.19_odp }} implement the security design principle of continuous protection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\naccess control policy\n\nsystem and communications protection policy\n\nprocedures addressing boundary protection\n\nprocedures addressing the security design principle of continuous protection used in the specification, design, development, implementation, and modification of the system\n\nsystem configuration settings and associated documentation\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\norganizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of continuous protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms implementing access enforcement functions\n\nautomated mechanisms supporting the application of the security design principle of continuous protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - }, - { - "id": "sa-8.20", - "class": "SP800-53-enhancement", - "title": "Secure Metadata Management", - "params": [ - { - "id": "sa-08.20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.20_prm_1" - }, - { - "name": "label", - "value": "SA-08(20)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure metadata management are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(20)" - }, - { - "name": "sort-id", - "value": "sa-08.20" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.20_smt", - "name": "statement", - "prose": "Implement the security design principle of secure metadata management in {{ insert: param, sa-08.20_odp }}." - }, - { - "id": "sa-8.20_gdn", - "name": "guidance", - "prose": "The principle of secure metadata management states that metadata are \"first class\" objects with respect to security policy when the policy requires either complete protection of information or that the security subsystem be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies on for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the classification level or impact level of a file name), including self-referential metadata.\n\nThe apparent secondary nature of metadata can lead to neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessments for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.20_odp }} implement the security design principle of secure metadata management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of metadata management used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of metadata management in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of metadata management in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.21", - "class": "SP800-53-enhancement", - "title": "Self-analysis", - "params": [ - { - "id": "sa-08.21_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.21_prm_1" - }, - { - "name": "label", - "value": "SA-08(21)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of self-analysis are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(21)" - }, - { - "name": "sort-id", - "value": "sa-08.21" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.21_smt", - "name": "statement", - "prose": "Implement the security design principle of self-analysis in {{ insert: param, sa-08.21_odp }}." - }, - { - "id": "sa-8.21_gdn", - "name": "guidance", - "prose": "The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom-up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component that attests to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, internal malfunction, or transient errors. By following this principle, some simple malfunctions or errors can be detected without allowing the effects of the error or malfunction to propagate outside of the component. Further, the self-test can be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(21)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.21_odp }} implement the security design principle of self-analysis." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of self-analysis used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of self-analysis in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of self-analysis in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.22", - "class": "SP800-53-enhancement", - "title": "Accountability and Traceability", - "params": [ - { - "id": "sa-8.22_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.22_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.22_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(22)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of accountability are defined;" - } - ] - }, - { - "id": "sa-08.22_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(22)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of traceability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(22)" - }, - { - "name": "sort-id", - "value": "sa-08.22" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.22_smt", - "name": "statement", - "prose": "Implement the security design principle of accountability and traceability in {{ insert: param, sa-8.22_prm_1 }}." - }, - { - "id": "sa-8.22_gdn", - "name": "guidance", - "prose": "The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires that audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provide non-repudiation because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy and the actions of individuals associated with the violation of the security policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.22_odp.01 }} implement the security design principle of accountability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.22_odp.02 }} implement the security design principle of traceability." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\naudit and accountability policy\n\naccess control policy\n\nprocedures addressing least privilege\n\nprocedures addressing auditable events\n\nidentification and authentication policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the security design principle of accountability and traceability used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem audit records\n\nsystem auditable events\n\nsystem configuration settings and associated documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with audit and accountability responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of accountability and traceability in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of accountability and traceability in system specification, design, development, implementation, and modification\n\nautomated mechanisms implementing information system auditing\n\nautomated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "sa-8.23", - "class": "SP800-53-enhancement", - "title": "Secure Defaults", - "params": [ - { - "id": "sa-08.23_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.23_prm_1" - }, - { - "name": "label", - "value": "SA-08(23)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure defaults are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(23)" - }, - { - "name": "sort-id", - "value": "sa-08.23" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.23_smt", - "name": "statement", - "prose": "Implement the security design principle of secure defaults in {{ insert: param, sa-08.23_odp }}." - }, - { - "id": "sa-8.23_gdn", - "name": "guidance", - "prose": "The principle of secure defaults states that the default configuration of a system (including its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a \"deny unless explicitly authorized\" strategy. The initial configuration aspect of this principle requires that any \"as shipped\" configuration of a system, subsystem, or system component does not aid in the violation of the security policy and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user.\n\nRestrictive defaults mean that the system will operate \"as-shipped\" with adequate self-protection and be able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the \"as-shipped\" product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure.\n\nThe security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is denied by default are often far more compact and complete than those that would need to be checked in order to deny a request that is granted by default." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(23)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.23_odp }} implement the security design principle of secure defaults." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nconfiguration management policy\n\nprocedures addressing the security design principle of secure defaults used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nprocedures addressing system documentation\n\nsystem documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure defaults in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure defaults in system specification, design, development, implementation, and modification\n\norganizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline configuration" - } - ] - } - ] - }, - { - "id": "sa-8.24", - "class": "SP800-53-enhancement", - "title": "Secure Failure and Recovery", - "params": [ - { - "id": "sa-8.24_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.24_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.24_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(24)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure failure are defined;" - } - ] - }, - { - "id": "sa-08.24_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(24)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure recovery are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(24)" - }, - { - "name": "sort-id", - "value": "sa-08.24" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.24_smt", - "name": "statement", - "prose": "Implement the security design principle of secure failure and recovery in {{ insert: param, sa-8.24_prm_1 }}." - }, - { - "id": "sa-8.24_gdn", - "name": "guidance", - "prose": "The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operations while ensuring that a secure state is maintained such that security policies are not violated.\n\nFailure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component while maintaining security and provide all or part of the functionality of the original system, or it may completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration.\n\nAnother technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operations may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally \"atomic\" operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection.\n\nFailure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.24_odp.01 }} implement the security design principle of secure failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.24_odp.02 }} implement the security design principle of secure recovery." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and communications protection policy\n\ncontingency planning policy\n\nprocedures addressing information system recovery and reconstitution\n\nprocedures addressing the security design principle of secure failure and recovery used in the specification, design, development, implementation, and modification of the system\n\ncontingency plan\n\nprocedures addressing system backup\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\norganizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with information system backup responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing secure failure\n\norganizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing\n\nautomated mechanisms supporting recovery and reconstitution of the system\n\norganizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "sa-8.25", - "class": "SP800-53-enhancement", - "title": "Economic Security", - "params": [ - { - "id": "sa-08.25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.25_prm_1" - }, - { - "name": "label", - "value": "SA-08(25)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of economic security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(25)" - }, - { - "name": "sort-id", - "value": "sa-08.25" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.25_smt", - "name": "statement", - "prose": "Implement the security design principle of economic security in {{ insert: param, sa-08.25_odp }}." - }, - { - "id": "sa-8.25_gdn", - "name": "guidance", - "prose": "The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence as well as the necessary analyses to assess and draw trustworthiness and risk conclusions from the evidence." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(25)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.25_odp }} implement the security design principle of economic security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of economic security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\ncost-benefit analysis\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of economic security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of economic security in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.26", - "class": "SP800-53-enhancement", - "title": "Performance Security", - "params": [ - { - "id": "sa-08.26_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.26_prm_1" - }, - { - "name": "label", - "value": "SA-08(26)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of performance security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(26)" - }, - { - "name": "sort-id", - "value": "sa-08.26" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.26_smt", - "name": "statement", - "prose": "Implement the security design principle of performance security in {{ insert: param, sa-08.26_odp }}." - }, - { - "id": "sa-8.26_gdn", - "name": "guidance", - "prose": "The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to provide an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements, performance-critical overhead issues (e.g., cryptographic key management), and an assessment of the capability of the threat.\n\nThe principle of performance security leads to the incorporation of features that help in the enforcement of security policy but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(26)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.26_odp }} implement the security design principle of performance security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of performance security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\ntrade-off analysis between performance and security\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of performance security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of performance security in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.27", - "class": "SP800-53-enhancement", - "title": "Human Factored Security", - "params": [ - { - "id": "sa-08.27_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.27_prm_1" - }, - { - "name": "label", - "value": "SA-08(27)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of human factored security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(27)" - }, - { - "name": "sort-id", - "value": "sa-08.27" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.27_smt", - "name": "statement", - "prose": "Implement the security design principle of human factored security in {{ insert: param, sa-08.27_odp }}." - }, - { - "id": "sa-8.27_gdn", - "name": "guidance", - "prose": "The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user-friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. Personnel with system administrative and operational responsibilities are able to configure systems before start-up and administer them during runtime with confidence that their intent is correctly mapped to the system\u2019s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessary for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable them, avoid them, or use them in ways inconsistent with the security requirements and protection needs that the mechanisms were designed to satisfy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(27)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.27_odp }} implement the security design principle of human factored security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of human factored security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nusability analysis\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with human factored security responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of human factored security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of human factored security in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.28", - "class": "SP800-53-enhancement", - "title": "Acceptable Security", - "params": [ - { - "id": "sa-08.28_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.28_prm_1" - }, - { - "name": "label", - "value": "SA-08(28)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of acceptable security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(28)" - }, - { - "name": "sort-id", - "value": "sa-08.28" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.28_smt", - "name": "statement", - "prose": "Implement the security design principle of acceptable security in {{ insert: param, sa-08.28_odp }}." - }, - { - "id": "sa-8.28_gdn", - "name": "guidance", - "prose": "The principle of acceptable security requires that the level of privacy and performance that the system provides is consistent with the users\u2019 expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(28)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.28_odp }} implement the security design principle of acceptable security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the security design principle of acceptable security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\npersonally identifiable information processing policy\n\nprivacy notifications provided to users\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of acceptable security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of acceptable security in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.29", - "class": "SP800-53-enhancement", - "title": "Repeatable and Documented Procedures", - "params": [ - { - "id": "sa-08.29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.29_prm_1" - }, - { - "name": "label", - "value": "SA-08(29)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of repeatable and documented procedures are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(29)" - }, - { - "name": "sort-id", - "value": "sa-08.29" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.29_smt", - "name": "statement", - "prose": "Implement the security design principle of repeatable and documented procedures in {{ insert: param, sa-08.29_odp }}." - }, - { - "id": "sa-8.29_gdn", - "name": "guidance", - "prose": "The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permit the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier, which may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and the ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review, procedures for the configuration management of development tools and system artifacts, and procedures for system delivery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(29)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.29_odp }} implement the security design principle of repeatable and documented procedures." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of repeatable and documented procedures used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.30", - "class": "SP800-53-enhancement", - "title": "Procedural Rigor", - "params": [ - { - "id": "sa-08.30_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.30_prm_1" - }, - { - "name": "label", - "value": "SA-08(30)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of procedural rigor are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(30)" - }, - { - "name": "sort-id", - "value": "sa-08.30" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.30_smt", - "name": "statement", - "prose": "Implement the security design principle of procedural rigor in {{ insert: param, sa-08.30_odp }}." - }, - { - "id": "sa-8.30_gdn", - "name": "guidance", - "prose": "The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented.\n\nSecond, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built rather than trusting that the component, as implemented, is the authoritative (and potentially misleading) specification.\n\nFinally, modifications to an existing system component are easier when there are detailed specifications that describe its current design instead of studying source code or schematics to try to understand how it works. Procedural rigor helps ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(30)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.30_odp }} implement the security design principle of procedural rigor." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(30)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of procedural rigor used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(30)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(30)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of procedural rigor in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of procedural rigor in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.31", - "class": "SP800-53-enhancement", - "title": "Secure System Modification", - "params": [ - { - "id": "sa-08.31_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.31_prm_1" - }, - { - "name": "label", - "value": "SA-08(31)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure system modification are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(31)" - }, - { - "name": "sort-id", - "value": "sa-08.31" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.31_smt", - "name": "statement", - "prose": "Implement the security design principle of secure system modification in {{ insert: param, sa-08.31_odp }}." - }, - { - "id": "sa-8.31_gdn", - "name": "guidance", - "prose": "The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(31)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.31_odp }} implement the security design principle of secure system modification." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(31)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nconfiguration management policy and procedures\n\nprocedures addressing the security design principle of secure system modification used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(31)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(31)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure system modification in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure system modification in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - }, - { - "id": "sa-8.32", - "class": "SP800-53-enhancement", - "title": "Sufficient Documentation", - "params": [ - { - "id": "sa-08.32_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.32_prm_1" - }, - { - "name": "label", - "value": "SA-08(32)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of sufficient documentation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(32)" - }, - { - "name": "sort-id", - "value": "sa-08.32" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.32_smt", - "name": "statement", - "prose": "Implement the security design principle of sufficient documentation in {{ insert: param, sa-08.32_odp }}." - }, - { - "id": "sa-8.32_gdn", - "name": "guidance", - "prose": "The principle of sufficient documentation states that organizational personnel with responsibilities to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms and the ramifications of the misuse or misconfiguration of security mechanisms are not always intuitively obvious. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(32)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.32_odp }} implement the security design principle of sufficient documentation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(32)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of sufficient documentation used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy documentation\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(32)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(32)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - }, - { - "id": "sa-8.33", - "class": "SP800-53-enhancement", - "title": "Minimization", - "params": [ - { - "id": "sa-08.33_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.33_prm_1" - }, - { - "name": "label", - "value": "SA-08(33)_ODP" - } - ], - "label": "processes", - "guidelines": [ - { - "prose": "processes that implement the privacy principle of minimization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(33)" - }, - { - "name": "sort-id", - "value": "sa-08.33" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.33_smt", - "name": "statement", - "prose": "Implement the privacy principle of minimization using {{ insert: param, sa-08.33_odp }}." - }, - { - "id": "sa-8.33_gdn", - "name": "guidance", - "prose": "The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(33)", - "class": "sp800-53A" - } - ], - "prose": "the privacy principle of minimization is implemented using {{ insert: param, sa-08.33_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(33)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing the minimization of personally identifiable information in system design\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\ninformation security and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(33)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(33)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the privacy design principle of minimization in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security and privacy policy\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External System Services", - "params": [ - { - "id": "sa-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9_prm_1" - }, - { - "name": "label", - "value": "SA-09_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed by external system service providers are defined;" - } - ] - }, - { - "id": "sa-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9_prm_2" - }, - { - "name": "label", - "value": "SA-09_ODP[02]" - } - ], - "label": "processes, methods, and techniques", - "guidelines": [ - { - "prose": "processes, methods, and techniques employed to monitor control compliance by external service providers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09" - }, - { - "name": "sort-id", - "value": "sa-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, sa-09_odp.01 }};" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document organizational oversight and user roles and responsibilities with regard to external system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, sa-09_odp.02 }}." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[01]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services comply with organizational security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[02]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services comply with organizational privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[03]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services employ {{ insert: param, sa-09_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational oversight with regard to external system services are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "user roles and responsibilities with regard to external system services are defined and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09_odp.02 }} are employed to monitor control compliance by external service providers on an ongoing basis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing methods and techniques for monitoring control compliance by external service providers of system services\n\nacquisition documentation\n\ncontracts\n\nservice level agreements\n\ninteragency agreements\n\nlicensing agreements\n\nlist of organizational security and privacy requirements for external provider services\n\ncontrol assessment results or reports from external providers of system services\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\nexternal providers of system services\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis\n\nautomated mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis" - } - ] - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments and Organizational Approvals", - "params": [ - { - "id": "sa-09.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.1_prm_1" - }, - { - "name": "label", - "value": "SA-09(01)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(01)" - }, - { - "name": "sort-id", - "value": "sa-09.01" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-09.01_odp }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09.01_odp }} approve the acquisition or outsourcing of dedicated information security services." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management policy and procedures\n\nprocedures addressing external system services\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nrisk assessment reports\n\napproval records for the acquisition or outsourcing of dedicated security services\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with system security responsibilities\n\nexternal providers of system services\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services\n\norganizational processes for approving the outsourcing of dedicated security services\n\nautomated mechanisms supporting and/or implementing risk assessment\n\nautomated mechanisms supporting and/or implementing approval processes" - } - ] - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions, Ports, Protocols, and Services", - "params": [ - { - "id": "sa-9.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-09.02_odp" - } - ], - "label": "organization-defined external system services" - }, - { - "id": "sa-09.02_odp", - "props": [ - { - "name": "label", - "value": "SA-09(02)_ODP" - } - ], - "label": "external system services", - "guidelines": [ - { - "prose": "external system services that require the identification of functions, ports, protocols, and other services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(02)" - }, - { - "name": "sort-id", - "value": "sa-09.02" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-9.2_prm_1 }}." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(02)", - "class": "sp800-53A" - } - ], - "prose": "providers of {{ insert: param, sa-09.02_odp }} are required to identify the functions, ports, protocols, and other services required for the use of such services." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management policy and procedures\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\norganizational security requirements and security specifications for external service providers\n\nlist of required functions, ports, protocols, and other services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nexternal providers of system services" - } - ] - } - ] - }, - { - "id": "sa-9.3", - "class": "SP800-53-enhancement", - "title": "Establish and Maintain Trust Relationship with Providers", - "params": [ - { - "id": "sa-9.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-09.03_odp.01" - } - ], - "label": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships" - }, - { - "id": "sa-09.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-09(03)_ODP[01]" - } - ], - "label": "security requirements, properties, factors, or conditions", - "guidelines": [ - { - "prose": "security requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;" - } - ] - }, - { - "id": "sa-09.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-09(03)_ODP[02]" - } - ], - "label": "privacy requirements, properties, factors, or conditions", - "guidelines": [ - { - "prose": "privacy requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(03)" - }, - { - "name": "sort-id", - "value": "sa-09.03" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.3_smt", - "name": "statement", - "prose": "Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1 }}." - }, - { - "id": "sa-9.3_gdn", - "name": "guidance", - "prose": "Trust relationships between organizations and external service providers reflect the degree of confidence that the risk from using external services is at an acceptable level. Trust relationships can help organizations gain increased levels of confidence that service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control that organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are established and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are established and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\nlist of organizational security and privacy requirements, properties, factors, or conditions for external provider services\n\ndocumentation of trust relationships with external service providers\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "params": [ - { - "id": "sa-09.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.4_prm_1" - }, - { - "name": "label", - "value": "SA-09(04)_ODP[01]" - } - ], - "label": "external service providers", - "guidelines": [ - { - "prose": "external service providers are defined;" - } - ] - }, - { - "id": "sa-09.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.4_prm_2" - }, - { - "name": "label", - "value": "SA-09(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken to verify that the interests of external service providers are consistent with and reflect organizational interests are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(04)" - }, - { - "name": "sort-id", - "value": "sa-09.04" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "Take the following actions to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests: {{ insert: param, sa-09.04_odp.02 }}." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, such as providers with which organizations have had successful trust relationships; and conducting routine, periodic, unscheduled visits to service provider facilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09.04_odp.02 }} are taken to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\norganizational security requirements/safeguards for external service providers\n\npersonnel security policies for external service providers\n\nassessments performed on external service providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers\n\nautomated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers" - } - ] - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "params": [ - { - "id": "sa-09.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_1" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "information processing", - "information or data", - "system services" - ] - } - }, - { - "id": "sa-09.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_2" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations where is/are to be restricted are defined;" - } - ] - }, - { - "id": "sa-09.05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_3" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[03]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements or conditions for restricting the location of are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(05)" - }, - { - "name": "sort-id", - "value": "sa-09.05" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "Restrict the location of {{ insert: param, sa-09.05_odp.01 }} to {{ insert: param, sa-09.05_odp.02 }} based on {{ insert: param, sa-09.05_odp.03 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(05)", - "class": "sp800-53A" - } - ], - "prose": "based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert: param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param, sa-09.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nrestricted locations for information processing\n\ninformation/data and/or system services\n\ninformation processing, information/data, and/or system services to be maintained in restricted locations\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services\n\norganizational processes for ensuring the location is restricted in accordance with requirements or conditions" - } - ] - } - ] - }, - { - "id": "sa-9.6", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Cryptographic Keys", - "props": [ - { - "name": "label", - "value": "SA-09(06)" - }, - { - "name": "sort-id", - "value": "sa-09.06" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.6_smt", - "name": "statement", - "prose": "Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system." - }, - { - "id": "sa-9.6_gdn", - "name": "guidance", - "prose": "Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system but allows exclusive organizational access to the encryption keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(06)", - "class": "sp800-53A" - } - ], - "prose": "exclusive control of cryptographic keys is maintained for encrypted material stored or transmitted through an external system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing organization-controlled cryptographic key management\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with cryptographic key management responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for cryptographic key management\n\nautomated mechanisms for supporting and implementing the management of organization-controlled cryptographic keys" - } - ] - } - ] - }, - { - "id": "sa-9.7", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Integrity Checking", - "props": [ - { - "name": "label", - "value": "SA-09(07)" - }, - { - "name": "sort-id", - "value": "sa-09.07" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.7_smt", - "name": "statement", - "prose": "Provide the capability to check the integrity of information while it resides in the external system." - }, - { - "id": "sa-9.7_gdn", - "name": "guidance", - "prose": "Storage of organizational information in an external system could limit visibility into the security status of its data. The ability of the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(07)", - "class": "sp800-53A" - } - ], - "prose": "the capability is provided to check the integrity of information while it resides in the external system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing organization-controlled integrity checking\n\ninformation/data and/or system services\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with integrity checking responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for integrity checking\n\nautomated mechanisms for supporting and implementing integrity checking of information in external systems" - } - ] - } - ] - }, - { - "id": "sa-9.8", - "class": "SP800-53-enhancement", - "title": "Processing and Storage Location \u2014 U.s. Jurisdiction", - "props": [ - { - "name": "label", - "value": "SA-09(08)" - }, - { - "name": "sort-id", - "value": "sa-09.08" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.8_smt", - "name": "statement", - "prose": "Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States." - }, - { - "id": "sa-9.8_gdn", - "name": "guidance", - "prose": "The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their mission and business functions. A compromise or breach of high impact information and systems can have severe or catastrophic adverse impacts on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(08)", - "class": "sp800-53A" - } - ], - "prose": "the geographic location of information processing and data storage is restricted to facilities located within the legal jurisdictional boundary of the United States." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing determining jurisdiction restrictions for processing and storage location\n\ninformation/data and/or system services\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with supply chain risk management responsibilities\n\nexternal providers of system services" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes restricting external system service providers to process and store information within the legal jurisdictional boundary of the United States" - } - ] - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "params": [ - { - "id": "sa-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_1" - }, - { - "name": "label", - "value": "SA-10_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "design", - "development", - "implementation", - "operation", - "disposal" - ] - } - }, - { - "id": "sa-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_2" - }, - { - "name": "label", - "value": "SA-10_ODP[02]" - } - ], - "label": "configuration items", - "guidelines": [ - { - "prose": "configuration items under configuration management are defined;" - } - ] - }, - { - "id": "sa-10_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_3" - }, - { - "name": "label", - "value": "SA-10_ODP[03]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "sa-10" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_odp.03 }}." - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.\n\nThe configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10a.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to manage the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to control the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10c.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document approved changes to the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the potential security impacts of approved changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to track security flaws within the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to report findings to {{ insert: param, sa-10_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsecurity flaw and flaw resolution tracking records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software and Firmware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(01)" - }, - { - "name": "sort-id", - "value": "sa-10.01" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(01)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to enable integrity verification of software and firmware components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsoftware and firmware integrity verification records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.2", - "class": "SP800-53-enhancement", - "title": "Alternative Configuration Management Processes", - "props": [ - { - "name": "label", - "value": "SA-10(02)" - }, - { - "name": "sort-id", - "value": "sa-10.02" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.2_smt", - "name": "statement", - "prose": "Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "id": "sa-10.2_gdn", - "name": "guidance", - "prose": "Alternate configuration management processes may be required when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel who review and approve proposed changes to systems, system components, and system services and conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(02)", - "class": "sp800-53A" - } - ], - "prose": "an alternate configuration management process has been provided using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nconfiguration management policy\n\nconfiguration management plan\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsecurity impact analyses\n\nprivacy impact analyses\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.3", - "class": "SP800-53-enhancement", - "title": "Hardware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(03)" - }, - { - "name": "sort-id", - "value": "sa-10.03" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of hardware components." - }, - { - "id": "sa-10.3_gdn", - "name": "guidance", - "prose": "Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations may verify the integrity of hardware components with hard-to-copy labels, verifiable serial numbers provided by developers, and by requiring the use of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(03)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to enable integrity verification of hardware components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nhardware integrity verification records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.4", - "class": "SP800-53-enhancement", - "title": "Trusted Generation", - "props": [ - { - "name": "label", - "value": "SA-10(04)" - }, - { - "name": "sort-id", - "value": "sa-10.04" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions." - }, - { - "id": "sa-10.4_gdn", - "name": "guidance", - "prose": "The trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, [SA-10(1)](#sa-10.1) and [SA-10(3)](#sa-10.3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of security-relevant hardware descriptions with previous versions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of source code with previous versions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of object code with previous versions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nconfiguration control audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.5", - "class": "SP800-53-enhancement", - "title": "Mapping Integrity for Version Control", - "props": [ - { - "name": "label", - "value": "SA-10(05)" - }, - { - "name": "sort-id", - "value": "sa-10.05" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "id": "sa-10.5_gdn", - "name": "guidance", - "prose": "Mapping integrity for version control addresses changes to hardware, software, and firmware components during both initial development and system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs, hardware drawings, source code) and the equivalent data in master copies in operational environments is essential to ensuring the availability of organizational systems that support critical mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(05)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nversion control change/update records\n\nintegrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.6", - "class": "SP800-53-enhancement", - "title": "Trusted Distribution", - "props": [ - { - "name": "label", - "value": "SA-10(06)" - }, - { - "name": "sort-id", - "value": "sa-10.06" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "id": "sa-10.6_gdn", - "name": "guidance", - "prose": "The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.7", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "sa-10.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-10.07_odp.01" - } - ], - "label": "organization-defined security and privacy representatives" - }, - { - "id": "sa-10.7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-10.07_odp.03" - } - ], - "label": "organization-defined configuration change management and control process" - }, - { - "id": "sa-10.07_odp.01", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[01]" - } - ], - "label": "security representatives", - "guidelines": [ - { - "prose": "security representatives to be included in the configuration change management and control process are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.02", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[02]" - } - ], - "label": "privacy representatives", - "guidelines": [ - { - "prose": "privacy representatives to be included in the configuration change management and control process are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.03", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[03]" - } - ], - "label": "configuration change management and control processes", - "guidelines": [ - { - "prose": "configuration change management and control processes in which security representatives are required to be included are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.04", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[04]" - } - ], - "label": "configuration change management and control processes", - "guidelines": [ - { - "prose": "configuration change management and control processes in which privacy representatives are required to be included are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-10(07)" - }, - { - "name": "sort-id", - "value": "sa-10.07" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.7_smt", - "name": "statement", - "prose": "Require {{ insert: param, sa-10.7_prm_1 }} to be included in the {{ insert: param, sa-10.7_prm_2 }}." - }, - { - "id": "sa-10.7_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives can include system security officers, senior agency information security officers, senior agency officials for privacy, and system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change management and control process in this control enhancement refers to the change management and control process defined by organizations in [SA-10b](#sa-10_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-10.07_odp.01 }} are required to be included in the {{ insert: param, sa-10.07_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-10.07_odp.02 }} are required to be included in the {{ insert: param, sa-10.07_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nconfiguration management policy\n\nconfiguration management plan\n\nsolicitation documentation requiring representatives for security and privacy\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Testing and Evaluation", - "params": [ - { - "id": "sa-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_1" - }, - { - "name": "label", - "value": "SA-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "unit", - "integration", - "system", - "regression" - ] - } - }, - { - "id": "sa-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_2" - }, - { - "name": "label", - "value": "SA-11_ODP[02]" - } - ], - "label": "frequency to conduct", - "guidelines": [ - { - "prose": "frequency at which to conduct testing/evaluation is defined;" - } - ] - }, - { - "id": "sa-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_3" - }, - { - "name": "label", - "value": "SA-11_ODP[03]" - } - ], - "label": "depth and coverage", - "guidelines": [ - { - "prose": "depth and coverage of testing/evaluation is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "sa-11" - } - ], - "links": [ - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#708b94e1-3d5e-4b22-ab43-1c69f3a97e37", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement a plan for ongoing security and privacy control assessments;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during testing and evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes\u2014including upgrading or replacing applications, operating systems, and firmware\u2014may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches.\n\nDevelopers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11b.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11d.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11e.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security and privacy testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsecurity and privacy architecture\n\nsystem design documentation\n\nsystem developer security and privacy assessment plans\n\nresults of developer security and privacy assessments for the system, system component, or system service\n\nsecurity and privacy flaw and remediation tracking records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security and privacy testing responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation" - } - ] - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(01)" - }, - { - "name": "sort-id", - "value": "sa-11.01" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsecurity and privacy architecture\n\nsystem design documentation\n\nsystem developer security and privacy assessment plans\n\nresults of system developer security and privacy assessments\n\nsecurity flaw and remediation tracking records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security and privacy testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\n\nstatic code analysis tools" - } - ] - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analyses", - "params": [ - { - "id": "sa-11.2_prm_3", - "props": [ - { - "name": "aggregates", - "value": "sa-11.02_odp.03" - } - ], - "label": "organization-defined breadth and depth of modeling and analyses" - }, - { - "id": "sa-11.2_prm_4", - "props": [ - { - "name": "aggregates", - "value": "sa-11.02_odp.05" - } - ], - "label": "organization-defined acceptance criteria" - }, - { - "id": "sa-11.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.2_prm_1" - }, - { - "name": "label", - "value": "SA-11(02)_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.2_prm_2" - }, - { - "name": "label", - "value": "SA-11(02)_ODP[02]" - } - ], - "label": "tools and methods", - "guidelines": [ - { - "prose": "the tools and methods to be employed for threat modeling and vulnerability analyses are defined;" - } - ] - }, - { - "id": "sa-11.02_odp.03", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[03]" - } - ], - "label": "breadth and depth", - "guidelines": [ - { - "prose": "the breadth and depth of threat modeling to be conducted is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.04", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[04]" - } - ], - "label": "breadth and depth", - "guidelines": [ - { - "prose": "the breadth and depth of vulnerability analyses to be conducted is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.05", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[05]" - } - ], - "label": "acceptance criteria", - "guidelines": [ - { - "prose": "acceptance criteria to be met by produced evidence for threat modeling are defined;" - } - ] - }, - { - "id": "sa-11.02_odp.06", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[06]" - } - ], - "label": "acceptance criteria", - "guidelines": [ - { - "prose": "acceptance criteria to be met by produced evidence for vulnerability analyses are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(02)" - }, - { - "name": "sort-id", - "value": "sa-11.02" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:", - "parts": [ - { - "id": "sa-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Uses the following contextual information: {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "id": "sa-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs the following tools and methods: {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "id": "sa-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }} ; and" - }, - { - "id": "sa-11.2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}." - } - ] - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling at {{ insert: param, sa-11.02_odp.03 }} during development of the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at {{ insert: param, sa-11.02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the system, system component, or system service\n\nvulnerability scanning results\n\nsystem risk assessment reports\n\nthreat and vulnerability analysis reports\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.3", - "class": "SP800-53-enhancement", - "title": "Independent Verification of Assessment Plans and Evidence", - "params": [ - { - "id": "sa-11.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.3_prm_1" - }, - { - "name": "label", - "value": "SA-11(03)_ODP" - } - ], - "label": "independence criteria", - "guidelines": [ - { - "prose": "independence criteria to be satisfied by an independent agent are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(03)" - }, - { - "name": "sort-id", - "value": "sa-11.03" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-11.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require an independent agent satisfying {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and" - }, - { - "id": "sa-11.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "id": "sa-11.3_gdn", - "name": "guidance", - "prose": "Independent agents have the qualifications\u2014including the expertise, skills, training, certifications, and experience\u2014to verify the correct implementation of developer security and privacy assessment plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security assessment plan and the evidence produced during testing and evaluation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer privacy assessment plan and the evidence produced during testing and evaluation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nindependent verification and validation reports\n\nsecurity and privacy assessment plans\n\nresults of security and privacy assessments for the system, system component, or system service\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.4", - "class": "SP800-53-enhancement", - "title": "Manual Code Reviews", - "params": [ - { - "id": "sa-11.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.4_prm_1" - }, - { - "name": "label", - "value": "SA-11(04)_ODP[01]" - } - ], - "label": "specific code", - "guidelines": [ - { - "prose": "specific code requiring manual code review is defined;" - } - ] - }, - { - "id": "sa-11.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.4_prm_2" - }, - { - "name": "label", - "value": "SA-11(04)_ODP[02]" - } - ], - "label": "processes, procedures, and/or techniques", - "guidelines": [ - { - "prose": "processes, procedures, and/or techniques used for manual code reviews are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(04)" - }, - { - "name": "sort-id", - "value": "sa-11.04" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using the following processes, procedures, and/or techniques: {{ insert: param, sa-11.04_odp.02 }}." - }, - { - "id": "sa-11.4_gdn", - "name": "guidance", - "prose": "Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective at identifying weaknesses that require knowledge of the application\u2019s requirements or context that, in most cases, is unavailable to automated analytic tools and techniques, such as static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(04)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using {{ insert: param, sa-11.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocesses, procedures, and/or techniques for performing manual code reviews\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nlist of code requiring manual reviews\n\nrecords of manual code reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.5", - "class": "SP800-53-enhancement", - "title": "Penetration Testing", - "params": [ - { - "id": "sa-11.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-11.05_odp.01" - } - ], - "label": "organization-defined breadth and depth of testing" - }, - { - "id": "sa-11.5_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-11.05_odp.03" - } - ], - "label": "organization-defined constraints" - }, - { - "id": "sa-11.05_odp.01", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[01]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of penetration testing is defined;" - } - ] - }, - { - "id": "sa-11.05_odp.02", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[02]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of penetration testing is defined;" - } - ] - }, - { - "id": "sa-11.05_odp.03", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[03]" - } - ], - "label": "constraints", - "guidelines": [ - { - "prose": "constraints of penetration testing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(05)" - }, - { - "name": "sort-id", - "value": "sa-11.05" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform penetration testing:", - "parts": [ - { - "id": "sa-11.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-11.5_prm_1 }} ; and" - }, - { - "id": "sa-11.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Under the following constraints: {{ insert: param, sa-11.5_prm_2 }}." - } - ] - }, - { - "id": "sa-11.5_gdn", - "name": "guidance", - "prose": "Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent the implemented security and privacy features of information technology products and systems. Useful information for assessors who conduct penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black-box testing with analyses performed by skilled professionals who simulate adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components, and services that result from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide a greater level of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing under {{ insert: param, sa-11.05_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer penetration testing and evaluation plans\n\nsystem developer penetration testing and evaluation results\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security and privacy assessments\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security and privacy assessments" - } - ] - } - ] - }, - { - "id": "sa-11.6", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reviews", - "props": [ - { - "name": "label", - "value": "SA-11(06)" - }, - { - "name": "sort-id", - "value": "sa-11.06" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform attack surface reviews." - }, - { - "id": "sa-11.6_gdn", - "name": "guidance", - "prose": "Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. The correction of identified flaws includes deprecation of unsafe functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform attack surface reviews." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nrecords of attack surface reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.7", - "class": "SP800-53-enhancement", - "title": "Verify Scope of Testing and Evaluation", - "params": [ - { - "id": "sa-11.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-11.07_odp.01" - } - ], - "label": "organization-defined breadth and depth of testing and evaluation" - }, - { - "id": "sa-11.07_odp.01", - "props": [ - { - "name": "label", - "value": "SA-11(07)_ODP[01]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of testing and evaluation of required controls is defined;" - } - ] - }, - { - "id": "sa-11.07_odp.02", - "props": [ - { - "name": "label", - "value": "SA-11(07)_ODP[02]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of testing and evaluation of required controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(07)" - }, - { - "name": "sort-id", - "value": "sa-11.07" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - }, - { - "id": "sa-11.7_gdn", - "name": "guidance", - "prose": "Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance that corresponds to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be achieved using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(08)" - }, - { - "name": "sort-id", - "value": "sa-11.08" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides runtime verification of software programs using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs runtime tools to ensure that security functionality performs in the way it was designed. A type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies are derived from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and the assurance provided, organizations may also consider conducting code coverage analysis (i.e., checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (i.e., checking for words that are out of place in software code, such as non-English language words or derogatory terms)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ dynamic code analysis tools to identify common flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.9", - "class": "SP800-53-enhancement", - "title": "Interactive Application Security Testing", - "props": [ - { - "name": "label", - "value": "SA-11(09)" - }, - { - "name": "sort-id", - "value": "sa-11.09" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results." - }, - { - "id": "sa-11.9_gdn", - "name": "guidance", - "prose": "Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to directly measure control effectiveness. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ interactive application security testing tools to identify flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the results of flaw identification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing interactive application security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for interactive application security testing\n\nautomated mechanisms supporting and/or implementing the interactive application security testing" - } - ] - } - ] - } - ] - }, - { - "id": "sa-12", - "class": "SP800-53", - "title": "Supply Chain Protection", - "props": [ - { - "name": "label", - "value": "SA-12" - }, - { - "name": "sort-id", - "value": "sa-12" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-12.1", - "class": "SP800-53-enhancement", - "title": "Acquisition Strategies / Tools / Methods", - "props": [ - { - "name": "label", - "value": "SA-12(01)" - }, - { - "name": "sort-id", - "value": "sa-12.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.2", - "class": "SP800-53-enhancement", - "title": "Supplier Reviews", - "props": [ - { - "name": "label", - "value": "SA-12(02)" - }, - { - "name": "sort-id", - "value": "sa-12.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.3", - "class": "SP800-53-enhancement", - "title": "Trusted Shipping and Warehousing", - "props": [ - { - "name": "label", - "value": "SA-12(03)" - }, - { - "name": "sort-id", - "value": "sa-12.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.4", - "class": "SP800-53-enhancement", - "title": "Diversity of Suppliers", - "props": [ - { - "name": "label", - "value": "SA-12(04)" - }, - { - "name": "sort-id", - "value": "sa-12.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.5", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "props": [ - { - "name": "label", - "value": "SA-12(05)" - }, - { - "name": "sort-id", - "value": "sa-12.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.6", - "class": "SP800-53-enhancement", - "title": "Minimizing Procurement Time", - "props": [ - { - "name": "label", - "value": "SA-12(06)" - }, - { - "name": "sort-id", - "value": "sa-12.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.7", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection / Acceptance / Update", - "props": [ - { - "name": "label", - "value": "SA-12(07)" - }, - { - "name": "sort-id", - "value": "sa-12.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.8", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "SA-12(08)" - }, - { - "name": "sort-id", - "value": "sa-12.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.9", - "class": "SP800-53-enhancement", - "title": "Operations Security", - "props": [ - { - "name": "label", - "value": "SA-12(09)" - }, - { - "name": "sort-id", - "value": "sa-12.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-7", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.10", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "props": [ - { - "name": "label", - "value": "SA-12(10)" - }, - { - "name": "sort-id", - "value": "sa-12.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-4.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.11", - "class": "SP800-53-enhancement", - "title": "Penetration Testing / Analysis of Elements, Processes, and Actors", - "props": [ - { - "name": "label", - "value": "SA-12(11)" - }, - { - "name": "sort-id", - "value": "sa-12.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-6.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.12", - "class": "SP800-53-enhancement", - "title": "Inter-organizational Agreements", - "props": [ - { - "name": "label", - "value": "SA-12(12)" - }, - { - "name": "sort-id", - "value": "sa-12.12" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.13", - "class": "SP800-53-enhancement", - "title": "Critical Information System Components", - "props": [ - { - "name": "label", - "value": "SA-12(13)" - }, - { - "name": "sort-id", - "value": "sa-12.13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "incorporated-into" - }, - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.14", - "class": "SP800-53-enhancement", - "title": "Identity and Traceability", - "props": [ - { - "name": "label", - "value": "SA-12(14)" - }, - { - "name": "sort-id", - "value": "sa-12.14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-4.1", - "rel": "incorporated-into" - }, - { - "href": "#sr-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.15", - "class": "SP800-53-enhancement", - "title": "Processes to Address Weaknesses or Deficiencies", - "props": [ - { - "name": "label", - "value": "SA-12(15)" - }, - { - "name": "sort-id", - "value": "sa-12.15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-13", - "class": "SP800-53", - "title": "Trustworthiness", - "props": [ - { - "name": "label", - "value": "SA-13" - }, - { - "name": "sort-id", - "value": "sa-13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-14", - "class": "SP800-53", - "title": "Criticality Analysis", - "props": [ - { - "name": "label", - "value": "SA-14" - }, - { - "name": "sort-id", - "value": "sa-14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-14.1", - "class": "SP800-53-enhancement", - "title": "Critical Components with No Viable Alternative Sourcing", - "props": [ - { - "name": "label", - "value": "SA-14(01)" - }, - { - "name": "sort-id", - "value": "sa-14.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-20", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-15", - "class": "SP800-53", - "title": "Development Process, Standards, and Tools", - "params": [ - { - "id": "sa-15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-15_odp.02" - } - ], - "label": "organization-defined security and privacy requirements" - }, - { - "id": "sa-15_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15_prm_1" - }, - { - "name": "label", - "value": "SA-15_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined;" - } - ] - }, - { - "id": "sa-15_odp.02", - "props": [ - { - "name": "label", - "value": "SA-15_ODP[02]" - } - ], - "label": "security requirements", - "guidelines": [ - { - "prose": "security requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;" - } - ] - }, - { - "id": "sa-15_odp.03", - "props": [ - { - "name": "label", - "value": "SA-15_ODP[03]" - } - ], - "label": "privacy requirements", - "guidelines": [ - { - "prose": "privacy requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15" - }, - { - "name": "sort-id", - "value": "sa-15" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15_smt", - "name": "statement", - "parts": [ - { - "id": "sa-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require the developer of the system, system component, or system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Explicitly addresses security and privacy requirements;" - }, - { - "id": "sa-15_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Documents the specific tool options and tool configurations used in the development process; and" - }, - { - "id": "sa-15_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and" - } - ] - }, - { - "id": "sa-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_odp.01 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}." - } - ] - }, - { - "id": "sa-15_gdn", - "name": "guidance", - "prose": "Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.04", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security and privacy requirements during the development process\n\nsolicitation documentation\n\nacquisition documentation\n\ncritical component inventory documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer documentation listing tool options/configuration guides\n\nconfiguration management policy\n\nconfiguration management records\n\ndocumentation of development process reviews using maturity models\n\nchange control records\n\nconfiguration control records\n\ndocumented reviews of the development process, standards, tools, and tool options/configurations\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ], - "controls": [ - { - "id": "sa-15.1", - "class": "SP800-53-enhancement", - "title": "Quality Metrics", - "params": [ - { - "id": "sa-15.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_1" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-15.01_odp.02 }} ", - " {{ insert: param, sa-15.01_odp.03 }} ", - "upon delivery" - ] - } - }, - { - "id": "sa-15.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_2" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide evidence of meeting the quality metrics is defined (if selected);" - } - ] - }, - { - "id": "sa-15.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_3" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[03]" - } - ], - "label": "program review", - "guidelines": [ - { - "prose": "program review milestones are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(01)" - }, - { - "name": "sort-id", - "value": "sa-15.01" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-15.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define quality metrics at the beginning of the development process; and" - }, - { - "id": "sa-15.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}." - } - ] - }, - { - "id": "sa-15.1_gdn", - "name": "guidance", - "prose": "Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards that represent the satisfactory execution of specific phases of the system development project. For example, a quality gate may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. Metrics can include defining the severity thresholds of vulnerabilities in accordance with organizational risk tolerance, such as requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of medium or high." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define quality metrics at the beginning of the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of quality metrics\n\ndocumentation evidence of meeting quality metrics\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-15.2", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Tracking Tools", - "props": [ - { - "name": "label", - "value": "SA-15(02)" - }, - { - "name": "sort-id", - "value": "sa-15.02" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process." - }, - { - "id": "sa-15.2_gdn", - "name": "guidance", - "prose": "System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to select and employ security tracking tools for use during the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to select and employ privacy tracking tools for use during the development process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ndocumentation of the selection of security and privacy tracking tools\n\nevidence of employing security and privacy tracking tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.3", - "class": "SP800-53-enhancement", - "title": "Criticality Analysis", - "params": [ - { - "id": "sa-15.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-15.03_odp.01" - } - ], - "label": "organization-defined decision points in the system development life cycle" - }, - { - "id": "sa-15.3_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-15.03_odp.02" - } - ], - "label": "organization-defined breadth and depth of criticality analysis" - }, - { - "id": "sa-15.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[01]" - } - ], - "label": "decision points", - "guidelines": [ - { - "prose": "decision points in the system development life cycle are defined;" - } - ] - }, - { - "id": "sa-15.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[02]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of criticality analysis is defined;" - } - ] - }, - { - "id": "sa-15.03_odp.03", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[03]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of criticality analysis is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(03)" - }, - { - "name": "sort-id", - "value": "sa-15.03" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a criticality analysis:", - "parts": [ - { - "id": "sa-15.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following decision points in the system development life cycle: {{ insert: param, sa-15.3_prm_1 }} ; and" - }, - { - "id": "sa-15.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}." - } - ] - }, - { - "id": "sa-15.3_gdn", - "name": "guidance", - "prose": "Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at {{ insert: param, sa-15.03_odp.01 }} in the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing criticality analysis requirements for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ncriticality analysis documentation\n\nbusiness impact analysis documentation\n\nsoftware development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for performing criticality analysis\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for performing criticality analysis\n\nautomated mechanisms supporting and/or implementing criticality analysis" - } - ] - } - ] - }, - { - "id": "sa-15.4", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analysis", - "props": [ - { - "name": "label", - "value": "SA-15(04)" - }, - { - "name": "sort-id", - "value": "sa-15.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-11.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.5", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reduction", - "params": [ - { - "id": "sa-15.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.5_prm_1" - }, - { - "name": "label", - "value": "SA-15(05)_ODP" - } - ], - "label": "thresholds", - "guidelines": [ - { - "prose": "thresholds to which attack surfaces are to be reduced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(05)" - }, - { - "name": "sort-id", - "value": "sa-15.05" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}." - }, - { - "id": "sa-15.5_gdn", - "name": "guidance", - "prose": "Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses, applying the principles of least privilege and least functionality, applying secure software development practices, deprecating unsafe functions, reducing entry points available to unauthorized users, reducing the amount of code that executes, and eliminating application programming interfaces (APIs) that are vulnerable to attacks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(05)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing attack surface reduction\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system or system service\n\nsystem design documentation\n\nnetwork diagram\n\nsystem configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces\n\nlist of restricted ports, protocols, functions, and services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for attack surface reduction thresholds\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining attack surface reduction thresholds" - } - ] - } - ] - }, - { - "id": "sa-15.6", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "SA-15(06)" - }, - { - "name": "sort-id", - "value": "sa-15.06" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process." - }, - { - "id": "sa-15.6_gdn", - "name": "guidance", - "prose": "Developers of systems, system components, and system services consider the effectiveness and efficiency of their development processes for meeting quality objectives and addressing the security and privacy capabilities in current threat environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement an explicit process to continuously improve the development process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nquality goals and metrics for improving the system development process\n\nsecurity assessments\n\nquality control reviews of system development process\n\nplans of action and milestones for improving the system development process\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-15.7", - "class": "SP800-53-enhancement", - "title": "Automated Vulnerability Analysis", - "params": [ - { - "id": "sa-15.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_1" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to conduct vulnerability analysis is defined;" - } - ] - }, - { - "id": "sa-15.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_2" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[02]" - } - ], - "label": "tools", - "guidelines": [ - { - "prose": "tools used to perform automated vulnerability analysis are defined;" - } - ] - }, - { - "id": "sa-15.07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_3" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the outputs of tools and results of the analysis are to be delivered is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(07)" - }, - { - "name": "sort-id", - "value": "sa-15.07" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service {{ insert: param, sa-15.07_odp.01 }} to:", - "parts": [ - { - "id": "sa-15.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Perform an automated vulnerability analysis using {{ insert: param, sa-15.07_odp.02 }};" - }, - { - "id": "sa-15.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Determine the exploitation potential for discovered vulnerabilities;" - }, - { - "id": "sa-15.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Determine potential risk mitigations for delivered vulnerabilities; and" - }, - { - "id": "sa-15.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Deliver the outputs of the tools and results of the analysis to {{ insert: param, sa-15.07_odp.03 }}." - } - ] - }, - { - "id": "sa-15.7_gdn", - "name": "guidance", - "prose": "Automated tools can be more effective at analyzing exploitable weaknesses or deficiencies in large and complex systems, prioritizing vulnerabilities by severity, and providing recommendations for risk mitigations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform automated vulnerability analysis {{ insert: param, sa-15.07_odp.01 }} using {{ insert: param, sa-15.07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to determine the exploitation potential for discovered vulnerabilities {{ insert: param, sa-15.07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to determine potential risk mitigations {{ insert: param, sa-15.07_odp.01 }} for delivered vulnerabilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to deliver the outputs of the tools and results of the analysis {{ insert: param, sa-15.07_odp.01 }} to {{ insert: param, sa-15.07_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nvulnerability analysis tools and associated documentation\n\nrisk assessment reports\n\nvulnerability analysis results\n\nvulnerability mitigation reports\n\nrisk mitigation strategy documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel performing automated vulnerability analysis on the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability analysis of systems, system components, or system services under development\n\nautomated mechanisms supporting and/or implementing vulnerability analysis of systems, system components, or system services under development" - } - ] - } - ] - }, - { - "id": "sa-15.8", - "class": "SP800-53-enhancement", - "title": "Reuse of Threat and Vulnerability Information", - "props": [ - { - "name": "label", - "value": "SA-15(08)" - }, - { - "name": "sort-id", - "value": "sa-15.08" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process." - }, - { - "id": "sa-15.8_gdn", - "name": "guidance", - "prose": "Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to use threat modeling from similar systems, components, or services to inform the current development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to use vulnerability analyses from similar systems, components, or services to inform the current development process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management plan\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nthreat modeling and vulnerability analyses from similar systems, system components, or system services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.9", - "class": "SP800-53-enhancement", - "title": "Use of Live Data", - "props": [ - { - "name": "label", - "value": "SA-15(09)" - }, - { - "name": "sort-id", - "value": "sa-15.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.10", - "class": "SP800-53-enhancement", - "title": "Incident Response Plan", - "props": [ - { - "name": "label", - "value": "SA-15(10)" - }, - { - "name": "sort-id", - "value": "sa-15.10" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan." - }, - { - "id": "sa-15.10_gdn", - "name": "guidance", - "prose": "The incident response plan provided by developers may provide information not readily available to organizations and be incorporated into organizational incident response plans. Developer information may also be extremely helpful, such as when organizations respond to vulnerabilities in commercial off-the-shelf products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide an incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement an incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to test an incident response plan." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing incident response, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system components or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\ndeveloper incident response plan\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.11", - "class": "SP800-53-enhancement", - "title": "Archive System or Component", - "props": [ - { - "name": "label", - "value": "SA-15(11)" - }, - { - "name": "sort-id", - "value": "sa-15.11" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.11_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "id": "sa-15.11_gdn", - "name": "guidance", - "prose": "Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(11)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system or system component is required to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system or system component\n\nevidence of archived system or component\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.12", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "SA-15(12)" - }, - { - "name": "sort-id", - "value": "sa-15.12" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.12_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments." - }, - { - "id": "sa-15.12_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual\u2019s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(12)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system or system component is required to minimize the use of personally identifiable information in development and test environments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the development process\n\nprocedures addressing the minimization of personally identifiable information in testing, training, and research\n\npersonally identifiable information processing policy\n\nprocedures addressing the authority to test with personally identifiable information\n\nstandards and tools\n\nsolicitation documentation\n\nservice level agreements\n\nacquisition contracts for the system or services\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the minimization of personally identifiable information in development and test environments\n\nautomated mechanisms to facilitate minimization of personally identifiable information in development and test environments" - } - ] - } - ] - } - ] - }, - { - "id": "sa-16", - "class": "SP800-53", - "title": "Developer-provided Training", - "params": [ - { - "id": "sa-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-16_odp" - } - ], - "label": "organization-defined training" - }, - { - "id": "sa-16_odp", - "props": [ - { - "name": "label", - "value": "SA-16_ODP" - } - ], - "label": "training", - "guidelines": [ - { - "prose": "training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms provided by the developer of the system, system component, or system service is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-16" - }, - { - "name": "sort-id", - "value": "sa-16" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-16_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - }, - { - "id": "sa-16_gdn", - "name": "guidance", - "prose": "Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-16", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide {{ insert: param, sa-16_odp }} on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing developer-provided training\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\norganizational security and privacy training policy\n\ndeveloper-provided training materials\n\ntraining records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\nexternal or internal (in-house) developers with training responsibilities for the system, system component, or information system service" - } - ] - } - ] - }, - { - "id": "sa-17", - "class": "SP800-53", - "title": "Developer Security and Privacy Architecture and Design", - "props": [ - { - "name": "label", - "value": "SA-17" - }, - { - "name": "sort-id", - "value": "sa-17" - } - ], - "links": [ - { - "href": "#87087451-2af5-43d4-88c1-d66ad850f614", - "rel": "reference" - }, - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:", - "parts": [ - { - "id": "sa-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is consistent with the organization\u2019s security and privacy architecture that is an integral part the organization\u2019s enterprise architecture;" - }, - { - "id": "sa-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and" - }, - { - "id": "sa-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection." - } - ] - }, - { - "id": "sa-17_gdn", - "name": "guidance", - "prose": "Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, [PL-8](#pl-8) is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and [PL-8](#pl-8) is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization\u2019s security architecture, which is an integral part the organization\u2019s enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization\u2019s privacy architecture, which is an integral part the organization\u2019s enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nenterprise architecture policy\n\nenterprise architecture documentation\n\nprocedures addressing developer security and privacy architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ], - "controls": [ - { - "id": "sa-17.1", - "class": "SP800-53-enhancement", - "title": "Formal Policy Model", - "params": [ - { - "id": "sa-17.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-17.01_odp.01" - } - ], - "label": "organization-defined elements of organizational security and privacy policy" - }, - { - "id": "sa-17.01_odp.01", - "props": [ - { - "name": "label", - "value": "SA-17(01)_ODP[01]" - } - ], - "label": "organizational security policy", - "guidelines": [ - { - "prose": "organizational security policy to be enforced is defined;" - } - ] - }, - { - "id": "sa-17.01_odp.02", - "props": [ - { - "name": "label", - "value": "SA-17(01)_ODP[02]" - } - ], - "label": "organizational privacy policy", - "guidelines": [ - { - "prose": "organizational privacy policy to be enforced is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(01)" - }, - { - "name": "sort-id", - "value": "sa-17.01" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal policy model describing the {{ insert: param, sa-17.1_prm_1 }} to be enforced; and" - }, - { - "id": "sa-17.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security and privacy policy when implemented." - } - ] - }, - { - "id": "sa-17.1_gdn", - "name": "guidance", - "prose": "Formal models describe specific behaviors or security and privacy policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the behaviors or policies of interest, such as nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.01 }} to be enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.02 }} to be enforced;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational privacy policy when implemented." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nenterprise architecture policy\n\nenterprise architecture documentation\n\nprocedures addressing developer security and privacy architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-17.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant Components", - "props": [ - { - "name": "label", - "value": "SA-17(02)" - }, - { - "name": "sort-id", - "value": "sa-17.02" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "id": "sa-17.2_gdn", - "name": "guidance", - "prose": "The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant hardware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant software;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant firmware;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of security-relevant hardware, software, and firmware components\n\ndocumented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.3", - "class": "SP800-53-enhancement", - "title": "Formal Correspondence", - "props": [ - { - "name": "label", - "value": "SA-17(03)" - }, - { - "name": "sort-id", - "value": "sa-17.03" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.3_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations on the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show proof that the formal top-level specification is consistent with the formal policy model to the extent feasible with additional informal demonstration as necessary;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via informal demonstration that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(e)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the formal top-level specification but are strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nformal policy model\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nformal top-level specification documentation\n\nsystem security architecture and design documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.4", - "class": "SP800-53-enhancement", - "title": "Informal Correspondence", - "params": [ - { - "id": "sa-17.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.4_prm_1" - }, - { - "name": "label", - "value": "SA-17(04)_ODP" - } - ], - "select": { - "choice": [ - "informal demonstration, convincing argument with formal methods as feasible" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(04)" - }, - { - "name": "sort-id", - "value": "sa-17.04" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.4_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that additional code or implementation detail has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via informal demonstration that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(e)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the descriptive top-level specification but are strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nformal policy model\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninformal, descriptive top-level specification documentation\n\nsystem security architecture and design documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the informal, descriptive top-level specification documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.5", - "class": "SP800-53-enhancement", - "title": "Conceptually Simple Design", - "props": [ - { - "name": "label", - "value": "SA-17(05)" - }, - { - "name": "sort-id", - "value": "sa-17.05" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and" - }, - { - "id": "sa-17.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "id": "sa-17.5_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible (see [SA-8(7)](#sa-8.7) ). A small and simple design is easier to understand and analyze and is also less prone to error (see [AC-25](#ac-25), [SA-8(13)](#sa-8.13) ). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain. That is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.6", - "class": "SP800-53-enhancement", - "title": "Structure for Testing", - "props": [ - { - "name": "label", - "value": "SA-17(06)" - }, - { - "name": "sort-id", - "value": "sa-17.06" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "id": "sa-17.6_gdn", - "name": "guidance", - "prose": "Applying the security design principles in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nprivacy architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate testing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with information security and privacy architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.7", - "class": "SP800-53-enhancement", - "title": "Structure for Least Privilege", - "props": [ - { - "name": "label", - "value": "SA-17(07)" - }, - { - "name": "sort-id", - "value": "sa-17.07" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "id": "sa-17.7_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions but no more (see [SA-8(14)](#sa-8.14) ). Applying the principle of least privilege limits the scope of the component\u2019s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has a need to view the audit data that has been collected but no need to perform operations on that data.\n\nIn addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module\u2019s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and the access modes to the elements (e.g., read, write) are minimal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(07)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.8", - "class": "SP800-53-enhancement", - "title": "Orchestration", - "params": [ - { - "id": "sa-17.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.8_prm_1" - }, - { - "name": "label", - "value": "SA-17(08)_ODP[01]" - } - ], - "label": "critical systems", - "guidelines": [ - { - "prose": "critical systems or system components are defined;" - } - ] - }, - { - "id": "sa-17.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.8_prm_2" - }, - { - "name": "label", - "value": "SA-17(08)_ODP[02]" - } - ], - "label": "capabilities", - "guidelines": [ - { - "prose": "capabilities to be implemented by systems or components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(08)" - }, - { - "name": "sort-id", - "value": "sa-17.08" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-17.8_smt", - "name": "statement", - "prose": "Design {{ insert: param, sa-17.08_odp.01 }} with coordinated behavior to implement the following capabilities: {{ insert: param, sa-17.08_odp.02 }}." - }, - { - "id": "sa-17.8_gdn", - "name": "guidance", - "prose": "Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-17.08_odp.01 }} are designed with coordinated behavior to implement {{ insert: param, sa-17.08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security and privacy architecture and design\n\nenterprise architecture\n\nsecurity architecture\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing design orchestration\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.9", - "class": "SP800-53-enhancement", - "title": "Design Diversity", - "params": [ - { - "id": "sa-17.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.9_prm_1" - }, - { - "name": "label", - "value": "SA-17(09)_ODP" - } - ], - "label": "critical systems", - "guidelines": [ - { - "prose": "critical systems or system components to be designed differently are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(09)" - }, - { - "name": "sort-id", - "value": "sa-17.09" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-17.9_smt", - "name": "statement", - "prose": "Use different designs for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "id": "sa-17.9_gdn", - "name": "guidance", - "prose": "Design diversity is achieved by supplying the same requirements specification to multiple developers, each of whom is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task and how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what information to convert to digital form, transmitting the same information at different times, and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(09)", - "class": "sp800-53A" - } - ], - "prose": "different designs are used for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design diversity for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing design diversity\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "sa-18", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SA-18" - }, - { - "name": "sort-id", - "value": "sa-18" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-18.1", - "class": "SP800-53-enhancement", - "title": "Multiple Phases of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SA-18(01)" - }, - { - "name": "sort-id", - "value": "sa-18.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-18.2", - "class": "SP800-53-enhancement", - "title": "Inspection of Systems or Components", - "props": [ - { - "name": "label", - "value": "SA-18(02)" - }, - { - "name": "sort-id", - "value": "sa-18.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-10", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-19", - "class": "SP800-53", - "title": "Component Authenticity", - "props": [ - { - "name": "label", - "value": "SA-19" - }, - { - "name": "sort-id", - "value": "sa-19" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-19.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "props": [ - { - "name": "label", - "value": "SA-19(01)" - }, - { - "name": "sort-id", - "value": "sa-19.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "props": [ - { - "name": "label", - "value": "SA-19(02)" - }, - { - "name": "sort-id", - "value": "sa-19.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "props": [ - { - "name": "label", - "value": "SA-19(03)" - }, - { - "name": "sort-id", - "value": "sa-19.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-12", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "props": [ - { - "name": "label", - "value": "SA-19(04)" - }, - { - "name": "sort-id", - "value": "sa-19.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.3", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-20", - "class": "SP800-53", - "title": "Customized Development of Critical Components", - "params": [ - { - "id": "sa-20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-20_prm_1" - }, - { - "name": "label", - "value": "SA-20_ODP" - } - ], - "label": "critical system", - "guidelines": [ - { - "prose": "critical system components to be reimplemented or custom-developed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-20" - }, - { - "name": "sort-id", - "value": "sa-20" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-20_smt", - "name": "statement", - "prose": "Reimplement or custom develop the following critical system components: {{ insert: param, sa-20_odp }}." - }, - { - "id": "sa-20_gdn", - "name": "guidance", - "prose": "Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components for which there are no viable security controls to adequately mitigate risk. Reimplementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to reimplement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-20", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-20_odp }} are reimplemented or custom-developed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the customized development of critical system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem development life cycle documentation addressing the custom development of critical system components\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for the reimplementation or customized development of critical system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the reimplementation or customized development of critical system components\n\nautomated mechanisms supporting and/or implementing reimplementation or customized development of critical system components" - } - ] - } - ] - }, - { - "id": "sa-21", - "class": "SP800-53", - "title": "Developer Screening", - "params": [ - { - "id": "sa-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_1" - }, - { - "name": "label", - "value": "SA-21_ODP[01]" - } - ], - "label": "system, systems component, or system service", - "guidelines": [ - { - "prose": "the system, systems component, or system service that the developer has access to is/are defined;" - } - ] - }, - { - "id": "sa-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_2" - }, - { - "name": "label", - "value": "SA-21_ODP[02]" - } - ], - "label": "official government duties", - "guidelines": [ - { - "prose": "official government duties assigned to the developer are defined;" - } - ] - }, - { - "id": "sa-21_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_3" - }, - { - "name": "label", - "value": "SA-21_ODP[03]" - } - ], - "label": "additional personnel screening criteria", - "guidelines": [ - { - "prose": "additional personnel screening criteria for the developer are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-21" - }, - { - "name": "sort-id", - "value": "sa-21" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-21_smt", - "name": "statement", - "prose": "Require that the developer of {{ insert: param, sa-21_odp.01 }}:", - "parts": [ - { - "id": "sa-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }} ; and" - }, - { - "id": "sa-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_odp.03 }}." - } - ] - }, - { - "id": "sa-21_gdn", - "name": "guidance", - "prose": "Developer screening is directed at external developers. Internal developer screening is addressed by [PS-3](#ps-3) . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of {{ insert: param, sa-21_odp.01 }} is required to have appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of {{ insert: param, sa-21_odp.01 }} is required to satisfy {{ insert: param, sa-21_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\npersonnel security policy and procedures\n\nprocedures addressing personnel screening\n\nsystem design documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for developer services\n\nsystem configuration settings and associated documentation\n\nlist of appropriate access authorizations required by the developers of the system\n\npersonnel screening criteria and associated documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for developer screening" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developer screening\n\nautomated mechanisms supporting developer screening" - } - ] - } - ], - "controls": [ - { - "id": "sa-21.1", - "class": "SP800-53-enhancement", - "title": "Validation of Screening", - "props": [ - { - "name": "label", - "value": "SA-21(01)" - }, - { - "name": "sort-id", - "value": "sa-21.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-22", - "class": "SP800-53", - "title": "Unsupported System Components", - "params": [ - { - "id": "sa-22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-22_prm_1" - }, - { - "name": "label", - "value": "SA-22_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "in-house support", - " {{ insert: param, sa-22_odp.02 }} " - ] - } - }, - { - "id": "sa-22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-22_prm_2" - }, - { - "name": "label", - "value": "SA-22_ODP[02]" - } - ], - "label": "support from external providers", - "guidelines": [ - { - "prose": "support from external providers is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-22" - }, - { - "name": "sort-id", - "value": "sa-22" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-22_smt", - "name": "statement", - "parts": [ - { - "id": "sa-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or" - }, - { - "id": "sa-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, sa-22_odp.01 }}." - } - ] - }, - { - "id": "sa-22_gdn", - "name": "guidance", - "prose": "Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\n\nAlternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22(a)", - "class": "sp800-53A" - } - ], - "prose": "system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-22_odp.01 }} provide options for alternative sources for continued support for unsupported components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the replacement or continued use of unsupported system components\n\ndocumented evidence of replacing unsupported system components\n\ndocumented approvals (including justification) for the continued use of unsupported system components\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility for the system development life cycle\n\norganizational personnel responsible for component replacement" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for replacing unsupported system components\n\nautomated mechanisms supporting and/or implementing the replacement of unsupported system components" - } - ] - } - ], - "controls": [ - { - "id": "sa-22.1", - "class": "SP800-53-enhancement", - "title": "Alternative Sources for Continued Support", - "props": [ - { - "name": "label", - "value": "SA-22(01)" - }, - { - "name": "sort-id", - "value": "sa-22.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-23", - "class": "SP800-53", - "title": "Specialization", - "params": [ - { - "id": "sa-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-23_prm_1" - }, - { - "name": "label", - "value": "SA-23_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "design modification", - "augmentation", - "reconfiguration" - ] - } - }, - { - "id": "sa-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-23_prm_2" - }, - { - "name": "label", - "value": "SA-23_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components supporting mission-essential services or functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-23" - }, - { - "name": "sort-id", - "value": "sa-23" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sa-23_odp.01 }} on {{ insert: param, sa-23_odp.02 }} supporting mission essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "id": "sa-23_gdn", - "name": "guidance", - "prose": "It is often necessary for a system or system component that supports mission-essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend on the organization-defined resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-23", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-23_odp.01 }} is employed on {{ insert: param, sa-23_odp.02 }} supporting essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing design modification, augmentation, or reconfiguration of systems or system components\n\ndocumented evidence of design modification, augmentation, or reconfiguration\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility for security architecture\n\norganizational personnel responsible for configuration management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the modification of design, augmentation, or reconfiguration of systems or system components\n\nautomated mechanisms supporting and/or implementing design modification, augmentation, or reconfiguration of systems or system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sc-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-01_odp.01", - "props": [ - { - "name": "label", - "value": "SC-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and communications protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "sc-01_odp.02", - "props": [ - { - "name": "label", - "value": "SC-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and communications protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "sc-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_2" - }, - { - "name": "label", - "value": "SC-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business-process-level", - "system-level" - ] - } - }, - { - "id": "sc-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_3" - }, - { - "name": "label", - "value": "SC-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and communications protection policy and procedures is defined;" - } - ] - }, - { - "id": "sc-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_4" - }, - { - "name": "label", - "value": "SC-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and communications protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sc-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_5" - }, - { - "name": "label", - "value": "SC-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and communications protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sc-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_6" - }, - { - "name": "label", - "value": "SC-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and communications protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "sc-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_7" - }, - { - "name": "label", - "value": "SC-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and communications protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-01" - }, - { - "name": "sort-id", - "value": "sc-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sc-01_odp.03 }} system and communications protection policy that:", - "parts": [ - { - "id": "sc-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sc-01_odp.04 }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and" - }, - { - "id": "sc-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and communications protection:", - "parts": [ - { - "id": "sc-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sc-01_odp.05 }} and following {{ insert: param, sc-01_odp.06 }} ; and" - }, - { - "id": "sc-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sc-01_odp.07 }} and following {{ insert: param, sc-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and communications protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and communications protection policy is disseminated to {{ insert: param, sc-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and communications protection procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and communications protection procedures are disseminated to {{ insert: param, sc-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and communications protection policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection policy is reviewed and updated {{ insert: param, sc-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection policy is reviewed and updated following {{ insert: param, sc-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection procedures are reviewed and updated {{ insert: param, sc-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection procedures are reviewed and updated following {{ insert: param, sc-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem and communications protection procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\naudit findings\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Separation of System and User Functionality", - "props": [ - { - "name": "label", - "value": "SC-02" - }, - { - "name": "sort-id", - "value": "sc-02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "Separate user functionality, including user interface services, from system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02", - "class": "sp800-53A" - } - ], - "prose": "user functionality, including user interface services, are separated from system management functionality." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from system management functionality" - } - ] - } - ], - "controls": [ - { - "id": "sc-2.1", - "class": "SP800-53-enhancement", - "title": "Interfaces for Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SC-02(01)" - }, - { - "name": "sort-id", - "value": "sc-02.01" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2.1_smt", - "name": "statement", - "prose": "Prevent the presentation of system management functionality at interfaces to non-privileged users." - }, - { - "id": "sc-2.1_gdn", - "name": "guidance", - "prose": "Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02(01)", - "class": "sp800-53A" - } - ], - "prose": "the presentation of system management functionality is prevented at interfaces to non-privileged users." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nnon-privileged users of the system\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from system management functionality" - } - ] - } - ] - }, - { - "id": "sc-2.2", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "props": [ - { - "name": "label", - "value": "SC-02(02)" - }, - { - "name": "sort-id", - "value": "sc-02.02" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-2.2_smt", - "name": "statement", - "prose": "Store state information from applications and software separately." - }, - { - "id": "sc-2.2_gdn", - "name": "guidance", - "prose": "If a system is compromised, storing applications and software separately from state information about users\u2019 interactions with an application may better protect individuals\u2019 privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02(02)", - "class": "sp800-53A" - } - ], - "prose": "state information is stored separately from applications and software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application and software partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of application state information from software" - } - ] - } - ] - } - ] - }, - { - "id": "sc-3", - "class": "SP800-53", - "title": "Security Function Isolation", - "props": [ - { - "name": "label", - "value": "SC-03" - }, - { - "name": "sort-id", - "value": "sc-03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-3_smt", - "name": "statement", - "prose": "Isolate security functions from nonsecurity functions." - }, - { - "id": "sc-3_gdn", - "name": "guidance", - "prose": "Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03", - "class": "sp800-53A" - } - ], - "prose": "security functions are isolated from non-security functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nlist of security functions to be isolated from non-security functions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of security functions from non-security functions within the system" - } - ] - } - ], - "controls": [ - { - "id": "sc-3.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-03(01)" - }, - { - "name": "sort-id", - "value": "sc-03.01" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.1_smt", - "name": "statement", - "prose": "Employ hardware separation mechanisms to implement security function isolation." - }, - { - "id": "sc-3.1_gdn", - "name": "guidance", - "prose": "Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(01)", - "class": "sp800-53A" - } - ], - "prose": "hardware separation mechanisms are employed to implement security function isolation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nhardware separation mechanisms\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of security functions from non-security functions within the system" - } - ] - } - ] - }, - { - "id": "sc-3.2", - "class": "SP800-53-enhancement", - "title": "Access and Flow Control Functions", - "props": [ - { - "name": "label", - "value": "SC-03(02)" - }, - { - "name": "sort-id", - "value": "sc-03.02" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.2_smt", - "name": "statement", - "prose": "Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions." - }, - { - "id": "sc-3.2_gdn", - "name": "guidance", - "prose": "Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "security functions enforcing access control are isolated from non-security functions;\n\nsecurity functions enforcing access control are isolated from other security functions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "security functions enforcing information flow control are isolated from non-security functions;\n\nsecurity functions enforcing information flow control are isolated from other security functions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nlist of critical security functions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Isolation of security functions enforcing access and information flow control" - } - ] - } - ] - }, - { - "id": "sc-3.3", - "class": "SP800-53-enhancement", - "title": "Minimize Nonsecurity Functionality", - "props": [ - { - "name": "label", - "value": "SC-03(03)" - }, - { - "name": "sort-id", - "value": "sc-03.03" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.3_smt", - "name": "statement", - "prose": "Minimize the number of nonsecurity functions included within the isolation boundary containing security functions." - }, - { - "id": "sc-3.3_gdn", - "name": "guidance", - "prose": "Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems that provide information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the number of non-security functions included within the isolation boundary containing security functions is minimized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing an isolation boundary" - } - ] - } - ] - }, - { - "id": "sc-3.4", - "class": "SP800-53-enhancement", - "title": "Module Coupling and Cohesiveness", - "props": [ - { - "name": "label", - "value": "SC-03(04)" - }, - { - "name": "sort-id", - "value": "sc-03.04" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.4_smt", - "name": "statement", - "prose": "Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules." - }, - { - "id": "sc-3.4_gdn", - "name": "guidance", - "prose": "The reduction of inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as largely independent modules that maximize internal cohesiveness within modules;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as largely independent modules that minimize coupling between modules." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules\n\nautomated mechanisms supporting and/or implementing security functions as independent modules" - } - ] - } - ] - }, - { - "id": "sc-3.5", - "class": "SP800-53-enhancement", - "title": "Layered Structures", - "props": [ - { - "name": "label", - "value": "SC-03(05)" - }, - { - "name": "sort-id", - "value": "sc-03.05" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.5_smt", - "name": "statement", - "prose": "Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "id": "sc-3.5_gdn", - "name": "guidance", - "prose": "The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) enables the isolation of security functions and the management of complexity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(05)", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as a layered structure, minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers\n\nautomated mechanisms supporting and/or implementing security functions as a layered structure" - } - ] - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared System Resources", - "props": [ - { - "name": "label", - "value": "SC-04" - }, - { - "name": "sort-id", - "value": "sc-04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "Prevent unauthorized and unintended information transfer via shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04[01]", - "class": "sp800-53A" - } - ], - "prose": "unauthorized information transfer via shared system resources is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04[02]", - "class": "sp800-53A" - } - ], - "prose": "unintended information transfer via shared system resources is prevented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources" - } - ] - } - ], - "controls": [ - { - "id": "sc-4.1", - "class": "SP800-53-enhancement", - "title": "Security Levels", - "props": [ - { - "name": "label", - "value": "SC-04(01)" - }, - { - "name": "sort-id", - "value": "sc-04.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-4.2", - "class": "SP800-53-enhancement", - "title": "Multilevel or Periods Processing", - "params": [ - { - "id": "sc-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-4.2_prm_1" - }, - { - "name": "label", - "value": "SC-04(02)_ODP" - } - ], - "label": "procedures", - "guidelines": [ - { - "prose": "procedures to prevent unauthorized information transfer via shared resources are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-04(02)" - }, - { - "name": "sort-id", - "value": "sc-04.02" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-4.2_smt", - "name": "statement", - "prose": "Prevent unauthorized information transfer via shared resources in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "id": "sc-4.2_gdn", - "name": "guidance", - "prose": "Changes in processing levels can occur during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include approved sanitization processes for electronically stored information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04(02)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized information transfer via shared resources is prevented in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized transfer of information via shared system resources" - } - ] - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial-of-service Protection", - "params": [ - { - "id": "sc-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_2" - }, - { - "name": "label", - "value": "SC-05_ODP[01]" - } - ], - "label": "types of denial-of-service events", - "guidelines": [ - { - "prose": "types of denial-of-service events to be protected against or limited are defined;" - } - ] - }, - { - "id": "sc-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_1" - }, - { - "name": "label", - "value": "SC-05_ODP[02]" - } - ], - "select": { - "choice": [ - "protect against", - "limit" - ] - } - }, - { - "id": "sc-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_3" - }, - { - "name": "label", - "value": "SC-05_ODP[03]" - } - ], - "label": "controls by type of denial-of-service event", - "guidelines": [ - { - "prose": "controls by type of denial-of-service event are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05" - }, - { - "name": "sort-id", - "value": "sc-05" - } - ], - "links": [ - { - "href": "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, sc-05_odp.02 }} the effects of the following types of denial-of-service events: {{ insert: param, sc-05_odp.01 }} ; and" - }, - { - "id": "sc-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to achieve the denial-of-service objective: {{ insert: param, sc-05_odp.03 }}." - } - ] - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05a.", - "class": "sp800-53A" - } - ], - "prose": "the effects of {{ insert: param, sc-05_odp.01 }} are {{ insert: param, sc-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05_odp.03 }} are employed to achieve the denial-of-service protection objective." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nlist of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial-of-service attacks\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial-of-service attacks" - } - ] - } - ], - "controls": [ - { - "id": "sc-5.1", - "class": "SP800-53-enhancement", - "title": "Restrict Ability to Attack Other Systems", - "params": [ - { - "id": "sc-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.1_prm_1" - }, - { - "name": "label", - "value": "SC-05(01)_ODP" - } - ], - "label": "denial-of-service attacks", - "guidelines": [ - { - "prose": "denial-of-service attacks to be restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05(01)" - }, - { - "name": "sort-id", - "value": "sc-05.01" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-5.1_smt", - "name": "statement", - "prose": "Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: {{ insert: param, sc-05.01_odp }}." - }, - { - "id": "sc-5.1_gdn", - "name": "guidance", - "prose": "Restricting the ability of individuals to launch denial-of-service attacks requires the mechanisms commonly used for such attacks to be unavailable. Individuals of concern include hostile insiders or external adversaries who have breached or compromised the system and are using it to launch a denial-of-service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial-of-service attacks may be implemented on specific systems or boundary devices that prohibit egress to potential target systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(01)", - "class": "sp800-53A" - } - ], - "prose": "the ability of individuals to launch {{ insert: param, sc-05.01_odp }} against other systems is restricted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nlist of denial-of-service attacks launched by individuals against systems\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting the ability to launch denial-of-service attacks against other systems" - } - ] - } - ] - }, - { - "id": "sc-5.2", - "class": "SP800-53-enhancement", - "title": "Capacity, Bandwidth, and Redundancy", - "props": [ - { - "name": "label", - "value": "SC-05(02)" - }, - { - "name": "sort-id", - "value": "sc-05.02" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-5.2_smt", - "name": "statement", - "prose": "Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial-of-service attacks." - }, - { - "id": "sc-5.2_gdn", - "name": "guidance", - "prose": "Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(02)", - "class": "sp800-53A" - } - ], - "prose": "capacity, bandwidth, or other redundancies to limit the effects of information flooding denial-of-service attacks are managed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of system bandwidth, capacity, and redundancy to limit the effects of information flooding denial-of-service attacks" - } - ] - } - ] - }, - { - "id": "sc-5.3", - "class": "SP800-53-enhancement", - "title": "Detection and Monitoring", - "params": [ - { - "id": "sc-05.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.3_prm_1" - }, - { - "name": "label", - "value": "SC-05(03)_ODP[01]" - } - ], - "label": "monitoring tools", - "guidelines": [ - { - "prose": "monitoring tools for detecting indicators of denial-of-service attacks are defined;" - } - ] - }, - { - "id": "sc-05.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.3_prm_2" - }, - { - "name": "label", - "value": "SC-05(03)_ODP[02]" - } - ], - "label": "system resources", - "guidelines": [ - { - "prose": "system resources to be monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05(03)" - }, - { - "name": "sort-id", - "value": "sc-05.03" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following monitoring tools to detect indicators of denial-of-service attacks against, or launched from, the system: {{ insert: param, sc-05.03_odp.01 }} ; and" - }, - { - "id": "sc-5.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor the following system resources to determine if sufficient resources exist to prevent effective denial-of-service attacks: {{ insert: param, sc-05.03_odp.02 }}." - } - ] - }, - { - "id": "sc-5.3_gdn", - "name": "guidance", - "prose": "Organizations consider the utilization and capacity of system resources when managing risk associated with a denial of service due to malicious attacks. Denial-of-service attacks can originate from external or internal sources. System resources that are sensitive to denial of service include physical disk storage, memory, and CPU cycles. Techniques used to prevent denial-of-service attacks related to storage utilization and capacity include instituting disk quotas, configuring systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05.03_odp.01 }} are employed to detect indicators of denial-of-service attacks against or launched from the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05.03_odp.02 }} are monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with detection and monitoring responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms/tools implementing system monitoring for denial-of-service attacks" - } - ] - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "params": [ - { - "id": "sc-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_1" - }, - { - "name": "label", - "value": "SC-06_ODP[01]" - } - ], - "label": "resources", - "guidelines": [ - { - "prose": "resources to be allocated to protect the availability of resources are defined;" - } - ] - }, - { - "id": "sc-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_2" - }, - { - "name": "label", - "value": "SC-06_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "priority", - "quota", - " {{ insert: param, sc-06_odp.03 }} " - ] - } - }, - { - "id": "sc-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_3" - }, - { - "name": "label", - "value": "SC-06_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to protect the availability of resources are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-06" - }, - { - "name": "sort-id", - "value": "sc-06" - } - ], - "links": [ - { - "href": "#047b041a-b4b0-4537-ab2d-2b36283eeda0", - "rel": "reference" - }, - { - "href": "#4f42ee6e-86cc-403b-a51f-76c2b4f81b54", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "Protect the availability of resources by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection prevents lower-priority processes from delaying or interfering with the system that services higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-06", - "class": "sp800-53A" - } - ], - "prose": "the availability of resources is protected by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing prioritization of system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing resource allocation capability\n\nsafeguards employed to protect availability of resources" - } - ] - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "params": [ - { - "id": "sc-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7_prm_1" - }, - { - "name": "label", - "value": "SC-07_ODP" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-07" - }, - { - "name": "sort-id", - "value": "sc-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#a7f0e897-29a3-45c4-bd88-40dfef0e034a", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement subnetworks for publicly accessible system components that are {{ insert: param, sc-07_odp }} separated from internal organizational networks; and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "communications at external managed interfaces to the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "communications at external managed interfaces to the system are controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[03]", - "class": "sp800-53A" - } - ], - "prose": "communications at key internal managed interfaces within the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[04]", - "class": "sp800-53A" - } - ], - "prose": "communications at key internal managed interfaces within the system are controlled;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07b.", - "class": "sp800-53A" - } - ], - "prose": "subnetworks for publicly accessible system components are {{ insert: param, sc-07_odp }} separated from internal organizational networks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07c.", - "class": "sp800-53A" - } - ], - "prose": "external networks or systems are only connected through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the system\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem configuration settings and associated documentation\n\nenterprise security architecture documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities" - } - ] - } - ], - "controls": [ - { - "id": "sc-7.1", - "class": "SP800-53-enhancement", - "title": "Physically Separated Subnetworks", - "props": [ - { - "name": "label", - "value": "SC-07(01)" - }, - { - "name": "sort-id", - "value": "sc-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.2", - "class": "SP800-53-enhancement", - "title": "Public Access", - "props": [ - { - "name": "label", - "value": "SC-07(02)" - }, - { - "name": "sort-id", - "value": "sc-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "props": [ - { - "name": "label", - "value": "SC-07(03)" - }, - { - "name": "sort-id", - "value": "sc-07.03" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "Limit the number of external network connections to the system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(03)", - "class": "sp800-53A" - } - ], - "prose": "the number of external network connections to the system is limited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ncommunications and network traffic monitoring logs\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms limiting the number of external network connections to the system" - } - ] - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "params": [ - { - "id": "sc-07.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.4_prm_1" - }, - { - "name": "label", - "value": "SC-07(04)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review exceptions to traffic flow policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(04)" - }, - { - "name": "sort-id", - "value": "sc-07.04" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protect the confidentiality and integrity of the information being transmitted across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Review exceptions to the traffic flow policy {{ insert: param, sc-07.04_odp }} and remove exceptions that are no longer supported by an explicit mission or business need;" - }, - { - "id": "sc-7.4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Prevent unauthorized exchange of control plane traffic with external networks;" - }, - { - "id": "sc-7.4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and" - }, - { - "id": "sc-7.4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Filter unauthorized control plane traffic from external networks." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "prose": "External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "a managed interface is implemented for each external telecommunication service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "a traffic flow policy is established for each managed interface;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the confidentiality of the information being transmitted across each interface is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of the information being transmitted across each interface is protected;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the traffic flow policy are reviewed {{ insert: param, sc-07.04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(f)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized exchanges of control plan traffic with external networks are prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(g)", - "class": "sp800-53A" - } - ], - "prose": "information is published to enable remote networks to detect unauthorized control plane traffic from internal networks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(h)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized control plan traffic is filtered from external networks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\ntraffic flow policy\n\ninformation flow control policy\n\nprocedures addressing boundary protection\n\nsystem security architecture\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nrecords of traffic flow policy exceptions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for documenting and reviewing exceptions to the traffic flow policy\n\norganizational processes for removing exceptions to the traffic flow policy\n\nautomated mechanisms implementing boundary protection capabilities\n\nmanaged interfaces implementing traffic flow policy" - } - ] - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default \u2014 Allow by Exception", - "params": [ - { - "id": "sc-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.5_prm_1" - }, - { - "name": "label", - "value": "SC-07(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at managed interfaces", - "for{{ insert: param, sc-07.05_odp.02 }} " - ] - } - }, - { - "id": "sc-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.5_prm_2" - }, - { - "name": "label", - "value": "SC-07(05)_ODP[02]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which network communications traffic is denied by default and network communications traffic is allowed by exception are defined (if selected)." - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(05)" - }, - { - "name": "sort-id", - "value": "sc-07.05" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-07.05_odp.01 }}." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "network communications traffic is denied by default {{ insert: param, sc-07.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "network communications traffic is allowed by exception {{ insert: param, sc-07.05_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.6", - "class": "SP800-53-enhancement", - "title": "Response to Recognized Failures", - "props": [ - { - "name": "label", - "value": "SC-07(06)" - }, - { - "name": "sort-id", - "value": "sc-07.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.18", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Split Tunneling for Remote Devices", - "params": [ - { - "id": "sc-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.7_prm_1" - }, - { - "name": "label", - "value": "SC-07(07)_ODP" - } - ], - "label": "safeguards", - "guidelines": [ - { - "prose": "safeguards to securely provision split tunneling are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(07)" - }, - { - "name": "sort-id", - "value": "sc-07.07" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(07)", - "class": "sp800-53A" - } - ], - "prose": "split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms supporting/restricting non-remote connections" - } - ] - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "params": [ - { - "id": "sc-07.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.8_prm_1" - }, - { - "name": "label", - "value": "SC-07(08)_ODP[01]" - } - ], - "label": "internal communications traffic", - "guidelines": [ - { - "prose": "internal communications traffic to be routed to external networks is defined;" - } - ] - }, - { - "id": "sc-07.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.8_prm_2" - }, - { - "name": "label", - "value": "SC-07(08)_ODP[02]" - } - ], - "label": "external networks", - "guidelines": [ - { - "prose": "external networks to which internal communications traffic is to be routed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(08)" - }, - { - "name": "sort-id", - "value": "sc-07.08" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "Route {{ insert: param, sc-07.08_odp.01 }} to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for \"man-in-the-middle\" attacks (depending on the implementation)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.9", - "class": "SP800-53-enhancement", - "title": "Restrict Threatening Outgoing Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-07(09)" - }, - { - "name": "sort-id", - "value": "sc-07.09" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect and deny outgoing communications traffic posing a threat to external systems; and" - }, - { - "id": "sc-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit the identity of internal users associated with denied communications." - } - ] - }, - { - "id": "sc-7.9_gdn", - "name": "guidance", - "prose": "Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out within the system at managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial-of-service attacks, traffic with spoofed source addresses, and traffic that contains malicious code. Organizations have criteria to determine, update, and manage identified threats related to extrusion detection." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "outgoing communications traffic posing a threat to external systems is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "outgoing communications traffic posing a threat to external systems is denied;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "the identity of internal users associated with denied communications is audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms implementing detection and denial of threatening outgoing communications traffic\n\nautomated mechanisms implementing auditing of outgoing communications traffic" - } - ] - } - ] - }, - { - "id": "sc-7.10", - "class": "SP800-53-enhancement", - "title": "Prevent Exfiltration", - "params": [ - { - "id": "sc-07.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.10_prm_1" - }, - { - "name": "label", - "value": "SC-07(10)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for conducting exfiltration tests is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(10)" - }, - { - "name": "sort-id", - "value": "sc-07.10" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.10_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prevent the exfiltration of information; and" - }, - { - "id": "sc-7.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Conduct exfiltration tests {{ insert: param, sc-07.10_odp }}." - } - ] - }, - { - "id": "sc-7.10_gdn", - "name": "guidance", - "prose": "Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)(a)", - "class": "sp800-53A" - } - ], - "prose": "the exfiltration of information is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)(b)", - "class": "sp800-53A" - } - ], - "prose": "exfiltration tests are conducted {{ insert: param, sc-07.10_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\npreventing unauthorized exfiltration of information across managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.11", - "class": "SP800-53-enhancement", - "title": "Restrict Incoming Communications Traffic", - "params": [ - { - "id": "sc-07.11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.11_prm_1" - }, - { - "name": "label", - "value": "SC-07(11)_ODP[01]" - } - ], - "label": "authorized sources", - "guidelines": [ - { - "prose": "authorized sources of incoming communications to be routed are defined;" - } - ] - }, - { - "id": "sc-07.11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.11_prm_2" - }, - { - "name": "label", - "value": "SC-07(11)_ODP[02]" - } - ], - "label": "authorized destinations", - "guidelines": [ - { - "prose": "authorized destinations to which incoming communications from authorized sources may be routed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(11)" - }, - { - "name": "sort-id", - "value": "sc-07.11" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.11_smt", - "name": "statement", - "prose": "Only allow incoming communications from {{ insert: param, sc-07.11_odp.01 }} to be routed to {{ insert: param, sc-07.11_odp.02 }}." - }, - { - "id": "sc-7.11_gdn", - "name": "guidance", - "prose": "General source address validation techniques are applied to restrict the use of illegal and unallocated source addresses as well as source addresses that should only be used within the system. The restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications, the absence of such address pairs in lists of unauthorized or disallowed pairs, or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols, and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(11)", - "class": "sp800-53A" - } - ], - "prose": "only incoming communications from {{ insert: param, sc-07.11_odp.01 }} are allowed to be routed to {{ insert: param, sc-07.11_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs" - } - ] - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "params": [ - { - "id": "sc-07.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.12_prm_1" - }, - { - "name": "label", - "value": "SC-07(12)_ODP[01]" - } - ], - "label": "host-based boundary protection mechanisms", - "guidelines": [ - { - "prose": "host-based boundary protection mechanisms to be implemented are defined;" - } - ] - }, - { - "id": "sc-07.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.12_prm_2" - }, - { - "name": "label", - "value": "SC-07(12)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where host-based boundary protection mechanisms are to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(12)" - }, - { - "name": "sort-id", - "value": "sc-07.12" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-07.12_odp.01 }} at {{ insert: param, sc-07.12_odp.02 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.12_odp.01 }} are implemented {{ insert: param, sc-07.12_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities\n\nsystem users" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing host-based boundary protection capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools, Mechanisms, and Support Components", - "params": [ - { - "id": "sc-07.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.13_prm_1" - }, - { - "name": "label", - "value": "SC-07(13)_ODP" - } - ], - "label": "information security tools, mechanisms, and support components", - "guidelines": [ - { - "prose": "information security tools, mechanisms, and support components to be isolated from other internal system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(13)" - }, - { - "name": "sort-id", - "value": "sc-07.13" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "Isolate {{ insert: param, sc-07.13_odp }} from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.13_odp }} are isolated from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of security tools and support components to be isolated from other internal system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components" - } - ] - } - ] - }, - { - "id": "sc-7.14", - "class": "SP800-53-enhancement", - "title": "Protect Against Unauthorized Physical Connections", - "params": [ - { - "id": "sc-07.14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.14_prm_1" - }, - { - "name": "label", - "value": "SC-07(14)_ODP" - } - ], - "label": "managed interfaces", - "guidelines": [ - { - "prose": "managed interfaces used to protect against unauthorized physical connections are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(14)" - }, - { - "name": "sort-id", - "value": "sc-07.14" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.14_smt", - "name": "statement", - "prose": "Protect against unauthorized physical connections at {{ insert: param, sc-07.14_odp }}." - }, - { - "id": "sc-7.14_gdn", - "name": "guidance", - "prose": "Systems that operate at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls that enforce limited authorized access to these items." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.14_odp }} are protected against unauthorized physical connections." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nfacility communications and wiring diagram system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection against unauthorized physical connections" - } - ] - } - ] - }, - { - "id": "sc-7.15", - "class": "SP800-53-enhancement", - "title": "Networked Privileged Accesses", - "props": [ - { - "name": "label", - "value": "SC-07(15)" - }, - { - "name": "sort-id", - "value": "sc-07.15" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.15_smt", - "name": "statement", - "prose": "Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing." - }, - { - "id": "sc-7.15_gdn", - "name": "guidance", - "prose": "Privileged access provides greater accessibility to system functions, including security functions. Adversaries attempt to gain privileged access to systems through remote access to cause adverse mission or business impacts, such as by exfiltrating information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface further restricts privileged access for increased access control and auditing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)[01]", - "class": "sp800-53A" - } - ], - "prose": "networked, privileged accesses are routed through a dedicated, managed interface for purposes of access control;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)[02]", - "class": "sp800-53A" - } - ], - "prose": "networked, privileged accesses are routed through a dedicated, managed interface for purposes of auditing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\naudit logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated, managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.16", - "class": "SP800-53-enhancement", - "title": "Prevent Discovery of System Components", - "props": [ - { - "name": "label", - "value": "SC-07(16)" - }, - { - "name": "sort-id", - "value": "sc-07.16" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.16_smt", - "name": "statement", - "prose": "Prevent the discovery of specific system components that represent a managed interface." - }, - { - "id": "sc-7.16_gdn", - "name": "guidance", - "prose": "Preventing the discovery of system components representing a managed interface helps protect network addresses of those components from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery and require prior knowledge for access. Preventing the discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(16)", - "class": "sp800-53A" - } - ], - "prose": "the discovery of specific system components that represent a managed interface is prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.17", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement of Protocol Formats", - "props": [ - { - "name": "label", - "value": "SC-07(17)" - }, - { - "name": "sort-id", - "value": "sc-07.17" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#sc-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.17_smt", - "name": "statement", - "prose": "Enforce adherence to protocol formats." - }, - { - "id": "sc-7.17_gdn", - "name": "guidance", - "prose": "System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(17)", - "class": "sp800-53A" - } - ], - "prose": "adherence to protocol formats is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats" - } - ] - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "props": [ - { - "name": "label", - "value": "SC-07(18)" - }, - { - "name": "sort-id", - "value": "sc-07.18" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(18)", - "class": "sp800-53A" - } - ], - "prose": "systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - }, - { - "id": "sc-7.19", - "class": "SP800-53-enhancement", - "title": "Block Communication from Non-organizationally Configured Hosts", - "params": [ - { - "id": "sc-07.19_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.19_prm_1" - }, - { - "name": "label", - "value": "SC-07(19)_ODP" - } - ], - "label": "communication clients", - "guidelines": [ - { - "prose": "communication clients that are independently configured by end users and external service providers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(19)" - }, - { - "name": "sort-id", - "value": "sc-07.19" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.19_smt", - "name": "statement", - "prose": "Block inbound and outbound communications traffic between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers." - }, - { - "id": "sc-7.19_gdn", - "name": "guidance", - "prose": "Communication clients independently configured by end users and external service providers include instant messaging clients and video conferencing software and applications. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)[01]", - "class": "sp800-53A" - } - ], - "prose": "inbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of communication clients independently configured by end users and external service providers\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers" - } - ] - } - ] - }, - { - "id": "sc-7.20", - "class": "SP800-53-enhancement", - "title": "Dynamic Isolation and Segregation", - "params": [ - { - "id": "sc-07.20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.20_prm_1" - }, - { - "name": "label", - "value": "SC-07(20)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be dynamically isolated from other system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(20)" - }, - { - "name": "sort-id", - "value": "sc-07.20" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.20_smt", - "name": "statement", - "prose": "Provide the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components." - }, - { - "id": "sc-7.20_gdn", - "name": "guidance", - "prose": "The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(20)", - "class": "sp800-53A" - } - ], - "prose": "the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of system components to be dynamically isolated/segregated from other components of the system\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate system components" - } - ] - } - ] - }, - { - "id": "sc-7.21", - "class": "SP800-53-enhancement", - "title": "Isolation of System Components", - "params": [ - { - "id": "sc-07.21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.21_prm_1" - }, - { - "name": "label", - "value": "SC-07(21)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be isolated by boundary protection mechanisms are defined;" - } - ] - }, - { - "id": "sc-07.21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.21_prm_2" - }, - { - "name": "label", - "value": "SC-07(21)_ODP[02]" - } - ], - "label": "missions and/or business functions", - "guidelines": [ - { - "prose": "missions and/or business functions to be supported by system components isolated by boundary protection mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(21)" - }, - { - "name": "sort-id", - "value": "sc-07.21" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ca-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.21_smt", - "name": "statement", - "prose": "Employ boundary protection mechanisms to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}." - }, - { - "id": "sc-7.21_gdn", - "name": "guidance", - "prose": "Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(21)", - "class": "sp800-53A" - } - ], - "prose": "boundary protection mechanisms are employed to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nenterprise architecture documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to separate system components supporting organizational missions and/or business functions" - } - ] - } - ] - }, - { - "id": "sc-7.22", - "class": "SP800-53-enhancement", - "title": "Separate Subnets for Connecting to Different Security Domains", - "props": [ - { - "name": "label", - "value": "SC-07(22)" - }, - { - "name": "sort-id", - "value": "sc-07.22" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.22_smt", - "name": "statement", - "prose": "Implement separate network addresses to connect to systems in different security domains." - }, - { - "id": "sc-7.22_gdn", - "name": "guidance", - "prose": "The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains that contain information with different security categories or classification levels." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(22)", - "class": "sp800-53A" - } - ], - "prose": "separate network addresses are implemented to connect to systems in different security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate network addresses/different subnets" - } - ] - } - ] - }, - { - "id": "sc-7.23", - "class": "SP800-53-enhancement", - "title": "Disable Sender Feedback on Protocol Validation Failure", - "props": [ - { - "name": "label", - "value": "SC-07(23)" - }, - { - "name": "sort-id", - "value": "sc-07.23" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.23_smt", - "name": "statement", - "prose": "Disable feedback to senders on protocol format validation failure." - }, - { - "id": "sc-7.23_gdn", - "name": "guidance", - "prose": "Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(23)", - "class": "sp800-53A" - } - ], - "prose": "feedback to senders is disabled on protocol format validation failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure" - } - ] - } - ] - }, - { - "id": "sc-7.24", - "class": "SP800-53-enhancement", - "title": "Personally Identifiable Information", - "params": [ - { - "id": "sc-07.24_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.24_prm_1" - }, - { - "name": "label", - "value": "SC-07(24)_ODP" - } - ], - "label": "processing rules", - "guidelines": [ - { - "prose": "processing rules for systems that process personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(24)" - }, - { - "name": "sort-id", - "value": "sc-07.24" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.24_smt", - "name": "statement", - "prose": "For systems that process personally identifiable information:", - "parts": [ - { - "id": "sc-7.24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Apply the following processing rules to data elements of personally identifiable information: {{ insert: param, sc-07.24_odp }};" - }, - { - "id": "sc-7.24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;" - }, - { - "id": "sc-7.24_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Document each processing exception; and" - }, - { - "id": "sc-7.24_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Review and remove exceptions that are no longer supported." - } - ] - }, - { - "id": "sc-7.24_gdn", - "name": "guidance", - "prose": "Managing the processing of personally identifiable information is an important aspect of protecting an individual\u2019s privacy. Applying, monitoring for, and documenting exceptions to processing rules ensure that personally identifiable information is processed only in accordance with established privacy requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.24_odp }} are applied to data elements of personally identifiable information on systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "permitted processing is monitored at the external interfaces to the systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "permitted processing is monitored at key internal boundaries within the systems that process personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(c)", - "class": "sp800-53A" - } - ], - "prose": "each processing exception is documented for systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions for systems that process personally identifiable information are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions for systems that process personally identifiable information that are no longer supported are removed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\npersonally identifiable information processing policies\n\nlist of key internal boundaries of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nenterprise security and privacy architecture documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information inventory documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.25", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "params": [ - { - "id": "sc-07.25_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.25_prm_1" - }, - { - "name": "label", - "value": "SC-07(25)_ODP[01]" - } - ], - "label": "unclassified national security system", - "guidelines": [ - { - "prose": "the unclassified national security system prohibited from directly connecting to an external network is defined;" - } - ] - }, - { - "id": "sc-07.25_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.25_prm_2" - }, - { - "name": "label", - "value": "SC-07(25)_ODP[02]" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(25)" - }, - { - "name": "sort-id", - "value": "sc-07.25" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.25_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }}." - }, - { - "id": "sc-7.25_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified national security systems and external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(25)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of unclassified national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.26", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "params": [ - { - "id": "sc-07.26_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.26_prm_1" - }, - { - "name": "label", - "value": "SC-07(26)_ODP" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(26)" - }, - { - "name": "sort-id", - "value": "sc-07.26" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.26_smt", - "name": "statement", - "prose": "Prohibit the direct connection of a classified national security system to an external network without the use of {{ insert: param, sc-07.26_odp }}." - }, - { - "id": "sc-7.26_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(26)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of classified national security system to an external network without the use of a {{ insert: param, sc-07.26_odp }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of classified national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.27", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "params": [ - { - "id": "sc-07.27_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.27_prm_1" - }, - { - "name": "label", - "value": "SC-07(27)_ODP[01]" - } - ], - "label": "unclassified, non-national security system", - "guidelines": [ - { - "prose": "the unclassified, non-national security system prohibited from directly connecting to an external network is defined;" - } - ] - }, - { - "id": "sc-07.27_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.27_prm_2" - }, - { - "name": "label", - "value": "SC-07(27)_ODP[02]" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection of unclassified, non-national security system to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(27)" - }, - { - "name": "sort-id", - "value": "sc-07.27" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.27_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of {{ insert: param, sc-07.27_odp.02 }}." - }, - { - "id": "sc-7.27_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified non-national security systems and external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(27)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of a {{ insert: param, sc-07.27_odp.02 }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of unclassified, non-national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.28", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "params": [ - { - "id": "sc-07.28_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.28_prm_1" - }, - { - "name": "label", - "value": "SC-07(28)_ODP" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "the system that is prohibited from directly connecting to a public network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(28)" - }, - { - "name": "sort-id", - "value": "sc-07.28" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.28_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.28_odp }} to a public network." - }, - { - "id": "sc-7.28_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(28)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of the {{ insert: param, sc-07.28_odp }} to a public network is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.29", - "class": "SP800-53-enhancement", - "title": "Separate Subnets to Isolate Functions", - "params": [ - { - "id": "sc-07.29_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.29_prm_1" - }, - { - "name": "label", - "value": "SC-07(29)_ODP[01]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-07.29_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.29_prm_2" - }, - { - "name": "label", - "value": "SC-07(29)_ODP[02]" - } - ], - "label": "critical system components and functions", - "guidelines": [ - { - "prose": "critical system components and functions to be isolated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(29)" - }, - { - "name": "sort-id", - "value": "sc-07.29" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.29_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-07.29_odp.01 }} separate subnetworks to isolate the following critical system components and functions: {{ insert: param, sc-07.29_odp.02 }}." - }, - { - "id": "sc-7.29_gdn", - "name": "guidance", - "prose": "Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce susceptibility to a catastrophic or debilitating breach or compromise that results in system failure. For example, physically separating the command and control function from the in-flight entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(29)", - "class": "sp800-53A" - } - ], - "prose": "subnetworks are separated {{ insert: param, sc-07.29_odp.01 }} to isolate {{ insert: param, sc-07.29_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\ncriticality analysis\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms separating critical system components and functions" - } - ] - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "params": [ - { - "id": "sc-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8_prm_1" - }, - { - "name": "label", - "value": "SC-08_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08" - }, - { - "name": "sort-id", - "value": "sc-08" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#736d6310-e403-4b57-a79d-9967970c66d7", - "rel": "reference" - }, - { - "href": "#7537638e-2837-407d-844b-40fb3fafdd99", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-08_odp }} of transmitted information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques.\n\nOrganizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-08_odp }} of transmitted information is/are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity" - } - ] - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-08.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.1_prm_1" - }, - { - "name": "label", - "value": "SC-08(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(01)" - }, - { - "name": "sort-id", - "value": "sc-08.01" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to {{ insert: param, sc-08.01_odp }} during transmission." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(01)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to {{ insert: param, sc-08.01_odp }} during transmission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.2", - "class": "SP800-53-enhancement", - "title": "Pre- and Post-transmission Handling", - "params": [ - { - "id": "sc-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.2_prm_1" - }, - { - "name": "label", - "value": "SC-08(02)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(02)" - }, - { - "name": "sort-id", - "value": "sc-08.02" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-8.2_smt", - "name": "statement", - "prose": "Maintain the {{ insert: param, sc-08.02_odp }} of information during preparation for transmission and during reception." - }, - { - "id": "sc-8.2_gdn", - "name": "guidance", - "prose": "Information can be unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "information {{ insert: param, sc-08.02_odp }} is/are maintained during preparation for transmission;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "information {{ insert: param, sc-08.02_odp }} is/are maintained during reception." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity" - } - ] - } - ] - }, - { - "id": "sc-8.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection for Message Externals", - "params": [ - { - "id": "sc-08.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.3_prm_1" - }, - { - "name": "label", - "value": "SC-08(03)_ODP" - } - ], - "label": "alternative physical controls", - "guidelines": [ - { - "prose": "alternative physical controls to protect message externals are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(03)" - }, - { - "name": "sort-id", - "value": "sc-08.03" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}." - }, - { - "id": "sc-8.3_gdn", - "name": "guidance", - "prose": "Cryptographic protection for message externals addresses protection from the unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.4", - "class": "SP800-53-enhancement", - "title": "Conceal or Randomize Communications", - "params": [ - { - "id": "sc-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.4_prm_1" - }, - { - "name": "label", - "value": "SC-08(04)_ODP" - } - ], - "label": "alternative physical controls", - "guidelines": [ - { - "prose": "alternative physical controls to protect against unauthorized disclosure of communication patterns are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(04)" - }, - { - "name": "sort-id", - "value": "sc-08.04" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}." - }, - { - "id": "sc-8.4_gdn", - "name": "guidance", - "prose": "Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information with intelligence value, especially when combined with other available information related to the mission and business functions of the organization. Concealing or randomizing communications prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed, or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(04)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.5", - "class": "SP800-53-enhancement", - "title": "Protected Distribution System", - "params": [ - { - "id": "sc-08.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.5_prm_1" - }, - { - "name": "label", - "value": "SC-08(05)_ODP[01]" - } - ], - "label": "protected distribution system", - "guidelines": [ - { - "prose": "the protected distribution system is defined;" - } - ] - }, - { - "id": "sc-08.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.5_prm_2" - }, - { - "name": "label", - "value": "SC-08(05)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(05)" - }, - { - "name": "sort-id", - "value": "sc-08.05" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-8.5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-08.05_odp.01 }} to {{ insert: param, sc-08.05_odp.02 }} during transmission." - }, - { - "id": "sc-8.5_gdn", - "name": "guidance", - "prose": "The purpose of a protected distribution system is to deter, detect, and/or make difficult physical access to the communication lines that carry national security information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(05)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-08.05_odp.01 }} is implemented to {{ insert: param, sc-08.05_odp.02 }} during transmission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns\n\nautomated mechanisms supporting and/or implementing protected distribution systems" - } - ] - } - ] - } - ] - }, - { - "id": "sc-9", - "class": "SP800-53", - "title": "Transmission Confidentiality", - "props": [ - { - "name": "label", - "value": "SC-09" - }, - { - "name": "sort-id", - "value": "sc-09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "params": [ - { - "id": "sc-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-10_prm_1" - }, - { - "name": "label", - "value": "SC-10_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period of inactivity after which the system terminates a network connection associated with a communication session is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "sc-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-10", - "class": "sp800-53A" - } - ], - "prose": "the network connection associated with a communication session is terminated at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing network disconnect\n\nsystem design documentation\n\nsecurity plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing network disconnect capability" - } - ] - } - ] - }, - { - "id": "sc-11", - "class": "SP800-53", - "title": "Trusted Path", - "params": [ - { - "id": "sc-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11_prm_1" - }, - { - "name": "label", - "value": "SC-11_ODP[01]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11_prm_2" - }, - { - "name": "label", - "value": "SC-11_ODP[02]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-11" - }, - { - "name": "sort-id", - "value": "sc-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-11_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide a {{ insert: param, sc-11_odp.01 }} isolated trusted communications path for communications between the user and the trusted components of the system; and" - }, - { - "id": "sc-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: {{ insert: param, sc-11_odp.02 }}." - } - ] - }, - { - "id": "sc-11_gdn", - "name": "guidance", - "prose": "Trusted paths are mechanisms by which users can communicate (using input devices such as keyboards) directly with the security functions of systems with the requisite assurance to support security policies. Trusted path mechanisms can only be activated by users or the security functions of organizational systems. User responses that occur via trusted paths are protected from modification by and disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted paths employed an out-of-band signal to initiate the path, such as using the key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used (e.g., the + + keys). Such key combinations, however, are platform-specific and may not provide a trusted path implementation in every case. The enforcement of trusted communications paths is provided by a specific implementation that meets the reference monitor concept." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11a.", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, sc-11_odp.01 }} isolated trusted communication path is provided for communications between the user and the trusted components of the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11b.", - "class": "sp800-53A" - } - ], - "prose": "users are permitted to invoke the trusted communication path for communications between the user and the {{ insert: param, sc-11_odp.02 }} of the system, including authentication and re-authentication, at a minimum." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing trusted communication paths\n\nsecurity plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nassessment results from independent, testing organizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing trusted communication paths" - } - ] - } - ], - "controls": [ - { - "id": "sc-11.1", - "class": "SP800-53-enhancement", - "title": "Irrefutable Communications Path", - "params": [ - { - "id": "sc-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11.1_prm_1" - }, - { - "name": "label", - "value": "SC-11(01)_ODP" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-11(01)" - }, - { - "name": "sort-id", - "value": "sc-11.01" - } - ], - "links": [ - { - "href": "#sc-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-11.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and" - }, - { - "id": "sc-11.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Initiate the trusted communications path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user." - } - ] - }, - { - "id": "sc-11.1_gdn", - "name": "guidance", - "prose": "An irrefutable communications path permits the system to initiate a trusted path, which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "a trusted communication path that is irrefutably distinguishable from other communication paths is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the trusted communication path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user is initiated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing trusted communication paths\n\nsecurity plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nassessment results from independent, testing organizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing trusted communication paths" - } - ] - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "params": [ - { - "id": "sc-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12_prm_1" - }, - { - "name": "label", - "value": "SC-12_ODP" - } - ], - "label": "requirements for key generation, distribution, storage, access, and destruction", - "guidelines": [ - { - "prose": "requirements for key generation, distribution, storage, access, and destruction are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#849b2358-683f-4d97-b111-1cc3d522ded5", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, sc-12_odp }}." - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) and [NIST CAVP](#84dc1b0c-acb7-4269-84c4-00dbabacd78c) provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic keys are established when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic keys are managed when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\ncryptographic mechanisms\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment and/or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ], - "controls": [ - { - "id": "sc-12.1", - "class": "SP800-53-enhancement", - "title": "Availability", - "props": [ - { - "name": "label", - "value": "SC-12(01)" - }, - { - "name": "sort-id", - "value": "sc-12.01" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.1_smt", - "name": "statement", - "prose": "Maintain availability of information in the event of the loss of cryptographic keys by users." - }, - { - "id": "sc-12.1_gdn", - "name": "guidance", - "prose": "Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(01)", - "class": "sp800-53A" - } - ], - "prose": "information availability is maintained in the event of the loss of cryptographic keys by users." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment, management, and recovery\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "params": [ - { - "id": "sc-12.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12.2_prm_1" - }, - { - "name": "label", - "value": "SC-12(02)_ODP" - } - ], - "select": { - "choice": [ - "NIST FIPS-validated", - "NSA-approved" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(02)" - }, - { - "name": "sort-id", - "value": "sc-12.02" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "Produce, control, and distribute symmetric cryptographic keys using {{ insert: param, sc-12.02_odp }} key management technology and processes." - }, - { - "id": "sc-12.2_gdn", - "name": "guidance", - "prose": "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are produced using {{ insert: param, sc-12.02_odp }} key management technology and processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are controlled using {{ insert: param, sc-12.02_odp }} key management technology and processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are distributed using {{ insert: param, sc-12.02_odp }} key management technology and processes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of FIPS-validated cryptographic products\n\nlist of NSA-approved cryptographic products\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "params": [ - { - "id": "sc-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12.3_prm_1" - }, - { - "name": "label", - "value": "SC-12(03)_ODP" - } - ], - "select": { - "choice": [ - "NSA-approved key management technology and processes", - "prepositioned keying material", - "DoD-approved or DoD-issued Medium Assurance PKI certificates", - "DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates and hardware security tokens that protect the user\u2019s private key", - "certificates issued in accordance with organization-defined requirements" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(03)" - }, - { - "name": "sort-id", - "value": "sc-12.03" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "Produce, control, and distribute asymmetric cryptographic keys using {{ insert: param, sc-12.03_odp }}." - }, - { - "id": "sc-12.3_gdn", - "name": "guidance", - "prose": "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are produced using {{ insert: param, sc-12.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are controlled using {{ insert: param, sc-12.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are distributed using {{ insert: param, sc-12.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of NSA-approved cryptographic products\n\nlist of approved PKI Class 3 and Class 4 certificates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key establishment or management\n\norganizational personnel with responsibilities for PKI certificates" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.4", - "class": "SP800-53-enhancement", - "title": "PKI Certificates", - "props": [ - { - "name": "label", - "value": "SC-12(04)" - }, - { - "name": "sort-id", - "value": "sc-12.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.5", - "class": "SP800-53-enhancement", - "title": "PKI Certificates / Hardware Tokens", - "props": [ - { - "name": "label", - "value": "SC-12(05)" - }, - { - "name": "sort-id", - "value": "sc-12.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.6", - "class": "SP800-53-enhancement", - "title": "Physical Control of Keys", - "props": [ - { - "name": "label", - "value": "SC-12(06)" - }, - { - "name": "sort-id", - "value": "sc-12.06" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.6_smt", - "name": "statement", - "prose": "Maintain physical control of cryptographic keys when stored information is encrypted by external service providers." - }, - { - "id": "sc-12.6_gdn", - "name": "guidance", - "prose": "For organizations that use external service providers (e.g., cloud service or data center providers), physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(06)", - "class": "sp800-53A" - } - ], - "prose": "physical control of cryptographic keys is maintained when stored information is encrypted by external service providers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment, management, and recovery\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-13_prm_1" - }, - { - "name": "label", - "value": "SC-13_ODP[01]" - } - ], - "label": "cryptographic uses", - "guidelines": [ - { - "prose": "cryptographic uses are defined;" - } - ] - }, - { - "id": "sc-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-13_prm_2" - }, - { - "name": "label", - "value": "SC-13_ODP[02]" - } - ], - "label": "types of cryptography", - "guidelines": [ - { - "prose": "types of cryptography for each specified cryptographic use are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "parts": [ - { - "id": "sc-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the {{ insert: param, sc-13_odp.01 }} ; and" - }, - { - "id": "sc-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, sc-13_odp.02 }}." - } - ] - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-13_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-13_odp.02 }} for each specified cryptographic use (defined in SC-13_ODP[01]) are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS-validated cryptographic modules\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - } - ], - "controls": [ - { - "id": "sc-13.1", - "class": "SP800-53-enhancement", - "title": "Fips-validated Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(01)" - }, - { - "name": "sort-id", - "value": "sc-13.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.2", - "class": "SP800-53-enhancement", - "title": "Nsa-approved Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(02)" - }, - { - "name": "sort-id", - "value": "sc-13.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.3", - "class": "SP800-53-enhancement", - "title": "Individuals Without Formal Access Approvals", - "props": [ - { - "name": "label", - "value": "SC-13(03)" - }, - { - "name": "sort-id", - "value": "sc-13.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.4", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "SC-13(04)" - }, - { - "name": "sort-id", - "value": "sc-13.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-14", - "class": "SP800-53", - "title": "Public Access Protections", - "props": [ - { - "name": "label", - "value": "SC-14" - }, - { - "name": "sort-id", - "value": "sc-14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - }, - { - "href": "#si-3", - "rel": "incorporated-into" - }, - { - "href": "#si-4", - "rel": "incorporated-into" - }, - { - "href": "#si-5", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - }, - { - "href": "#si-10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices and Applications", - "params": [ - { - "id": "sc-15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15_prm_1" - }, - { - "name": "label", - "value": "SC-15_ODP" - } - ], - "label": "exceptions where remote activation is to be allowed", - "guidelines": [ - { - "prose": "exceptions where remote activation is to be allowed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, sc-15_odp }} ; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of use to users physically present at the devices." - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15a.", - "class": "sp800-53A" - } - ], - "prose": "remote activation of collaborative computing devices and applications is prohibited except {{ insert: param, sc-15_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15b.", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of use is provided to users physically present at the devices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing devices" - } - ] - } - ], - "controls": [ - { - "id": "sc-15.1", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Disconnect", - "params": [ - { - "id": "sc-15.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.1_prm_1" - }, - { - "name": "label", - "value": "SC-15(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "physical", - "logical" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(01)" - }, - { - "name": "sort-id", - "value": "sc-15.01" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices in a manner that supports ease of use." - }, - { - "id": "sc-15.1_gdn", - "name": "guidance", - "prose": "Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures. Disconnect from collaborative computing devices can be manual or automatic." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(01)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices is/are provided in a manner that supports ease of use." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical disconnect of collaborative computing devices" - } - ] - } - ] - }, - { - "id": "sc-15.2", - "class": "SP800-53-enhancement", - "title": "Blocking Inbound and Outbound Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-15(02)" - }, - { - "name": "sort-id", - "value": "sc-15.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15.3", - "class": "SP800-53-enhancement", - "title": "Disabling and Removal in Secure Work Areas", - "params": [ - { - "id": "sc-15.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.3_prm_1" - }, - { - "name": "label", - "value": "SC-15(03)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components from which collaborative computing devises are to be disabled or removed are defined;" - } - ] - }, - { - "id": "sc-15.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.3_prm_2" - }, - { - "name": "label", - "value": "SC-15(03)_ODP[02]" - } - ], - "label": "secure work areas", - "guidelines": [ - { - "prose": "secure work areas where collaborative computing devices are to be disabled or removed from systems or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(03)" - }, - { - "name": "sort-id", - "value": "sc-15.03" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.3_smt", - "name": "statement", - "prose": "Disable or remove collaborative computing devices and applications from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}." - }, - { - "id": "sc-15.3_gdn", - "name": "guidance", - "prose": "Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A Sensitive Compartmented Information Facility (SCIF) is an example of a secure work area." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(03)", - "class": "sp800-53A" - } - ], - "prose": "collaborative computing devices and applications are disabled or removed from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of secure work areas\n\nsystems or system components in secured work areas where collaborative computing devices are to be disabled or removed\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices" - } - ] - } - ] - }, - { - "id": "sc-15.4", - "class": "SP800-53-enhancement", - "title": "Explicitly Indicate Current Participants", - "params": [ - { - "id": "sc-15.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.4_prm_1" - }, - { - "name": "label", - "value": "SC-15(04)_ODP" - } - ], - "label": "online meetings and teleconferences", - "guidelines": [ - { - "prose": "online meetings and teleconferences for which an explicit indication of current participants is to be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(04)" - }, - { - "name": "sort-id", - "value": "sc-15.04" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.4_smt", - "name": "statement", - "prose": "Provide an explicit indication of current participants in {{ insert: param, sc-15.04_odp }}." - }, - { - "id": "sc-15.4_gdn", - "name": "guidance", - "prose": "Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(04)", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of current participants in {{ insert: param, sc-15.04_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of types of meetings and teleconferences requiring explicit indication of current participants\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices" - } - ] - } - ] - } - ] - }, - { - "id": "sc-16", - "class": "SP800-53", - "title": "Transmission of Security and Privacy Attributes", - "params": [ - { - "id": "sc-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-16_odp.01" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "sc-16_odp.01", - "props": [ - { - "name": "label", - "value": "SC-16_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with information exchanged are defined;" - } - ] - }, - { - "id": "sc-16_odp.02", - "props": [ - { - "name": "label", - "value": "SC-16_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with information exchanged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-16" - }, - { - "name": "sort-id", - "value": "sc-16" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16_smt", - "name": "statement", - "prose": "Associate {{ insert: param, sc-16_prm_1 }} with information exchanged between systems and between system components." - }, - { - "id": "sc-16_gdn", - "name": "guidance", - "prose": "Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are abstractions that represent the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently or in conjunction with security attributes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\ninformation flow control policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the transmission of security and privacy attributes between systems" - } - ] - } - ], - "controls": [ - { - "id": "sc-16.1", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "props": [ - { - "name": "label", - "value": "SC-16(01)" - }, - { - "name": "sort-id", - "value": "sc-16.01" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.1_smt", - "name": "statement", - "prose": "Verify the integrity of transmitted security and privacy attributes." - }, - { - "id": "sc-16.1_gdn", - "name": "guidance", - "prose": "Part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of transmitted security attributes is verified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of transmitted privacy attributes is verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing verification of the integrity of transmitted security and privacy attributes" - } - ] - } - ] - }, - { - "id": "sc-16.2", - "class": "SP800-53-enhancement", - "title": "Anti-spoofing Mechanisms", - "props": [ - { - "name": "label", - "value": "SC-16(02)" - }, - { - "name": "sort-id", - "value": "sc-16.02" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.2_smt", - "name": "statement", - "prose": "Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "id": "sc-16.2_gdn", - "name": "guidance", - "prose": "Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(02)", - "class": "sp800-53A" - } - ], - "prose": "anti-spoofing mechanisms are implemented to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing anti-spoofing mechanisms" - } - ] - } - ] - }, - { - "id": "sc-16.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Binding", - "params": [ - { - "id": "sc-16.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-16.3_prm_1" - }, - { - "name": "label", - "value": "SC-16(03)_ODP" - } - ], - "label": "mechanisms or techniques", - "guidelines": [ - { - "prose": "mechanisms or techniques to bind security and privacy attributes to transmitted information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-16(03)" - }, - { - "name": "sort-id", - "value": "sc-16.03" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-16.03_odp }} to bind security and privacy attributes to transmitted information." - }, - { - "id": "sc-16.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms and techniques can provide strong security and privacy attribute binding to transmitted information to help ensure the integrity of such information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16.03_odp }} are implemented to bind security and privacy attributes to transmitted information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing anti-spoofing mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "params": [ - { - "id": "sc-17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-17_prm_1" - }, - { - "name": "label", - "value": "SC-17_ODP" - } - ], - "label": "certificate policy", - "guidelines": [ - { - "prose": "a certificate policy for issuing public key certificates is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "sc-17" - } - ], - "links": [ - { - "href": "#8cb338a4-e493-4177-818f-3af18983ddc5", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "parts": [ - { - "id": "sc-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Issue public key certificates under an {{ insert: param, sc-17_odp }} or obtain public key certificates from an approved service provider; and" - }, - { - "id": "sc-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Include only approved trust anchors in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17a.", - "class": "sp800-53A" - } - ], - "prose": "public key certificates are issued under {{ insert: param, sc-17_odp }} , or public key certificates are obtained from an approved service provider;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17b.", - "class": "sp800-53A" - } - ], - "prose": "only approved trust anchors are included in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing public key infrastructure certificates\n\npublic key certificate policy or policies\n\npublic key issuing process\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for issuing public key certificates\n\nservice providers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates" - } - ] - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "props": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "sc-18" - } - ], - "links": [ - { - "href": "#f641309f-a3ad-48be-8c67-2b318648b2f5", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define acceptable and unacceptable mobile code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of mobile code within the system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "acceptable mobile code is defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "unacceptable mobile code is defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "acceptable mobile code and mobile code technologies are defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[04]", - "class": "sp800-53A" - } - ], - "prose": "unacceptable mobile code and mobile code technologies are defined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is authorized within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is monitored within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is controlled within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code implementation policy and procedures\n\nlist of acceptable mobile code and mobile code technologies\n\nlist of unacceptable mobile code and mobile technologies\n\nauthorization records\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling mobile code\n\nautomated mechanisms supporting and/or implementing the management of mobile code\n\nautomated mechanisms supporting and/or implementing the monitoring of mobile code" - } - ] - } - ], - "controls": [ - { - "id": "sc-18.1", - "class": "SP800-53-enhancement", - "title": "Identify Unacceptable Code and Take Corrective Actions", - "params": [ - { - "id": "sc-18.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.1_prm_1" - }, - { - "name": "label", - "value": "SC-18(01)_ODP[01]" - } - ], - "label": "unacceptable mobile code", - "guidelines": [ - { - "prose": "unacceptable mobile code is defined;" - } - ] - }, - { - "id": "sc-18.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.1_prm_2" - }, - { - "name": "label", - "value": "SC-18(01)_ODP[02]" - } - ], - "label": "corrective actions", - "guidelines": [ - { - "prose": "corrective actions to be taken when unacceptable mobile code is identified are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(01)" - }, - { - "name": "sort-id", - "value": "sc-18.01" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.1_smt", - "name": "statement", - "prose": "Identify {{ insert: param, sc-18.01_odp.01 }} and take {{ insert: param, sc-18.01_odp.02 }}." - }, - { - "id": "sc-18.1_gdn", - "name": "guidance", - "prose": "Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing the transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.01_odp.01 }} is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.01_odp.02 }} are taken if unacceptable mobile code is identified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of unacceptable mobile code\n\nlist of corrective actions to be taken when unacceptable mobile code is identified\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capabilities" - } - ] - } - ] - }, - { - "id": "sc-18.2", - "class": "SP800-53-enhancement", - "title": "Acquisition, Development, and Use", - "params": [ - { - "id": "sc-18.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.2_prm_1" - }, - { - "name": "label", - "value": "SC-18(02)_ODP" - } - ], - "label": "mobile code requirements", - "guidelines": [ - { - "prose": "mobile code requirements for the acquisition, development, and use of mobile code to be deployed in the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(02)" - }, - { - "name": "sort-id", - "value": "sc-18.02" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.2_smt", - "name": "statement", - "prose": "Verify that the acquisition, development, and use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}." - }, - { - "id": "sc-18.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the acquisition of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the development of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code requirements\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nacquisition documentation\n\nacquisition contracts for system, system component, or system service\n\nsystem development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code\n\norganizational personnel with acquisition and contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the acquisition, development, and use of mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.3", - "class": "SP800-53-enhancement", - "title": "Prevent Downloading and Execution", - "params": [ - { - "id": "sc-18.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.3_prm_1" - }, - { - "name": "label", - "value": "SC-18(03)_ODP" - } - ], - "label": "unacceptable mobile code", - "guidelines": [ - { - "prose": "unacceptable mobile code to be prevented from downloading and executing is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(03)" - }, - { - "name": "sort-id", - "value": "sc-18.03" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.3_smt", - "name": "statement", - "prose": "Prevent the download and execution of {{ insert: param, sc-18.03_odp }}." - }, - { - "id": "sc-18.3_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the download of {{ insert: param, sc-18.03_odp }} is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the execution of {{ insert: param, sc-18.03_odp }} is prevented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing download and execution of unacceptable mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.4", - "class": "SP800-53-enhancement", - "title": "Prevent Automatic Execution", - "params": [ - { - "id": "sc-18.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.4_prm_1" - }, - { - "name": "label", - "value": "SC-18(04)_ODP[01]" - } - ], - "label": "software applications", - "guidelines": [ - { - "prose": "software applications in which the automatic execution of mobile code is to be prevented are defined;" - } - ] - }, - { - "id": "sc-18.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.4_prm_2" - }, - { - "name": "label", - "value": "SC-18(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be enforced by the system prior to executing mobile code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(04)" - }, - { - "name": "sort-id", - "value": "sc-18.04" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.4_smt", - "name": "statement", - "prose": "Prevent the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} and enforce {{ insert: param, sc-18.04_odp.02 }} prior to executing the code." - }, - { - "id": "sc-18.4_gdn", - "name": "guidance", - "prose": "Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing the automatic execution of mobile code includes disabling auto-execute features on system components that employ portable storage devices, such as compact discs, digital versatile discs, and universal serial bus devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.04_odp.02 }} are enforced prior to executing mobile code." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software applications in which the automatic execution of mobile code must be prohibited\n\nlist of actions required before execution of mobile code\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing the automatic execution of unacceptable mobile code\n\nautomated mechanisms enforcing actions to be taken prior to the execution of the mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.5", - "class": "SP800-53-enhancement", - "title": "Allow Execution Only in Confined Environments", - "props": [ - { - "name": "label", - "value": "SC-18(05)" - }, - { - "name": "sort-id", - "value": "sc-18.05" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18.5_smt", - "name": "statement", - "prose": "Allow execution of permitted mobile code only in confined virtual machine environments." - }, - { - "id": "sc-18.5_gdn", - "name": "guidance", - "prose": "Permitting the execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(05)", - "class": "sp800-53A" - } - ], - "prose": "execution of permitted mobile code is allowed only in confined virtual machine environments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage allowances\n\nmobile code usage restrictions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of confined virtual machine environments in which the execution of organizationally acceptable mobile code is allowed\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms allowing the execution of permitted mobile code in confined virtual machine environments" - } - ] - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "props": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "sort-id", - "value": "sc-19" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "Technology-specific; addressed as any other technology or protocol." - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (authoritative Source)", - "props": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.[01]", - "class": "sp800-53A" - } - ], - "prose": "additional data origin authentication is provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification artifacts are provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the means to indicate the security status of child zones (and if the child supports secure resolution services) is provided when operating as part of a distributed, hierarchical namespace;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the means to enable verification of a chain of trust among parent and child domains when operating as part of a distributed, hierarchical namespace is provided." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (authoritative source)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution services" - } - ] - } - ], - "controls": [ - { - "id": "sc-20.1", - "class": "SP800-53-enhancement", - "title": "Child Subspaces", - "props": [ - { - "name": "label", - "value": "SC-20(01)" - }, - { - "name": "sort-id", - "value": "sc-20.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-20.2", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-20(02)" - }, - { - "name": "sort-id", - "value": "sc-20.02" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-20.2_smt", - "name": "statement", - "prose": "Provide data origin and integrity protection artifacts for internal name/address resolution queries." - }, - { - "id": "sc-20.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "data origin artifacts are provided for internal name/address resolution queries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity protection artifacts are provided for internal name/address resolution queries." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-20(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (authoritative source)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-20(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries" - } - ] - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (recursive or Caching Resolver)", - "props": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - } - ], - "links": [ - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[01]", - "class": "sp800-53A" - } - ], - "prose": "data origin authentication is requested for the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[02]", - "class": "sp800-53A" - } - ], - "prose": "data origin authentication is performed on the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[03]", - "class": "sp800-53A" - } - ], - "prose": "data integrity verification is requested for the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[04]", - "class": "sp800-53A" - } - ], - "prose": "data integrity verification is performed on the name/address resolution responses that the system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (recursive or caching resolver)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services" - } - ] - } - ], - "controls": [ - { - "id": "sc-21.1", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-21(01)" - }, - { - "name": "sort-id", - "value": "sc-21.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name/address Resolution Service", - "props": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - } - ], - "links": [ - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers\u2014one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[01]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization are fault-tolerant;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[02]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization implement internal role separation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[03]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization implement external role separation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution services\n\naccess control policy and procedures\n\nsystem design documentation\n\nassessment results from independent testing organizations\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "props": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "sc-23" - } - ], - "links": [ - { - "href": "#7537638e-2837-407d-844b-40fb3fafdd99", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#a6b9907a-2a14-4bb4-a142-d4c73026a8b4", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "Protect the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against \"man-in-the-middle\" attacks, session hijacking, and the insertion of false information into sessions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23", - "class": "sp800-53A" - } - ], - "prose": "the authenticity of communication sessions is protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session authenticity" - } - ] - } - ], - "controls": [ - { - "id": "sc-23.1", - "class": "SP800-53-enhancement", - "title": "Invalidate Session Identifiers at Logout", - "props": [ - { - "name": "label", - "value": "SC-23(01)" - }, - { - "name": "sort-id", - "value": "sc-23.01" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-23.1_smt", - "name": "statement", - "prose": "Invalidate session identifiers upon user logout or other session termination." - }, - { - "id": "sc-23.1_gdn", - "name": "guidance", - "prose": "Invalidating session identifiers at logout curtails the ability of adversaries to capture and continue to employ previously valid session IDs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(01)", - "class": "sp800-53A" - } - ], - "prose": "session identifiers are invalidated upon user logout or other session termination." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination" - } - ] - } - ] - }, - { - "id": "sc-23.2", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts and Message Displays", - "props": [ - { - "name": "label", - "value": "SC-23(02)" - }, - { - "name": "sort-id", - "value": "sc-23.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.3", - "class": "SP800-53-enhancement", - "title": "Unique System-generated Session Identifiers", - "params": [ - { - "id": "sc-23.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-23.3_prm_1" - }, - { - "name": "label", - "value": "SC-23(03)_ODP" - } - ], - "label": "randomness requirements", - "guidelines": [ - { - "prose": "randomness requirements for generating a unique session identifier for each session are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(03)" - }, - { - "name": "sort-id", - "value": "sc-23.03" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - }, - { - "href": "#ac-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.3_smt", - "name": "statement", - "prose": "Generate a unique session identifier for each session with {{ insert: param, sc-23.03_odp }} and recognize only session identifiers that are system-generated." - }, - { - "id": "sc-23.3_gdn", - "name": "guidance", - "prose": "Generating unique session identifiers curtails the ability of adversaries to reuse previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a unique session identifier is generated for each session with {{ insert: param, sc-23.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "only system-generated session identifiers are recognized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting, implementing, generating, and monitoring unique session identifiers\n\nautomated mechanisms supporting and/or implementing randomness requirements" - } - ] - } - ] - }, - { - "id": "sc-23.4", - "class": "SP800-53-enhancement", - "title": "Unique Session Identifiers with Randomization", - "props": [ - { - "name": "label", - "value": "SC-23(04)" - }, - { - "name": "sort-id", - "value": "sc-23.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-23.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.5", - "class": "SP800-53-enhancement", - "title": "Allowed Certificate Authorities", - "params": [ - { - "id": "sc-23.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-23.5_prm_1" - }, - { - "name": "label", - "value": "SC-23(05)_ODP" - } - ], - "label": "certificated authorities", - "guidelines": [ - { - "prose": "certificate authorities to be allowed for verification of the establishment of protected sessions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(05)" - }, - { - "name": "sort-id", - "value": "sc-23.05" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.5_smt", - "name": "statement", - "prose": "Only allow the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions." - }, - { - "id": "sc-23.5_gdn", - "name": "guidance", - "prose": "Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(05)", - "class": "sp800-53A" - } - ], - "prose": "only the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions is allowed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of certificate authorities allowed for verification of the establishment of protected sessions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of certificate authorities" - } - ] - } - ] - } - ] - }, - { - "id": "sc-24", - "class": "SP800-53", - "title": "Fail in Known State", - "params": [ - { - "id": "sc-24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_3" - }, - { - "name": "label", - "value": "SC-24_ODP[01]" - } - ], - "label": "types of system failures on system components", - "guidelines": [ - { - "prose": "types of system failures for which the system components fail to a known state are defined;" - } - ] - }, - { - "id": "sc-24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_1" - }, - { - "name": "label", - "value": "SC-24_ODP[02]" - } - ], - "label": "known system state", - "guidelines": [ - { - "prose": "known system state to which system components fail in the event of a system failure is defined;" - } - ] - }, - { - "id": "sc-24_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_2" - }, - { - "name": "label", - "value": "SC-24_ODP[03]" - } - ], - "label": "system state information", - "guidelines": [ - { - "prose": "system state information to be preserved in the event of a system failure is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-24" - }, - { - "name": "sort-id", - "value": "sc-24" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-24_smt", - "name": "statement", - "prose": "Fail to a {{ insert: param, sc-24_odp.02 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_odp.03 }} in failure: {{ insert: param, sc-24_odp.01 }}." - }, - { - "id": "sc-24_gdn", - "name": "guidance", - "prose": "Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-24", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-24_odp.01 }} fail to a {{ insert: param, sc-24_odp.02 }} while preserving {{ insert: param, sc-24_odp.03 }} in failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system failure to known state\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of failures requiring system to fail in a known state\n\nstate information to be preserved in system failure\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-24-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the fail in known state capability\n\nautomated mechanisms preserving system state information in the event of a system failure" - } - ] - } - ] - }, - { - "id": "sc-25", - "class": "SP800-53", - "title": "Thin Nodes", - "params": [ - { - "id": "sc-25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-25_prm_1" - }, - { - "name": "label", - "value": "SC-25_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be employed with minimal functionality and information storage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-25" - }, - { - "name": "sort-id", - "value": "sc-25" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-25_smt", - "name": "statement", - "prose": "Employ minimal functionality and information storage on the following system components: {{ insert: param, sc-25_odp }}." - }, - { - "id": "sc-25_gdn", - "name": "guidance", - "prose": "The deployment of system components with minimal functionality reduces the need to secure every endpoint and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25[01]", - "class": "sp800-53A" - } - ], - "prose": "minimal functionality for {{ insert: param, sc-25_odp }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25[02]", - "class": "sp800-53A" - } - ], - "prose": "minimal information storage on {{ insert: param, sc-25_odp }} is allocated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing use of thin nodes\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing thin nodes" - } - ] - } - ] - }, - { - "id": "sc-26", - "class": "SP800-53", - "title": "Decoys", - "props": [ - { - "name": "label", - "value": "SC-26" - }, - { - "name": "sort-id", - "value": "sc-26" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-26_smt", - "name": "statement", - "prose": "Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks." - }, - { - "id": "sc-26_gdn", - "name": "guidance", - "prose": "Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and deflect attacks away from the operational systems that support organizational mission and business functions. Use of decoys requires some supporting isolation measures to ensure that any deflected malicious code does not infect organizational systems. Depending on the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[01]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to detect such attacks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[02]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to deflect such attacks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[03]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to analyze such attacks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-26-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of decoys\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-26-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-26-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing decoys" - } - ] - } - ], - "controls": [ - { - "id": "sc-26.1", - "class": "SP800-53-enhancement", - "title": "Detection of Malicious Code", - "props": [ - { - "name": "label", - "value": "SC-26(01)" - }, - { - "name": "sort-id", - "value": "sc-26.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-35", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-27", - "class": "SP800-53", - "title": "Platform-independent Applications", - "params": [ - { - "id": "sc-27_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-27_prm_1" - }, - { - "name": "label", - "value": "SC-27_ODP" - } - ], - "label": "platform-independent applications", - "guidelines": [ - { - "prose": "platform-independent applications to be included within organizational systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-27" - }, - { - "name": "sort-id", - "value": "sc-27" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-27_smt", - "name": "statement", - "prose": "Include within organizational systems the following platform independent applications: {{ insert: param, sc-27_odp }}." - }, - { - "id": "sc-27_gdn", - "name": "guidance", - "prose": "Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems, the underlying computer architectures, or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increase the availability of mission-essential functions within organizations in situations where systems with specific operating systems are under attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-27", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-27_odp }} are included within organizational systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-27-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing platform-independent applications\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of platform-independent applications\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-27-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-27-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing platform-independent applications" - } - ] - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "params": [ - { - "id": "sc-28_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28_prm_1" - }, - { - "name": "label", - "value": "SC-28_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - }, - { - "id": "sc-28_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28_prm_2" - }, - { - "name": "label", - "value": "SC-28_ODP[02]" - } - ], - "label": "information at rest", - "guidelines": [ - { - "prose": "information at rest requiring protection is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "sc-28" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-28_odp.01 }} of the following information at rest: {{ insert: param, sc-28_odp.02 }}." - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-28_odp.01 }} of {{ insert: param, sc-28_odp.02 }} is/are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nlist of information at rest requiring confidentiality and integrity protections\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest" - } - ] - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-28.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.1_prm_2" - }, - { - "name": "label", - "value": "SC-28(01)_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information requiring cryptographic protection is defined;" - } - ] - }, - { - "id": "sc-28.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.1_prm_1" - }, - { - "name": "label", - "value": "SC-28(01)_ODP[02]" - } - ], - "label": "system components or media", - "guidelines": [ - { - "prose": "system components or media requiring cryptographic protection is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(01)" - }, - { - "name": "sort-id", - "value": "sc-28.01" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, sc-28.01_odp.02 }}: {{ insert: param, sc-28.01_odp.01 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized disclosure of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized modification of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest" - } - ] - } - ] - }, - { - "id": "sc-28.2", - "class": "SP800-53-enhancement", - "title": "Offline Storage", - "params": [ - { - "id": "sc-28.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.2_prm_1" - }, - { - "name": "label", - "value": "SC-28(02)_ODP" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be removed from online storage and stored offline in a secure location is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(02)" - }, - { - "name": "sort-id", - "value": "sc-28.02" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-28.2_smt", - "name": "statement", - "prose": "Remove the following information from online storage and store offline in a secure location: {{ insert: param, sc-28.02_odp }}." - }, - { - "id": "sc-28.2_gdn", - "name": "guidance", - "prose": "Removing organizational information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to offline storage in lieu of protecting such information in online storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-28.02_odp }} is removed from online storage;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-28.02_odp }} is stored offline in a secure location." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\noffline storage locations for information at rest\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of information from online storage\n\nautomated mechanisms supporting and/or implementing storage of information offline" - } - ] - } - ] - }, - { - "id": "sc-28.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Keys", - "params": [ - { - "id": "sc-28.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.3_prm_1" - }, - { - "name": "label", - "value": "SC-28(03)_ODP[01]" - } - ], - "select": { - "choice": [ - " {{ insert: param, sc-28.03_odp.02 }} ", - "hardware-protected key store" - ] - } - }, - { - "id": "sc-28.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.3_prm_2" - }, - { - "name": "label", - "value": "SC-28(03)_ODP[02]" - } - ], - "label": "safeguards", - "guidelines": [ - { - "prose": "safeguards for protecting the storage of cryptographic keys are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(03)" - }, - { - "name": "sort-id", - "value": "sc-28.03" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.3_smt", - "name": "statement", - "prose": "Provide protected storage for cryptographic keys {{ insert: param, sc-28.03_odp.01 }}." - }, - { - "id": "sc-28.3_gdn", - "name": "guidance", - "prose": "A Trusted Platform Module (TPM) is an example of a hardware-protected data store that can be used to protect cryptographic keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(03)", - "class": "sp800-53A" - } - ], - "prose": "protected storage for cryptographic keys is provided using {{ insert: param, sc-28.03_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware-based key store protection" - } - ] - } - ] - } - ] - }, - { - "id": "sc-29", - "class": "SP800-53", - "title": "Heterogeneity", - "params": [ - { - "id": "sc-29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-29_prm_1" - }, - { - "name": "label", - "value": "SC-29_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring a diverse set of information technologies to be employed in the implementation of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-29" - }, - { - "name": "sort-id", - "value": "sc-29" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-27", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-29_smt", - "name": "statement", - "prose": "Employ a diverse set of information technologies for the following system components in the implementation of the system: {{ insert: param, sc-29_odp }}." - }, - { - "id": "sc-29_gdn", - "name": "guidance", - "prose": "Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-29", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of information technologies is employed for {{ insert: param, sc-29_odp }} in the implementation of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-29-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of technologies deployed in the system\n\nacquisition documentation\n\nacquisition contracts for system components or services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-29-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with system acquisition, development, and implementation responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-29-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies" - } - ] - } - ], - "controls": [ - { - "id": "sc-29.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "params": [ - { - "id": "sc-29.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-29.1_prm_1" - }, - { - "name": "label", - "value": "SC-29(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to change the diversity of operating systems and applications deployed using virtualization techniques is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-29(01)" - }, - { - "name": "sort-id", - "value": "sc-29.01" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-29.1_smt", - "name": "statement", - "prose": "Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}." - }, - { - "id": "sc-29.1_gdn", - "name": "guidance", - "prose": "While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-29(01)", - "class": "sp800-53A" - } - ], - "prose": "virtualization techniques are employed to support the deployment of a diverse range of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-29(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of operating systems and applications deployed using virtualization techniques\n\nchange control records\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-29(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for implementing approved virtualization techniques to the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-29(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of a diverse set of information technologies\n\nautomated mechanisms supporting and/or implementing virtualization techniques" - } - ] - } - ] - } - ] - }, - { - "id": "sc-30", - "class": "SP800-53", - "title": "Concealment and Misdirection", - "params": [ - { - "id": "sc-30_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_3" - }, - { - "name": "label", - "value": "SC-30_ODP[01]" - } - ], - "label": "concealment and misdirection techniques", - "guidelines": [ - { - "prose": "concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting systems are defined;" - } - ] - }, - { - "id": "sc-30_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_1" - }, - { - "name": "label", - "value": "SC-30_ODP[02]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which concealment and misdirection techniques are to be employed are defined;" - } - ] - }, - { - "id": "sc-30_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_2" - }, - { - "name": "label", - "value": "SC-30_ODP[03]" - } - ], - "label": "time periods", - "guidelines": [ - { - "prose": "time periods to employ concealment and misdirection techniques for systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30" - }, - { - "name": "sort-id", - "value": "sc-30" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30_smt", - "name": "statement", - "prose": "Employ the following concealment and misdirection techniques for {{ insert: param, sc-30_odp.02 }} at {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries: {{ insert: param, sc-30_odp.01 }}." - }, - { - "id": "sc-30_gdn", - "name": "guidance", - "prose": "Concealment and misdirection techniques can significantly reduce the targeting capabilities of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods\u2014including randomness, uncertainty, and virtualization\u2014may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core mission and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30_odp.01 }} are employed for {{ insert: param, sc-30_odp.02 }} for {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of concealment and misdirection techniques to be employed for organizational systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to implement concealment and misdirection techniques for systems" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing concealment and misdirection techniques" - } - ] - } - ], - "controls": [ - { - "id": "sc-30.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "props": [ - { - "name": "label", - "value": "SC-30(01)" - }, - { - "name": "sort-id", - "value": "sc-30.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-29.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-30.2", - "class": "SP800-53-enhancement", - "title": "Randomness", - "params": [ - { - "id": "sc-30.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.2_prm_1" - }, - { - "name": "label", - "value": "SC-30(02)_ODP" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques employed to introduce randomness into organizational operations and assets are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(02)" - }, - { - "name": "sort-id", - "value": "sc-30.02" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.2_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-30.02_odp }} to introduce randomness into organizational operations and assets." - }, - { - "id": "sc-30.2_gdn", - "name": "guidance", - "prose": "Randomness introduces increased levels of uncertainty for adversaries regarding the actions that organizations take to defend their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations that support critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques that involve randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30.02_odp }} are employed to introduce randomness into organizational operations and assets." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of techniques to be employed to introduce randomness into organizational operations and assets\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to implement concealment and misdirection techniques for systems" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique" - } - ] - } - ] - }, - { - "id": "sc-30.3", - "class": "SP800-53-enhancement", - "title": "Change Processing and Storage Locations", - "params": [ - { - "id": "sc-30.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_1" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[01]" - } - ], - "label": "processing and/or storage", - "guidelines": [ - { - "prose": "processing and/or storage locations to be changed are defined;" - } - ] - }, - { - "id": "sc-30.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_2" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[02]" - } - ], - "select": { - "choice": [ - " {{ insert: param, sc-30.03_odp.03 }} ", - "random time intervals" - ] - } - }, - { - "id": "sc-30.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_3" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[03]" - } - ], - "label": "time frequency", - "guidelines": [ - { - "prose": "time frequency at which to change the location of processing and/or storage is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(03)" - }, - { - "name": "sort-id", - "value": "sc-30.03" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.3_smt", - "name": "statement", - "prose": "Change the location of {{ insert: param, sc-30.03_odp.01 }} {{ insert: param, sc-30.03_odp.02 }}]." - }, - { - "id": "sc-30.3_gdn", - "name": "guidance", - "prose": "Adversaries target critical mission and business functions and the systems that support those mission and business functions while also trying to minimize the exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing, storage) that support critical mission and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities of adversaries. The targeting uncertainty increases the work factor of adversaries and makes compromises or breaches of the organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose certain aspects of their tradecraft while attempting to locate critical organizational resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(03)", - "class": "sp800-53A" - } - ], - "prose": "the location of {{ insert: param, sc-30.03_odp.01 }} is changed {{ insert: param, sc-30.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nlist of processing/storage locations to be changed at organizational time intervals\n\nchange control records\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to change processing and/or storage locations" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing changing processing and/or storage locations" - } - ] - } - ] - }, - { - "id": "sc-30.4", - "class": "SP800-53-enhancement", - "title": "Misleading Information", - "params": [ - { - "id": "sc-30.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.4_prm_1" - }, - { - "name": "label", - "value": "SC-30(04)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which realistic but misleading information about their security state or posture is employed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(04)" - }, - { - "name": "sort-id", - "value": "sc-30.04" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.4_smt", - "name": "statement", - "prose": "Employ realistic, but misleading information in {{ insert: param, sc-30.04_odp }} about its security state or posture." - }, - { - "id": "sc-30.4_gdn", - "name": "guidance", - "prose": "Employing misleading information is intended to confuse potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(04)", - "class": "sp800-53A" - } - ], - "prose": "realistic but misleading information about the security state or posture of {{ insert: param, sc-30.04_odp }} is employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to define and employ realistic but misleading information about the security posture of system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of realistic but misleading information about the security posture of system components" - } - ] - } - ] - }, - { - "id": "sc-30.5", - "class": "SP800-53-enhancement", - "title": "Concealment of System Components", - "params": [ - { - "id": "sc-30.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.5_prm_2" - }, - { - "name": "label", - "value": "SC-30(05)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques to be employed to hide or conceal system components are defined;" - } - ] - }, - { - "id": "sc-30.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.5_prm_1" - }, - { - "name": "label", - "value": "SC-30(05)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be hidden or concealed using techniques (as defined in SC-30(05)_ODP[01]) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(05)" - }, - { - "name": "sort-id", - "value": "sc-30.05" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.5_smt", - "name": "statement", - "prose": "Employ the following techniques to hide or conceal {{ insert: param, sc-30.05_odp.02 }}: {{ insert: param, sc-30.05_odp.01 }}." - }, - { - "id": "sc-30.5_gdn", - "name": "guidance", - "prose": "By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include the configuration of routers or the use of encryption or virtualization techniques." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30.05_odp.01 }} are employed to hide or conceal {{ insert: param, sc-30.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of techniques employed to hide or conceal system components\n\nlist of system components to be hidden or concealed\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to conceal system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing techniques for the concealment of system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc-31", - "class": "SP800-53", - "title": "Covert Channel Analysis", - "params": [ - { - "id": "sc-31_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31_prm_1" - }, - { - "name": "label", - "value": "SC-31_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-31" - }, - { - "name": "sort-id", - "value": "sc-31" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-31_smt", - "name": "statement", - "parts": [ - { - "id": "sc-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels; and" - }, - { - "id": "sc-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Estimate the maximum bandwidth of those channels." - } - ] - }, - { - "id": "sc-31_gdn", - "name": "guidance", - "prose": "Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, such as in the case of systems that contain export-controlled information and have connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31a.", - "class": "sp800-53A" - } - ], - "prose": "a covert channel analysis is performed to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31b.", - "class": "sp800-53A" - } - ], - "prose": "the maximum bandwidth of those channels is estimated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels" - } - ] - } - ], - "controls": [ - { - "id": "sc-31.1", - "class": "SP800-53-enhancement", - "title": "Test Covert Channels for Exploitability", - "props": [ - { - "name": "label", - "value": "SC-31(01)" - }, - { - "name": "sort-id", - "value": "sc-31.01" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.1_smt", - "name": "statement", - "prose": "Test a subset of the identified covert channels to determine the channels that are exploitable." - }, - { - "id": "sc-31.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(01)", - "class": "sp800-53A" - } - ], - "prose": "a subset of the identified covert channels is tested to determine the channels that are exploitable." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of covert channels\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for testing covert channels\n\nautomated mechanisms supporting and/or implementing the testing of covert channel analysis" - } - ] - } - ] - }, - { - "id": "sc-31.2", - "class": "SP800-53-enhancement", - "title": "Maximum Bandwidth", - "params": [ - { - "id": "sc-31.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.2_prm_1" - }, - { - "name": "label", - "value": "SC-31(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - }, - { - "id": "sc-31.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.2_prm_2" - }, - { - "name": "label", - "value": "SC-31(02)_ODP[02]" - } - ], - "label": "values", - "guidelines": [ - { - "prose": "values for the maximum bandwidth for identified covert channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(02)" - }, - { - "name": "sort-id", - "value": "sc-31.02" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.2_smt", - "name": "statement", - "prose": "Reduce the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels to {{ insert: param, sc-31.02_odp.02 }}." - }, - { - "id": "sc-31.2_gdn", - "name": "guidance", - "prose": "The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(02)", - "class": "sp800-53A" - } - ], - "prose": "the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels is reduced to {{ insert: param, sc-31.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nacquisition contracts for systems or services\n\nacquisition documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels" - } - ] - } - ] - }, - { - "id": "sc-31.3", - "class": "SP800-53-enhancement", - "title": "Measure Bandwidth in Operational Environments", - "params": [ - { - "id": "sc-31.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.3_prm_1" - }, - { - "name": "label", - "value": "SC-31(03)_ODP" - } - ], - "label": "subset of identified covert channels", - "guidelines": [ - { - "prose": "subset of identified covert channels whose bandwidth is to be measured in the operational environment of the system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(03)" - }, - { - "name": "sort-id", - "value": "sc-31.03" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.3_smt", - "name": "statement", - "prose": "Measure the bandwidth of {{ insert: param, sc-31.03_odp }} in the operational environment of the system." - }, - { - "id": "sc-31.3_gdn", - "name": "guidance", - "prose": "Measuring covert channel bandwidth in specified operational environments helps organizations determine how much information can be covertly leaked before such leakage adversely affects mission or business functions. Covert channel bandwidth may be significantly different when measured in settings that are independent of the specific environments of operation, including laboratories or system development environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(03)", - "class": "sp800-53A" - } - ], - "prose": "the bandwidth of {{ insert: param, sc-31.03_odp }} is measured in the operational environment of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels" - } - ] - } - ] - } - ] - }, - { - "id": "sc-32", - "class": "SP800-53", - "title": "System Partitioning", - "params": [ - { - "id": "sc-32_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_1" - }, - { - "name": "label", - "value": "SC-32_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to reside in separate physical or logical domains or environments based on circumstances for the physical or logical separation of components are defined;" - } - ] - }, - { - "id": "sc-32_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_2" - }, - { - "name": "label", - "value": "SC-32_ODP[02]" - } - ], - "select": { - "choice": [ - "physical", - "logical" - ] - } - }, - { - "id": "sc-32_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_3" - }, - { - "name": "label", - "value": "SC-32_ODP[03]" - } - ], - "label": "circumstances for the physical or logical separation of components", - "guidelines": [ - { - "prose": "circumstances for the physical or logical separation of components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-32" - }, - { - "name": "sort-id", - "value": "sc-32" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-32_smt", - "name": "statement", - "prose": "Partition the system into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}." - }, - { - "id": "sc-32_gdn", - "name": "guidance", - "prose": "System partitioning is part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include physically distinct components in separate racks in the same room, critical components in separate rooms, and geographical separation of critical components. Security categorization can guide the selection of candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-32", - "class": "sp800-53A" - } - ], - "prose": "the system is partitioned into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical domains (or environments)\n\nsystem facility diagrams\n\nsystem network diagrams\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-32-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical separation of system components" - } - ] - } - ], - "controls": [ - { - "id": "sc-32.1", - "class": "SP800-53-enhancement", - "title": "Separate Physical Domains for Privileged Functions", - "props": [ - { - "name": "label", - "value": "SC-32(01)" - }, - { - "name": "sort-id", - "value": "sc-32.01" - } - ], - "links": [ - { - "href": "#sc-32", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-32.1_smt", - "name": "statement", - "prose": "Partition privileged functions into separate physical domains." - }, - { - "id": "sc-32.1_gdn", - "name": "guidance", - "prose": "Privileged functions that operate in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-32(01)", - "class": "sp800-53A" - } - ], - "prose": "privileged functions are partitioned into separate physical domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical domains (or environments)\n\nsystem facility diagrams\n\nsystem network diagrams\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-32-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical separation of system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc-33", - "class": "SP800-53", - "title": "Transmission Preparation Integrity", - "props": [ - { - "name": "label", - "value": "SC-33" - }, - { - "name": "sort-id", - "value": "sc-33" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-34", - "class": "SP800-53", - "title": "Non-modifiable Executable Programs", - "params": [ - { - "id": "sc-34_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34_prm_1" - }, - { - "name": "label", - "value": "SC-34_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which the operating environment and applications are to be loaded and executed from hardware-enforced, read-only media are defined;" - } - ] - }, - { - "id": "sc-34_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34_prm_2" - }, - { - "name": "label", - "value": "SC-34_ODP[02]" - } - ], - "label": "applications", - "guidelines": [ - { - "prose": "applications to be loaded and executed from hardware-enforced, read-only media are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-34" - }, - { - "name": "sort-id", - "value": "sc-34" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34_smt", - "name": "statement", - "prose": "For {{ insert: param, sc-34_odp.01 }} , load and execute:", - "parts": [ - { - "id": "sc-34_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "The operating environment from hardware-enforced, read-only media; and" - }, - { - "id": "sc-34_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "The following applications from hardware-enforced, read-only media: {{ insert: param, sc-34_odp.02 }}." - } - ] - }, - { - "id": "sc-34_gdn", - "name": "guidance", - "prose": "The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications that run directly on hardware platforms. Hardware-enforced, read-only media include Compact Disc-Recordable (CD-R) and Digital Versatile Disc-Recordable (DVD-R) disk drives as well as one-time, programmable, read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable, read-only memory can be accepted as read-only media provided that integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system, and there are reliable hardware protections against reprogramming the memory while installed in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34a.", - "class": "sp800-53A" - } - ], - "prose": "the operating environment for {{ insert: param, sc-34_odp.01 }} is loaded and executed from hardware-enforced, read-only media;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-34_odp.02 }} for {{ insert: param, sc-34_odp.01 }} are loaded and executed from hardware-enforced, read-only media." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of operating system components to be loaded from hardware-enforced, read-only media\n\nlist of applications to be loaded from hardware-enforced, read-only media\n\nmedia used to load and execute the system operating environment\n\nmedia used to load and execute system applications\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing, loading, and executing the operating environment from hardware-enforced, read-only media\n\nautomated mechanisms supporting and/or implementing, loading, and executing applications from hardware-enforced, read-only media" - } - ] - } - ], - "controls": [ - { - "id": "sc-34.1", - "class": "SP800-53-enhancement", - "title": "No Writable Storage", - "params": [ - { - "id": "sc-34.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34.1_prm_1" - }, - { - "name": "label", - "value": "SC-34(01)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be employed with no writeable storage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(01)" - }, - { - "name": "sort-id", - "value": "sc-34.01" - } - ], - "links": [ - { - "href": "#sc-34", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-34.01_odp }} with no writeable storage that is persistent across component restart or power on/off." - }, - { - "id": "sc-34.1_gdn", - "name": "guidance", - "prose": "Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-34.01_odp }} are employed with no writeable storage that is persistent across component restart or power on/off." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system components to be employed without writeable storage capabilities\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of components with no writeable storage\n\nautomated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off" - } - ] - } - ] - }, - { - "id": "sc-34.2", - "class": "SP800-53-enhancement", - "title": "Integrity Protection on Read-only Media", - "props": [ - { - "name": "label", - "value": "SC-34(02)" - }, - { - "name": "sort-id", - "value": "sc-34.02" - } - ], - "links": [ - { - "href": "#sc-34", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.2_smt", - "name": "statement", - "prose": "Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media." - }, - { - "id": "sc-34.2_gdn", - "name": "guidance", - "prose": "Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of information is protected prior to storage on read-only media;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the media is controlled after such information has been recorded onto the media;" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to protect information integrity on read-only media prior to storage and after information has been recorded onto the media" - } - ] - } - ] - }, - { - "id": "sc-34.3", - "class": "SP800-53-enhancement", - "title": "Hardware-based Protection", - "props": [ - { - "name": "label", - "value": "SC-34(03)" - }, - { - "name": "sort-id", - "value": "sc-34.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-51", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sc-35", - "class": "SP800-53", - "title": "External Malicious Code Identification", - "props": [ - { - "name": "label", - "value": "SC-35" - }, - { - "name": "sort-id", - "value": "sc-35" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-35_smt", - "name": "statement", - "prose": "Include system components that proactively seek to identify network-based malicious code or malicious websites." - }, - { - "id": "sc-35_gdn", - "name": "guidance", - "prose": "External malicious code identification differs from decoys in [SC-26](#sc-26) in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-35", - "class": "sp800-53A" - } - ], - "prose": "system components that proactively seek to identify network-based malicious code or malicious websites are included." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-35-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing external malicious code identification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem components deployed to identify malicious websites and/or web-based malicious code\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-35-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-35-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing external malicious code identification" - } - ] - } - ] - }, - { - "id": "sc-36", - "class": "SP800-53", - "title": "Distributed Processing and Storage", - "params": [ - { - "id": "sc-36_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-36_odp.02" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sc-36_odp.01" - } - ], - "label": "organization-defined processing and storage components" - }, - { - "id": "sc-36_odp.01", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[01]" - } - ], - "label": "processing components", - "guidelines": [ - { - "prose": "processing components to be distributed across multiple locations/domains are defined;" - } - ] - }, - { - "id": "sc-36_odp.02", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[02]" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_odp.03", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[03]" - } - ], - "label": "storage components", - "guidelines": [ - { - "prose": "storage components to be distributed across multiple locations/domains are defined;" - } - ] - }, - { - "id": "sc-36_odp.04", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[04]" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-36" - }, - { - "name": "sort-id", - "value": "sc-36" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36_smt", - "name": "statement", - "prose": "Distribute the following processing and storage components across multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2 }}." - }, - { - "id": "sc-36_gdn", - "name": "guidance", - "prose": "Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increase the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36_odp.01 }} are distributed across {{ insert: param, sc-36_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36_odp.03 }} are distributed across {{ insert: param, sc-36_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\ncontingency planning policy and procedures\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical locations (or environments) with distributed processing and storage\n\nsystem facility diagrams\n\nprocessing site agreements\n\nstorage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel with contingency planning and plan implementation responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for distributed processing and storage across multiple physical locations\n\nautomated mechanisms supporting and/or implementing the capability to distribute processing and storage across multiple physical locations" - } - ] - } - ], - "controls": [ - { - "id": "sc-36.1", - "class": "SP800-53-enhancement", - "title": "Polling Techniques", - "params": [ - { - "id": "sc-36.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.1_prm_1" - }, - { - "name": "label", - "value": "SC-36(01)_ODP[01]" - } - ], - "label": "distributed processing and storage components", - "guidelines": [ - { - "prose": "distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises are defined;" - } - ] - }, - { - "id": "sc-36.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.1_prm_2" - }, - { - "name": "label", - "value": "SC-36(01)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken in response to identified faults, errors, or compromise are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(01)" - }, - { - "name": "sort-id", - "value": "sc-36.01" - } - ], - "links": [ - { - "href": "#sc-36", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-36.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: {{ insert: param, sc-36.01_odp.01 }} ; and" - }, - { - "id": "sc-36.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions in response to identified faults, errors, or compromises: {{ insert: param, sc-36.01_odp.02 }}." - } - ] - }, - { - "id": "sc-36.1_gdn", - "name": "guidance", - "prose": "Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, the distribution of processing and storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "polling techniques are employed to identify potential faults, errors, or compromises to {{ insert: param, sc-36.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36.01_odp.02 }} are taken in response to identified faults, errors, or compromise." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of distributed processing and storage components subject to polling\n\nsystem polling techniques and associated documentation or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing polling techniques" - } - ] - } - ] - }, - { - "id": "sc-36.2", - "class": "SP800-53-enhancement", - "title": "Synchronization", - "params": [ - { - "id": "sc-36.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.2_prm_1" - }, - { - "name": "label", - "value": "SC-36(02)_ODP" - } - ], - "label": "duplicate systems or system components", - "guidelines": [ - { - "prose": "duplicate systems or system components to be synchronized are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(02)" - }, - { - "name": "sort-id", - "value": "sc-36.02" - } - ], - "links": [ - { - "href": "#sc-36", - "rel": "required" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.2_smt", - "name": "statement", - "prose": "Synchronize the following duplicate systems or system components: {{ insert: param, sc-36.02_odp }}." - }, - { - "id": "sc-36.2_gdn", - "name": "guidance", - "prose": "[SC-36](#sc-36) and [CP-9(6)](#cp-9.6) require the duplication of systems or system components in distributed locations. The synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the mission or business functions of organizations, as needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36.02_odp }} are synchronized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of distributed processing and storage components subject to polling\n\nsystem polling techniques and associated documentation or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing duplicate system or system component synchronization" - } - ] - } - ] - } - ] - }, - { - "id": "sc-37", - "class": "SP800-53", - "title": "Out-of-band Channels", - "params": [ - { - "id": "sc-37_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_3" - }, - { - "name": "label", - "value": "SC-37_ODP[01]" - } - ], - "label": "out-of-band channels", - "guidelines": [ - { - "prose": "out-of-band channels to be employed for the physical delivery or electronic transmission of information, system components, or devices to individuals or the system are defined;" - } - ] - }, - { - "id": "sc-37_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_1" - }, - { - "name": "label", - "value": "SC-37_ODP[02]" - } - ], - "label": "information, system components, or devices", - "guidelines": [ - { - "prose": "information, system components, or devices to employ out-of-band-channels for physical delivery or electronic transmission are defined;" - } - ] - }, - { - "id": "sc-37_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_2" - }, - { - "name": "label", - "value": "SC-37_ODP[03]" - } - ], - "label": "individuals or systems", - "guidelines": [ - { - "prose": "individuals or systems to which physical delivery or electronic transmission of information, system components, or devices is to be achieved via the employment of out-of-band channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-37" - }, - { - "name": "sort-id", - "value": "sc-37" - } - ], - "links": [ - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-37_smt", - "name": "statement", - "prose": "Employ the following out-of-band channels for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}: {{ insert: param, sc-37_odp.01 }}." - }, - { - "id": "sc-37_gdn", - "name": "guidance", - "prose": "Out-of-band channels include local, non-network accesses to systems; network paths physically separate from network paths used for operational traffic; or non-electronic paths, such as the U.S. Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of organizational items, including authenticators and credentials; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-37", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-37_odp.01 }} are employed for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-37-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of out-of-band channels\n\naccess control policy and procedures\n\nidentification and authentication policy and procedures\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of out-of-band channels\n\ntypes of information, system components, or devices requiring the use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or systems\n\nphysical delivery records\n\nelectronic transmission records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-37-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-37-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of out-of-band channels\n\nautomated mechanisms supporting and/or implementing the use of out-of-band channels" - } - ] - } - ], - "controls": [ - { - "id": "sc-37.1", - "class": "SP800-53-enhancement", - "title": "Ensure Delivery and Transmission", - "params": [ - { - "id": "sc-37.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_1" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed to ensure that only designated individuals or systems receive specific information, system components, or devices are defined;" - } - ] - }, - { - "id": "sc-37.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_2" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[02]" - } - ], - "label": "individuals or systems", - "guidelines": [ - { - "prose": "individuals or systems designated to receive specific information, system components, or devices are defined;" - } - ] - }, - { - "id": "sc-37.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_3" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[03]" - } - ], - "label": "information, system components, or devices", - "guidelines": [ - { - "prose": "information, system components, or devices that only individuals or systems are designated to receive are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-37(01)" - }, - { - "name": "sort-id", - "value": "sc-37.01" - } - ], - "links": [ - { - "href": "#sc-37", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-37.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-37.01_odp.01 }} to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive the following information, system components, or devices: {{ insert: param, sc-37.01_odp.03 }}." - }, - { - "id": "sc-37.1_gdn", - "name": "guidance", - "prose": "Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-37(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-37.01_odp.01 }} are employed to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive {{ insert: param, sc-37.01_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-37(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of out-of-band channels\n\naccess control policy and procedures\n\nidentification and authentication policy and procedures\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards to be employed to ensure that designated individuals or systems receive organization-defined information, system components, or devices\n\nlist of security safeguards for delivering designated information, system components, or devices to designated individuals or systems\n\nlist of information, system components, or devices to be delivered to designated individuals or systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-37(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-37(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of out-of-band channels\n\nautomated mechanisms supporting and/or implementing the use of out-of-band channels\n\nautomated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices" - } - ] - } - ] - } - ] - }, - { - "id": "sc-38", - "class": "SP800-53", - "title": "Operations Security", - "params": [ - { - "id": "sc-38_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-38_prm_1" - }, - { - "name": "label", - "value": "SC-38_ODP" - } - ], - "label": "operations security controls", - "guidelines": [ - { - "prose": "operations security controls to be employed to protect key organizational information throughout the system development life cycle are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-38" - }, - { - "name": "sort-id", - "value": "sc-38" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-38_smt", - "name": "statement", - "prose": "Employ the following operations security controls to protect key organizational information throughout the system development life cycle: {{ insert: param, sc-38_odp }}." - }, - { - "id": "sc-38_gdn", - "name": "guidance", - "prose": "Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information, analysis of threats, analysis of vulnerabilities, assessment of risks, and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers, potential suppliers, and other non-organizational elements and individuals. Information critical to organizational mission and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-38", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-38_odp }} are employed to protect key organizational information throughout the system development life cycle." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-38-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing operations security\n\nsecurity plan\n\nlist of operations security safeguards\n\nsecurity control assessments\n\nrisk assessments\n\nthreat and vulnerability assessments\n\nplans of action and milestones\n\nsystem development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-38-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-38-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting organizational information throughout the system development life cycle\n\nautomated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the system development life cycle" - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "props": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each executing system process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39", - "class": "sp800-53A" - } - ], - "prose": "a separate execution domain is maintained for each executing system process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System design documentation\n\nsystem architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System developers/integrators\n\nsystem security architect" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for each executing process" - } - ] - } - ], - "controls": [ - { - "id": "sc-39.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-39(01)" - }, - { - "name": "sort-id", - "value": "sc-39.01" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-39.1_smt", - "name": "statement", - "prose": "Implement hardware separation mechanisms to facilitate process isolation." - }, - { - "id": "sc-39.1_gdn", - "name": "guidance", - "prose": "Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39(01)", - "class": "sp800-53A" - } - ], - "prose": "hardware separation is implemented to facilitate process isolation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem documentation for hardware separation mechanisms\n\nsystem documentation from vendors, manufacturers, or developers\n\nindependent verification and validation documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability implementing underlying hardware separation mechanisms for process separation" - } - ] - } - ] - }, - { - "id": "sc-39.2", - "class": "SP800-53-enhancement", - "title": "Separate Execution Domain Per Thread", - "params": [ - { - "id": "sc-39.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-39.2_prm_1" - }, - { - "name": "label", - "value": "SC-39(02)_ODP" - } - ], - "label": "multi-threaded processing", - "guidelines": [ - { - "prose": "multi-thread processing for which a separate execution domain is to be maintained for each thread is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-39(02)" - }, - { - "name": "sort-id", - "value": "sc-39.02" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-39.2_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each thread in {{ insert: param, sc-39.02_odp }}." - }, - { - "id": "sc-39.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39(02)", - "class": "sp800-53A" - } - ], - "prose": "a separate execution domain is maintained for each thread in {{ insert: param, sc-39.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system execution domains for each thread in multi-threaded processing\n\nsystem documentation for multi-threaded processing\n\nsystem documentation from vendors, manufacturers, or developers\n\nindependent verification and validation documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability implementing a separate execution domain for each thread in multi-threaded processing" - } - ] - } - ] - } - ] - }, - { - "id": "sc-40", - "class": "SP800-53", - "title": "Wireless Link Protection", - "params": [ - { - "id": "sc-40_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-40_odp.01" - } - ], - "label": "organization-defined wireless links" - }, - { - "id": "sc-40_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sc-40_odp.02" - } - ], - "label": "organization-defined types of signal parameter attacks or references to sources for such attacks" - }, - { - "id": "sc-40_odp.01", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[01]" - } - ], - "label": "wireless links", - "guidelines": [ - { - "prose": "external wireless links to be protected from particular types of signal parameter attacks are defined;" - } - ] - }, - { - "id": "sc-40_odp.02", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[02]" - } - ], - "label": "types of signal parameter attacks or references to sources for such attacks", - "guidelines": [ - { - "prose": "types of signal parameter attacks or references to sources for such attacks from which to protect external wireless links are defined;" - } - ] - }, - { - "id": "sc-40_odp.03", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[03]" - } - ], - "label": "wireless links", - "guidelines": [ - { - "prose": "internal wireless links to be protected from particular types of signal parameter attacks are defined;" - } - ] - }, - { - "id": "sc-40_odp.04", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[04]" - } - ], - "label": "types of signal parameter attacks or references to sources for such attacks", - "guidelines": [ - { - "prose": "types of signal parameter attacks or references to sources for such attacks from which to protect internal wireless links are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40" - }, - { - "name": "sort-id", - "value": "sc-40" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40_smt", - "name": "statement", - "prose": "Protect external and internal {{ insert: param, sc-40_prm_1 }} from the following signal parameter attacks: {{ insert: param, sc-40_prm_2 }}." - }, - { - "id": "sc-40_gdn", - "name": "guidance", - "prose": "Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement wireless link protections to the extent necessary to meet organizational security requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40[01]", - "class": "sp800-53A" - } - ], - "prose": "external {{ insert: param, sc-40_odp.01 }} are protected from {{ insert: param, sc-40_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40[02]", - "class": "sp800-53A" - } - ], - "prose": "internal {{ insert: param, sc-40_odp.03 }} are protected from {{ insert: param, sc-40_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of internal and external wireless links\n\nlist of signal parameter attacks or references to sources for attacks\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of wireless links" - } - ] - } - ], - "controls": [ - { - "id": "sc-40.1", - "class": "SP800-53-enhancement", - "title": "Electromagnetic Interference", - "params": [ - { - "id": "sc-40.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.1_prm_1" - }, - { - "name": "label", - "value": "SC-40(01)_ODP" - } - ], - "label": "level of protection", - "guidelines": [ - { - "prose": "level of protection to be employed against the effects of intentional electromagnetic interference is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(01)" - }, - { - "name": "sort-id", - "value": "sc-40.01" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#pe-21", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference." - }, - { - "id": "sc-40.1_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms for electromagnetic interference protects systems against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters that share the same spectrum. Mission requirements, projected threats, concept of operations, and laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, and performance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(01)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsecurity categorization results\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference" - } - ] - } - ] - }, - { - "id": "sc-40.2", - "class": "SP800-53-enhancement", - "title": "Reduce Detection Potential", - "params": [ - { - "id": "sc-40.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.2_prm_1" - }, - { - "name": "label", - "value": "SC-40(02)_ODP" - } - ], - "label": "level of reduction", - "guidelines": [ - { - "prose": "the level of reduction to be achieved to reduce the detection potential of wireless links is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(02)" - }, - { - "name": "sort-id", - "value": "sc-40.02" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }}." - }, - { - "id": "sc-40.2_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that the spread spectrum waveforms used to achieve a low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(02)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsecurity categorization results\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing protections to reduce the detection of wireless links" - } - ] - } - ] - }, - { - "id": "sc-40.3", - "class": "SP800-53-enhancement", - "title": "Imitative or Manipulative Communications Deception", - "props": [ - { - "name": "label", - "value": "SC-40(03)" - }, - { - "name": "sort-id", - "value": "sc-40.03" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "id": "sc-40.3_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based on signal parameters alone." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing system design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception" - } - ] - } - ] - }, - { - "id": "sc-40.4", - "class": "SP800-53-enhancement", - "title": "Signal Parameter Identification", - "params": [ - { - "id": "sc-40.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.4_prm_1" - }, - { - "name": "label", - "value": "SC-40(04)_ODP" - } - ], - "label": "wireless transmitters", - "guidelines": [ - { - "prose": "wireless transmitters for which cryptographic mechanisms are to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(04)" - }, - { - "name": "sort-id", - "value": "sc-40.04" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters." - }, - { - "id": "sc-40.4_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for the purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required. Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(04)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing system design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms preventing the identification of wireless transmitters" - } - ] - } - ] - } - ] - }, - { - "id": "sc-41", - "class": "SP800-53", - "title": "Port and I/O Device Access", - "params": [ - { - "id": "sc-41_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_2" - }, - { - "name": "label", - "value": "SC-41_ODP[01]" - } - ], - "label": "connection ports or input/output devices", - "guidelines": [ - { - "prose": "connection ports or input/output devices to be disabled or removed are defined;" - } - ] - }, - { - "id": "sc-41_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_1" - }, - { - "name": "label", - "value": "SC-41_ODP[02]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-41_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_3" - }, - { - "name": "label", - "value": "SC-41_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components with connection ports or input/output devices to be disabled or removed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-41" - }, - { - "name": "sort-id", - "value": "sc-41" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-41_smt", - "name": "statement", - "prose": "{{ insert: param, sc-41_odp.02 }} disable or remove {{ insert: param, sc-41_odp.01 }} on the following systems or system components: {{ insert: param, sc-41_odp.03 }}." - }, - { - "id": "sc-41_gdn", - "name": "guidance", - "prose": "Connection ports include Universal Serial Bus (USB), Thunderbolt, and Firewire (IEEE 1394). Input/output (I/O) devices include compact disc and digital versatile disc drives. Disabling or removing such connection ports and I/O devices helps prevent the exfiltration of information from systems and the introduction of malicious code from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-41", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-41_odp.01 }} are {{ insert: param, sc-41_odp.02 }} disabled or removed on {{ insert: param, sc-41_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-41-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing port and input/output device access\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystems or system components\n\nlist of connection ports or input/output devices to be physically disabled or removed on systems or system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-41-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-41-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the disabling of connection ports or input/output devices" - } - ] - } - ] - }, - { - "id": "sc-42", - "class": "SP800-53", - "title": "Sensor Capability and Data", - "params": [ - { - "id": "sc-42_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_1" - }, - { - "name": "label", - "value": "SC-42_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "the use of devices possessing{{ insert: param, sc-42_odp.02 }}in{{ insert: param, sc-42_odp.03 }} ", - "the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions:{{ insert: param, sc-42_odp.04 }} " - ] - } - }, - { - "id": "sc-42_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_2" - }, - { - "name": "label", - "value": "SC-42_ODP[02]" - } - ], - "label": "environmental sensing capabilities", - "guidelines": [ - { - "prose": "environmental sensing capabilities in devices are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_3" - }, - { - "name": "label", - "value": "SC-42_ODP[03]" - } - ], - "label": "facilities, areas, or systems", - "guidelines": [ - { - "prose": "facilities, areas, or systems where the use of devices possessing environmental sensing capabilities is prohibited are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_4" - }, - { - "name": "label", - "value": "SC-42_ODP[04]" - } - ], - "label": "exceptions where remote activation of sensors is allowed", - "guidelines": [ - { - "prose": "exceptions where remote activation of sensors is allowed are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_5" - }, - { - "name": "label", - "value": "SC-42_ODP[05]" - } - ], - "label": "group of users", - "guidelines": [ - { - "prose": "group of users to whom an explicit indication of sensor use is to be provided is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42" - }, - { - "name": "sort-id", - "value": "sc-42" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42_smt", - "name": "statement", - "parts": [ - { - "id": "sc-42_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit {{ insert: param, sc-42_odp.01 }} ; and" - }, - { - "id": "sc-42_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of sensor use to {{ insert: param, sc-42_odp.05 }}." - } - ] - }, - { - "id": "sc-42_gdn", - "name": "guidance", - "prose": "Sensor capability and data applies to types of systems or system components characterized as mobile devices, such as cellular telephones, smart phones, and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include microphones, cameras, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the movements of an individual. Organizations may prohibit individuals from bringing cellular telephones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42_odp.01 }} is/are prohibited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42b.", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of sensor use is provided to {{ insert: param, sc-42_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor capabilities and data collection\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access controls for the remote activation of system sensor capabilities\n\nautomated mechanisms implementing the capability to indicate sensor use" - } - ] - } - ], - "controls": [ - { - "id": "sc-42.1", - "class": "SP800-53-enhancement", - "title": "Reporting to Authorized Individuals or Roles", - "params": [ - { - "id": "sc-42.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.1_prm_1" - }, - { - "name": "label", - "value": "SC-42(01)_ODP" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors to be used to collect data or information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(01)" - }, - { - "name": "sort-id", - "value": "sc-42.01" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-42.1_smt", - "name": "statement", - "prose": "Verify that the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles." - }, - { - "id": "sc-42.1_gdn", - "name": "guidance", - "prose": "In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(01)", - "class": "sp800-53A" - } - ], - "prose": "the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing sensor capability and data collection\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for the sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting the reporting of sensor information to those authorized\n\nsensor data collection and reporting capabilities for the system" - } - ] - } - ] - }, - { - "id": "sc-42.2", - "class": "SP800-53-enhancement", - "title": "Authorized Use", - "params": [ - { - "id": "sc-42.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.2_prm_2" - }, - { - "name": "label", - "value": "SC-42(02)_ODP[01]" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to be employed so that data or information collected by sensors is only used for authorized purposes are defined;" - } - ] - }, - { - "id": "sc-42.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.2_prm_1" - }, - { - "name": "label", - "value": "SC-42(02)_ODP[02]" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors to be used to collect data or information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(02)" - }, - { - "name": "sort-id", - "value": "sc-42.02" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.2_smt", - "name": "statement", - "prose": "Employ the following measures so that data or information collected by {{ insert: param, sc-42.02_odp.02 }} is only used for authorized purposes: {{ insert: param, sc-42.02_odp.01 }}." - }, - { - "id": "sc-42.2_gdn", - "name": "guidance", - "prose": "Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track the movements of individuals. Measures to mitigate such activities include additional training to help ensure that authorized individuals do not abuse their authority and, in the case where sensor data is maintained by external parties, contractual restrictions on the use of such data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42.02_odp.01 }} are employed so that data or information collected by {{ insert: param, sc-42.02_odp.02 }} is only used for authorized purposes." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of measures to be employed to that the ensure data or information collected by sensors is only used for authorized purposes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes\n\nsensor information collection capability for the system" - } - ] - } - ] - }, - { - "id": "sc-42.3", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Devices", - "props": [ - { - "name": "label", - "value": "SC-42(03)" - }, - { - "name": "sort-id", - "value": "sc-42.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-42.4", - "class": "SP800-53-enhancement", - "title": "Notice of Collection", - "params": [ - { - "id": "sc-42.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.4_prm_2" - }, - { - "name": "label", - "value": "SC-42(04)_ODP[01]" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to facilitate an individual\u2019s awareness that personally identifiable information is being collected are defined;" - } - ] - }, - { - "id": "sc-42.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.4_prm_1" - }, - { - "name": "label", - "value": "SC-42(04)_ODP[02]" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors that collect personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(04)" - }, - { - "name": "sort-id", - "value": "sc-42.04" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.4_smt", - "name": "statement", - "prose": "Employ the following measures to facilitate an individual\u2019s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }}: {{ insert: param, sc-42.04_odp.01 }}." - }, - { - "id": "sc-42.4_gdn", - "name": "guidance", - "prose": "Awareness that organizational sensors are collecting data enables individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals directly or indirectly aware through other devices that the sensor is collecting information. The usability and efficacy of the notice are important considerations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42.04_odp.01 }} are employed to facilitate an individual\u2019s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }} " - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprivacy risk assessment documentation\n\nprivacy impact assessments\n\nsystem architecture\n\nlist of measures to be employed to ensure that individuals are aware that personally identifiable information is being collected by sensors\n\nexamples of notifications provided to individuals that personally identifiable information is being collected by sensors\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to facilitate an individual\u2019s awareness that personally identifiable information is being collected by sensors\n\nsensor information collection capabilities for the system" - } - ] - } - ] - }, - { - "id": "sc-42.5", - "class": "SP800-53-enhancement", - "title": "Collection Minimization", - "params": [ - { - "id": "sc-42.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.5_prm_1" - }, - { - "name": "label", - "value": "SC-42(05)_ODP" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "the sensors that are configured to minimize the collection of unneeded information about individuals are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(05)" - }, - { - "name": "sort-id", - "value": "sc-42.05" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-42.05_odp }} that are configured to minimize the collection of information about individuals that is not needed." - }, - { - "id": "sc-42.5_gdn", - "name": "guidance", - "prose": "Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features, such as blurring or pixelating flesh tones." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(05)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-42.05_odp }} configured to minimize the collection of information about individuals that is not needed are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprivacy risk assessment documentation\n\nprivacy impact assessments\n\nsystem architecture\n\nlist of information being collected by sensors\n\nlist of sensor configurations that minimize the collection of personally identifiable information (e.g., obscure human features)\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to facilitate the review of information that is being collected by sensors\n\nsensor information collection capabilities for the system" - } - ] - } - ] - } - ] - }, - { - "id": "sc-43", - "class": "SP800-53", - "title": "Usage Restrictions", - "params": [ - { - "id": "sc-43_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-43_prm_1" - }, - { - "name": "label", - "value": "SC-43_ODP" - } - ], - "label": "components", - "guidelines": [ - { - "prose": "the components for which usage restrictions and implementation guidance are to be established are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-43" - }, - { - "name": "sort-id", - "value": "sc-43" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-43_smt", - "name": "statement", - "parts": [ - { - "id": "sc-43_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish usage restrictions and implementation guidelines for the following system components: {{ insert: param, sc-43_odp }} ; and" - }, - { - "id": "sc-43_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of such components within the system." - } - ] - }, - { - "id": "sc-43_gdn", - "name": "guidance", - "prose": "Usage restrictions apply to all system components including but not limited to mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43a.", - "class": "sp800-53A" - } - ], - "prose": "usage restrictions and implementation guidelines are established for {{ insert: param, sc-43_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is authorized within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is monitored within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is controlled within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-43-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nusage restrictions\n\nprocedures addressing usage restrictions\n\nimplementation policy and procedures\n\nauthorization records\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-43-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-43-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing, monitoring, and controlling the use of components with usage restrictions\n\nAutomated mechanisms supporting and/or implementing, authorizing, monitoring, and controlling the use of components with usage restrictions" - } - ] - } - ] - }, - { - "id": "sc-44", - "class": "SP800-53", - "title": "Detonation Chambers", - "params": [ - { - "id": "sc-44_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-44_prm_1" - }, - { - "name": "label", - "value": "SC-44_ODP" - } - ], - "label": "system, system component, or location", - "guidelines": [ - { - "prose": "the system, system component, or location where a detonation chamber capability is to be employed is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-44" - }, - { - "name": "sort-id", - "value": "sc-44" - } - ], - "links": [ - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-44_smt", - "name": "statement", - "prose": "Employ a detonation chamber capability within {{ insert: param, sc-44_odp }}." - }, - { - "id": "sc-44_gdn", - "name": "guidance", - "prose": "Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. Protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, the employment of detonation chambers is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, detonation chambers are intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-44", - "class": "sp800-53A" - } - ], - "prose": "a detonation chamber capability is employed within the {{ insert: param, sc-44_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-44-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing detonation chambers\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-44-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-44-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the detonation chamber capability" - } - ] - } - ] - }, - { - "id": "sc-45", - "class": "SP800-53", - "title": "System Time Synchronization", - "props": [ - { - "name": "label", - "value": "SC-45" - }, - { - "name": "sort-id", - "value": "sc-45" - } - ], - "links": [ - { - "href": "#e4d37285-1e79-4029-8b6a-42df39cace30", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-45_smt", - "name": "statement", - "prose": "Synchronize system clocks within and between systems and system components." - }, - { - "id": "sc-45_gdn", - "name": "guidance", - "prose": "Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities\u2014such as access control and identification and authentication\u2014depending on the nature of the mechanisms used to support the capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45", - "class": "sp800-53A" - } - ], - "prose": "system clocks are synchronized within and between systems and system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization" - } - ] - } - ], - "controls": [ - { - "id": "sc-45.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "params": [ - { - "id": "sc-45.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_1" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to compare the internal system clocks with the authoritative time source is defined;" - } - ] - }, - { - "id": "sc-45.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_2" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[02]" - } - ], - "label": "authoritative time source", - "guidelines": [ - { - "prose": "the authoritative time source to which internal system clocks are to be compared is defined;" - } - ] - }, - { - "id": "sc-45.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_3" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to compare the internal system clocks with the authoritative time source is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-45(01)" - }, - { - "name": "sort-id", - "value": "sc-45.01" - } - ], - "links": [ - { - "href": "#sc-45", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-45.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-45.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compare the internal system clocks {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }} ; and" - }, - { - "id": "sc-45.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}." - } - ] - }, - { - "id": "sc-45.1_gdn", - "name": "guidance", - "prose": "Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are compared {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are synchronized with the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization" - } - ] - } - ] - }, - { - "id": "sc-45.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "SC-45(02)" - }, - { - "name": "sort-id", - "value": "sc-45.02" - } - ], - "links": [ - { - "href": "#sc-45", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-45.2_smt", - "name": "statement", - "parts": [ - { - "id": "sc-45.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and" - }, - { - "id": "sc-45.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "id": "sc-45.2_gdn", - "name": "guidance", - "prose": "It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "a secondary authoritative time source is identified that is in a different geographic region than the primary authoritative time source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are synchronized to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization with secondary authoritative time sources" - } - ] - } - ] - } - ] - }, - { - "id": "sc-46", - "class": "SP800-53", - "title": "Cross Domain Policy Enforcement", - "params": [ - { - "id": "sc-46_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-46_prm_1" - }, - { - "name": "label", - "value": "SC-46_ODP" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-46" - }, - { - "name": "sort-id", - "value": "sc-46" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-46_smt", - "name": "statement", - "prose": "Implement a policy enforcement mechanism {{ insert: param, sc-46_odp }} between the physical and/or network interfaces for the connecting security domains." - }, - { - "id": "sc-46_gdn", - "name": "guidance", - "prose": "For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security domain may be needed. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-46", - "class": "sp800-53A" - } - ], - "prose": "a policy enforcement mechanism is {{ insert: param, sc-46_odp }} implemented between the physical and/or network interfaces for the connecting security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-46-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-46-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-46-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cross-domain policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-47", - "class": "SP800-53", - "title": "Alternate Communications Paths", - "params": [ - { - "id": "sc-47_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-47_prm_1" - }, - { - "name": "label", - "value": "SC-47_ODP" - } - ], - "label": "alternate communication paths", - "guidelines": [ - { - "prose": "alternate communication paths for system operations and operational command and control are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-47" - }, - { - "name": "sort-id", - "value": "sc-47" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-47_smt", - "name": "statement", - "prose": "Establish {{ insert: param, sc-47_odp }} for system operations organizational command and control." - }, - { - "id": "sc-47_gdn", - "name": "guidance", - "prose": "An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. Alternate communications paths reduce the risk of all communications paths being affected by the same incident. To compound the problem, the inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements after a communications path incident, can impact the ability of the organization to respond to such incidents in a timely manner. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization\u2019s ability to continue to operate and take appropriate actions during an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-47", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-47_odp }} are established for system operations and operational command and control." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-47-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing communication paths\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-47-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-47-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate communication paths for system operations" - } - ] - } - ] - }, - { - "id": "sc-48", - "class": "SP800-53", - "title": "Sensor Relocation", - "params": [ - { - "id": "sc-48_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_1" - }, - { - "name": "label", - "value": "SC-48_ODP[01]" - } - ], - "label": "sensors and monitoring capabilities", - "guidelines": [ - { - "prose": "sensors and monitoring capabilities to be relocated are defined;" - } - ] - }, - { - "id": "sc-48_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_2" - }, - { - "name": "label", - "value": "SC-48_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to where sensors and monitoring capabilities are to be relocated are defined;" - } - ] - }, - { - "id": "sc-48_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_3" - }, - { - "name": "label", - "value": "SC-48_ODP[03]" - } - ], - "label": "conditions or circumstances", - "guidelines": [ - { - "prose": "conditions or circumstances for relocating sensors and monitoring capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-48" - }, - { - "name": "sort-id", - "value": "sc-48" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-48_smt", - "name": "statement", - "prose": "Relocate {{ insert: param, sc-48_odp.01 }} to {{ insert: param, sc-48_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48_odp.03 }}." - }, - { - "id": "sc-48_gdn", - "name": "guidance", - "prose": "Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities, and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary\u2019s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information that the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-48", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-48_odp.01 }} are relocated to {{ insert: param, sc-48_odp.02 }} under {{ insert: param, sc-48_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-48-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor and monitoring capability relocation\n\nlist of sensors/monitoring capabilities to be relocated\n\nchange control records\n\nconfiguration management records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-48-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-48-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing sensor relocation" - } - ] - } - ], - "controls": [ - { - "id": "sc-48.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Relocation of Sensors or Monitoring Capabilities", - "params": [ - { - "id": "sc-48.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_1" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[01]" - } - ], - "label": "sensors and monitoring capabilities", - "guidelines": [ - { - "prose": "sensors and monitoring capabilities to be dynamically relocated are defined;" - } - ] - }, - { - "id": "sc-48.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_2" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to where sensors and monitoring capabilities are to be dynamically relocated are defined;" - } - ] - }, - { - "id": "sc-48.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_3" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[03]" - } - ], - "label": "conditions or circumstances", - "guidelines": [ - { - "prose": "conditions or circumstances for dynamically relocating sensors and monitoring capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-48(01)" - }, - { - "name": "sort-id", - "value": "sc-48.01" - } - ], - "links": [ - { - "href": "#sc-48", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-48.1_smt", - "name": "statement", - "prose": "Dynamically relocate {{ insert: param, sc-48.01_odp.01 }} to {{ insert: param, sc-48.01_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48.01_odp.03 }}." - }, - { - "id": "sc-48.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-48(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-48.01_odp.01 }} are dynamically relocated to {{ insert: param, sc-48.01_odp.02 }} under {{ insert: param, sc-48.01_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-48(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor and monitoring capability relocation\n\nlist of sensors/monitoring capabilities to be relocated\n\nchange control records\n\nconfiguration management records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-48(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-48(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "SELECT FROM: Automated mechanisms supporting and/or implementing sensor relocation" - } - ] - } - ] - } - ] - }, - { - "id": "sc-49", - "class": "SP800-53", - "title": "Hardware-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-49_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-49_prm_1" - }, - { - "name": "label", - "value": "SC-49_ODP" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains requiring hardware-enforced separation and policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-49" - }, - { - "name": "sort-id", - "value": "sc-49" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-50", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-49_smt", - "name": "statement", - "prose": "Implement hardware-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-49_odp }}." - }, - { - "id": "sc-49_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-49", - "class": "sp800-53A" - } - ], - "prose": "hardware-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-49_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-49-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-49-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-49-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware-enforced security domain separation and policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-50", - "class": "SP800-53", - "title": "Software-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-50_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-50_prm_1" - }, - { - "name": "label", - "value": "SC-50_ODP" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains requiring software-enforced separation and policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-50" - }, - { - "name": "sort-id", - "value": "sc-50" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-50_smt", - "name": "statement", - "prose": "Implement software-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-50_odp }}." - }, - { - "id": "sc-50_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism to ensure domain separation and policy enforcement for specific types of threats and environments of operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-50", - "class": "sp800-53A" - } - ], - "prose": "software-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-50_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-50-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-50-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-50-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing software-enforced separation and policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-51", - "class": "SP800-53", - "title": "Hardware-based Protection", - "params": [ - { - "id": "sc-51_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-51_prm_1" - }, - { - "name": "label", - "value": "SC-51_ODP[01]" - } - ], - "label": "system firmware components", - "guidelines": [ - { - "prose": "system firmware components requiring hardware-based write-protect are defined;" - } - ] - }, - { - "id": "sc-51_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-51_prm_2" - }, - { - "name": "label", - "value": "SC-51_ODP[02]" - } - ], - "label": "authorized individuals", - "guidelines": [ - { - "prose": "authorized individuals requiring procedures for disabling and re-enabling hardware write-protect are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-51" - }, - { - "name": "sort-id", - "value": "sc-51" - } - ], - "parts": [ - { - "id": "sc-51_smt", - "name": "statement", - "parts": [ - { - "id": "sc-51_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ hardware-based, write-protect for {{ insert: param, sc-51_odp.01 }} ; and" - }, - { - "id": "sc-51_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement specific procedures for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode." - } - ] - }, - { - "id": "sc-51_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51a.", - "class": "sp800-53A" - } - ], - "prose": "hardware-based write-protect for {{ insert: param, sc-51_odp.01 }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.[01]", - "class": "sp800-53A" - } - ], - "prose": "specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.[02]", - "class": "sp800-53A" - } - ], - "prose": "specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to re-enable the write-protect prior to returning to operational mode." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-51-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing firmware modifications\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-51-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-51-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for modifying system firmware\n\nautomated mechanisms supporting and/or implementing hardware-based write-protection for system firmware" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "si-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "si-01_odp.01", - "props": [ - { - "name": "label", - "value": "SI-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and information integrity policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "si-01_odp.02", - "props": [ - { - "name": "label", - "value": "SI-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and information integrity procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "si-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_2" - }, - { - "name": "label", - "value": "SI-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "si-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_3" - }, - { - "name": "label", - "value": "SI-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and information integrity policy and procedures is defined;" - } - ] - }, - { - "id": "si-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_4" - }, - { - "name": "label", - "value": "SI-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and information integrity policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "si-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_5" - }, - { - "name": "label", - "value": "SI-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and information integrity policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "si-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_6" - }, - { - "name": "label", - "value": "SI-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and information integrity procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "si-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_7" - }, - { - "name": "label", - "value": "SI-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and information integrity procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-01" - }, - { - "name": "sort-id", - "value": "si-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, si-01_odp.03 }} system and information integrity policy that:", - "parts": [ - { - "id": "si-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "si-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, si-01_odp.04 }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and" - }, - { - "id": "si-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and information integrity:", - "parts": [ - { - "id": "si-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, si-01_odp.05 }} and following {{ insert: param, si-01_odp.06 }} ; and" - }, - { - "id": "si-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, si-01_odp.07 }} and following {{ insert: param, si-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and information integrity policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and information integrity policy is disseminated to {{ insert: param, si-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and information integrity procedures are disseminated to {{ insert: param, si-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity policy is reviewed and updated {{ insert: param, si-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity policy is reviewed and updated following {{ insert: param, si-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity procedures are reviewed and updated {{ insert: param, si-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity procedures are reviewed and updated following {{ insert: param, si-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "params": [ - { - "id": "si-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2_prm_1" - }, - { - "name": "label", - "value": "SI-02_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to install security-relevant software updates after the release of the updates is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02" - }, - { - "name": "sort-id", - "value": "si-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify, report, and correct system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Install security-relevant software and firmware updates within {{ insert: param, si-02_odp }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate flaw remediation into the organizational configuration management process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified.\n\nOrganization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are corrected;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "software updates related to flaw remediation are tested for effectiveness before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "software updates related to flaw remediation are tested for potential side effects before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[03]", - "class": "sp800-53A" - } - ], - "prose": "firmware updates related to flaw remediation are tested for effectiveness before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[04]", - "class": "sp800-53A" - } - ], - "prose": "firmware updates related to flaw remediation are tested for potential side effects before installation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "security-relevant software updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "security-relevant firmware updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02d.", - "class": "sp800-53A" - } - ], - "prose": "flaw remediation is incorporated into the organizational configuration management process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the system\n\nlist of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws)\n\ntest results from the installation of software and firmware updates to correct system flaws\n\ninstallation/change control records for security-relevant software and firmware updates\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel responsible for installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation\n\norganizational personnel with configuration management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing the reporting and correcting of system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware updates" - } - ] - } - ], - "controls": [ - { - "id": "si-2.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-02(01)" - }, - { - "name": "sort-id", - "value": "si-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "params": [ - { - "id": "si-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.2_prm_1" - }, - { - "name": "label", - "value": "SI-02(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined;" - } - ] - }, - { - "id": "si-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.2_prm_2" - }, - { - "name": "label", - "value": "SI-02(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(02)" - }, - { - "name": "sort-id", - "value": "si-02.02" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-02.02_odp.01 }} {{ insert: param, si-02.02_odp.02 }}." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can track and determine the status of known flaws for system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(02)", - "class": "sp800-53A" - } - ], - "prose": "system components have applicable security-relevant software and firmware updates installed {{ insert: param, si-02.02_odp.02 }} using {{ insert: param, si-02.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting centralized management of flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to determine the state of system components with regard to flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws and Benchmarks for Corrective Actions", - "params": [ - { - "id": "si-02.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.3_prm_1" - }, - { - "name": "label", - "value": "SI-02(03)_ODP" - } - ], - "label": "benchmarks", - "guidelines": [ - { - "prose": "the benchmarks for taking corrective actions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(03)" - }, - { - "name": "sort-id", - "value": "si-02.03" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measure the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish the following benchmarks for taking corrective actions: {{ insert: param, si-02.03_odp }}." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the time between flaw identification and flaw remediation is measured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-02.03_odp }} for taking corrective actions have been established." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of benchmarks for taking corrective action on identified flaws\n\nrecords that provide timestamps of flaw identification and subsequent flaw remediation activities\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting system flaws\n\nautomated mechanisms used to measure the time between flaw identification and flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Patch Management Tools", - "params": [ - { - "id": "si-02.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.4_prm_1" - }, - { - "name": "label", - "value": "SI-02(04)_ODP" - } - ], - "label": "components", - "guidelines": [ - { - "prose": "the system components requiring automated patch management tools to facilitate flaw remediation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(04)" - }, - { - "name": "sort-id", - "value": "si-02.04" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.4_smt", - "name": "statement", - "prose": "Employ automated patch management tools to facilitate flaw remediation to the following system components: {{ insert: param, si-02.04_odp }}." - }, - { - "id": "si-2.4_gdn", - "name": "guidance", - "prose": "Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(04)", - "class": "sp800-53A" - } - ], - "prose": "automated patch management tools are employed to facilitate flaw remediation to {{ insert: param, si-02.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation and automatic software/firmware updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system flaws\n\nrecords of recent security-relevant software and firmware updates that are automatically installed to system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated patch management tools\n\nautomated mechanisms implementing automatic software/firmware updates\n\nautomated mechanisms facilitating flaw remediation to system components" - } - ] - } - ] - }, - { - "id": "si-2.5", - "class": "SP800-53-enhancement", - "title": "Automatic Software and Firmware Updates", - "params": [ - { - "id": "si-02.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.5_prm_1" - }, - { - "name": "label", - "value": "SI-02(05)_ODP[01]" - } - ], - "label": "security-relevant software and firmware updates", - "guidelines": [ - { - "prose": "security-relevant software and firmware updates to be automatically installed to system components are defined;" - } - ] - }, - { - "id": "si-02.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.5_prm_2" - }, - { - "name": "label", - "value": "SI-02(05)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring security-relevant software updates to be automatically installed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(05)" - }, - { - "name": "sort-id", - "value": "si-02.05" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.5_smt", - "name": "statement", - "prose": "Install {{ insert: param, si-02.05_odp.01 }} automatically to {{ insert: param, si-02.05_odp.02 }}." - }, - { - "id": "si-2.5_gdn", - "name": "guidance", - "prose": "Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-02.05_odp.01 }} are installed automatically to {{ insert: param, si-02.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation and automatic software/firmware updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of recent security-relevant software and firmware updates automatically installed to system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing automatic software/firmware updates" - } - ] - } - ] - }, - { - "id": "si-2.6", - "class": "SP800-53-enhancement", - "title": "Removal of Previous Versions of Software and Firmware", - "params": [ - { - "id": "si-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.6_prm_1" - }, - { - "name": "label", - "value": "SI-02(06)_ODP" - } - ], - "label": "software and firmware components", - "guidelines": [ - { - "prose": "software and firmware components to be removed after updated versions have been installed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(06)" - }, - { - "name": "sort-id", - "value": "si-02.06" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.6_smt", - "name": "statement", - "prose": "Remove previous versions of {{ insert: param, si-02.06_odp }} after updated versions have been installed." - }, - { - "id": "si-2.6_gdn", - "name": "guidance", - "prose": "Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may automatically remove previous versions of software and firmware from the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(06)", - "class": "sp800-53A" - } - ], - "prose": "previous versions of {{ insert: param, si-02.06_odp }} are removed after updated versions have been installed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of software and firmware component removals after updated versions are installed\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of previous versions of software/firmware" - } - ] - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "params": [ - { - "id": "si-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_1" - }, - { - "name": "label", - "value": "SI-03_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "signature-based", - "non-signature-based" - ] - } - }, - { - "id": "si-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_2" - }, - { - "name": "label", - "value": "SI-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which malicious code protection mechanisms perform scans is defined;" - } - ] - }, - { - "id": "si-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_3" - }, - { - "name": "label", - "value": "SI-03_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "endpoint", - "network entry and exit points" - ] - } - }, - { - "id": "si-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_4" - }, - { - "name": "label", - "value": "SI-03_ODP[04]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "block malicious code", - "quarantine malicious code", - "take{{ insert: param, si-03_odp.05 }} " - ] - } - }, - { - "id": "si-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_5" - }, - { - "name": "label", - "value": "SI-03_ODP[05]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "action to be taken in response to malicious code detection are defined (if selected);" - } - ] - }, - { - "id": "si-03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_6" - }, - { - "name": "label", - "value": "SI-03_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when malicious code is detected is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03" - }, - { - "name": "sort-id", - "value": "si-03" - } - ], - "links": [ - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#88660532-2dcf-442e-845c-03340ce48999", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement {{ insert: param, si-03_odp.01 }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configure malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Perform periodic scans of the system {{ insert: param, si-03_odp.02 }} and real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, si-03_odp.04 }} ; and send alert to {{ insert: param, si-03_odp.06 }} in response to malicious code detection; and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code.\n\nMalicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions.\n\nIn situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to detect malicious code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to eradicate malicious code;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03b.", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are updated automatically as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to perform periodic scans of the system {{ insert: param, si-03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to perform real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to {{ insert: param, si-03_odp.04 }} in response to malicious code detection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to send alerts to {{ insert: param, si-03_odp.06 }} in response to malicious code detection;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03d.", - "class": "sp800-53A" - } - ], - "prose": "the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system are addressed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection\n\norganizational personnel with configuration management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code protection mechanisms\n\norganizational processes for addressing false positives and resulting potential impacts\n\nautomated mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions" - } - ] - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-03(01)" - }, - { - "name": "sort-id", - "value": "si-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "props": [ - { - "name": "label", - "value": "SI-03(02)" - }, - { - "name": "sort-id", - "value": "si-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.3", - "class": "SP800-53-enhancement", - "title": "Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-03(03)" - }, - { - "name": "sort-id", - "value": "si-03.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.4", - "class": "SP800-53-enhancement", - "title": "Updates Only by Privileged Users", - "props": [ - { - "name": "label", - "value": "SI-03(04)" - }, - { - "name": "sort-id", - "value": "si-03.04" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.4_smt", - "name": "statement", - "prose": "Update malicious code protection mechanisms only when directed by a privileged user." - }, - { - "id": "si-3.4_gdn", - "name": "guidance", - "prose": "Protection mechanisms for malicious code are typically categorized as security-related software and, as such, are only updated by organizational personnel with appropriate access privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(04)", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are updated only when directed by a privileged user." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nlist of privileged users on system\n\nsystem design documentation\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing malicious code protection capabilities" - } - ] - } - ] - }, - { - "id": "si-3.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "SI-03(05)" - }, - { - "name": "sort-id", - "value": "si-03.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.6", - "class": "SP800-53-enhancement", - "title": "Testing and Verification", - "params": [ - { - "id": "si-03.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.6_prm_1" - }, - { - "name": "label", - "value": "SI-03(06)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to test malicious code protection mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(06)" - }, - { - "name": "sort-id", - "value": "si-03.06" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.6_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Test malicious code protection mechanisms {{ insert: param, si-03.06_odp }} by introducing known benign code into the system; and" - }, - { - "id": "si-3.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the detection of the code and the associated incident reporting occur." - } - ] - }, - { - "id": "si-3.6_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are tested {{ insert: param, si-03.06_odp }} by introducing known benign code into the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the detection of (benign test) code occurs;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the associate incident reporting occurs." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntest cases\n\nrecords providing evidence of test cases executed on malicious code protection mechanisms\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the testing and verification of malicious code protection capabilities" - } - ] - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "props": [ - { - "name": "label", - "value": "SI-03(07)" - }, - { - "name": "sort-id", - "value": "si-03.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.8", - "class": "SP800-53-enhancement", - "title": "Detect Unauthorized Commands", - "params": [ - { - "id": "si-03.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_2" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[01]" - } - ], - "label": "unauthorized operating system commands", - "guidelines": [ - { - "prose": "system hardware components for which unauthorized operating system commands are to be detected through the kernel application programming interface are defined;" - } - ] - }, - { - "id": "si-03.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_1" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[02]" - } - ], - "label": "system hardware components", - "guidelines": [ - { - "prose": "unauthorized operating system commands to be detected are defined;" - } - ] - }, - { - "id": "si-03.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_3" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "issue a warning", - "audit the command execution", - "prevent the execution of the command" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(08)" - }, - { - "name": "sort-id", - "value": "si-03.08" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.8_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the following unauthorized operating system commands through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }}: {{ insert: param, si-03.08_odp.01 }} ; and" - }, - { - "id": "si-3.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-03.08_odp.03 }}." - } - ] - }, - { - "id": "si-3.8_gdn", - "name": "guidance", - "prose": "Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands as well as commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or a combination thereof. Organizations may select different actions for different types, classes, or instances of malicious commands." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.08_odp.01 }} are detected through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.08_odp.03 }} is/are performed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nsystem design documentation\n\nmalicious code protection mechanisms\n\nwarning messages sent upon the detection of unauthorized operating system command execution\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing malicious code protection capabilities\n\nautomated mechanisms supporting and/or implementing the detection of unauthorized operating system commands through the kernel application programming interface" - } - ] - } - ] - }, - { - "id": "si-3.9", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "props": [ - { - "name": "label", - "value": "SI-03(09)" - }, - { - "name": "sort-id", - "value": "si-03.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-17.10", - "rel": "moved-to" - } - ] - }, - { - "id": "si-3.10", - "class": "SP800-53-enhancement", - "title": "Malicious Code Analysis", - "params": [ - { - "id": "si-03.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.10_prm_1" - }, - { - "name": "label", - "value": "SI-03(10)_ODP" - } - ], - "label": "tools and techniques", - "guidelines": [ - { - "prose": "tools and techniques to be employed to analyze the characteristics and behavior of malicious code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(10)" - }, - { - "name": "sort-id", - "value": "si-03.10" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-3.10_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: {{ insert: param, si-03.10_odp }} ; and" - }, - { - "id": "si-3.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes." - } - ] - }, - { - "id": "si-3.10_gdn", - "name": "guidance", - "prose": "The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.10_odp }} are employed to analyze the characteristics and behavior of malicious code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the results from malicious code analysis are incorporated into organizational incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the results from malicious code analysis are incorporated into organizational flaw remediation processes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nprocedures addressing incident response\n\nprocedures addressing flaw remediation\n\nsystem design documentation\n\nmalicious code protection mechanisms, tools, and techniques\n\nsystem configuration settings and associated documentation\n\nresults from malicious code analyses\n\nrecords of flaw remediation events resulting from malicious code analyses\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection\n\norganizational personnel responsible for flaw remediation\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for incident response\n\norganizational process for flaw remediation\n\nautomated mechanisms supporting and/or implementing malicious code protection capabilities\n\ntools and techniques for the analysis of malicious code characteristics and behavior" - } - ] - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "System Monitoring", - "params": [ - { - "id": "si-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_1" - }, - { - "name": "label", - "value": "SI-04_ODP[01]" - } - ], - "label": "monitoring objectives", - "guidelines": [ - { - "prose": "monitoring objectives to detect attacks and indicators of potential attacks on the system are defined;" - } - ] - }, - { - "id": "si-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_2" - }, - { - "name": "label", - "value": "SI-04_ODP[02]" - } - ], - "label": "techniques and methods", - "guidelines": [ - { - "prose": "techniques and methods used to identify unauthorized use of the system are defined;" - } - ] - }, - { - "id": "si-04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_3" - }, - { - "name": "label", - "value": "SI-04_ODP[03]" - } - ], - "label": "system monitoring information", - "guidelines": [ - { - "prose": "system monitoring information to be provided to personnel or roles is defined;" - } - ] - }, - { - "id": "si-04_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_4" - }, - { - "name": "label", - "value": "SI-04_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom system monitoring information is to be provided is/are defined;" - } - ] - }, - { - "id": "si-04_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_5" - }, - { - "name": "label", - "value": "SI-04_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "as needed", - " {{ insert: param, si-04_odp.06 }} " - ] - } - }, - { - "id": "si-04_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_6" - }, - { - "name": "label", - "value": "SI-04_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "a frequency for providing system monitoring to personnel or roles is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04" - }, - { - "name": "sort-id", - "value": "si-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "rel": "reference" - }, - { - "href": "#25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor the system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, si-04_odp.01 }} ; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, si-04_odp.02 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Invoke internal monitoring capabilities or deploy monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Strategically within the system to collect organization-determined essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Analyze detected events and anomalies;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtain legal opinion regarding system monitoring activities; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provide {{ insert: param, si-04_odp.03 }} to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software.\n\nDepending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls [SC-7](#sc-7) and [AC-17](#ac-17) . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-17(1)](#ac-17.1), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) ). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.01", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect attacks and indicators of potential attacks in accordance with {{ insert: param, si-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized local connections;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized network connections;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized remote connections;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04b.", - "class": "sp800-53A" - } - ], - "prose": "unauthorized use of the system is identified through {{ insert: param, si-04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.01", - "class": "sp800-53A" - } - ], - "prose": "internal monitoring capabilities are invoked or monitoring devices are deployed strategically within the system to collect organization-determined essential information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.02", - "class": "sp800-53A" - } - ], - "prose": "internal monitoring capabilities are invoked or monitoring devices are deployed at ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.[01]", - "class": "sp800-53A" - } - ], - "prose": "detected events are analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.[02]", - "class": "sp800-53A" - } - ], - "prose": "detected anomalies are analyzed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04e.", - "class": "sp800-53A" - } - ], - "prose": "the level of system monitoring activity is adjusted when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04f.", - "class": "sp800-53A" - } - ], - "prose": "a legal opinion regarding system monitoring activities is obtained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04g.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04_odp.03 }} is provided to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\ncontinuous monitoring strategy\n\nfacility diagram/layout\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nlocations within the system where monitoring devices are deployed\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring capabilities" - } - ] - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "props": [ - { - "name": "label", - "value": "SI-04(01)" - }, - { - "name": "sort-id", - "value": "si-04.01" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "Connect and configure individual intrusion detection tools into a system-wide intrusion detection system." - }, - { - "id": "si-4.1_gdn", - "name": "guidance", - "prose": "Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "individual intrusion detection tools are connected to a system-wide intrusion detection system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "individual intrusion detection tools are configured into a system-wide intrusion detection system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection capabilities" - } - ] - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools and Mechanisms for Real-time Analysis", - "props": [ - { - "name": "label", - "value": "SI-04(02)" - }, - { - "name": "sort-id", - "value": "si-04.02" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to support near real-time analysis of events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(02)", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to support a near real-time analysis of events." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk management documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the near real-time analysis of events\n\norganizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring\n\nautomated mechanisms/tools supporting and/or implementing an analysis of events" - } - ] - } - ] - }, - { - "id": "si-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Tool and Mechanism Integration", - "props": [ - { - "name": "label", - "value": "SI-04(03)" - }, - { - "name": "sort-id", - "value": "si-04.03" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.3_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms." - }, - { - "id": "si-4.3_gdn", - "name": "guidance", - "prose": "Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling the reconfiguration of mechanisms in support of attack isolation and elimination." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into access control mechanisms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into flow control mechanisms." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing the intrusion detection and system monitoring capability\n\nautomated mechanisms and tools supporting and/or implementing the access and flow control capabilities\n\nautomated mechanisms and tools supporting and/or implementing the integration of intrusion detection tools into the access and flow control mechanisms" - } - ] - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "params": [ - { - "id": "si-4.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.04_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-4.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-04.04_odp.02" - } - ], - "label": "organization-defined unusual or unauthorized activities or conditions" - }, - { - "id": "si-04.04_odp.01", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to monitor inbound communications traffic for unusual or unauthorized activities or conditions is defined;" - } - ] - }, - { - "id": "si-04.04_odp.02", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[02]" - } - ], - "label": "unusual or unauthorized activities or conditions", - "guidelines": [ - { - "prose": "unusual or unauthorized activities or conditions that are to be monitored in inbound communications traffic are defined;" - } - ] - }, - { - "id": "si-04.04_odp.03", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to monitor outbound communications traffic for unusual or unauthorized activities or conditions is defined;" - } - ] - }, - { - "id": "si-04.04_odp.04", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[04]" - } - ], - "label": "unusual or unauthorized activities or conditions", - "guidelines": [ - { - "prose": "unusual or unauthorized activities or conditions that are to be monitored in outbound communications traffic are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(04)" - }, - { - "name": "sort-id", - "value": "si-04.04" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;" - }, - { - "id": "si-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for {{ insert: param, si-4.4_prm_2 }}." - } - ] - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "inbound communications traffic is monitored {{ insert: param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is monitored {{ insert: param, si-04.04_odp.03 }} for {{ insert: param, si-04.04_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "params": [ - { - "id": "si-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.5_prm_1" - }, - { - "name": "label", - "value": "SI-04(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined;" - } - ] - }, - { - "id": "si-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.5_prm_2" - }, - { - "name": "label", - "value": "SI-04(05)_ODP[02]" - } - ], - "label": "compromise indicators", - "guidelines": [ - { - "prose": "compromise indicators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(05)" - }, - { - "name": "sort-id", - "value": "si-04.05" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-04.05_odp.01 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-04.05_odp.02 }}." - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in [SI-4(12)](#si-4.12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated {{ insert: param, si-04.05_odp.02 }} occur." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of personnel selected to receive alerts\n\ndocumentation of alerts generated based on compromise indicators\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel on the system alert notification list\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing alerts for compromise indicators" - } - ] - } - ] - }, - { - "id": "si-4.6", - "class": "SP800-53-enhancement", - "title": "Restrict Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-04(06)" - }, - { - "name": "sort-id", - "value": "si-04.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.7", - "class": "SP800-53-enhancement", - "title": "Automated Response to Suspicious Events", - "params": [ - { - "id": "si-04.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.7_prm_1" - }, - { - "name": "label", - "value": "SI-04(07)_ODP[01]" - } - ], - "label": "incident response personnel", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to be notified of detected suspicious events is/are defined;" - } - ] - }, - { - "id": "si-04.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.7_prm_2" - }, - { - "name": "label", - "value": "SI-04(07)_ODP[02]" - } - ], - "label": "least-disruptive actions", - "guidelines": [ - { - "prose": "least-disruptive actions to terminate suspicious events are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(07)" - }, - { - "name": "sort-id", - "value": "si-04.07" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify {{ insert: param, si-04.07_odp.01 }} of detected suspicious events; and" - }, - { - "id": "si-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions upon detection: {{ insert: param, si-04.07_odp.02 }}." - } - ] - }, - { - "id": "si-4.7_gdn", - "name": "guidance", - "prose": "Least-disruptive actions include initiating requests for human responses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.07_odp.01 }} are notified of detected suspicious events;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.07_odp.02 }} are taken upon the detection of suspicious events." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nalerts and notifications generated based on detected suspicious events\n\nrecords of actions taken to terminate suspicious events\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing notifications to incident response personnel\n\nautomated mechanisms supporting and/or implementing actions to terminate suspicious events" - } - ] - } - ] - }, - { - "id": "si-4.8", - "class": "SP800-53-enhancement", - "title": "Protection of Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-04(08)" - }, - { - "name": "sort-id", - "value": "si-04.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.9", - "class": "SP800-53-enhancement", - "title": "Testing of Monitoring Tools and Mechanisms", - "params": [ - { - "id": "si-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.9_prm_1" - }, - { - "name": "label", - "value": "SI-04(09)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "a frequency at which to test intrusion-monitoring tools and mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(09)" - }, - { - "name": "sort-id", - "value": "si-04.09" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.9_smt", - "name": "statement", - "prose": "Test intrusion-monitoring tools and mechanisms {{ insert: param, si-04.09_odp }}." - }, - { - "id": "si-4.9_gdn", - "name": "guidance", - "prose": "Testing intrusion-monitoring tools and mechanisms is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(09)", - "class": "sp800-53A" - } - ], - "prose": "intrusion-monitoring tools and mechanisms are tested {{ insert: param, si-04.09_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing the testing of system monitoring tools and techniques\n\ndocumentation providing evidence of testing intrusion-monitoring tools\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the testing of intrusion-monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.10", - "class": "SP800-53-enhancement", - "title": "Visibility of Encrypted Communications", - "params": [ - { - "id": "si-04.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.10_prm_1" - }, - { - "name": "label", - "value": "SI-04(10)_ODP[01]" - } - ], - "label": "encrypted communications traffic", - "guidelines": [ - { - "prose": "encrypted communications traffic visible to system monitoring tools and mechanisms is defined;" - } - ] - }, - { - "id": "si-04.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.10_prm_2" - }, - { - "name": "label", - "value": "SI-04(10)_ODP[02]" - } - ], - "label": "system monitoring tools and mechanisms", - "guidelines": [ - { - "prose": "system monitoring tools and mechanisms to be provided access to encrypted communications traffic are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(10)" - }, - { - "name": "sort-id", - "value": "si-04.10" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.10_smt", - "name": "statement", - "prose": "Make provisions so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}." - }, - { - "id": "si-4.10_gdn", - "name": "guidance", - "prose": "Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the visibility of encrypted communications traffic to monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.11", - "class": "SP800-53-enhancement", - "title": "Analyze Communications Traffic Anomalies", - "params": [ - { - "id": "si-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.11_prm_1" - }, - { - "name": "label", - "value": "SI-04(11)_ODP" - } - ], - "label": "interior points", - "guidelines": [ - { - "prose": "interior points within the system where communications traffic is to be analyzed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(11)" - }, - { - "name": "sort-id", - "value": "si-04.11" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.11_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-04.11_odp }} to discover anomalies." - }, - { - "id": "si-4.11_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic at the external interfaces to the system is analyzed to discover anomalies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic at {{ insert: param, si-04.11_odp }} is analyzed to discover anomalies." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nnetwork diagram\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the analysis of communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.12", - "class": "SP800-53-enhancement", - "title": "Automated Organization-generated Alerts", - "params": [ - { - "id": "si-04.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_1" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when indications of inappropriate or unusual activity with security or privacy implications occur is/are defined;" - } - ] - }, - { - "id": "si-04.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_2" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to alert personnel or roles are defined;" - } - ] - }, - { - "id": "si-04.12_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_3" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[03]" - } - ], - "label": "activities that trigger alerts", - "guidelines": [ - { - "prose": "activities that trigger alerts to personnel or are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(12)" - }, - { - "name": "sort-id", - "value": "si-04.12" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.12_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-04.12_odp.01 }} using {{ insert: param, si-04.12_odp.02 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-04.12_odp.03 }}." - }, - { - "id": "si-4.12_gdn", - "name": "guidance", - "prose": "Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in [SI-4(5)](#si-4.5) focus on information sources that are internal to the systems, such as audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.12_odp.01 }} is/are alerted using {{ insert: param, si-04.12_odp.02 }} when {{ insert: param, si-04.12_odp.03 }} indicate inappropriate or unusual activities with security or privacy implications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of inappropriate or unusual activities with security and privacy implications that trigger alerts\n\nsuspicious activity reports\n\nalerts provided to security and privacy personnel\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing automated alerts to security personnel" - } - ] - } - ] - }, - { - "id": "si-4.13", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Event Patterns", - "props": [ - { - "name": "label", - "value": "SI-04(13)" - }, - { - "name": "sort-id", - "value": "si-04.13" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.13_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Analyze communications traffic and event patterns for the system;" - }, - { - "id": "si-4.13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop profiles representing common traffic and event patterns; and" - }, - { - "id": "si-4.13_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use the traffic and event profiles in tuning system-monitoring devices." - } - ] - }, - { - "id": "si-4.13_gdn", - "name": "guidance", - "prose": "Identifying and understanding common communications traffic and event patterns help organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "communications traffic for the system is analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "event patterns for the system are analyzed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "profiles representing common traffic are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "profiles representing event patterns are developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "traffic profiles are used in tuning system-monitoring devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "event profiles are used in tuning system-monitoring devices." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of profiles representing common traffic patterns and/or events\n\nsystem protocols documentation\n\nlist of acceptable thresholds for false positives and false negatives\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the analysis of communications traffic and event patterns" - } - ] - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "props": [ - { - "name": "label", - "value": "SI-04(14)" - }, - { - "name": "sort-id", - "value": "si-04.14" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to identify rogue wireless devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to detect attack attempts on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[03]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to detect potential compromises or breaches to the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection\n\nautomated mechanisms supporting and/or implementing a wireless intrusion detection capability" - } - ] - } - ] - }, - { - "id": "si-4.15", - "class": "SP800-53-enhancement", - "title": "Wireless to Wireline Communications", - "props": [ - { - "name": "label", - "value": "SI-04(15)" - }, - { - "name": "sort-id", - "value": "si-04.15" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.15_smt", - "name": "statement", - "prose": "Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "id": "si-4.15_gdn", - "name": "guidance", - "prose": "Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. When wireless to wireline communications exist, the wireless network could become a port of entry into the wired network. Given the greater facility of unauthorized network access via wireless access points compared to unauthorized wired network access from within the physical boundaries of the system, additional monitoring of transitioning traffic between wireless and wired networks may be necessary to detect malicious activities. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(15)", - "class": "sp800-53A" - } - ], - "prose": "an intrusion detection system is employed to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing a wireless intrusion detection capability" - } - ] - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-04(16)" - }, - { - "name": "sort-id", - "value": "si-04.16" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "Correlate information from monitoring tools and mechanisms employed throughout the system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation\u2014including malicious code protection software, host monitoring, and network monitoring\u2014can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(16)", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring tools and mechanisms employed throughout the system is correlated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nevent correlation logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the correlation of information from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.17", - "class": "SP800-53-enhancement", - "title": "Integrated Situational Awareness", - "props": [ - { - "name": "label", - "value": "SI-04(17)" - }, - { - "name": "sort-id", - "value": "si-04.17" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.17_smt", - "name": "statement", - "prose": "Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness." - }, - { - "id": "si-4.17_gdn", - "name": "guidance", - "prose": "Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to [SI-4(16)](#si-4.16) , which correlates the various cyber monitoring information, integrated situational awareness is intended to correlate monitoring beyond the cyber domain. Correlation of monitoring information from multiple activities may help reveal attacks on organizations that are operating across multiple attack vectors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[01]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring physical activities is correlated to achieve integrated, organization-wide situational awareness" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[02]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring cyber activities is correlated to achieve integrated, organization-wide situational awareness;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[03]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring supply chain activities is correlated to achieve integrated, organization-wide situational awareness." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nevent correlation logs or records resulting from physical, cyber, and supply chain activities\n\nsystem audit records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the correlation of information from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.18", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Covert Exfiltration", - "params": [ - { - "id": "si-04.18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.18_prm_1" - }, - { - "name": "label", - "value": "SI-04(18)_ODP" - } - ], - "label": "interior points", - "guidelines": [ - { - "prose": "interior points within the system where communications traffic is to be analyzed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(18)" - }, - { - "name": "sort-id", - "value": "si-04.18" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.18_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-04.18_odp }}." - }, - { - "id": "si-4.18_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)[01]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is analyzed at {{ insert: param, si-04.18_odp }} to detect covert exfiltration of information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nnetwork diagram\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing an analysis of outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.19", - "class": "SP800-53-enhancement", - "title": "Risk for Individuals", - "params": [ - { - "id": "si-04.19_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.19_prm_1" - }, - { - "name": "label", - "value": "SI-04(19)_ODP[01]" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring of individuals who have been identified as posing an increased level of risk is defined;" - } - ] - }, - { - "id": "si-04.19_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.19_prm_2" - }, - { - "name": "label", - "value": "SI-04(19)_ODP[02]" - } - ], - "label": "sources", - "guidelines": [ - { - "prose": "sources that identify individuals who pose an increased level of risk are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(19)" - }, - { - "name": "sort-id", - "value": "si-04.19" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.19_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-04.19_odp.01 }} of individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk." - }, - { - "id": "si-4.19_gdn", - "name": "guidance", - "prose": "Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(19)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.19_odp.01 }} is implemented on individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\nlegal counsel\n\nhuman resource officials\n\norganizational personnel with personnel security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.20", - "class": "SP800-53-enhancement", - "title": "Privileged Users", - "params": [ - { - "id": "si-4.20_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.20_odp" - } - ], - "label": "organization-defined additional monitoring" - }, - { - "id": "si-04.20_odp", - "props": [ - { - "name": "label", - "value": "SI-04(20)_ODP" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring of privileged users is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(20)" - }, - { - "name": "sort-id", - "value": "si-04.20" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.20_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of privileged users: {{ insert: param, si-4.20_prm_1 }}." - }, - { - "id": "si-4.20_gdn", - "name": "guidance", - "prose": "Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.20_odp }} of privileged users is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.21", - "class": "SP800-53-enhancement", - "title": "Probationary Periods", - "params": [ - { - "id": "si-4.21_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.21_odp.01" - } - ], - "label": "organization-defined probationary period" - }, - { - "id": "si-04.21_odp.01", - "props": [ - { - "name": "label", - "value": "SI-04(21)_ODP[01]" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring to be implemented on individuals during probationary periods is defined;" - } - ] - }, - { - "id": "si-04.21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.21_prm_2" - }, - { - "name": "label", - "value": "SI-04(21)_ODP[02]" - } - ], - "label": "probationary period", - "guidelines": [ - { - "prose": "the probationary period of individuals is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(21)" - }, - { - "name": "sort-id", - "value": "si-04.21" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.21_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of individuals during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param, si-04.21_odp.02 }}." - }, - { - "id": "si-4.21_gdn", - "name": "guidance", - "prose": "During probationary periods, employees do not have permanent employment status within organizations. Without such status or access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(21)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.21_odp.01 }} of individuals is implemented during {{ insert: param, si-04.21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.22", - "class": "SP800-53-enhancement", - "title": "Unauthorized Network Services", - "params": [ - { - "id": "si-04.22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_1" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[01]" - } - ], - "label": "authorization or approval processes", - "guidelines": [ - { - "prose": "authorization or approval processes for network services are defined;" - } - ] - }, - { - "id": "si-04.22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_2" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "audit", - "alert{{ insert: param, si-04.22_odp.03 }} " - ] - } - }, - { - "id": "si-04.22_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_3" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon the detection of network services that have not been authorized or approved by authorization or approval processes is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(22)" - }, - { - "name": "sort-id", - "value": "si-04.22" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.22_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} ; and" - }, - { - "id": "si-4.22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-04.22_odp.02 }} when detected." - } - ] - }, - { - "id": "si-4.22_gdn", - "name": "guidance", - "prose": "Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)(a)", - "class": "sp800-53A" - } - ], - "prose": "network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.22_odp.02 }} is/are initiated when network services that have not been authorized or approved by authorization or approval processes are detected." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\ndocumented authorization/approval of network services\n\nnotifications or alerts of unauthorized network services\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms for auditing network services\n\nautomated mechanisms for providing alerts" - } - ] - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "params": [ - { - "id": "si-04.23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.23_prm_2" - }, - { - "name": "label", - "value": "SI-04(23)_ODP[01]" - } - ], - "label": "host-based monitoring mechanisms", - "guidelines": [ - { - "prose": "host-based monitoring mechanisms to be implemented on system components are defined;" - } - ] - }, - { - "id": "si-04.23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.23_prm_1" - }, - { - "name": "label", - "value": "SI-04(23)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where host-based monitoring is to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(23)" - }, - { - "name": "sort-id", - "value": "si-04.23" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "Implement the following host-based monitoring mechanisms at {{ insert: param, si-04.23_odp.02 }}: {{ insert: param, si-04.23_odp.01 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(23)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.23_odp.01 }} are implemented on {{ insert: param, si-04.23_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nhost-based monitoring mechanisms\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of system components requiring host-based monitoring\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing host-based monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.24", - "class": "SP800-53-enhancement", - "title": "Indicators of Compromise", - "params": [ - { - "id": "si-04.24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.24_prm_2" - }, - { - "name": "label", - "value": "SI-04(24)_ODP[01]" - } - ], - "label": "sources", - "guidelines": [ - { - "prose": "sources that provide indicators of compromise are defined;" - } - ] - }, - { - "id": "si-04.24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.24_prm_1" - }, - { - "name": "label", - "value": "SI-04(24)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom indicators of compromise are to be distributed is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(24)" - }, - { - "name": "sort-id", - "value": "si-04.24" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.24_smt", - "name": "statement", - "prose": "Discover, collect, and distribute to {{ insert: param, si-04.24_odp.02 }} , indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }}." - }, - { - "id": "si-4.24_gdn", - "name": "guidance", - "prose": "Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques, procedures, and other indicators of compromise may be available via government and non-government cooperatives, including the Forum of Incident Response and Security Teams, the United States Computer Emergency Readiness Team, the Defense Industrial Base Cybersecurity Information Sharing Program, and the CERT Coordination Center." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are discovered;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are collected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[03]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are distributed to {{ insert: param, si-04.24_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\norganizational processes for the discovery, collection, distribution, and use of indicators of compromise\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise" - } - ] - } - ] - }, - { - "id": "si-4.25", - "class": "SP800-53-enhancement", - "title": "Optimize Network Traffic Analysis", - "props": [ - { - "name": "label", - "value": "SI-04(25)" - }, - { - "name": "sort-id", - "value": "si-04.25" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.25_smt", - "name": "statement", - "prose": "Provide visibility into network traffic at external and key internal system interfaces to optimize the effectiveness of monitoring devices." - }, - { - "id": "si-4.25_gdn", - "name": "guidance", - "prose": "Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition) may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing, and distributing only relevant traffic to monitoring devices can streamline the efficiency and use of devices and optimize traffic analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)[01]", - "class": "sp800-53A" - } - ], - "prose": "visibility into network traffic at external system interfaces is provided to optimize the effectiveness of monitoring devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)[02]", - "class": "sp800-53A" - } - ], - "prose": "visibility into network traffic at internal system interfaces is provided to optimize the effectiveness of monitoring devices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem architecture\n\nsystem audit records\n\nnetwork traffic reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\norganizational processes for the discovery, collection, distribution, and use of indicators of compromise\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise" - } - ] - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "params": [ - { - "id": "si-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_1" - }, - { - "name": "label", - "value": "SI-05_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations from whom system security alerts, advisories, and directives are to be received on an ongoing basis are defined;" - } - ] - }, - { - "id": "si-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_2" - }, - { - "name": "label", - "value": "SI-05_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-05_odp.03 }} ", - " {{ insert: param, si-05_odp.04 }} ", - " {{ insert: param, si-05_odp.05 }} " - ] - } - }, - { - "id": "si-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_3" - }, - { - "name": "label", - "value": "SI-05_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom security alerts, advisories, and directives are to be disseminated is/are defined (if selected);" - } - ] - }, - { - "id": "si-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_4" - }, - { - "name": "label", - "value": "SI-05_ODP[04]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements within the organization to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);" - } - ] - }, - { - "id": "si-05_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_5" - }, - { - "name": "label", - "value": "SI-05_ODP[05]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-05" - }, - { - "name": "sort-id", - "value": "si-05" - } - ], - "links": [ - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receive system security alerts, advisories, and directives from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generate internal security alerts, advisories, and directives as deemed necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminate security alerts, advisories, and directives to: {{ insert: param, si-05_odp.02 }} ; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05a.", - "class": "sp800-53A" - } - ], - "prose": "system security alerts, advisories, and directives are received from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05b.", - "class": "sp800-53A" - } - ], - "prose": "internal security alerts, advisories, and directives are generated as deemed necessary;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05c.", - "class": "sp800-53A" - } - ], - "prose": "security alerts, advisories, and directives are disseminated to {{ insert: param, si-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05d.", - "class": "sp800-53A" - } - ], - "prose": "security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the system\n\norganizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ], - "controls": [ - { - "id": "si-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Alerts and Advisories", - "params": [ - { - "id": "si-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5.1_prm_1" - }, - { - "name": "label", - "value": "SI-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to broadcast security alert and advisory information throughout the organization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-05(01)" - }, - { - "name": "sort-id", - "value": "si-05.01" - } - ], - "links": [ - { - "href": "#si-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-5.1_smt", - "name": "statement", - "prose": "Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-05.01_odp }}." - }, - { - "id": "si-5.1_gdn", - "name": "guidance", - "prose": "The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-05.01_odp }} are used to broadcast security alert and advisory information throughout the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security alerts, advisories, and directives\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nautomated mechanisms supporting the distribution of security alert and advisory information\n\nrecords of security alerts and advisories\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the system\n\norganizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories\n\nautomated mechanisms supporting and/or implementing the dissemination of security alerts and advisories" - } - ] - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security and Privacy Function Verification", - "params": [ - { - "id": "si-6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-06_odp.01" - } - ], - "label": "organization-defined security and privacy functions" - }, - { - "id": "si-06_odp.01", - "props": [ - { - "name": "label", - "value": "SI-06_ODP[01]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions to be verified for correct operation are defined;" - } - ] - }, - { - "id": "si-06_odp.02", - "props": [ - { - "name": "label", - "value": "SI-06_ODP[02]" - } - ], - "label": "privacy functions", - "guidelines": [ - { - "prose": "privacy functions to be verified for correct operation are defined;" - } - ] - }, - { - "id": "si-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_2" - }, - { - "name": "label", - "value": "SI-06_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-06_odp.04 }} ", - "upon command by user with appropriate privilege", - " {{ insert: param, si-06_odp.05 }} " - ] - } - }, - { - "id": "si-06_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_3" - }, - { - "name": "label", - "value": "SI-06_ODP[04]" - } - ], - "label": "system transitional states", - "guidelines": [ - { - "prose": "system transitional states requiring the verification of security and privacy functions are defined; (if selected)" - } - ] - }, - { - "id": "si-06_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_4" - }, - { - "name": "label", - "value": "SI-06_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to verify the correct operation of security and privacy functions is defined; (if selected)" - } - ] - }, - { - "id": "si-06_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_5" - }, - { - "name": "label", - "value": "SI-06_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted of failed security and privacy verification tests is/are defined;" - } - ] - }, - { - "id": "si-06_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_6" - }, - { - "name": "label", - "value": "SI-06_ODP[07]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "shut the system down", - "restart the system", - " {{ insert: param, si-06_odp.08 }} " - ] - } - }, - { - "id": "si-06_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_7" - }, - { - "name": "label", - "value": "SI-06_ODP[08]" - } - ], - "label": "alternative action(s)", - "guidelines": [ - { - "prose": "alternative action(s) to be performed when anomalies are discovered are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-06" - }, - { - "name": "sort-id", - "value": "si-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verify the correct operation of {{ insert: param, si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform the verification of the functions specified in SI-6a {{ insert: param, si-06_odp.03 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alert {{ insert: param, si-06_odp.06 }} to failed security and privacy verification tests; and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "{{ insert: param, si-06_odp.07 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.01 }} are verified to be operating correctly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.02 }} are verified to be operating correctly;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.01 }} are verified {{ insert: param, si-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.02 }} are verified {{ insert: param, si-06_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.06 }} is/are alerted to failed security verification tests;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.06 }} is/are alerted to failed privacy verification tests;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06d.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.07 }} is/are initiated when anomalies are discovered." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of failed security verification tests\n\nlist of system transition states requiring security functionality verification\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the system\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy function verification\n\nautomated mechanisms supporting and/or implementing the security and privacy function verification capability" - } - ] - } - ], - "controls": [ - { - "id": "si-6.1", - "class": "SP800-53-enhancement", - "title": "Notification of Failed Security Tests", - "props": [ - { - "name": "label", - "value": "SI-06(01)" - }, - { - "name": "sort-id", - "value": "si-06.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-6.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Distributed Testing", - "props": [ - { - "name": "label", - "value": "SI-06(02)" - }, - { - "name": "sort-id", - "value": "si-06.02" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "required" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.2_smt", - "name": "statement", - "prose": "Implement automated mechanisms to support the management of distributed security and privacy function testing." - }, - { - "id": "si-6.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are implemented to support the management of distributed security function testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are implemented to support the management of distributed privacy function testing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the system\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy function verification\n\nautomated mechanisms supporting and/or implementing the management of distributed security and privacy testing" - } - ] - } - ] - }, - { - "id": "si-6.3", - "class": "SP800-53-enhancement", - "title": "Report Verification Results", - "params": [ - { - "id": "si-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6.3_prm_1" - }, - { - "name": "label", - "value": "SI-06(03)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles designated to receive the results of security and privacy function verification is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-06(03)" - }, - { - "name": "sort-id", - "value": "si-06.03" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.3_smt", - "name": "statement", - "prose": "Report the results of security and privacy function verification to {{ insert: param, si-06.03_odp }}." - }, - { - "id": "si-6.3_gdn", - "name": "guidance", - "prose": "Organizational personnel with potential interest in the results of the verification of security and privacy functions include systems security officers, senior agency information security officers, and senior agency officials for privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the results of security function verification are reported to {{ insert: param, si-06.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the results of privacy function verification are reported to {{ insert: param, si-06.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreports of security and privacy function verification results\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel who are recipients of security and privacy function verification reports\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reporting security and privacy function verification results\n\nautomated mechanisms supporting and/or implementing the reporting of security and privacy function verification results" - } - ] - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "params": [ - { - "id": "si-7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-07_odp.01" - } - ], - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07_odp.04" - } - ], - "label": "organization-defined actions" - }, - { - "id": "si-07_odp.01", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[01]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.02", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[02]" - } - ], - "label": "firmware", - "guidelines": [ - { - "prose": "firmware requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.03", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[03]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.04", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[04]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to software are detected are defined;" - } - ] - }, - { - "id": "si-07_odp.05", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[05]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to firmware are detected are defined;" - } - ] - }, - { - "id": "si-07_odp.06", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[06]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to information are detected are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07" - }, - { - "name": "sort-id", - "value": "si-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#e47ee630-9cbc-4133-880e-e013f83ccd51", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "parts": [ - { - "id": "si-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }} ; and" - }, - { - "id": "si-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}." - } - ] - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms\u2014including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools\u2014can automatically monitor the integrity of systems and hosted applications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[03]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.04 }} are taken when unauthorized changes to the software, firmware, and information are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.05 }} are taken when unauthorized changes to the software, firmware, and information are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.06 }} are taken when unauthorized changes to the software, firmware, and information are detected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "params": [ - { - "id": "si-7.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.01" - } - ], - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.02" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - "at{{ insert: param, si-7.1_prm_3 }} ", - " {{ insert: param, si-7.1_prm_4 }} " - ] - } - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.03" - } - ], - "label": "organization-defined transitional states or security-relevant events" - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.04" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-07.01_odp.01", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[01]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.02", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.03 }} ", - " {{ insert: param, si-07.01_odp.04 }} " - ] - } - }, - { - "id": "si-07.01_odp.03", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[03]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (on software) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.04", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (on software) is defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.05", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[05]" - } - ], - "label": "firmware", - "guidelines": [ - { - "prose": "firmware on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.06", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[06]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.07 }} ", - " {{ insert: param, si-07.01_odp.08 }} " - ] - } - }, - { - "id": "si-07.01_odp.07", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[07]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (on firmware) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.08", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[08]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (on firmware) is defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.09", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[09]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.10", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[10]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.11 }} ", - " {{ insert: param, si-07.01_odp.12 }} " - ] - } - }, - { - "id": "si-07.01_odp.11", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[11]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (of information) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.12", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[12]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (of information) is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(01)" - }, - { - "name": "sort-id", - "value": "si-07.01" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.01 }} is performed {{ insert: param, si-07.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.05 }} is performed {{ insert: param, si-07.01_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.09 }} is performed {{ insert: param, si-07.01_odp.10 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity testing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.2", - "class": "SP800-53-enhancement", - "title": "Automated Notifications of Integrity Violations", - "params": [ - { - "id": "si-07.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.2_prm_1" - }, - { - "name": "label", - "value": "SI-07(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(02)" - }, - { - "name": "sort-id", - "value": "si-07.02" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.2_smt", - "name": "statement", - "prose": "Employ automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification." - }, - { - "id": "si-7.2_gdn", - "name": "guidance", - "prose": "The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(02)", - "class": "sp800-53A" - } - ], - "prose": "automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nautomated tools supporting alerts and notifications for integrity discrepancies\n\nnotifications provided upon discovering discrepancies during integrity verifications\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security and privacy responsibilities\n\nsystem administrators\n\nsoftware developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing integrity discrepancy notifications" - } - ] - } - ] - }, - { - "id": "si-7.3", - "class": "SP800-53-enhancement", - "title": "Centrally Managed Integrity Tools", - "props": [ - { - "name": "label", - "value": "SI-07(03)" - }, - { - "name": "sort-id", - "value": "si-07.03" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.3_smt", - "name": "statement", - "prose": "Employ centrally managed integrity verification tools." - }, - { - "id": "si-7.3_gdn", - "name": "guidance", - "prose": "Centrally managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(03)", - "class": "sp800-53A" - } - ], - "prose": "centrally managed integrity verification tools are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for the central management of integrity verification tools\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the central management of integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.4", - "class": "SP800-53-enhancement", - "title": "Tamper-evident Packaging", - "props": [ - { - "name": "label", - "value": "SI-07(04)" - }, - { - "name": "sort-id", - "value": "si-07.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-7.5", - "class": "SP800-53-enhancement", - "title": "Automated Response to Integrity Violations", - "params": [ - { - "id": "si-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.5_prm_1" - }, - { - "name": "label", - "value": "SI-07(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "shut down the system", - "restart the system", - "implement{{ insert: param, si-07.05_odp.02 }} " - ] - } - }, - { - "id": "si-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.5_prm_2" - }, - { - "name": "label", - "value": "SI-07(05)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented automatically when integrity violations are discovered are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(05)" - }, - { - "name": "sort-id", - "value": "si-07.05" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.5_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, si-07.05_odp.01 }} when integrity violations are discovered." - }, - { - "id": "si-7.5_gdn", - "name": "guidance", - "prose": "Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.05_odp.01 }} are automatically performed when integrity violations are discovered." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nrecords of integrity checks and responses to integrity violations\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing an automated response to integrity violations\n\nautomated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered" - } - ] - } - ] - }, - { - "id": "si-7.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "SI-07(06)" - }, - { - "name": "sort-id", - "value": "si-07.06" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.6_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information." - }, - { - "id": "si-7.6_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to software;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[03]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated documentation\n\nrecords of detected unauthorized changes to software, firmware, and information\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\ncryptographic mechanisms implementing software, firmware, and information integrity" - } - ] - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "params": [ - { - "id": "si-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.7_prm_1" - }, - { - "name": "label", - "value": "SI-07(07)_ODP" - } - ], - "label": "changes", - "guidelines": [ - { - "prose": "security-relevant changes to the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(07)" - }, - { - "name": "sort-id", - "value": "si-07.07" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-07.07_odp }}." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(07)", - "class": "sp800-53A" - } - ], - "prose": "the detection of {{ insert: param, si-07.07_odp }} are incorporated into the organizational incident response capability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nprocedures addressing incident response\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability\n\nsoftware, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability" - } - ] - } - ] - }, - { - "id": "si-7.8", - "class": "SP800-53-enhancement", - "title": "Auditing Capability for Significant Events", - "params": [ - { - "id": "si-07.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_1" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "generate an audit record", - "alert current user", - "alert{{ insert: param, si-07.08_odp.02 }} ", - " {{ insert: param, si-07.08_odp.03 }} " - ] - } - }, - { - "id": "si-07.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_2" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon the detection of a potential integrity violation is/are defined (if selected);" - } - ] - }, - { - "id": "si-07.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_3" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[03]" - } - ], - "label": "other actions", - "guidelines": [ - { - "prose": "other actions to be taken upon the detection of a potential integrity violation are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(08)" - }, - { - "name": "sort-id", - "value": "si-07.08" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.8_smt", - "name": "statement", - "prose": "Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: {{ insert: param, si-07.08_odp.01 }}." - }, - { - "id": "si-7.8_gdn", - "name": "guidance", - "prose": "Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit an event upon the detection of a potential integrity violation is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.08_odp.01 }} is/are initiated upon the detection of a potential integrity violation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nincident response records\n\nlist of security-relevant changes to the system\n\nautomated tools supporting alerts and notifications if unauthorized security changes are detected\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing the capability to audit potential integrity violations\n\nautomated mechanisms supporting and/or implementing alerts about potential integrity violations" - } - ] - } - ] - }, - { - "id": "si-7.9", - "class": "SP800-53-enhancement", - "title": "Verify Boot Process", - "params": [ - { - "id": "si-07.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.9_prm_1" - }, - { - "name": "label", - "value": "SI-07(09)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring integrity verification of the boot process are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(09)" - }, - { - "name": "sort-id", - "value": "si-07.09" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.9_smt", - "name": "statement", - "prose": "Verify the integrity of the boot process of the following system components: {{ insert: param, si-07.09_odp }}." - }, - { - "id": "si-7.9_gdn", - "name": "guidance", - "prose": "Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(09)", - "class": "sp800-53A" - } - ], - "prose": "the integrity of the boot process of {{ insert: param, si-07.09_odp }} is verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\ndocumentation\n\nrecords of integrity verification scans\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing integrity verification of the boot process" - } - ] - } - ] - }, - { - "id": "si-7.10", - "class": "SP800-53-enhancement", - "title": "Protection of Boot Firmware", - "params": [ - { - "id": "si-07.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.10_prm_2" - }, - { - "name": "label", - "value": "SI-07(10)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms to be implemented to protect the integrity of boot firmware in system components are defined;" - } - ] - }, - { - "id": "si-07.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.10_prm_1" - }, - { - "name": "label", - "value": "SI-07(10)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring mechanisms to protect the integrity of boot firmware are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(10)" - }, - { - "name": "sort-id", - "value": "si-07.10" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.10_smt", - "name": "statement", - "prose": "Implement the following mechanisms to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}: {{ insert: param, si-07.10_odp.01 }}." - }, - { - "id": "si-7.10_gdn", - "name": "guidance", - "prose": "Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component and preventing unauthorized processes from modifying the boot firmware." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.10_odp.01 }} are implemented to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity verification scans\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing protection of the integrity of boot firmware\n\nsafeguards implementing protection of the integrity of boot firmware" - } - ] - } - ] - }, - { - "id": "si-7.11", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "props": [ - { - "name": "label", - "value": "SI-07(11)" - }, - { - "name": "sort-id", - "value": "si-07.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.6", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.12", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "params": [ - { - "id": "si-07.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.12_prm_1" - }, - { - "name": "label", - "value": "SI-07(12)_ODP" - } - ], - "label": "user-installed software", - "guidelines": [ - { - "prose": "user-installed software requiring integrity verification prior to execution is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(12)" - }, - { - "name": "sort-id", - "value": "si-07.12" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#cm-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.12_smt", - "name": "statement", - "prose": "Require that the integrity of the following user-installed software be verified prior to execution: {{ insert: param, si-07.12_odp }}." - }, - { - "id": "si-7.12_gdn", - "name": "guidance", - "prose": "Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or programs that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including the availability of trustworthy checksums from software developers and vendors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(12)", - "class": "sp800-53A" - } - ], - "prose": "the integrity of {{ insert: param, si-07.12_odp }} is verified prior to execution." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution" - } - ] - } - ] - }, - { - "id": "si-7.13", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "props": [ - { - "name": "label", - "value": "SI-07(13)" - }, - { - "name": "sort-id", - "value": "si-07.13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.7", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.14", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "SI-07(14)" - }, - { - "name": "sort-id", - "value": "si-07.14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.8", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.15", - "class": "SP800-53-enhancement", - "title": "Code Authentication", - "params": [ - { - "id": "si-07.15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.15_prm_1" - }, - { - "name": "label", - "value": "SI-07(15)_ODP" - } - ], - "label": "software or firmware components", - "guidelines": [ - { - "prose": "software or firmware components to be authenticated by cryptographic mechanisms prior to installation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(15)" - }, - { - "name": "sort-id", - "value": "si-07.15" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.15_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-07.15_odp }}." - }, - { - "id": "si-7.15_gdn", - "name": "guidance", - "prose": "Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(15)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to authenticate {{ insert: param, si-07.15_odp }} prior to installation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms authenticating software and firmware prior to installation" - } - ] - } - ] - }, - { - "id": "si-7.16", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "params": [ - { - "id": "si-07.16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.16_prm_1" - }, - { - "name": "label", - "value": "SI-07(16)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the maximum time period permitted for processes to execute without supervision is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(16)" - }, - { - "name": "sort-id", - "value": "si-07.16" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.16_smt", - "name": "statement", - "prose": "Prohibit processes from executing without supervision for more than {{ insert: param, si-07.16_odp }}." - }, - { - "id": "si-7.16_gdn", - "name": "guidance", - "prose": "Placing a time limit on process execution without supervision is intended to apply to processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, and manual oversight and response when system process anomalies occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(16)", - "class": "sp800-53A" - } - ], - "prose": "processes are prohibited from executing without supervision for more than {{ insert: param, si-07.16_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing time limits on process execution without supervision" - } - ] - } - ] - }, - { - "id": "si-7.17", - "class": "SP800-53-enhancement", - "title": "Runtime Application Self-protection", - "params": [ - { - "id": "si-07.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.17_prm_1" - }, - { - "name": "label", - "value": "SI-07(17)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented for application self-protection at runtime are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(17)" - }, - { - "name": "sort-id", - "value": "si-07.17" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.17_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-07.17_odp }} for application self-protection at runtime." - }, - { - "id": "si-7.17_gdn", - "name": "guidance", - "prose": "Runtime application self-protection employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls which can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(17)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.17_odp }} are implemented for application self-protection at runtime." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of known vulnerabilities addressed by runtime instrumentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing runtime application self-protection" - } - ] - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "props": [ - { - "name": "label", - "value": "SI-08" - }, - { - "name": "sort-id", - "value": "si-08" - } - ], - "links": [ - { - "href": "#314e33cb-3681-4b50-a2a2-3fae9604accd", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[01]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system entry points to detect unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[02]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system exit points to detect unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[03]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system entry points to act on unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[04]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system exit points to act on unsolicited messages;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08b.", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nconfiguration management policies and procedures (CM-01)\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing spam protection\n\nautomated mechanisms supporting and/or implementing spam protection" - } - ] - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-08(01)" - }, - { - "name": "sort-id", - "value": "si-08.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "params": [ - { - "id": "si-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-8.2_prm_1" - }, - { - "name": "label", - "value": "SI-08(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to automatically update spam protection mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-08(02)" - }, - { - "name": "sort-id", - "value": "si-08.02" - } - ], - "links": [ - { - "href": "#si-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "Automatically update spam protection mechanisms {{ insert: param, si-08.02_odp }}." - }, - { - "id": "si-8.2_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08(02)", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are automatically updated {{ insert: param, si-08.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms" - } - ] - } - ] - }, - { - "id": "si-8.3", - "class": "SP800-53-enhancement", - "title": "Continuous Learning Capability", - "props": [ - { - "name": "label", - "value": "SI-08(03)" - }, - { - "name": "sort-id", - "value": "si-08.03" - } - ], - "links": [ - { - "href": "#si-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-8.3_smt", - "name": "statement", - "prose": "Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic." - }, - { - "id": "si-8.3_gdn", - "name": "guidance", - "prose": "Learning mechanisms include Bayesian filters that respond to user inputs that identify specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08(03)", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms with a learning capability are implemented to more effectively identify legitimate communications traffic." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-9", - "class": "SP800-53", - "title": "Information Input Restrictions", - "props": [ - { - "name": "label", - "value": "SI-09" - }, - { - "name": "sort-id", - "value": "si-09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "params": [ - { - "id": "si-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10_prm_1" - }, - { - "name": "legacy-identifier", - "value": "si-10.1_prm_1" - }, - { - "name": "label", - "value": "SI-10_ODP" - } - ], - "label": "information inputs", - "guidelines": [ - { - "prose": "information inputs to the system requiring validity checks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "si-10" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "Check the validity of the following information inputs: {{ insert: param, si-10_odp }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of system inputs\u2014including character set, length, numerical range, and acceptable values\u2014verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of \"387,\" \"abc,\" or \"%K%\" are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10", - "class": "sp800-53A" - } - ], - "prose": "the validity of the {{ insert: param, si-10_odp }} are checked." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\ndocumentation for automated tools and applications to verify the validity of information\n\nlist of information inputs requiring validity checks\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing validity checks on information inputs" - } - ] - } - ], - "controls": [ - { - "id": "si-10.1", - "class": "SP800-53-enhancement", - "title": "Manual Override Capability", - "params": [ - { - "id": "si-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.1_prm_2" - }, - { - "name": "label", - "value": "SI-10(01)_ODP" - } - ], - "label": "authorized individuals", - "guidelines": [ - { - "prose": "authorized individuals who can use the manual override capability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(01)" - }, - { - "name": "sort-id", - "value": "si-10.01" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "si-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a manual override capability for input validation of the following information inputs: {{ insert: param, si-10_odp }};" - }, - { - "id": "si-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Restrict the use of the manual override capability to only {{ insert: param, si-10.01_odp }} ; and" - }, - { - "id": "si-10.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Audit the use of the manual override capability." - } - ] - }, - { - "id": "si-10.1_gdn", - "name": "guidance", - "prose": "In certain situations, such as during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "a manual override capability for the validation of {{ insert: param, si-10_odp }} is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the use of the manual override capability is restricted to only {{ insert: param, si-10.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the use of the manual override capability is audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of a manual override capability\n\nautomated mechanisms supporting and/or implementing a manual override capability for input validation\n\nautomated mechanisms supporting and/or implementing auditing of the use of a manual override capability" - } - ] - } - ] - }, - { - "id": "si-10.2", - "class": "SP800-53-enhancement", - "title": "Review and Resolve Errors", - "params": [ - { - "id": "si-10.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-10.02_odp.01" - } - ], - "label": "organization-defined time period" - }, - { - "id": "si-10.02_odp.01", - "props": [ - { - "name": "label", - "value": "SI-10(02)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which input validation errors are to be reviewed is defined;" - } - ] - }, - { - "id": "si-10.02_odp.02", - "props": [ - { - "name": "label", - "value": "SI-10(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which input validation errors are to be resolved is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(02)" - }, - { - "name": "sort-id", - "value": "si-10.02" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.2_smt", - "name": "statement", - "prose": "Review and resolve input validation errors within {{ insert: param, si-10.2_prm_1 }}." - }, - { - "id": "si-10.2_gdn", - "name": "guidance", - "prose": "Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input. Input validation errors are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "input validation errors are reviewed within {{ insert: param, si-10.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "input validation errors are resolved within {{ insert: param, si-10.02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreview records of information input validation errors and resulting resolutions\n\ninformation input validation error logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the review and resolution of input validation errors\n\nautomated mechanisms supporting and/or implementing the review and resolution of input validation errors" - } - ] - } - ] - }, - { - "id": "si-10.3", - "class": "SP800-53-enhancement", - "title": "Predictable Behavior", - "props": [ - { - "name": "label", - "value": "SI-10(03)" - }, - { - "name": "sort-id", - "value": "si-10.03" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.3_smt", - "name": "statement", - "prose": "Verify that the system behaves in a predictable and documented manner when invalid inputs are received." - }, - { - "id": "si-10.3_gdn", - "name": "guidance", - "prose": "A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. Verification of system predictability helps ensure that the system behaves as expected when invalid inputs are received. This occurs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the system behaves in a predictable manner when invalid inputs are received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the system behaves in a documented manner when invalid inputs are received." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received" - } - ] - } - ] - }, - { - "id": "si-10.4", - "class": "SP800-53-enhancement", - "title": "Timing Interactions", - "props": [ - { - "name": "label", - "value": "SI-10(04)" - }, - { - "name": "sort-id", - "value": "si-10.04" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.4_smt", - "name": "statement", - "prose": "Account for timing interactions among system components in determining appropriate responses for invalid inputs." - }, - { - "id": "si-10.4_gdn", - "name": "guidance", - "prose": "In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appear to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(04)", - "class": "sp800-53A" - } - ], - "prose": "timing interactions among system components are accounted for in determining appropriate responses for invalid inputs." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining appropriate responses to invalid inputs\n\nautomated mechanisms supporting and/or implementing responses to invalid inputs" - } - ] - } - ] - }, - { - "id": "si-10.5", - "class": "SP800-53-enhancement", - "title": "Restrict Inputs to Trusted Sources and Approved Formats", - "params": [ - { - "id": "si-10.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.5_prm_1" - }, - { - "name": "label", - "value": "SI-10(05)_ODP[01]" - } - ], - "label": "trusted sources", - "guidelines": [ - { - "prose": "trusted sources to which the use of information inputs is to be restricted are defined;" - } - ] - }, - { - "id": "si-10.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.5_prm_2" - }, - { - "name": "label", - "value": "SI-10(05)_ODP[02]" - } - ], - "label": "formats", - "guidelines": [ - { - "prose": "formats to which the use of information inputs is to be restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(05)" - }, - { - "name": "sort-id", - "value": "si-10.05" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.5_smt", - "name": "statement", - "prose": "Restrict the use of information inputs to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}." - }, - { - "id": "si-10.5_gdn", - "name": "guidance", - "prose": "Restricting the use of inputs to trusted sources and in trusted formats applies the concept of authorized or permitted software to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity. The information inputs are those defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of information inputs is restricted to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of trusted sources for information inputs\n\nlist of acceptable formats for input restrictions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information inputs\n\nautomated mechanisms supporting and/or implementing restriction of information inputs" - } - ] - } - ] - }, - { - "id": "si-10.6", - "class": "SP800-53-enhancement", - "title": "Injection Prevention", - "props": [ - { - "name": "label", - "value": "SI-10(06)" - }, - { - "name": "sort-id", - "value": "si-10.06" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.6_smt", - "name": "statement", - "prose": "Prevent untrusted data injections." - }, - { - "id": "si-10.6_gdn", - "name": "guidance", - "prose": "Untrusted data injections may be prevented using a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so that injections of malicious or unintended data cannot change the semantics of commands being sent. Output escaping uses specified characters to inform the interpreter\u2019s parser whether data is trusted. Prevention of untrusted data injections are with respect to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(06)", - "class": "sp800-53A" - } - ], - "prose": "untrusted data injections are prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of trusted sources for information inputs\n\nlist of acceptable formats for input restrictions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for preventing untrusted data injections\n\nautomated mechanisms supporting and/or implementing injection prevention" - } - ] - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "params": [ - { - "id": "si-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-11_prm_1" - }, - { - "name": "label", - "value": "SI-11_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom error messages are to be revealed is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "si-11" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveal error messages only to {{ insert: param, si-11_odp }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-11a.", - "class": "sp800-53A" - } - ], - "prose": "error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-11b.", - "class": "sp800-53A" - } - ], - "prose": "error messages are revealed only to {{ insert: param, si-11_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system error handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing the structure and content of error messages\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for error handling\n\nautomated mechanisms supporting and/or implementing error handling\n\nautomated mechanisms supporting and/or implementing the management of error messages" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Management and Retention", - "props": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - } - ], - "links": [ - { - "href": "#e922fc50-b1f9-469f-92ef-ed7d9803611c", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, [AC-6(9)](#ac-6.9), [AT-4](#at-4), [AU-12](#au-12), [CA-2](#ca-2), [CA-3](#ca-3), [CA-5](#ca-5), [CA-6](#ca-6), [CA-7](#ca-7), [CA-8](#ca-8), [CA-9](#ca-9), [CM-2](#cm-2), [CM-3](#cm-3), [CM-4](#cm-4), [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](#cm-9), [CM-12](#cm-12), [CM-13](#cm-13), [CP-2](#cp-2), [IR-6](#ir-6), [IR-8](#ir-8), [MA-2](#ma-2), [MA-4](#ma-4), [PE-2](#pe-2), [PE-8](#pe-8), [PE-16](#pe-16), [PE-17](#pe-17), [PL-2](#pl-2), [PL-4](#pl-4), [PL-7](#pl-7), [PL-8](#pl-8), [PM-5](#pm-5), [PM-8](#pm-8), [PM-9](#pm-9), [PM-18](#pm-18), [PM-21](#pm-21), [PM-27](#pm-27), [PM-28](#pm-28), [PM-30](#pm-30), [PM-31](#pm-31), [PS-2](#ps-2), [PS-6](#ps-6), [PS-7](#ps-7), [PT-2](#pt-2), [PT-3](#pt-3), [PT-7](#pt-7), [RA-2](#ra-2), [RA-3](#ra-3), [RA-5](#ra-5), [RA-8](#ra-8), [SA-4](#sa-4), [SA-5](#sa-5), [SA-8](#sa-8), [SA-10](#sa-10), [SI-4](#si-4), [SR-2](#sr-2), [SR-4](#sr-4), [SR-8](#sr-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[01]", - "class": "sp800-53A" - } - ], - "prose": "information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[02]", - "class": "sp800-53A" - } - ], - "prose": "information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[03]", - "class": "sp800-53A" - } - ], - "prose": "information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[04]", - "class": "sp800-53A" - } - ], - "prose": "information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention\n\nmedia protection policy\n\nmedia protection procedures\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\npersonally identifiable information inventory\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information management, retention, and disposition\n\nautomated mechanisms supporting and/or implementing information management, retention, and disposition" - } - ] - } - ], - "controls": [ - { - "id": "si-12.1", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "si-12.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-12.1_prm_1" - }, - { - "name": "label", - "value": "SI-12(01)_ODP" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information being processed in the information life cycle are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(01)" - }, - { - "name": "sort-id", - "value": "si-12.01" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.1_smt", - "name": "statement", - "prose": "Limit personally identifiable information being processed in the information life cycle to the following elements of personally identifiable information: {{ insert: param, si-12.01_odp }}." - }, - { - "id": "si-12.1_gdn", - "name": "guidance", - "prose": "Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(01)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information being processed in the information life cycle is limited to {{ insert: param, si-12.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to limiting personally identifiable information elements\n\npersonally identifiable information inventory\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information management and retention (including limiting personally identifiable information processing)\n\nautomated mechanisms supporting and/or implementing limits to personally identifiable information processing" - } - ] - } - ] - }, - { - "id": "si-12.2", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information in Testing, Training, and Research", - "params": [ - { - "id": "si-12.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-12.02_odp.01" - } - ], - "label": "organization-defined techniques" - }, - { - "id": "si-12.02_odp.01", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for research are defined;" - } - ] - }, - { - "id": "si-12.02_odp.02", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[02]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for testing are defined;" - } - ] - }, - { - "id": "si-12.02_odp.03", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[03]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for training are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(02)" - }, - { - "name": "sort-id", - "value": "si-12.02" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.2_smt", - "name": "statement", - "prose": "Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: {{ insert: param, si-12.2_prm_1 }}." - }, - { - "id": "si-12.2_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual\u2019s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.01 }} are used to minimize the use of personally identifiable information for research;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.02 }} are used to minimize the use of personally identifiable information for testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.03 }} are used to minimize the use of personally identifiable information for training." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to minimizing the use of personally identifiable information in testing, training, and research\n\npolicy for the minimization of personally identifiable information used in testing, training, and research\n\nprocedures for the minimization of personally identifiable information used in testing, training, and research\n\ndocumentation supporting minimization policy implementation (e.g., templates for testing, training, and research)\n\ndata sets used for testing, training, and research\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators\n\nsystem developers\n\npersonnel with IRB responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the minimization of personally identifiable information used in testing, training, and research\n\nautomated mechanisms supporting and/or implementing the minimization of personally identifiable information used in testing, training, and research" - } - ] - } - ] - }, - { - "id": "si-12.3", - "class": "SP800-53-enhancement", - "title": "Information Disposal", - "params": [ - { - "id": "si-12.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-12.03_odp.01" - } - ], - "label": "organization-defined techniques" - }, - { - "id": "si-12.03_odp.01", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to dispose of information following the retention period are defined;" - } - ] - }, - { - "id": "si-12.03_odp.02", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[02]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to destroy information following the retention period are defined;" - } - ] - }, - { - "id": "si-12.03_odp.03", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[03]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to erase information following the retention period are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(03)" - }, - { - "name": "sort-id", - "value": "si-12.03" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-12.3_smt", - "name": "statement", - "prose": "Use the following techniques to dispose of, destroy, or erase information following the retention period: {{ insert: param, si-12.3_prm_1 }}." - }, - { - "id": "si-12.3_gdn", - "name": "guidance", - "prose": "Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. The disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.01 }} are used to dispose of information following the retention period;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.02 }} are used to destroy information following the retention period;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.03 }} are used to erase information following the retention period." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nlaws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information disposal\n\nmedia protection policy\n\nmedia protection procedures\n\nsystem audit records\n\naudit findings\n\ninformation disposal records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information disposition\n\nautomated mechanisms supporting and/or implementing information disposition" - } - ] - } - ] - } - ] - }, - { - "id": "si-13", - "class": "SP800-53", - "title": "Predictable Failure Prevention", - "params": [ - { - "id": "si-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13_prm_1" - }, - { - "name": "label", - "value": "SI-13_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which mean time to failure (MTTF) should be determined are defined;" - } - ] - }, - { - "id": "si-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13_prm_2" - }, - { - "name": "label", - "value": "SI-13_ODP[02]" - } - ], - "label": "mean time to failure (MTTF) substitution criteria", - "guidelines": [ - { - "prose": "mean time to failure (MTTF) substitution criteria to be used as a means to exchange active and standby components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13" - }, - { - "name": "sort-id", - "value": "si-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13_smt", - "name": "statement", - "parts": [ - { - "id": "si-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine mean time to failure (MTTF) for the following system components in specific environments of operation: {{ insert: param, si-13_odp.01 }} ; and" - }, - { - "id": "si-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: {{ insert: param, si-13_odp.02 }}." - } - ] - }, - { - "id": "si-13_gdn", - "name": "guidance", - "prose": "While MTTF is primarily a reliability issue, predictable failure prevention is intended to address potential failures of system components that provide security capabilities. Failure rates reflect installation-specific consideration rather than the industry-average. Organizations define the criteria for the substitution of system components based on the MTTF value with consideration for the potential harm from component failures. The transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capabilities. The preservation of system state variables is also critical to help ensure a successful transfer process. Standby components remain available at all times except for maintenance issues or recovery failures in progress." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13a.", - "class": "sp800-53A" - } - ], - "prose": "mean time to failure (MTTF) is determined for {{ insert: param, si-13_odp.01 }} in specific environments of operation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13b.", - "class": "sp800-53A" - } - ], - "prose": "substitute system components and a means to exchange active and standby components are provided in accordance with {{ insert: param, si-13_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of MTTF substitution criteria\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF determinations and activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF" - } - ] - } - ], - "controls": [ - { - "id": "si-13.1", - "class": "SP800-53-enhancement", - "title": "Transferring Component Responsibilities", - "params": [ - { - "id": "si-13.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.1_prm_1" - }, - { - "name": "label", - "value": "SI-13(01)_ODP" - } - ], - "label": "fraction or percentage", - "guidelines": [ - { - "prose": "the fraction or percentage of mean time to failure within which to transfer the responsibilities of a system component to a substitute component is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(01)" - }, - { - "name": "sort-id", - "value": "si-13.01" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.1_smt", - "name": "statement", - "prose": "Take system components out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure." - }, - { - "id": "si-13.1_gdn", - "name": "guidance", - "prose": "Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business functions. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, the premature replacement of system components can result in the increased cost of system operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(01)", - "class": "sp800-53A" - } - ], - "prose": "system components are taken out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF\n\nautomated mechanisms supporting and/or implementing the transfer of component responsibilities to substitute components" - } - ] - } - ] - }, - { - "id": "si-13.2", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "props": [ - { - "name": "label", - "value": "SI-13(02)" - }, - { - "name": "sort-id", - "value": "si-13.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7.16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-13.3", - "class": "SP800-53-enhancement", - "title": "Manual Transfer Between Components", - "params": [ - { - "id": "si-13.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.3_prm_1" - }, - { - "name": "label", - "value": "SI-13(03)_ODP" - } - ], - "label": "percentage", - "guidelines": [ - { - "prose": "the percentage of the mean time to failure for transfers to be manually initiated is defined:" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(03)" - }, - { - "name": "sort-id", - "value": "si-13.03" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.3_smt", - "name": "statement", - "prose": "Manually initiate transfers between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure." - }, - { - "id": "si-13.3_gdn", - "name": "guidance", - "prose": "For example, if the MTTF for a system component is 100 days and the MTTF percentage defined by the organization is 90 percent, the manual transfer would occur after 90 days." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(03)", - "class": "sp800-53A" - } - ], - "prose": "transfers are initiated manually between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF and conducting the manual transfer between active and standby components" - } - ] - } - ] - }, - { - "id": "si-13.4", - "class": "SP800-53-enhancement", - "title": "Standby Component Installation and Notification", - "params": [ - { - "id": "si-13.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_1" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for standby components to be installed is defined;" - } - ] - }, - { - "id": "si-13.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_2" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "activate{{ insert: param, si-13.04_odp.03 }} ", - "automatically shut down the system", - " {{ insert: param, si-13.04_odp.04 }} " - ] - } - }, - { - "id": "si-13.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_3" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[03]" - } - ], - "label": "alarm", - "guidelines": [ - { - "prose": "alarm to be activated when system component failures are detected is defined (if selected);" - } - ] - }, - { - "id": "si-13.04_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_4" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[04]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "action to be taken when system component failures are detected is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(04)" - }, - { - "name": "sort-id", - "value": "si-13.04" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.4_smt", - "name": "statement", - "prose": "If system component failures are detected:", - "parts": [ - { - "id": "si-13.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Ensure that the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} ; and" - }, - { - "id": "si-13.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-13.04_odp.02 }}." - } - ] - }, - { - "id": "si-13.4_gdn", - "name": "guidance", - "prose": "Automatic or manual transfer of components from standby to active mode can occur upon the detection of component failures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} if system component failures are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-13.04_odp.02 }} are performed if system component failures are detected." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of actions to be taken once system component failure is detected\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF\n\nautomated mechanisms supporting and/or implementing the transparent installation of standby components\n\nautomated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected" - } - ] - } - ] - }, - { - "id": "si-13.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "params": [ - { - "id": "si-13.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.5_prm_1" - }, - { - "name": "label", - "value": "SI-13(05)_ODP[01]" - } - ], - "select": { - "choice": [ - "real-time", - "near real-time" - ] - } - }, - { - "id": "si-13.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.5_prm_2" - }, - { - "name": "label", - "value": "SI-13(05)_ODP[02]" - } - ], - "label": "failover capability", - "guidelines": [ - { - "prose": "a failover capability for the system has been defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(05)" - }, - { - "name": "sort-id", - "value": "si-13.05" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} for the system." - }, - { - "id": "si-13.5_gdn", - "name": "guidance", - "prose": "Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by the recovery time periods of organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} is provided for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing the failover capability provided for the system\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for the failover capability\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the failover capability\n\nautomated mechanisms supporting and/or implementing the failover capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-14", - "class": "SP800-53", - "title": "Non-persistence", - "params": [ - { - "id": "si-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_1" - }, - { - "name": "label", - "value": "SI-14_ODP[01]" - } - ], - "label": "system components and services", - "guidelines": [ - { - "prose": "non-persistent system components and services to be implemented are defined;" - } - ] - }, - { - "id": "si-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_2" - }, - { - "name": "label", - "value": "SI-14_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "upon end of session of use", - " {{ insert: param, si-14_odp.03 }} " - ] - } - }, - { - "id": "si-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_3" - }, - { - "name": "label", - "value": "SI-14_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to terminate non-persistent components and services that are initiated in a known state is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14" - }, - { - "name": "sort-id", - "value": "si-14" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14_smt", - "name": "statement", - "prose": "Implement non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state and terminated {{ insert: param, si-14_odp.02 }}." - }, - { - "id": "si-14_gdn", - "name": "guidance", - "prose": "Implementation of non-persistent components and services mitigates risk from advanced persistent threats (APTs) by reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a trusted, known state computing resource for a specific time period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems or operating environments. Since the APT is a high-end, sophisticated threat with regard to capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries attempting to compromise or breach organizational systems.\n\nNon-persistence can be achieved by refreshing system components, periodically reimaging components, or using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14[01]", - "class": "sp800-53A" - } - ], - "prose": "non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14[02]", - "class": "sp800-53A" - } - ], - "prose": "non-persistent {{ insert: param, si-14_odp.01 }} are terminated {{ insert: param, si-14_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for non-persistence\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the initiation and termination of non-persistent components" - } - ] - } - ], - "controls": [ - { - "id": "si-14.1", - "class": "SP800-53-enhancement", - "title": "Refresh from Trusted Sources", - "params": [ - { - "id": "si-14.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.1_prm_1" - }, - { - "name": "label", - "value": "SI-14(01)_ODP" - } - ], - "label": "trusted sources", - "guidelines": [ - { - "prose": "trusted sources to obtain software and data for system component and service refreshes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(01)" - }, - { - "name": "sort-id", - "value": "si-14.01" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-14.1_smt", - "name": "statement", - "prose": "Obtain software and data employed during system component and service refreshes from the following trusted sources: {{ insert: param, si-14.01_odp }}." - }, - { - "id": "si-14.1_gdn", - "name": "guidance", - "prose": "Trusted sources include software and data from write-once, read-only media or from selected offline secure storage facilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(01)", - "class": "sp800-53A" - } - ], - "prose": "the software and data employed during system component and service refreshes are obtained from {{ insert: param, si-14.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for obtaining component and service refreshes from trusted sources\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and obtaining component and service refreshes from trusted sources\n\nautomated mechanisms supporting and/or implementing component and service refreshes" - } - ] - } - ] - }, - { - "id": "si-14.2", - "class": "SP800-53-enhancement", - "title": "Non-persistent Information", - "params": [ - { - "id": "si-14.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_1" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "refresh{{ insert: param, si-14.02_odp.02 }} {{ insert: param, si-14.02_odp.03 }} ", - "generate{{ insert: param, si-14.02_odp.04 }}on demand" - ] - } - }, - { - "id": "si-14.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_2" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be refreshed is defined (if selected);" - } - ] - }, - { - "id": "si-14.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_3" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to refresh information is defined (if selected);" - } - ] - }, - { - "id": "si-14.02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_4" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[04]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be generated is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(02)" - }, - { - "name": "sort-id", - "value": "si-14.02" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-14.2_smt", - "name": "statement", - "parts": [ - { - "id": "si-14.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, si-14.02_odp.01 }} ; and" - }, - { - "id": "si-14.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Delete information when no longer needed." - } - ] - }, - { - "id": "si-14.2_gdn", - "name": "guidance", - "prose": "Retaining information longer than is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-14.02_odp.01 }} is performed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "information is deleted when no longer needed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for ensuring that information is and remains non-persistent\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring that information is and remains non-persistent\n\nautomated mechanisms supporting and/or implementing component and service refreshes" - } - ] - } - ] - }, - { - "id": "si-14.3", - "class": "SP800-53-enhancement", - "title": "Non-persistent Connectivity", - "params": [ - { - "id": "si-14.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.3_prm_1" - }, - { - "name": "label", - "value": "SI-14(03)_ODP" - } - ], - "select": { - "choice": [ - "completion of a request", - "a period of non-use" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(03)" - }, - { - "name": "sort-id", - "value": "si-14.03" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14.3_smt", - "name": "statement", - "prose": "Establish connections to the system on demand and terminate connections after {{ insert: param, si-14.03_odp }}." - }, - { - "id": "si-14.3_gdn", - "name": "guidance", - "prose": "Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary\u2019s ability to move freely through organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "connections to the system are established on demand;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "connections to the system are terminated after {{ insert: param, si-14.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for limiting persistent connections\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for limiting persistent connections\n\nautomated mechanisms supporting and/or implementing non-persistent connectivity" - } - ] - } - ] - } - ] - }, - { - "id": "si-15", - "class": "SP800-53", - "title": "Information Output Filtering", - "params": [ - { - "id": "si-15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-15_prm_1" - }, - { - "name": "label", - "value": "SI-15_ODP" - } - ], - "label": "software programs and/or applications", - "guidelines": [ - { - "prose": "software programs and/or applications whose information output requires validation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-15" - }, - { - "name": "sort-id", - "value": "si-15" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-15_smt", - "name": "statement", - "prose": "Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: {{ insert: param, si-15_odp }}." - }, - { - "id": "si-15_gdn", - "name": "guidance", - "prose": "Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-15", - "class": "sp800-53A" - } - ], - "prose": "information output from {{ insert: param, si-15_odp }} is validated to ensure that the information is consistent with the expected content." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information output filtering\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for validating information output\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for validating information output\n\nautomated mechanisms supporting and/or implementing information output validation" - } - ] - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "params": [ - { - "id": "si-16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-16_prm_1" - }, - { - "name": "label", - "value": "SI-16_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented to protect the system memory from unauthorized code execution are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "si-16" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_odp }}." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-16", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-16_odp }} are implemented to protect the system memory from unauthorized code execution." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing memory protection for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards protecting system memory from unauthorized code execution\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for memory protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution" - } - ] - } - ] - }, - { - "id": "si-17", - "class": "SP800-53", - "title": "Fail-safe Procedures", - "params": [ - { - "id": "si-17_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-17_odp.01" - } - ], - "label": "organization-defined list of failure conditions and associated fail-safe procedures" - }, - { - "id": "si-17_odp.01", - "props": [ - { - "name": "label", - "value": "SI-17_ODP[01]" - } - ], - "label": "fail-safe procedures", - "guidelines": [ - { - "prose": "fail-safe procedures associated with failure conditions are defined;" - } - ] - }, - { - "id": "si-17_odp.02", - "props": [ - { - "name": "label", - "value": "SI-17_ODP[02]" - } - ], - "label": "list of failure conditions", - "guidelines": [ - { - "prose": "a list of failure conditions requiring fail-safe procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-17" - }, - { - "name": "sort-id", - "value": "si-17" - } - ], - "links": [ - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-17_smt", - "name": "statement", - "prose": "Implement the indicated fail-safe procedures when the indicated failures occur: {{ insert: param, si-17_prm_1 }}." - }, - { - "id": "si-17_gdn", - "name": "guidance", - "prose": "Failure conditions include the loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. Subsequent steps may include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-17", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-17_odp.01 }} are implemented when {{ insert: param, si-17_odp.02 }} occur." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\ndocumentation addressing fail-safe procedures for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards protecting the system memory from unauthorized code execution\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for fail-safe procedures\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational fail-safe procedures\n\nautomated mechanisms supporting and/or implementing fail-safe procedures" - } - ] - } - ] - }, - { - "id": "si-18", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Operations", - "params": [ - { - "id": "si-18_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-18_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-18_odp.01", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the accuracy of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.02", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the relevance of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.03", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the timeliness of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.04", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the completeness of personally identifiable information across the information life cycle is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18" - }, - { - "name": "sort-id", - "value": "si-18" - } - ], - "links": [ - { - "href": "#227063d4-431e-435f-9e8f-009b6dbc20f4", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18_smt", - "name": "statement", - "parts": [ - { - "id": "si-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle {{ insert: param, si-18_prm_1 }} ; and" - }, - { - "id": "si-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correct or delete inaccurate or outdated personally identifiable information." - } - ] - }, - { - "id": "si-18_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and the potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the accuracy of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the relevance of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the timeliness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the completeness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(b)", - "class": "sp800-53A" - } - ], - "prose": "inaccurate or outdated personally identifiable information is corrected or deleted." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\ndocumentation addressing personally identifiable information quality operations\n\nquality reports\n\nmaintenance logs\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for performing personally identifiable information quality inspections\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personally identifiable information quality inspection\n\nautomated mechanisms supporting and/or implementing personally identifiable information quality operations" - } - ] - } - ], - "controls": [ - { - "id": "si-18.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "si-18.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-18.1_prm_1" - }, - { - "name": "label", - "value": "SI-18(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(01)" - }, - { - "name": "sort-id", - "value": "si-18.01" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.1_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using {{ insert: param, si-18.01_odp }}." - }, - { - "id": "si-18.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessments and make determinations that are in alignment with their privacy program plans.\n\nAs data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve the auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-18.01_odp }} are used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\ndocumentation addressing personally identifiable information quality operations\n\nquality reports\n\nmaintenance logs\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for performing personally identifiable information quality inspections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personally identifiable information quality inspection\n\nautomated mechanisms supporting and/or implementing personally identifiable information quality operations" - } - ] - } - ] - }, - { - "id": "si-18.2", - "class": "SP800-53-enhancement", - "title": "Data Tags", - "props": [ - { - "name": "label", - "value": "SI-18(02)" - }, - { - "name": "sort-id", - "value": "si-18.02" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.2_smt", - "name": "statement", - "prose": "Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "id": "si-18.2_gdn", - "name": "guidance", - "prose": "Data tagging personally identifiable information includes tags that note processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(02)", - "class": "sp800-53A" - } - ], - "prose": "data tags are employed to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing data tagging\n\npersonally identifiable information inventory\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for tagging data\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Data tagging mechanisms\n\nautomated mechanisms supporting and/or implementing data tagging" - } - ] - } - ] - }, - { - "id": "si-18.3", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-18(03)" - }, - { - "name": "sort-id", - "value": "si-18.03" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.3_smt", - "name": "statement", - "prose": "Collect personally identifiable information directly from the individual." - }, - { - "id": "si-18.3_gdn", - "name": "guidance", - "prose": "Individuals or their designated representatives can be sources of correct personally identifiable information. Organizations consider contextual factors that may incentivize individuals to provide correct data versus false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than the measures taken to validate less sensitive personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information is collected directly from the individual." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration documentation\n\nsystem audit records\n\nuser interface where personally identifiable information is collected\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for data collection\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Data collection mechanisms\n\nautomated mechanisms supporting and/or validating collection directly from the individual" - } - ] - } - ] - }, - { - "id": "si-18.4", - "class": "SP800-53-enhancement", - "title": "Individual Requests", - "props": [ - { - "name": "label", - "value": "SI-18(04)" - }, - { - "name": "sort-id", - "value": "si-18.04" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.4_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information upon request by individuals or their designated representatives." - }, - { - "id": "si-18.4_gdn", - "name": "guidance", - "prose": "Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion when determining if personally identifiable information is to be corrected or deleted based on the scope of requests, the changes sought, the impact of the changes, and laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(04)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information is corrected or deleted upon request by individuals or their designated representatives." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration\n\nindividual requests\n\nrecords of correction or deletion actions performed\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for responding to individual requests for personally identifiable information correction or deletion\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Request mechanisms\n\nautomated mechanisms supporting and/or implementing individual requests for correction or deletion" - } - ] - } - ] - }, - { - "id": "si-18.5", - "class": "SP800-53-enhancement", - "title": "Notice of Correction or Deletion", - "params": [ - { - "id": "si-18.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-18.5_prm_1" - }, - { - "name": "label", - "value": "SI-18(05)_ODP" - } - ], - "label": "recipients", - "guidelines": [ - { - "prose": "recipients of personally identifiable information to be notified when the personally identifiable information has been corrected or deleted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(05)" - }, - { - "name": "sort-id", - "value": "si-18.05" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.5_smt", - "name": "statement", - "prose": "Notify {{ insert: param, si-18.05_odp }} and individuals that the personally identifiable information has been corrected or deleted." - }, - { - "id": "si-18.5_gdn", - "name": "guidance", - "prose": "When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with whom the information is associated or their designated representatives, are informed of the corrected or deleted information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-18.05_odp }} and individuals are notified when the personally identifiable information has been corrected or deleted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration\n\nindividual requests for corrections or deletions\n\nnotifications of correction or deletion action\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for sending correction or deletion notices\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for notifications of correction or deletion\n\nautomated mechanisms supporting and/or implementing notifications of correction or deletion" - } - ] - } - ] - } - ] - }, - { - "id": "si-19", - "class": "SP800-53", - "title": "De-identification", - "params": [ - { - "id": "si-19_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-19_prm_1" - }, - { - "name": "label", - "value": "SI-19_ODP[01]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be removed from datasets are defined;" - } - ] - }, - { - "id": "si-19_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-19_prm_2" - }, - { - "name": "label", - "value": "SI-19_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to evaluate the effectiveness of de-identification is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-19" - }, - { - "name": "sort-id", - "value": "si-19" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19_smt", - "name": "statement", - "parts": [ - { - "id": "si-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Remove the following elements of personally identifiable information from datasets: {{ insert: param, si-19_odp.01 }} ; and" - }, - { - "id": "si-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Evaluate {{ insert: param, si-19_odp.02 }} for effectiveness of de-identification." - } - ] - }, - { - "id": "si-19_gdn", - "name": "guidance", - "prose": "De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual\u2019s identity, such as name, social security number, date and place of birth, mother\u2019s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary, including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time support the management of this residual risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-19_odp.01 }} are removed from datasets;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19b.", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of de-identification is evaluated {{ insert: param, si-19_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\ndatasets with personally identifiable information removed\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for identifying unnecessary identifiers\n\norganizational personnel responsible for removing personally identifiable information from datasets\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements" - } - ] - } - ], - "controls": [ - { - "id": "si-19.1", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-19(01)" - }, - { - "name": "sort-id", - "value": "si-19.01" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.1_smt", - "name": "statement", - "prose": "De-identify the dataset upon collection by not collecting personally identifiable information." - }, - { - "id": "si-19.1_gdn", - "name": "guidance", - "prose": "If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified when it is created by not collecting the data elements that contain the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(01)", - "class": "sp800-53A" - } - ], - "prose": "the dataset is de-identified upon collection by not collecting personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nprocedures for minimizing the collection of personally identifiable information\n\nsystem configuration\n\ndata collection mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing the collection of personally identifiable information" - } - ] - } - ] - }, - { - "id": "si-19.2", - "class": "SP800-53-enhancement", - "title": "Archiving", - "props": [ - { - "name": "label", - "value": "SI-19(02)" - }, - { - "name": "sort-id", - "value": "si-19.02" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.2_smt", - "name": "statement", - "prose": "Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "id": "si-19.2_gdn", - "name": "guidance", - "prose": "Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified, and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(02)", - "class": "sp800-53A" - } - ], - "prose": "the archiving of personally identifiable information elements is prohibited if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration documentation\n\ndata archiving mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with dataset archival responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the archival of personally identifiable information elements" - } - ] - } - ] - }, - { - "id": "si-19.3", - "class": "SP800-53-enhancement", - "title": "Release", - "props": [ - { - "name": "label", - "value": "SI-19(03)" - }, - { - "name": "sort-id", - "value": "si-19.03" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.3_smt", - "name": "statement", - "prose": "Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "id": "si-19.3_gdn", - "name": "guidance", - "prose": "Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information elements are removed from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nprocedures for minimizing the release of personally identifiable information\n\nsystem configuration\n\ndata release mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements from a dataset" - } - ] - } - ] - }, - { - "id": "si-19.4", - "class": "SP800-53-enhancement", - "title": "Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers", - "props": [ - { - "name": "label", - "value": "SI-19(04)" - }, - { - "name": "sort-id", - "value": "si-19.04" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.4_smt", - "name": "statement", - "prose": "Remove, mask, encrypt, hash, or replace direct identifiers in a dataset." - }, - { - "id": "si-19.4_gdn", - "name": "guidance", - "prose": "There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, such as XXXXXX or 999999. Identifiers can be encrypted or hashed so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming \"George Washington\" to \"PATIENT\" or replacing it with a surrogate value, such as transforming \"George Washington\" to \"Abraham Polk.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(04)", - "class": "sp800-53A" - } - ], - "prose": "direct identifiers in a dataset are removed, masked, encrypted, hashed, or replaced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\ndocumentation of de-identified datasets\n\ntools for the removal, masking, encryption, hashing or replacement of direct identifiers\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal, masking, encryption, hashing or replacement of direct identifiers" - } - ] - } - ] - }, - { - "id": "si-19.5", - "class": "SP800-53-enhancement", - "title": "Statistical Disclosure Control", - "props": [ - { - "name": "label", - "value": "SI-19(05)" - }, - { - "name": "sort-id", - "value": "si-19.05" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.5_smt", - "name": "statement", - "prose": "Manipulate numerical data, contingency tables, and statistical findings so that no individual or organization is identifiable in the results of the analysis." - }, - { - "id": "si-19.5_gdn", - "name": "guidance", - "prose": "Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school that publishes a monthly table with the number of minority students enrolled, reports that it has 10-19 such students in January, and subsequently reports that it has 20-29 such students in March, then it can be inferred that the student who enrolled in February was a minority." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "numerical data is manipulated so that no individual or organization is identifiable in the results of the analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "contingency tables are manipulated so that no individual or organization is identifiable in the results of the analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[03]", - "class": "sp800-53A" - } - ], - "prose": "statistical findings are manipulated so that no individual or organization is identifiable in the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\nstatistical analysis report\n\ntools for the control of statistical disclosure\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the control of statistical disclosure" - } - ] - } - ] - }, - { - "id": "si-19.6", - "class": "SP800-53-enhancement", - "title": "Differential Privacy", - "props": [ - { - "name": "label", - "value": "SI-19(06)" - }, - { - "name": "sort-id", - "value": "si-19.06" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.6_smt", - "name": "statement", - "prose": "Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "id": "si-19.6_gdn", - "name": "guidance", - "prose": "The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small, random values to the results of mathematical operations in dataset analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(06)", - "class": "sp800-53A" - } - ], - "prose": "the disclosure of personally identifiable information is prevented by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\ndifferential privacy tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Online query systems\n\nautomated mechanisms supporting and/or implementing differential privacy" - } - ] - } - ] - }, - { - "id": "si-19.7", - "class": "SP800-53-enhancement", - "title": "Validated Algorithms and Software", - "props": [ - { - "name": "label", - "value": "SI-19(07)" - }, - { - "name": "sort-id", - "value": "si-19.07" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.7_smt", - "name": "statement", - "prose": "Perform de-identification using validated algorithms and software that is validated to implement the algorithms." - }, - { - "id": "si-19.7_gdn", - "name": "guidance", - "prose": "Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that is re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or implement a different algorithm. Software may de-identify one type of data, such as integers, but not de-identify another type of data, such as floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "de-identification is performed using validated algorithms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "de-identification is performed using software that is validated to implement the algorithms." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\nalgorithm and software validation tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Validated algorithms and software" - } - ] - } - ] - }, - { - "id": "si-19.8", - "class": "SP800-53-enhancement", - "title": "Motivated Intruder", - "props": [ - { - "name": "label", - "value": "SI-19(08)" - }, - { - "name": "sort-id", - "value": "si-19.08" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.8_smt", - "name": "statement", - "prose": "Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "id": "si-19.8_gdn", - "name": "guidance", - "prose": "A motivated intruder test is a test in which an individual or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders possess to conduct the tests. A motivated intruder test can determine if the de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(08)", - "class": "sp800-53A" - } - ], - "prose": "a motivated intruder test is performed on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nmotivated intruder test procedures\n\nde-identified datasets\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Motivated intruder test" - } - ] - } - ] - } - ] - }, - { - "id": "si-20", - "class": "SP800-53", - "title": "Tainting", - "params": [ - { - "id": "si-20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-20_prm_1" - }, - { - "name": "label", - "value": "SI-20_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components with data or capabilities to be embedded are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-20" - }, - { - "name": "sort-id", - "value": "si-20" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-20_smt", - "name": "statement", - "prose": "Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: {{ insert: param, si-20_odp }}." - }, - { - "id": "si-20_gdn", - "name": "guidance", - "prose": "Many cyber-attacks target organizational information, or information that the organization holds on behalf of other entities (e.g., personally identifiable information), and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system that is in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity, so any packets it includes potentially contain malicious code, and that the unauthorized entity may have potentially obtained a copy of the database. Another tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open-source analysis. Finally, an active tainting approach can include embedding software in the data that is able to \"call home,\" thereby alerting the organization to its \"capture,\" and possibly its location, and the path by which it was exfiltrated or removed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-20", - "class": "sp800-53A" - } - ], - "prose": "data or capabilities are embedded in {{ insert: param, si-20_odp }} to determine if organizational data has been exfiltrated or improperly removed from the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\npolicy and procedures addressing the systems security engineering technique of deception\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for detecting tainted data\n\norganizational personnel with systems security engineering responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for post-breach detection\n\ndecoys, traps, lures, and methods for deceiving adversaries\n\ndetection and notification mechanisms" - } - ] - } - ] - }, - { - "id": "si-21", - "class": "SP800-53", - "title": "Information Refresh", - "params": [ - { - "id": "si-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-21_prm_1" - }, - { - "name": "label", - "value": "SI-21_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be refreshed is defined;" - } - ] - }, - { - "id": "si-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-21_prm_2" - }, - { - "name": "label", - "value": "SI-21_ODP[02]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "the frequencies at which to refresh information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-21" - }, - { - "name": "sort-id", - "value": "si-21" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-21_smt", - "name": "statement", - "prose": "Refresh {{ insert: param, si-21_odp.01 }} at {{ insert: param, si-21_odp.02 }} or generate the information on demand and delete the information when no longer needed." - }, - { - "id": "si-21_gdn", - "name": "guidance", - "prose": "Retaining information for longer than it is needed makes it an increasingly valuable and enticing target for adversaries. Keeping information available for the minimum period of time needed to support organizational missions or business functions reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-21", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-21_odp.01 }} is refreshed {{ insert: param, si-21_odp.02 }} or is generated on demand and deleted when no longer needed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ninformation refresh procedures\n\nlist of information to be refreshed\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for refreshing information\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms for information refresh\n\norganizational processes for information refresh" - } - ] - } - ] - }, - { - "id": "si-22", - "class": "SP800-53", - "title": "Information Diversity", - "params": [ - { - "id": "si-22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_2" - }, - { - "name": "label", - "value": "SI-22_ODP[01]" - } - ], - "label": "alternative information sources", - "guidelines": [ - { - "prose": "alternative information sources for essential functions and services are defined;" - } - ] - }, - { - "id": "si-22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_1" - }, - { - "name": "label", - "value": "SI-22_ODP[02]" - } - ], - "label": "essential functions and services", - "guidelines": [ - { - "prose": "essential functions and services that require alternative sources of information are defined;" - } - ] - }, - { - "id": "si-22_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_3" - }, - { - "name": "label", - "value": "SI-22_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that require an alternative information source for the execution of essential functions or services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-22" - }, - { - "name": "sort-id", - "value": "si-22" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-22_smt", - "name": "statement", - "parts": [ - { - "id": "si-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the following alternative sources of information for {{ insert: param, si-22_odp.02 }}: {{ insert: param, si-22_odp.01 }} ; and" - }, - { - "id": "si-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Use an alternative information source for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "id": "si-22_gdn", - "name": "guidance", - "prose": "Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-22_odp.01 }} for {{ insert: param, si-22_odp.02 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22b.", - "class": "sp800-53A" - } - ], - "prose": "an alternative information source is used for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of information sources\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated methods and mechanisms to convert information from an analog to digital medium" - } - ] - } - ] - }, - { - "id": "si-23", - "class": "SP800-53", - "title": "Information Fragmentation", - "params": [ - { - "id": "si-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_1" - }, - { - "name": "label", - "value": "SI-23_ODP[01]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances that require information fragmentation are defined;" - } - ] - }, - { - "id": "si-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_2" - }, - { - "name": "label", - "value": "SI-23_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be fragmented is defined;" - } - ] - }, - { - "id": "si-23_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_3" - }, - { - "name": "label", - "value": "SI-23_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components across which the fragmented information is to be distributed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-23" - }, - { - "name": "sort-id", - "value": "si-23" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-23_smt", - "name": "statement", - "prose": "Based on {{ insert: param, si-23_odp.01 }}:", - "parts": [ - { - "id": "si-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Fragment the following information: {{ insert: param, si-23_odp.02 }} ; and" - }, - { - "id": "si-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the fragmented information across the following systems or system components: {{ insert: param, si-23_odp.03 }}." - } - ] - }, - { - "id": "si-23_gdn", - "name": "guidance", - "prose": "One objective of the advanced persistent threat is to exfiltrate valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider dividing the information into disparate elements and distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary\u2019s work factor to capture and exfiltrate the desired information and, in so doing, increase the probability of detection. The fragmentation of information impacts the organization\u2019s ability to access the information in a timely manner. The extent of the fragmentation is dictated by the impact or classification level (and value) of the information, threat intelligence information received, and whether data tainting is used (i.e., data tainting-derived information about the exfiltration of some information could result in the fragmentation of the remaining information)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23a.", - "class": "sp800-53A" - } - ], - "prose": "under {{ insert: param, si-23_odp.01 }}, {{ insert: param, si-23_odp.02 }} is fragmented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23b.", - "class": "sp800-53A" - } - ], - "prose": "under {{ insert: param, si-23_odp.01 }} , the fragmented information is distributed across {{ insert: param, si-23_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprocedures to identify information for fragmentation and distribution across systems/system components\n\nlist of distributed and fragmented information\n\nlist of circumstances requiring information fragmentation\n\nenterprise architecture\n\nsystem security architecture\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers\n\nsecurity architects" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes to identify information for fragmentation and distribution across systems/system components\n\nautomated mechanisms supporting and/or implementing information fragmentation and distribution across systems/system components" - } - ] - } - ] - } - ] - }, - { - "id": "sr", - "class": "family", - "title": "Supply Chain Risk Management", - "controls": [ - { - "id": "sr-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sr-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sr-01_odp.01", - "props": [ - { - "name": "label", - "value": "SR-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom supply chain risk management policy is to be disseminated to is/are defined;" - } - ] - }, - { - "id": "sr-01_odp.02", - "props": [ - { - "name": "label", - "value": "SR-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom supply chain risk management procedures are disseminated to is/are defined;" - } - ] - }, - { - "id": "sr-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_2" - }, - { - "name": "label", - "value": "SR-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sr-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_3" - }, - { - "name": "label", - "value": "SR-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined;" - } - ] - }, - { - "id": "sr-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_4" - }, - { - "name": "label", - "value": "SR-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current supply chain risk management policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sr-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_5" - }, - { - "name": "label", - "value": "SR-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require the current supply chain risk management policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sr-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_6" - }, - { - "name": "label", - "value": "SR-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current supply chain risk management procedure is reviewed and updated is defined;" - } - ] - }, - { - "id": "sr-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_7" - }, - { - "name": "label", - "value": "SR-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require the supply chain risk management procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-01" - }, - { - "name": "sort-id", - "value": "sr-01" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-1_smt", - "name": "statement", - "parts": [ - { - "id": "sr-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}:", - "parts": [ - { - "id": "sr-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sr-01_odp.03 }} supply chain risk management policy that:", - "parts": [ - { - "id": "sr-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sr-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sr-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;" - } - ] - }, - { - "id": "sr-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sr-01_odp.04 }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and" - }, - { - "id": "sr-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current supply chain risk management:", - "parts": [ - { - "id": "sr-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sr-01_odp.05 }} and following {{ insert: param, sr-01_odp.06 }} ; and" - }, - { - "id": "sr-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sr-01_odp.07 }} and following {{ insert: param, sr-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "sr-1_gdn", - "name": "guidance", - "prose": "Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a supply chain risk management policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management policy is disseminated to {{ insert: param, sr-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management procedures are disseminated to {{ insert: param, sr-01_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses compliance." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management policy is reviewed and updated {{ insert: param, sr-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management policy is reviewed and updated following {{ insert: param, sr-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management procedures are reviewed and updated {{ insert: param, sr-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management procedures are reviewed and updated following {{ insert: param, sr-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sr-2", - "class": "SP800-53", - "title": "Supply Chain Risk Management Plan", - "params": [ - { - "id": "sr-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2_prm_1" - }, - { - "name": "label", - "value": "SR-02_ODP[01]" - } - ], - "label": "systems, system components, or system services", - "guidelines": [ - { - "prose": "systems, system components, or system services for which a supply chain risk management plan is developed are defined;" - } - ] - }, - { - "id": "sr-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2_prm_2" - }, - { - "name": "label", - "value": "SR-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the supply chain risk management plan is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-02" - }, - { - "name": "sort-id", - "value": "sr-02" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-2_smt", - "name": "statement", - "parts": [ - { - "id": "sr-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: {{ insert: param, sr-02_odp.01 }};" - }, - { - "id": "sr-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the supply chain risk management plan {{ insert: param, sr-02_odp.02 }} or as required, to address threat, organizational or environmental changes; and" - }, - { - "id": "sr-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect the supply chain risk management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "sr-2_gdn", - "name": "guidance", - "prose": "The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions.\n\nBecause supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see [SA-8](#sa-8))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a plan for managing supply chain risks is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the research and development of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the design of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the manufacturing of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the acquisition of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the delivery of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the integration of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the operation of {{ insert: param, sr-02_odp.01 }};\n\nthe supply chain risk management plan addresses risks associated with the maintenance of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[09]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the disposal of {{ insert: param, sr-02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02b.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is reviewed and updated {{ insert: param, sr-02_odp.02 }} or as required to address threat, organizational, or environmental changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nprocedures for protecting the supply chain risk management plan from unauthorized disclosure and modification\n\nsystem development life cycle procedures\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of supply chain threats\n\nlist of safeguards to be taken against supply chain threats\n\nsystem life cycle documentation\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle (SDLC)\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational processes for integrating supply chain risk management into the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ], - "controls": [ - { - "id": "sr-2.1", - "class": "SP800-53-enhancement", - "title": "Establish Scrm Team", - "params": [ - { - "id": "sr-02.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2.1_prm_1" - }, - { - "name": "label", - "value": "SR-02(01)_ODP[01]" - } - ], - "label": "personnel, roles and responsibilities", - "guidelines": [ - { - "prose": "the personnel, roles, and responsibilities of the supply chain risk management team are defined;" - } - ] - }, - { - "id": "sr-02.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2.1_prm_2" - }, - { - "name": "label", - "value": "SR-02(01)_ODP[02]" - } - ], - "label": "supply chain risk management activities", - "guidelines": [ - { - "prose": "supply chain risk management activities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-02(01)" - }, - { - "name": "sort-id", - "value": "sr-02.01" - } - ], - "links": [ - { - "href": "#sr-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-2.1_smt", - "name": "statement", - "prose": "Establish a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} to lead and support the following SCRM activities: {{ insert: param, sr-02.01_odp.02 }}." - }, - { - "id": "sr-2.1_gdn", - "name": "guidance", - "prose": "To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02(01)", - "class": "sp800-53A" - } - ], - "prose": "a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} is established to lead and support {{ insert: param, sr-02.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management team charter documentation\n\nsupply chain risk management strategy\n\nsupply chain risk management implementation plan\n\nprocedures addressing supply chain protection\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with enterprise risk management responsibilities\n\nlegal counsel\n\norganizational personnel with business continuity responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "sr-3", - "class": "SP800-53", - "title": "Supply Chain Controls and Processes", - "params": [ - { - "id": "sr-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_1" - }, - { - "name": "label", - "value": "SR-03_ODP[01]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined;" - } - ] - }, - { - "id": "sr-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_2" - }, - { - "name": "label", - "value": "SR-03_ODP[02]" - } - ], - "label": "supply chain personnel", - "guidelines": [ - { - "prose": "supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined;" - } - ] - }, - { - "id": "sr-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_3" - }, - { - "name": "label", - "value": "SR-03_ODP[03]" - } - ], - "label": "supply chain controls", - "guidelines": [ - { - "prose": "supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined;" - } - ] - }, - { - "id": "sr-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_4" - }, - { - "name": "label", - "value": "SR-03_ODP[04]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security and privacy plans", - "supply chain risk management plan", - " {{ insert: param, sr-03_odp.05 }} " - ] - } - }, - { - "id": "sr-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_5" - }, - { - "name": "label", - "value": "SR-03_ODP[05]" - } - ], - "label": "document", - "guidelines": [ - { - "prose": "the document identifying the selected and implemented supply chain processes and controls is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03" - }, - { - "name": "sort-id", - "value": "sr-03" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3_smt", - "name": "statement", - "parts": [ - { - "id": "sr-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} in coordination with {{ insert: param, sr-03_odp.02 }};" - }, - { - "id": "sr-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, sr-03_odp.03 }} ; and" - }, - { - "id": "sr-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document the selected and implemented supply chain processes and controls in {{ insert: param, sr-03_odp.04 }}." - } - ] - }, - { - "id": "sr-3_gdn", - "name": "guidance", - "prose": "Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} is/are coordinated with {{ insert: param, sr-03_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-03_odp.03 }} are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03c.", - "class": "sp800-53A" - } - ], - "prose": "the selected and implemented supply chain processes and controls are documented in {{ insert: param, sr-03_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\nsystems and critical system components inventory documentation\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation (including purchase orders)\n\nservice level agreements\n\nacquisition contracts for systems or services\n\nrisk register documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying and addressing supply chain element and process deficiencies" - } - ] - } - ], - "controls": [ - { - "id": "sr-3.1", - "class": "SP800-53-enhancement", - "title": "Diverse Supply Base", - "params": [ - { - "id": "sr-3.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-03.01_odp.01" - } - ], - "label": "organization-defined system components and services" - }, - { - "id": "sr-03.01_odp.01", - "props": [ - { - "name": "label", - "value": "SR-03(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components with a diverse set of sources are defined;" - } - ] - }, - { - "id": "sr-03.01_odp.02", - "props": [ - { - "name": "label", - "value": "SR-03(01)_ODP[02]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services with a diverse set of sources are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03(01)" - }, - { - "name": "sort-id", - "value": "sr-03.01" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-3.1_smt", - "name": "statement", - "prose": "Employ a diverse set of sources for the following system components and services: {{ insert: param, sr-3.1_prm_1 }}." - }, - { - "id": "sr-3.1_gdn", - "name": "guidance", - "prose": "Diversifying the supply of systems, system components, and services can reduce the probability that adversaries will successfully identify and target the supply chain and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable. Employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diverse materials and components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsystem and services acquisition policy\n\nplanning policy\n\nprocedures addressing supply chain protection\n\nphysical inventory of critical systems and system components\n\ninventory of critical suppliers, service providers, developers, and contracts\n\ninventory records of critical system components\n\nlist of security safeguards ensuring an adequate supply of critical system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical system components\n\nprocesses to identify critical suppliers\n\nautomated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical system components" - } - ] - } - ] - }, - { - "id": "sr-3.2", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "params": [ - { - "id": "sr-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3.2_prm_1" - }, - { - "name": "label", - "value": "SR-03(02)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to limit harm from potential supply chain adversaries are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03(02)" - }, - { - "name": "sort-id", - "value": "sr-03.02" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-3.2_smt", - "name": "statement", - "prose": "Employ the following controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: {{ insert: param, sr-03.02_odp }}." - }, - { - "id": "sr-3.2_gdn", - "name": "guidance", - "prose": "Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations, employing approved vendor lists with standing reputations in industry, following pre-agreed maintenance schedules and update and patch delivery mechanisms, maintaining a contingency plan in case of a supply chain event, using procurement carve-outs that provide exclusions to commitments or obligations, using diverse delivery routes, and minimizing the time between purchase decisions and delivery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-03.02_odp }} are employed to limit harm from potential adversaries identifying and targeting the organizational supply chain." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nconfiguration management policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and associated configuration documentation\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nthreat assessments\n\nvulnerability assessments\n\nlist of security safeguards to be taken to protect the organizational supply chain against potential supply chain threats\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain\n\nautomated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain" - } - ] - } - ] - }, - { - "id": "sr-3.3", - "class": "SP800-53-enhancement", - "title": "Sub-tier Flow Down", - "props": [ - { - "name": "label", - "value": "SR-03(03)" - }, - { - "name": "sort-id", - "value": "sr-03.03" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3.3_smt", - "name": "statement", - "prose": "Ensure that the controls included in the contracts of prime contractors are also included in the contracts of subcontractors." - }, - { - "id": "sr-3.3_gdn", - "name": "guidance", - "prose": "To manage supply chain risk effectively and holistically, it is important that organizations ensure that supply chain risk management controls are included at all tiers in the supply chain. This includes ensuring that Tier 1 (prime) contractors have implemented processes to facilitate the \"flow down\" of supply chain risk management controls to sub-tier contractors. The controls subject to flow down are identified in [SR-3b](#sr-3_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the controls included in the contracts of prime contractors are also included in the contracts of subcontractors." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities" - } - ] - } - ] - } - ] - }, - { - "id": "sr-4", - "class": "SP800-53", - "title": "Provenance", - "params": [ - { - "id": "sr-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4_prm_1" - }, - { - "name": "label", - "value": "SR-04_ODP" - } - ], - "label": "systems, system components, and associated data", - "guidelines": [ - { - "prose": "systems, system components, and associated data that require valid provenance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04" - }, - { - "name": "sort-id", - "value": "sr-04" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4_smt", - "name": "statement", - "prose": "Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: {{ insert: param, sr-04_odp }}." - }, - { - "id": "sr-4_gdn", - "name": "guidance", - "prose": "Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see [SR-1](#sr-1) ) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations have methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. These actions help track, assess, and document any changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records. Provenance considerations are addressed throughout the system development life cycle and incorporated into contracts and other arrangements, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[01]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is documented for {{ insert: param, sr-04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[02]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is monitored for {{ insert: param, sr-04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[03]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is maintained for {{ insert: param, sr-04_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\ndocumentation of critical systems, critical system components, and associated data\n\ndocumentation showing the history of ownership, custody, and location of and changes to critical systems or critical system components\n\nsystem architecture\n\ninter-organizational agreements and procedures\n\ncontracts\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying the provenance of critical systems and critical system components\n\nautomated mechanisms used to document, monitor, or maintain provenance" - } - ] - } - ], - "controls": [ - { - "id": "sr-4.1", - "class": "SP800-53-enhancement", - "title": "Identity", - "params": [ - { - "id": "sr-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.1_prm_1" - }, - { - "name": "label", - "value": "SR-04(01)_ODP" - } - ], - "label": "supply chain elements, processes, and personnel", - "guidelines": [ - { - "prose": "supply chain elements, processes, and personnel associated with systems and critical system components that require unique identification are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(01)" - }, - { - "name": "sort-id", - "value": "sr-04.01" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.1_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: {{ insert: param, sr-04.01_odp }}." - }, - { - "id": "sr-4.1_gdn", - "name": "guidance", - "prose": "Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk and reduce their susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "unique identification of {{ insert: param, sr-04.01_odp }} is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "unique identification of {{ insert: param, sr-04.01_odp }} is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities\n\norganizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors" - } - ] - } - ] - }, - { - "id": "sr-4.2", - "class": "SP800-53-enhancement", - "title": "Track and Trace", - "params": [ - { - "id": "sr-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.2_prm_1" - }, - { - "name": "label", - "value": "SR-04(02)_ODP" - } - ], - "label": "systems and critical system components", - "guidelines": [ - { - "prose": "systems and critical system components that require unique identification for tracking through the supply chain are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(02)" - }, - { - "name": "sort-id", - "value": "sr-04.02" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.2_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: {{ insert: param, sr-04.02_odp }}." - }, - { - "id": "sr-4.2_gdn", - "name": "guidance", - "prose": "Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of {{ insert: param, sr-04.02_odp }} is established for tracking through the supply chain;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of {{ insert: param, sr-04.02_odp }} is maintained for tracking through the supply chain." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsupply chain risk management plan\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities\n\norganizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors" - } - ] - } - ] - }, - { - "id": "sr-4.3", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "params": [ - { - "id": "sr-4.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-04.03_odp.01" - } - ], - "label": "organization-defined controls" - }, - { - "id": "sr-04.03_odp.01", - "props": [ - { - "name": "label", - "value": "SR-04(03)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to validate that the system or system component received is genuine are defined;" - } - ] - }, - { - "id": "sr-04.03_odp.02", - "props": [ - { - "name": "label", - "value": "SR-04(03)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to validate that the system or system component received has not been altered are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(03)" - }, - { - "name": "sort-id", - "value": "sr-04.03" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.3_smt", - "name": "statement", - "prose": "Employ the following controls to validate that the system or system component received is genuine and has not been altered: {{ insert: param, sr-4.3_prm_1 }}." - }, - { - "id": "sr-4.3_gdn", - "name": "guidance", - "prose": "For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging, physically unclonable functions, side-channel analysis, cryptographic hash verifications or digital signatures, and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, such as inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.03_odp.01 }} are employed to validate that the system or system component received is genuine;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.03_odp.02 }} are employed to validate that the system or system component received has not been altered." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nevidentiary documentation (including applicable configurations) indicating that the system or system component is genuine and has not been altered\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing validation safeguards\n\nautomated mechanisms supporting and/or implementing the definition and employment of validation safeguards\n\nautomated mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sr-4.4", - "class": "SP800-53-enhancement", - "title": "Supply Chain Integrity \u2014 Pedigree", - "params": [ - { - "id": "sr-04.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.4_prm_1" - }, - { - "name": "label", - "value": "SR-04(04)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls employed to ensure that the integrity of the system and system component are defined;" - } - ] - }, - { - "id": "sr-04.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.4_prm_2" - }, - { - "name": "label", - "value": "SR-04(04)_ODP[02]" - } - ], - "label": "analysis method", - "guidelines": [ - { - "prose": "an analysis method to be conducted to validate the internal composition and provenance of critical or mission-essential technologies, products, and services to ensure the integrity of the system and system component is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(04)" - }, - { - "name": "sort-id", - "value": "sr-04.04" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.4_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-04.04_odp.01 }} and conduct {{ insert: param, sr-04.04_odp.02 }} to ensure the integrity of the system and system components by validating the internal composition and provenance of critical or mission-essential technologies, products, and services." - }, - { - "id": "sr-4.4_gdn", - "name": "guidance", - "prose": "Authoritative information regarding the internal composition of system components and the provenance of technology, products, and services provides a strong basis for trust. The validation of the internal composition and provenance of technologies, products, and services is referred to as the pedigree. For microelectronics, this includes material composition of components. For software this includes the composition of open-source and proprietary code, including the version of the component at a given point in time. Pedigrees increase the assurance that the claims suppliers assert about the internal composition and provenance of the products, services, and technologies they provide are valid. The validation of the internal composition and provenance can be achieved by various evidentiary artifacts or records that manufacturers and suppliers produce during the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of technology, products, and services. Evidentiary artifacts include, but are not limited to, software identification (SWID) tags, software component inventory, the manufacturers\u2019 declarations of platform attributes (e.g., serial numbers, hardware component inventory), and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.04_odp.01 }} are employed to ensure the integrity of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.04_odp.02 }} is conducted to ensure the integrity of the system and system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nbill of materials for critical systems or system components\n\nacquisition documentation\n\nsoftware identification tags\n\nmanufacturer declarations of platform attributes (e.g., serial numbers, hardware component inventory) and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying pedigree information\n\norganizational processes to determine and validate the integrity of the internal composition of critical systems and critical system components\n\nautomated mechanisms to determine and validate the integrity of the internal composition of critical systems and critical system components" - } - ] - } - ] - } - ] - }, - { - "id": "sr-5", - "class": "SP800-53", - "title": "Acquisition Strategies, Tools, and Methods", - "params": [ - { - "id": "sr-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5_prm_1" - }, - { - "name": "label", - "value": "SR-05_ODP" - } - ], - "label": "strategies, tools, and methods", - "guidelines": [ - { - "prose": "acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-05" - }, - { - "name": "sort-id", - "value": "sr-05" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5_smt", - "name": "statement", - "prose": "Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, sr-05_odp }}." - }, - { - "id": "sr-5_gdn", - "name": "guidance", - "prose": "The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-05_odp }} are employed to protect against supply chain risks;\n\n{{ insert: param, sr-05_odp }} are employed to identify supply chain risks;\n\n{{ insert: param, sr-05_odp }} are employed to mitigate supply chain risks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation (including purchase orders)\n\nservice level agreements\n\nacquisition contracts for systems, system components, or services\n\ndocumentation of training, education, and awareness programs for personnel regarding supply chain risk\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\n\nautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods" - } - ] - } - ], - "controls": [ - { - "id": "sr-5.1", - "class": "SP800-53-enhancement", - "title": "Adequate Supply", - "params": [ - { - "id": "sr-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5.1_prm_2" - }, - { - "name": "label", - "value": "SR-05(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to ensure an adequate supply of critical system components are defined;" - } - ] - }, - { - "id": "sr-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5.1_prm_1" - }, - { - "name": "label", - "value": "SR-05(01)_ODP[02]" - } - ], - "label": "critical system components", - "guidelines": [ - { - "prose": "critical system components of which an adequate supply is required are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-05(01)" - }, - { - "name": "sort-id", - "value": "sr-05.01" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "required" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.1_smt", - "name": "statement", - "prose": "Employ the following controls to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}: {{ insert: param, sr-05.01_odp.01 }}." - }, - { - "id": "sr-5.1_gdn", - "name": "guidance", - "prose": "Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components, stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally identical or similar components that may be used, if necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-05.01_odp.01 }} are employed to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\ncontingency planning documents\n\ninventory of critical systems and system components\n\ndetermination of adequate supply\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nprocedures addressing the integration of acquisition strategies, contract tools, and procurement methods into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for systems or services\n\npurchase orders/requisitions for the system, system component, or system service from suppliers\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\n\nautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods" - } - ] - } - ] - }, - { - "id": "sr-5.2", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection, Acceptance, Modification, or Update", - "props": [ - { - "name": "label", - "value": "SR-05(02)" - }, - { - "name": "sort-id", - "value": "sr-05.02" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.2_smt", - "name": "statement", - "prose": "Assess the system, system component, or system service prior to selection, acceptance, modification, or update." - }, - { - "id": "sr-5.2_gdn", - "name": "guidance", - "prose": "Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see [SR-6(1)](#sr-6.1) ). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to selection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to acceptance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to modification;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to update." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsecurity test and evaluation results\n\nvulnerability assessment results\n\npenetration testing results\n\norganizational risk assessment results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting assessments prior to selection, acceptance, or update\n\nautomated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update" - } - ] - } - ] - } - ] - }, - { - "id": "sr-6", - "class": "SP800-53", - "title": "Supplier Assessments and Reviews", - "params": [ - { - "id": "sr-06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6_prm_1" - }, - { - "name": "label", - "value": "SR-06_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-06" - }, - { - "name": "sort-id", - "value": "sr-06" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6_smt", - "name": "statement", - "prose": "Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-06_odp }}." - }, - { - "id": "sr-6_gdn", - "name": "guidance", - "prose": "An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-06", - "class": "sp800-53A" - } - ], - "prose": "the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed {{ insert: param, sr-06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nrecords of supplier due diligence reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting supplier reviews\n\nautomated mechanisms supporting and/or implementing supplier reviews" - } - ] - } - ], - "controls": [ - { - "id": "sr-6.1", - "class": "SP800-53-enhancement", - "title": "Testing and Analysis", - "params": [ - { - "id": "sr-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6.1_prm_1" - }, - { - "name": "label", - "value": "SR-06(01)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organizational analysis", - "independent third-party analysis", - "organizational testing", - "independent third-party testing" - ] - } - }, - { - "id": "sr-06.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6.1_prm_2" - }, - { - "name": "label", - "value": "SR-06(01)_ODP[02]" - } - ], - "label": "supply chain elements, processes, and actors", - "guidelines": [ - { - "prose": "supply chain elements, processes, and actors to be analyzed and tested are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-06(01)" - }, - { - "name": "sort-id", - "value": "sr-06.01" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-06.01_odp.01 }} of the following supply chain elements, processes, and actors associated with the system, system component, or system service: {{ insert: param, sr-06.01_odp.02 }}." - }, - { - "id": "sr-6.1_gdn", - "name": "guidance", - "prose": "Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools that are used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems, system components, or system services. Supply chain processes include supply chain risk management programs; SCRM strategies and implementation plans; personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-06(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-06.01_odp.01 }} is/are employed on {{ insert: param, sr-06.01_odp.02 }} associated with the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nevidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) subject to analysis and/or testing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors" - } - ] - } - ] - } - ] - }, - { - "id": "sr-7", - "class": "SP800-53", - "title": "Supply Chain Operations Security", - "params": [ - { - "id": "sr-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-7_prm_1" - }, - { - "name": "label", - "value": "SR-07_ODP" - } - ], - "label": "OPSEC controls", - "guidelines": [ - { - "prose": "Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-07" - }, - { - "name": "sort-id", - "value": "sr-07" - } - ], - "links": [ - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-7_smt", - "name": "statement", - "prose": "Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: {{ insert: param, sr-07_odp }}." - }, - { - "id": "sr-7_gdn", - "name": "guidance", - "prose": "Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information, analyzing friendly actions related to operations and other activities to identify actions that can be observed by potential adversaries, determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations, implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and risk to an acceptable level, and considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use or users of systems, system components, or system services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-07", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-07_odp }} are employed to protect supply chain-related information for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsupply chain risk management procedures\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nlist of OPSEC controls to be employed\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nrecords of all-source intelligence analyses\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with OPSEC responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing OPSEC safeguards\n\nautomated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards" - } - ] - } - ] - }, - { - "id": "sr-8", - "class": "SP800-53", - "title": "Notification Agreements", - "params": [ - { - "id": "sr-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-8_prm_1" - }, - { - "name": "label", - "value": "SR-08_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "notification of supply chain compromises", - " {{ insert: param, sr-08_odp.02 }} " - ] - } - }, - { - "id": "sr-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-8_prm_2" - }, - { - "name": "label", - "value": "SR-08_ODP[02]" - } - ], - "label": "results of assessments or audits", - "guidelines": [ - { - "prose": "information for which agreements and procedures are to be established are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-08" - }, - { - "name": "sort-id", - "value": "sr-08" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-8_smt", - "name": "statement", - "prose": "Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, sr-08_odp.01 }}." - }, - { - "id": "sr-8_gdn", - "name": "guidance", - "prose": "The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-08", - "class": "sp800-53A" - } - ], - "prose": "agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for {{ insert: param, sr-08_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities" - } - ] - } - ] - }, - { - "id": "sr-9", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SR-09" - }, - { - "name": "sort-id", - "value": "sr-09" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9_smt", - "name": "statement", - "prose": "Implement a tamper protection program for the system, system component, or system service." - }, - { - "id": "sr-9_gdn", - "name": "guidance", - "prose": "Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09", - "class": "sp800-53A" - } - ], - "prose": "a tamper protection program is implemented for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing tamper resistance and detection\n\ntamper protection program documentation\n\ntamper protection tools and techniques documentation\n\ntamper resistance and detection tools and techniques documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with tamper protection program responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the implementation of the tamper protection program\n\nautomated mechanisms supporting and/or implementing the tamper protection program" - } - ] - } - ], - "controls": [ - { - "id": "sr-9.1", - "class": "SP800-53-enhancement", - "title": "Multiple Stages of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SR-09(01)" - }, - { - "name": "sort-id", - "value": "sr-09.01" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "required" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9.1_smt", - "name": "statement", - "prose": "Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle." - }, - { - "id": "sr-9.1_gdn", - "name": "guidance", - "prose": "The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper technologies are employed throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper tools are employed throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper techniques are employed throughout the system development life cycle." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing tamper resistance and detection\n\ntamper protection program documentation\n\ntamper protection tools and techniques documentation\n\ntamper resistance and detection tools (technologies) and techniques documentation\n\nsystem development life cycle documentation\n\nprocedures addressing supply chain protection\n\nsystem development life cycle procedures\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with SDLC responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing anti-tamper technologies\n\nautomated mechanisms supporting and/or implementing anti-tamper technologies" - } - ] - } - ] - } - ] - }, - { - "id": "sr-10", - "class": "SP800-53", - "title": "Inspection of Systems or Components", - "params": [ - { - "id": "sr-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_4" - }, - { - "name": "label", - "value": "SR-10_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that require inspection are defined;" - } - ] - }, - { - "id": "sr-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_1" - }, - { - "name": "label", - "value": "SR-10_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at random", - "at{{ insert: param, sr-10_odp.03 }} ", - "upon{{ insert: param, sr-10_odp.04 }} " - ] - } - }, - { - "id": "sr-10_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_2" - }, - { - "name": "label", - "value": "SR-10_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to inspect systems or system components is defined (if selected);" - } - ] - }, - { - "id": "sr-10_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_3" - }, - { - "name": "label", - "value": "SR-10_ODP[04]" - } - ], - "label": "indications of need for inspection", - "guidelines": [ - { - "prose": "indications of the need for an inspection of systems or system components are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-10" - }, - { - "name": "sort-id", - "value": "sr-10" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-10_smt", - "name": "statement", - "prose": "Inspect the following systems or system components {{ insert: param, sr-10_odp.02 }} to detect tampering: {{ insert: param, sr-10_odp.01 }}." - }, - { - "id": "sr-10_gdn", - "name": "guidance", - "prose": "The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-10", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param, sr-10_odp.02 }} to detect tampering." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nrecords of random inspections\n\ninspection reports/results\n\nassessment reports/results\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities\n\norganizational processes to inspect for tampering" - } - ] - } - ] - }, - { - "id": "sr-11", - "class": "SP800-53", - "title": "Component Authenticity", - "params": [ - { - "id": "sr-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_1" - }, - { - "name": "label", - "value": "SR-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "source of counterfeit component", - " {{ insert: param, sr-11_odp.02 }} ", - " {{ insert: param, sr-11_odp.03 }} " - ] - } - }, - { - "id": "sr-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_2" - }, - { - "name": "label", - "value": "SR-11_ODP[02]" - } - ], - "label": "external reporting organizations", - "guidelines": [ - { - "prose": "external reporting organizations to whom counterfeit system components are to be reported is/are defined (if selected);" - } - ] - }, - { - "id": "sr-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_3" - }, - { - "name": "label", - "value": "SR-11_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom counterfeit system components are to be reported is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11" - }, - { - "name": "sort-id", - "value": "sr-11" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11_smt", - "name": "statement", - "parts": [ - { - "id": "sr-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and" - }, - { - "id": "sr-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report counterfeit system components to {{ insert: param, sr-11_odp.01 }}." - } - ] - }, - { - "id": "sr-11_gdn", - "name": "guidance", - "prose": "Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an anti-counterfeit policy is developed and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "anti-counterfeit procedures are developed and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the anti-counterfeit procedures include the means to detect counterfeit components entering the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the anti-counterfeit procedures include the means to prevent counterfeit components from entering the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11b.", - "class": "sp800-53A" - } - ], - "prose": "counterfeit system components are reported to {{ insert: param, sr-11_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nanti-counterfeit plan\n\nanti-counterfeit policy and procedures\n\nmedia disposal policy\n\nmedia protection policy\n\nincident response policy\n\nreports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nrecords of reported counterfeit system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for counterfeit prevention, detection, and reporting\n\nautomated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting" - } - ] - } - ], - "controls": [ - { - "id": "sr-11.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "params": [ - { - "id": "sr-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.1_prm_1" - }, - { - "name": "label", - "value": "SR-11(01)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles requiring training to detect counterfeit system components (including hardware, software, and firmware) is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(01)" - }, - { - "name": "sort-id", - "value": "sr-11.01" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.1_smt", - "name": "statement", - "prose": "Train {{ insert: param, sr-11.01_odp }} to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "id": "sr-11.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-11.01_odp }} are trained to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nanti-counterfeit plan\n\nanti-counterfeit policy and procedures\n\nmedia disposal policy\n\nmedia protection policy\n\nincident response policy\n\ntraining materials addressing counterfeit system components\n\ntraining records on the detection and prevention of counterfeit components entering the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies, procedures, and training" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for anti-counterfeit training" - } - ] - } - ] - }, - { - "id": "sr-11.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "params": [ - { - "id": "sr-11.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.2_prm_1" - }, - { - "name": "label", - "value": "SR-11(02)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring configuration control are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(02)" - }, - { - "name": "sort-id", - "value": "sr-11.02" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.2_smt", - "name": "statement", - "prose": "Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, sr-11.02_odp }}." - }, - { - "id": "sr-11.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration control over {{ insert: param, sr-11.02_odp }} awaiting service or repair is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration control over serviced or repaired {{ insert: param, sr-11.02_odp }} awaiting return to service is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nconfiguration control procedures\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system component\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities\n\norganizational configuration control processes" - } - ] - } - ] - }, - { - "id": "sr-11.3", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "params": [ - { - "id": "sr-11.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.3_prm_1" - }, - { - "name": "label", - "value": "SR-11(03)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to scan for counterfeit system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(03)" - }, - { - "name": "sort-id", - "value": "sr-11.03" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.3_smt", - "name": "statement", - "prose": "Scan for counterfeit system components {{ insert: param, sr-11.03_odp }}." - }, - { - "id": "sr-11.3_gdn", - "name": "guidance", - "prose": "The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(03)", - "class": "sp800-53A" - } - ], - "prose": "scanning for counterfeit system components is conducted {{ insert: param, sr-11.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nanti-counterfeit policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nscanning tools and associated documentation\n\nscanning results\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies and procedures\n\norganizational personnel with responsibility for anti-counterfeit scanning" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scanning for counterfeit system components\n\nautomated mechanisms supporting and/or implementing anti-counterfeit scanning" - } - ] - } - ] - } - ] - }, - { - "id": "sr-12", - "class": "SP800-53", - "title": "Component Disposal", - "params": [ - { - "id": "sr-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-12_prm_1" - }, - { - "name": "label", - "value": "SR-12_ODP[01]" - } - ], - "label": "data, documentation, tools, or system components", - "guidelines": [ - { - "prose": "data, documentation, tools, or system components to be disposed of are defined;" - } - ] - }, - { - "id": "sr-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-12_prm_2" - }, - { - "name": "label", - "value": "SR-12_ODP[02]" - } - ], - "label": "techniques and methods", - "guidelines": [ - { - "prose": "techniques and methods for disposing of data, documentation, tools, or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-12" - }, - { - "name": "sort-id", - "value": "sr-12" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-12_smt", - "name": "statement", - "prose": "Dispose of {{ insert: param, sr-12_odp.01 }} using the following techniques and methods: {{ insert: param, sr-12_odp.02 }}." - }, - { - "id": "sr-12_gdn", - "name": "guidance", - "prose": "Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-12", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-12_odp.01 }} are disposed of using {{ insert: param, sr-12_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\ndisposal procedures addressing supply chain protection\n\nmedia disposal policy\n\nmedia protection policy\n\ndisposal records for system components\n\ndocumentation of the system components identified for disposal\n\ndocumentation of the disposal techniques and methods employed for system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system component disposal responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational techniques and methods for system component disposal\n\nautomated mechanisms supporting and/or implementing system component disposal" - } - ] - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "91f992fb-f668-4c91-a50f-0f05b95ccee3", - "title": "32 CFR 2002", - "citation": { - "text": "Code of Federal Regulations, Title 32, *Controlled Unclassified Information* (32 C.F.R. 2002)." - }, - "rlinks": [ - { - "href": "https://www.federalregister.gov/documents/2016/09/14/2016-21665/controlled-unclassified-information" - } - ] - }, - { - "uuid": "0f963c17-ab5a-432a-a867-91eac550309b", - "title": "41 CFR 201", - "citation": { - "text": " \"Federal Acquisition Supply Chain Security Act; Rule,\" 85 Federal Register 54263 (September 1, 2020), pp 54263-54271." - }, - "rlinks": [ - { - "href": "https://www.federalregister.gov/d/2020-18939" - } - ] - }, - { - "uuid": "a5ef5e56-5c1a-4911-b419-37dddc1b3581", - "title": "5 CFR 731", - "citation": { - "text": "Code of Federal Regulations, Title 5, *Administrative Personnel* , Section 731.106, *Designation of Public Trust Positions and Investigative Requirements* (5 C.F.R. 731.106)." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/CFR-2012-title5-vol2/pdf/CFR-2012-title5-vol2-sec731-106.pdf" - } - ] - }, - { - "uuid": "d3b71d4d-27c1-40f7-ad7f-1c1fe6d8bde8", - "title": "ATOM54", - "citation": { - "text": "Atomic Energy Act (P.L. 83-703), August 1954." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/STATUTE-68/pdf/STATUTE-68-Pg919.pdf" - } - ] - }, - { - "uuid": "94c64e1a-456c-457f-86da-83ac0dfc85ac", - "title": "CMPPA", - "citation": { - "text": "Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), October 1988." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/STATUTE-102/pdf/STATUTE-102-Pg2507.pdf" - } - ] - }, - { - "uuid": "031cc4b7-9adf-4835-98f1-f1ca493519cf", - "title": "CNSSD 505", - "citation": { - "text": "Committee on National Security Systems Directive No. 505, *Supply Chain Risk Management (SCRM)* , August 2017." - }, - "rlinks": [ - { - "href": "https://www.cnss.gov/CNSS/issuances/Directives.cfm" - } - ] - }, - { - "uuid": "4e4fbc93-333d-45e6-a875-de36b878b6b9", - "title": "CNSSI 1253", - "citation": { - "text": "Committee on National Security Systems Instruction No. 1253, *Security Categorization and Control Selection for National Security Systems* , March 2014." - 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(U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.140-3" - } - ] - }, - { - "uuid": "eea3c092-42ed-4382-a6f4-1adadef01b9d", - "title": "FIPS 180-4", - "citation": { - "text": "National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.180-4" - } - ] - }, - { - "uuid": "7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "title": "FIPS 186-4", - "citation": { - "text": "National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.186-4" - } - ] - }, - { - "uuid": "736d6310-e403-4b57-a79d-9967970c66d7", - "title": "FIPS 197", - "citation": { - "text": "National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.197" - } - ] - }, - { - "uuid": "628d22a1-6a11-4784-bc59-5cd9497b5445", - "title": "FIPS 199", - "citation": { - "text": "National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.199" - } - ] - }, - { - "uuid": "599fb53d-5041-444e-a7fe-640d6d30ad05", - "title": "FIPS 200", - "citation": { - "text": "National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.200" - } - ] - }, - { - "uuid": "7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "title": "FIPS 201-2", - "citation": { - "text": "National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.201-2" - } - ] - }, - { - "uuid": "a295ca19-8c75-4b4c-8800-98024732e181", - "title": "FIPS 202", - "citation": { - "text": "National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.202" - } - ] - }, - { - "uuid": "d68867c0-2f21-4193-bef8-300f3270db56", - "title": "FISMA IMP", - "citation": { - "text": "Federal Information Security Modernization Act (FISMA) Implementation Project." - }, - "rlinks": [ - { - "href": "https://nist.gov/RMF" - } - ] - }, - { - "uuid": "0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "title": "FISMA", - "citation": { - "text": "Federal Information Security Modernization Act (P.L. 113-283), December 2014." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf" - } - ] - }, - { - "uuid": "d9b1262c-9ee6-4c3e-846f-3a15f9d7eaa6", - "title": "FOIA96", - "citation": { - "text": "Freedom of Information Act (FOIA), 5 U.S.C. \u00a7 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf" - } - ] - }, - { - "uuid": "f16e438e-7114-4144-bfe2-2dfcad8cb2d0", - "title": "HSPD 12", - "citation": { - "text": "Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-12" - } - ] - }, - { - "uuid": "488d6934-00b2-4252-bf23-1b3c2d71eb13", - "title": "HSPD 7", - "citation": { - "text": "Homeland Security Presidential Directive 7, *Critical Infrastructure Identification, Prioritization, and Protection* , December 2003." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-7" - } - ] - }, - { - "uuid": "7623635e-1a92-4250-a829-4a5c8a4da2bc", - "title": "IETF 4949", - "citation": { - "text": "Internet Engineering Task Force (IETF), Request for Comments: 4949, *Internet Security Glossary, Version 2* , August 2007." - }, - "rlinks": [ - { - "href": "https://tools.ietf.org/html/rfc4949" - } - ] - }, - { - "uuid": "e4d37285-1e79-4029-8b6a-42df39cace30", - "title": "IETF 5905", - "citation": { - "text": "Internet Engineering Task Force (IETF), Request for Comments: 5905, *Network Time Protocol Version 4: Protocol and Algorithms Specification* , June 2010." - }, - "rlinks": [ - { - "href": "https://tools.ietf.org/pdf/rfc5905.pdf" - } - ] - }, - { - "uuid": "15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "title": "IR 7539", - "citation": { - "text": "Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7539" - } - ] - }, - { - "uuid": "2be7b163-e50a-435c-8906-f1162f2a457a", - "title": "IR 7559", - "citation": { - "text": "Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7559" - } - ] - }, - { - "uuid": "e24b06cc-9129-4998-a76a-65c3d7a576ba", - "title": "IR 7622", - "citation": { - "text": "Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7622" - } - ] - }, - { - "uuid": "4b38e961-1125-4a5b-aa35-1d6c02846dad", - "title": "IR 7676", - "citation": { - "text": "Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7676" - } - ] - }, - { - "uuid": "aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "title": "IR 7788", - "citation": { - "text": "Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7788" - } - ] - }, - { - "uuid": "91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "title": "IR 7817", - "citation": { - "text": "Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7817" - } - ] - }, - { - "uuid": "4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "title": "IR 7849", - "citation": { - "text": "Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7849" - } - ] - }, - { - "uuid": "604774da-9e1d-48eb-9c62-4e959dc80737", - "title": "IR 7870", - "citation": { - "text": "Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7870" - } - ] - }, - { - "uuid": "7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "title": "IR 7874", - "citation": { - "text": "Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7874" - } - ] - }, - { - "uuid": "849b2358-683f-4d97-b111-1cc3d522ded5", - "title": "IR 7956", - "citation": { - "text": "Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7956" - } - ] - }, - { - "uuid": "3915a084-b87b-4f02-83d4-c369e746292f", - "title": "IR 7966", - "citation": { - "text": "Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7966" - } - ] - }, - { - "uuid": "bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "title": "IR 8011-1", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-1" - } - ] - }, - { - "uuid": "70402863-5078-43af-9a6c-e11b0f3ec370", - "title": "IR 8011-2", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 2: Hardware Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-2" - } - ] - }, - { - "uuid": "996241f8-f692-42d5-91f1-ce8b752e39e6", - "title": "IR 8011-3", - "citation": { - "text": "Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for Security Control Assessments: Volume 3: Software Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-3" - } - ] - }, - { - "uuid": "d2ebec9b-f868-4ee1-a2bd-0b2282aed248", - "title": "IR 8011-4", - "citation": { - "text": "Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support for Security Control Assessments: Volume 4: Software Vulnerability Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-4" - } - ] - }, - { - "uuid": "4c501da5-9d79-4cb6-ba80-97260e1ce327", - "title": "IR 8023", - "citation": { - "text": "Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8023" - } - ] - }, - { - "uuid": "81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5", - "title": "IR 8040", - "citation": { - "text": "Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8040" - } - ] - }, - { - "uuid": "98d415ca-7281-4064-9931-0c366637e324", - "title": "IR 8062", - "citation": { - "text": "Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8062" - } - ] - }, - { - "uuid": "a2590922-82f3-4277-83c0-ca5bee06dba4", - "title": "IR 8112", - "citation": { - "text": "Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute Metadata: A Proposed Schema for Evaluating Federated Attributes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8112." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8112" - } - ] - }, - { - "uuid": "d4296805-2dca-4c63-a95f-eeccaa826aec", - "title": "IR 8179", - "citation": { - "text": "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8179" - } - ] - }, - { - "uuid": "38ff38f0-1366-4f50-a4c9-26a39aacee16", - "title": "IR 8272", - "citation": { - "text": "Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis Tool for Interdependent Cyber Supply Chain Risks. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8272." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8272" - } - ] - }, - { - "uuid": "0c559766-0df1-468f-a499-3577bb6dfa46", - "title": "ISO 15026-1", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15026-1:2019, *Systems and software engineering \u2014 Systems and software assurance \u2014 Part 1: Concepts and vocabulary* , March 2019." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/73567.html" - } - ] - }, - { - "uuid": "7d8ec7b7-dba0-4a17-981c-c959dbcc6c68", - "title": "ISO 15288", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, *Systems and software engineering \u2014Systems life cycle processes* , May 2015." - 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[https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf](https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf) " - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf" - } - ] - }, - { - "uuid": "047b041a-b4b0-4537-ab2d-2b36283eeda0", - "title": "OMB M-08-05", - "citation": { - "text": "Office of Management and Budget Memorandum M-08-05, *Implementation of Trusted Internet Connections (TIC)* , November 2007." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-05.pdf" - } - ] - }, - { - "uuid": "206a3284-6a7e-423c-8ea9-25b22542541d", - "title": "OMB M-17-06", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-06, *Policies for Federal Agency Public Websites and Digital Services* , November 2016." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-06.pdf" - } - ] - }, - { - "uuid": "5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "title": "OMB M-17-12", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-12, *Preparing for and Responding to a Breach of Personally Identifiable Information* , January 2017." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/sites/default/files/omb/memoranda/2017/m-17-12_0.pdf" - } - ] - }, - { - "uuid": "81c44706-0227-4258-a920-620a4d259990", - "title": "OMB M-17-25", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-25, *Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure* , May 2017." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/M-17-25.pdf" - } - ] - }, - { - "uuid": "c5e11048-1d38-4af3-b00b-0d88dc26860c", - "title": "OMB M-19-03", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-03, *Strengthening the Cybersecurity of Federal Agencies by Enhancing the High Value Asset Program* , December 2018." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2018/12/M-19-03.pdf" - } - ] - }, - { - "uuid": "227063d4-431e-435f-9e8f-009b6dbc20f4", - "title": "OMB M-19-15", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-15, *Improving Implementation of the Information Quality Act* , April 2019." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2019/04/M-19-15.pdf" - } - ] - }, - { - "uuid": "d886c141-c832-4ad7-ac6d-4b94f4b550d3", - "title": "OMB M-19-23", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-23, *Phase 1 Implementation of the Foundations for Evidence-Based Policymaking Act of 2018: Learning Agendas, Personnel, and Planning Guidance* , July 2019." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2019/07/M-19-23.pdf" - } - ] - }, - { - "uuid": "79453f84-26a4-4995-8257-d32d37aefea3", - "title": "POPEK74", - "citation": { - "text": "G. 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(National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-100" - } - ] - }, - { - "uuid": "10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "title": "SP 800-101", - "citation": { - "text": "Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-101r1" - } - ] - }, - { - "uuid": "22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "title": "SP 800-111", - "citation": { - "text": "Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-111" - } - ] - }, - { - "uuid": "6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "title": "SP 800-113", - "citation": { - "text": "Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-113" - } - ] - }, - { - "uuid": "42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "title": "SP 800-114", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-114r1" - } - ] - }, - { - "uuid": "122177fa-c4ed-485d-8345-3082c0fb9a06", - "title": "SP 800-115", - "citation": { - "text": "Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-115" - } - ] - }, - { - "uuid": "2100332a-16a5-4598-bacf-7261baea9711", - "title": "SP 800-116", - "citation": { - "text": "Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-116r1" - } - ] - }, - { - "uuid": "d17ebd7a-ffab-499d-bfff-e705bbb01fa6", - "title": "SP 800-121", - "citation": { - "text": "Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-121r2" - } - ] - }, - { - "uuid": "0f66be67-85e7-4ca6-bd19-39453e9f4394", - "title": "SP 800-124", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-124r1" - } - ] - }, - { - "uuid": "88660532-2dcf-442e-845c-03340ce48999", - "title": "SP 800-125B", - "citation": { - "text": "Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-125B" - } - ] - }, - { - "uuid": "8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "title": "SP 800-126", - "citation": { - "text": "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-126r3" - } - ] - }, - { - "uuid": "20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "title": "SP 800-128", - "citation": { - "text": "Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128, Includes updates as of October 10, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-128" - } - ] - }, - { - "uuid": "c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "title": "SP 800-12", - "citation": { - "text": "Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-12r1" - } - ] - }, - { - "uuid": "3653e316-8923-430e-8943-b3b2b2562fc6", - "title": "SP 800-130", - "citation": { - "text": "Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-130" - } - ] - }, - { - "uuid": "62ea77ca-e450-4323-b210-e0d75390e785", - "title": "SP 800-137A", - "citation": { - "text": "Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs: Developing an ISCM Program Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137A" - } - ] - }, - { - "uuid": "067223d8-1ec7-45c5-b21b-c848da6de8fb", - "title": "SP 800-137", - "citation": { - "text": "Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137" - } - ] - }, - { - "uuid": "e47ee630-9cbc-4133-880e-e013f83ccd51", - "title": "SP 800-147", - "citation": { - "text": "Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-147" - } - ] - }, - { - "uuid": "9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "title": "SP 800-150", - "citation": { - "text": "Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-150" - } - ] - }, - { - "uuid": "2494df28-9049-4196-b233-540e7440993f", - "title": "SP 800-152", - "citation": { - "text": "Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-152" - } - ] - }, - { - "uuid": "708b94e1-3d5e-4b22-ab43-1c69f3a97e37", - "title": "SP 800-154", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-154/draft" - } - ] - }, - { - "uuid": "d9e036ba-6eec-46a6-9340-b0bf1fea23b4", - "title": "SP 800-156", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-156" - } - ] - }, - { - "uuid": "e3cc0520-a366-4fc9-abc2-5272db7e3564", - "title": "SP 800-160-1", - "citation": { - "text": "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v1" - } - ] - }, - { - "uuid": "61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "title": "SP 800-160-2", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v2" - } - ] - }, - { - "uuid": "e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "title": "SP 800-161", - "citation": { - "text": "Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-161" - } - ] - }, - { - "uuid": "2956e175-f674-43f4-b1b9-e074ad9fc39c", - "title": "SP 800-162", - "citation": { - "text": "Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of August 2, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-162" - } - ] - }, - { - "uuid": "e8552d48-cf41-40aa-8b06-f45f7fb4706c", - "title": "SP 800-166", - "citation": { - "text": "Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-166" - } - ] - }, - { - "uuid": "38f39739-1ebd-43b1-8b8c-00f591d89ebd", - "title": "SP 800-167", - "citation": { - "text": "Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-167" - } - ] - }, - { - "uuid": "7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "title": "SP 800-171", - "citation": { - "text": "Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-171r2" - } - ] - }, - { - "uuid": "f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "title": "SP 800-172", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified Information: A Supplement to NIST Special Publication 800-171 (Final Public Draft). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-172." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-172-draft" - } - ] - }, - { - "uuid": "1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "title": "SP 800-177", - "citation": { - "text": "Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-177r1" - } - ] - }, - { - "uuid": "388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "title": "SP 800-178", - "citation": { - "text": "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-178" - } - ] - }, - { - "uuid": "276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "title": "SP 800-181", - "citation": { - "text": "Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce Framework for Cybersecurity (NICE Framework). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-181r1" - } - ] - }, - { - "uuid": "31ae65ab-3f26-46b7-9d64-f25a4dac5778", - "title": "SP 800-184", - "citation": { - "text": "Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-184" - } - ] - }, - { - "uuid": "c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "title": "SP 800-188", - "citation": { - "text": "Garfinkel S (2016) De-Identifying Government Datasets. (National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-188/draft" - } - ] - }, - { - "uuid": "f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "title": "SP 800-189", - "citation": { - "text": "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-189" - } - ] - }, - { - "uuid": "30eb758a-2707-4bca-90ad-949a74d4eb16", - "title": "SP 800-18", - "citation": { - "text": "Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-18r1" - } - ] - }, - { - "uuid": "53df282b-8b3f-483a-bad1-6a8b8ac00114", - "title": "SP 800-192", - "citation": { - "text": "Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-192" - } - ] - }, - { - "uuid": "f641309f-a3ad-48be-8c67-2b318648b2f5", - "title": "SP 800-28", - "citation": { - "text": "Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-28ver2" - } - ] - }, - { - "uuid": "08b07465-dbdc-48d6-8a0b-37279602ac16", - "title": "SP 800-30", - "citation": { - "text": "Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-30r1" - } - ] - }, - { - "uuid": "8cb338a4-e493-4177-818f-3af18983ddc5", - "title": "SP 800-32", - "citation": { - "text": "Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-32" - } - ] - }, - { - "uuid": "bc39f179-c735-4da2-b7a7-b2b622119755", - "title": "SP 800-34", - "citation": { - "text": "Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-34r1" - } - ] - }, - { - "uuid": "77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "title": "SP 800-35", - "citation": { - "text": "Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-35" - } - ] - }, - { - "uuid": "482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "title": "SP 800-37", - "citation": { - "text": "Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-37r2" - } - ] - }, - { - "uuid": "cec037f3-8aba-4c97-84b4-4082f9e515d2", - "title": "SP 800-39", - "citation": { - "text": "Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-39" - } - ] - }, - { - "uuid": "155f941a-cba9-4afd-9ca6-5d040d697ba9", - "title": "SP 800-40", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-40r3" - } - ] - }, - { - "uuid": "a7f0e897-29a3-45c4-bd88-40dfef0e034a", - "title": "SP 800-41", - "citation": { - "text": "Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-41r1" - } - ] - }, - { - "uuid": "314e33cb-3681-4b50-a2a2-3fae9604accd", - "title": "SP 800-45", - "citation": { - "text": "Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-45ver2" - } - ] - }, - { - "uuid": "83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "title": "SP 800-46", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-46r2" - } - ] - }, - { - "uuid": "c3a76872-e160-4267-99e8-6952de967d04", - "title": "SP 800-47", - "citation": { - "text": "Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-47" - } - ] - }, - { - "uuid": "511f6832-23ca-49a3-8c0f-ce493373cab8", - "title": "SP 800-50", - "citation": { - "text": "Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-50" - } - ] - }, - { - "uuid": "7537638e-2837-407d-844b-40fb3fafdd99", - "title": "SP 800-52", - "citation": { - "text": "McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-52r2" - } - ] - }, - { - "uuid": "4e0d3c99-0f4e-496f-8951-d4f57c122fc2", - "title": "SP 800-53 RES", - "citation": { - "text": "NIST Special Publication 800-53, Revision 5 Resource Center." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final" - } - ] - }, - { - "uuid": "a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "title": "SP 800-53A", - "citation": { - "text": "Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53Ar4" - } - ] - }, - { - "uuid": "46d9e201-840e-440e-987c-2c773333c752", - "title": "SP 800-53B", - "citation": { - "text": "Joint Task Force (2020) Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53B" - } - ] - }, - { - "uuid": "7798067b-4ed0-4adc-a505-79dad4741693", - "title": "SP 800-55", - "citation": { - "text": "Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-55r1" - } - ] - }, - { - "uuid": "20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "title": "SP 800-56A", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Ar3" - } - ] - }, - { - "uuid": "0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "title": "SP 800-56B", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Br2" - } - ] - }, - { - "uuid": "eef62b16-c796-4554-955c-505824135b8a", - "title": "SP 800-56C", - "citation": { - "text": "Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Cr2" - } - ] - }, - { - "uuid": "110e26af-4765-49e1-8740-6750f83fcda1", - "title": "SP 800-57-1", - "citation": { - "text": "Barker EB (2020) Recommendation for Key Management: Part 1 \u2013 General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 5." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt1r5" - } - ] - }, - { - "uuid": "e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "title": "SP 800-57-2", - "citation": { - "text": "Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 \u2013 Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt2r1" - } - ] - }, - { - "uuid": "8306620b-1920-4d73-8b21-12008528595f", - "title": "SP 800-57-3", - "citation": { - "text": "Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt3r1" - } - ] - }, - { - "uuid": "e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "title": "SP 800-60-1", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v1r1" - } - ] - }, - { - "uuid": "9be5d661-421f-41ad-854e-86f98b811891", - "title": "SP 800-60-2", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v2r1" - } - ] - }, - { - "uuid": "49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "title": "SP 800-61", - "citation": { - "text": "Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-61r2" - } - ] - }, - { - "uuid": "737513fa-6758-403f-831d-5ddab5e23cb3", - "title": "SP 800-63-3", - "citation": { - "text": "Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63-3" - } - ] - }, - { - "uuid": "9099ed2c-922a-493d-bcb4-d896192243ff", - "title": "SP 800-63A", - "citation": { - "text": "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63a" - } - ] - }, - { - "uuid": "e59c5a7c-8b1f-49ca-8de0-6ee0882180ce", - "title": "SP 800-63B", - "citation": { - "text": "Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Authentication and Lifecycle Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63B, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63b" - } - ] - }, - { - "uuid": "4895b4cd-34c5-4667-bf8a-27d443c12047", - "title": "SP 800-70", - "citation": { - "text": "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-70r4" - } - ] - }, - { - "uuid": "858705be-3c1f-48aa-a328-0ce398d95ef0", - "title": "SP 800-73-4", - "citation": { - "text": "Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-73-4" - } - ] - }, - { - "uuid": "7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "title": "SP 800-76-2", - "citation": { - "text": "Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-76-2" - } - ] - }, - { - "uuid": "d4d7c760-2907-403b-8b2a-767ca5370ecd", - "title": "SP 800-77", - "citation": { - "text": "Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-77r1" - } - ] - }, - { - "uuid": "828856bd-d7c4-427b-8b51-815517ec382d", - "title": "SP 800-78-4", - "citation": { - "text": "Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-78-4" - } - ] - }, - { - "uuid": "10963761-58fc-4b20-b3d6-b44a54daba03", - "title": "SP 800-79-2", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-79-2" - } - ] - }, - { - "uuid": "fe209006-bfd4-4033-a79a-9fee1adaf372", - "title": "SP 800-81-2", - "citation": { - "text": "Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-81-2" - } - ] - }, - { - "uuid": "6264c85d-19f5-408a-aa44-d737daaf311e", - "title": "SP 800-82", - "citation": { - "text": "Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-82r2" - } - ] - }, - { - "uuid": "3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "title": "SP 800-83", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-83r1" - } - ] - }, - { - "uuid": "53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "title": "SP 800-84", - "citation": { - "text": "Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-84" - } - ] - }, - { - "uuid": "cfdb1858-c473-46b3-89f9-a700308d0be2", - "title": "SP 800-86", - "citation": { - "text": "Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-86" - } - ] - }, - { - "uuid": "a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "title": "SP 800-88", - "citation": { - "text": "Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-88r1" - } - ] - }, - { - "uuid": "5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "title": "SP 800-92", - "citation": { - "text": "Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-92" - } - ] - }, - { - "uuid": "25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "title": "SP 800-94", - "citation": { - "text": "Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-94" - } - ] - }, - { - "uuid": "a6b9907a-2a14-4bb4-a142-d4c73026a8b4", - "title": "SP 800-95", - "citation": { - "text": "Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-95" - } - ] - }, - { - "uuid": "03fb73bc-1b12-4182-bd96-e5719254ea61", - "title": "SP 800-97", - "citation": { - "text": "Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-97" - } - ] - }, - { - "uuid": "13f0c39d-eaf7-417a-baef-69a041878bb5", - "title": "USA PATRIOT", - "citation": { - "text": "USA Patriot Act (P.L. 107-56), October 2001." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf" - } - ] - }, - { - "uuid": "dd1a42a3-20c0-43ba-bbdb-6ea3624f1d38", - "title": "USC 11101", - "citation": { - "text": " \"Definitions,\" Title 40 U.S. Code, Sec. 11101. 2018 ed." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/app/details/USCODE-2018-title40/USCODE-2018-title40-subtitleIII-chap111-sec11101" - } - ] - }, - { - "uuid": "e922fc50-b1f9-469f-92ef-ed7d9803611c", - "title": "USC 2901", - "citation": { - "text": "United States Code, 2008 Edition, Title 44 - *Public Printing and Documents* , Chapters 29, 31, and 33, January 2012." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/USCODE-2011-title44/pdf/USCODE-2011-title44-chap29-sec2901.pdf" - } - ] - }, - { - "uuid": "82460f0b-1060-420e-9181-554e2dc921df", - "title": "USC 3502", - "citation": { - "text": " \"Definitions,\" Title 44 U.S. Code, Sec. 3502. 2011 ed." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/app/details/USCODE-2011-title44/USCODE-2011-title44-chap35-subchapI-sec3502" - } - ] - }, - { - "uuid": "ef3550b5-60a0-4489-8d4e-08223a929c7a", - "title": "USC 552", - "citation": { - "text": "United States Code, 2006 Edition, Supplement 4, Title 5 - *Government Organization and Employees* , January 2011." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/USCODE-2010-title5/pdf/USCODE-2010-title5-partI-chap5-subchapII-sec552a.pdf" - } - ] - }, - { - "uuid": "40b78258-c892-480e-9af8-77ac36648301", - "title": "USCERT IR", - "citation": { - "text": "Department of Homeland Security, *US-CERT Federal Incident Notification Guidelines* , April 2017." - }, - "rlinks": [ - { - "href": "https://us-cert.cisa.gov/incident-notification-guidelines" - } - ] - }, - { - "uuid": "98498928-3ca3-44b3-8b1e-f48685373087", - "title": "USGCB", - "citation": { - "text": "National Institute of Standards and Technology (2020) *United States Government Configuration Baseline* . Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/united-states-government-configuration-baseline" - } - ] - }, - { - "uuid": "c3397cc9-83c6-4459-adb2-836739dc1b94", - "title": "NIST Special Publication 800-53, Revision 5: *Security and Privacy Controls for Information Systems and Organizations* (PDF)", - "rlinks": [ - { - "href": "https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf", - "media-type": "application/pdf" - } - ] - }, - { - "uuid": "f7cf488d-bc64-4a91-a994-810e153ee481", - "title": "NIST Special Publication 800-53, Revision 5: *Security and Privacy Controls for Information Systems and Organizations* (DOI link)", - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53r5", - "media-type": "application/pdf" - } - ] - } - ] - } - } -} \ No newline at end of file diff --git a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.json b/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.json deleted file mode 100644 index 528c384a..00000000 --- a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.json +++ /dev/null @@ -1,197890 +0,0 @@ -{ - "catalog": { - "uuid": "922ba9f7-9220-4b30-9883-955dfa2f65a7", - "metadata": { - "title": "Electronic Version of NIST SP 800-53 Rev 5 Controls and Draft SP 800-53A Rev 5 Assessment Procedures", - "last-modified": "2021-07-29T17:22:02.981-04:00", - "version": "5.1.1-draft", - "oscal-version": "1.0.0", - "props": [ - { - "name": "keywords", - "value": "assessment, assessment plan, assurance, availability, computer security, confidentiality, control, control assessment, cybersecurity, FISMA, information security, information system, integrity, personally identifiable information, OSCAL, Open Security Controls Assessment Language, Privacy Act, privacy controls, privacy functions, privacy requirements, Risk Management Framework, security controls, security functions, security requirements, system, system security" - } - ], - "links": [ - { - "href": "#c3397cc9-83c6-4459-adb2-836739dc1b94", - "rel": "alternate" - }, - { - "href": "#f7cf488d-bc64-4a91-a994-810e153ee481", - "rel": "canonical" - 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"title": "Policy and Procedures", - "params": [ - { - "id": "ac-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-01_odp.01" - }, - { - "name": "aggregates", - "value": "ac-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the access control policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ac-01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the access control procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ac-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_2" - }, - { - "name": "label", - "value": "AC-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ac-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_3" - }, - { - "name": "label", - "value": "AC-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the access control policy and procedures is defined;" - } - ] - }, - { - "id": "ac-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_4" - }, - { - "name": "label", - "value": "AC-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current access control policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ac-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_5" - }, - { - "name": "label", - "value": "AC-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current access control policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ac-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_6" - }, - { - "name": "label", - "value": "AC-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current access control procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ac-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-1_prm_7" - }, - { - "name": "label", - "value": "AC-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-01" - }, - { - "name": "sort-id", - "value": "ac-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-1_smt", - "name": "statement", - "parts": [ - { - "id": "ac-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ac-1_prm_1 }}:", - "parts": [ - { - "id": "ac-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ac-01_odp.03 }} access control policy that:", - "parts": [ - { - "id": "ac-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and the associated access controls;" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ac-01_odp.04 }} to manage the development, documentation, and dissemination of the access control policy and procedures; and" - }, - { - "id": "ac-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current access control:", - "parts": [ - { - "id": "ac-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ac-01_odp.05 }} and following {{ insert: param, ac-01_odp.06 }} ; and" - }, - { - "id": "ac-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ac-01_odp.07 }} and following {{ insert: param, ac-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an access control policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the access control policy is disseminated to {{ insert: param, ac-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "access control procedures to facilitate the implementation of the access control policy and associated controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the access control procedures are disseminated to {{ insert: param, ac-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.03 }} access control policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ac-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the access control policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current access control policy is reviewed and updated {{ insert: param, ac-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current access control policy is reviewed and updated following {{ insert: param, ac-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current access control procedures are reviewed and updated {{ insert: param, ac-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current access control procedures are reviewed and updated following {{ insert: param, ac-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\n\norganizational personnel with information security with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "params": [ - { - "id": "ac-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_1" - }, - { - "name": "label", - "value": "AC-02_ODP[01]" - } - ], - "label": "prerequisites and criteria", - "guidelines": [ - { - "prose": "prerequisites and criteria for group and role membership are defined;" - } - ] - }, - { - "id": "ac-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_2" - }, - { - "name": "label", - "value": "AC-02_ODP[02]" - } - ], - "label": "attributes (as required)", - "guidelines": [ - { - "prose": "attributes (as required) for each account are defined;" - } - ] - }, - { - "id": "ac-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_3" - }, - { - "name": "label", - "value": "AC-02_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to approve requests to create accounts is/are defined;" - } - ] - }, - { - "id": "ac-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_4" - }, - { - "name": "label", - "value": "AC-02_ODP[04]" - } - ], - "label": "policy, procedures, prerequisites, and criteria", - "guidelines": [ - { - "prose": "policy, procedures, prerequisites, and criteria for account creation, enabling, modification, disabling, and removal are defined;" - } - ] - }, - { - "id": "ac-02_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_5" - }, - { - "name": "label", - "value": "AC-02_ODP[05]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified is/are defined;" - } - ] - }, - { - "id": "ac-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_6" - }, - { - "name": "label", - "value": "AC-02_ODP[06]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when accounts are no longer required is defined;" - } - ] - }, - { - "id": "ac-02_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_7" - }, - { - "name": "label", - "value": "AC-02_ODP[07]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when users are terminated or transferred is defined;" - } - ] - }, - { - "id": "ac-02_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_8" - }, - { - "name": "label", - "value": "AC-02_ODP[08]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify account managers when system usage or the need to know changes for an individual is defined;" - } - ] - }, - { - "id": "ac-02_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_9" - }, - { - "name": "label", - "value": "AC-02_ODP[09]" - } - ], - "label": "attributes (as required)", - "guidelines": [ - { - "prose": "attributes needed to authorize system access (as required) are defined;" - } - ] - }, - { - "id": "ac-02_odp.10", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2_prm_10" - }, - { - "name": "label", - "value": "AC-02_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of account review is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02" - }, - { - "name": "sort-id", - "value": "ac-02" - } - ], - "links": [ - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#53df282b-8b3f-483a-bad1-6a8b8ac00114", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define and document the types of accounts allowed and specifically prohibited for use within the system;" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign account managers;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require {{ insert: param, ac-02_odp.01 }} for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specify:", - "parts": [ - { - "id": "ac-2_smt.d.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Authorized users of the system;" - }, - { - "id": "ac-2_smt.d.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Group and role membership; and" - }, - { - "id": "ac-2_smt.d.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Access authorizations (i.e., privileges) and {{ insert: param, ac-02_odp.02 }} for each account;" - } - ] - }, - { - "id": "ac-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Require approvals by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitor the use of accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notify account managers and {{ insert: param, ac-02_odp.05 }} within:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ac-02_odp.06 }} when accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, ac-02_odp.07 }} when users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ac-02_odp.08 }} when system usage or need-to-know changes for an individual;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorize access to the system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ac-02_odp.09 }};" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Review accounts for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "props": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and" - }, - { - "id": "ac-2_smt.l", - "name": "item", - "props": [ - { - "name": "label", - "value": "l." - } - ], - "prose": "Align account management processes with personnel termination and transfer processes." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts.\n\nWhere access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability.\n\nTemporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "account types allowed for use within the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "account types specifically prohibited for use within the system are defined and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02b.", - "class": "sp800-53A" - } - ], - "prose": "account managers are assigned;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02_odp.01 }} for group and role membership are required;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.01", - "class": "sp800-53A" - } - ], - "prose": "authorized users of the system are specified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.02", - "class": "sp800-53A" - } - ], - "prose": "group and role membership are specified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03[01]", - "class": "sp800-53A" - } - ], - "prose": "access authorizations (i.e., privileges) are specified for each account;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02d.03[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02_odp.02 }} are specified for each account;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02e.", - "class": "sp800-53A" - } - ], - "prose": "approvals are required by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[01]", - "class": "sp800-53A" - } - ], - "prose": "accounts are created in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[02]", - "class": "sp800-53A" - } - ], - "prose": "accounts are enabled in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[03]", - "class": "sp800-53A" - } - ], - "prose": "accounts are modified in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[04]", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled in accordance with {{ insert: param, ac-02_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02f.[05]", - "class": "sp800-53A" - } - ], - "prose": "accounts are removed in accordance with {{ insert: param, ac-02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02g.", - "class": "sp800-53A" - } - ], - "prose": "the use of accounts is monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.01", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.06 }} when accounts are no longer required;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.02", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.07 }} when users are terminated or transferred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02h.03", - "class": "sp800-53A" - } - ], - "prose": "account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.08 }} when system usage or the need to know changes for an individual;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.01", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on a valid access authorization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.02", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on intended system usage;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02i.03", - "class": "sp800-53A" - } - ], - "prose": "access to the system is authorized based on {{ insert: param, ac-02_odp.09 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02j.", - "class": "sp800-53A" - } - ], - "prose": "accounts are reviewed for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is established for changing shared or group account authenticators (if deployed) when individuals are removed from the group;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02k.[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for changing shared or group account authenticators (if deployed) when individuals are removed from the group;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.[01]", - "class": "sp800-53A" - } - ], - "prose": "account management processes are aligned with personnel termination processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02l.[02]", - "class": "sp800-53A" - } - ], - "prose": "account management processes are aligned with personnel transfer processes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\npersonnel termination policy and procedure\n\npersonnel transfer policy and procedure\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated with each account\n\nlist of recently disabled system accounts and the name of the individual associated with each account\n\nlist of conditions for group and role membership\n\nnotifications of recent transfers, separations, or terminations of employees\n\naccess authorization records\n\naccount management compliance reviews\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for account management on the system\n\nautomated mechanisms for implementing account management" - } - ] - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "params": [ - { - "id": "ac-02.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.1_prm_1" - }, - { - "name": "label", - "value": "AC-02(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to support the management of system accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(01)" - }, - { - "name": "sort-id", - "value": "ac-02.01" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "Support the management of system accounts using {{ insert: param, ac-02.01_odp }}." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(01)", - "class": "sp800-53A" - } - ], - "prose": "the management of system accounts is supported using {{ insert: param, ac-02.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Temporary and Emergency Account Management", - "params": [ - { - "id": "ac-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.2_prm_1" - }, - { - "name": "label", - "value": "AC-02(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "remove", - "disable" - ] - } - }, - { - "id": "ac-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.2_prm_2" - }, - { - "name": "label", - "value": "AC-02(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which to automatically remove or disable temporary or emergency accounts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(02)" - }, - { - "name": "sort-id", - "value": "ac-02.02" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, ac-02.02_odp.01 }} temporary and emergency accounts after {{ insert: param, ac-02.02_odp.02 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(02)", - "class": "sp800-53A" - } - ], - "prose": "temporary and emergency accounts are automatically {{ insert: param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of temporary accounts removed and/or disabled\n\nsystem-generated list of emergency accounts removed and/or disabled\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Accounts", - "params": [ - { - "id": "ac-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.3_prm_1" - }, - { - "name": "label", - "value": "AC-02(03)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to disable accounts is defined;" - } - ] - }, - { - "id": "ac-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.3_prm_2" - }, - { - "name": "label", - "value": "AC-02(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for account inactivity before disabling is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(03)" - }, - { - "name": "sort-id", - "value": "ac-02.03" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "Disable accounts within {{ insert: param, ac-02.03_odp.01 }} when the accounts:", - "parts": [ - { - "id": "ac-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have expired;" - }, - { - "id": "ac-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Are no longer associated with a user or individual;" - }, - { - "id": "ac-2.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are in violation of organizational policy; or" - }, - { - "id": "ac-2.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Have been inactive for {{ insert: param, ac-02.03_odp.02 }}." - } - ] - }, - { - "id": "ac-2.3_gdn", - "name": "guidance", - "prose": "Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have expired;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are no longer associated with a user or individual;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are in violation of organizational policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have been inactive for {{ insert: param, ac-02.03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for addressing account management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of temporary accounts removed and/or disabled\n\nsystem-generated list of emergency accounts removed and/or disabled\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "props": [ - { - "name": "label", - "value": "AC-02(04)" - }, - { - "name": "sort-id", - "value": "ac-02.04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "Automatically audit account creation, modification, enabling, disabling, and removal actions." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "prose": "Account management audit records are defined in accordance with [AU-2](#au-2) and reviewed, analyzed, and reported in accordance with [AU-6](#au-6)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "account creation is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "account modification is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "account enabling is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[04]", - "class": "sp800-53A" - } - ], - "prose": "account disabling is automatically audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(04)[05]", - "class": "sp800-53A" - } - ], - "prose": "account removal actions are automatically audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nnotifications/alerts of account creation, modification, enabling, disabling, and removal actions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "params": [ - { - "id": "ac-02.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.5_prm_1" - }, - { - "name": "label", - "value": "AC-02(05)_ODP" - } - ], - "label": "time period of expected inactivity or description of when to log out", - "guidelines": [ - { - "prose": "the time period of expected inactivity or description of when to log out is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(05)" - }, - { - "name": "sort-id", - "value": "ac-02.05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "Require that users log out when {{ insert: param, ac-02.05_odp }}." - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "prose": "Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by [AC-11](#ac-11)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(05)", - "class": "sp800-53A" - } - ], - "prose": "users are required to log out when {{ insert: param, ac-02.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity violation reports\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nusers that must comply with inactivity logout policy" - } - ] - } - ] - }, - { - "id": "ac-2.6", - "class": "SP800-53-enhancement", - "title": "Dynamic Privilege Management", - "params": [ - { - "id": "ac-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.6_prm_1" - }, - { - "name": "label", - "value": "AC-02(06)_ODP" - } - ], - "label": "dynamics privilege management capabilities", - "guidelines": [ - { - "prose": "dynamic privilege management capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(06)" - }, - { - "name": "sort-id", - "value": "ac-02.06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.6_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-02.06_odp }}." - }, - { - "id": "ac-2.6_gdn", - "name": "guidance", - "prose": "In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on runtime access control decisions facilitated by dynamic privilege management, such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and the operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, if their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.06_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of dynamic privilege management capabilities\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system or mechanisms implementing dynamic privilege management capabilities" - } - ] - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Privileged User Accounts", - "params": [ - { - "id": "ac-02.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.7_prm_1" - }, - { - "name": "label", - "value": "AC-02(07)_ODP" - } - ], - "select": { - "choice": [ - "a role-based access scheme", - "an attribute-based access scheme" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(07)" - }, - { - "name": "sort-id", - "value": "ac-02.07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish and administer privileged user accounts in accordance with {{ insert: param, ac-02.07_odp }};" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor privileged role or attribute assignments;" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Monitor changes to roles or attributes; and" - }, - { - "id": "ac-2.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Revoke access when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "privileged user accounts are established and administered in accordance with {{ insert: param, ac-02.07_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "privileged role or attribute assignments are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(c)", - "class": "sp800-53A" - } - ], - "prose": "changes to roles or attributes are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(07)(d)", - "class": "sp800-53A" - } - ], - "prose": "access is revoked when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged user accounts and associated roles\n\nrecords of actions taken when privileged role assignments are no longer appropriate\n\nsystem audit records\n\naudit tracking and monitoring reports\n\nsystem monitoring records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions\n\nautomated mechanisms monitoring privileged role assignments" - } - ] - } - ] - }, - { - "id": "ac-2.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Account Management", - "params": [ - { - "id": "ac-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.8_prm_1" - }, - { - "name": "label", - "value": "AC-02(08)_ODP" - } - ], - "label": "system accounts", - "guidelines": [ - { - "prose": "system accounts that are dynamically created, activated, managed, and deactivated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(08)" - }, - { - "name": "sort-id", - "value": "ac-02.08" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.8_smt", - "name": "statement", - "prose": "Create, activate, manage, and deactivate {{ insert: param, ac-02.08_odp }} dynamically." - }, - { - "id": "ac-2.8_gdn", - "name": "guidance", - "prose": "Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at runtime for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are created dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are activated dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are managed dynamically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(08)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.08_odp }} are deactivated dynamically." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of system accounts\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions on Use of Shared and Group Accounts", - "params": [ - { - "id": "ac-02.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.9_prm_1" - }, - { - "name": "label", - "value": "AC-02(09)_ODP" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions for establishing shared and group accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(09)" - }, - { - "name": "sort-id", - "value": "ac-02.09" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "Only permit the use of shared and group accounts that meet {{ insert: param, ac-02.09_odp }}." - }, - { - "id": "ac-2.9_gdn", - "name": "guidance", - "prose": "Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(09)", - "class": "sp800-53A" - } - ], - "prose": "the use of shared and group accounts is only permitted if {{ insert: param, ac-02.09_odp }} are met." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of shared/group accounts and associated roles\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of shared/group accounts" - } - ] - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared and Group Account Credential Change", - "props": [ - { - "name": "label", - "value": "AC-02(10)" - }, - { - "name": "sort-id", - "value": "ac-02.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2_smt.k", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-2.11", - "class": "SP800-53-enhancement", - "title": "Usage Conditions", - "params": [ - { - "id": "ac-02.11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.11_prm_1" - }, - { - "name": "label", - "value": "AC-02(11)_ODP[01]" - } - ], - "label": "circumstances and/or usage conditions", - "guidelines": [ - { - "prose": "circumstances and/or usage conditions to be enforced for system accounts are defined;" - } - ] - }, - { - "id": "ac-02.11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.11_prm_2" - }, - { - "name": "label", - "value": "AC-02(11)_ODP[02]" - } - ], - "label": "system accounts", - "guidelines": [ - { - "prose": "system accounts subject to enforcement of circumstances and/or usage conditions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(11)" - }, - { - "name": "sort-id", - "value": "ac-02.11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-2.11_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }}." - }, - { - "id": "ac-2.11_gdn", - "name": "guidance", - "prose": "Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-02.11_odp.01 }} for {{ insert: param, ac-02.11_odp.02 }} are enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of system accounts and associated assignments of usage circumstances and/or usage conditions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring for Atypical Usage", - "params": [ - { - "id": "ac-02.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.12_prm_1" - }, - { - "name": "label", - "value": "AC-02(12)_ODP[01]" - } - ], - "label": "atypical usage", - "guidelines": [ - { - "prose": "atypical usage for which to monitor system accounts is defined;" - } - ] - }, - { - "id": "ac-02.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.12_prm_2" - }, - { - "name": "label", - "value": "AC-02(12)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to report atypical usage is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(12)" - }, - { - "name": "sort-id", - "value": "ac-02.12" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitor system accounts for {{ insert: param, ac-02.12_odp.01 }} ; and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Report atypical usage of system accounts to {{ insert: param, ac-02.12_odp.02 }}." - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "system accounts are monitored for {{ insert: param, ac-02.12_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "atypical usage of system accounts is reported to {{ insert: param, ac-02.12_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring records\n\nsystem audit records\n\naudit tracking and monitoring reports\n\nprivacy impact assessment\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.13", - "class": "SP800-53-enhancement", - "title": "Disable Accounts for High-risk Individuals", - "params": [ - { - "id": "ac-02.13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.13_prm_1" - }, - { - "name": "label", - "value": "AC-02(13)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to disable accounts of individuals who are discovered to pose significant risk is defined;" - } - ] - }, - { - "id": "ac-02.13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-2.13_prm_2" - }, - { - "name": "label", - "value": "AC-02(13)_ODP[02]" - } - ], - "label": "significant risks", - "guidelines": [ - { - "prose": "significant risks leading to disabling accounts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-02(13)" - }, - { - "name": "sort-id", - "value": "ac-02.13" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.13_smt", - "name": "statement", - "prose": "Disable accounts of individuals within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}." - }, - { - "id": "ac-2.13_gdn", - "name": "guidance", - "prose": "Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-02(13)", - "class": "sp800-53A" - } - ], - "prose": "accounts of individuals are disabled within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-02(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of disabled accounts\n\nlist of user activities posing significant organizational risk\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-02(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-02(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "props": [ - { - "name": "label", - "value": "AC-03" - }, - { - "name": "sort-id", - "value": "ac-03" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection ( [PE](#pe) ) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03", - "class": "sp800-53A" - } - ], - "prose": "approved authorizations for logical access to information and system resources are enforced in accordance with applicable access control policies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-3.1", - "class": "SP800-53-enhancement", - "title": "Restricted Access to Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-03(01)" - }, - { - "name": "sort-id", - "value": "ac-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.2", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "ac-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.2_prm_1" - }, - { - "name": "label", - "value": "AC-03(02)_ODP" - } - ], - "label": "privileged commands and/or other actions", - "guidelines": [ - { - "prose": "privileged commands and/or other actions requiring dual authorization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(02)" - }, - { - "name": "sort-id", - "value": "ac-03.02" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.2_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, ac-03.02_odp }}." - }, - { - "id": "ac-3.2_gdn", - "name": "guidance", - "prose": "Dual authorization, also known as two-person control, reduces risk related to insider threats. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties. Organizations consider the risk associated with implementing dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(02)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization is enforced for {{ insert: param, ac-03.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement and dual authorization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged commands requiring dual authorization\n\nlist of actions requiring dual authorization\n\nlist of approved authorizations (user privileges)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Dual authorization mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.3", - "class": "SP800-53-enhancement", - "title": "Mandatory Access Control", - "params": [ - { - "id": "ac-3.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.03_odp.01" - }, - { - "name": "aggregates", - "value": "ac-03.03_odp.02" - } - ], - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-03.03_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(03)_ODP[01]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "mandatory access control policy enforced over the set of covered subjects is defined;" - } - ] - }, - { - "id": "ac-03.03_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(03)_ODP[02]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "mandatory access control policy enforced over the set of covered objects is defined;" - } - ] - }, - { - "id": "ac-03.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.3_prm_2" - }, - { - "name": "label", - "value": "AC-03(03)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be explicitly granted privileges are defined;" - } - ] - }, - { - "id": "ac-03.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.3_prm_3" - }, - { - "name": "label", - "value": "AC-03(03)_ODP[04]" - } - ], - "label": "privileges", - "guidelines": [ - { - "prose": "privileges to be explicitly granted to subjects are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(03)" - }, - { - "name": "sort-id", - "value": "ac-03.03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy:", - "parts": [ - { - "id": "ac-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Is uniformly enforced across the covered subjects and objects within the system;" - }, - { - "id": "ac-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Specifies that a subject that has been granted access to information is constrained from doing any of the following;", - "parts": [ - { - "id": "ac-3.3_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Passing the information to unauthorized subjects or objects;" - }, - { - "id": "ac-3.3_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Granting its privileges to other subjects;" - }, - { - "id": "ac-3.3_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(03)" - } - ], - "prose": "Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;" - }, - { - "id": "ac-3.3_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(04)" - } - ], - "prose": "Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and" - }, - { - "id": "ac-3.3_smt.b.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "(05)" - } - ], - "prose": "Changing the rules governing access control; and" - } - ] - }, - { - "id": "ac-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Specifies that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints." - } - ] - }, - { - "id": "ac-3.3_gdn", - "name": "guidance", - "prose": "Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions that subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in [AC-25](#ac-25) . The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect).\n\nThe trusted subjects described above are granted privileges consistent with the concept of least privilege (see [AC-6](#ac-6) ). Trusted subjects are only given the minimum privileges necessary for satisfying organizational mission/business needs relative to the above policy. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in [AC-3(4)](#ac-3.4) . A subject constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint that prevents a subject from passing information to another subject operating at a different impact or classification level, AC-3(4) permits the subject to pass the information to any other subject with the same impact or classification level as the subject. Examples of mandatory access control policies include the Bell-LaPadula policy to protect confidentiality of information and the Biba policy to protect the integrity of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.02 }} is enforced over the set of covered objects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} is uniformly enforced across the covered subjects within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.02 }} is uniformly enforced across the covered objects within the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from passing the information to unauthorized subjects or objects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from granting its privileges to other subjects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing one of more security attributes (specified by the policy) on subjects, objects, the system, or system components are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(4)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(b)(5)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that a subject that has been granted access to information is constrained from changing the rules governing access control are enforced;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.03_odp.01 }} and {{ insert: param, ac-03.03_odp.02 }} specifying that {{ insert: param, ac-03.03_odp.03 }} may explicitly be granted {{ insert: param, ac-03.03_odp.04 }} such that they are not limited by any defined subset (or all) of the above constraints are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nmandatory access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing mandatory access control" - } - ] - } - ] - }, - { - "id": "ac-3.4", - "class": "SP800-53-enhancement", - "title": "Discretionary Access Control", - "params": [ - { - "id": "ac-3.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.04_odp.01" - } - ], - "label": "organization-defined discretionary access control policy" - }, - { - "id": "ac-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(04)_ODP[01]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "discretionary access control policy enforced over the set of covered subjects is defined;" - } - ] - }, - { - "id": "ac-03.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(04)_ODP[02]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "discretionary access control policy enforced over the set of covered objects is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(04)" - }, - { - "name": "sort-id", - "value": "ac-03.04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.4_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:", - "parts": [ - { - "id": "ac-3.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Pass the information to any other subjects or objects;" - }, - { - "id": "ac-3.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Grant its privileges to other subjects;" - }, - { - "id": "ac-3.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change security attributes on subjects, objects, the system, or the system’s components;" - }, - { - "id": "ac-3.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Choose the security attributes to be associated with newly created or revised objects; or" - }, - { - "id": "ac-3.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Change the rules governing access control." - } - ] - }, - { - "id": "ac-3.4_gdn", - "name": "guidance", - "prose": "When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in [AC-3(3)](#ac-3.3) and [AC-3(15)](#ac-3.15) . A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while [AC-3(3)](#ac-3.3) imposes constraints that prevent a subject from passing information to another subject operating at a different impact or classification level, [AC-3(4)](#ac-3.4) permits the subject to pass the information to any subject at the same impact or classification level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.02 }} is enforced over the set of covered objects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can pass the information to any other subjects or objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can grant its privileges to other subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change security attributes on subjects, objects, the system, or the system’s components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can choose the security attributes to be associated with newly created or revised objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(04)(e)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.04_odp.01 }} and {{ insert: param, ac-03.04_odp.02 }} are enforced where the policy specifies that a subject that has been granted access to information can change the rules governing access control." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ndiscretionary access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing discretionary access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.5", - "class": "SP800-53-enhancement", - "title": "Security-relevant Information", - "params": [ - { - "id": "ac-03.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.5_prm_1" - }, - { - "name": "label", - "value": "AC-03(05)_ODP" - } - ], - "label": "security-relevant information", - "guidelines": [ - { - "prose": "security-relevant information to which access is prevented except during secure, non-operable system states is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(05)" - }, - { - "name": "sort-id", - "value": "ac-03.05" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.5_smt", - "name": "statement", - "prose": "Prevent access to {{ insert: param, ac-03.05_odp }} except during secure, non-operable system states." - }, - { - "id": "ac-3.5_gdn", - "name": "guidance", - "prose": "Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security and privacy policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing, such as when the system is offline for maintenance, boot-up, troubleshooting, or shut down." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(05)", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, ac-03.05_odp }} is prevented except during secure, non-operable system states." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing access to security-relevant information within the system" - } - ] - } - ] - }, - { - "id": "ac-3.6", - "class": "SP800-53-enhancement", - "title": "Protection of User and System Information", - "props": [ - { - "name": "label", - "value": "AC-03(06)" - }, - { - "name": "sort-id", - "value": "ac-03.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "incorporated-into" - }, - { - "href": "#sc-28", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.7", - "class": "SP800-53-enhancement", - "title": "Role-based Access Control", - "params": [ - { - "id": "ac-3.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.07_odp.01" - } - ], - "label": "organization-defined roles and users authorized to assume such roles" - }, - { - "id": "ac-03.07_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(07)_ODP[01]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "roles upon which to base control of access are defined;" - } - ] - }, - { - "id": "ac-03.07_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(07)_ODP[02]" - } - ], - "label": "users authorized to assume such roles", - "guidelines": [ - { - "prose": "users authorized to assume roles (defined in AC-03(07)_ODP[01]) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(07)" - }, - { - "name": "sort-id", - "value": "ac-03.07" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.7_smt", - "name": "statement", - "prose": "Enforce a role-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.7_prm_1 }}." - }, - { - "id": "ac-3.7_gdn", - "name": "guidance", - "prose": "Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a large number of individuals) but are instead acquired through role assignments. RBAC can also increase privacy and security risk if individuals assigned to a role are given access to information beyond what they need to support organizational missions or business functions. RBAC can be implemented as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "a role-based access control policy is enforced over defined subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "a role-based access control policy is enforced over defined objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(07)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is controlled based on {{ insert: param, ac-03.07_odp.01 }} and {{ insert: param, ac-03.07_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nrole-based access control policies\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of roles, users, and associated privileges required to control system access\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing role-based access control policy" - } - ] - } - ] - }, - { - "id": "ac-3.8", - "class": "SP800-53-enhancement", - "title": "Revocation of Access Authorizations", - "params": [ - { - "id": "ac-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.8_prm_1" - }, - { - "name": "label", - "value": "AC-03(08)_ODP" - } - ], - "label": "rules", - "guidelines": [ - { - "prose": "rules governing the timing of revocations of access authorizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(08)" - }, - { - "name": "sort-id", - "value": "ac-03.08" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.8_smt", - "name": "statement", - "prose": "Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on {{ insert: param, ac-03.08_odp }}." - }, - { - "id": "ac-3.8_gdn", - "name": "guidance", - "prose": "Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts to access the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "revocation of access authorizations is enforced, resulting from changes to the security attributes of subjects based on {{ insert: param, ac-03.08_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "revocation of access authorizations is enforced resulting from changes to the security attributes of objects based on {{ insert: param, ac-03.08_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrules governing revocation of access authorizations, system audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.9", - "class": "SP800-53-enhancement", - "title": "Controlled Release", - "params": [ - { - "id": "ac-03.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_1" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[01]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "the outside system or system component to which to release information is defined;" - } - ] - }, - { - "id": "ac-03.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_2" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be provided by the outside system or system component (defined in AC-03(09)_ODP[01]) are defined;" - } - ] - }, - { - "id": "ac-03.09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.9_prm_3" - }, - { - "name": "label", - "value": "AC-03(09)_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to validate appropriateness of information to be released are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(09)" - }, - { - "name": "sort-id", - "value": "ac-03.09" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.9_smt", - "name": "statement", - "prose": "Release information outside of the system only if:", - "parts": [ - { - "id": "ac-3.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "The receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }} ; and" - }, - { - "id": "ac-3.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "id": "ac-3.9_gdn", - "name": "guidance", - "prose": "Organizations can only directly protect information when it resides within the system. Additional controls may be needed to ensure that organizational information is adequately protected once it is transmitted outside of the system. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigation measure, organizations procedurally determine whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests), establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals’ privacy.\n\nControlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "information is released outside of the system only if the receiving {{ insert: param, ac-03.09_odp.01 }} provides {{ insert: param, ac-03.09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "information is released outside of the system only if {{ insert: param, ac-03.09_odp.03 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy safeguards provided by receiving system or system components\n\nlist of security and privacy safeguards validating appropriateness of information designated for release\n\nsystem audit records\n\nresults of period assessments (inspections/tests) of the external system\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nacquisitions/contractual agreements\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements\n\nlegal counsel\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.10", - "class": "SP800-53-enhancement", - "title": "Audited Override of Access Control Mechanisms", - "params": [ - { - "id": "ac-03.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.10_prm_1" - }, - { - "name": "label", - "value": "AC-03(10)_ODP[01]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which to employ an audited override of automated access control mechanisms are defined;" - } - ] - }, - { - "id": "ac-03.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.10_prm_2" - }, - { - "name": "label", - "value": "AC-03(10)_ODP[02]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "roles allowed to employ an audited override of automated access control mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(10)" - }, - { - "name": "sort-id", - "value": "ac-03.10" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.10_smt", - "name": "statement", - "prose": "Employ an audited override of automated access control mechanisms under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}." - }, - { - "id": "ac-3.10_gdn", - "name": "guidance", - "prose": "In certain situations, such as when there is a threat to human life or an event that threatens the organization’s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and used only in those limited circumstances. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(10)", - "class": "sp800-53A" - } - ], - "prose": "an audited override of automated access control mechanisms is employed under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param, ac-03.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nconditions for employing audited override of automated access control mechanisms\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.11", - "class": "SP800-53-enhancement", - "title": "Restrict Access to Specific Information Types", - "params": [ - { - "id": "ac-03.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.11_prm_1" - }, - { - "name": "label", - "value": "AC-03(11)_ODP" - } - ], - "label": "information types", - "guidelines": [ - { - "prose": "information types requiring restricted access to data repositories are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(11)" - }, - { - "name": "sort-id", - "value": "ac-03.11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.11_smt", - "name": "statement", - "prose": "Restrict access to data repositories containing {{ insert: param, ac-03.11_odp }}." - }, - { - "id": "ac-3.11_gdn", - "name": "guidance", - "prose": "Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(11)", - "class": "sp800-53A" - } - ], - "prose": "access to data repositories containing {{ insert: param, ac-03.11_odp }} is restricted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\norganizational personnel with responsibilities for data repositories\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.12", - "class": "SP800-53-enhancement", - "title": "Assert and Enforce Application Access", - "params": [ - { - "id": "ac-03.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.12_prm_1" - }, - { - "name": "label", - "value": "AC-03(12)_ODP" - } - ], - "label": "system applications and functions", - "guidelines": [ - { - "prose": "system applications and functions requiring access assertion are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(12)" - }, - { - "name": "sort-id", - "value": "ac-03.12" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};" - }, - { - "id": "ac-3.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide an enforcement mechanism to prevent unauthorized access; and" - }, - { - "id": "ac-3.12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Approve access changes after initial installation of the application." - } - ] - }, - { - "id": "ac-3.12_gdn", - "name": "guidance", - "prose": "Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning systems, cameras, keyboards, microphones, networks, phones, or other files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "as part of the installation process, applications are required to assert the access needed to the following system applications and functions: {{ insert: param, ac-03.12_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "an enforcement mechanism to prevent unauthorized access is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(12)(c)", - "class": "sp800-53A" - } - ], - "prose": "access changes after initial installation of the application are approved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.13", - "class": "SP800-53-enhancement", - "title": "Attribute-based Access Control", - "params": [ - { - "id": "ac-03.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.13_prm_1" - }, - { - "name": "label", - "value": "AC-03(13)_ODP" - } - ], - "label": "attributes", - "guidelines": [ - { - "prose": "attributes to assume access permissions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(13)" - }, - { - "name": "sort-id", - "value": "ac-03.13" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-3.13_smt", - "name": "statement", - "prose": "Enforce attribute-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-03.13_odp }}." - }, - { - "id": "ac-3.13_gdn", - "name": "guidance", - "prose": "Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity), action attributes (e.g., read, write, delete), environmental attributes (e.g., time of day, location), and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource. Attribute-based access control can be implemented as either a mandatory or discretionary form of access control. When implemented with mandatory access controls, the requirements in [AC-3(3)](#ac-3.3) define the scope of the subjects and objects covered by the policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[01]", - "class": "sp800-53A" - } - ], - "prose": "the attribute-based access control policy is enforced over defined subjects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[02]", - "class": "sp800-53A" - } - ], - "prose": "the attribute-based access control policy is enforced over defined objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(13)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is controlled based on {{ insert: param, ac-03.13_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of attribute-based access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-3.14", - "class": "SP800-53-enhancement", - "title": "Individual Access", - "params": [ - { - "id": "ac-03.14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.14_prm_1" - }, - { - "name": "label", - "value": "AC-03(14)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms enabling individuals to have access to elements of their personally identifiable information are defined;" - } - ] - }, - { - "id": "ac-03.14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-3.14_prm_2" - }, - { - "name": "label", - "value": "AC-03(14)_ODP[02]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements of personally identifiable information to which individuals have access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(14)" - }, - { - "name": "sort-id", - "value": "ac-03.14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.14_smt", - "name": "statement", - "prose": "Provide {{ insert: param, ac-03.14_odp.01 }} to enable individuals to have access to the following elements of their personally identifiable information: {{ insert: param, ac-03.14_odp.02 }}." - }, - { - "id": "ac-3.14_gdn", - "name": "guidance", - "prose": "Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. For federal agencies, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) processes can be located in systems of record notices and on agency websites. Access to certain types of records may not be appropriate (e.g., for federal agencies, law enforcement records within a system of records may be exempt from disclosure under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ) or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.14_odp.01 }} are provided to enable individuals to have access to {{ insert: param, ac-03.14_odp.02 }} of their personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access mechanisms (e.g., request forms and application interfaces)\n\naccess control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation regarding access to an individual’s personally identifiable information\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy assessment findings and/or reports\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions\n\nmechanisms enabling individual access to personally identifiable information" - } - ] - } - ] - }, - { - "id": "ac-3.15", - "class": "SP800-53-enhancement", - "title": "Discretionary and Mandatory Access Control", - "params": [ - { - "id": "ac-3.15_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-03.15_odp.01" - }, - { - "name": "aggregates", - "value": "ac-03.15_odp.02" - } - ], - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-03.15_odp.03" - }, - { - "name": "aggregates", - "value": "ac-03.15_odp.04" - } - ], - "label": "organization-defined discretionary access control policy" - }, - { - "id": "ac-03.15_odp.01", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[01]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "a mandatory access control policy enforced over the set of covered subjects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.02", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[02]" - } - ], - "label": "mandatory access control policy", - "guidelines": [ - { - "prose": "a mandatory access control policy enforced over the set of covered objects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.03", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[03]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "a discretionary access control policy enforced over the set of covered subjects specified in the policy is defined;" - } - ] - }, - { - "id": "ac-03.15_odp.04", - "props": [ - { - "name": "label", - "value": "AC-03(15)_ODP[04]" - } - ], - "label": "discretionary access control policy", - "guidelines": [ - { - "prose": "a discretionary access control policy enforced over the set of covered objects specified in the policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-03(15)" - }, - { - "name": "sort-id", - "value": "ac-03.15" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.15_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_1 }} over the set of covered subjects and objects specified in the policy; and" - }, - { - "id": "ac-3.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_2 }} over the set of covered subjects and objects specified in the policy." - } - ] - }, - { - "id": "ac-3.15_gdn", - "name": "guidance", - "prose": "Simultaneously implementing a mandatory access control policy and a discretionary access control policy can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.01 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.02 }} is enforced over the set of covered objects specified in the policy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.03 }} is enforced over the set of covered subjects specified in the policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-03(15)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-03.15_odp.04 }} is enforced over the set of covered objects specified in the policy." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-03(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\n\nlist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-03(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-03(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing mandatory and discretionary access control policy" - } - ] - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "params": [ - { - "id": "ac-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4_prm_1" - }, - { - "name": "label", - "value": "AC-04_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies within the system and between connected systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04" - }, - { - "name": "sort-id", - "value": "ac-04" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see [CA-3](#ca-3) ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels.\n\nOrganizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04", - "class": "sp800-53A" - } - ], - "prose": "approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsecurity architecture documentation\n\nprivacy architecture documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem baseline configuration\n\nlist of information flow authorizations\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-4.1", - "class": "SP800-53-enhancement", - "title": "Object Security and Privacy Attributes", - "params": [ - { - "id": "ac-4.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.01_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.02" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-4.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.01_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.04" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.05" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.06" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.07" - }, - { - "name": "aggregates", - "value": "ac-04.01_odp.08" - } - ], - "label": "organization-defined information, source, and destination objects" - }, - { - "id": "ac-04.01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with information, source, and destination objects are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with information, source, and destination objects are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[03]" - } - ], - "label": "information objects", - "guidelines": [ - { - "prose": "information objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[04]" - } - ], - "label": "information objects", - "guidelines": [ - { - "prose": "information objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.05", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[05]" - } - ], - "label": "source objects", - "guidelines": [ - { - "prose": "source objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.06", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[06]" - } - ], - "label": "source objects", - "guidelines": [ - { - "prose": "source objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.07", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[07]" - } - ], - "label": "destination objects", - "guidelines": [ - { - "prose": "destination objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.08", - "props": [ - { - "name": "label", - "value": "AC-04(01)_ODP[08]" - } - ], - "label": "destination objects", - "guidelines": [ - { - "prose": "destination objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-04.01_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.1_prm_3" - }, - { - "name": "label", - "value": "AC-04(01)_ODP[09]" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies as a basis for enforcement of flow control decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(01)" - }, - { - "name": "sort-id", - "value": "ac-04.01" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.1_gdn", - "name": "guidance", - "prose": "Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets and, thus, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.01_odp.01 }} associated with {{ insert: param, ac-04.01_odp.03 }}, {{ insert: param, ac-04.01_odp.05 }} , and {{ insert: param, ac-04.01_odp.07 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.01_odp.02 }} associated with {{ insert: param, ac-04.01_odp.04 }}, {{ insert: param, ac-04.01_odp.06 }} , and {{ insert: param, ac-04.01_odp.08 }} are used to enforce {{ insert: param, ac-04.01_odp.09 }} as a basis for flow control decisions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy attributes and associated source and destination objects\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.2", - "class": "SP800-53-enhancement", - "title": "Processing Domains", - "params": [ - { - "id": "ac-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.2_prm_1" - }, - { - "name": "label", - "value": "AC-04(02)_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies to be enforced by use of protected processing domains are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(02)" - }, - { - "name": "sort-id", - "value": "ac-04.02" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.2_smt", - "name": "statement", - "prose": "Use protected processing domains to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions." - }, - { - "id": "ac-4.2_gdn", - "name": "guidance", - "prose": "Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains, information is identified by types, and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(02)", - "class": "sp800-53A" - } - ], - "prose": "protected processing domains are used to enforce {{ insert: param, ac-04.02_odp }} as a basis for flow control decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem security architecture and associated documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Information Flow Control", - "params": [ - { - "id": "ac-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.3_prm_1" - }, - { - "name": "label", - "value": "AC-04(03)_ODP" - } - ], - "label": "information flow control policies", - "guidelines": [ - { - "prose": "information flow control policies to be enforced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(03)" - }, - { - "name": "sort-id", - "value": "ac-04.03" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-04.03_odp }}." - }, - { - "id": "ac-4.3_gdn", - "name": "guidance", - "prose": "Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.03_odp }} are enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem security architecture and associated documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.4", - "class": "SP800-53-enhancement", - "title": "Flow Control of Encrypted Information", - "params": [ - { - "id": "ac-04.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_1" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[01]" - } - ], - "label": "information flow control mechanisms", - "guidelines": [ - { - "prose": "information flow control mechanisms that encrypted information is prevented from bypassing are defined;" - } - ] - }, - { - "id": "ac-04.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_2" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "decrypting the information", - "blocking the flow of the encrypted information", - "terminating communications sessions attempting to pass encrypted information", - " {{ insert: param, ac-04.04_odp.03 }} " - ] - } - }, - { - "id": "ac-04.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.4_prm_3" - }, - { - "name": "label", - "value": "AC-04(04)_ODP[03]" - } - ], - "label": "organization-defined procedure or method", - "guidelines": [ - { - "prose": "the organization-defined procedure or method used to prevent encrypted information from bypassing information flow control mechanisms is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(04)" - }, - { - "name": "sort-id", - "value": "ac-04.04" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.4_smt", - "name": "statement", - "prose": "Prevent encrypted information from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}." - }, - { - "id": "ac-4.4_gdn", - "name": "guidance", - "prose": "Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(04)", - "class": "sp800-53A" - } - ], - "prose": "encrypted information is prevented from bypassing {{ insert: param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.5", - "class": "SP800-53-enhancement", - "title": "Embedded Data Types", - "params": [ - { - "id": "ac-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.5_prm_1" - }, - { - "name": "label", - "value": "AC-04(05)_ODP" - } - ], - "label": "limitations", - "guidelines": [ - { - "prose": "limitations on embedding data types within other data types are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(05)" - }, - { - "name": "sort-id", - "value": "ac-04.05" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.5_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-04.05_odp }} on embedding data types within other data types." - }, - { - "id": "ac-4.5_gdn", - "name": "guidance", - "prose": "Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.05_odp }} are enforced on embedding data types within other data types." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of limitations to be enforced on embedding data types within other data types\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.6", - "class": "SP800-53-enhancement", - "title": "Metadata", - "params": [ - { - "id": "ac-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.6_prm_1" - }, - { - "name": "label", - "value": "AC-04(06)_ODP" - } - ], - "label": "metadata", - "guidelines": [ - { - "prose": "metadata on which to base enforcement of information flow control is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(06)" - }, - { - "name": "sort-id", - "value": "ac-04.06" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.6_smt", - "name": "statement", - "prose": "Enforce information flow control based on {{ insert: param, ac-04.06_odp }}." - }, - { - "id": "ac-4.6_gdn", - "name": "guidance", - "prose": "Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., employing sufficiently strong binding techniques with appropriate assurance)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(06)", - "class": "sp800-53A" - } - ], - "prose": "information flow control enforcement is based on {{ insert: param, ac-04.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntypes of metadata used to enforce information flow control decisions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.7", - "class": "SP800-53-enhancement", - "title": "One-way Flow Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-04(07)" - }, - { - "name": "sort-id", - "value": "ac-04.07" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.7_smt", - "name": "statement", - "prose": "Enforce one-way information flows through hardware-based flow control mechanisms." - }, - { - "id": "ac-4.7_gdn", - "name": "guidance", - "prose": "One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system while permitting data from a lower impact or unclassified domain or system to be imported." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(07)", - "class": "sp800-53A" - } - ], - "prose": "one-way information flows are enforced through hardware-based flow control mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem hardware mechanisms and associated configurations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Hardware mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.8", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Policy Filters", - "params": [ - { - "id": "ac-4.8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.8_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.04" - } - ], - "label": "organization-defined information flows" - }, - { - "id": "ac-4.8_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ac-04.08_odp.06" - }, - { - "name": "aggregates", - "value": "ac-04.08_odp.07" - } - ], - "label": "organization-defined security or privacy policy" - }, - { - "id": "ac-04.08_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[01]" - } - ], - "label": "security policy filter", - "guidelines": [ - { - "prose": "security policy filters to be used as a basis for enforcing information flow control are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[02]" - } - ], - "label": "privacy policy filter", - "guidelines": [ - { - "prose": "privacy policy filters to be used as a basis for enforcing information flow control are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[03]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows for which information flow control is enforced by security filters are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[04]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows for which information flow control is enforced by privacy filters are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.8_prm_3" - }, - { - "name": "label", - "value": "AC-04(08)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "block", - "strip", - "modify", - "quarantine" - ] - } - }, - { - "id": "ac-04.08_odp.06", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[06]" - } - ], - "label": "security policy", - "guidelines": [ - { - "prose": "security policy identifying actions to be taken after a filter processing failure are defined;" - } - ] - }, - { - "id": "ac-04.08_odp.07", - "props": [ - { - "name": "label", - "value": "AC-04(08)_ODP[07]" - } - ], - "label": "privacy policy", - "guidelines": [ - { - "prose": "privacy policy identifying actions to be taken after a filter processing failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(08)" - }, - { - "name": "sort-id", - "value": "ac-04.08" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-4.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce information flow control using {{ insert: param, ac-4.8_prm_1 }} as a basis for flow control decisions for {{ insert: param, ac-4.8_prm_2 }} ; and" - }, - { - "id": "ac-4.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-4.8_prm_4 }}." - } - ] - }, - { - "id": "ac-4.8_gdn", - "name": "guidance", - "prose": "Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words, enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the impact or classification level of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files) and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "information flow control is enforced using {{ insert: param, ac-04.08_odp.01 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "information flow control is enforced using {{ insert: param, ac-04.08_odp.02 }} as a basis for flow control decisions for {{ insert: param, ac-04.08_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(08)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.06 }};\n\n{{ insert: param, ac-04.08_odp.05 }} data after a filter processing failure in accordance with {{ insert: param, ac-04.08_odp.07 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters regulating flow control decisions\n\nlist of privacy policy filters regulating flow control decisions\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.9", - "class": "SP800-53-enhancement", - "title": "Human Reviews", - "params": [ - { - "id": "ac-04.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.9_prm_1" - }, - { - "name": "label", - "value": "AC-04(09)_ODP[01]" - } - ], - "label": "information flows", - "guidelines": [ - { - "prose": "information flows requiring the use of human reviews are defined;" - } - ] - }, - { - "id": "ac-04.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.9_prm_2" - }, - { - "name": "label", - "value": "AC-04(09)_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which the use of human reviews for information flows are to be enforced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(09)" - }, - { - "name": "sort-id", - "value": "ac-04.09" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.9_smt", - "name": "statement", - "prose": "Enforce the use of human reviews for {{ insert: param, ac-04.09_odp.01 }} under the following conditions: {{ insert: param, ac-04.09_odp.02 }}." - }, - { - "id": "ac-4.9_gdn", - "name": "guidance", - "prose": "Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of or as a complement to automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(09)", - "class": "sp800-53A" - } - ], - "prose": "human reviews are used for {{ insert: param, ac-04.09_odp.01 }} under {{ insert: param, ac-04.09_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of human reviews regarding information flows\n\nlist of information flows requiring the use of human reviews\n\nlist of conditions requiring human reviews for information flows\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with information flow enforcement responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms enforcing the use of human reviews" - } - ] - } - ] - }, - { - "id": "ac-4.10", - "class": "SP800-53-enhancement", - "title": "Enable and Disable Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.10_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.10_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.10_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.10_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.10_odp.03" - }, - { - "name": "aggregates", - "value": "ac-04.10_odp.04" - } - ], - "label": "organization-defined conditions" - }, - { - "id": "ac-04.10_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[01]" - } - ], - "label": "security filters", - "guidelines": [ - { - "prose": "security policy filters that privileged administrators have the capability to enable and disable are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[02]" - } - ], - "label": "privacy filters", - "guidelines": [ - { - "prose": "privacy policy filters that privileged administrators have the capability to enable and disable are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[03]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which privileged administrators have the capability to enable and disable security policy filters are defined;" - } - ] - }, - { - "id": "ac-04.10_odp.04", - "props": [ - { - "name": "label", - "value": "AC-04(10)_ODP[04]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which privileged administrators have the capability to enable and disable privacy policy filters are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(10)" - }, - { - "name": "sort-id", - "value": "ac-04.10" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.10_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to enable and disable {{ insert: param, ac-4.10_prm_1 }} under the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - }, - { - "id": "ac-4.10_gdn", - "name": "guidance", - "prose": "For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security domains, and other security or privacy relevant features, as needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.01 }} under {{ insert: param, ac-04.10_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to enable and disable {{ insert: param, ac-04.10_odp.02 }} under {{ insert: param, ac-04.10_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow information policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters enabled/disabled by privileged administrators\n\nlist of privacy policy filters enabled/disabled by privileged administrators\n\nlist of approved data types for enabling/disabling by privileged administrators\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for enabling/disabling security and privacy policy filters\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.11", - "class": "SP800-53-enhancement", - "title": "Configuration of Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.11_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.11_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.11_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.11_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(11)_ODP[01]" - } - ], - "label": "security policy filters", - "guidelines": [ - { - "prose": "security policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;" - } - ] - }, - { - "id": "ac-04.11_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(11)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters that privileged administrators have the capability to configure to support different security and privacy policies are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(11)" - }, - { - "name": "sort-id", - "value": "ac-04.11" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.11_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to configure {{ insert: param, ac-4.11_prm_1 }} to support different security or privacy policies." - }, - { - "id": "ac-4.11_gdn", - "name": "guidance", - "prose": "Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of inappropriate words that security or privacy policy mechanisms check in accordance with the definitions provided by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.01 }} to support different security or privacy policies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "capability is provided for privileged administrators to configure {{ insert: param, ac-04.11_odp.02 }} to support different security or privacy policies." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filters\n\nlist of privacy policy filters\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for configuring security and privacy policy filters\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.12", - "class": "SP800-53-enhancement", - "title": "Data Type Identifiers", - "params": [ - { - "id": "ac-04.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.12_prm_1" - }, - { - "name": "label", - "value": "AC-04(12)_ODP" - } - ], - "label": "data type identifiers", - "guidelines": [ - { - "prose": "data type identifiers to be used to validate data essential for information flow decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(12)" - }, - { - "name": "sort-id", - "value": "ac-04.12" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.12_smt", - "name": "statement", - "prose": "When transferring information between different security domains, use {{ insert: param, ac-04.12_odp }} to validate data essential for information flow decisions." - }, - { - "id": "ac-4.12_gdn", - "name": "guidance", - "prose": "Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems only allow transfer of data that is compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure that it is the proper data type." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(12)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.12_odp }} are used to validate data essential for information flow decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of data type identifiers\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.13", - "class": "SP800-53-enhancement", - "title": "Decomposition into Policy-relevant Subcomponents", - "params": [ - { - "id": "ac-04.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.13_prm_1" - }, - { - "name": "label", - "value": "AC-04(13)_ODP" - } - ], - "label": "policy-relevant subcomponents", - "guidelines": [ - { - "prose": "policy-relevant subcomponents into which to decompose information for submission to policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(13)" - }, - { - "name": "sort-id", - "value": "ac-04.13" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.13_smt", - "name": "statement", - "prose": "When transferring information between different security domains, decompose information into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms." - }, - { - "id": "ac-4.13_gdn", - "name": "guidance", - "prose": "Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(13)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, information is decomposed into {{ insert: param, ac-04.13_odp }} for submission to policy enforcement mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.14", - "class": "SP800-53-enhancement", - "title": "Security or Privacy Policy Filter Constraints", - "params": [ - { - "id": "ac-4.14_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.14_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.14_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.14_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(14)_ODP[01]" - } - ], - "label": "security policy filters", - "guidelines": [ - { - "prose": "security policy filters to be implemented that require fully enumerated formats restricting data structure and content have been defined;" - } - ] - }, - { - "id": "ac-04.14_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(14)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters to be implemented that require fully enumerated formats restricting data structure and content are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(14)" - }, - { - "name": "sort-id", - "value": "ac-04.14" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.14_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring fully enumerated formats that restrict data structure and content." - }, - { - "id": "ac-4.14_gdn", - "name": "guidance", - "prose": "Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets, restricting character data fields to only contain alpha-numeric characters, prohibiting special characters, and validating schema structures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.01 }} require fully enumerated formats that restrict data structure and content;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, implemented {{ insert: param, ac-04.14_odp.02 }} require fully enumerated formats that restrict data structure and content." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security and privacy policy filters\n\nlist of data structure policy filters\n\nlist of data content policy filters\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy\n\nsecurity and privacy policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.15", - "class": "SP800-53-enhancement", - "title": "Detection of Unsanctioned Information", - "params": [ - { - "id": "ac-4.15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-04.15_odp.02" - }, - { - "name": "aggregates", - "value": "ac-04.15_odp.03" - } - ], - "label": "organization-defined security or privacy policy" - }, - { - "id": "ac-04.15_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.15_prm_1" - }, - { - "name": "label", - "value": "AC-04(15)_ODP[01]" - } - ], - "label": "unsanctioned information", - "guidelines": [ - { - "prose": "unsanctioned information to be detected is defined;" - } - ] - }, - { - "id": "ac-04.15_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(15)_ODP[02]" - } - ], - "label": "security policy", - "guidelines": [ - { - "prose": "security policy that requires the transfer of unsanctioned information between different security domains to be prohibited is defined;" - } - ] - }, - { - "id": "ac-04.15_odp.03", - "props": [ - { - "name": "label", - "value": "AC-04(15)_ODP[03]" - } - ], - "label": "privacy policy", - "guidelines": [ - { - "prose": "privacy policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(15)" - }, - { - "name": "sort-id", - "value": "ac-04.15" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.15_smt", - "name": "statement", - "prose": "When transferring information between different security domains, examine the information for the presence of {{ insert: param, ac-04.15_odp.01 }} and prohibit the transfer of such information in accordance with the {{ insert: param, ac-4.15_prm_2 }}." - }, - { - "id": "ac-4.15_gdn", - "name": "guidance", - "prose": "Unsanctioned information includes malicious code, information that is inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, information is examined for the presence of {{ insert: param, ac-04.15_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(15)[03]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, transfer of {{ insert: param, ac-04.15_odp.01 }} is prohibited in accordance with the {{ insert: param, ac-04.15_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of unsanctioned information types and associated information\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.16", - "class": "SP800-53-enhancement", - "title": "Information Transfers on Interconnected Systems", - "props": [ - { - "name": "label", - "value": "AC-04(16)" - }, - { - "name": "sort-id", - "value": "ac-04.16" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.17", - "class": "SP800-53-enhancement", - "title": "Domain Authentication", - "params": [ - { - "id": "ac-04.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.17_prm_1" - }, - { - "name": "label", - "value": "AC-04(17)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization, system, application, service, individual" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(17)" - }, - { - "name": "sort-id", - "value": "ac-04.17" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.17_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate source and destination points by {{ insert: param, ac-04.17_odp }} for information transfer." - }, - { - "id": "ac-4.17_gdn", - "name": "guidance", - "prose": "Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems allows the forensic reconstruction of events and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(17)", - "class": "sp800-53A" - } - ], - "prose": "source and destination points are uniquely identified and authenticated by {{ insert: param, ac-04.17_odp }} for information transfer." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nprocedures addressing source and destination domain identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system labels\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.18", - "class": "SP800-53-enhancement", - "title": "Security Attribute Binding", - "props": [ - { - "name": "label", - "value": "AC-04(18)" - }, - { - "name": "sort-id", - "value": "ac-04.18" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.19", - "class": "SP800-53-enhancement", - "title": "Validation of Metadata", - "params": [ - { - "id": "ac-4.19_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.19_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.19_odp.02" - } - ], - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-04.19_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(19)_ODP[01]" - } - ], - "label": "security filters", - "guidelines": [ - { - "prose": "security policy filters to be implemented on metadata are defined;" - } - ] - }, - { - "id": "ac-04.19_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(19)_ODP[02]" - } - ], - "label": "privacy policy filters", - "guidelines": [ - { - "prose": "privacy policy filters to be implemented on metadata are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(19)" - }, - { - "name": "sort-id", - "value": "ac-04.19" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.19_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata." - }, - { - "id": "ac-4.19_gdn", - "name": "guidance", - "prose": "All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions and consider metadata and the data to which the metadata applies to be part of the payload." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.19_odp.01 }} are implemented on metadata;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(19)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, {{ insert: param, ac-04.19_odp.02 }} are implemented on metadata." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security policy filtering criteria applied to metadata and data payloads\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nsecurity and policy filters" - } - ] - } - ] - }, - { - "id": "ac-4.20", - "class": "SP800-53-enhancement", - "title": "Approved Solutions", - "params": [ - { - "id": "ac-04.20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.20_prm_1" - }, - { - "name": "label", - "value": "AC-04(20)_ODP[01]" - } - ], - "label": "solutions in approved configurations", - "guidelines": [ - { - "prose": "solutions in approved configurations to control the flow of information across security domains are defined;" - } - ] - }, - { - "id": "ac-04.20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.20_prm_2" - }, - { - "name": "label", - "value": "AC-04(20)_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be controlled when it flows across security domains is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(20)" - }, - { - "name": "sort-id", - "value": "ac-04.20" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-04.20_odp.01 }} to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains." - }, - { - "id": "ac-4.20_gdn", - "name": "guidance", - "prose": "Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The National Security Agency (NSA) National Cross Domain Strategy and Management Office provides a listing of approved cross-domain solutions. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-04.20_odp.01 }} are employed to control the flow of {{ insert: param, ac-04.20_odp.02 }} across security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of solutions in approved configurations\n\napproved configuration baselines\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Separation of Information Flows", - "params": [ - { - "id": "ac-4.21_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-04.21_odp.01" - }, - { - "name": "aggregates", - "value": "ac-04.21_odp.02" - } - ], - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-04.21_odp.01", - "props": [ - { - "name": "label", - "value": "AC-04(21)_ODP[01]" - } - ], - "label": "mechanisms and/or techniques", - "guidelines": [ - { - "prose": "mechanisms and/or techniques used to logically separate information flows are defined;" - } - ] - }, - { - "id": "ac-04.21_odp.02", - "props": [ - { - "name": "label", - "value": "AC-04(21)_ODP[02]" - } - ], - "label": "mechanisms and/or techniques", - "guidelines": [ - { - "prose": "mechanisms and/or techniques used to physically separate information flows are defined;" - } - ] - }, - { - "id": "ac-04.21_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.21_prm_2" - }, - { - "name": "label", - "value": "AC-04(21)_ODP[03]" - } - ], - "label": "required separations", - "guidelines": [ - { - "prose": "required separations by types of information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(21)" - }, - { - "name": "sort-id", - "value": "ac-04.21" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)[01]", - "class": "sp800-53A" - } - ], - "prose": "information flows are separated logically using {{ insert: param, ac-04.21_odp.01 }} to accomplish {{ insert: param, ac-04.21_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(21)[02]", - "class": "sp800-53A" - } - ], - "prose": "information flows are separated physically using {{ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of required separation of information flows by information types\n\nlist of mechanisms and/or techniques used to logically or physically separate information flows\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.22", - "class": "SP800-53-enhancement", - "title": "Access Only", - "props": [ - { - "name": "label", - "value": "AC-04(22)" - }, - { - "name": "sort-id", - "value": "ac-04.22" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.22_smt", - "name": "statement", - "prose": "Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing information flow between the different security domains." - }, - { - "id": "ac-4.22_gdn", - "name": "guidance", - "prose": "The system provides a capability for users to access each connected security domain without providing any mechanisms to allow users to transfer data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(22)", - "class": "sp800-53A" - } - ], - "prose": "access is provided from a single device to computing platforms, applications, or data that reside in multiple different security domains while preventing information flow between the different security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.23", - "class": "SP800-53-enhancement", - "title": "Modify Non-releasable Information", - "params": [ - { - "id": "ac-04.23_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.23_prm_1" - }, - { - "name": "label", - "value": "AC-04(23)_ODP" - } - ], - "label": "modification action", - "guidelines": [ - { - "prose": "modification action implemented on non-releasable information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(23)" - }, - { - "name": "sort-id", - "value": "ac-04.23" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.23_smt", - "name": "statement", - "prose": "When transferring information between different security domains, modify non-releasable information by implementing {{ insert: param, ac-04.23_odp }}." - }, - { - "id": "ac-4.23_gdn", - "name": "guidance", - "prose": "Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(23)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, non-releasable information is modified by implementing {{ insert: param, ac-04.23_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.24", - "class": "SP800-53-enhancement", - "title": "Internal Normalized Format", - "props": [ - { - "name": "label", - "value": "AC-04(24)" - }, - { - "name": "sort-id", - "value": "ac-04.24" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.24_smt", - "name": "statement", - "prose": "When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification." - }, - { - "id": "ac-4.24_gdn", - "name": "guidance", - "prose": "Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, incoming data is parsed into an internal, normalized format;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the data is regenerated to be consistent with its intended specification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.25", - "class": "SP800-53-enhancement", - "title": "Data Sanitization", - "params": [ - { - "id": "ac-04.25_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.25_prm_1" - }, - { - "name": "label", - "value": "AC-04(25)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "delivery of malicious content, command and control of malicious code, malicious code augmentation, and steganography-encoded data", - "spillage of sensitive information" - ] - } - }, - { - "id": "ac-04.25_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.25_prm_2" - }, - { - "name": "label", - "value": "AC-04(25)_ODP[02]" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "policy for sanitizing data is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(25)" - }, - { - "name": "sort-id", - "value": "ac-04.25" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.25_smt", - "name": "statement", - "prose": "When transferring information between different security domains, sanitize data to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - }, - { - "id": "ac-4.25_gdn", - "name": "guidance", - "prose": "Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/solid state drives, mobile devices, CDs, and DVDs) or in hard copy form." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(25)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, data is sanitized to minimize {{ insert: param, ac-04.25_odp.01 }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.26", - "class": "SP800-53-enhancement", - "title": "Audit Filtering Actions", - "props": [ - { - "name": "label", - "value": "AC-04(26)" - }, - { - "name": "sort-id", - "value": "ac-04.26" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.26_smt", - "name": "statement", - "prose": "When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered." - }, - { - "id": "ac-4.26_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Content filtering actions and the results of filtering actions are recorded for individual messages to ensure that the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions by, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, content-filtering actions are recorded and audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(26)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, results for the information being filtered are recorded and audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering\n\nmechanisms recording and auditing content filtering" - } - ] - } - ] - }, - { - "id": "ac-4.27", - "class": "SP800-53-enhancement", - "title": "Redundant/independent Filtering Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-04(27)" - }, - { - "name": "sort-id", - "value": "ac-04.27" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.27_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type." - }, - { - "id": "ac-4.27_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as the implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors’ JPEG libraries) and multiple, independent system processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(27)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, implemented content filtering solutions provide redundant and independent filtering mechanisms for each data type." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.28", - "class": "SP800-53-enhancement", - "title": "Linear Filter Pipelines", - "props": [ - { - "name": "label", - "value": "AC-04(28)" - }, - { - "name": "sort-id", - "value": "ac-04.28" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.28_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls." - }, - { - "id": "ac-4.28_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces bypass and non-invocation issues." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(28)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, a linear content filter pipeline is implemented that is enforced with discretionary and mandatory access controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing linear content filters" - } - ] - } - ] - }, - { - "id": "ac-4.29", - "class": "SP800-53-enhancement", - "title": "Filter Orchestration Engines", - "params": [ - { - "id": "ac-04.29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-4.29_prm_1" - }, - { - "name": "label", - "value": "AC-04(29)_ODP" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "policy for content-filtering actions is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-04(29)" - }, - { - "name": "sort-id", - "value": "ac-04.29" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.29_smt", - "name": "statement", - "prose": "When transferring information between different security domains, employ content filter orchestration engines to ensure that:", - "parts": [ - { - "id": "ac-4.29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Content filtering mechanisms successfully complete execution without errors; and" - }, - { - "id": "ac-4.29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Content filtering actions occur in the correct order and comply with {{ insert: param, ac-04.29_odp }}." - } - ] - }, - { - "id": "ac-4.29_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross-domain solution and determines if the information meets a predefined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due to non-compliance with policy. Content filter reports are a commonly used mechanism to ensure that expected filtering actions are completed successfully." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(a)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering mechanisms successfully complete execution without errors;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions occur in the correct order;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(29)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content filter orchestration engines are employed to ensure that content-filtering actions comply with {{ insert: param, ac-04.29_odp }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filter orchestration engines" - } - ] - } - ] - }, - { - "id": "ac-4.30", - "class": "SP800-53-enhancement", - "title": "Filter Mechanisms Using Multiple Processes", - "props": [ - { - "name": "label", - "value": "AC-04(30)" - }, - { - "name": "sort-id", - "value": "ac-04.30" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.30_smt", - "name": "statement", - "prose": "When transferring information between different security domains, implement content filtering mechanisms using multiple processes." - }, - { - "id": "ac-4.30_gdn", - "name": "guidance", - "prose": "The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(30)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between security domains, content-filtering mechanisms using multiple processes are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(30)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(30)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(30)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering" - } - ] - } - ] - }, - { - "id": "ac-4.31", - "class": "SP800-53-enhancement", - "title": "Failed Content Transfer Prevention", - "props": [ - { - "name": "label", - "value": "AC-04(31)" - }, - { - "name": "sort-id", - "value": "ac-04.31" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.31_smt", - "name": "statement", - "prose": "When transferring information between different security domains, prevent the transfer of failed content to the receiving domain." - }, - { - "id": "ac-4.31_gdn", - "name": "guidance", - "prose": "Content that failed filtering checks can corrupt the system if transferred to the receiving domain." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(31)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the transfer of failed content to the receiving domain is prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(31)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(31)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(31)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-4.32", - "class": "SP800-53-enhancement", - "title": "Process Requirements for Information Transfer", - "props": [ - { - "name": "label", - "value": "AC-04(32)" - }, - { - "name": "sort-id", - "value": "ac-04.32" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-4.32_smt", - "name": "statement", - "prose": "When transferring information between different security domains, the process that transfers information between filter pipelines:", - "parts": [ - { - "id": "ac-4.32_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Does not filter message content;" - }, - { - "id": "ac-4.32_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Validates filtering metadata;" - }, - { - "id": "ac-4.32_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Ensures the content associated with the filtering metadata has successfully completed filtering; and" - }, - { - "id": "ac-4.32_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Transfers the content to the destination filter pipeline." - } - ] - }, - { - "id": "ac-4.32_gdn", - "name": "guidance", - "prose": "The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(a)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines does not filter message content;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(b)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines validates filtering metadata;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(c)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines ensures that the content with the filtering metadata has successfully completed filtering;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-04(32)(d)", - "class": "sp800-53A" - } - ], - "prose": "when transferring information between different security domains, the process that transfers information between filter pipelines transfers the content to the destination filter pipeline." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-04(32)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-04(32)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-04(32)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions\n\nmechanisms implementing content filtering" - } - ] - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "params": [ - { - "id": "ac-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-5_prm_1" - }, - { - "name": "label", - "value": "AC-05_ODP" - } - ], - "label": "duties of individuals", - "guidelines": [ - { - "prose": "duties of individuals requiring separation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-05" - }, - { - "name": "sort-id", - "value": "ac-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-12", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document {{ insert: param, ac-05_odp }} ; and" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define system access authorizations to support separation of duties." - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in [AC-2](#ac-2) , access control mechanisms in [AC-3](#ac-3) , and identity management activities in [IA-2](#ia-2), [IA-4](#ia-4) , and [IA-12](#ia-12)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-05_odp }} are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-05b.", - "class": "sp800-53A" - } - ], - "prose": "system access authorizations to support separation of duties are defined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing divisions of responsibility and separation of duties\n\nsystem configuration settings and associated documentation\n\nlist of divisions of responsibility and separation of duties\n\nsystem access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing separation of duties policy" - } - ] - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "props": [ - { - "name": "label", - "value": "AC-06" - }, - { - "name": "sort-id", - "value": "ac-06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06", - "class": "sp800-53A" - } - ], - "prose": "the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of assigned access authorizations (user privileges)\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "params": [ - { - "id": "ac-6.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-06.01_odp.02" - }, - { - "name": "aggregates", - "value": "ac-06.01_odp.03" - }, - { - "name": "aggregates", - "value": "ac-06.01_odp.04" - } - ], - "label": "organization-defined security functions (deployed in hardware, software, and firmware)" - }, - { - "id": "ac-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.1_prm_1" - }, - { - "name": "label", - "value": "AC-06(01)_ODP[01]" - } - ], - "label": "individuals and roles", - "guidelines": [ - { - "prose": "individuals and roles with authorized access to security functions and security-relevant information are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[02]" - } - ], - "label": "security functions (deployed in hardware)", - "guidelines": [ - { - "prose": "security functions (deployed in hardware) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[03]" - } - ], - "label": "security functions (deployed in software)", - "guidelines": [ - { - "prose": "security functions (deployed in software) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-06(01)_ODP[04]" - } - ], - "label": "security functions (deployed in firmware)", - "guidelines": [ - { - "prose": "security functions (deployed in firmware) for authorized access are defined;" - } - ] - }, - { - "id": "ac-06.01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.1_prm_3" - }, - { - "name": "label", - "value": "AC-06(01)_ODP[05]" - } - ], - "label": "security-relevant functions", - "guidelines": [ - { - "prose": "security-relevant information for authorized access is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(01)" - }, - { - "name": "sort-id", - "value": "ac-06.01" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "Authorize access for {{ insert: param, ac-06.01_odp.01 }} to:", - "parts": [ - { - "id": "ac-6.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_2 }} ; and" - }, - { - "id": "ac-6.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-06.01_odp.05 }}." - } - ] - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "params": [ - { - "id": "ac-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.2_prm_1" - }, - { - "name": "label", - "value": "AC-06(02)_ODP" - } - ], - "label": "security functions or security-relevant information", - "guidelines": [ - { - "prose": "security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(02)" - }, - { - "name": "sort-id", - "value": "ac-06.02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "Require that users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} use non-privileged accounts or roles, when accessing nonsecurity functions." - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(02)", - "class": "sp800-53A" - } - ], - "prose": "users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} are required to use non-privileged accounts or roles when accessing non-security functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated security functions or security-relevant information assigned to system accounts or roles\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.3", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Commands", - "params": [ - { - "id": "ac-06.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.3_prm_1" - }, - { - "name": "label", - "value": "AC-06(03)_ODP[01]" - } - ], - "label": "privileged commands", - "guidelines": [ - { - "prose": "privileged commands to which network access is to be authorized only for compelling operational needs are defined;" - } - ] - }, - { - "id": "ac-06.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.3_prm_2" - }, - { - "name": "label", - "value": "AC-06(03)_ODP[02]" - } - ], - "label": "compelling operational needs", - "guidelines": [ - { - "prose": "compelling operational needs necessitating network access to privileged commands are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(03)" - }, - { - "name": "sort-id", - "value": "ac-06.03" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.3_smt", - "name": "statement", - "prose": "Authorize network access to {{ insert: param, ac-06.03_odp.01 }} only for {{ insert: param, ac-06.03_odp.02 }} and document the rationale for such access in the security plan for the system." - }, - { - "id": "ac-6.3_gdn", - "name": "guidance", - "prose": "Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "network access to {{ insert: param, ac-06.03_odp.01 }} is authorized only for {{ insert: param, ac-06.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the rationale for authorizing network access to privileged commands is documented in the security plan for the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of operational needs for authorizing network access to privileged commands\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.4", - "class": "SP800-53-enhancement", - "title": "Separate Processing Domains", - "props": [ - { - "name": "label", - "value": "AC-06(04)" - }, - { - "name": "sort-id", - "value": "ac-06.04" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.4_smt", - "name": "statement", - "prose": "Provide separate processing domains to enable finer-grained allocation of user privileges." - }, - { - "id": "ac-6.4_gdn", - "name": "guidance", - "prose": "Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine, implementing separate physical domains, and employing hardware or software domain separation mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(04)", - "class": "sp800-53A" - } - ], - "prose": "separate processing domains are provided to enable finer-grain allocation of user privileges." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "params": [ - { - "id": "ac-06.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.5_prm_1" - }, - { - "name": "label", - "value": "AC-06(05)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to which privileged accounts on the system are to be restricted is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(05)" - }, - { - "name": "sort-id", - "value": "ac-06.05" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "Restrict privileged accounts on the system to {{ insert: param, ac-06.05_odp }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(05)", - "class": "sp800-53A" - } - ], - "prose": "privileged accounts on the system are restricted to {{ insert: param, ac-06.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of system administration personnel\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.6", - "class": "SP800-53-enhancement", - "title": "Privileged Access by Non-organizational Users", - "props": [ - { - "name": "label", - "value": "AC-06(06)" - }, - { - "name": "sort-id", - "value": "ac-06.06" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.6_smt", - "name": "statement", - "prose": "Prohibit privileged access to the system by non-organizational users." - }, - { - "id": "ac-6.6_gdn", - "name": "guidance", - "prose": "An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policies and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(06)", - "class": "sp800-53A" - } - ], - "prose": "privileged access to the system by non-organizational users is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of non-organizational users\n\nsystem configuration settings and associated documentation\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting privileged access to the system" - } - ] - } - ] - }, - { - "id": "ac-6.7", - "class": "SP800-53-enhancement", - "title": "Review of User Privileges", - "params": [ - { - "id": "ac-06.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.7_prm_1" - }, - { - "name": "label", - "value": "AC-06(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the privileges assigned to roles or classes of users is defined;" - } - ] - }, - { - "id": "ac-06.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.7_prm_2" - }, - { - "name": "label", - "value": "AC-06(07)_ODP[02]" - } - ], - "label": "roles and classes", - "guidelines": [ - { - "prose": "roles or classes of users to which privileges are assigned are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(07)" - }, - { - "name": "sort-id", - "value": "ac-06.07" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-6.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review {{ insert: param, ac-06.07_odp.01 }} the privileges assigned to {{ insert: param, ac-06.07_odp.02 }} to validate the need for such privileges; and" - }, - { - "id": "ac-6.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "id": "ac-6.7_gdn", - "name": "guidance", - "prose": "The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "privileges assigned to {{ insert: param, ac-06.07_odp.02 }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to validate the need for such privileges;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated roles or classes of users and assigned privileges\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation reviews of privileges assigned to roles or classes or users\n\nrecords of privilege removals or reassignments for roles or classes of users\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing review of user privileges" - } - ] - } - ] - }, - { - "id": "ac-6.8", - "class": "SP800-53-enhancement", - "title": "Privilege Levels for Code Execution", - "params": [ - { - "id": "ac-06.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-6.8_prm_1" - }, - { - "name": "label", - "value": "AC-06(08)_ODP" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be prevented from executing at higher privilege levels than users executing the software is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-06(08)" - }, - { - "name": "sort-id", - "value": "ac-06.08" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-6.8_smt", - "name": "statement", - "prose": "Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-06.08_odp }}." - }, - { - "id": "ac-6.8_gdn", - "name": "guidance", - "prose": "In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-06.08_odp }} is prevented from executing at higher privilege levels than users executing the software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nlist of software that should not execute at higher privilege levels than users executing software\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for software execution" - } - ] - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Log Use of Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-06(09)" - }, - { - "name": "sort-id", - "value": "ac-06.09" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "Log the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(09)", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged functions is logged." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged functions to be audited\n\nlist of audited events\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms auditing the execution of least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-06(10)" - }, - { - "name": "sort-id", - "value": "ac-06.10" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "Prevent non-privileged users from executing privileged functions." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by [AC-3](#ac-3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-06(10)", - "class": "sp800-53A" - } - ], - "prose": "non-privileged users are prevented from executing privileged functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-06(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing least privilege\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of privileged functions and associated user account assignments\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-06(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-06(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for non-privileged users" - } - ] - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "params": [ - { - "id": "ac-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_1" - }, - { - "name": "label", - "value": "AC-07_ODP[01]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive invalid logon attempts by a user allowed during a time period is defined;" - } - ] - }, - { - "id": "ac-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_2" - }, - { - "name": "label", - "value": "AC-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to which the number of consecutive invalid logon attempts by a user is limited is defined;" - } - ] - }, - { - "id": "ac-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_3" - }, - { - "name": "label", - "value": "AC-07_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "lock the account or node for an{{ insert: param, ac-07_odp.04 }} ", - "lock the account or node until released by an administrator", - "delay next logon prompt per{{ insert: param, ac-07_odp.05 }} ", - "notify system administrator", - "take other{{ insert: param, ac-07_odp.06 }} " - ] - } - }, - { - "id": "ac-07_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_4" - }, - { - "name": "label", - "value": "AC-07_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for an account or node to be locked is defined (if selected);" - } - ] - }, - { - "id": "ac-07_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_5" - }, - { - "name": "label", - "value": "AC-07_ODP[05]" - } - ], - "label": "delay algorithm", - "guidelines": [ - { - "prose": "delay algorithm for the next logon prompt is defined (if selected);" - } - ] - }, - { - "id": "ac-07_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7_prm_6" - }, - { - "name": "label", - "value": "AC-07_ODP[06]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "other action to be taken when the maximum number of unsuccessful attempts is exceeded is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07" - }, - { - "name": "sort-id", - "value": "ac-07" - } - ], - "links": [ - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-07_odp.02 }} ; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07a.", - "class": "sp800-53A" - } - ], - "prose": "a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-07_odp.02 }} is enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07b.", - "class": "sp800-53A" - } - ], - "prose": "automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ], - "controls": [ - { - "id": "ac-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Account Lock", - "props": [ - { - "name": "label", - "value": "AC-07(01)" - }, - { - "name": "sort-id", - "value": "ac-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-7.2", - "class": "SP800-53-enhancement", - "title": "Purge or Wipe Mobile Device", - "params": [ - { - "id": "ac-07.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_1" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[01]" - } - ], - "label": "mobile devices", - "guidelines": [ - { - "prose": "mobile devices to be purged or wiped of information are defined;" - } - ] - }, - { - "id": "ac-07.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_2" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[02]" - } - ], - "label": "purging or wiping requirements or techniques", - "guidelines": [ - { - "prose": "purging or wiping requirements and techniques to be used when mobile devices are purged or wiped of information are defined;" - } - ] - }, - { - "id": "ac-07.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.2_prm_3" - }, - { - "name": "label", - "value": "AC-07(02)_ODP[03]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive, unsuccessful logon attempts before the information is purged or wiped from mobile devices is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(02)" - }, - { - "name": "sort-id", - "value": "ac-07.02" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.2_smt", - "name": "statement", - "prose": "Purge or wipe information from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts." - }, - { - "id": "ac-7.2_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(02)", - "class": "sp800-53A" - } - ], - "prose": "information is purged or wiped from {{ insert: param, ac-07.02_odp.01 }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert: param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon attempts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts on mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts\n\nlist of purging/wiping requirements or techniques for mobile devices\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful device logon attempts" - } - ] - } - ] - }, - { - "id": "ac-7.3", - "class": "SP800-53-enhancement", - "title": "Biometric Attempt Limiting", - "params": [ - { - "id": "ac-07.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.3_prm_1" - }, - { - "name": "label", - "value": "AC-07(03)_ODP" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of unsuccessful biometric logon attempts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(03)" - }, - { - "name": "sort-id", - "value": "ac-07.03" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.3_smt", - "name": "statement", - "prose": "Limit the number of unsuccessful biometric logon attempts to {{ insert: param, ac-07.03_odp }}." - }, - { - "id": "ac-7.3_gdn", - "name": "guidance", - "prose": "Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts for users based on organizationally-defined factors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(03)", - "class": "sp800-53A" - } - ], - "prose": "unsuccessful biometric logon attempts are limited to {{ insert: param, ac-07.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts on biometric devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ] - }, - { - "id": "ac-7.4", - "class": "SP800-53-enhancement", - "title": "Use of Alternate Authentication Factor", - "params": [ - { - "id": "ac-07.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_1" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[01]" - } - ], - "label": "authentication factors", - "guidelines": [ - { - "prose": "authentication factors allowed to be used that are different from the primary authentication factors are defined;" - } - ] - }, - { - "id": "ac-07.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_2" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[02]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of consecutive, invalid logon attempts through the use of alternative factors for which to enforce a limit by a user is defined;" - } - ] - }, - { - "id": "ac-07.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-7.4_prm_3" - }, - { - "name": "label", - "value": "AC-07(04)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period during which a user can attempt logons through alternative factors is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-07(04)" - }, - { - "name": "sort-id", - "value": "ac-07.04" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allow the use of {{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and" - }, - { - "id": "ac-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through use of the alternative factors by a user during a {{ insert: param, ac-07.04_odp.03 }}." - } - ] - }, - { - "id": "ac-7.4_gdn", - "name": "guidance", - "prose": "The use of alternate authentication factors supports the objective of availability and allows a user who has inadvertently been locked out to use additional authentication factors to bypass the lockout." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-07.04_odp.01 }} that are different from the primary authentication factors are allowed to be used after the number of organization-defined consecutive invalid logon attempts have been exceeded;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive invalid logon attempts through the use of the alternative factors by the user during a {{ insert: param, ac-07.04_odp.03 }} is enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing unsuccessful logon attempts for primary and alternate authentication factors\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon attempts" - } - ] - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "params": [ - { - "id": "ac-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-8_prm_1" - }, - { - "name": "label", - "value": "AC-08_ODP[01]" - } - ], - "label": "system use notification", - "guidelines": [ - { - "prose": "system use notification message or banner to be displayed by the system to users before granting access to the system is defined;" - } - ] - }, - { - "id": "ac-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-8_prm_2" - }, - { - "name": "label", - "value": "AC-08_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions for system use to be displayed by the system before granting further access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-08" - }, - { - "name": "sort-id", - "value": "ac-08" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Display {{ insert: param, ac-08_odp.01 }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Users are accessing a U.S. Government system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "System usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Display system use information {{ insert: param, ac-08_odp.02 }} , before granting further access to the publicly accessible system;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Include a description of the authorized uses of the system." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.01", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that users are accessing a U.S. Government system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.02", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that system usage may be monitored, recorded, and subject to audit;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.03", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08a.04", - "class": "sp800-53A" - } - ], - "prose": "the system use notification states that use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08b.", - "class": "sp800-53A" - } - ], - "prose": "the notification message or banner is retained on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.01", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, system use information {{ insert: param, ac-08_odp.02 }} is displayed before granting further access to the publicly accessible system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.02", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, any references to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities are displayed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-08c.03", - "class": "sp800-53A" - } - ], - "prose": "for publicly accessible systems, a description of the authorized uses of the system is included." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of system use notification messages or banners\n\nsystem audit records\n\nuser acknowledgements of notification message or banner\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem use notification messages\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy assessment report\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - } - ] - }, - { - "id": "ac-9", - "class": "SP800-53", - "title": "Previous Logon Notification", - "props": [ - { - "name": "label", - "value": "AC-09" - }, - { - "name": "sort-id", - "value": "ac-09" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-9_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon to the system, of the date and time of the last logon." - }, - { - "id": "ac-9_gdn", - "name": "guidance", - "prose": "Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user’s last access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon to the system, of the date and time of the last logon." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem notification messages\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ], - "controls": [ - { - "id": "ac-9.1", - "class": "SP800-53-enhancement", - "title": "Unsuccessful Logons", - "props": [ - { - "name": "label", - "value": "AC-09(01)" - }, - { - "name": "sort-id", - "value": "ac-09.01" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.1_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "id": "ac-9.1_gdn", - "name": "guidance", - "prose": "Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user’s actual logon attempts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(01)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.2", - "class": "SP800-53-enhancement", - "title": "Successful and Unsuccessful Logons", - "params": [ - { - "id": "ac-09.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.2_prm_1" - }, - { - "name": "label", - "value": "AC-09(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "successful logons", - "unsuccessful logon attempts", - "both" - ] - } - }, - { - "id": "ac-09.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.2_prm_2" - }, - { - "name": "label", - "value": "AC-09(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for which the system notifies the user of the number of successful logons, unsuccessful logon attempts, or both is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(02)" - }, - { - "name": "sort-id", - "value": "ac-09.02" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.2_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}." - }, - { - "id": "ac-9.2_gdn", - "name": "guidance", - "prose": "Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts are consistent with the user’s actual logon attempts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(02)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of the number of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param, ac-09.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.3", - "class": "SP800-53-enhancement", - "title": "Notification of Account Changes", - "params": [ - { - "id": "ac-09.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.3_prm_1" - }, - { - "name": "label", - "value": "AC-09(03)_ODP[01]" - } - ], - "label": "security-related characteristics or parameters", - "guidelines": [ - { - "prose": "changes to security-related characteristics or parameters of the user’s account that require notification are defined;" - } - ] - }, - { - "id": "ac-09.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.3_prm_2" - }, - { - "name": "label", - "value": "AC-09(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for which the system notifies the user of changes to security-related characteristics or parameters of the user’s account is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(03)" - }, - { - "name": "sort-id", - "value": "ac-09.03" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.3_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}." - }, - { - "id": "ac-9.3_gdn", - "name": "guidance", - "prose": "Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(03)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of changes to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - }, - { - "id": "ac-9.4", - "class": "SP800-53-enhancement", - "title": "Additional Logon Information", - "params": [ - { - "id": "ac-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-9.4_prm_1" - }, - { - "name": "label", - "value": "AC-09(04)_ODP" - } - ], - "label": "additional information", - "guidelines": [ - { - "prose": "additional information about which to notify the user is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-09(04)" - }, - { - "name": "sort-id", - "value": "ac-09.04" - } - ], - "links": [ - { - "href": "#ac-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-9.4_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the following additional information: {{ insert: param, ac-09.04_odp }}." - }, - { - "id": "ac-9.4_gdn", - "name": "guidance", - "prose": "Organizations can specify additional information to be provided to users upon logon, including the location of the last logon. User location is defined as information that can be determined by systems, such as Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-09(04)", - "class": "sp800-53A" - } - ], - "prose": "the user is notified, upon successful logon, of {{ insert: param, ac-09.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing previous logon notification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for previous logon notification" - } - ] - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "params": [ - { - "id": "ac-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-10_prm_1" - }, - { - "name": "label", - "value": "AC-10_ODP[01]" - } - ], - "label": "account and/or account types", - "guidelines": [ - { - "prose": "accounts and/or account types for which to limit the number of concurrent sessions is defined;" - } - ] - }, - { - "id": "ac-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-10_prm_2" - }, - { - "name": "label", - "value": "AC-10_ODP[02]" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of concurrent sessions to be allowed for each account and/or account type is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "ac-10" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "Limit the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} to {{ insert: param, ac-10_odp.02 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-10", - "class": "sp800-53A" - } - ], - "prose": "the number of concurrent sessions for each {{ insert: param, ac-10_odp.01 }} is limited to {{ insert: param, ac-10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing concurrent session control\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for concurrent session control" - } - ] - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Device Lock", - "params": [ - { - "id": "ac-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-11_prm_1" - }, - { - "name": "label", - "value": "AC-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "initiating a device lock after{{ insert: param, ac-11_odp.02 }}of inactivity", - "requiring the user to initiate a device lock before leaving the system unattended" - ] - } - }, - { - "id": "ac-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-11_prm_2" - }, - { - "name": "label", - "value": "AC-11_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period of inactivity after which a device lock is initiated is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "ac-11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevent further access to the system by {{ insert: param, ac-11_odp.01 }} ; and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the device lock until the user reestablishes access using established identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11a.", - "class": "sp800-53A" - } - ], - "prose": "further access to the system is prevented by {{ insert: param, ac-11_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11b.", - "class": "sp800-53A" - } - ], - "prose": "device lock is retained until the user re-establishes access using established identification and authentication procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session lock\n\nprocedures addressing identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for session lock" - } - ] - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "props": [ - { - "name": "label", - "value": "AC-11(01)" - }, - { - "name": "sort-id", - "value": "ac-11.01" - } - ], - "links": [ - { - "href": "#ac-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "**Conceal, via the device lock, information previously visible on the display with a publicly viewable image**." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-11(01)", - "class": "sp800-53A" - } - ], - "prose": "information previously visible on the display is concealed, via device lock, with a publicly viewable image." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session lock\n\ndisplay screen with session lock activated\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session lock mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "params": [ - { - "id": "ac-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12_prm_1" - }, - { - "name": "label", - "value": "AC-12_ODP" - } - ], - "label": "conditions or trigger events", - "guidelines": [ - { - "prose": "conditions or trigger events requiring session disconnect are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "ac-12" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "Automatically terminate a user session after {{ insert: param, ac-12_odp }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "Session termination addresses the termination of user-initiated logical sessions (in contrast to [SC-10](#sc-10) , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12", - "class": "sp800-53A" - } - ], - "prose": "a user session is automatically terminated after {{ insert: param, ac-12_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of conditions or trigger events requiring session disconnect\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session termination" - } - ] - } - ], - "controls": [ - { - "id": "ac-12.1", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts", - "params": [ - { - "id": "ac-12.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12.1_prm_1" - }, - { - "name": "label", - "value": "AC-12(01)_ODP" - } - ], - "label": "information resources", - "guidelines": [ - { - "prose": "information resources for which a logout capability for user-initiated communications sessions is required are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(01)" - }, - { - "name": "sort-id", - "value": "ac-12.01" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.1_smt", - "name": "statement", - "prose": "Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}." - }, - { - "id": "ac-12.1_gdn", - "name": "guidance", - "prose": "Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(01)", - "class": "sp800-53A" - } - ], - "prose": "a logout capability is provided for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nuser logout messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\nlogout capabilities for user-initiated communications sessions" - } - ] - } - ] - }, - { - "id": "ac-12.2", - "class": "SP800-53-enhancement", - "title": "Termination Message", - "props": [ - { - "name": "label", - "value": "AC-12(02)" - }, - { - "name": "sort-id", - "value": "ac-12.02" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.2_smt", - "name": "statement", - "prose": "Display an explicit logout message to users indicating the termination of authenticated communications sessions." - }, - { - "id": "ac-12.2_gdn", - "name": "guidance", - "prose": "Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(02)", - "class": "sp800-53A" - } - ], - "prose": "an explicit logout message is displayed to users indicating the termination of authenticated communication sessions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\nuser logout messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\ndisplay of logout messages" - } - ] - } - ] - }, - { - "id": "ac-12.3", - "class": "SP800-53-enhancement", - "title": "Timeout Warning Message", - "params": [ - { - "id": "ac-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-12.3_prm_1" - }, - { - "name": "label", - "value": "AC-12(03)_ODP" - } - ], - "label": "time", - "guidelines": [ - { - "prose": "time until the end of session for display to users is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(03)" - }, - { - "name": "sort-id", - "value": "ac-12.03" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-12.3_smt", - "name": "statement", - "prose": "Display an explicit message to users indicating that the session will end in {{ insert: param, ac-12.03_odp }}." - }, - { - "id": "ac-12.3_gdn", - "name": "guidance", - "prose": "To increase usability, notify users of pending session termination and prompt users to continue the session. The pending session termination time period is based on the parameters defined in the [AC-12](#ac-12) base control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-12(03)", - "class": "sp800-53A" - } - ], - "prose": "an explicit message to users is displayed indicating that the session will end in {{ insert: param, ac-12.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing session termination\n\ntime until end of session messages\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System session termination mechanisms\n\ndisplay of end of session time" - } - ] - } - ] - } - ] - }, - { - "id": "ac-13", - "class": "SP800-53", - "title": "Supervision and Review — Access Control", - "props": [ - { - "name": "label", - "value": "AC-13" - }, - { - "name": "sort-id", - "value": "ac-13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "params": [ - { - "id": "ac-14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-14_prm_1" - }, - { - "name": "label", - "value": "AC-14_ODP" - } - ], - "label": "user actions", - "guidelines": [ - { - "prose": "user actions that can be performed on the system without identification or authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - } - ], - "links": [ - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify {{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be \"none.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "user actions not requiring identification or authentication are documented in the security plan for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a rationale for user actions not requiring identification or authentication is provided in the security plan for the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing permitted actions without identification or authentication\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or authentication\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ac-14.1", - "class": "SP800-53-enhancement", - "title": "Necessary Uses", - "props": [ - { - "name": "label", - "value": "AC-14(01)" - }, - { - "name": "sort-id", - "value": "ac-14.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ac-15", - "class": "SP800-53", - "title": "Automated Marking", - "props": [ - { - "name": "label", - "value": "AC-15" - }, - { - "name": "sort-id", - "value": "ac-15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-16", - "class": "SP800-53", - "title": "Security and Privacy Attributes", - "params": [ - { - "id": "ac-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16_odp.02" - } - ], - "label": "organization-defined types of security and privacy attributes" - }, - { - "id": "ac-16_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16_odp.04" - } - ], - "label": "organization-defined security and privacy attribute values" - }, - { - "id": "ac-16_prm_3", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16_odp.06" - } - ], - "label": "organization-defined systems" - }, - { - "id": "ac-16_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16_odp.08" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_6", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16_odp.08" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_7", - "props": [ - { - "name": "aggregates", - "value": "ac-16_odp.10" - }, - { - "name": "aggregates", - "value": "ac-16_odp.11" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "ac-16_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[01]" - } - ], - "label": "types of security attributes", - "guidelines": [ - { - "prose": "types of security attributes to be associated with information security attribute values for information in storage, in process, and/or in transmission are defined;" - } - ] - }, - { - "id": "ac-16_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[02]" - } - ], - "label": "types of privacy attributes", - "guidelines": [ - { - "prose": "types of privacy attributes to be associated with privacy attribute values for information in storage, in process, and/or in transmission are defined;" - } - ] - }, - { - "id": "ac-16_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[03]" - } - ], - "label": "security attribute values", - "guidelines": [ - { - "prose": "security attribute values for types of security attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[04]" - } - ], - "label": "privacy attribute values", - "guidelines": [ - { - "prose": "privacy attribute values for types of privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[05]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which permitted security attributes are to be established are defined;" - } - ] - }, - { - "id": "ac-16_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[06]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which permitted privacy attributes are to be established are defined;" - } - ] - }, - { - "id": "ac-16_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[07]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes defined as part of AC-16a that are permitted for systems are defined;" - } - ] - }, - { - "id": "ac-16_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[08]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes defined as part of AC-16a that are permitted for systems are defined;" - } - ] - }, - { - "id": "ac-16_odp.09", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16_prm_5" - }, - { - "name": "label", - "value": "AC-16_ODP[09]" - } - ], - "label": "attribute values or ranges", - "guidelines": [ - { - "prose": "attribute values or ranges for established attributes are defined;" - } - ] - }, - { - "id": "ac-16_odp.10", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review security attributes for applicability is defined;" - } - ] - }, - { - "id": "ac-16_odp.11", - "props": [ - { - "name": "label", - "value": "AC-16_ODP[11]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review privacy attributes for applicability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16" - }, - { - "name": "sort-id", - "value": "ac-16" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16_smt", - "name": "statement", - "parts": [ - { - "id": "ac-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the means to associate {{ insert: param, ac-16_prm_1 }} with {{ insert: param, ac-16_prm_2 }} for information in storage, in process, and/or in transmission;" - }, - { - "id": "ac-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the attribute associations are made and retained with the information;" - }, - { - "id": "ac-16_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish the following permitted security and privacy attributes from the attributes defined in [AC-16a](#ac-16_smt.a) for {{ insert: param, ac-16_prm_3 }}: {{ insert: param, ac-16_prm_4 }};" - }, - { - "id": "ac-16_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determine the following permitted attribute values or ranges for each of the established attributes: {{ insert: param, ac-16_odp.09 }};" - }, - { - "id": "ac-16_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Audit changes to attributes; and" - }, - { - "id": "ac-16_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Review {{ insert: param, ac-16_prm_6 }} for applicability {{ insert: param, ac-16_prm_7 }}." - } - ] - }, - { - "id": "ac-16_gdn", - "name": "guidance", - "prose": "Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures, such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions that represent the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components.\n\nAttributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, cause information to flow among objects, or change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play important parts in the trust that organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information.\n\nOrganizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements (e.g., top secret, secret, confidential, controlled unclassified), information impact level; high value asset information, access authorizations, nationality; data life cycle protection (i.e., encryption and data expiration), personally identifiable information processing permissions, including individual consent to personally identifiable information processing, and contractor affiliation. A related term to labeling is marking. Marking refers to the association of attributes with objects in a human-readable form and displayed on system media. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Security and privacy labels may have the same value as media markings (e.g., top secret, secret, confidential). See [MP-3](#mp-3) (Media Marking)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the means to associate {{ insert: param, ac-16_odp.01 }} with {{ insert: param, ac-16_odp.03 }} for information in storage, in process, and/or in transmission are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the means to associate {{ insert: param, ac-16_odp.02 }} with {{ insert: param, ac-16_odp.04 }} for information in storage, in process, and/or in transmission are provided;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.[01]", - "class": "sp800-53A" - } - ], - "prose": "attribute associations are made;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16b.[02]", - "class": "sp800-53A" - } - ], - "prose": "attribute associations are retained with the information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the following permitted security attributes are established from the attributes defined in AC-16a. for {{ insert: param, ac-16_odp.05 }}: {{ insert: param, ac-16_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the following permitted privacy attributes are established from the attributes defined in AC-16a. for {{ insert: param, ac-16_odp.06 }}: {{ insert: param, ac-16_odp.08 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16d.", - "class": "sp800-53A" - } - ], - "prose": "the following permitted attribute values or ranges for each of the established attributes are determined: {{ insert: param, ac-16_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16e.", - "class": "sp800-53A" - } - ], - "prose": "changes to attributes are audited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16_odp.07 }} are reviewed for applicability {{ insert: param, ac-16_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16f.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16_odp.08 }} are reviewed for applicability {{ insert: param, ac-16_odp.11 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information in storage, in process, and in transmission\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational capability supporting and maintaining the association of security and privacy attributes to information in storage, in process, and in transmission" - } - ] - } - ], - "controls": [ - { - "id": "ac-16.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Attribute Association", - "params": [ - { - "id": "ac-16.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.01_odp.01" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.01_odp.05" - } - ], - "label": "organization-defined security and privacy policies" - }, - { - "id": "ac-16.01_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[01]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects with which security attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[02]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects with which security attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects with which privacy attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[04]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects with which privacy attributes are to be dynamically associated as information is created and combined are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[05]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies requiring dynamic association of security attributes with subjects and objects are defined;" - } - ] - }, - { - "id": "ac-16.01_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(01)_ODP[06]" - } - ], - "label": "privacy policies", - "guidelines": [ - { - "prose": "privacy policies requiring dynamic association of privacy attributes with subjects and objects are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(01)" - }, - { - "name": "sort-id", - "value": "ac-16.01" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.1_smt", - "name": "statement", - "prose": "Dynamically associate security and privacy attributes with {{ insert: param, ac-16.1_prm_1 }} in accordance with the following security and privacy policies as information is created and combined: {{ insert: param, ac-16.1_prm_2 }}." - }, - { - "id": "ac-16.1_gdn", - "name": "guidance", - "prose": "Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, or changes in security or privacy policies. Attributes may also change situationally." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.01 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are dynamically associated with {{ insert: param, ac-16.01_odp.02 }} in accordance with the following security policies as information is created and combined: {{ insert: param, ac-16.01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.03 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are dynamically associated with {{ insert: param, ac-16.01_odp.04 }} in accordance with the following privacy policies as information is created and combined: {{ insert: param, ac-16.01_odp.06 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing dynamic association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing dynamic association of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.2", - "class": "SP800-53-enhancement", - "title": "Attribute Value Changes by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(02)" - }, - { - "name": "sort-id", - "value": "ac-16.02" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.2_smt", - "name": "statement", - "prose": "Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes." - }, - { - "id": "ac-16.2_gdn", - "name": "guidance", - "prose": "The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated security attributes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to define or change the value of associated privacy attributes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the change of security and privacy attribute values\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of individuals authorized to change security and privacy attributes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for changing values of security and privacy attributes\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms permitting changes to values of security and privacy attributes" - } - ] - } - ] - }, - { - "id": "ac-16.3", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Associations by System", - "params": [ - { - "id": "ac-16.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.03_odp.01" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.3_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.03_odp.03" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.03_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes that require association and integrity maintenance are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes that require association and integrity maintenance are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[03]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association and integrity of security attributes to such subjects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[04]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association and integrity of security attributes to such objects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association and integrity of privacy attributes to such subjects to be maintained are defined;" - } - ] - }, - { - "id": "ac-16.03_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(03)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association and integrity of privacy attributes to such objects to be maintained are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(03)" - }, - { - "name": "sort-id", - "value": "ac-16.03" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.3_smt", - "name": "statement", - "prose": "Maintain the association and integrity of {{ insert: param, ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - }, - { - "id": "ac-16.3_gdn", - "name": "guidance", - "prose": "Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from \"known good\" baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.03 }} is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.01 }} to {{ insert: param, ac-16.03_odp.04 }} is maintained." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.05 }} is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "the association and integrity of {{ insert: param, ac-16.03_odp.02 }} to {{ insert: param, ac-16.03_odp.06 }} is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information\n\nprocedures addressing labeling or marking\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms maintaining association and integrity of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.4", - "class": "SP800-53-enhancement", - "title": "Association of Attributes by Authorized Individuals", - "params": [ - { - "id": "ac-16.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.04_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.02" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.04" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.04_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.06" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16.04_odp.08" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[02]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[03]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with subjects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[04]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with objects by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association of security attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[07]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - }, - { - "id": "ac-16.04_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16(04)_ODP[08]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects requiring the association of privacy attributes by authorized individuals (or processes acting on behalf of individuals) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(04)" - }, - { - "name": "sort-id", - "value": "ac-16.04" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.4_smt", - "name": "statement", - "prose": "Provide the capability to associate {{ insert: param, ac-16.4_prm_1 }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals (or processes acting on behalf of individuals)." - }, - { - "id": "ac-16.4_gdn", - "name": "guidance", - "prose": "Systems, in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects, employing automated mechanisms to categorize information with attributes based on defined policies, or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.01 }} with {{ insert: param, ac-16.04_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.02 }} with {{ insert: param, ac-16.04_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.03 }} with {{ insert: param, ac-16.04_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(04)[04]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals (or processes acting on behalf of individuals) are provided with the capability to associate {{ insert: param, ac-16.04_odp.04 }} with {{ insert: param, ac-16.04_odp.08 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of users authorized to associate security and privacy attributes to information\n\nsystem prompts for privileged users to select security and privacy attributes to be associated with information objects\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting user associations of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.5", - "class": "SP800-53-enhancement", - "title": "Attribute Displays on Objects to Be Output", - "params": [ - { - "id": "ac-16.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16.5_prm_1" - }, - { - "name": "label", - "value": "AC-16(05)_ODP[01]" - } - ], - "label": "special dissemination, handling, or distribution instructions", - "guidelines": [ - { - "prose": "special dissemination, handling, or distribution instructions to be used for each object that the system transmits to output devices are defined;" - } - ] - }, - { - "id": "ac-16.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-16.5_prm_2" - }, - { - "name": "label", - "value": "AC-16(05)_ODP[02]" - } - ], - "label": "human-readable, standard naming conventions", - "guidelines": [ - { - "prose": "human-readable, standard naming conventions for the security and privacy attributes to be displayed in human-readable form on each object that the system transmits to output devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(05)" - }, - { - "name": "sort-id", - "value": "ac-16.05" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.5_smt", - "name": "statement", - "prose": "Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}." - }, - { - "id": "ac-16.5_gdn", - "name": "guidance", - "prose": "System outputs include printed pages, screens, or equivalent items. System output devices include printers, notebook computers, video displays, smart phones, and tablets. To mitigate the risk of unauthorized exposure of information (e.g., shoulder surfing), the outputs display full attribute values when unmasked by the subscriber." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes are displayed in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert: param, ac-16.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing display of security and privacy attributes in human-readable form\n\nspecial dissemination, handling, or distribution instructions\n\ntypes of human-readable, standard naming conventions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System output devices displaying security and privacy attributes in human-readable form on each object" - } - ] - } - ] - }, - { - "id": "ac-16.6", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Association", - "params": [ - { - "id": "ac-16.6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.02" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.03" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.04" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.6_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.05" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.06" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.07" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.08" - } - ], - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.6_prm_3", - "props": [ - { - "name": "aggregates", - "value": "ac-16.06_odp.09" - }, - { - "name": "aggregates", - "value": "ac-16.06_odp.10" - } - ], - "label": "organization-defined security and privacy policies" - }, - { - "id": "ac-16.06_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with subjects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[02]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with objects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.03", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[03]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with subjects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.04", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[04]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with objects are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.05", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[05]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.06", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[06]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects to be associated with information security attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.07", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[07]" - } - ], - "label": "subjects", - "guidelines": [ - { - "prose": "subjects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.08", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[08]" - } - ], - "label": "objects", - "guidelines": [ - { - "prose": "objects to be associated with privacy attributes are defined;" - } - ] - }, - { - "id": "ac-16.06_odp.09", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[09]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;" - } - ] - }, - { - "id": "ac-16.06_odp.10", - "props": [ - { - "name": "label", - "value": "AC-16(06)_ODP[10]" - } - ], - "label": "privacy policies", - "guidelines": [ - { - "prose": "privacy policies that require personnel to associate and maintain the association of security and privacy attributes with subjects and objects;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(06)" - }, - { - "name": "sort-id", - "value": "ac-16.06" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.6_smt", - "name": "statement", - "prose": "Require personnel to associate and maintain the association of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param, ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3 }}." - }, - { - "id": "ac-16.6_gdn", - "name": "guidance", - "prose": "Maintaining attribute association requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.01 }} with {{ insert: param, ac-16.06_odp.05 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.02 }} with {{ insert: param, ac-16.06_odp.06 }} in accordance with {{ insert: param, ac-16.06_odp.09 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[03]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.03 }} with {{ insert: param, ac-16.06_odp.07 }} in accordance with {{ insert: param, ac-16.06_odp.10 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(06)[04]", - "class": "sp800-53A" - } - ], - "prose": "personnel are required to associate and maintain the association of {{ insert: param, ac-16.06_odp.04 }} with {{ insert: param, ac-16.06_odp.08 }} in accordance with {{ insert: param, ac-16.06_odp.10 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing association of security and privacy attributes with subjects and objects\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating and maintaining association of security and privacy attributes with subjects and objects\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting associations of security and privacy attributes to subjects and objects" - } - ] - } - ] - }, - { - "id": "ac-16.7", - "class": "SP800-53-enhancement", - "title": "Consistent Attribute Interpretation", - "props": [ - { - "name": "label", - "value": "AC-16(07)" - }, - { - "name": "sort-id", - "value": "ac-16.07" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.7_smt", - "name": "statement", - "prose": "Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components." - }, - { - "id": "ac-16.7_gdn", - "name": "guidance", - "prose": "To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "a consistent interpretation of security attributes transmitted between distributed system components is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "a consistent interpretation of privacy attributes transmitted between distributed system components is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policies and procedures\n\nprocedures addressing consistent interpretation of security and privacy attributes transmitted between distributed system components\n\nprocedures addressing access enforcement\n\nprocedures addressing information flow enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy access control policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for providing consistent interpretation of security and privacy attributes used in access enforcement and information flow enforcement actions\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement and information flow enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-16.8", - "class": "SP800-53-enhancement", - "title": "Association Techniques and Technologies", - "params": [ - { - "id": "ac-16.8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.08_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.08_odp.02" - } - ], - "label": "organization-defined techniques and technologies" - }, - { - "id": "ac-16.08_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(08)_ODP[01]" - } - ], - "label": "techniques and technologies", - "guidelines": [ - { - "prose": "techniques and technologies to be implemented in associating security attributes to information are defined;" - } - ] - }, - { - "id": "ac-16.08_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(08)_ODP[02]" - } - ], - "label": "techniques and technologies", - "guidelines": [ - { - "prose": "techniques and technologies to be implemented in associating privacy attributes to information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(08)" - }, - { - "name": "sort-id", - "value": "ac-16.08" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-16.8_prm_1 }} in associating security and privacy attributes to information." - }, - { - "id": "ac-16.8_gdn", - "name": "guidance", - "prose": "The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques that provide different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures that support cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16.08_odp.01 }} are implemented in associating security attributes to information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-16.08_odp.02 }} are implemented in associating privacy attributes to information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing association of security and privacy attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for associating security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing techniques or technologies associating security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.9", - "class": "SP800-53-enhancement", - "title": "Attribute Reassignment — Regrading Mechanisms", - "params": [ - { - "id": "ac-16.9_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-16.09_odp.01" - }, - { - "name": "aggregates", - "value": "ac-16.09_odp.02" - } - ], - "label": "organization-defined techniques or procedures" - }, - { - "id": "ac-16.09_odp.01", - "props": [ - { - "name": "label", - "value": "AC-16(09)_ODP[01]" - } - ], - "label": "techniques and procedures", - "guidelines": [ - { - "prose": "techniques or procedures used to validate regrading mechanisms for security attributes are defined;" - } - ] - }, - { - "id": "ac-16.09_odp.02", - "props": [ - { - "name": "label", - "value": "AC-16(09)_ODP[02]" - } - ], - "label": "techniques and procedures", - "guidelines": [ - { - "prose": "techniques or procedures used to validate regrading mechanisms for privacy attributes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(09)" - }, - { - "name": "sort-id", - "value": "ac-16.09" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.9_smt", - "name": "statement", - "prose": "Change security and privacy attributes associated with information only via regrading mechanisms validated using {{ insert: param, ac-16.9_prm_1 }}." - }, - { - "id": "ac-16.9_gdn", - "name": "guidance", - "prose": "A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "security attributes associated with information are changed only via regarding mechanisms validated using {{ insert: param, ac-16.09_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy attributes associated with information are changed only via regarding mechanisms validated using {{ insert: param, ac-16.09_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing reassignment of security attributes to information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reassigning association of security and privacy attributes to information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing techniques or procedures for reassigning association of security and privacy attributes to information" - } - ] - } - ] - }, - { - "id": "ac-16.10", - "class": "SP800-53-enhancement", - "title": "Attribute Configuration by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(10)" - }, - { - "name": "sort-id", - "value": "ac-16.10" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-16.10_smt", - "name": "statement", - "prose": "Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects." - }, - { - "id": "ac-16.10_gdn", - "name": "guidance", - "prose": "The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Thus, it is important for systems to be able to limit the ability to create or modify the type and value of attributes available for association with subjects and objects to authorized individuals only." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are provided with the capability to define or change the type and value of security attributes available for association with subjects and objects;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-16(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are provided with the capability to define or change the type and value of privacy attributes available for association with subjects and objects." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-16(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing configuration of security and privacy attributes by authorized individuals\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-16(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining or changing security and privacy attributes associated with information\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-16(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability for defining or changing security and privacy attributes" - } - ] - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "props": [ - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - } - ], - "links": [ - { - "href": "#83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "rel": "reference" - }, - { - "href": "#d17ebd7a-ffab-499d-bfff-e705bbb01fa6", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of remote access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of [CA-3](#ca-3) . Enforcing access restrictions for remote access is addressed via [AC-3](#ac-3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[01]", - "class": "sp800-53A" - } - ], - "prose": "usage restrictions are established and documented for each type of remote access allowed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration/connection requirements are established and documented for each type of remote access allowed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established and documented for each type of remote access allowed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17b.", - "class": "sp800-53A" - } - ], - "prose": "each type of remote access to the system is authorized prior to allowing such connections." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access implementation and usage (including restrictions)\n\nconfiguration management plan\n\nsystem configuration settings and associated documentation\n\nremote access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the system" - } - ] - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Monitoring and Control", - "props": [ - { - "name": "label", - "value": "AC-17(01)" - }, - { - "name": "sort-id", - "value": "ac-17.01" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to monitor and control remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to monitor remote access methods;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to control remote access methods." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem monitoring records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms monitoring and controlling remote access methods" - } - ] - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality and Integrity Using Encryption", - "props": [ - { - "name": "label", - "value": "AC-17(02)" - }, - { - "name": "sort-id", - "value": "ac-17.02" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(02)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions" - } - ] - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "props": [ - { - "name": "label", - "value": "AC-17(03)" - }, - { - "name": "sort-id", - "value": "ac-17.03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "Route remote accesses through authorized and managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Organizations consider the Trusted Internet Connections (TIC) initiative [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(03)", - "class": "sp800-53A" - } - ], - "prose": "remote accesses are routed through authorized and managed network access control points." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem design documentation\n\nlist of all managed network access control points\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms routing all remote accesses through managed network access control points" - } - ] - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands and Access", - "params": [ - { - "id": "ac-17.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-17.04_odp.01" - }, - { - "name": "aggregates", - "value": "ac-17.04_odp.02" - } - ], - "label": "organization-defined needs" - }, - { - "id": "ac-17.04_odp.01", - "props": [ - { - "name": "label", - "value": "AC-17(04)_ODP[01]" - } - ], - "label": "needs requiring remote access", - "guidelines": [ - { - "prose": "needs requiring execution of privileged commands via remote access are defined;" - } - ] - }, - { - "id": "ac-17.04_odp.02", - "props": [ - { - "name": "label", - "value": "AC-17(04)_ODP[02]" - } - ], - "label": "needs requiring remote access", - "guidelines": [ - { - "prose": "needs requiring access to security-relevant information via remote access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(04)" - }, - { - "name": "sort-id", - "value": "ac-17.04" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }} ; and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document the rationale for remote access in the security plan for the system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "prose": "Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "access to security-relevant information via remote access is authorized only in a format that provides assessable evidence;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the execution of privileged commands via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "access to security-relevant information via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "the rationale for remote access is documented in the security plan for the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem configuration settings and associated documentation\n\nsecurity plan\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote access management" - } - ] - } - ] - }, - { - "id": "ac-17.5", - "class": "SP800-53-enhancement", - "title": "Monitoring for Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-17(05)" - }, - { - "name": "sort-id", - "value": "ac-17.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.6", - "class": "SP800-53-enhancement", - "title": "Protection of Mechanism Information", - "props": [ - { - "name": "label", - "value": "AC-17(06)" - }, - { - "name": "sort-id", - "value": "ac-17.06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.6_smt", - "name": "statement", - "prose": "Protect information about remote access mechanisms from unauthorized use and disclosure." - }, - { - "id": "ac-17.6_gdn", - "name": "guidance", - "prose": "Remote access to organizational information by non-organizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(06)", - "class": "sp800-53A" - } - ], - "prose": "information about remote access mechanisms is protected from unauthorized use and disclosure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing remote access to the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for implementing or monitoring remote access to the system\n\nsystem users with knowledge of information about remote access mechanisms\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-17.7", - "class": "SP800-53-enhancement", - "title": "Additional Protection for Security Function Access", - "props": [ - { - "name": "label", - "value": "AC-17(07)" - }, - { - "name": "sort-id", - "value": "ac-17.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-3.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.8", - "class": "SP800-53-enhancement", - "title": "Disable Nonsecure Network Protocols", - "props": [ - { - "name": "label", - "value": "AC-17(08)" - }, - { - "name": "sort-id", - "value": "ac-17.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect or Disable Access", - "params": [ - { - "id": "ac-17.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.9_prm_1" - }, - { - "name": "label", - "value": "AC-17(09)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which to disconnect or disable remote access to the system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(09)" - }, - { - "name": "sort-id", - "value": "ac-17.09" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "Provide the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "The speed of system disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(09)", - "class": "sp800-53A" - } - ], - "prose": "the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.09_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing disconnecting or disabling remote access to the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsecurity plan, system audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to disconnect or disable remote access to system" - } - ] - } - ] - }, - { - "id": "ac-17.10", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "ac-17.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.10_prm_1" - }, - { - "name": "label", - "value": "AC-17(10)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms implemented to authenticate remote commands are defined;" - } - ] - }, - { - "id": "ac-17.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-17.10_prm_2" - }, - { - "name": "label", - "value": "AC-17(10)_ODP[02]" - } - ], - "label": "remote commands", - "guidelines": [ - { - "prose": "remote commands to be authenticated by mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(10)" - }, - { - "name": "sort-id", - "value": "ac-17.10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.10_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-17.10_odp.01 }} to authenticate {{ insert: param, ac-17.10_odp.02 }}." - }, - { - "id": "ac-17.10_gdn", - "name": "guidance", - "prose": "Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The ability to authenticate remote commands is important for remote systems for which loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, such as injury, death, property damage, loss of high value assets, failure of mission or business functions, or compromise of classified or controlled unclassified information. Authentication mechanisms for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-17(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-17.10_odp.01 }} are implemented to authenticate {{ insert: param, ac-17.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing authentication of remote commands\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-17(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing authentication of remote commands" - } - ] - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "props": [ - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - } - ], - "links": [ - { - "href": "#25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "rel": "reference" - }, - { - "href": "#03fb73bc-1b12-4182-bd96-e5719254ea61", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of wireless access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration requirements are established for each type of wireless access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "connection requirements are established for each type of wireless access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established for each type of wireless access;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18b.", - "class": "sp800-53A" - } - ], - "prose": "each type of wireless access to the system is authorized prior to allowing such connections." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless access implementation and usage (including restrictions)\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nwireless access authorizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access connections\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the system" - } - ] - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "params": [ - { - "id": "ac-18.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-18.1_prm_1" - }, - { - "name": "label", - "value": "AC-18(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "users", - "devices" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-18(01)" - }, - { - "name": "sort-id", - "value": "ac-18.01" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "Protect wireless access to the system using authentication of {{ insert: param, ac-18.01_odp }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "wireless access to the system is protected using authentication of {{ insert: param, ac-18.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "wireless access to the system is protected using encryption." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing wireless access protections to the system" - } - ] - } - ] - }, - { - "id": "ac-18.2", - "class": "SP800-53-enhancement", - "title": "Monitoring Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-18(02)" - }, - { - "name": "sort-id", - "value": "ac-18.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-18.3", - "class": "SP800-53-enhancement", - "title": "Disable Wireless Networking", - "props": [ - { - "name": "label", - "value": "AC-18(03)" - }, - { - "name": "sort-id", - "value": "ac-18.03" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-18.3_smt", - "name": "statement", - "prose": "Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment." - }, - { - "id": "ac-18.3_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(03)", - "class": "sp800-53A" - } - ], - "prose": "when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within system components" - } - ] - } - ] - }, - { - "id": "ac-18.4", - "class": "SP800-53-enhancement", - "title": "Restrict Configurations by Users", - "props": [ - { - "name": "label", - "value": "AC-18(04)" - }, - { - "name": "sort-id", - "value": "ac-18.04" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.4_smt", - "name": "statement", - "prose": "Identify and explicitly authorize users allowed to independently configure wireless networking capabilities." - }, - { - "id": "ac-18.4_gdn", - "name": "guidance", - "prose": "Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "users allowed to independently configure wireless networking capabilities are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "users allowed to independently configure wireless networking capabilities are explicitly authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms authorizing independent user configuration of wireless networking capabilities" - } - ] - } - ] - }, - { - "id": "ac-18.5", - "class": "SP800-53-enhancement", - "title": "Antennas and Transmission Power Levels", - "props": [ - { - "name": "label", - "value": "AC-18(05)" - }, - { - "name": "sort-id", - "value": "ac-18.05" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "required" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.5_smt", - "name": "statement", - "prose": "Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - }, - { - "id": "ac-18.5_gdn", - "name": "guidance", - "prose": "Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "radio antennas are selected to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-18(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "transmission power levels are calibrated to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing wireless implementation and usage (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Calibration of transmission power levels for wireless access\n\nradio antenna signals for wireless access\n\nwireless access reception outside of organization-controlled boundaries" - } - ] - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "props": [ - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - } - ], - "links": [ - { - "href": "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize the connection of mobile devices to organizational systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems.\n\nDue to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware.\n\nUsage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in [AC-19](#ac-19) . Many safeguards for mobile devices are reflected in other controls. [AC-20](#ac-20) addresses mobile devices that are not organization-controlled." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[02]", - "class": "sp800-53A" - } - ], - "prose": "connection requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19a.[03]", - "class": "sp800-53A" - } - ], - "prose": "implementation guidance is established for organization-controlled mobile devices, including when such devices are outside of the controlled area;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19b.", - "class": "sp800-53A" - } - ], - "prose": "the connection of mobile devices to organizational systems is authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control for mobile device usage (including restrictions)\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability for mobile device connections to organizational systems\n\nconfigurations of mobile devices" - } - ] - } - ], - "controls": [ - { - "id": "ac-19.1", - "class": "SP800-53-enhancement", - "title": "Use of Writable and Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(01)" - }, - { - "name": "sort-id", - "value": "ac-19.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.2", - "class": "SP800-53-enhancement", - "title": "Use of Personally Owned Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(02)" - }, - { - "name": "sort-id", - "value": "ac-19.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.3", - "class": "SP800-53-enhancement", - "title": "Use of Portable Storage Devices with No Identifiable Owner", - "props": [ - { - "name": "label", - "value": "AC-19(03)" - }, - { - "name": "sort-id", - "value": "ac-19.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.4", - "class": "SP800-53-enhancement", - "title": "Restrictions for Classified Information", - "params": [ - { - "id": "ac-19.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.4_prm_1" - }, - { - "name": "label", - "value": "AC-19(04)_ODP[01]" - } - ], - "label": "security officials", - "guidelines": [ - { - "prose": "security officials responsible for the review and inspection of unclassified mobile devices and the information stored on those devices are defined;" - } - ] - }, - { - "id": "ac-19.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.4_prm_2" - }, - { - "name": "label", - "value": "AC-19(04)_ODP[02]" - } - ], - "label": "security policies", - "guidelines": [ - { - "prose": "security policies restricting the connection of classified mobile devices to classified systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(04)" - }, - { - "name": "sort-id", - "value": "ac-19.04" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and" - }, - { - "id": "ac-19.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:", - "parts": [ - { - "id": "ac-19.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Connection of unclassified mobile devices to classified systems is prohibited;" - }, - { - "id": "ac-19.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;" - }, - { - "id": "ac-19.4_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(03)" - } - ], - "prose": "Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and" - }, - { - "id": "ac-19.4_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(04)" - } - ], - "prose": "Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by {{ insert: param, ac-19.04_odp.01 }} , and if classified information is found, the incident handling policy is followed." - } - ] - }, - { - "id": "ac-19.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Restrict the connection of classified mobile devices to classified systems in accordance with {{ insert: param, ac-19.04_odp.02 }}." - } - ] - }, - { - "id": "ac-19.4_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information is prohibited unless specifically permitted by the authorizing official;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "prohibition of the connection of unclassified mobile devices to classified systems is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "approval by the authorizing official for the connection of unclassified mobile devices to unclassified systems is enforced on individuals permitted to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(03)", - "class": "sp800-53A" - } - ], - "prose": "prohibition of the use of internal or external modems or wireless interfaces within unclassified mobile devices is enforced on individuals permitted by an authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "random review and inspection of unclassified mobile devices and the information stored on those devices by {{ insert: param, ac-19.04_odp.01 }} are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(b)(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "following of the incident handling policy is enforced if classified information is found during a random review and inspection of unclassified mobile devices;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the connection of classified mobile devices to classified systems is restricted in accordance with {{ insert: param, ac-19.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nincident handling policy\n\nprocedures addressing access control for mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nevidentiary documentation for random inspections and reviews of mobile devices\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for random reviews/inspections of mobile devices\n\norganizational personnel using mobile devices in facilities containing systems processing, storing, or transmitting classified information\n\norganizational personnel with incident response responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices" - } - ] - } - ] - }, - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device or Container-based Encryption", - "params": [ - { - "id": "ac-19.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.5_prm_1" - }, - { - "name": "label", - "value": "AC-19(05)_ODP[01]" - } - ], - "select": { - "choice": [ - "full-device encryption", - "container-based encryption" - ] - } - }, - { - "id": "ac-19.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-19.5_prm_2" - }, - { - "name": "label", - "value": "AC-19(05)_ODP[02]" - } - ], - "label": "mobile devices", - "guidelines": [ - { - "prose": "mobile devices on which to employ encryption are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(05)" - }, - { - "name": "sort-id", - "value": "ac-19.05" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-19.05_odp.01 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-19(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-19.05_odp.01 }} is employed to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control for mobile devices\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nencryption mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-19(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities for mobile devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Encryption mechanisms protecting confidentiality and integrity of information on mobile devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Systems", - "params": [ - { - "id": "ac-20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_1" - }, - { - "name": "label", - "value": "AC-20_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "establish{{ insert: param, ac-20_odp.02 }} ", - "identify{{ insert: param, ac-20_odp.03 }} " - ] - } - }, - { - "id": "ac-20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_2" - }, - { - "name": "label", - "value": "AC-20_ODP[02]" - } - ], - "label": "terms and conditions", - "guidelines": [ - { - "prose": "terms and conditions consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);" - } - ] - }, - { - "id": "ac-20_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_3" - }, - { - "name": "label", - "value": "AC-20_ODP[03]" - } - ], - "label": "controls asserted", - "guidelines": [ - { - "prose": "controls asserted to be implemented on external systems consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems are defined (if selected);" - } - ] - }, - { - "id": "ac-20_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20_prm_4" - }, - { - "name": "label", - "value": "AC-20_ODP[04]" - } - ], - "label": "prohibited types of external systems", - "guidelines": [ - { - "prose": "types of external systems prohibited from use are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Access the system from external systems; and" - }, - { - "id": "ac-20_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external systems; or" - } - ] - }, - { - "id": "ac-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of {{ insert: param, ac-20_odp.04 }}." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems).\n\nFor some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.\n\nExternal systems used to access public interfaces to organizational systems are outside the scope of [AC-20](#ac-20) . Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.1", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to access the system from external systems (if applicable);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20a.2", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to process, store, or transmit organization-controlled information using external systems (if applicable);" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20b.", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, ac-20_odp.04 }} is prohibited (if applicable)." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nexternal systems terms and conditions\n\nlist of types of applications accessible from external systems\n\nmaximum security categorization for information processed, stored, or transmitted on external systems\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits on Authorized Use", - "props": [ - { - "name": "label", - "value": "AC-20(01)" - }, - { - "name": "sort-id", - "value": "ac-20.01" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retention of approved system connection or processing agreements with the organizational entity hosting the external system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans (if applicable);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable)." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing limits on use of external systems" - } - ] - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices — Restricted Use", - "params": [ - { - "id": "ac-20.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.2_prm_1" - }, - { - "name": "label", - "value": "AC-20(02)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(02)" - }, - { - "name": "sort-id", - "value": "ac-20.02" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.02_odp }}." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(02)", - "class": "sp800-53A" - } - ], - "prose": "the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using {{ insert: param, ac-20.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on use of portable storage devices" - } - ] - } - ] - }, - { - "id": "ac-20.3", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems — Restricted Use", - "params": [ - { - "id": "ac-20.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.3_prm_1" - }, - { - "name": "label", - "value": "AC-20(03)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of non-organizationally owned systems or system components to process, store, or transmit organizational information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(03)" - }, - { - "name": "sort-id", - "value": "ac-20.03" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-20.3_smt", - "name": "statement", - "prose": "Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using {{ insert: param, ac-20.03_odp }}." - }, - { - "id": "ac-20.3_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations as well as personally owned devices. There are potential risks to using non-organizationally owned systems or components. In some cases, the risk is sufficiently high as to prohibit such use (see [AC-20 b.](#ac-20_smt.b) ). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(03)", - "class": "sp800-53A" - } - ], - "prose": "the use of non-organizationally owned systems or system components to process, store, or transmit organizational information is restricted using {{ insert: param, ac-20.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing the use of external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\naccount management documents\n\nsystem audit records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting the use of non-organizationally owned systems, system components, or devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on the use of non-organizationally owned systems, components, or devices" - } - ] - } - ] - }, - { - "id": "ac-20.4", - "class": "SP800-53-enhancement", - "title": "Network Accessible Storage Devices — Prohibited Use", - "params": [ - { - "id": "ac-20.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-20.4_prm_1" - }, - { - "name": "label", - "value": "AC-20(04)_ODP" - } - ], - "label": "network-accessible storage devices", - "guidelines": [ - { - "prose": "network-accessible storage devices prohibited from use in external systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(04)" - }, - { - "name": "sort-id", - "value": "ac-20.04" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-20.4_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-20.04_odp }} in external systems." - }, - { - "id": "ac-20.4_gdn", - "name": "guidance", - "prose": "Network-accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(04)", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, ac-20.04_odp }} is prohibited in external systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing use of network-accessible storage devices in external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\nlist of network-accessible storage devices prohibited from use in external systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for prohibiting the use of network-accessible storage devices in external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the use of network-accessible storage devices in external systems" - } - ] - } - ] - }, - { - "id": "ac-20.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices — Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(05)" - }, - { - "name": "sort-id", - "value": "ac-20.05" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "required" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.5_smt", - "name": "statement", - "prose": "Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems." - }, - { - "id": "ac-20.5_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices. Prohibiting such use is enforced using technical methods and/or nontechnical (i.e., process-based) methods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-20(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of organization-controlled portable storage devices by authorized individuals is prohibited on external systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-20(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing use of portable storage devices in external systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem connection or processing agreements\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-20(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for prohibiting the use of portable storage devices in external systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "params": [ - { - "id": "ac-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21_prm_1" - }, - { - "name": "label", - "value": "AC-21_ODP[01]" - } - ], - "label": "information-sharing circumstances", - "guidelines": [ - { - "prose": "information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions are defined;" - } - ] - }, - { - "id": "ac-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21_prm_2" - }, - { - "name": "label", - "value": "AC-21_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "ac-21" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }} ; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ {{ insert: param, ac-21_odp.02 }} to assist users in making information sharing and collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21a.", - "class": "sp800-53A" - } - ], - "prose": "authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-21_odp.02 }} are employed to assist users in making information-sharing and collaboration decisions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of users authorized to make information-sharing/collaboration decisions\n\nlist of information-sharing circumstances requiring user discretion\n\nnon-disclosure agreements\n\nacquisitions/contractual agreements\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nsecurity and privacy risk assessments\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information-sharing/collaboration decisions\n\norganizational personnel with responsibility for acquisitions/contractual agreements\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions" - } - ] - } - ], - "controls": [ - { - "id": "ac-21.1", - "class": "SP800-53-enhancement", - "title": "Automated Decision Support", - "params": [ - { - "id": "ac-21.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21.1_prm_1" - }, - { - "name": "label", - "value": "AC-21(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms employed to enforce information-sharing decisions by authorized users are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(01)" - }, - { - "name": "sort-id", - "value": "ac-21.01" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-21.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-21.01_odp }} to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "id": "ac-21.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms are used to enforce information sharing decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-21.01_odp }} are employed to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of users authorized to make information-sharing/collaboration decisions\n\nsystem-generated list of sharing partners and access authorizations\n\nsystem-generated list of access restrictions regarding information to be shared\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access authorizations supporting information-sharing/user collaboration decisions" - } - ] - } - ] - }, - { - "id": "ac-21.2", - "class": "SP800-53-enhancement", - "title": "Information Search and Retrieval", - "params": [ - { - "id": "ac-21.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-21.2_prm_1" - }, - { - "name": "label", - "value": "AC-21(02)_ODP" - } - ], - "label": "information-sharing restrictions", - "guidelines": [ - { - "prose": "information-sharing restrictions to be enforced by information search and retrieval services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(02)" - }, - { - "name": "sort-id", - "value": "ac-21.02" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-21.2_smt", - "name": "statement", - "prose": "Implement information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }}." - }, - { - "id": "ac-21.2_gdn", - "name": "guidance", - "prose": "Information search and retrieval services identify information system resources relevant to an information need." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-21(02)", - "class": "sp800-53A" - } - ], - "prose": "information search and retrieval services that enforce {{ insert: param, ac-21.02_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including restrictions)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of access restrictions regarding information to be shared\n\ninformation search and retrieval records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-21(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities for system search and retrieval services\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System search and retrieval services enforcing information-sharing restrictions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "params": [ - { - "id": "ac-22_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-22_prm_1" - }, - { - "name": "label", - "value": "AC-22_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the content on the publicly accessible system for non-public information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designate individuals authorized to make information publicly accessible;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the content on the publicly accessible system for nonpublic information {{ insert: param, ac-22_odp }} and remove such information, if discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22a.", - "class": "sp800-53A" - } - ], - "prose": "designated individuals are authorized to make information publicly accessible;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22b.", - "class": "sp800-53A" - } - ], - "prose": "authorized individuals are trained to ensure that publicly accessible information does not contain non-public information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22c.", - "class": "sp800-53A" - } - ], - "prose": "the proposed content of information is reviewed prior to posting onto the publicly accessible system to ensure that non-public information is not included;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the content on the publicly accessible system is reviewed for non-public information {{ insert: param, ac-22_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-22d.[02]", - "class": "sp800-53A" - } - ], - "prose": "non-public information is removed from the publicly accessible system, if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to non-public information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - }, - { - "id": "ac-23", - "class": "SP800-53", - "title": "Data Mining Protection", - "params": [ - { - "id": "ac-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-23_prm_1" - }, - { - "name": "label", - "value": "AC-23_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "data mining prevention and detection techniques are defined;" - } - ] - }, - { - "id": "ac-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-23_prm_2" - }, - { - "name": "label", - "value": "AC-23_ODP[02]" - } - ], - "label": "data storage objects", - "guidelines": [ - { - "prose": "data storage objects to be protected against unauthorized data mining are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-23" - }, - { - "name": "sort-id", - "value": "ac-23" - } - ], - "links": [ - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-23_odp.01 }} for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining." - }, - { - "id": "ac-23_gdn", - "name": "guidance", - "prose": "Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.\n\nData mining prevention and detection techniques include limiting the number and frequency of database queries to increase the work factor needed to determine the contents of databases, limiting types of responses provided to database queries, applying differential privacy techniques or homomorphic encryption, and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, [AU-13](#au-13) focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open-source information residing on external sites, such as social networking or social media websites.\n\n[EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. Data mining protection requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining. Data mining can be used by an insider to collect organizational information for the purpose of exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-23", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-23_odp.01 }} are employed for {{ insert: param, ac-23_odp.02 }} to detect and protect against unauthorized data mining." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures for preventing and detecting data mining\n\npolicies and procedures addressing authorized data mining techniques\n\nprocedures addressing protection of data storage objects against data mining\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit logs\n\nsystem audit records\n\nprocedures addressing differential privacy techniques\n\nnotifications of atypical database queries or accesses\n\ndocumentation or reports of insider threat program\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing data mining prevention and detection" - } - ] - } - ] - }, - { - "id": "ac-24", - "class": "SP800-53", - "title": "Access Control Decisions", - "params": [ - { - "id": "ac-24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24_prm_1" - }, - { - "name": "label", - "value": "AC-24_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "establish procedures", - "implement mechanisms" - ] - } - }, - { - "id": "ac-24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24_prm_2" - }, - { - "name": "label", - "value": "AC-24_ODP[02]" - } - ], - "label": "access control decisions", - "guidelines": [ - { - "prose": "access control decisions applied to each access request prior to access enforcement are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24" - }, - { - "name": "sort-id", - "value": "ac-24" - } - ], - "links": [ - { - "href": "#2956e175-f674-43f4-b1b9-e074ad9fc39c", - "rel": "reference" - }, - { - "href": "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24_smt", - "name": "statement", - "prose": "{{ insert: param, ac-24_odp.01 }} to ensure {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement." - }, - { - "id": "ac-24_gdn", - "name": "guidance", - "prose": "Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may make access control decisions and enforce access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-24_odp.01 }} are taken to ensure that {{ insert: param, ac-24_odp.02 }} are applied to each access request prior to access enforcement." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access control decisions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the system\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms applying established access control decisions and procedures" - } - ] - } - ], - "controls": [ - { - "id": "ac-24.1", - "class": "SP800-53-enhancement", - "title": "Transmit Access Authorization Information", - "params": [ - { - "id": "ac-24.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_1" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[01]" - } - ], - "label": "access authorization information", - "guidelines": [ - { - "prose": "access authorization information transmitted to systems that enforce access control decisions is defined;" - } - ] - }, - { - "id": "ac-24.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_2" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be used when authorization information is transmitted to systems that enforce access control decisions are defined;" - } - ] - }, - { - "id": "ac-24.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-24.1_prm_3" - }, - { - "name": "label", - "value": "AC-24(01)_ODP[03]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems that enforce access control decisions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(01)" - }, - { - "name": "sort-id", - "value": "ac-24.01" - } - ], - "links": [ - { - "href": "#ac-24", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24.1_smt", - "name": "statement", - "prose": "Transmit {{ insert: param, ac-24.01_odp.01 }} using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions." - }, - { - "id": "ac-24.1_gdn", - "name": "guidance", - "prose": "Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so that timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made, and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ac-24.01_odp.01 }} is transmitted using {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03 }} that enforce access control decisions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - }, - { - "id": "ac-24.2", - "class": "SP800-53-enhancement", - "title": "No User or Process Identity", - "params": [ - { - "id": "ac-24.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ac-24.02_odp.01" - }, - { - "name": "aggregates", - "value": "ac-24.02_odp.02" - } - ], - "label": "organization-defined security or privacy attributes" - }, - { - "id": "ac-24.02_odp.01", - "props": [ - { - "name": "label", - "value": "AC-24(02)_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes that do not include the identity of the user or process acting on behalf of the user are defined;" - } - ] - }, - { - "id": "ac-24.02_odp.02", - "props": [ - { - "name": "label", - "value": "AC-24(02)_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes that do not include the identity of the user or process acting on behalf of the user are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(02)" - }, - { - "name": "sort-id", - "value": "ac-24.02" - } - ], - "links": [ - { - "href": "#ac-24", - "rel": "required" - } - ], - "parts": [ - { - "id": "ac-24.2_smt", - "name": "statement", - "prose": "Enforce access control decisions based on {{ insert: param, ac-24.2_prm_1 }} that do not include the identity of the user or process acting on behalf of the user." - }, - { - "id": "ac-24.2_gdn", - "name": "guidance", - "prose": "In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions, and especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "access control decisions are enforced based on {{ insert: param, ac-24.02_odp.01 }} that do not include the identity of the user or process acting on behalf of the user;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-24(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "access control decisions are enforced based on {{ insert: param, ac-24.02_odp.02 }} that do not include the identity of the user or process acting on behalf of the user." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-24(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-24(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-24(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-25", - "class": "SP800-53", - "title": "Reference Monitor", - "params": [ - { - "id": "ac-25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ac-25_prm_1" - }, - { - "name": "label", - "value": "AC-25_ODP" - } - ], - "label": "access control policies", - "guidelines": [ - { - "prose": "access control policies for which a reference monitor is implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AC-25" - }, - { - "name": "sort-id", - "value": "ac-25" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-25_smt", - "name": "statement", - "prose": "Implement a reference monitor for {{ insert: param, ac-25_odp }} that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "id": "ac-25_gdn", - "name": "guidance", - "prose": "A reference monitor is a set of design requirements on a reference validation mechanism that, as a key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked, tamper-proof, and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures, such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamper-proof property of the reference monitor prevents determined adversaries from compromising the functioning of the reference validation mechanism. The always invoked property prevents adversaries from bypassing the mechanism and violating the security policy. The smallness property helps to ensure completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AC-25", - "class": "sp800-53A" - } - ], - "prose": "a reference monitor is implemented for {{ insert: param, ac-25_odp }} that is tamper-proof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing access enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "at-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-01_odp.01" - }, - { - "name": "aggregates", - "value": "at-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "at-01_odp.01", - "props": [ - { - "name": "label", - "value": "AT-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the awareness and training policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "at-01_odp.02", - "props": [ - { - "name": "label", - "value": "AT-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the awareness and training procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "at-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_2" - }, - { - "name": "label", - "value": "AT-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "at-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_3" - }, - { - "name": "label", - "value": "AT-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the awareness and training policy and procedures is defined;" - } - ] - }, - { - "id": "at-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_4" - }, - { - "name": "label", - "value": "AT-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current awareness and training policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "at-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_5" - }, - { - "name": "label", - "value": "AT-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current awareness and training policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "at-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_6" - }, - { - "name": "label", - "value": "AT-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current awareness and training procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "at-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "at-1_prm_7" - }, - { - "name": "label", - "value": "AT-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-01" - }, - { - "name": "sort-id", - "value": "at-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, at-01_odp.03 }} awareness and training policy that:", - "parts": [ - { - "id": "at-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "at-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, at-01_odp.04 }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and" - }, - { - "id": "at-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current awareness and training:", - "parts": [ - { - "id": "at-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, at-01_odp.05 }} and following {{ insert: param, at-01_odp.06 }} ; and" - }, - { - "id": "at-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, at-01_odp.07 }} and following {{ insert: param, at-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an awareness and training policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the awareness and training policy is disseminated to {{ insert: param, at-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "awareness and training procedures to facilitate the implementation of the awareness and training policy and associated access controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the awareness and training procedures are disseminated to {{ insert: param, at-01_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses compliance; and" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.03 }} awareness and training policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, at-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the awareness and training policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training policy is reviewed and updated {{ insert: param, at-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training policy is reviewed and updated following {{ insert: param, at-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training procedures are reviewed and updated {{ insert: param, at-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current awareness and training procedures are reviewed and updated following {{ insert: param, at-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nawareness and training policy and procedures\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with awareness and training responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Literacy Training and Awareness", - "params": [ - { - "id": "at-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-02_odp.01" - }, - { - "name": "aggregates", - "value": "at-02_odp.02" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "at-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "at-02_odp.03" - }, - { - "name": "aggregates", - "value": "at-02_odp.04" - } - ], - "label": "organization-defined events" - }, - { - "id": "at-02_odp.01", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide security literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;" - } - ] - }, - { - "id": "at-02_odp.02", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide privacy literacy training to system users (including managers, senior executives, and contractors) after initial training is defined;" - } - ] - }, - { - "id": "at-02_odp.03", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[03]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require security literacy training for system users are defined;" - } - ] - }, - { - "id": "at-02_odp.04", - "props": [ - { - "name": "label", - "value": "AT-02_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require privacy literacy training for system users are defined;" - } - ] - }, - { - "id": "at-02_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_3" - }, - { - "name": "label", - "value": "AT-02_ODP[05]" - } - ], - "label": "awareness techniques", - "guidelines": [ - { - "prose": "techniques to be employed to increase the security and privacy awareness of system users are defined;" - } - ] - }, - { - "id": "at-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_4" - }, - { - "name": "label", - "value": "AT-02_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update literacy training and awareness content is defined;" - } - ] - }, - { - "id": "at-02_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2_prm_5" - }, - { - "name": "label", - "value": "AT-02_ODP[07]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require literacy training and awareness content to be updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-02" - }, - { - "name": "sort-id", - "value": "at-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#89f2a08d-fc49-46d0-856e-bf974c9b1573", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "As part of initial training for new users and {{ insert: param, at-2_prm_1 }} thereafter; and" - }, - { - "id": "at-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes or following {{ insert: param, at-2_prm_2 }};" - } - ] - }, - { - "id": "at-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following techniques to increase the security and privacy awareness of system users {{ insert: param, at-02_odp.05 }};" - }, - { - "id": "at-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update literacy training and awareness content {{ insert: param, at-02_odp.06 }} and following {{ insert: param, at-02_odp.07 }} ; and" - }, - { - "id": "at-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information.\n\nAwareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in [AT-2a.1](#at-2_smt.a.1) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.01 }} thereafter;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "security literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.04 }};" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02b", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-02_odp.05 }} are employed to increase the security and privacy awareness of system users;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training and awareness content is updated {{ insert: param, at-02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training and awareness content is updated following {{ insert: param, at-02_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02d.", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from internal or external security incidents or breaches are incorporated into literacy training and awareness techniques." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nappropriate codes of federal regulations\n\nsecurity and privacy literacy training curriculum\n\nsecurity and privacy literacy training materials\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel comprising the general system user community" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing information security and privacy literacy training" - } - ] - } - ], - "controls": [ - { - "id": "at-2.1", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-02(01)" - }, - { - "name": "sort-id", - "value": "at-02.01" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.1_smt", - "name": "statement", - "prose": "Provide practical exercises in literacy training that simulate events and incidents." - }, - { - "id": "at-2.1_gdn", - "name": "guidance", - "prose": "Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(01)", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in literacy training that simulate events and incidents are provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nsecurity awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in security awareness training\n\norganizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cyber-attack simulations in practical exercises" - } - ] - } - ] - }, - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "props": [ - { - "name": "label", - "value": "AT-02(02)" - }, - { - "name": "sort-id", - "value": "at-02.02" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing and reporting potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential indicators of insider threat is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential indicators of insider threat is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.3", - "class": "SP800-53-enhancement", - "title": "Social Engineering and Mining", - "props": [ - { - "name": "label", - "value": "AT-02(03)" - }, - { - "name": "sort-id", - "value": "at-02.03" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.3_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining." - }, - { - "id": "at-2.3_gdn", - "name": "guidance", - "prose": "Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential and actual instances of social engineering is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential and actual instances of social engineering is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing potential and actual instances of social mining is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "literacy training on reporting potential and actual instances of social mining is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "params": [ - { - "id": "at-02.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "at-2.4_prm_1" - }, - { - "name": "label", - "value": "AT-02(04)_ODP" - } - ], - "label": "indicators of malicious code", - "guidelines": [ - { - "prose": "indicators of malicious code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-02(04)" - }, - { - "name": "sort-id", - "value": "at-02.04" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.4_smt", - "name": "statement", - "prose": "Provide literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }}." - }, - { - "id": "at-2.4_gdn", - "name": "guidance", - "prose": "A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender that appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(04)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-02.04_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.5", - "class": "SP800-53-enhancement", - "title": "Advanced Persistent Threat", - "props": [ - { - "name": "label", - "value": "AT-02(05)" - }, - { - "name": "sort-id", - "value": "at-02.05" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-2.5_smt", - "name": "statement", - "prose": "Provide literacy training on the advanced persistent threat." - }, - { - "id": "at-2.5_gdn", - "name": "guidance", - "prose": "An effective way to detect advanced persistent threats (APT) and to preclude successful attacks is to provide specific literacy training for individuals. Threat literacy training includes educating individuals on the various ways that APTs can infiltrate the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(05)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on the advanced persistent threat is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "at-2.6", - "class": "SP800-53-enhancement", - "title": "Cyber Threat Environment", - "props": [ - { - "name": "label", - "value": "AT-02(06)" - }, - { - "name": "sort-id", - "value": "at-02.06" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.6_smt", - "name": "statement", - "parts": [ - { - "id": "at-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide literacy training on the cyber threat environment; and" - }, - { - "id": "at-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reflect current cyber threat information in system operations." - } - ] - }, - { - "id": "at-2.6_gdn", - "name": "guidance", - "prose": "Since threats continue to change over time, threat literacy training by the organization is dynamic. Moreover, threat literacy training is not performed in isolation from the system operations that support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "literacy training on the cyber threat environment is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-02(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "system operations reflects current cyber threat information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nliteracy training and awareness policy\n\nprocedures addressing literacy training and awareness training implementation\n\nliteracy training and awareness curriculum\n\nliteracy training and awareness materials\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel who participate in literacy training and awareness\n\norganizational personnel with responsibilities for basic literacy training and awareness\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Training", - "params": [ - { - "id": "at-3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "at-03_odp.01" - }, - { - "name": "aggregates", - "value": "at-03_odp.02" - } - ], - "label": "organization-defined roles and responsibilities" - }, - { - "id": "at-03_odp.01", - "props": [ - { - "name": "label", - "value": "AT-03_ODP[01]" - } - ], - "label": "roles and responsibilities", - "guidelines": [ - { - "prose": "roles and responsibilities for role-based security training are defined;" - } - ] - }, - { - "id": "at-03_odp.02", - "props": [ - { - "name": "label", - "value": "AT-03_ODP[02]" - } - ], - "label": "roles and responsibilities", - "guidelines": [ - { - "prose": "roles and responsibilities for role-based privacy training are defined;" - } - ] - }, - { - "id": "at-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_2" - }, - { - "name": "label", - "value": "AT-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;" - } - ] - }, - { - "id": "at-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_3" - }, - { - "name": "label", - "value": "AT-03_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update role-based training content is defined;" - } - ] - }, - { - "id": "at-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3_prm_4" - }, - { - "name": "label", - "value": "AT-03_ODP[05]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require role-based training content to be updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03" - }, - { - "name": "sort-id", - "value": "at-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, at-3_prm_1 }}:", - "parts": [ - { - "id": "at-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, at-03_odp.03 }} thereafter; and" - }, - { - "id": "at-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes;" - } - ] - }, - { - "id": "at-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update role-based training content {{ insert: param, at-03_odp.04 }} and following {{ insert: param, at-03_odp.05 }} ; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from internal or external security incidents or breaches into role-based training." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information.\n\nComprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to {{ insert: param, at-03_odp.01 }} before authorizing access to the system, information, or performing assigned duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} before authorizing access to the system, information, or performing assigned duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to {{ insert: param, at-03_odp.01 }} {{ insert: param, at-03_odp.03 }} thereafter;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} {{ insert: param, at-03_odp.03 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "role-based training content is updated {{ insert: param, at-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "role-based training content is updated following {{ insert: param, at-03_odp.05 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03c.", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from internal or external security incidents or breaches are incorporated into role-based training." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nsecurity and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\ncodes of federal regulations\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with assigned system security and privacy roles and responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security and privacy training" - } - ] - } - ], - "controls": [ - { - "id": "at-3.1", - "class": "SP800-53-enhancement", - "title": "Environmental Controls", - "params": [ - { - "id": "at-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.1_prm_1" - }, - { - "name": "label", - "value": "AT-03(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls are defined;" - } - ] - }, - { - "id": "at-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.1_prm_2" - }, - { - "name": "label", - "value": "AT-03(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of environmental controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(01)" - }, - { - "name": "sort-id", - "value": "at-03.01" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.01_odp.01 }} with initial and {{ insert: param, at-03.01_odp.02 }} training in the employment and operation of environmental controls." - }, - { - "id": "at-3.1_gdn", - "name": "guidance", - "prose": "Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, air conditioning, and power within the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.01_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.01_odp.02 }} in the employment and operation of environmental." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\nsystem security plan\n\nprivacy plan\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with responsibilities for employing and operating environmental controls" - } - ] - } - ] - }, - { - "id": "at-3.2", - "class": "SP800-53-enhancement", - "title": "Physical Security Controls", - "params": [ - { - "id": "at-03.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.2_prm_1" - }, - { - "name": "label", - "value": "AT-03(02)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls is/are defined;" - } - ] - }, - { - "id": "at-03.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.2_prm_2" - }, - { - "name": "label", - "value": "AT-03(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of physical security controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(02)" - }, - { - "name": "sort-id", - "value": "at-03.02" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.2_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.02_odp.01 }} with initial and {{ insert: param, at-03.02_odp.02 }} training in the employment and operation of physical security controls." - }, - { - "id": "at-3.2_gdn", - "name": "guidance", - "prose": "Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.02_odp.01 }} is/are provided with initial and refresher training {{ insert: param, at-03.02_odp.02 }} in the employment and operation of physical security controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training implementation\n\nsecurity and privacy training curriculum\n\nsecurity and privacy training materials\n\nsystem security plan\n\nprivacy plan\n\ntraining records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel with responsibilities for employing and operating physical security controls" - } - ] - } - ] - }, - { - "id": "at-3.3", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-03(03)" - }, - { - "name": "sort-id", - "value": "at-03.03" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "at-3.3_smt", - "name": "statement", - "prose": "Provide practical exercises in security and privacy training that reinforce training objectives." - }, - { - "id": "at-3.3_gdn", - "name": "guidance", - "prose": "Practical exercises for security include training for software developers that addresses simulated attacks that exploit common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on identifying and processing personally identifiable information in various scenarios or scenarios on conducting privacy impact assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in security training that reinforce training objectives are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "practical exercises in privacy training that reinforce training objectives are provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy awareness training implementation\n\nsecurity and privacy awareness training curriculum\n\nsecurity and privacy awareness training materials\n\nsecurity and privacy awareness training reports and results\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel who participate in security and privacy awareness training" - } - ] - } - ] - }, - { - "id": "at-3.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "props": [ - { - "name": "label", - "value": "AT-03(04)" - }, - { - "name": "sort-id", - "value": "at-03.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#at-2.4", - "rel": "moved-to" - } - ] - }, - { - "id": "at-3.5", - "class": "SP800-53-enhancement", - "title": "Processing Personally Identifiable Information", - "params": [ - { - "id": "at-03.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.5_prm_1" - }, - { - "name": "label", - "value": "AT-03(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls is/are defined;" - } - ] - }, - { - "id": "at-03.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-3.5_prm_2" - }, - { - "name": "label", - "value": "AT-03(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to provide refresher training in the employment and operation of personally identifiable information processing and transparency controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-03(05)" - }, - { - "name": "sort-id", - "value": "at-03.05" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-03.05_odp.01 }} with initial and {{ insert: param, at-03.05_odp.02 }} training in the employment and operation of personally identifiable information processing and transparency controls." - }, - { - "id": "at-3.5_gdn", - "name": "guidance", - "prose": "Personally identifiable information processing and transparency controls include the organization’s authority to process personally identifiable information and personally identifiable information processing purposes. Role-based training for federal agencies addresses the types of information that may constitute personally identifiable information and the risks, considerations, and obligations associated with its processing. Such training also considers the authority to process personally identifiable information documented in privacy policies and notices, system of records notices, computer matching agreements and notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, contracts, information sharing agreements, memoranda of understanding, and/or other documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, at-03.05_odp.01 }} are provided with initial and refresher training {{ insert: param, at-03.05_odp.02 }} in the employment and operation of personally identifiable information processing and transparency controls." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy awareness training implementation\n\nsecurity and privacy awareness training curriculum\n\nsecurity and privacy awareness training materials\n\nsystem security plan\n\nprivacy plan\n\norganizational privacy notices\n\norganizational policies\n\nsystem of records notices\n\nPrivacy Act statements\n\ncomputer matching agreements and notices\n\nprivacy impact assessments\n\ninformation sharing agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security and privacy training\n\norganizational personnel who participate in security and privacy awareness training" - } - ] - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Training Records", - "params": [ - { - "id": "at-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "at-4_prm_1" - }, - { - "name": "label", - "value": "AT-04_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for retaining individual training records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-04" - }, - { - "name": "sort-id", - "value": "at-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain individual training records for {{ insert: param, at-04_odp }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-04b.", - "class": "sp800-53A" - } - ], - "prose": "individual training records are retained for {{ insert: param, at-04_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy awareness and training policy\n\nprocedures addressing security and privacy training records\n\nsecurity and privacy awareness and training records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy training record retention responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security and privacy training records" - } - ] - } - ] - }, - { - "id": "at-5", - "class": "SP800-53", - "title": "Contacts with Security Groups and Associations", - "props": [ - { - "name": "label", - "value": "AT-05" - }, - { - "name": "sort-id", - "value": "at-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pm-15", - "rel": "incorporated-into" - } - ] - }, - { - "id": "at-6", - "class": "SP800-53", - "title": "Training Feedback", - "params": [ - { - "id": "at-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "at-6_prm_1" - }, - { - "name": "label", - "value": "AT-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide feedback on organizational training results is defined;" - } - ] - }, - { - "id": "at-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "at-6_prm_2" - }, - { - "name": "label", - "value": "AT-06_ODP[02]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom feedback on organizational training results will be provided is/are assigned;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AT-06" - }, - { - "name": "sort-id", - "value": "at-06" - } - ], - "parts": [ - { - "id": "at-6_smt", - "name": "statement", - "prose": "Provide feedback on organizational training results to the following personnel {{ insert: param, at-06_odp.01 }}: {{ insert: param, at-06_odp.02 }}." - }, - { - "id": "at-6_gdn", - "name": "guidance", - "prose": "Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the evaluation and update of organizational training described in [AT-2b](#at-2_smt.b) and [AT-3b](#at-3_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AT-06", - "class": "sp800-53A" - } - ], - "prose": "feedback on organizational training results is provided {{ insert: param, at-06_odp.01 }} to {{ insert: param, at-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security training record retention responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "au-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-01_odp.01" - }, - { - "name": "aggregates", - "value": "au-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "au-01_odp.01", - "props": [ - { - "name": "label", - "value": "AU-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the audit and accountability policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "au-01_odp.02", - "props": [ - { - "name": "label", - "value": "AU-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the audit and accountability procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "au-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_2" - }, - { - "name": "label", - "value": "AU-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "au-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_3" - }, - { - "name": "label", - "value": "AU-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the audit and accountability policy and procedures is defined;" - } - ] - }, - { - "id": "au-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_4" - }, - { - "name": "label", - "value": "AU-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current audit and accountability policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "au-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_5" - }, - { - "name": "label", - "value": "AU-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current audit and accountability policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "au-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_6" - }, - { - "name": "label", - "value": "AU-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current audit and accountability procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "au-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "au-1_prm_7" - }, - { - "name": "label", - "value": "AU-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require audit and accountability procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-01" - }, - { - "name": "sort-id", - "value": "au-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, au-01_odp.03 }} audit and accountability policy that:", - "parts": [ - { - "id": "au-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "au-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, au-01_odp.04 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and" - }, - { - "id": "au-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current audit and accountability:", - "parts": [ - { - "id": "au-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, au-01_odp.05 }} and following {{ insert: param, au-01_odp.06 }} ; and" - }, - { - "id": "au-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, au-01_odp.07 }} and following {{ insert: param, au-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit and accountability policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the audit and accountability policy is disseminated to {{ insert: param, au-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the audit and accountability procedures are disseminated to {{ insert: param, au-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, au-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability policy is reviewed and updated {{ insert: param, au-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability policy is reviewed and updated following {{ insert: param, au-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability procedures are reviewed and updated {{ insert: param, au-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current audit and accountability procedures are reviewed and updated following {{ insert: param, au-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Event Logging", - "params": [ - { - "id": "au-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "au-02_odp.02" - }, - { - "name": "aggregates", - "value": "au-02_odp.03" - } - ], - "label": "organization-defined event types (subset of the event types defined in[AU-2a.](#au-2_smt.a)) along with the frequency of (or situation requiring) logging for each identified event type" - }, - { - "id": "au-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-2_prm_1" - }, - { - "name": "label", - "value": "AU-02_ODP[01]" - } - ], - "label": "event types", - "guidelines": [ - { - "prose": "the event types that the system is capable of logging in support of the audit function are defined;" - } - ] - }, - { - "id": "au-02_odp.02", - "props": [ - { - "name": "label", - "value": "AU-02_ODP[02]" - } - ], - "label": "event types (subset of AU-02_ODP[01])", - "guidelines": [ - { - "prose": "the event types (subset of AU-02_ODP[01]) for logging within the system are defined;" - } - ] - }, - { - "id": "au-02_odp.03", - "props": [ - { - "name": "label", - "value": "AU-02_ODP[03]" - } - ], - "label": "frequency or situation", - "guidelines": [ - { - "prose": "the frequency or situation requiring logging for each specified event type is defined;" - } - ] - }, - { - "id": "au-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-2_prm_3" - }, - { - "name": "label", - "value": "AU-02_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of event types selected for logging are reviewed and updated;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-02" - }, - { - "name": "sort-id", - "value": "au-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, au-02_odp.01 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Specify the following event types for logging within the system: {{ insert: param, au-2_prm_2 }};" - }, - { - "id": "au-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and" - }, - { - "id": "au-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Review and update the event types selected for logging {{ insert: param, au-02_odp.04 }}." - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system.\n\nTo balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage.\n\nEvent logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include [AC-2(4)](#ac-2.4), [AC-3(10)](#ac-3.10), [AC-6(9)](#ac-6.9), [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](#ia-3.3_smt.b), [MA-4(1)](#ma-4.1), [MP-4(2)](#mp-4.2), [PE-3](#pe-3), [PM-21](#pm-21), [PT-7](#pt-7), [RA-8](#ra-8), [SC-7(9)](#sc-7.9), [SC-7(15)](#sc-7.15), [SI-3(8)](#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](#si-7.8) , and [SI-10(1)](#si-10.1) . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-02_odp.01 }} that the system is capable of logging are identified in support of the audit logging function;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02b.", - "class": "sp800-53A" - } - ], - "prose": "the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-02_odp.02 }} are specified for logging within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the specified event types are logged within the system {{ insert: param, au-02_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02d.", - "class": "sp800-53A" - } - ], - "prose": "a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-02e.", - "class": "sp800-53A" - } - ], - "prose": "the event types selected for logging are reviewed and updated {{ insert: param, au-02_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing auditable events\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem auditable events\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-2.1", - "class": "SP800-53-enhancement", - "title": "Compilation of Audit Records from Multiple Sources", - "props": [ - { - "name": "label", - "value": "AU-02(01)" - }, - { - "name": "sort-id", - "value": "au-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.2", - "class": "SP800-53-enhancement", - "title": "Selection of Audit Events by Component", - "props": [ - { - "name": "label", - "value": "AU-02(02)" - }, - { - "name": "sort-id", - "value": "au-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "AU-02(03)" - }, - { - "name": "sort-id", - "value": "au-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.4", - "class": "SP800-53-enhancement", - "title": "Privileged Functions", - "props": [ - { - "name": "label", - "value": "AU-02(04)" - }, - { - "name": "sort-id", - "value": "au-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "props": [ - { - "name": "label", - "value": "AU-03" - }, - { - "name": "sort-id", - "value": "au-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "Ensure that audit records contain information that establishes the following:", - "parts": [ - { - "id": "au-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "What type of event occurred;" - }, - { - "id": "au-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When the event occurred;" - }, - { - "id": "au-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Where the event occurred;" - }, - { - "id": "au-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Source of the event;" - }, - { - "id": "au-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Outcome of the event; and" - }, - { - "id": "au-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03a.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes what type of event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03b.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes when the event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03c.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes where the event occurred;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03d.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the source of the event;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03e.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the outcome of the event;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03f.", - "class": "sp800-53A" - } - ], - "prose": "audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing content of audit records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nsystem incident reports\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system auditing of auditable events" - } - ] - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "params": [ - { - "id": "au-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-3.1_prm_1" - }, - { - "name": "label", - "value": "AU-03(01)_ODP" - } - ], - "label": "additional information", - "guidelines": [ - { - "prose": "additional information to be included in audit records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-03(01)" - }, - { - "name": "sort-id", - "value": "au-03.01" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "Generate audit records containing the following additional information: {{ insert: param, au-03.01_odp }}." - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03(01)", - "class": "sp800-53A" - } - ], - "prose": "generated audit records contain the following {{ insert: param, au-03.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing content of audit records\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system audit capability" - } - ] - } - ] - }, - { - "id": "au-3.2", - "class": "SP800-53-enhancement", - "title": "Centralized Management of Planned Audit Record Content", - "props": [ - { - "name": "label", - "value": "AU-03(02)" - }, - { - "name": "sort-id", - "value": "au-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-3.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "au-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-3.3_prm_1" - }, - { - "name": "label", - "value": "AU-03(03)_ODP" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements identified in the privacy risk assessment are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-03(03)" - }, - { - "name": "sort-id", - "value": "au-03.03" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: {{ insert: param, au-03.03_odp }}." - }, - { - "id": "au-3.3_gdn", - "name": "guidance", - "prose": "Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-03(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information contained in audit records is limited to {{ insert: param, au-03.03_odp }} identified in the privacy risk assessment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprivacy risk assessment\n\nprivacy risk assessment results\n\nprocedures addressing content of audit records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\nsystem audit records\n\nthird party contracts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system audit capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Log Storage Capacity", - "params": [ - { - "id": "au-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-4_prm_1" - }, - { - "name": "label", - "value": "AU-04_ODP" - } - ], - "label": "audit log retention requirements", - "guidelines": [ - { - "prose": "audit log retention requirements are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-04" - }, - { - "name": "sort-id", - "value": "au-04" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "Allocate audit log storage capacity to accommodate {{ insert: param, au-04_odp }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-04", - "class": "sp800-53A" - } - ], - "prose": "audit log storage capacity is allocated to accommodate {{ insert: param, au-04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for system components\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "au-4.1", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage", - "params": [ - { - "id": "au-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-4.1_prm_1" - }, - { - "name": "label", - "value": "AU-04(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of audit logs transferred to a different system, system component, or media other than the system or system component conducting the logging is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-04(01)" - }, - { - "name": "sort-id", - "value": "au-04.01" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-4.1_smt", - "name": "statement", - "prose": "Transfer audit logs {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "id": "au-4.1_gdn", - "name": "guidance", - "prose": "Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is only used in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. Transferring audit logs to alternate storage is similar to [AU-9(2)](#au-9.2) in that audit logs are transferred to a different entity. However, the purpose of selecting [AU-9(2)](#au-9.2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-04(01)", - "class": "sp800-53A" - } - ], - "prose": "audit logs are transferred {{ insert: param, au-04.01_odp }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit storage capacity\n\nprocedures addressing transfer of system audit records to secondary or alternate systems\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogs of audit record transfers to secondary or alternate systems\n\nsystem audit records transferred to secondary or alternate systems\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit storage capacity planning responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting transfer of audit records onto a different system" - } - ] - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Logging Process Failures", - "params": [ - { - "id": "au-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_1" - }, - { - "name": "label", - "value": "AU-05_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles receiving audit logging process failure alerts are defined;" - } - ] - }, - { - "id": "au-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_2" - }, - { - "name": "label", - "value": "AU-05_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for personnel or roles receiving audit logging process failure alerts is defined;" - } - ] - }, - { - "id": "au-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5_prm_3" - }, - { - "name": "label", - "value": "AU-05_ODP[03]" - } - ], - "label": "additional actions", - "guidelines": [ - { - "prose": "additional actions to be taken in the event of an audit logging process failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05" - }, - { - "name": "sort-id", - "value": "au-05" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alert {{ insert: param, au-05_odp.01 }} within {{ insert: param, au-05_odp.02 }} in the event of an audit logging process failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-05_odp.03 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05_odp.01 }} are alerted in the event of an audit logging process failure within {{ insert: param, au-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system response to audit processing failures" - } - ] - } - ], - "controls": [ - { - "id": "au-5.1", - "class": "SP800-53-enhancement", - "title": "Storage Capacity Warning", - "params": [ - { - "id": "au-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_1" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[01]" - } - ], - "label": "personnel, roles, and/or locations", - "guidelines": [ - { - "prose": "personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity." - } - ] - }, - { - "id": "au-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_2" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for defined personnel, roles, and/or locations to be warned when allocated audit log storage volume reaches a percentage of repository maximum audit log storage capacity is defined;" - } - ] - }, - { - "id": "au-05.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.1_prm_3" - }, - { - "name": "label", - "value": "AU-05(01)_ODP[03]" - } - ], - "label": "percentage", - "guidelines": [ - { - "prose": "percentage of repository maximum audit log storage capacity is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(01)" - }, - { - "name": "sort-id", - "value": "au-05.01" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.1_smt", - "name": "statement", - "prose": "Provide a warning to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity." - }, - { - "id": "au-5.1_gdn", - "name": "guidance", - "prose": "Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(01)", - "class": "sp800-53A" - } - ], - "prose": "a warning is provided to {{ insert: param, au-05.01_odp.01 }} within {{ insert: param, au-05.01_odp.02 }} when allocated audit log storage volume reaches {{ insert: param, au-05.01_odp.03 }} of repository maximum audit log storage capacity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy system configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit storage limit warnings" - } - ] - } - ] - }, - { - "id": "au-5.2", - "class": "SP800-53-enhancement", - "title": "Real-time Alerts", - "params": [ - { - "id": "au-05.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_1" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[01]" - } - ], - "label": "real-time period", - "guidelines": [ - { - "prose": "real-time period requiring alerts when audit failure events (defined in AU-05(02)_ODP[03]) occur is defined;" - } - ] - }, - { - "id": "au-05.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_2" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[02]" - } - ], - "label": "personnel, roles, and/or locations", - "guidelines": [ - { - "prose": "personnel, roles, and/or locations to be alerted in real time when audit failure events (defined in AU-05(02)_ODP[03]) occur is/are defined;" - } - ] - }, - { - "id": "au-05.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.2_prm_3" - }, - { - "name": "label", - "value": "AU-05(02)_ODP[03]" - } - ], - "label": "audit logging failure events requiring real-time alerts", - "guidelines": [ - { - "prose": "audit logging failure events requiring real-time alerts are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(02)" - }, - { - "name": "sort-id", - "value": "au-05.02" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.2_smt", - "name": "statement", - "prose": "Provide an alert within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when the following audit failure events occur: {{ insert: param, au-05.02_odp.03 }}." - }, - { - "id": "au-5.2_gdn", - "name": "guidance", - "prose": "Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(02)", - "class": "sp800-53A" - } - ], - "prose": "an alert is provided within {{ insert: param, au-05.02_odp.01 }} to {{ insert: param, au-05.02_odp.02 }} when {{ insert: param, au-05.02_odp.03 }} occurs." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - } - ] - }, - { - "id": "au-5.3", - "class": "SP800-53-enhancement", - "title": "Configurable Traffic Volume Thresholds", - "params": [ - { - "id": "au-05.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.3_prm_1" - }, - { - "name": "label", - "value": "AU-05(03)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "reject", - "delay" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(03)" - }, - { - "name": "sort-id", - "value": "au-05.03" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-5.3_smt", - "name": "statement", - "prose": "Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and {{ insert: param, au-05.03_odp }} network traffic above those thresholds." - }, - { - "id": "au-5.3_gdn", - "name": "guidance", - "prose": "Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "network traffic is {{ insert: param, au-05.03_odp }} if network traffic volume reaches thresholds." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - } - ] - }, - { - "id": "au-5.4", - "class": "SP800-53-enhancement", - "title": "Shutdown on Failure", - "params": [ - { - "id": "au-05.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.4_prm_1" - }, - { - "name": "label", - "value": "AU-05(04)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "full system shutdown", - "partial system shutdown", - "degraded operational mode with limited mission or business functionality available" - ] - } - }, - { - "id": "au-05.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.4_prm_2" - }, - { - "name": "label", - "value": "AU-05(04)_ODP[02]" - } - ], - "label": "audit logging failures", - "guidelines": [ - { - "prose": "audit logging failures that trigger a change in operational mode are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(04)" - }, - { - "name": "sort-id", - "value": "au-05.04" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - }, - { - "href": "#au-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.4_smt", - "name": "statement", - "prose": "Invoke a {{ insert: param, au-05.04_odp.01 }} in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists." - }, - { - "id": "au-5.4_gdn", - "name": "guidance", - "prose": "Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-05.04_odp.01 }} is invoked in the event of {{ insert: param, au-05.04_odp.02 }} , unless an alternate audit logging capability exists." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure" - } - ] - } - ] - }, - { - "id": "au-5.5", - "class": "SP800-53-enhancement", - "title": "Alternate Audit Logging Capability", - "params": [ - { - "id": "au-05.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-5.5_prm_1" - }, - { - "name": "label", - "value": "AU-05(05)_ODP" - } - ], - "label": "alternate audit logging functionality", - "guidelines": [ - { - "prose": "an alternate audit logging functionality in the event of a failure in primary audit logging capability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-05(05)" - }, - { - "name": "sort-id", - "value": "au-05.05" - } - ], - "links": [ - { - "href": "#au-5", - "rel": "required" - }, - { - "href": "#au-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.5_smt", - "name": "statement", - "prose": "Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}." - }, - { - "id": "au-5.5_gdn", - "name": "guidance", - "prose": "Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-05(05)", - "class": "sp800-53A" - } - ], - "prose": "an alternate audit logging capability is provided in the event of a failure in primary audit logging capability that implements {{ insert: param, au-05.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Alternate audit logging capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Record Review, Analysis, and Reporting", - "params": [ - { - "id": "au-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_1" - }, - { - "name": "label", - "value": "AU-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which system audit records are reviewed and analyzed is defined;" - } - ] - }, - { - "id": "au-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_2" - }, - { - "name": "label", - "value": "AU-06_ODP[02]" - } - ], - "label": "inappropriate or unusual activity", - "guidelines": [ - { - "prose": "inappropriate or unusual activity is defined;" - } - ] - }, - { - "id": "au-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6_prm_3" - }, - { - "name": "label", - "value": "AU-06_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to receive findings from reviews and analyses of system records is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06" - }, - { - "name": "sort-id", - "value": "au-06" - } - ], - "links": [ - { - "href": "#cfdb1858-c473-46b3-89f9-a700308d0be2", - "rel": "reference" - }, - { - "href": "#10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and analyze system audit records {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;" - }, - { - "id": "au-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report findings to {{ insert: param, au-06_odp.03 }} ; and" - }, - { - "id": "au-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06a", - "class": "sp800-53A" - } - ], - "prose": "system audit records are reviewed and analyzed {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06b", - "class": "sp800-53A" - } - ], - "prose": "findings are reported to {{ insert: param, au-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06c", - "class": "sp800-53A" - } - ], - "prose": "the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Process Integration", - "params": [ - { - "id": "au-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6.1_prm_1" - }, - { - "name": "label", - "value": "AU-06(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(01)" - }, - { - "name": "sort-id", - "value": "au-06.01" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#pm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-06.01_odp }}." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(01)", - "class": "sp800-53A" - } - ], - "prose": "audit record review, analysis, and reporting processes are integrated using {{ insert: param, au-06.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing investigation and response to suspicious activities\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms integrating audit review, analysis, and reporting processes" - } - ] - } - ] - }, - { - "id": "au-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Security Alerts", - "props": [ - { - "name": "label", - "value": "AU-06(02)" - }, - { - "name": "sort-id", - "value": "au-06.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Record Repositories", - "props": [ - { - "name": "label", - "value": "AU-06(03)" - }, - { - "name": "sort-id", - "value": "au-06.03" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "Analyze and correlate audit records across different repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(03)", - "class": "sp800-53A" - } - ], - "prose": "audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records across different repositories\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting analysis and correlation of audit records" - } - ] - } - ] - }, - { - "id": "au-6.4", - "class": "SP800-53-enhancement", - "title": "Central Review and Analysis", - "props": [ - { - "name": "label", - "value": "AU-06(04)" - }, - { - "name": "sort-id", - "value": "au-06.04" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.4_smt", - "name": "statement", - "prose": "Provide and implement the capability to centrally review and analyze audit records from multiple components within the system." - }, - { - "id": "au-6.4_gdn", - "name": "guidance", - "prose": "Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to centrally review and analyze audit records from multiple components within the system is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to centrally review and analyze audit records from multiple components within the system is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability to centralize review and analysis of audit records" - } - ] - } - ] - }, - { - "id": "au-6.5", - "class": "SP800-53-enhancement", - "title": "Integrated Analysis of Audit Records", - "params": [ - { - "id": "au-6.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-06.05_odp.01" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-6.5_prm_2 }} " - ] - } - }, - { - "id": "au-6.5_prm_2", - "depends-on": "au-6.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "au-06.05_odp.02" - } - ], - "label": "organization-defined data/information collected from other sources" - }, - { - "id": "au-06.05_odp.01", - "props": [ - { - "name": "label", - "value": "AU-06(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-06.05_odp.02 }} " - ] - } - }, - { - "id": "au-06.05_odp.02", - "props": [ - { - "name": "label", - "value": "AU-06(05)_ODP[02]" - } - ], - "label": "data/information collected from other sources", - "guidelines": [ - { - "prose": "data/information collected from other sources to be analyzed is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(05)" - }, - { - "name": "sort-id", - "value": "au-06.05" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.5_smt", - "name": "statement", - "prose": "Integrate analysis of audit records with analysis of {{ insert: param, au-6.5_prm_1 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "id": "au-6.5_gdn", - "name": "guidance", - "prose": "Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(05)", - "class": "sp800-53A" - } - ], - "prose": "analysis of audit records is integrated with analysis of {{ insert: param, au-06.05_odp.01 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information, and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources" - } - ] - } - ] - }, - { - "id": "au-6.6", - "class": "SP800-53-enhancement", - "title": "Correlation with Physical Monitoring", - "props": [ - { - "name": "label", - "value": "AU-06(06)" - }, - { - "name": "sort-id", - "value": "au-06.06" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-6.6_smt", - "name": "statement", - "prose": "Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "id": "au-6.6_gdn", - "name": "guidance", - "prose": "The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(06)", - "class": "sp800-53A" - } - ], - "prose": "information from audit records is correlated with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing physical access monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing evidence of correlated information obtained from audit records and physical access monitoring records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access" - } - ] - } - ] - }, - { - "id": "au-6.7", - "class": "SP800-53-enhancement", - "title": "Permitted Actions", - "params": [ - { - "id": "au-06.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-6.7_prm_1" - }, - { - "name": "label", - "value": "AU-06(07)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "system process", - "role", - "user" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-06(07)" - }, - { - "name": "sort-id", - "value": "au-06.07" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-6.7_smt", - "name": "statement", - "prose": "Specify the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information." - }, - { - "id": "au-6.7_gdn", - "name": "guidance", - "prose": "Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(07)", - "class": "sp800-53A" - } - ], - "prose": "the permitted actions for each {{ insert: param, au-06.07_odp }} associated with the review, analysis, and reporting of audit record information is specified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information" - } - ] - } - ] - }, - { - "id": "au-6.8", - "class": "SP800-53-enhancement", - "title": "Full Text Analysis of Privileged Commands", - "props": [ - { - "name": "label", - "value": "AU-06(08)" - }, - { - "name": "sort-id", - "value": "au-06.08" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.8_smt", - "name": "statement", - "prose": "Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis." - }, - { - "id": "au-6.8_gdn", - "name": "guidance", - "prose": "Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(08)", - "class": "sp800-53A" - } - ], - "prose": "a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system or other system that is dedicated to that analysis is performed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntext analysis tools and techniques\n\ntext analysis documentation of audited privileged commands\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands" - } - ] - } - ] - }, - { - "id": "au-6.9", - "class": "SP800-53-enhancement", - "title": "Correlation with Information from Nontechnical Sources", - "props": [ - { - "name": "label", - "value": "AU-06(09)" - }, - { - "name": "sort-id", - "value": "au-06.09" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "required" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.9_smt", - "name": "statement", - "prose": "Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness." - }, - { - "id": "au-6.9_gdn", - "name": "guidance", - "prose": "Nontechnical sources include records that document organizational policy violations related to harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals who do not have a need to know. The correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-06(09)", - "class": "sp800-53A" - } - ], - "prose": "information from non-technical sources is correlated with audit record information to enhance organization-wide situational awareness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-06(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit review, analysis, and reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources\n\nlist of information types from non-technical sources for correlation with audit information\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-06(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-06(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to correlate information from non-technical sources" - } - ] - } - ] - }, - { - "id": "au-6.10", - "class": "SP800-53-enhancement", - "title": "Audit Level Adjustment", - "props": [ - { - "name": "label", - "value": "AU-06(10)" - }, - { - "name": "sort-id", - "value": "au-06.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Record Reduction and Report Generation", - "props": [ - { - "name": "label", - "value": "AU-07" - }, - { - "name": "sort-id", - "value": "au-07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "Provide and implement an audit record reduction and report generation capability that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit reduction and report generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "params": [ - { - "id": "au-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-7.1_prm_1" - }, - { - "name": "label", - "value": "AU-07(01)_ODP" - } - ], - "label": "fields within audit records", - "guidelines": [ - { - "prose": "fields within audit records that can be processed, sorted, or searched are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-07(01)" - }, - { - "name": "sort-id", - "value": "au-07.01" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-07.01_odp }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-07(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit reduction and report generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\naudit record criteria (fields) establishing events of interest\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ] - }, - { - "id": "au-7.2", - "class": "SP800-53-enhancement", - "title": "Automatic Sort and Search", - "props": [ - { - "name": "label", - "value": "AU-07(02)" - }, - { - "name": "sort-id", - "value": "au-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-7.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "params": [ - { - "id": "au-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-8_prm_1" - }, - { - "name": "label", - "value": "AU-08_ODP" - } - ], - "label": "granularity of time measurement", - "guidelines": [ - { - "prose": "granularity of time measurement for audit record timestamps is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-08" - }, - { - "name": "sort-id", - "value": "au-08" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Record time stamps for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08a.", - "class": "sp800-53A" - } - ], - "prose": "internal system clocks are used to generate timestamps for audit records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-08b.", - "class": "sp800-53A" - } - ], - "prose": "timestamps are recorded for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or include the local time offset as part of the timestamp." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing timestamp generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing timestamp generation" - } - ] - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-08(01)" - }, - { - "name": "sort-id", - "value": "au-08.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-45.1", - "rel": "moved-to" - } - ] - }, - { - "id": "au-8.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-08(02)" - }, - { - "name": "sort-id", - "value": "au-08.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-45.2", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "params": [ - { - "id": "au-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9_prm_1" - }, - { - "name": "label", - "value": "AU-09_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09" - }, - { - "name": "sort-id", - "value": "au-09" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#au-15", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "parts": [ - { - "id": "au-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and" - }, - { - "id": "au-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Alert {{ insert: param, au-09_odp }} upon detection of unauthorized access, modification, or deletion of audit information." - } - ] - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09a.", - "class": "sp800-53A" - } - ], - "prose": "audit information and audit logging tools are protected from unauthorized access, modification, and deletion;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-09_odp }} are alerted upon detection of unauthorized access, modification, or deletion of audit information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\naudit tools\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing audit information protection" - } - ] - } - ], - "controls": [ - { - "id": "au-9.1", - "class": "SP800-53-enhancement", - "title": "Hardware Write-once Media", - "props": [ - { - "name": "label", - "value": "AU-09(01)" - }, - { - "name": "sort-id", - "value": "au-09.01" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.1_smt", - "name": "statement", - "prose": "Write audit trails to hardware-enforced, write-once media." - }, - { - "id": "au-9.1_gdn", - "name": "guidance", - "prose": "Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disc-Recordable (CD-R), Blu-Ray Disc Recordable (BD-R), and Digital Versatile Disc-Recordable (DVD-R). In contrast, the use of switchable write-protection media, such as tape cartridges, Universal Serial Bus (USB) drives, Compact Disc Re-Writeable (CD-RW), and Digital Versatile Disc-Read Write (DVD-RW) results in write-protected but not write-once media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(01)", - "class": "sp800-53A" - } - ], - "prose": "audit trails are written to hardware-enforced, write-once media." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem hardware settings\n\nsystem configuration settings and associated documentation\n\nsystem storage media\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media storing audit trails" - } - ] - } - ] - }, - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Store on Separate Physical Systems or Components", - "params": [ - { - "id": "au-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.2_prm_1" - }, - { - "name": "label", - "value": "AU-09(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of storing audit records in a repository is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(02)" - }, - { - "name": "sort-id", - "value": "au-09.02" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "Store audit records {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(02)", - "class": "sp800-53A" - } - ], - "prose": "audit records are stored {{ insert: param, au-09.02_odp }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem or media storing backups of system audit records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the backing up of audit records" - } - ] - } - ] - }, - { - "id": "au-9.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "AU-09(03)" - }, - { - "name": "sort-id", - "value": "au-09.03" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the integrity of audit information and audit tools." - }, - { - "id": "au-9.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms to protect the integrity of audit information and audit tools are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem hardware settings\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting integrity of audit information and tools" - } - ] - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "params": [ - { - "id": "au-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.4_prm_1" - }, - { - "name": "label", - "value": "AU-09(04)_ODP" - } - ], - "label": "subset of privileged users or roles", - "guidelines": [ - { - "prose": "a subset of privileged users or roles authorized to access management of audit logging functionality is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(04)" - }, - { - "name": "sort-id", - "value": "au-09.04" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "Authorize access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(04)", - "class": "sp800-53A" - } - ], - "prose": "access to management of audit logging functionality to only {{ insert: param, au-09.04_odp }} is authorized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged users with access to management of audit functionality\n\naccess authorizations\n\naccess control list\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit functionality" - } - ] - } - ] - }, - { - "id": "au-9.5", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "au-09.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.5_prm_1" - }, - { - "name": "label", - "value": "AU-09(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "movement", - "deletion" - ] - } - }, - { - "id": "au-09.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.5_prm_2" - }, - { - "name": "label", - "value": "AU-09(05)_ODP[02]" - } - ], - "label": "audit information", - "guidelines": [ - { - "prose": "audit information for which dual authorization is to be enforced is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(05)" - }, - { - "name": "sort-id", - "value": "au-09.05" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.5_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}." - }, - { - "id": "au-9.5_gdn", - "name": "guidance", - "prose": "Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(05)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization is enforced for the {{ insert: param, au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naccess authorizations\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing enforcement of dual authorization" - } - ] - } - ] - }, - { - "id": "au-9.6", - "class": "SP800-53-enhancement", - "title": "Read-only Access", - "params": [ - { - "id": "au-09.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-9.6_prm_1" - }, - { - "name": "label", - "value": "AU-09(06)_ODP" - } - ], - "label": "subset of privileged users or roles", - "guidelines": [ - { - "prose": "a subset of privileged users or roles with authorized read-only access to audit information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-09(06)" - }, - { - "name": "sort-id", - "value": "au-09.06" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-9.6_smt", - "name": "statement", - "prose": "Authorize read-only access to audit information to {{ insert: param, au-09.06_odp }}." - }, - { - "id": "au-9.6_gdn", - "name": "guidance", - "prose": "Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, such as deleting audit records to cover up malicious activity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(06)", - "class": "sp800-53A" - } - ], - "prose": "read-only access to audit information is authorized to {{ insert: param, au-09.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of privileged users with read-only access to audit information\n\naccess authorizations\n\naccess control list\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit information" - } - ] - } - ] - }, - { - "id": "au-9.7", - "class": "SP800-53-enhancement", - "title": "Store on Component with Different Operating System", - "props": [ - { - "name": "label", - "value": "AU-09(07)" - }, - { - "name": "sort-id", - "value": "au-09.07" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.7_smt", - "name": "statement", - "prose": "Store audit information on a component running a different operating system than the system or component being audited." - }, - { - "id": "au-9.7_gdn", - "name": "guidance", - "prose": "Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system, resulting in a compromise of the audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-09(07)", - "class": "sp800-53A" - } - ], - "prose": "audit information is stored on a component running a different operating system than the system or component being audited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing operating system verification capability\n\nmechanisms verifying audit information storage location" - } - ] - } - ] - } - ] - }, - { - "id": "au-10", - "class": "SP800-53", - "title": "Non-repudiation", - "params": [ - { - "id": "au-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10_prm_1" - }, - { - "name": "label", - "value": "AU-10_ODP" - } - ], - "label": "actions to be covered by non-repudiation", - "guidelines": [ - { - "prose": "actions to be covered by non-repudiation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10" - }, - { - "name": "sort-id", - "value": "au-10" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10_smt", - "name": "statement", - "prose": "Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}." - }, - { - "id": "au-10_gdn", - "name": "guidance", - "prose": "Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10", - "class": "sp800-53A" - } - ], - "prose": "irrefutable evidence is provided that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-10.1", - "class": "SP800-53-enhancement", - "title": "Association of Identities", - "params": [ - { - "id": "au-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.1_prm_1" - }, - { - "name": "label", - "value": "AU-10(01)_ODP" - } - ], - "label": "strength of binding", - "guidelines": [ - { - "prose": "the strength of binding between the identity of the information producer and the information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(01)" - }, - { - "name": "sort-id", - "value": "au-10.01" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Bind the identity of the information producer with the information to {{ insert: param, au-10.01_odp }} ; and" - }, - { - "id": "au-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide the means for authorized individuals to determine the identity of the producer of the information." - } - ] - }, - { - "id": "au-10.1_gdn", - "name": "guidance", - "prose": "Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the identity of the information producer is bound with the information to {{ insert: param, au-10.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the means for authorized individuals to determine the identity of the producer of the information is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.2", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Producer Identity", - "params": [ - { - "id": "au-10.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.2_prm_1" - }, - { - "name": "label", - "value": "AU-10(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to validate the binding of the information producer identity to the information is defined;" - } - ] - }, - { - "id": "au-10.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.2_prm_2" - }, - { - "name": "label", - "value": "AU-10(02)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "the actions to be performed in the event of a validation error are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(02)" - }, - { - "name": "sort-id", - "value": "au-10.02" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information producer identity to the information at {{ insert: param, au-10.02_odp.01 }} ; and" - }, - { - "id": "au-10.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.02_odp.02 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.2_gdn", - "name": "guidance", - "prose": "Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved by, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the binding of the information producer identity to the information {{ insert: param, au-10.02_odp.01 }} is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-10.02_odp.02 }} in the event of a validation error are performed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.3", - "class": "SP800-53-enhancement", - "title": "Chain of Custody", - "props": [ - { - "name": "label", - "value": "AU-10(03)" - }, - { - "name": "sort-id", - "value": "au-10.03" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.3_smt", - "name": "statement", - "prose": "Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released." - }, - { - "id": "au-10.3_gdn", - "name": "guidance", - "prose": "Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(03)", - "class": "sp800-53A" - } - ], - "prose": "reviewer or releaser credentials are maintained within the established chain of custody for information reviewed or released." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of information reviews and releases\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.4", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Reviewer Identity", - "params": [ - { - "id": "au-10.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.4_prm_1" - }, - { - "name": "label", - "value": "AU-10(04)_ODP[01]" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains for which the binding of the information reviewer identity to the information is to be validated at transfer or release are defined;" - } - ] - }, - { - "id": "au-10.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-10.4_prm_2" - }, - { - "name": "label", - "value": "AU-10(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be performed in the event of a validation error are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(04)" - }, - { - "name": "sort-id", - "value": "au-10.04" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.4_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} ; and" - }, - { - "id": "au-10.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.04_odp.02 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.4_gdn", - "name": "guidance", - "prose": "Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.04_odp.01 }} is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-10(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-10.04_odp.02 }} are performed in the event of a validation error." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing non-repudiation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nvalidation records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-10.5", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "AU-10(05)" - }, - { - "name": "sort-id", - "value": "au-10.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "params": [ - { - "id": "au-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-11_prm_1" - }, - { - "name": "label", - "value": "AU-11_ODP" - } - ], - "label": "time period consistent with records retention policy", - "guidelines": [ - { - "prose": "a time period to retain audit records that is consistent with the records retention policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "Retain audit records for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-11", - "class": "sp800-53A" - } - ], - "prose": "audit records are retained for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - } - ], - "controls": [ - { - "id": "au-11.1", - "class": "SP800-53-enhancement", - "title": "Long-term Retrieval Capability", - "params": [ - { - "id": "au-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-11.1_prm_1" - }, - { - "name": "label", - "value": "AU-11(01)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to be employed to ensure that long-term audit records generated by the system can be retrieved are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-11(01)" - }, - { - "name": "sort-id", - "value": "au-11.01" - } - ], - "links": [ - { - "href": "#au-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-11.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-11.01_odp }} to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "id": "au-11.1_gdn", - "name": "guidance", - "prose": "Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining the necessary documentation to help personnel understand how to interpret the records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-11(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-11.01_odp }} are employed to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\naudit record retention policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record retention capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Record Generation", - "params": [ - { - "id": "au-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12_prm_1" - }, - { - "name": "label", - "value": "AU-12_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;" - } - ] - }, - { - "id": "au-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12_prm_2" - }, - { - "name": "label", - "value": "AU-12_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide audit record generation capability for the event types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a) on {{ insert: param, au-12_odp.01 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow {{ insert: param, au-12_odp.02 }} to select the event types that are to be logged by specific components of the system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) that include the audit record content defined in [AU-3](#au-3)." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different system components. The event types specified in [AU-2d](#au-2_smt.d) are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12a.", - "class": "sp800-53A" - } - ], - "prose": "audit record generation capability for the event types the system is capable of auditing, as defined in AU-2a, are provided on {{ insert: param, au-12_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-12_odp.02 }} is/are allowed to select the event types that are to be logged by specific components of the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12c.", - "class": "sp800-53A" - } - ], - "prose": "audit records for the event types defined in AU-2c that include the audit record content defined in AU-3 are generated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of auditable events\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-12.1", - "class": "SP800-53-enhancement", - "title": "System-wide and Time-correlated Audit Trail", - "params": [ - { - "id": "au-12.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.1_prm_1" - }, - { - "name": "label", - "value": "AU-12(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail are defined;" - } - ] - }, - { - "id": "au-12.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.1_prm_2" - }, - { - "name": "label", - "value": "AU-12(01)_ODP[02]" - } - ], - "label": "level of tolerance for the relationship between timestamps of individual records in the audit trail", - "guidelines": [ - { - "prose": "level of tolerance for the relationship between timestamps of individual records in the audit trail is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(01)" - }, - { - "name": "sort-id", - "value": "au-12.01" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.1_smt", - "name": "statement", - "prose": "Compile audit records from {{ insert: param, au-12.01_odp.01 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}." - }, - { - "id": "au-12.1_gdn", - "name": "guidance", - "prose": "Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(01)", - "class": "sp800-53A" - } - ], - "prose": "audit records from {{ insert: param, au-12.01_odp.01 }} are compiled into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-wide audit trail (logical or physical)\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.2", - "class": "SP800-53-enhancement", - "title": "Standardized Formats", - "props": [ - { - "name": "label", - "value": "AU-12(02)" - }, - { - "name": "sort-id", - "value": "au-12.02" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-12.2_smt", - "name": "statement", - "prose": "Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format." - }, - { - "id": "au-12.2_gdn", - "name": "guidance", - "prose": "Audit records that follow common standards promote interoperability and information exchange between devices and systems. Promoting interoperability and information exchange facilitates the production of event information that can be readily analyzed and correlated. If logging mechanisms do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(02)", - "class": "sp800-53A" - } - ], - "prose": "a system-wide (logical or physical) audit trail composed of audit records is produced in a standardized format." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-wide audit trail (logical or physical)\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.3", - "class": "SP800-53-enhancement", - "title": "Changes by Authorized Individuals", - "params": [ - { - "id": "au-12.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_1" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[01]" - } - ], - "label": "individuals or roles", - "guidelines": [ - { - "prose": "individuals or roles authorized to change logging on system components are defined;" - } - ] - }, - { - "id": "au-12.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_2" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which logging is to be performed are defined;" - } - ] - }, - { - "id": "au-12.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_3" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[03]" - } - ], - "label": "selectable event criteria", - "guidelines": [ - { - "prose": "selectable event criteria with which change logging to be performed are defined;" - } - ] - }, - { - "id": "au-12.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-12.3_prm_4" - }, - { - "name": "label", - "value": "AU-12(03)_ODP[04]" - } - ], - "label": "time thresholds", - "guidelines": [ - { - "prose": "time thresholds in which logging actions are to change is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(03)" - }, - { - "name": "sort-id", - "value": "au-12.03" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }}." - }, - { - "id": "au-12.3_gdn", - "name": "guidance", - "prose": "Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} are provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-12.03_odp.01 }} to change the logging to be performed on {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04 }} are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem-generated list of individuals or roles authorized to change auditing to be performed\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.4", - "class": "SP800-53-enhancement", - "title": "Query Parameter Audits of Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "AU-12(04)" - }, - { - "name": "sort-id", - "value": "au-12.04" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-12.4_smt", - "name": "statement", - "prose": "Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information." - }, - { - "id": "au-12.4_gdn", - "name": "guidance", - "prose": "Query parameters are explicit criteria that an individual or automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit the parameters of user query events for data sets containing personally identifiable information is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-12(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit the parameters of user query events for data sets containing personally identifiable information is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing audit record generation\n\nquery event records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmap of system data actions\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-12(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-13", - "class": "SP800-53", - "title": "Monitoring for Information Disclosure", - "params": [ - { - "id": "au-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_1" - }, - { - "name": "label", - "value": "AU-13_ODP[01]" - } - ], - "label": "open-source information and/or information sites", - "guidelines": [ - { - "prose": "open-source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information is/are defined;" - } - ] - }, - { - "id": "au-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_2" - }, - { - "name": "label", - "value": "AU-13_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which open-source information and/or information sites are monitored for evidence of unauthorized disclosure of organizational information is defined;" - } - ] - }, - { - "id": "au-13_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_3" - }, - { - "name": "label", - "value": "AU-13_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified if an information disclosure is discovered is/are defined;" - } - ] - }, - { - "id": "au-13_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13_prm_4" - }, - { - "name": "label", - "value": "AU-13_ODP[04]" - } - ], - "label": "additional actions", - "guidelines": [ - { - "prose": "additional actions to be taken if an information disclosure is discovered are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13" - }, - { - "name": "sort-id", - "value": "au-13" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-13_smt", - "name": "statement", - "parts": [ - { - "id": "au-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor {{ insert: param, au-13_odp.01 }} {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information; and" - }, - { - "id": "au-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "If an information disclosure is discovered:", - "parts": [ - { - "id": "au-13_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Notify {{ insert: param, au-13_odp.03 }} ; and" - }, - { - "id": "au-13_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-13_odp.04 }}." - } - ] - } - ] - }, - { - "id": "au-13_gdn", - "name": "guidance", - "prose": "Unauthorized disclosure of information is a form of data leakage. Open-source information includes social networking sites and code-sharing platforms and repositories. Examples of organizational information include personally identifiable information retained by the organization or proprietary information generated by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.01 }} are monitored {{ insert: param, au-13_odp.02 }} for evidence of unauthorized disclosure of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.01", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.03 }} are notified if an information disclosure is discovered;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13b.02", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-13_odp.04 }} are taken if an information disclosure is discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmonitoring records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring open-source information and/or information sites\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing monitoring for information disclosure" - } - ] - } - ], - "controls": [ - { - "id": "au-13.1", - "class": "SP800-53-enhancement", - "title": "Use of Automated Tools", - "params": [ - { - "id": "au-13.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13.1_prm_1" - }, - { - "name": "label", - "value": "AU-13(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for monitoring open-source information and information sites are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(01)" - }, - { - "name": "sort-id", - "value": "au-13.01" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.1_smt", - "name": "statement", - "prose": "Monitor open-source information and information sites using {{ insert: param, au-13.01_odp }}." - }, - { - "id": "au-13.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include commercial services that provide notifications and alerts to organizations and automated scripts to monitor new posts on websites." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(01)", - "class": "sp800-53A" - } - ], - "prose": "open-source information and information sites are monitored using {{ insert: param, au-13.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nautomated monitoring tools\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring information disclosures\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing monitoring for information disclosure" - } - ] - } - ] - }, - { - "id": "au-13.2", - "class": "SP800-53-enhancement", - "title": "Review of Monitored Sites", - "params": [ - { - "id": "au-13.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-13.2_prm_1" - }, - { - "name": "label", - "value": "AU-13(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the open-source information sites being monitored is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(02)" - }, - { - "name": "sort-id", - "value": "au-13.02" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.2_smt", - "name": "statement", - "prose": "Review the list of open-source information sites being monitored {{ insert: param, au-13.02_odp }}." - }, - { - "id": "au-13.2_gdn", - "name": "guidance", - "prose": "Reviewing the current list of open-source information sites being monitored on a regular basis helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open-source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(02)", - "class": "sp800-53A" - } - ], - "prose": "the list of open-source information sites being monitored is reviewed {{ insert: param, au-13.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreviews for open-source information sites being monitored\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring open-source information sites\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing monitoring for information disclosure" - } - ] - } - ] - }, - { - "id": "au-13.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Replication of Information", - "props": [ - { - "name": "label", - "value": "AU-13(03)" - }, - { - "name": "sort-id", - "value": "au-13.03" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-13.3_smt", - "name": "statement", - "prose": "Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "id": "au-13.3_gdn", - "name": "guidance", - "prose": "The unauthorized use or replication of organizational information by external entities can cause adverse impacts on organizational operations and assets, including damage to reputation. Such activity can include the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques, and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize the unauthorized use of organizational information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-13(03)", - "class": "sp800-53A" - } - ], - "prose": "discovery techniques, processes, and tools are employed to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-13(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing information disclosure monitoring\n\nprocedures addressing information replication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\ntraining resources for staff to recognize the unauthorized use of organizational information\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-13(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for monitoring unauthorized replication of information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-13(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Discovery tools for identifying unauthorized information replication" - } - ] - } - ] - } - ] - }, - { - "id": "au-14", - "class": "SP800-53", - "title": "Session Audit", - "params": [ - { - "id": "au-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_1" - }, - { - "name": "label", - "value": "AU-14_ODP[01]" - } - ], - "label": "users or roles", - "guidelines": [ - { - "prose": "users or roles who can audit the content of a user session are defined;" - } - ] - }, - { - "id": "au-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_2" - }, - { - "name": "label", - "value": "AU-14_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "record", - "view", - "hear", - "log" - ] - } - }, - { - "id": "au-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "au-14_prm_3" - }, - { - "name": "label", - "value": "AU-14_ODP[03]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances under which the content of a user session can be audited are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-14" - }, - { - "name": "sort-id", - "value": "au-14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14_smt", - "name": "statement", - "parts": [ - { - "id": "au-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide and implement the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} ; and" - }, - { - "id": "au-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "au-14_gdn", - "name": "guidance", - "prose": "Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session audit capability is implemented in addition to event logging and may involve implementation of specialized session capture technology. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk as well as how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including the use of personally identifiable information, are appropriately addressed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-14_odp.01 }} provided with the capability to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for {{ insert: param, au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content of a user session under {{ insert: param, au-14_odp.03 }} is implemented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are developed in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are integrated in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14b.[03]", - "class": "sp800-53A" - } - ], - "prose": "session auditing activities are used in consultation with legal counsel and in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nlegal counsel\n\npersonnel with civil liberties responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing user session auditing capability" - } - ] - } - ], - "controls": [ - { - "id": "au-14.1", - "class": "SP800-53-enhancement", - "title": "System Start-up", - "props": [ - { - "name": "label", - "value": "AU-14(01)" - }, - { - "name": "sort-id", - "value": "au-14.01" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-14.1_smt", - "name": "statement", - "prose": "Initiate session audits automatically at system start-up." - }, - { - "id": "au-14.1_gdn", - "name": "guidance", - "prose": "The automatic initiation of session audits at startup helps to ensure that the information being captured on selected individuals is complete and not subject to compromise through tampering by malicious threat actors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(01)", - "class": "sp800-53A" - } - ], - "prose": "session audits are initiated automatically at system start-up." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session auditing capability" - } - ] - } - ] - }, - { - "id": "au-14.2", - "class": "SP800-53-enhancement", - "title": "Capture and Record Content", - "props": [ - { - "name": "label", - "value": "AU-14(02)" - }, - { - "name": "sort-id", - "value": "au-14.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-14.3", - "class": "SP800-53-enhancement", - "title": "Remote Viewing and Listening", - "props": [ - { - "name": "label", - "value": "AU-14(03)" - }, - { - "name": "sort-id", - "value": "au-14.03" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "required" - }, - { - "href": "#ac-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time." - }, - { - "id": "au-14.3_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability for authorized users to remotely view and hear content related to an established user session in real time is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-14(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the capability for authorized users to remotely view and hear content related to an established user session in real time is implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-14(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user session auditing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-14(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nlegal counsel\n\npersonnel with civil liberties responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-14(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session auditing capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-15", - "class": "SP800-53", - "title": "Alternate Audit Logging Capability", - "props": [ - { - "name": "label", - "value": "AU-15" - }, - { - "name": "sort-id", - "value": "au-15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#au-5.5", - "rel": "moved-to" - } - ] - }, - { - "id": "au-16", - "class": "SP800-53", - "title": "Cross-organizational Audit Logging", - "params": [ - { - "id": "au-16_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16_prm_1" - }, - { - "name": "label", - "value": "AU-16_ODP[01]" - } - ], - "label": "methods", - "guidelines": [ - { - "prose": "methods for coordinating audit information among external organizations when audit information is transmitted across organizational boundaries are defined;" - } - ] - }, - { - "id": "au-16_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16_prm_2" - }, - { - "name": "label", - "value": "AU-16_ODP[02]" - } - ], - "label": "audit information", - "guidelines": [ - { - "prose": "audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16" - }, - { - "name": "sort-id", - "value": "au-16" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries." - }, - { - "id": "au-16_gdn", - "name": "guidance", - "prose": "When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals who request specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals who issue requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-16_odp.01 }} for coordinating {{ insert: param, au-16_odp.02 }} among external organizations when audit information is transmitted across organizational boundaries are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing methods for coordinating audit information among external organizations\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for coordinating audit information among external organizations\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cross-organizational auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-16.1", - "class": "SP800-53-enhancement", - "title": "Identity Preservation", - "props": [ - { - "name": "label", - "value": "AU-16(01)" - }, - { - "name": "sort-id", - "value": "au-16.01" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.1_smt", - "name": "statement", - "prose": "Preserve the identity of individuals in cross-organizational audit trails." - }, - { - "id": "au-16.1_gdn", - "name": "guidance", - "prose": "Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(01)", - "class": "sp800-53A" - } - ], - "prose": "the identity of individuals in cross-organizational audit trails is preserved." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational audit trails\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with cross-organizational audit responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing cross-organizational auditing (if applicable)" - } - ] - } - ] - }, - { - "id": "au-16.2", - "class": "SP800-53-enhancement", - "title": "Sharing of Audit Information", - "params": [ - { - "id": "au-16.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.2_prm_1" - }, - { - "name": "label", - "value": "AU-16(02)_ODP[01]" - } - ], - "label": "organizations", - "guidelines": [ - { - "prose": "organizations with which cross-organizational audit information is to be shared are defined;" - } - ] - }, - { - "id": "au-16.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.2_prm_2" - }, - { - "name": "label", - "value": "AU-16(02)_ODP[02]" - } - ], - "label": "cross-organizational sharing agreements", - "guidelines": [ - { - "prose": "cross-organizational sharing agreements to be used when providing cross-organizational audit information to organizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(02)" - }, - { - "name": "sort-id", - "value": "au-16.02" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.2_smt", - "name": "statement", - "prose": "Provide cross-organizational audit information to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}." - }, - { - "id": "au-16.2_gdn", - "name": "guidance", - "prose": "Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals’ home organizations have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(02)", - "class": "sp800-53A" - } - ], - "prose": "cross-organizational audit information is provided to {{ insert: param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational sharing of audit information\n\ninformation sharing agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for sharing cross-organizational audit information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "au-16.3", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "au-16.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "au-16.3_prm_1" - }, - { - "name": "label", - "value": "AU-16(03)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to disassociate individuals from audit information transmitted across organizational boundaries are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(03)" - }, - { - "name": "sort-id", - "value": "au-16.03" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "au-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, au-16.03_odp }} to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "id": "au-16.3_gdn", - "name": "guidance", - "prose": "Preserving identities in audit trails could have privacy ramifications, such as enabling the tracking and profiling of individuals, but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Implementing privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "AU-16(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, au-16.03_odp }} are implemented to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing cross-organizational sharing of audit information\n\npolicy and/or procedures regarding the deidentification of PII\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for sharing cross-organizational audit information\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing disassociability" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Assessment, Authorization, and Monitoring", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ca-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ca-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-01_odp.01", - "props": [ - { - "name": "label", - "value": "CA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the assessment, authorization, and monitoring policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ca-01_odp.02", - "props": [ - { - "name": "label", - "value": "CA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the assessment, authorization, and monitoring procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ca-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_2" - }, - { - "name": "label", - "value": "CA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ca-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_3" - }, - { - "name": "label", - "value": "CA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the assessment, authorization, and monitoring policy and procedures is defined;" - } - ] - }, - { - "id": "ca-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_4" - }, - { - "name": "label", - "value": "CA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ca-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_5" - }, - { - "name": "label", - "value": "CA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ca-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_6" - }, - { - "name": "label", - "value": "CA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ca-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-1_prm_7" - }, - { - "name": "label", - "value": "CA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-01" - }, - { - "name": "sort-id", - "value": "ca-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#62ea77ca-e450-4323-b210-e0d75390e785", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy that:", - "parts": [ - { - "id": "ca-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ca-01_odp.04 }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and" - }, - { - "id": "ca-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current assessment, authorization, and monitoring:", - "parts": [ - { - "id": "ca-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ca-01_odp.05 }} and following {{ insert: param, ca-01_odp.06 }} ; and" - }, - { - "id": "ca-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ca-01_odp.07 }} and following {{ insert: param, ca-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an assessment, authorization, and monitoring policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the assessment, authorization, and monitoring policy is disseminated to {{ insert: param, ca-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the assessment, authorization, and monitoring procedures are disseminated to {{ insert: param, ca-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses scope;[03] SELECTED PARAMETER(S)> assessment, authorization, and monitoring policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses roles;[03] SELECTED PARAMETER(S)> assessment, authorization, and monitoring policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ca-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring policy is reviewed and updated {{ insert: param, ca-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring policy is reviewed and updated following {{ insert: param, ca-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring procedures are reviewed and updated {{ insert: param, ca-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current assessment, authorization, and monitoring procedures are reviewed and updated following {{ insert: param, ca-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment, authorization, and monitoring policy responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Control Assessments", - "params": [ - { - "id": "ca-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2_prm_1" - }, - { - "name": "label", - "value": "CA-02_ODP[01]" - } - ], - "label": "assessment frequency", - "guidelines": [ - { - "prose": "the frequency at which to assess controls in the system and its environment of operation is defined;" - } - ] - }, - { - "id": "ca-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2_prm_2" - }, - { - "name": "label", - "value": "CA-02_ODP[02]" - } - ], - "label": "individuals or roles", - "guidelines": [ - { - "prose": "individuals or roles to whom control assessment results are to be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02" - }, - { - "name": "sort-id", - "value": "ca-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Select the appropriate assessor or assessment team for the type of assessment to be conducted;" - }, - { - "id": "ca-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop a control assessment plan that describes the scope of the assessment including:", - "parts": [ - { - "id": "ca-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Assessment procedures to be used to determine control effectiveness; and" - }, - { - "id": "ca-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Assess the controls in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;" - }, - { - "id": "ca-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Produce a control assessment report that document the results of the assessment; and" - }, - { - "id": "ca-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Provide the results of the control assessment to {{ insert: param, ca-02_odp.02 }}." - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented.\n\nOrganizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes.\n\nOrganizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs.\n\nOrganizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives.\n\nTo satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of [CA-2](#ca-2)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02a.", - "class": "sp800-53A" - } - ], - "prose": "an appropriate assessor or assessment team is selected for the type of assessment to be conducted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.01", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.02", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including the assessment environment;\n\na control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02b.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a control assessment plan is developed that describes the scope of the assessment, including the assessment team;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02c.", - "class": "sp800-53A" - } - ], - "prose": "the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.[01]", - "class": "sp800-53A" - } - ], - "prose": "controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02d.[02]", - "class": "sp800-53A" - } - ], - "prose": "controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02e.", - "class": "sp800-53A" - } - ], - "prose": "a control assessment report is produced that documents the results of the assessment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02f.", - "class": "sp800-53A" - } - ], - "prose": "the results of the control assessment are provided to {{ insert: param, ca-02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing assessment planning\n\nprocedures addressing control assessments\n\ncontrol assessment plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "props": [ - { - "name": "label", - "value": "CA-02(01)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to conduct control assessments." - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services.\n\nIndependent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews.\n\nWhen organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "independent assessors or assessment teams are employed to conduct control assessments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\nprevious control assessment plan\n\nprevious control assessment report\n\nplan of action and milestones\n\nexisting authorization statement\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "params": [ - { - "id": "ca-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_1" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[01]" - } - ], - "label": "specialized assessment frequency", - "guidelines": [ - { - "prose": "frequency at which to include specialized assessments as part of the control assessment is defined;" - } - ] - }, - { - "id": "ca-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_2" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[02]" - } - ], - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - }, - { - "id": "ca-02.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_3" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "in-depth monitoring", - "security instrumentation", - "automated security test cases", - "vulnerability scanning", - "malicious user testing", - "insider threat assessment", - "performance and load testing", - "data leakage or data loss assessment", - " {{ insert: param, ca-02.02_odp.04 }} " - ] - } - }, - { - "id": "ca-02.02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.2_prm_4" - }, - { - "name": "label", - "value": "CA-02(02)_ODP[04]" - } - ], - "label": "other forms of assessment", - "guidelines": [ - { - "prose": "other forms of assessment are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02(02)" - }, - { - "name": "sort-id", - "value": "ca-02.02" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "Include as part of control assessments, {{ insert: param, ca-02.02_odp.01 }}, {{ insert: param, ca-02.02_odp.02 }}, {{ insert: param, ca-02.02_odp.03 }}." - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-02.02_odp.01 }} {{ insert: param, ca-02.02_odp.02 }} {{ insert: param, ca-02.02_odp.03 }} is/are included as part of control assessments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting control assessment" - } - ] - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "Leveraging Results from External Organizations", - "params": [ - { - "id": "ca-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_1" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations from which the results of control assessments are leveraged are defined;" - } - ] - }, - { - "id": "ca-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_2" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[02]" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "system on which a control assessment was performed by an external organization is defined;" - } - ] - }, - { - "id": "ca-02.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-2.3_prm_3" - }, - { - "name": "label", - "value": "CA-02(03)_ODP[03]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements to be met by the control assessment performed by an external organization on the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-02(03)" - }, - { - "name": "sort-id", - "value": "ca-02.03" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "required" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "Leverage the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} when the assessment meets {{ insert: param, ca-02.03_odp.03 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program [ISO 15408-1](#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73) , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-02(03)", - "class": "sp800-53A" - } - ], - "prose": "the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} are leveraged when the assessment meets {{ insert: param, ca-02.03_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing control assessments\n\ncontrol assessment requirements\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel performing control assessments for the specified external organization" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "Information Exchange", - "params": [ - { - "id": "ca-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_1" - }, - { - "name": "label", - "value": "CA-03_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "interconnection security agreements", - "information exchange security agreements", - "memoranda of understanding or agreement", - "service level agreements", - "user agreements", - "non-disclosure agreements", - " {{ insert: param, ca-03_odp.02 }} " - ] - } - }, - { - "id": "ca-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_2" - }, - { - "name": "label", - "value": "CA-03_ODP[02]" - } - ], - "label": "type of agreement", - "guidelines": [ - { - "prose": "the type of agreement used to approve and manage the exchange of information is defined (if selected);" - } - ] - }, - { - "id": "ca-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-3_prm_3" - }, - { - "name": "label", - "value": "CA-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update agreements is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-03" - }, - { - "name": "sort-id", - "value": "ca-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#c3a76872-e160-4267-99e8-6952de967d04", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and manage the exchange of information between the system and other systems using {{ insert: param, ca-03_odp.01 }};" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the agreements {{ insert: param, ca-03_odp.03 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in [CA-6(1)](#ca-6.1) or [CA-6(2)](#ca-6.2) , may help to communicate and reduce risk.\n\nAuthorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from [CA-3a](#ca-3_smt.a) in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03a.", - "class": "sp800-53A" - } - ], - "prose": "the exchange of information between system and other systems is approved and managed using {{ insert: param, ca-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the interface characteristics are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "security requirements are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy requirements are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[04]", - "class": "sp800-53A" - } - ], - "prose": "controls are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[05]", - "class": "sp800-53A" - } - ], - "prose": "responsibilities for each system are documented as part of each exchange agreement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03b.[06]", - "class": "sp800-53A" - } - ], - "prose": "the impact level of the information communicated is documented as part of each exchange agreement;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03c.", - "class": "sp800-53A" - } - ], - "prose": "agreements are reviewed and updated {{ insert: param, ca-03_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection security agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel managing the system(s) to which the interconnection security agreement applies" - } - ] - } - ], - "controls": [ - { - "id": "ca-3.1", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(01)" - }, - { - "name": "sort-id", - "value": "ca-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.25", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.2", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(02)" - }, - { - "name": "sort-id", - "value": "ca-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.26", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(03)" - }, - { - "name": "sort-id", - "value": "ca-03.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.27", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.4", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "props": [ - { - "name": "label", - "value": "CA-03(04)" - }, - { - "name": "sort-id", - "value": "ca-03.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.28", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions on External System Connections", - "props": [ - { - "name": "label", - "value": "CA-03(05)" - }, - { - "name": "sort-id", - "value": "ca-03.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.5", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.6", - "class": "SP800-53-enhancement", - "title": "Transfer Authorizations", - "props": [ - { - "name": "label", - "value": "CA-03(06)" - }, - { - "name": "sort-id", - "value": "ca-03.06" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.6_smt", - "name": "statement", - "prose": "Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "id": "ca-3.6_gdn", - "name": "guidance", - "prose": "To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies—via independent means— whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(06)", - "class": "sp800-53A" - } - ], - "prose": "individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontrol assessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing connections to external systems\n\nnetwork administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system connections" - } - ] - } - ] - }, - { - "id": "ca-3.7", - "class": "SP800-53-enhancement", - "title": "Transitive Information Exchanges", - "props": [ - { - "name": "label", - "value": "CA-03(07)" - }, - { - "name": "sort-id", - "value": "ca-03.07" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "required" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.7_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify transitive (downstream) information exchanges with other systems through the systems identified in [CA-3a](#ca-3_smt.a) ; and" - }, - { - "id": "ca-3.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "id": "ca-3.7_gdn", - "name": "guidance", - "prose": "Transitive or \"downstream\" information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission-essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential to understanding the security and privacy risks resulting from those information exchanges. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges, which can make the organizational systems more susceptible to threats, hazards, and adverse impacts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "transitive (downstream) information exchanges with other systems through the systems identified in CA-03a are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-03(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "measures are taken to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem interconnection agreements\n\ninformation exchange security agreements\n\nmemoranda of understanding or agreements\n\nservice level agreements\n\nnon-disclosure agreements\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontrol assessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing connections to external systems\n\nnetwork administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system connections" - } - ] - } - ] - } - ] - }, - { - "id": "ca-4", - "class": "SP800-53", - "title": "Security Certification", - "props": [ - { - "name": "label", - "value": "CA-04" - }, - { - "name": "sort-id", - "value": "ca-04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "params": [ - { - "id": "ca-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-5_prm_1" - }, - { - "name": "label", - "value": "CA-05_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-05" - }, - { - "name": "sort-id", - "value": "ca-05" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update existing plan of action and milestones {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities." - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05a.", - "class": "sp800-53A" - } - ], - "prose": "a plan of action and milestones for the system is developed to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05b.", - "class": "sp800-53A" - } - ], - "prose": "existing plan of action and milestones are updated {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing plan of action and milestones\n\ncontrol assessment plan\n\ncontrol assessment report\n\ncontrol assessment evidence\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action and milestones" - } - ] - } - ], - "controls": [ - { - "id": "ca-5.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "ca-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-5.1_prm_1" - }, - { - "name": "label", - "value": "CA-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-05(01)" - }, - { - "name": "sort-id", - "value": "ca-05.01" - } - ], - "links": [ - { - "href": "#ca-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-5.1_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using {{ insert: param, ca-05.01_odp }}." - }, - { - "id": "ca-5.1_gdn", - "name": "guidance", - "prose": "Using automated tools helps maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing help to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-05.01_odp }} are used to ensure the accuracy, currency, and availability of the plan of action and milestones for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing plan of action and milestones\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nplan of action and milestones\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining a plan of action and milestones" - } - ] - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Authorization", - "params": [ - { - "id": "ca-06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-6_prm_1" - }, - { - "name": "label", - "value": "CA-06_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to update the authorizations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-06" - }, - { - "name": "sort-id", - "value": "ca-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a senior official as the authorizing official for the system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure that the authorizing official for the system, before commencing operations:", - "parts": [ - { - "id": "ca-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Accepts the use of common controls inherited by the system; and" - }, - { - "id": "ca-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Authorizes the system to operate;" - } - ] - }, - { - "id": "ca-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the authorizations {{ insert: param, ca-06_odp }}." - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities.\n\nAuthorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06a.", - "class": "sp800-53A" - } - ], - "prose": "a senior official is assigned as the authorizing official for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06b.", - "class": "sp800-53A" - } - ], - "prose": "a senior official is assigned as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.01", - "class": "sp800-53A" - } - ], - "prose": "before commencing operations, the authorizing official for the system accepts the use of common controls inherited by the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06c.02", - "class": "sp800-53A" - } - ], - "prose": "before commencing operations, the authorizing official for the system authorizes the system to operate;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06d.", - "class": "sp800-53A" - } - ], - "prose": "the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06e.", - "class": "sp800-53A" - } - ], - "prose": "the authorizations are updated {{ insert: param, ca-06_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan, privacy plan, assessment report, plan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ], - "controls": [ - { - "id": "ca-6.1", - "class": "SP800-53-enhancement", - "title": "Joint Authorization — Intra-organization", - "props": [ - { - "name": "label", - "value": "CA-06(01)" - }, - { - "name": "sort-id", - "value": "ca-06.01" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.1_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization." - }, - { - "id": "ca-6.1_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "a joint authorization process is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the joint authorization process employed for the system includes multiple authorizing officials from the same organization conducting the authorization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan\n\nprivacy plan\n\nassessment report\n\nplan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ] - }, - { - "id": "ca-6.2", - "class": "SP800-53-enhancement", - "title": "Joint Authorization — Inter-organization", - "props": [ - { - "name": "label", - "value": "CA-06(02)" - }, - { - "name": "sort-id", - "value": "ca-06.02" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.2_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - }, - { - "id": "ca-6.2_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials, at least one of whom comes from an external organization, to serve as co-authorizing officials for the system increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization that owns or hosts the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "a joint authorization process is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the joint authorization process employed for the system includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing authorization\n\nsystem security plan\n\nprivacy plan\n\nassessment report\n\nplan of action and milestones\n\nauthorization statement\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authorization responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate authorizations and updates" - } - ] - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "params": [ - { - "id": "ca-7_prm_4", - "props": [ - { - "name": "aggregates", - "value": "ca-07_odp.04" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-7_prm_5", - "props": [ - { - "name": "aggregates", - "value": "ca-07_odp.05" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "ca-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_1" - }, - { - "name": "label", - "value": "CA-07_ODP[01]" - } - ], - "label": "system-level metrics", - "guidelines": [ - { - "prose": "system-level metrics to be monitored are defined;" - } - ] - }, - { - "id": "ca-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_2" - }, - { - "name": "label", - "value": "CA-07_ODP[02]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "frequencies at which to monitor control effectiveness are defined;" - } - ] - }, - { - "id": "ca-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7_prm_3" - }, - { - "name": "label", - "value": "CA-07_ODP[03]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "frequencies at which to assess control effectiveness are defined;" - } - ] - }, - { - "id": "ca-07_odp.04", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the security status of the system is reported are defined;" - } - ] - }, - { - "id": "ca-07_odp.05", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which the security status of the system is reported is defined;" - } - ] - }, - { - "id": "ca-07_odp.06", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the privacy status of the system is reported are defined;" - } - ] - }, - { - "id": "ca-07_odp.07", - "props": [ - { - "name": "label", - "value": "CA-07_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which the privacy status of the system is reported is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07" - }, - { - "name": "sort-id", - "value": "ca-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-31", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following system-level metrics to be monitored: {{ insert: param, ca-07_odp.01 }};" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, ca-07_odp.02 }} for monitoring and {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}." - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms \"continuous\" and \"ongoing\" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.\n\nAutomation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PM-31](#pm-31), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SR-4](#sr-4), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) , and [SI-4](#si-4)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07[01]", - "class": "sp800-53A" - } - ], - "prose": "a system-level continuous monitoring strategy is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring is implemented in accordance with the organization-level continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07a.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes establishment of the following system-level metrics to be monitored {{ insert: param, ca-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes established {{ insert: param, ca-07_odp.02 }} for monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes established {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07c.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07d.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07e.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07f.", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes response actions to address the results of the analysis of control assessment and monitoring information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.[01]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes reporting the security status of the system to {{ insert: param, ca-07_odp.04 }} {{ insert: param, ca-07_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07g.[02]", - "class": "sp800-53A" - } - ], - "prose": "system-level continuous monitoring includes reporting the privacy status of the system to {{ insert: param, ca-07_odp.06 }} {{ insert: param, ca-07_odp.07 }} ._ODP[07] frequency>." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nprocedures addressing configuration management\n\ncontrol assessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nconfiguration management records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring\n\nmechanisms supporting response actions to address assessment and monitoring results\n\nmechanisms supporting security and privacy status reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "props": [ - { - "name": "label", - "value": "CA-07(01)" - }, - { - "name": "sort-id", - "value": "ca-07.01" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(01)", - "class": "sp800-53A" - } - ], - "prose": "independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\ncontrol assessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-7.2", - "class": "SP800-53-enhancement", - "title": "Types of Assessments", - "props": [ - { - "name": "label", - "value": "CA-07(02)" - }, - { - "name": "sort-id", - "value": "ca-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-7.3", - "class": "SP800-53-enhancement", - "title": "Trend Analyses", - "props": [ - { - "name": "label", - "value": "CA-07(03)" - }, - { - "name": "sort-id", - "value": "ca-07.03" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.3_smt", - "name": "statement", - "prose": "Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data." - }, - { - "id": "ca-7.3_gdn", - "name": "guidance", - "prose": "Trend analyses include examining recent threat information that addresses the types of threat events that have occurred in the organization or the Federal Government, success rates of certain types of attacks, emerging vulnerabilities in technologies, evolving social engineering techniques, the effectiveness of configuration settings, results from multiple control assessments, and findings from Inspectors General or auditors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if control implementations used in the continuous monitoring process need to be modified based on empirical data;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if the frequency of continuous monitoring activities used in the continuous monitoring process needs to be modified based on empirical data;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "trend analysis is employed to determine if the types of activities used in the continuous monitoring process need to be modified based on empirical data." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nassessment, authorization, and monitoring policy\n\nprocedures addressing continuous monitoring of system controls\n\nprivacy controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting trend analyses" - } - ] - } - ] - }, - { - "id": "ca-7.4", - "class": "SP800-53-enhancement", - "title": "Risk Monitoring", - "props": [ - { - "name": "label", - "value": "CA-07(04)" - }, - { - "name": "sort-id", - "value": "ca-07.04" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.4_smt", - "name": "statement", - "prose": "Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:", - "parts": [ - { - "id": "ca-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Effectiveness monitoring;" - }, - { - "id": "ca-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Compliance monitoring; and" - }, - { - "id": "ca-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change monitoring." - } - ] - }, - { - "id": "ca-7.4_gdn", - "name": "guidance", - "prose": "Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)", - "class": "sp800-53A" - } - ], - "prose": "risk monitoring is an integral part of the continuous monitoring strategy;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "effectiveness monitoring is included in risk monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "compliance monitoring is included in risk monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "change monitoring is included in risk monitoring." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting risk monitoring" - } - ] - } - ] - }, - { - "id": "ca-7.5", - "class": "SP800-53-enhancement", - "title": "Consistency Analysis", - "params": [ - { - "id": "ca-7.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ca-07.05_odp.01" - } - ], - "label": "organization-defined actions" - }, - { - "id": "ca-07.05_odp.01", - "props": [ - { - "name": "label", - "value": "CA-07(05)_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to validate that policies are established are defined;" - } - ] - }, - { - "id": "ca-07.05_odp.02", - "props": [ - { - "name": "label", - "value": "CA-07(05)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to validate that implemented controls are operating in a consistent manner are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07(05)" - }, - { - "name": "sort-id", - "value": "ca-07.05" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.5_smt", - "name": "statement", - "prose": "Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: {{ insert: param, ca-7.5_prm_1 }}." - }, - { - "id": "ca-7.5_gdn", - "name": "guidance", - "prose": "Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent, and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). In other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate—through testing, monitoring, and analysis—that the implemented controls are operating in a consistent, coordinated, non-interfering manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.05_odp.01 }} are employed to validate that policies are established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.05_odp.02 }} are employed to validate that implemented controls are operating in a consistent manner." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system security controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nsecurity impact analyses\n\nstatus reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting consistency analyses" - } - ] - } - ] - }, - { - "id": "ca-7.6", - "class": "SP800-53-enhancement", - "title": "Automation Support for Monitoring", - "params": [ - { - "id": "ca-07.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-7.6_prm_1" - }, - { - "name": "label", - "value": "CA-07(06)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to ensure the accuracy, currency, and availability of monitoring results for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-07(06)" - }, - { - "name": "sort-id", - "value": "ca-07.06" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-7.6_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of monitoring results for the system using {{ insert: param, ca-07.06_odp }}." - }, - { - "id": "ca-7.6_gdn", - "name": "guidance", - "prose": "Using automated tools for monitoring helps to maintain the accuracy, currency, and availability of monitoring information which in turns helps to increase the level of ongoing awareness of the system security and privacy posture in support of organizational risk management decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-07(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-07.06_odp }} are used to ensure the accuracy, currency, and availability of monitoring results for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\norganizational continuous monitoring strategy\n\nsystem-level continuous monitoring strategy\n\nprocedures addressing continuous monitoring of system controls\n\nassessment report\n\nplan of action and milestones\n\nsystem monitoring records\n\nimpact analyses\n\nstatus reports\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting automated monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "params": [ - { - "id": "ca-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8_prm_1" - }, - { - "name": "label", - "value": "CA-08_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to conduct penetration testing on systems or system components is defined;" - } - ] - }, - { - "id": "ca-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8_prm_2" - }, - { - "name": "label", - "value": "CA-08_ODP[02]" - } - ], - "label": "system(s) or system components", - "guidelines": [ - { - "prose": "systems or system components on which penetration testing is to be conducted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-08" - }, - { - "name": "sort-id", - "value": "ca-08" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "Conduct penetration testing {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}." - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).\n\nOrganizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08", - "class": "sp800-53A" - } - ], - "prose": "penetration testing is conducted {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nassessment plan\n\npenetration test report\n\nassessment report\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with control assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting penetration testing" - } - ] - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Testing Agent or Team", - "props": [ - { - "name": "label", - "value": "CA-08(01)" - }, - { - "name": "sort-id", - "value": "ca-08.01" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "Employ an independent penetration testing agent or team to perform penetration testing on the system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) provides additional information on independent assessments that can be applied to penetration testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(01)", - "class": "sp800-53A" - } - ], - "prose": "an independent penetration testing agent or team is employed to perform penetration testing on the system or system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nassessment plan\n\npenetration test report\n\nassessment report\n\nsecurity assessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ca-8.2", - "class": "SP800-53-enhancement", - "title": "Red Team Exercises", - "params": [ - { - "id": "ca-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.2_prm_1" - }, - { - "name": "label", - "value": "CA-08(02)_ODP" - } - ], - "label": "red team exercises", - "guidelines": [ - { - "prose": "red team exercises to simulate attempts by adversaries to compromise organizational systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-08(02)" - }, - { - "name": "sort-id", - "value": "ca-08.02" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ca-8.2_smt", - "name": "statement", - "prose": "Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-08.02_odp }}." - }, - { - "id": "ca-8.2_gdn", - "name": "guidance", - "prose": "Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ca-08.02_odp }} are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nprocedures addressing red team exercises\n\nassessment plan\n\nresults of red team exercises\n\npenetration test report\n\nassessment report\n\nrules of engagement\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the employment of red team exercises" - } - ] - } - ] - }, - { - "id": "ca-8.3", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "params": [ - { - "id": "ca-08.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.3_prm_1" - }, - { - "name": "label", - "value": "CA-08(03)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to employ penetration testing that attempts to bypass or circumvent controls associated with physical access points to the facility is defined;" - } - ] - }, - { - "id": "ca-08.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-8.3_prm_2" - }, - { - "name": "label", - "value": "CA-08(03)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "announced", - "unannounced" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CA-08(03)" - }, - { - "name": "sort-id", - "value": "ca-08.03" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.3_smt", - "name": "statement", - "prose": "Employ a penetration testing process that includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to the facility." - }, - { - "id": "ca-8.3_gdn", - "name": "guidance", - "prose": "Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-08(03)", - "class": "sp800-53A" - } - ], - "prose": "the penetration testing process includes {{ insert: param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts to bypass or circumvent controls associated with physical access points to facility." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\nprocedures addressing penetration testing\n\nprocedures addressing red team exercises\n\nassessment plan\n\nresults of red team exercises\n\npenetration test report\n\nassessment report\n\nrules of engagement\n\nassessment evidence\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the employment of red team exercises" - } - ] - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "params": [ - { - "id": "ca-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_1" - }, - { - "name": "label", - "value": "CA-09_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components or classes of components requiring internal connections to the system are defined;" - } - ] - }, - { - "id": "ca-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_2" - }, - { - "name": "label", - "value": "CA-09_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions requiring termination of internal connections are defined;" - } - ] - }, - { - "id": "ca-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ca-9_prm_3" - }, - { - "name": "label", - "value": "CA-09_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the continued need for each internal connection is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CA-09" - }, - { - "name": "sort-id", - "value": "ca-09" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize internal connections of {{ insert: param, ca-09_odp.01 }} to the system;" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;" - }, - { - "id": "ca-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Terminate internal system connections after {{ insert: param, ca-09_odp.02 }} ; and" - }, - { - "id": "ca-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review {{ insert: param, ca-09_odp.03 }} the continued need for each internal connection." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09a.", - "class": "sp800-53A" - } - ], - "prose": "internal connections of {{ insert: param, ca-09_odp.01 }} to the system are authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the interface characteristics are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the security requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[03]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the privacy requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09b.[04]", - "class": "sp800-53A" - } - ], - "prose": "for each internal connection, the nature of the information communicated is documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09c.", - "class": "sp800-53A" - } - ], - "prose": "internal system connections are terminated after {{ insert: param, ca-09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09d.", - "class": "sp800-53A" - } - ], - "prose": "the continued need for each internal connection is reviewed {{ insert: param, ca-09_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\naccess control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system connections\n\nassessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms supporting internal system connections" - } - ] - } - ], - "controls": [ - { - "id": "ca-9.1", - "class": "SP800-53-enhancement", - "title": "Compliance Checks", - "props": [ - { - "name": "label", - "value": "CA-09(01)" - }, - { - "name": "sort-id", - "value": "ca-09.01" - } - ], - "links": [ - { - "href": "#ca-9", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9.1_smt", - "name": "statement", - "prose": "Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection." - }, - { - "id": "ca-9.1_gdn", - "name": "guidance", - "prose": "Compliance checks include verification of the relevant baseline configuration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "security compliance checks are performed on constituent system components prior to the establishment of the internal connection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CA-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy compliance checks are performed on constituent system components prior to the establishment of the internal connection." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Assessment, authorization, and monitoring policy\n\naccess control policy\n\nprocedures addressing system connections\n\nsystem and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system connections\n\nassessment report\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting compliance checks" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cm-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-01_odp.01", - "props": [ - { - "name": "label", - "value": "CM-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the configuration management policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "cm-01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the configuration management procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "cm-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_2" - }, - { - "name": "label", - "value": "CM-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cm-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_3" - }, - { - "name": "label", - "value": "CM-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the configuration management policy and procedures is defined;" - } - ] - }, - { - "id": "cm-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_4" - }, - { - "name": "label", - "value": "CM-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current configuration management policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "cm-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_5" - }, - { - "name": "label", - "value": "CM-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current configuration management policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "cm-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_6" - }, - { - "name": "label", - "value": "CM-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current configuration management procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "cm-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-1_prm_7" - }, - { - "name": "label", - "value": "CM-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require configuration management procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-01" - }, - { - "name": "sort-id", - "value": "cm-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cm-01_odp.03 }} configuration management policy that:", - "parts": [ - { - "id": "cm-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cm-01_odp.04 }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and" - }, - { - "id": "cm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current configuration management:", - "parts": [ - { - "id": "cm-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, cm-01_odp.05 }} and following {{ insert: param, cm-01_odp.06 }} ; and" - }, - { - "id": "cm-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, cm-01_odp.07 }} and following {{ insert: param, cm-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management policy is disseminated to {{ insert: param, cm-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management procedures are disseminated to {{ insert: param, cm-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cm-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management policy is reviewed and updated {{ insert: param, cm-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management policy is reviewed and updated following {{ insert: param, cm-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management procedures are reviewed and updated {{ insert: param, cm-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current configuration management procedures are reviewed and updated following {{ insert: param, cm-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\n\nsecurity and privacy program policies and procedures\n\nassessment or audit findings\n\ndocumentation of security incidents or breaches\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy\n\nother relevant artifacts, documents, or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "params": [ - { - "id": "cm-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2_prm_1" - }, - { - "name": "label", - "value": "CM-02_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of baseline configuration review and update is defined;" - } - ] - }, - { - "id": "cm-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2_prm_2" - }, - { - "name": "label", - "value": "CM-02_ODP[02]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances requiring baseline configuration review and update are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02" - }, - { - "name": "sort-id", - "value": "cm-02" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and maintain under configuration control, a current baseline configuration of the system; and" - }, - { - "id": "cm-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the baseline configuration of the system:", - "parts": [ - { - "id": "cm-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cm-02_odp.01 }};" - }, - { - "id": "cm-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required due to {{ insert: param, cm-02_odp.02 }} ; and" - }, - { - "id": "cm-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "When system components are installed or upgraded." - } - ] - } - ] - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a current baseline configuration of the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a current baseline configuration of the system is maintained under configuration control;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.01", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated {{ insert: param, cm-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.02", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated when required due to {{ insert: param, cm-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02b.03", - "class": "sp800-53A" - } - ], - "prose": "the baseline configuration of the system is reviewed and updated when system components are installed or upgraded." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nchange control records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline configuration" - } - ] - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "CM-02(01)" - }, - { - "name": "sort-id", - "value": "cm-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "cm-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.2_prm_1" - }, - { - "name": "label", - "value": "CM-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for maintaining baseline configuration of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(02)" - }, - { - "name": "sort-id", - "value": "cm-02.02" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-02.02_odp }}." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of [CM-8(2)](#cm-8.2) for organizations that combine system component inventory and baseline configuration activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the currency of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the completeness of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the accuracy of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the availability of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing the baseline configuration of the\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nconfiguration change control records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing baseline configuration maintenance" - } - ] - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "params": [ - { - "id": "cm-02.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.3_prm_1" - }, - { - "name": "label", - "value": "CM-02(03)_ODP" - } - ], - "label": "number", - "guidelines": [ - { - "prose": "the number of previous baseline configuration versions to be retained is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(03)" - }, - { - "name": "sort-id", - "value": "cm-02.03" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "Retain {{ insert: param, cm-02.03_odp }} of previous versions of baseline configurations of the system to support rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.03_odp }} of previous baseline configuration version(s) of the system is/are retained to support rollback." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ncopies of previous baseline configuration versions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-2.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software", - "props": [ - { - "name": "label", - "value": "CM-02(04)" - }, - { - "name": "sort-id", - "value": "cm-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software", - "props": [ - { - "name": "label", - "value": "CM-02(05)" - }, - { - "name": "sort-id", - "value": "cm-02.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.6", - "class": "SP800-53-enhancement", - "title": "Development and Test Environments", - "props": [ - { - "name": "label", - "value": "CM-02(06)" - }, - { - "name": "sort-id", - "value": "cm-02.06" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.6_smt", - "name": "statement", - "prose": "Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration." - }, - { - "id": "cm-2.6_gdn", - "name": "guidance", - "prose": "Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations do not necessarily require separate physical environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "a baseline configuration for system development environments that is managed separately from the operational baseline configuration is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "a baseline configuration for test environments that is managed separately from the operational baseline configuration is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing separate baseline configurations for development, test, and operational environments" - } - ] - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems and Components for High-risk Areas", - "params": [ - { - "id": "cm-02.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_1" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components to be issued when individuals travel to high-risk areas are defined;" - } - ] - }, - { - "id": "cm-02.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_2" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[02]" - } - ], - "label": "configurations", - "guidelines": [ - { - "prose": "configurations for systems or system components to be issued when individuals travel to high-risk areas are defined;" - } - ] - }, - { - "id": "cm-02.07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-2.7_prm_3" - }, - { - "name": "label", - "value": "CM-02(07)_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "the controls to be applied when the individuals return from travel are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-02(07)" - }, - { - "name": "sort-id", - "value": "cm-02.07" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "required" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issue {{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} to individuals traveling to locations that the organization deems to be of significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-02.07_odp.03 }}." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the [MP](#mp) (Media Protection) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} are issued to individuals traveling to locations that the organization deems to be of significant risk;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-02(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-02.07_odp.03 }} are applied to the systems or system components when the individuals return from travel." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the system\n\nprocedures addressing system component installations and upgrades\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nrecords of system baseline configuration reviews and updates\n\nsystem component installations/upgrades and associated records\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-02(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "params": [ - { - "id": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.03" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-3_prm_4 }} ", - "when{{ insert: param, cm-3_prm_5 }} " - ] - } - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.04" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cm-03_odp.05" - } - ], - "label": "organization-defined configuration change conditions" - }, - { - "id": "cm-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3_prm_1" - }, - { - "name": "label", - "value": "CM-03_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to retain records of configuration-controlled changes is defined;" - } - ] - }, - { - "id": "cm-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3_prm_2" - }, - { - "name": "label", - "value": "CM-03_ODP[02]" - } - ], - "label": "configuration change control element", - "guidelines": [ - { - "prose": "the configuration change control element responsible for coordinating and overseeing change control activities is defined;" - } - ] - }, - { - "id": "cm-03_odp.03", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-03_odp.04 }} ", - " {{ insert: param, cm-03_odp.05 }} " - ] - } - }, - { - "id": "cm-03_odp.04", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the configuration control element convenes is defined (if selected);" - } - ] - }, - { - "id": "cm-03_odp.05", - "props": [ - { - "name": "label", - "value": "CM-03_ODP[05]" - } - ], - "label": "defined in change conditions", - "guidelines": [ - { - "prose": "change conditions that prompt the configuration control element to convene are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03" - }, - { - "name": "sort-id", - "value": "cm-03" - } - ], - "links": [ - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the types of changes to the system that are configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document configuration change decisions associated with the system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement approved configuration-controlled changes to the system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain records of configuration-controlled changes to the system for {{ insert: param, cm-03_odp.01 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Monitor and review activities associated with configuration-controlled changes to the system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-03_odp.02 }} that convenes {{ insert: param, cm-3_prm_3 }}." - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also [SA-10](#sa-10)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03a.", - "class": "sp800-53A" - } - ], - "prose": "the types of changes to the system that are configuration-controlled are determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "proposed configuration-controlled changes to the system are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03c.", - "class": "sp800-53A" - } - ], - "prose": "configuration change decisions associated with the system are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03d.", - "class": "sp800-53A" - } - ], - "prose": "approved configuration-controlled changes to the system are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03e.", - "class": "sp800-53A" - } - ], - "prose": "records of configuration-controlled changes to the system are retained for {{ insert: param, cm-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.[01]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with configuration-controlled changes to the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03f.[02]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with configuration-controlled changes to the system are reviewed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration change control activities are coordinated and overseen by {{ insert: param, cm-03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03g.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration control element convenes {{ insert: param, cm-03_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nchange control records\n\nsystem audit records\n\nchange control audit and review reports\n\nagenda/minutes/documentation from configuration change control oversight meetings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessments\n\nsystem of records notices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms that implement configuration change control" - } - ] - } - ], - "controls": [ - { - "id": "cm-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Documentation, Notification, and Prohibition of Changes", - "params": [ - { - "id": "cm-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_1" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate configuration change control are defined;" - } - ] - }, - { - "id": "cm-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_2" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[02]" - } - ], - "label": "approval authorities", - "guidelines": [ - { - "prose": "approval authorities to be notified of and request approval for proposed changes to the system are defined;" - } - ] - }, - { - "id": "cm-03.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_3" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which to highlight changes that have not been approved or disapproved is defined;" - } - ] - }, - { - "id": "cm-03.01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.1_prm_4" - }, - { - "name": "label", - "value": "CM-03(01)_ODP[04]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to be notified when approved changes are complete is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(01)" - }, - { - "name": "sort-id", - "value": "cm-03.01" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, cm-03.01_odp.01 }} to:", - "parts": [ - { - "id": "cm-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Document proposed changes to the system;" - }, - { - "id": "cm-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;" - }, - { - "id": "cm-3.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};" - }, - { - "id": "cm-3.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Prohibit changes to the system until designated approvals are received;" - }, - { - "id": "cm-3.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Document all changes to the system; and" - }, - { - "id": "cm-3.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed." - } - ] - }, - { - "id": "cm-3.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to document proposed changes to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.02 }} of proposed changes to the system and request change approval;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-03.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(d)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to prohibit changes to the system until designated approvals are received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(e)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to document all changes to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(01)(f)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.01_odp.01 }} are used to notify {{ insert: param, cm-03.01_odp.04 }} when approved changes to the system are completed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nautomated configuration control mechanisms\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nchange approval requests\n\nchange approvals\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing configuration change control activities" - } - ] - } - ] - }, - { - "id": "cm-3.2", - "class": "SP800-53-enhancement", - "title": "Testing, Validation, and Documentation of Changes", - "props": [ - { - "name": "label", - "value": "CM-03(02)" - }, - { - "name": "sort-id", - "value": "cm-03.02" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.2_smt", - "name": "statement", - "prose": "Test, validate, and document changes to the system before finalizing the implementation of the changes." - }, - { - "id": "cm-3.2_gdn", - "name": "guidance", - "prose": "Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in [CM-6](#cm-6) . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are tested before finalizing the implementation of the changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are validated before finalizing the implementation of the changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are documented before finalizing the implementation of the changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing system configuration change control\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ntest records\n\nvalidation records\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms supporting and/or implementing, testing, validating, and documenting system changes" - } - ] - } - ] - }, - { - "id": "cm-3.3", - "class": "SP800-53-enhancement", - "title": "Automated Change Implementation", - "params": [ - { - "id": "cm-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.3_prm_1" - }, - { - "name": "label", - "value": "CM-03(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate the implementation of changes and deployment of the updated baseline across the installed base are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(03)" - }, - { - "name": "sort-id", - "value": "cm-03.03" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.3_smt", - "name": "statement", - "prose": "Implement changes to the current system baseline and deploy the updated baseline across the installed base using {{ insert: param, cm-03.03_odp }}." - }, - { - "id": "cm-3.3_gdn", - "name": "guidance", - "prose": "Automated tools can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the current system baseline are implemented using {{ insert: param, cm-03.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the updated baseline is deployed across the installed base using {{ insert: param, cm-03.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing system configuration change control\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nautomated configuration control mechanisms\n\nchange control records\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing changes to current system baseline" - } - ] - } - ] - }, - { - "id": "cm-3.4", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "cm-3.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-03.04_odp.01" - } - ], - "label": "organization-defined security and privacy representatives" - }, - { - "id": "cm-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "CM-03(04)_ODP[01]" - } - ], - "label": "security representatives", - "guidelines": [ - { - "prose": "security representatives required to be members of the change control element are defined;" - } - ] - }, - { - "id": "cm-03.04_odp.02", - "props": [ - { - "name": "label", - "value": "CM-03(04)_ODP[02]" - } - ], - "label": "privacy representatives", - "guidelines": [ - { - "prose": "privacy representatives required to be members of the change control element are defined;" - } - ] - }, - { - "id": "cm-03.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.4_prm_2" - }, - { - "name": "label", - "value": "CM-03(04)_ODP[03]" - } - ], - "label": "configuration change control element", - "guidelines": [ - { - "prose": "the configuration change control element of which the security and privacy representatives are to be members is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(04)" - }, - { - "name": "sort-id", - "value": "cm-03.04" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.4_smt", - "name": "statement", - "prose": "Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-03.04_odp.03 }}." - }, - { - "id": "cm-3.4_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in [CM-3g](#cm-3_smt.g)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.04_odp.01 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.04_odp.02 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control" - } - ] - } - ] - }, - { - "id": "cm-3.5", - "class": "SP800-53-enhancement", - "title": "Automated Security Response", - "params": [ - { - "id": "cm-03.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.5_prm_1" - }, - { - "name": "label", - "value": "CM-03(05)_ODP" - } - ], - "label": "security responses", - "guidelines": [ - { - "prose": "security responses to be automatically implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(05)" - }, - { - "name": "sort-id", - "value": "cm-03.05" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.5_smt", - "name": "statement", - "prose": "Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: {{ insert: param, cm-03.05_odp }}." - }, - { - "id": "cm-3.5_gdn", - "name": "guidance", - "prose": "Automated security responses include halting selected system functions, halting system processing, and issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-03.05_odp }} are automatically implemented if baseline configurations are changed in an unauthorized manner." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized baseline configuration changes\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nautomated mechanisms implementing security responses to unauthorized changes to the baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-3.6", - "class": "SP800-53-enhancement", - "title": "Cryptography Management", - "params": [ - { - "id": "cm-03.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.6_prm_1" - }, - { - "name": "label", - "value": "CM-03(06)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls provided by cryptographic mechanisms that are to be under configuration management are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(06)" - }, - { - "name": "sort-id", - "value": "cm-03.06" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.6_smt", - "name": "statement", - "prose": "Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-03.06_odp }}." - }, - { - "id": "cm-3.6_gdn", - "name": "guidance", - "prose": "The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(06)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms used to provide {{ insert: param, cm-03.06_odp }} are under configuration management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\ncryptographic mechanisms implementing organizational security safeguards (controls)" - } - ] - } - ] - }, - { - "id": "cm-3.7", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "params": [ - { - "id": "cm-03.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.7_prm_1" - }, - { - "name": "label", - "value": "CM-03(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which changes are to be reviewed is defined;" - } - ] - }, - { - "id": "cm-03.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.7_prm_2" - }, - { - "name": "label", - "value": "CM-03(07)_ODP[02]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances under which changes are to be reviewed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(07)" - }, - { - "name": "sort-id", - "value": "cm-03.07" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.7_smt", - "name": "statement", - "prose": "Review changes to the system {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred." - }, - { - "id": "cm-3.7_gdn", - "name": "guidance", - "prose": "Indications that warrant a review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(07)", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are reviewed {{ insert: param, cm-03.07_odp.01 }} or when {{ insert: param, cm-03.07_odp.02 }} to determine whether unauthorized changes have occurred." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nchange control records\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-03(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\n\nmechanisms implementing audit records for changes" - } - ] - } - ] - }, - { - "id": "cm-3.8", - "class": "SP800-53-enhancement", - "title": "Prevent or Restrict Configuration Changes", - "params": [ - { - "id": "cm-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-3.8_prm_1" - }, - { - "name": "label", - "value": "CM-03(08)_ODP" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "the circumstances under which changes are to be prevented or restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-03(08)" - }, - { - "name": "sort-id", - "value": "cm-03.08" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-3.8_smt", - "name": "statement", - "prose": "Prevent or restrict changes to the configuration of the system under the following circumstances: {{ insert: param, cm-03.08_odp }}." - }, - { - "id": "cm-3.8_gdn", - "name": "guidance", - "prose": "System configuration changes can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-03(08)", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration of the system are prevented or restricted under {{ insert: param, cm-03.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system configuration change control\n\nconfiguration management plan\n\nchange control records\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Impact Analyses", - "props": [ - { - "name": "label", - "value": "CM-04" - }, - { - "name": "sort-id", - "value": "cm-04" - } - ], - "links": [ - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "Analyze changes to the system to determine potential security and privacy impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed to determine potential security impacts prior to change implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed to determine potential privacy impacts prior to change implementation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nprivacy impact analysis documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation, system design documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact analyses\n\norganizational personnel with responsibility for conducting privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analyses\n\norganizational processes for privacy impact analyses" - } - ] - } - ], - "controls": [ - { - "id": "cm-4.1", - "class": "SP800-53-enhancement", - "title": "Separate Test Environments", - "props": [ - { - "name": "label", - "value": "CM-04(01)" - }, - { - "name": "sort-id", - "value": "cm-04.01" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.1_smt", - "name": "statement", - "prose": "Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice." - }, - { - "id": "cm-4.1_gdn", - "name": "guidance", - "prose": "A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed in a separate test environment before implementation in an operational environment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to weaknesses;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[05]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to weaknesses;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[06]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to incompatibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[07]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to incompatibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[08]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for security impacts due to intentional malice;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(01)[09]", - "class": "sp800-53A" - } - ], - "prose": "changes to the system are analyzed for privacy impacts due to intentional malice." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nprivacy impact analysis documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nanalysis tools and associated outputs system design documentation\n\nsystem architecture and configuration documentation\n\nchange control records\n\nprocedures addressing the authority to test with PII\n\nsystem audit records\n\ndocumentation of separate test and operational environments\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security and privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy impact analyses\n\nautomated mechanisms supporting and/or implementing security and privacy impact analyses of changes" - } - ] - } - ] - }, - { - "id": "cm-4.2", - "class": "SP800-53-enhancement", - "title": "Verification of Controls", - "props": [ - { - "name": "label", - "value": "CM-04(02)" - }, - { - "name": "sort-id", - "value": "cm-04.02" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.2_smt", - "name": "statement", - "prose": "After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system." - }, - { - "id": "cm-4.2_gdn", - "name": "guidance", - "prose": "Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[05]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-04(02)[06]", - "class": "sp800-53A" - } - ], - "prose": "the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing security impact analyses for changes to the system\n\nprocedures addressing privacy impact analyses for changes to the system\n\nprivacy risk assessment documentation\n\nconfiguration management plan\n\nsecurity and privacy impact analysis documentation\n\nprivacy impact assessment\n\nanalysis tools and associated outputs\n\nchange control records\n\ncontrol assessment results\n\nsystem audit records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security and privacy impact analyses\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsecurity and privacy assessors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy impact analyses\n\nautomated mechanisms supporting and/or implementing security and privacy impact analyses of changes" - } - ] - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "props": [ - { - "name": "label", - "value": "CM-05" - }, - { - "name": "sort-id", - "value": "cm-05" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see [AC-3](#ac-3) and [PE-3](#pe-3) ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[03]", - "class": "sp800-53A" - } - ], - "prose": "physical access restrictions associated with changes to the system are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[04]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[05]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05[06]", - "class": "sp800-53A" - } - ], - "prose": "logical access restrictions associated with changes to the system are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nlogical access approvals\n\nphysical access approvals\n\naccess credentials\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system" - } - ] - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement and Audit Records", - "params": [ - { - "id": "cm-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-5.1_prm_1" - }, - { - "name": "label", - "value": "CM-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "mechanisms used to automate the enforcement of access restrictions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(01)" - }, - { - "name": "sort-id", - "value": "cm-05.01" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce access restrictions using {{ insert: param, cm-05.01_odp }} ; and" - }, - { - "id": "cm-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Automatically generate audit records of the enforcement actions." - } - ] - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "prose": "Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "access restrictions for change are enforced using {{ insert: param, cm-05.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "audit records of enforcement actions are automatically generated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing the enforcement of access restrictions for changes to the system\n\nautomated mechanisms supporting auditing of enforcement actions" - } - ] - } - ] - }, - { - "id": "cm-5.2", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "props": [ - { - "name": "label", - "value": "CM-05(02)" - }, - { - "name": "sort-id", - "value": "cm-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-3.7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "props": [ - { - "name": "label", - "value": "CM-05(03)" - }, - { - "name": "sort-id", - "value": "cm-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-14", - "rel": "moved-to" - } - ] - }, - { - "id": "cm-5.4", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cm-5.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-05.04_odp.01" - } - ], - "label": "organization-defined system components and system-level information" - }, - { - "id": "cm-05.04_odp.01", - "props": [ - { - "name": "label", - "value": "CM-05(04)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring dual authorization for changes are defined;" - } - ] - }, - { - "id": "cm-05.04_odp.02", - "props": [ - { - "name": "label", - "value": "CM-05(04)_ODP[02]" - } - ], - "label": "system-level information", - "guidelines": [ - { - "prose": "system-level information requiring dual authorization for changes is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(04)" - }, - { - "name": "sort-id", - "value": "cm-05.04" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.4_smt", - "name": "statement", - "prose": "Enforce dual authorization for implementing changes to {{ insert: param, cm-5.4_prm_1 }}." - }, - { - "id": "cm-5.4_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.01 }} is enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for implementing changes to {{ insert: param, cm-05.04_odp.02 }} is enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem audit records\n\nsystem component inventory\n\nsystem information types information\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with dual authorization enforcement responsibilities for implementing system changes\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing dual authorization enforcement" - } - ] - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Privilege Limitation for Production and Operation", - "params": [ - { - "id": "cm-5.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-05.05_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cm-05.05_odp.01", - "props": [ - { - "name": "label", - "value": "CM-05(05)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review privileges is defined;" - } - ] - }, - { - "id": "cm-05.05_odp.02", - "props": [ - { - "name": "label", - "value": "CM-05(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to reevaluate privileges is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-05(05)" - }, - { - "name": "sort-id", - "value": "cm-05.05" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit privileges to change system components and system-related information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "privileges to change system components within a production or operational environment are limited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "privileges to change system-related information within a production or operational environment are limited;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "privileges are reviewed {{ insert: param, cm-05.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(05)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "privileges are reevaluated {{ insert: param, cm-05.05_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nuser privilege reviews\n\nuser privilege recertifications\n\nsystem component inventory\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for change" - } - ] - } - ] - }, - { - "id": "cm-5.6", - "class": "SP800-53-enhancement", - "title": "Limit Library Privileges", - "props": [ - { - "name": "label", - "value": "CM-05(06)" - }, - { - "name": "sort-id", - "value": "cm-05.06" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.6_smt", - "name": "statement", - "prose": "Limit privileges to change software resident within software libraries." - }, - { - "id": "cm-5.6_gdn", - "name": "guidance", - "prose": "Software libraries include privileged programs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-05(06)", - "class": "sp800-53A" - } - ], - "prose": "privileges to change software resident within software libraries are limited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing access restrictions for changes to the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for change" - } - ] - } - ] - }, - { - "id": "cm-5.7", - "class": "SP800-53-enhancement", - "title": "Automatic Implementation of Security Safeguards", - "props": [ - { - "name": "label", - "value": "CM-05(07)" - }, - { - "name": "sort-id", - "value": "cm-05.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "params": [ - { - "id": "cm-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_1" - }, - { - "name": "label", - "value": "CM-06_ODP[01]" - } - ], - "label": "common secure configurations", - "guidelines": [ - { - "prose": "common secure configurations to establish and document configuration settings for components employed within the system are defined;" - } - ] - }, - { - "id": "cm-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_2" - }, - { - "name": "label", - "value": "CM-06_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which approval of deviations is needed are defined;" - } - ] - }, - { - "id": "cm-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6_prm_3" - }, - { - "name": "label", - "value": "CM-06_ODP[03]" - } - ], - "label": "operational requirements", - "guidelines": [ - { - "prose": "operational requirements necessitating approval of deviations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06" - }, - { - "name": "sort-id", - "value": "cm-06" - } - ], - "links": [ - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#98498928-3ca3-44b3-8b1e-f48685373087", - "rel": "reference" - }, - { - "href": "#d744d9a3-73eb-4085-b9ff-79e82e9e2d6e", - "rel": "reference" - }, - { - "href": "#aa66e14f-e7cb-4a37-99d2-07578dfd4608", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using {{ insert: param, cm-06_odp.01 }};" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify, document, and approve any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} based on {{ insert: param, cm-06_odp.03 }} ; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor and control changes to the configuration settings in accordance with organizational policies and procedures." - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system.\n\nCommon secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors.\n\nImplementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB](#98498928-3ca3-44b3-8b1e-f48685373087) and security technical implementation guides (STIGs), which affect the implementation of [CM-6](#cm-6) and other controls such as [AC-19](#ac-19) and [CM-7](#cm-7) . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06a.", - "class": "sp800-53A" - } - ], - "prose": "configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using {{ insert: param, cm-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06b.", - "class": "sp800-53A" - } - ], - "prose": "the configuration settings documented in CM-06a are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are identified and documented based on {{ insert: param, cm-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are approved;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration settings are monitored in accordance with organizational policies and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06d.[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the configuration settings are controlled in accordance with organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncommon secure configuration checklists\n\nsystem component inventory\n\nevidence supporting approved deviations from established configuration settings\n\nchange control records\n\nsystem data processing and retention permissions\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with privacy configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control system configuration settings\n\nautomated mechanisms that identify and/or document deviations from established configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Management, Application, and Verification", - "params": [ - { - "id": "cm-6.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-06.01_odp.01" - } - ], - "label": "organization-defined system components" - }, - { - "id": "cm-6.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-06.01_odp.02" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-06.01_odp.01", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which to manage, apply, and verify configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to manage configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.03", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to apply configuration settings are defined;" - } - ] - }, - { - "id": "cm-06.01_odp.04", - "props": [ - { - "name": "label", - "value": "CM-06(01)_ODP[04]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to verify configuration settings are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06(01)" - }, - { - "name": "sort-id", - "value": "cm-06.01" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "Manage, apply, and verify configuration settings for {{ insert: param, cm-6.1_prm_1 }} using {{ insert: param, cm-6.1_prm_2 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are managed using {{ insert: param, cm-06.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are applied using {{ insert: param, cm-06.01_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "configuration settings for {{ insert: param, cm-06.01_odp.01 }} are verified using {{ insert: param, cm-06.01_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\n\nautomated mechanisms implemented to manage, apply, and verify system configuration settings" - } - ] - } - ] - }, - { - "id": "cm-6.2", - "class": "SP800-53-enhancement", - "title": "Respond to Unauthorized Changes", - "params": [ - { - "id": "cm-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6.2_prm_2" - }, - { - "name": "label", - "value": "CM-06(02)_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken upon an unauthorized change are defined;" - } - ] - }, - { - "id": "cm-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-6.2_prm_1" - }, - { - "name": "label", - "value": "CM-06(02)_ODP[02]" - } - ], - "label": "configuration settings", - "guidelines": [ - { - "prose": "configuration settings requiring action upon an unauthorized change are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-06(02)" - }, - { - "name": "sort-id", - "value": "cm-06.02" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "required" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.2_smt", - "name": "statement", - "prose": "Take the following actions in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}: {{ insert: param, cm-06.02_odp.01 }}." - }, - { - "id": "cm-6.2_gdn", - "name": "guidance", - "prose": "Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or—in extreme cases—halting affected system processing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-06(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-06.02_odp.01 }} are taken in response to unauthorized changes to {{ insert: param, cm-06.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nprivacy plan\n\nconfiguration management policy\n\nprocedures addressing configuration settings for the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized changes to system configuration settings\n\nsystem component inventory\n\ndocumented responses to unauthorized changes to system configuration settings\n\nchange control records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for responding to unauthorized changes to system configuration settings\n\nautomated mechanisms supporting and/or implementing actions in response to unauthorized changes" - } - ] - } - ] - }, - { - "id": "cm-6.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Change Detection", - "props": [ - { - "name": "label", - "value": "CM-06(03)" - }, - { - "name": "sort-id", - "value": "cm-06.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-6.4", - "class": "SP800-53-enhancement", - "title": "Conformance Demonstration", - "props": [ - { - "name": "label", - "value": "CM-06(04)" - }, - { - "name": "sort-id", - "value": "cm-06.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "params": [ - { - "id": "cm-7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-07_odp.02" - } - ], - "label": "organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services" - }, - { - "id": "cm-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7_prm_1" - }, - { - "name": "label", - "value": "CM-07_ODP[01]" - } - ], - "label": "mission-essential capabilities", - "guidelines": [ - { - "prose": "mission-essential capabilities for the system are defined;" - } - ] - }, - { - "id": "cm-07_odp.02", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[02]" - } - ], - "label": "functions", - "guidelines": [ - { - "prose": "functions to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.03", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[03]" - } - ], - "label": "ports", - "guidelines": [ - { - "prose": "ports to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.04", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[04]" - } - ], - "label": "protocols", - "guidelines": [ - { - "prose": "protocols to be prohibited or restricted are defined;" - } - ] - }, - { - "id": "cm-07_odp.05", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[05]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be prohibited or restricted is defined;" - } - ] - }, - { - "id": "cm-07_odp.06", - "props": [ - { - "name": "label", - "value": "CM-07_ODP[06]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services to be prohibited or restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07" - }, - { - "name": "sort-id", - "value": "cm-07" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#38f39739-1ebd-43b1-8b8c-00f591d89ebd", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configure the system to provide only {{ insert: param, cm-07_odp.01 }} ; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}." - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , and [SC-3](#sc-3))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07a.", - "class": "sp800-53A" - } - ], - "prose": "the system is configured to provide only {{ insert: param, cm-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.02 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.03 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.04 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[04]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.05 }} is prohibited or restricted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07b.[05]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, cm-07_odp.06 }} is prohibited or restricted." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services" - } - ] - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "params": [ - { - "id": "cm-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cm-07.01_odp.02" - } - ], - "label": "organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure" - }, - { - "id": "cm-07.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.1_prm_1" - }, - { - "name": "label", - "value": "CM-07(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined;" - } - ] - }, - { - "id": "cm-07.01_odp.02", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[02]" - } - ], - "label": "functions", - "guidelines": [ - { - "prose": "functions to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.03", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[03]" - } - ], - "label": "ports", - "guidelines": [ - { - "prose": "ports to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.04", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[04]" - } - ], - "label": "protocols", - "guidelines": [ - { - "prose": "protocols to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - }, - { - "id": "cm-07.01_odp.05", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[05]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software to be disabled or removed when deemed unnecessary or non-secure is defined;" - } - ] - }, - { - "id": "cm-07.01_odp.06", - "props": [ - { - "name": "label", - "value": "CM-07(01)_ODP[06]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services to be disabled or removed when deemed unnecessary or non-secure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(01)" - }, - { - "name": "sort-id", - "value": "cm-07.01" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review the system {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the system is reviewed {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.02 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.03 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.04 }} deemed to be unnecessary and/or non-secure are disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.05 }} deemed to be unnecessary and/or non-secure is disabled or removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(01)(b)[05]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.01_odp.06 }} deemed to be unnecessary and/or non-secure are disabled or removed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncommon secure configuration checklists\n\ndocumented reviews of functions, ports, protocols, and/or services\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system\n\nautomated mechanisms implementing review and disabling of functions, ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "params": [ - { - "id": "cm-07.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.2_prm_1" - }, - { - "name": "label", - "value": "CM-07(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-07.02_odp.02 }} ", - "rules authorizing the terms and conditions of software program usage" - ] - } - }, - { - "id": "cm-07.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.2_prm_2" - }, - { - "name": "label", - "value": "CM-07(02)_ODP[02]" - } - ], - "label": "policies, rules of behavior, and/or access agreements regarding software program usage and restrictions", - "guidelines": [ - { - "prose": "policies, rules of behavior, and/or access agreements regarding software program usage and restrictions are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(02)" - }, - { - "name": "sort-id", - "value": "cm-07.02" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "Prevent program execution in accordance with {{ insert: param, cm-07.02_odp.01 }}." - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "prose": "Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(02)", - "class": "sp800-53A" - } - ], - "prose": "program execution is prevented in accordance with {{ insert: param, cm-07.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nspecifications for preventing software program execution\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes preventing program execution on the system\n\norganizational processes for software program usage and restrictions\n\nautomated mechanisms preventing program execution on the system\n\nautomated mechanisms supporting and/or implementing software program usage and restrictions" - } - ] - } - ] - }, - { - "id": "cm-7.3", - "class": "SP800-53-enhancement", - "title": "Registration Compliance", - "params": [ - { - "id": "cm-07.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.3_prm_1" - }, - { - "name": "label", - "value": "CM-07(03)_ODP" - } - ], - "label": "registration requirements for functions, ports, protocols, and services", - "guidelines": [ - { - "prose": "registration requirements for functions, ports, protocols, and services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(03)" - }, - { - "name": "sort-id", - "value": "cm-07.03" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-7.3_smt", - "name": "statement", - "prose": "Ensure compliance with {{ insert: param, cm-07.03_odp }}." - }, - { - "id": "cm-7.3_gdn", - "name": "guidance", - "prose": "Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.03_odp }} are complied with." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nconfiguration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem configuration settings and associated documentation\n\nsystem component inventory\n\naudit and compliance reviews\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services\n\nautomated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software — Deny-by-exception", - "params": [ - { - "id": "cm-07.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.4_prm_1" - }, - { - "name": "label", - "value": "CM-07(04)_ODP[01]" - } - ], - "label": "software programs not authorized to execute on the system", - "guidelines": [ - { - "prose": "software programs not authorized to execute on the system are defined;" - } - ] - }, - { - "id": "cm-07.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.4_prm_2" - }, - { - "name": "label", - "value": "CM-07(04)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of unauthorized software programs is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(04)" - }, - { - "name": "sort-id", - "value": "cm-07.04" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.04_odp.01 }};" - }, - { - "id": "cm-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and" - }, - { - "id": "cm-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of unauthorized software programs {{ insert: param, cm-07.04_odp.02 }}." - } - ] - }, - { - "id": "cm-7.4_gdn", - "name": "guidance", - "prose": "Unauthorized software programs can be limited to specific versions or from a specific source. The concept of prohibiting the execution of unauthorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.04_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "an allow-all, deny-by-exception policy is employed to prohibit the execution of unauthorized software programs on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of unauthorized software programs is reviewed and updated {{ insert: param, cm-07.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software programs not authorized to execute on the system\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nreview and update records associated with list of unauthorized software programs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software not authorized to execute on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs not authorized to execute on the system\n\norganizational process for implementing unauthorized software policy\n\nautomated mechanisms supporting and/or implementing unauthorized software policy" - } - ] - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software — Allow-by-exception", - "params": [ - { - "id": "cm-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.5_prm_1" - }, - { - "name": "label", - "value": "CM-07(05)_ODP[01]" - } - ], - "label": "software programs authorized to execute on the system", - "guidelines": [ - { - "prose": "software programs authorized to execute on the system are defined;" - } - ] - }, - { - "id": "cm-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.5_prm_2" - }, - { - "name": "label", - "value": "CM-07(05)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of authorized software programs is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(05)" - }, - { - "name": "sort-id", - "value": "cm-07.05" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.05_odp.01 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized software programs {{ insert: param, cm-07.05_odp.02 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in [CA-3(5)](#ca-3.5) and [SC-7](#sc-7)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.05_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(05)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of authorized software programs is reviewed and updated {{ insert: param, cm-07.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software programs authorized to execute on the system\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nreview and update records associated with list of authorized software programs\n\nchange control records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software authorized to execute on the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs authorized to execute on the system\n\norganizational process for implementing authorized software policy\n\nautomated mechanisms supporting and/or implementing authorized software policy" - } - ] - } - ] - }, - { - "id": "cm-7.6", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "params": [ - { - "id": "cm-07.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.6_prm_1" - }, - { - "name": "label", - "value": "CM-07(06)_ODP" - } - ], - "label": "user-installed software", - "guidelines": [ - { - "prose": "user-installed software required to be executed in a confined environment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(06)" - }, - { - "name": "sort-id", - "value": "cm-07.06" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.6_smt", - "name": "statement", - "prose": "Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: {{ insert: param, cm-07.06_odp }}." - }, - { - "id": "cm-7.6_gdn", - "name": "guidance", - "prose": "Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.06_odp }} is required to be executed in a confined physical or virtual machine environment with limited privileges." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of software required to execute in a confined environment\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying and/or managing user-installed software and associated privileges\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying user-installed software required to execute in a confined environment\n\nautomated mechanisms supporting and/or implementing the confinement of user-installed software to physical or virtual machine environments\n\nautomated mechanisms supporting and/or implementing privilege limitations on user-installed software" - } - ] - } - ] - }, - { - "id": "cm-7.7", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "params": [ - { - "id": "cm-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.7_prm_1" - }, - { - "name": "label", - "value": "CM-07(07)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to explicitly approve execution of binary or machine-executable code is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(07)" - }, - { - "name": "sort-id", - "value": "cm-07.07" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.7_smt", - "name": "statement", - "prose": "Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of {{ insert: param, cm-07.07_odp }} when such code is:", - "parts": [ - { - "id": "cm-7.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Obtained from sources with limited or no warranty; and/or" - }, - { - "id": "cm-7.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Without the provision of source code." - } - ] - }, - { - "id": "cm-7.7_gdn", - "name": "guidance", - "prose": "Code execution in protected environments applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code is only allowed in confined physical or virtual machine environments;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code obtained from sources with limited or no warranty is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "the execution of binary or machine-executable code without the provision of source code is only allowed with the explicit approval of {{ insert: param, cm-07.07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of binary or machine-executable code\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for approving execution of binary or machine-executable code\n\norganizational personnel with information security responsibilities\n\norganizational personnel with software management responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\norganizational process for confining binary or machine-executable code to physical or virtual machine environments\n\nautomated mechanisms supporting and/or implementing the confinement of binary or machine-executable code to physical or virtual machine environments" - } - ] - } - ] - }, - { - "id": "cm-7.8", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "CM-07(08)" - }, - { - "name": "sort-id", - "value": "cm-07.08" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and" - }, - { - "id": "cm-7.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official." - } - ] - }, - { - "id": "cm-7.8_gdn", - "name": "guidance", - "prose": "Binary or machine executable code applies to all sources of binary or machine-executable code, including commercial software and firmware and open-source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open-source software is used, the assessments address the fact that there is no warranty, the open-source software could contain back doors or malware, and there may be no support available." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of binary or machine-executable code is prohibited when it originates from sources with limited or no warranty or without the provision of source code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only for compelling mission or operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(08)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the prohibition of binary or machine-executable code from sources with limited or no warranty or without the provision of source code are allowed only with the approval of the authorizing official." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing least functionality in the system\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist or record of binary or machine-executable code\n\nsystem component inventory\n\ncommon secure configuration checklists\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for determining mission and operational requirements\n\nauthorizing official for the system\n\norganizational personnel with information security responsibilities\n\norganizational personnel with software management responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\nautomated mechanisms supporting and/or implementing the prohibition of binary or machine-executable code" - } - ] - } - ] - }, - { - "id": "cm-7.9", - "class": "SP800-53-enhancement", - "title": "Prohibiting The Use of Unauthorized Hardware", - "params": [ - { - "id": "cm-07.09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.9_prm_1" - }, - { - "name": "label", - "value": "CM-07(09)_ODP[01]" - } - ], - "label": "hardware components authorized for system use", - "guidelines": [ - { - "prose": "hardware components authorized for system use are defined;" - } - ] - }, - { - "id": "cm-07.09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-7.9_prm_2" - }, - { - "name": "label", - "value": "CM-07(09)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the list of authorized hardware components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-07(09)" - }, - { - "name": "sort-id", - "value": "cm-07.09" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-07.09_odp.01 }};" - }, - { - "id": "cm-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prohibit the use or connection of unauthorized hardware components;" - }, - { - "id": "cm-7.9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized hardware components {{ insert: param, cm-07.09_odp.02 }}." - } - ] - }, - { - "id": "cm-7.9_gdn", - "name": "guidance", - "prose": "Hardware components provide the foundation for organizational systems and the platform for the execution of authorized software programs. Managing the inventory of hardware components and controlling which hardware components are permitted to be installed or connected to organizational systems is essential in order to provide adequate security." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-07.09_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "the use or connection of unauthorized hardware components is prohibited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-07(09)(c)", - "class": "sp800-53A" - } - ], - "prose": "the list of authorized hardware components is reviewed and updated {{ insert: param, cm-07.09_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nnetwork connection policy and procedures\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system hardware management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for approving execution of binary or machine-executable code\n\nautomated mechanisms supporting and/or implementing the prohibition of binary or machine-executable code" - } - ] - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "System Component Inventory", - "params": [ - { - "id": "cm-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8_prm_1" - }, - { - "name": "label", - "value": "CM-08_ODP[01]" - } - ], - "label": "information deemed necessary to achieve effective system component accountability", - "guidelines": [ - { - "prose": "information deemed necessary to achieve effective system component accountability is defined;" - } - ] - }, - { - "id": "cm-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8_prm_2" - }, - { - "name": "label", - "value": "CM-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update the system component inventory is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08" - }, - { - "name": "sort-id", - "value": "cm-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#70402863-5078-43af-9a6c-e11b0f3ec370", - "rel": "reference" - }, - { - "href": "#996241f8-f692-42d5-91f1-ce8b752e39e6", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document an inventory of system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Accurately reflects the system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes all components within the system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Does not include duplicate accounting of components or components assigned to any other system;" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting; and" - }, - { - "id": "cm-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Includes the following information to achieve system component accountability: {{ insert: param, cm-08_odp.01 }} ; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the system component inventory {{ insert: param, cm-08_odp.02 }}." - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.\n\nPreventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of [CM-8(7)](#cm-8.7) can help to eliminate duplicate accounting of components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.01", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that accurately reflects the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.02", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that includes all components within the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.03", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.04", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08a.05", - "class": "sp800-53A" - } - ], - "prose": "an inventory of system components that includes {{ insert: param, cm-08_odp.01 }} is developed and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08b.", - "class": "sp800-53A" - } - ], - "prose": "the system component inventory is reviewed and updated {{ insert: param, cm-08_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\ninventory reviews and update records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installation and Removal", - "props": [ - { - "name": "label", - "value": "CM-08(01)" - }, - { - "name": "sort-id", - "value": "cm-08.01" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "Update the inventory of system components as part of component installations, removals, and system updates." - }, - { - "id": "cm-8.1_gdn", - "name": "guidance", - "prose": "Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of component installations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of component removals;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "the inventory of system components is updated as part of system updates." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem component inventory\n\ninventory reviews and update records\n\nchange control records\n\ncomponent installation records\n\ncomponent removal records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory updating responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for updating the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory updates" - } - ] - } - ] - }, - { - "id": "cm-8.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance", - "params": [ - { - "id": "cm-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-08.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-08.02_odp.01", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the currency of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.02", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the completeness of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.03", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the accuracy of the system component inventory are defined;" - } - ] - }, - { - "id": "cm-08.02_odp.04", - "props": [ - { - "name": "label", - "value": "CM-08(02)_ODP[04]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain the availability of the system component inventory are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(02)" - }, - { - "name": "sort-id", - "value": "cm-08.02" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}." - }, - { - "id": "cm-8.2_gdn", - "name": "guidance", - "prose": "Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of [CM-2(2)](#cm-2.2) for organizations that combine system component inventory and baseline configuration activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.01 }} are used to maintain the currency of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.02 }} are used to maintain the completeness of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.03 }} are used to maintain the accuracy of the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.02_odp.04 }} are used to maintain the availability of the system component inventory." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nchange control records\n\nsystem maintenance records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the system component inventory\n\nautomated mechanisms supporting and/or implementing the system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "params": [ - { - "id": "cm-8.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-08.03_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-08.03_odp.01", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized hardware within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.02", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized software within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.03", - "props": [ - { - "name": "label", - "value": "CM-08(03)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of unauthorized firmware within the system are defined;" - } - ] - }, - { - "id": "cm-08.03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_2" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined;" - } - ] - }, - { - "id": "cm-08.03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_3" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "disable network access by unauthorized components", - "isolate unauthorized components", - "notify{{ insert: param, cm-08.03_odp.06 }} " - ] - } - }, - { - "id": "cm-08.03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.3_prm_4" - }, - { - "name": "label", - "value": "CM-08(03)_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when unauthorized components are detected is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(03)" - }, - { - "name": "sort-id", - "value": "cm-08.03" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-08.03_odp.04 }} ; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions when unauthorized components are detected: {{ insert: param, cm-08.03_odp.05 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see [CM-7(9)](#cm-7.9) ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as \"sandboxing.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized hardware within the system is detected using {{ insert: param, cm-08.03_odp.01 }} {{ insert: param, cm-08.03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized software within the system is detected using {{ insert: param, cm-08.03_odp.02 }} {{ insert: param, cm-08.03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the presence of unauthorized firmware within the system is detected using {{ insert: param, cm-08.03_odp.03 }} {{ insert: param, cm-08.03_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized hardware is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized software is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(03)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized firmware is detected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nchange control records\n\nalerts/notifications of unauthorized components within the system\n\nsystem monitoring records\n\nsystem maintenance records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detection of unauthorized system components\n\norganizational processes for taking action when unauthorized system components are detected\n\nautomated mechanisms supporting and/or implementing the detection of unauthorized system components\n\nautomated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected" - } - ] - } - ] - }, - { - "id": "cm-8.4", - "class": "SP800-53-enhancement", - "title": "Accountability Information", - "params": [ - { - "id": "cm-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.4_prm_1" - }, - { - "name": "label", - "value": "CM-08(04)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "name", - "position", - "role" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(04)" - }, - { - "name": "sort-id", - "value": "cm-08.04" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.4_smt", - "name": "statement", - "prose": "Include in the system component inventory information, a means for identifying by {{ insert: param, cm-08.04_odp }} , individuals responsible and accountable for administering those components." - }, - { - "id": "cm-8.4_gdn", - "name": "guidance", - "prose": "Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(04)", - "class": "sp800-53A" - } - ], - "prose": "individuals responsible and accountable for administering system components are identified by {{ insert: param, cm-08.04_odp }} in the system component inventory." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing the system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "props": [ - { - "name": "label", - "value": "CM-08(05)" - }, - { - "name": "sort-id", - "value": "cm-08.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-8.6", - "class": "SP800-53-enhancement", - "title": "Assessed Configurations and Approved Deviations", - "props": [ - { - "name": "label", - "value": "CM-08(06)" - }, - { - "name": "sort-id", - "value": "cm-08.06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.6_smt", - "name": "statement", - "prose": "Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory." - }, - { - "id": "cm-8.6_gdn", - "name": "guidance", - "prose": "Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "assessed component configurations are included in the system component inventory;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "any approved deviations to current deployed configurations are included in the system component inventory." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with assessment responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.7", - "class": "SP800-53-enhancement", - "title": "Centralized Repository", - "props": [ - { - "name": "label", - "value": "CM-08(07)" - }, - { - "name": "sort-id", - "value": "cm-08.07" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.7_smt", - "name": "statement", - "prose": "Provide a centralized repository for the inventory of system components." - }, - { - "id": "cm-8.7_gdn", - "name": "guidance", - "prose": "Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(07)", - "class": "sp800-53A" - } - ], - "prose": "a centralized repository for the system component inventory is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with security responsibilities\n\n" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory" - } - ] - } - ] - }, - { - "id": "cm-8.8", - "class": "SP800-53-enhancement", - "title": "Automated Location Tracking", - "params": [ - { - "id": "cm-08.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.8_prm_1" - }, - { - "name": "label", - "value": "CM-08(08)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for tracking components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(08)" - }, - { - "name": "sort-id", - "value": "cm-08.08" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.8_smt", - "name": "statement", - "prose": "Support the tracking of system components by geographic location using {{ insert: param, cm-08.08_odp }}." - }, - { - "id": "cm-8.8_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications that affect individual privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-08.08_odp }} are used to support the tracking of system components by geographic location." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem component inventory\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the system component inventory\n\nautomated mechanisms supporting and/or implementing system component inventory\n\nautomated mechanisms supporting and/or implementing tracking of components by geographic locations" - } - ] - } - ] - }, - { - "id": "cm-8.9", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "params": [ - { - "id": "cm-08.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-8.9_prm_1" - }, - { - "name": "label", - "value": "CM-08(09)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles from which to receive an acknowledgement is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-08(09)" - }, - { - "name": "sort-id", - "value": "cm-08.09" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-8.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assign system components to a system; and" - }, - { - "id": "cm-8.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Receive an acknowledgement from {{ insert: param, cm-08.09_odp }} of this assignment." - } - ] - }, - { - "id": "cm-8.9_gdn", - "name": "guidance", - "prose": "System components that are not assigned to a system may be unmanaged, lack the required protection, and become an organizational vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)(a)", - "class": "sp800-53A" - } - ], - "prose": "system components are assigned to a system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-08(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "an acknowledgement of the component assignment is received from {{ insert: param, cm-08.09_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-08(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing system component inventory\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem component inventory\n\nchange control records\n\nacknowledgements of system component assignments\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-08(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component inventory management responsibilities\n\nsystem owner\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-08(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning components to systems\n\norganizational processes for acknowledging assignment of components to systems\n\nautomated mechanisms implementing assignment of components to the system\n\nautomated mechanisms implementing acknowledgment of assignment of components to the system" - } - ] - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "params": [ - { - "id": "cm-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-9_prm_1" - }, - { - "name": "label", - "value": "CM-09_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to review and approve the configuration management plan is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-09" - }, - { - "name": "sort-id", - "value": "cm-09" - } - ], - "links": [ - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "Develop, document, and implement a configuration management plan for the system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the system and places the configuration items under configuration management;" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cm-09_odp }} ; and" - }, - { - "id": "cm-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities.\n\nConfiguration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents.\n\nOrganizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09[01]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management plan for the system is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09[02]", - "class": "sp800-53A" - } - ], - "prose": "a configuration management plan for the system is implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan addresses configuration management processes and procedures;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan establishes a process for managing the configuration of the configuration items;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan defines the configuration items for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan places the configuration items under configuration management;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09d.", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is reviewed and approved by {{ insert: param, cm-09_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the configuration management plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing configuration management planning\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing the configuration management plan\n\norganizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan\n\norganizational personnel with responsibilities for protecting the configuration management plan\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting the configuration management plan\n\norganizational processes for identifying and managing configuration items\n\norganizational processes for protecting the configuration management plan\n\nautomated mechanisms implementing the configuration management plan\n\nautomated mechanisms for managing configuration items\n\nautomated mechanisms for protecting the configuration management plan" - } - ] - } - ], - "controls": [ - { - "id": "cm-9.1", - "class": "SP800-53-enhancement", - "title": "Assignment of Responsibility", - "props": [ - { - "name": "label", - "value": "CM-09(01)" - }, - { - "name": "sort-id", - "value": "cm-09.01" - } - ], - "links": [ - { - "href": "#cm-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-9.1_smt", - "name": "statement", - "prose": "Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development." - }, - { - "id": "cm-9.1_gdn", - "name": "guidance", - "prose": "In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked with developing configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-09(01)", - "class": "sp800-53A" - } - ], - "prose": "the responsibility for developing the configuration management process is assigned to organizational personnel who are not directly involved in system development." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing responsibilities for configuration management process development\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for configuration management process development\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use software and associated documentation in accordance with contract agreements and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10a.", - "class": "sp800-53A" - } - ], - "prose": "software and associated documentation are used in accordance with contract agreements and copyright laws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10b.", - "class": "sp800-53A" - } - ], - "prose": "the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10c.", - "class": "sp800-53A" - } - ], - "prose": "the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nsoftware usage restrictions\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with software license management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking the use of software protected by quantity licenses\n\norganizational processes for controlling/documenting the use of peer-to-peer file sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology" - } - ] - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open-source Software", - "params": [ - { - "id": "cm-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-10.1_prm_1" - }, - { - "name": "label", - "value": "CM-10(01)_ODP" - } - ], - "label": "restrictions", - "guidelines": [ - { - "prose": "restrictions on the use of open-source software are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-10(01)" - }, - { - "name": "sort-id", - "value": "cm-10.01" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "Establish the following restrictions on the use of open-source software: {{ insert: param, cm-10.01_odp }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open-source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open-source software is that it provides organizations with the ability to examine the source code. In some cases, there is an online community associated with the software that inspects, tests, updates, and reports on issues found in software on an ongoing basis. However, remediating vulnerabilities in open-source software may be problematic. There may also be licensing issues associated with open-source software, including the constraints on derivative use of such software. Open-source software that is available only in binary form may increase the level of risk in using such software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-10(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-10.01_odp }} are established for the use of open-source software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nsoftware usage restrictions\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nconfiguration management plan\n\nsystem security plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with software license management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking the use of software protected by quantity licenses\n\norganizational processes for controlling/documenting the use of peer-to-peer file sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology" - } - ] - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "params": [ - { - "id": "cm-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_1" - }, - { - "name": "label", - "value": "CM-11_ODP[01]" - } - ], - "label": "policies", - "guidelines": [ - { - "prose": "policies governing the installation of software by users are defined;" - } - ] - }, - { - "id": "cm-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_2" - }, - { - "name": "label", - "value": "CM-11_ODP[02]" - } - ], - "label": "methods", - "guidelines": [ - { - "prose": "methods used to enforce software installation policies are defined;" - } - ] - }, - { - "id": "cm-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-11_prm_3" - }, - { - "name": "label", - "value": "CM-11_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to monitor compliance is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, cm-11_odp.01 }} governing the installation of software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforce software installation policies through the following methods: {{ insert: param, cm-11_odp.02 }} ; and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitor policy compliance {{ insert: param, cm-11_odp.03 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved \"app stores.\" Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cm-11_odp.01 }} governing the installation of software by users are established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11b.", - "class": "sp800-53A" - } - ], - "prose": "software installation policies are enforced through {{ insert: param, cm-11_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11c.", - "class": "sp800-53A" - } - ], - "prose": "compliance with {{ insert: param, cm-11_odp.01 }} is monitored {{ insert: param, cm-11_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of rules governing user installed software\n\nsystem monitoring records\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel monitoring compliance with user-installed software policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms enforcing policies and methods for governing the installation of software by users\n\nautomated mechanisms monitoring policy compliance" - } - ] - } - ], - "controls": [ - { - "id": "cm-11.1", - "class": "SP800-53-enhancement", - "title": "Alerts for Unauthorized Installations", - "props": [ - { - "name": "label", - "value": "CM-11(01)" - }, - { - "name": "sort-id", - "value": "cm-11.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-11.2", - "class": "SP800-53-enhancement", - "title": "Software Installation with Privileged Status", - "props": [ - { - "name": "label", - "value": "CM-11(02)" - }, - { - "name": "sort-id", - "value": "cm-11.02" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11.2_smt", - "name": "statement", - "prose": "Allow user installation of software only with explicit privileged status." - }, - { - "id": "cm-11.2_gdn", - "name": "guidance", - "prose": "Privileged status can be obtained, for example, by serving in the role of system administrator." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(02)", - "class": "sp800-53A" - } - ], - "prose": "user installation of software is allowed only with explicit privileged status." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of unauthorized software installations\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms for prohibiting installation of software without privileged status (e.g. access controls)" - } - ] - } - ] - }, - { - "id": "cm-11.3", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement and Monitoring", - "params": [ - { - "id": "cm-11.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-11.03_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-11.03_odp.01", - "props": [ - { - "name": "label", - "value": "CM-11(03)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to enforce compliance are defined;" - } - ] - }, - { - "id": "cm-11.03_odp.02", - "props": [ - { - "name": "label", - "value": "CM-11(03)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to monitor compliance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-11(03)" - }, - { - "name": "sort-id", - "value": "cm-11.03" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-11.3_smt", - "name": "statement", - "prose": "Enforce and monitor compliance with software installation policies using {{ insert: param, cm-11.3_prm_1 }}." - }, - { - "id": "cm-11.3_gdn", - "name": "guidance", - "prose": "Organizations enforce and monitor compliance with software installation policies using automated mechanisms to more quickly detect and respond to unauthorized software installation which can be an indicator of an internal or external hostile attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "compliance with software installation policies is enforced using {{ insert: param, cm-11.03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-11(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "compliance with software installation policies is monitored using {{ insert: param, cm-11.03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing user-installed software\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of rules governing user installed software\n\nsystem monitoring records\n\nsystem audit records\n\ncontinuous monitoring strategy\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed software\n\norganizational personnel operating, using, and/or maintaining the system\n\norganizational personnel monitoring compliance with user-installed software policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the system\n\nautomated mechanisms enforcing policies on installation of software by users\n\nautomated mechanisms monitoring policy compliance" - } - ] - } - ] - } - ] - }, - { - "id": "cm-12", - "class": "SP800-53", - "title": "Information Location", - "params": [ - { - "id": "cm-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12_prm_1" - }, - { - "name": "label", - "value": "CM-12_ODP" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information for which the location is to be identified and documented is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-12" - }, - { - "name": "sort-id", - "value": "cm-12" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-23", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-12_smt", - "name": "statement", - "parts": [ - { - "id": "cm-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the location of {{ insert: param, cm-12_odp }} and the specific system components on which the information is processed and stored;" - }, - { - "id": "cm-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify and document the users who have access to the system and system components where the information is processed and stored; and" - }, - { - "id": "cm-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document changes to the location (i.e., system or system components) where the information is processed and stored." - } - ] - }, - { - "id": "cm-12_gdn", - "name": "guidance", - "prose": "Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) ). The location of the information and system components is also a factor in the architecture and design of the system (see [SA-4](#sa-4), [SA-8](#sa-8), [SA-17](#sa-17))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the location of {{ insert: param, cm-12_odp }} is identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the specific system components on which {{ insert: param, cm-12_odp }} is processed are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the specific system components on which {{ insert: param, cm-12_odp }} is stored are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is processed are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is stored are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is processed are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12c.[02]", - "class": "sp800-53A" - } - ], - "prose": "changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is stored are documented." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing identification and documentation of information location\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\naudit records\n\nlist of users with system and system component access\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location and user access to information\n\norganizational personnel with responsibilities for operating, using, and/or maintaining the system\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location" - } - ] - } - ], - "controls": [ - { - "id": "cm-12.1", - "class": "SP800-53-enhancement", - "title": "Automated Tools to Support Information Location", - "params": [ - { - "id": "cm-12.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12.1_prm_1" - }, - { - "name": "label", - "value": "CM-12(01)_ODP[01]" - } - ], - "label": "information by information type", - "guidelines": [ - { - "prose": "information to be protected is defined by information type;" - } - ] - }, - { - "id": "cm-12.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cm-12.1_prm_2" - }, - { - "name": "label", - "value": "CM-12(01)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where the information is located are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-12(01)" - }, - { - "name": "sort-id", - "value": "cm-12.01" - } - ], - "links": [ - { - "href": "#cm-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "cm-12.1_smt", - "name": "statement", - "prose": "Use automated tools to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure controls are in place to protect organizational information and individual privacy." - }, - { - "id": "cm-12.1_gdn", - "name": "guidance", - "prose": "The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-12(01)", - "class": "sp800-53A" - } - ], - "prose": "automated tools are used to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls are in place to protect organizational information and individual privacy." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing identification and documentation of information location\n\nconfiguration management plan\n\nsystem design documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location\n\nautomated tools used to identify information on system components" - } - ] - } - ] - } - ] - }, - { - "id": "cm-13", - "class": "SP800-53", - "title": "Data Action Mapping", - "props": [ - { - "name": "label", - "value": "CM-13" - }, - { - "name": "sort-id", - "value": "cm-13" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-13_smt", - "name": "statement", - "prose": "Develop and document a map of system data actions." - }, - { - "id": "cm-13_gdn", - "name": "guidance", - "prose": "Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle, which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, system components involved in the data actions, and the owners or operators of the system components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed in another part of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. Data maps can be illustrated in different ways, and the level of detail may vary based on the mission and business needs of the organization. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-13", - "class": "sp800-53A" - } - ], - "prose": "a map of system data actions is developed and documented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures for identification and documentation of information location\n\nprocedures for mapping data actions\n\nconfiguration management plan\n\nsystem security plan\n\nprivacy plan\n\nsystem design documentation\n\nPII inventory documentation\n\ndata mapping documentation\n\nchange control records\n\nsystem component inventory\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing information location\n\norganizational personnel responsible for data action mapping\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms supporting or implementing data action mapping" - } - ] - } - ] - }, - { - "id": "cm-14", - "class": "SP800-53", - "title": "Signed Components", - "params": [ - { - "id": "cm-14_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cm-14_odp.01" - } - ], - "label": "organization-defined software and firmware components" - }, - { - "id": "cm-14_odp.01", - "props": [ - { - "name": "label", - "value": "CM-14_ODP[01]" - } - ], - "label": "software components", - "guidelines": [ - { - "prose": "software components requiring verification of a digitally signed certificate before installation are defined;" - } - ] - }, - { - "id": "cm-14_odp.02", - "props": [ - { - "name": "label", - "value": "CM-14_ODP[02]" - } - ], - "label": "firmware components", - "guidelines": [ - { - "prose": "firmware components requiring verification of a digitally signed certificate before installation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CM-14" - }, - { - "name": "sort-id", - "value": "cm-14" - } - ], - "links": [ - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-14_smt", - "name": "statement", - "prose": "Prevent the installation of {{ insert: param, cm-14_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization." - }, - { - "id": "cm-14_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14[01]", - "class": "sp800-53A" - } - ], - "prose": "the installation of {{ insert: param, cm-14_odp.01 }} is prevented unless it is verified that the software has been digitally signed using a certificate recognized and approved by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CM-14[02]", - "class": "sp800-53A" - } - ], - "prose": "the installation of {{ insert: param, cm-14_odp.02 }} is prevented unless it is verified that the firmware has been digitally signed using a certificate recognized and approved by the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\n\nprocedures addressing digitally signed certificates for software and firmware components\n\nconfiguration management plan\n\nsystem security plan\n\nsystem design documentation\n\nchange control records\n\nsystem component inventory\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for verifying digitally signed certificates for software and firmware component installation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing information location\n\nautomated mechanisms enforcing policies and methods for governing information location\n\nautomated tools supporting or implementing digitally signatures for software and firmware components\n\nautomated tools supporting or implementing verification of digital signatures for software and firmware component installation" - } - ] - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cp-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-01_odp.01", - "props": [ - { - "name": "label", - "value": "CP-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the contingency planning policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "cp-01_odp.02", - "props": [ - { - "name": "label", - "value": "CP-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the contingency planning procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "cp-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_2" - }, - { - "name": "label", - "value": "CP-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cp-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_3" - }, - { - "name": "label", - "value": "CP-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the contingency planning policy and procedures is defined;" - } - ] - }, - { - "id": "cp-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_4" - }, - { - "name": "label", - "value": "CP-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current contingency planning policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "cp-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_5" - }, - { - "name": "label", - "value": "CP-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current contingency planning policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "cp-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_6" - }, - { - "name": "label", - "value": "CP-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current contingency planning procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "cp-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-1_prm_7" - }, - { - "name": "label", - "value": "CP-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-01" - }, - { - "name": "sort-id", - "value": "cp-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, cp-01_odp.03 }} contingency planning policy that:", - "parts": [ - { - "id": "cp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cp-01_odp.04 }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and" - }, - { - "id": "cp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current contingency planning:", - "parts": [ - { - "id": "cp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, cp-01_odp.05 }} and following {{ insert: param, cp-01_odp.06 }} ; and" - }, - { - "id": "cp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, cp-01_odp.07 }} and following {{ insert: param, cp-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency planning policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency planning policy is disseminated to {{ insert: param, cp-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "contingency planning procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the contingency planning procedures are disseminated to {{ insert: param, cp-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.03 }} contingency planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, cp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the contingency planning policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning policy is reviewed and updated {{ insert: param, cp-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning policy is reviewed and updated following {{ insert: param, cp-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning procedures are reviewed and updated {{ insert: param, cp-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current contingency planning procedures are reviewed and updated following {{ insert: param, cp-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "params": [ - { - "id": "cp-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-02_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_3", - "props": [ - { - "name": "aggregates", - "value": "cp-02_odp.05" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-02_odp.01", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to review a contingency plan is/are defined;" - } - ] - }, - { - "id": "cp-02_odp.02", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to approve a contingency plan is/are defined;" - } - ] - }, - { - "id": "cp-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2_prm_2" - }, - { - "name": "label", - "value": "CP-02_ODP[03]" - } - ], - "label": "key contingency personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "key contingency personnel (identified by name and/or by role) to whom copies of the contingency plan are distributed are defined;" - } - ] - }, - { - "id": "cp-02_odp.04", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[04]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "key contingency organizational elements to which copies of the contingency plan are distributed are defined;" - } - ] - }, - { - "id": "cp-02_odp.05", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency of contingency plan review is defined;" - } - ] - }, - { - "id": "cp-02_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2_prm_4" - }, - { - "name": "label", - "value": "CP-02_ODP[06]" - } - ], - "label": "key contingency personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "key contingency personnel (identified by name and/or by role) to communicate changes to are defined;" - } - ] - }, - { - "id": "cp-02_odp.07", - "props": [ - { - "name": "label", - "value": "CP-02_ODP[07]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "key contingency organizational elements to communicate changes to are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-02" - }, - { - "name": "sort-id", - "value": "cp-02" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a contingency plan for the system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Identifies essential mission and business functions and associated contingency requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Addresses the sharing of contingency information; and" - }, - { - "id": "cp-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the contingency plan to {{ insert: param, cp-02_odp.03 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the contingency plan for the system {{ insert: param, cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicate contingency plan changes to {{ insert: param, cp-02_odp.06 }};" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and" - }, - { - "id": "cp-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protect the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level.\n\nActions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in [IR-4(5)](#ir-4.5) . Incident response planning is part of contingency planning for organizations and is addressed in the [IR](#ir) (Incident Response) family." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.01", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that identifies essential mission and business functions and associated contingency requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides recovery objectives;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides restoration priorities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that provides metrics;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses contingency roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses contingency responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.03[03]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses assigned individuals with contact information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.04", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.05", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses eventual, full-system restoration without deterioration of the controls originally planned and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.06", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that addresses the sharing of contingency information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07[01]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that is reviewed by {{ insert: param, cp-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02a.07[02]", - "class": "sp800-53A" - } - ], - "prose": "a contingency plan for the system is developed that is approved by {{ insert: param, cp-02_odp.02 }};" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02c.", - "class": "sp800-53A" - } - ], - "prose": "contingency planning activities are coordinated with incident handling activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02d.", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan for the system is reviewed {{ insert: param, cp-02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is updated to address changes to the organization, system, or environment of operation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is updated to address problems encountered during contingency plan implementation, execution, or testing;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.[01]", - "class": "sp800-53A" - } - ], - "prose": "contingency plan changes are communicated to {{ insert: param, cp-02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02f.[02]", - "class": "sp800-53A" - } - ], - "prose": "contingency plan changes are communicated to {{ insert: param, cp-02_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.[01]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from contingency plan testing or actual contingency activities are incorporated into contingency testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02g.[02]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from contingency plan training or actual contingency activities are incorporated into contingency testing and training;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02h.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nevidence of contingency plan reviews and updates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and protection\n\nautomated mechanisms for developing, reviewing, updating, and/or protecting the contingency plan" - } - ] - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-02(01)" - }, - { - "name": "sort-id", - "value": "cp-02.01" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan development with organizational elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(01)", - "class": "sp800-53A" - } - ], - "prose": "contingency plan development is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness contingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plan\n\ninsider threat implementation plans\n\noccupant emergency plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel with responsibility for related plans" - } - ] - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "props": [ - { - "name": "label", - "value": "CP-02(02)" - }, - { - "name": "sort-id", - "value": "cp-02.02" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for information processing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for telecommunications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "capacity planning is conducted so that the necessary capacity exists during contingency operations for environmental support." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\ncapacity planning documents\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel responsible for capacity planning\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Mission and Business Functions", - "params": [ - { - "id": "cp-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.3_prm_1" - }, - { - "name": "label", - "value": "CP-02(03)_ODP[01]" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - }, - { - "id": "cp-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.3_prm_2" - }, - { - "name": "label", - "value": "CP-02(03)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the contingency plan activation time period within which to resume mission and business functions is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(03)" - }, - { - "name": "sort-id", - "value": "cp-02.03" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "Plan for the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(03)", - "class": "sp800-53A" - } - ], - "prose": "the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions are planned for within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nsystem security plan\n\nprivacy plan\n\nother related plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for resumption of missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.4", - "class": "SP800-53-enhancement", - "title": "Resume All Mission and Business Functions", - "props": [ - { - "name": "label", - "value": "CP-02(04)" - }, - { - "name": "sort-id", - "value": "cp-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-2.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-2.5", - "class": "SP800-53-enhancement", - "title": "Continue Mission and Business Functions", - "params": [ - { - "id": "cp-02.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.5_prm_1" - }, - { - "name": "label", - "value": "CP-02(05)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(05)" - }, - { - "name": "sort-id", - "value": "cp-02.05" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.5_smt", - "name": "statement", - "prose": "Plan for the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites." - }, - { - "id": "cp-2.5_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "the continuance of {{ insert: param, cp-02.05_odp }} mission and business functions with minimal or no loss of operational continuity is planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "continuity is sustained until full system restoration at primary processing and/or storage sites." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nprimary processing site agreements\n\nprimary storage site agreements\n\nalternate processing site agreements\n\nalternate storage site agreements\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for continuing missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.6", - "class": "SP800-53-enhancement", - "title": "Alternate Processing and Storage Sites", - "params": [ - { - "id": "cp-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.6_prm_1" - }, - { - "name": "label", - "value": "CP-02(06)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(06)" - }, - { - "name": "sort-id", - "value": "cp-02.06" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-2.6_smt", - "name": "statement", - "prose": "Plan for the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites." - }, - { - "id": "cp-2.6_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities for alternate processing and storage sites as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "the transfer of {{ insert: param, cp-02.06_odp }} mission and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity is planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "operational continuity is sustained until full system restoration at primary processing and/or storage sites." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nalternate processing site agreements\n\nalternate storage site agreements\n\ncontingency plan testing documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for transfer of essential mission and business functions to alternate processing/storage sites" - } - ] - } - ] - }, - { - "id": "cp-2.7", - "class": "SP800-53-enhancement", - "title": "Coordinate with External Service Providers", - "props": [ - { - "name": "label", - "value": "CP-02(07)" - }, - { - "name": "sort-id", - "value": "cp-02.07" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.7_smt", - "name": "statement", - "prose": "Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "id": "cp-2.7_gdn", - "name": "guidance", - "prose": "When the capability of an organization to carry out its mission and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When mission and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(07)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is coordinated with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\ncontingency plans of external\n\nservice providers\n\nservice level agreements\n\ncontingency plan requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\nexternal service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "params": [ - { - "id": "cp-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-2.8_prm_1" - }, - { - "name": "label", - "value": "CP-02(08)_ODP" - } - ], - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-02(08)" - }, - { - "name": "sort-id", - "value": "cp-02.08" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "required" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "Identify critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing [CP-2(7)](#cp-2.7) as a control enhancement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-02(08)", - "class": "sp800-53A" - } - ], - "prose": "critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions are identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency operations for the system\n\ncontingency plan\n\nbusiness impact assessment\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "params": [ - { - "id": "cp-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_1" - }, - { - "name": "label", - "value": "CP-03_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which to provide contingency training after assuming a contingency role or responsibility is defined;" - } - ] - }, - { - "id": "cp-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_2" - }, - { - "name": "label", - "value": "CP-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide training to system users with a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_3" - }, - { - "name": "label", - "value": "CP-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update contingency training content;" - } - ] - }, - { - "id": "cp-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-3_prm_4" - }, - { - "name": "label", - "value": "CP-03_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events necessitating review and update of contingency training are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-03" - }, - { - "name": "sort-id", - "value": "cp-03" - } - ], - "links": [ - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide contingency training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;" - }, - { - "id": "cp-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "cp-3_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, cp-03_odp.02 }} thereafter; and" - } - ] - }, - { - "id": "cp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update contingency training content {{ insert: param, cp-03_odp.03 }} and following {{ insert: param, cp-03_odp.04 }}." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.01", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.02", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03a.03", - "class": "sp800-53A" - } - ], - "prose": "contingency training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, cp-03_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan training content is reviewed and updated {{ insert: param, cp-03_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan training content is reviewed and updated following {{ insert: param, cp-03_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\ncontingency training records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - } - ], - "controls": [ - { - "id": "cp-3.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "CP-03(01)" - }, - { - "name": "sort-id", - "value": "cp-03.01" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-3.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "id": "cp-3.1_gdn", - "name": "guidance", - "prose": "The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03(01)", - "class": "sp800-53A" - } - ], - "prose": "simulated events are incorporated into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training\n\nautomated mechanisms for simulating contingency events" - } - ] - } - ] - }, - { - "id": "cp-3.2", - "class": "SP800-53-enhancement", - "title": "Mechanisms Used in Training Environments", - "props": [ - { - "name": "label", - "value": "CP-03(02)" - }, - { - "name": "sort-id", - "value": "cp-03.02" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-3.2_smt", - "name": "statement", - "prose": "Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment." - }, - { - "id": "cp-3.2_gdn", - "name": "guidance", - "prose": "Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission and business processes, systems, and/or facilities may be used to generate simulated events and enhance the realism of simulated events during contingency training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-03(02)", - "class": "sp800-53A" - } - ], - "prose": "mechanisms used in operations are employed to provide a more thorough and realistic contingency training environment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training\n\nautomated mechanisms for providing contingency training environments" - } - ] - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "params": [ - { - "id": "cp-4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "cp-04_odp.02" - } - ], - "label": "organization-defined tests" - }, - { - "id": "cp-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4_prm_1" - }, - { - "name": "label", - "value": "CP-04_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency of testing the contingency plan for the system is defined;" - } - ] - }, - { - "id": "cp-04_odp.02", - "props": [ - { - "name": "label", - "value": "CP-04_ODP[02]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests for determining the effectiveness of the contingency plan are defined;" - } - ] - }, - { - "id": "cp-04_odp.03", - "props": [ - { - "name": "label", - "value": "CP-04_ODP[03]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests for determining readiness to execute the contingency plan are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04" - }, - { - "name": "sort-id", - "value": "cp-04" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Test the contingency plan for the system {{ insert: param, cp-04_odp.01 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, cp-4_prm_2 }}." - }, - { - "id": "cp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiate corrective actions, if needed." - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan for the system is tested {{ insert: param, cp-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04_odp.02 }} are used to determine the effectiveness of the plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04_odp.03 }} are used to determine the readiness to execute the plan;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04b.", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan test results are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04c.", - "class": "sp800-53A" - } - ], - "prose": "corrective actions are initiated, if needed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan testing" - } - ] - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-04(01)" - }, - { - "name": "sort-id", - "value": "cp-04.01" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan testing with organizational elements responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(01)", - "class": "sp800-53A" - } - ], - "prose": "contingency plan testing is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nincident response policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan testing documentation\n\ncontingency plan\n\nbusiness continuity plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plans\n\noccupant emergency plans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\npersonnel with responsibilities for related plans\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-4.2", - "class": "SP800-53-enhancement", - "title": "Alternate Processing Site", - "props": [ - { - "name": "label", - "value": "CP-04(02)" - }, - { - "name": "sort-id", - "value": "cp-04.02" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.2_smt", - "name": "statement", - "prose": "Test the contingency plan at the alternate processing site:", - "parts": [ - { - "id": "cp-4.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "To familiarize contingency personnel with the facility and available resources; and" - }, - { - "id": "cp-4.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "To evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "id": "cp-4.2_gdn", - "name": "guidance", - "prose": "Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested at the alternate processing site to familiarize contingency personnel with the facility and available resources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested at the alternate processing site to evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nalternate processing site agreements\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan testing" - } - ] - } - ] - }, - { - "id": "cp-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "cp-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.3_prm_1" - }, - { - "name": "label", - "value": "CP-04(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for contingency plan testing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04(03)" - }, - { - "name": "sort-id", - "value": "cp-04.03" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-4.3_smt", - "name": "statement", - "prose": "Test the contingency plan using {{ insert: param, cp-04.03_odp }}." - }, - { - "id": "cp-4.3_gdn", - "name": "guidance", - "prose": "Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues, selecting more realistic test scenarios and environments, and effectively stressing the system and supported mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(03)", - "class": "sp800-53A" - } - ], - "prose": "the contingency plan is tested using {{ insert: param, cp-04.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nautomated mechanisms supporting contingency plan testing\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing" - } - ] - } - ] - }, - { - "id": "cp-4.4", - "class": "SP800-53-enhancement", - "title": "Full Recovery and Reconstitution", - "props": [ - { - "name": "label", - "value": "CP-04(04)" - }, - { - "name": "sort-id", - "value": "cp-04.04" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.4_smt", - "name": "statement", - "prose": "Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing." - }, - { - "id": "cp-4.4_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "a full recovery of the system to a known state is included as part of contingency plan testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "a full reconstitution of the system to a known state is included as part of contingency plan testing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing\n\nautomated mechanisms supporting recovery and reconstitution of the system" - } - ] - } - ] - }, - { - "id": "cp-4.5", - "class": "SP800-53-enhancement", - "title": "Self-challenge", - "params": [ - { - "id": "cp-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.5_prm_1" - }, - { - "name": "label", - "value": "CP-04(05)_ODP[01]" - } - ], - "label": "mechanism/mechanisms", - "guidelines": [ - { - "prose": "mechanisms employed to disrupt and adversely affect the system or system component are defined;" - } - ] - }, - { - "id": "cp-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-4.5_prm_2" - }, - { - "name": "label", - "value": "CP-04(05)_ODP[02]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "system or system component on which to apply disruption mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-04(05)" - }, - { - "name": "sort-id", - "value": "cp-04.05" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-4.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-04.05_odp.01 }} to {{ insert: param, cp-04.05_odp.02 }} to disrupt and adversely affect the system or system component." - }, - { - "id": "cp-4.5_gdn", - "name": "guidance", - "prose": "Often, the best method of assessing system resilience is to disrupt the system in some manner. The mechanisms used by the organization could disrupt system functions or system services in many ways, including terminating or disabling critical system components, changing the configuration of system components, degrading critical functionality (e.g., restricting network bandwidth), or altering privileges. Automated, on-going, and simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-04.05_odp.01 }} is/are employed to disrupt and adversely affect the {{ insert: param, cp-04.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nmechanisms supporting contingency plan testing" - } - ] - } - ] - } - ] - }, - { - "id": "cp-5", - "class": "SP800-53", - "title": "Contingency Plan Update", - "props": [ - { - "name": "label", - "value": "CP-05" - }, - { - "name": "sort-id", - "value": "cp-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "props": [ - { - "name": "label", - "value": "CP-06" - }, - { - "name": "sort-id", - "value": "cp-06" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an alternate storage site is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06b.", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing and retrieving system backup information at the alternate storage site\n\nautomated mechanisms supporting and/or implementing storage and retrieval of system backup information at the alternate storage site" - } - ] - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-06(01)" - }, - { - "name": "sort-id", - "value": "cp-06.01" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(01)", - "class": "sp800-53A" - } - ], - "prose": "an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-6.2", - "class": "SP800-53-enhancement", - "title": "Recovery Time and Recovery Point Objectives", - "props": [ - { - "name": "label", - "value": "CP-06(02)" - }, - { - "name": "sort-id", - "value": "cp-06.02" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-6.2_smt", - "name": "statement", - "prose": "Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives." - }, - { - "id": "cp-6.2_gdn", - "name": "guidance", - "prose": "Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the alternate storage site is configured to facilitate recovery operations in accordance with recovery point objectives." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nalternate storage site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with responsibilities for testing related plans\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\n\nautomated mechanisms supporting recovery time and point objectives" - } - ] - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-06(03)" - }, - { - "name": "sort-id", - "value": "cp-06.03" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "explicit mitigation actions to address identified accessibility problems are outlined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nlist of potential accessibility problems to alternate storage site\n\nmitigation actions for accessibility problems to alternate storage site\n\norganizational risk assessments\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "params": [ - { - "id": "cp-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-7_prm_1" - }, - { - "name": "label", - "value": "CP-07_ODP[01]" - } - ], - "label": "system operations", - "guidelines": [ - { - "prose": "system operations for essential mission and business functions are defined;" - } - ] - }, - { - "id": "cp-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-7_prm_2" - }, - { - "name": "label", - "value": "CP-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-07" - }, - { - "name": "sort-id", - "value": "cp-07" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provide controls at the alternate processing site that are equivalent to those at the primary site." - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07a.", - "class": "sp800-53A" - } - ], - "prose": "an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions, is established within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for transfer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for resumption;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07c.", - "class": "sp800-53A" - } - ], - "prose": "controls provided at the alternate processing site are equivalent to those at the primary site." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nspare equipment and supplies inventory at alternate processing site\n\nequipment and supply contracts\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for recovery at the alternate site\n\nautomated mechanisms supporting and/or implementing recovery at the alternate processing site" - } - ] - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-07(01)" - }, - { - "name": "sort-id", - "value": "cp-07.01" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats." - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(01)", - "class": "sp800-53A" - } - ], - "prose": "an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-07(02)" - }, - { - "name": "sort-id", - "value": "cp-07.02" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "explicit mitigation actions to address identified accessibility problems are outlined." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "props": [ - { - "name": "label", - "value": "CP-07(03)" - }, - { - "name": "sort-id", - "value": "cp-07.03" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(03)", - "class": "sp800-53A" - } - ], - "prose": "alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nservice-level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - } - ] - }, - { - "id": "cp-7.4", - "class": "SP800-53-enhancement", - "title": "Preparation for Use", - "props": [ - { - "name": "label", - "value": "CP-07(04)" - }, - { - "name": "sort-id", - "value": "cp-07.04" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.4_smt", - "name": "statement", - "prose": "Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions." - }, - { - "id": "cp-7.4_gdn", - "name": "guidance", - "prose": "Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(04)", - "class": "sp800-53A" - } - ], - "prose": "the alternate processing site is prepared so that the site can serve as the operational site supporting essential mission and business functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nalternate processing site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery at the alternate processing site" - } - ] - } - ] - }, - { - "id": "cp-7.5", - "class": "SP800-53-enhancement", - "title": "Equivalent Information Security Safeguards", - "props": [ - { - "name": "label", - "value": "CP-07(05)" - }, - { - "name": "sort-id", - "value": "cp-07.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-7.6", - "class": "SP800-53-enhancement", - "title": "Inability to Return to Primary Site", - "props": [ - { - "name": "label", - "value": "CP-07(06)" - }, - { - "name": "sort-id", - "value": "cp-07.06" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-7.6_smt", - "name": "statement", - "prose": "Plan and prepare for circumstances that preclude returning to the primary processing site." - }, - { - "id": "cp-7.6_gdn", - "name": "guidance", - "prose": "There may be situations that preclude an organization from returning to the primary processing site such as if a natural disaster (e.g., flood or a hurricane) damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "circumstances that preclude returning to the primary processing site are planned for;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-07(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "circumstances that preclude returning to the primary processing site are prepared for." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nalternate processing site configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "params": [ - { - "id": "cp-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8_prm_1" - }, - { - "name": "label", - "value": "CP-08_ODP[01]" - } - ], - "label": "system operations", - "guidelines": [ - { - "prose": "system operations to be resumed for essential mission and business functions are defined;" - } - ] - }, - { - "id": "cp-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8_prm_2" - }, - { - "name": "label", - "value": "CP-08_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08" - }, - { - "name": "sort-id", - "value": "cp-08" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for [CP-8](#cp-8) . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} , are established for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with knowledge of requirements for mission and business functions\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "props": [ - { - "name": "label", - "value": "CP-08(01)" - }, - { - "name": "sort-id", - "value": "cp-08.01" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nTelecommunications Service Priority documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "props": [ - { - "name": "label", - "value": "CP-08(02)" - }, - { - "name": "sort-id", - "value": "cp-08.02" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services." - }, - { - "id": "cp-8.2_gdn", - "name": "guidance", - "prose": "In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(02)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.3", - "class": "SP800-53-enhancement", - "title": "Separation of Primary and Alternate Providers", - "props": [ - { - "name": "label", - "value": "CP-08(03)" - }, - { - "name": "sort-id", - "value": "cp-08.03" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-8.3_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats." - }, - { - "id": "cp-8.3_gdn", - "name": "guidance", - "prose": "Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(03)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services from providers that are separated from primary service providers are obtained to reduce susceptibility to the same threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nalternate telecommunications service provider site\n\nprimary telecommunications service provider site\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications responsibilities\n\norganizational personnel with system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.4", - "class": "SP800-53-enhancement", - "title": "Provider Contingency Plan", - "params": [ - { - "id": "cp-8.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-08.04_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-08.04_odp.01", - "props": [ - { - "name": "label", - "value": "CP-08(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to obtain evidence of contingency testing by providers is defined;" - } - ] - }, - { - "id": "cp-08.04_odp.02", - "props": [ - { - "name": "label", - "value": "CP-08(04)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to obtain evidence of contingency training by providers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08(04)" - }, - { - "name": "sort-id", - "value": "cp-08.04" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require primary and alternate telecommunications service providers to have contingency plans;" - }, - { - "id": "cp-8.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and" - }, - { - "id": "cp-8.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}." - } - ] - }, - { - "id": "cp-8.4_gdn", - "name": "guidance", - "prose": "Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "primary telecommunications service providers are required to have contingency plans;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications service providers are required to have contingency plans;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "provider contingency plans are reviewed to ensure that the plans meet organizational contingency requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "evidence of contingency testing by providers is obtained {{ insert: param, cp-08.04_odp.01 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(04)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "evidence of contingency training by providers is obtained {{ insert: param, cp-08.04_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprovider contingency plans\n\nevidence of contingency testing/training by providers\n\nprimary and alternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and testing responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual agreements" - } - ] - } - ] - }, - { - "id": "cp-8.5", - "class": "SP800-53-enhancement", - "title": "Alternate Telecommunication Service Testing", - "params": [ - { - "id": "cp-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-8.5_prm_1" - }, - { - "name": "label", - "value": "CP-08(05)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which alternate telecommunications services are tested is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-08(05)" - }, - { - "name": "sort-id", - "value": "cp-08.05" - } - ], - "links": [ - { - "href": "#cp-8", - "rel": "required" - }, - { - "href": "#cp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.5_smt", - "name": "statement", - "prose": "Test alternate telecommunication services {{ insert: param, cp-08.05_odp }}." - }, - { - "id": "cp-8.5_gdn", - "name": "guidance", - "prose": "Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure that there is no degradation in organizational missions or functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-08(05)", - "class": "sp800-53A" - } - ], - "prose": "alternate telecommunications services are tested {{ insert: param, cp-08.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nevidence of testing alternate telecommunications services\n\nalternate telecommunications service agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and testing responsibilities\n\nalternate telecommunications service providers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting testing alternate telecommunications services" - } - ] - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "System Backup", - "params": [ - { - "id": "cp-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_1" - }, - { - "name": "label", - "value": "CP-09_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which to conduct backups of user-level information is defined;" - } - ] - }, - { - "id": "cp-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_2" - }, - { - "name": "label", - "value": "CP-09_ODP[02]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of user-level information consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_3" - }, - { - "name": "label", - "value": "CP-09_ODP[03]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of system-level information consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9_prm_4" - }, - { - "name": "label", - "value": "CP-09_ODP[04]" - } - ], - "label": "frequency consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09" - }, - { - "name": "sort-id", - "value": "cp-09" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#3653e316-8923-430e-8943-b3b2b2562fc6", - "rel": "reference" - }, - { - "href": "#2494df28-9049-4196-b233-540e7440993f", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} {{ insert: param, cp-09_odp.02 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct backups of system-level information contained in the system {{ insert: param, cp-09_odp.03 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct backups of system documentation, including security- and privacy-related documentation {{ insert: param, cp-09_odp.04 }} ; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the confidentiality, integrity, and availability of backup information." - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by [MP-5](#mp-5) and [SC-8](#sc-8) . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09a.", - "class": "sp800-53A" - } - ], - "prose": "backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} are conducted {{ insert: param, cp-09_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09b.", - "class": "sp800-53A" - } - ], - "prose": "backups of system-level information contained in the system are conducted {{ insert: param, cp-09_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09c.", - "class": "sp800-53A" - } - ], - "prose": "backups of system documentation, including security- and privacy-related documentation are conducted {{ insert: param, cp-09_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the confidentiality of backup information is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of backup information is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09d.[03]", - "class": "sp800-53A" - } - ], - "prose": "the availability of backup information is protected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nbackup storage location(s)\n\nsystem backup logs or records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability and Integrity", - "params": [ - { - "id": "cp-9.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-09.01_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "cp-09.01_odp.01", - "props": [ - { - "name": "label", - "value": "CP-09(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test backup information for media reliability is defined;" - } - ] - }, - { - "id": "cp-09.01_odp.02", - "props": [ - { - "name": "label", - "value": "CP-09(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test backup information for information integrity is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(01)" - }, - { - "name": "sort-id", - "value": "cp-09.01" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "prose": "Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "backup information is tested {{ insert: param, cp-09.01_odp.01 }} to verify media reliability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "backup information is tested {{ insert: param, cp-09.01_odp.02 }} to verify information integrity." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "cp-9.2", - "class": "SP800-53-enhancement", - "title": "Test Restoration Using Sampling", - "props": [ - { - "name": "label", - "value": "CP-09(02)" - }, - { - "name": "sort-id", - "value": "cp-09.02" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.2_smt", - "name": "statement", - "prose": "Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing." - }, - { - "id": "cp-9.2_gdn", - "name": "guidance", - "prose": "Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(02)", - "class": "sp800-53A" - } - ], - "prose": "a sample of backup information in the restoration of selected system functions is used as part of contingency plan testing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with contingency planning/contingency plan testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "params": [ - { - "id": "cp-09.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.3_prm_1" - }, - { - "name": "label", - "value": "CP-09(03)_ODP" - } - ], - "label": "critical system software and other security-related information", - "guidelines": [ - { - "prose": "critical system software and other security-related information backups to be stored in a separate facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(03)" - }, - { - "name": "sort-id", - "value": "cp-09.03" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "Store backup copies of {{ insert: param, cp-09.03_odp }} in a separate facility or in a fire rated container that is not collocated with the operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(03)", - "class": "sp800-53A" - } - ], - "prose": "backup copies of {{ insert: param, cp-09.03_odp }} are stored in a separate facility or in a fire rated container that is not collocated with the operational system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nbackup storage location(s)\n\nsystem backup configurations and associated documentation\n\nsystem backup logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-9.4", - "class": "SP800-53-enhancement", - "title": "Protection from Unauthorized Modification", - "props": [ - { - "name": "label", - "value": "CP-09(04)" - }, - { - "name": "sort-id", - "value": "cp-09.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-9.5", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage Site", - "params": [ - { - "id": "cp-9.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-09.05_odp.01" - } - ], - "label": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" - }, - { - "id": "cp-09.05_odp.01", - "props": [ - { - "name": "label", - "value": "CP-09(05)_ODP[01]" - } - ], - "label": "time period consistent with the recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives is defined;" - } - ] - }, - { - "id": "cp-09.05_odp.02", - "props": [ - { - "name": "label", - "value": "CP-09(05)_ODP[02]" - } - ], - "label": "transfer rate consistent with the recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "transfer rate consistent with recovery time and recovery point objectives is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(05)" - }, - { - "name": "sort-id", - "value": "cp-09.05" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.5_smt", - "name": "statement", - "prose": "Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}." - }, - { - "id": "cp-9.5_gdn", - "name": "guidance", - "prose": "System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "system backup information is transferred to the alternate storage site for {{ insert: param, cp-09.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "system backup information is transferred to the alternate storage site {{ insert: param, cp-09.05_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup logs or records\n\nevidence of system backup information transferred to alternate storage site\n\nalternate storage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for transferring system backups to the alternate storage site\n\nautomated mechanisms supporting and/or implementing system backups\n\nautomated mechanisms supporting and/or implementing information transfer to the alternate storage site" - } - ] - } - ] - }, - { - "id": "cp-9.6", - "class": "SP800-53-enhancement", - "title": "Redundant Secondary System", - "props": [ - { - "name": "label", - "value": "CP-09(06)" - }, - { - "name": "sort-id", - "value": "cp-09.06" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.6_smt", - "name": "statement", - "prose": "Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations." - }, - { - "id": "cp-9.6_gdn", - "name": "guidance", - "prose": "The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "system backup is conducted by maintaining a redundant secondary system that is not collocated with the primary system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "system backup is conducted by maintaining a redundant secondary system that can be activated without loss of information or disruption to operations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for the redundant secondary system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining redundant secondary systems\n\nautomated mechanisms supporting and/or implementing system backups\n\nautomated mechanisms supporting and/or implementing information transfer to a redundant secondary system" - } - ] - } - ] - }, - { - "id": "cp-9.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization for Deletion or Destruction", - "params": [ - { - "id": "cp-09.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.7_prm_1" - }, - { - "name": "label", - "value": "CP-09(07)_ODP" - } - ], - "label": "backup information", - "guidelines": [ - { - "prose": "backup information for which to enforce dual authorization in order to delete or destroy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(07)" - }, - { - "name": "sort-id", - "value": "cp-09.07" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }}." - }, - { - "id": "cp-9.7_gdn", - "name": "guidance", - "prose": "Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(07)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for the deletion or destruction of {{ insert: param, cp-09.07_odp }} is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem generated list of dual authorization credentials or rules\n\nlogs or records of deletion or destruction of backup information\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing dual authorization\n\nautomated mechanisms supporting and/or implementing deletion/destruction of backup information" - } - ] - } - ] - }, - { - "id": "cp-9.8", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "cp-09.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-9.8_prm_1" - }, - { - "name": "label", - "value": "CP-09(08)_ODP" - } - ], - "label": "backup information", - "guidelines": [ - { - "prose": "backup information to protect against unauthorized disclosure and modification is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-09(08)" - }, - { - "name": "sort-id", - "value": "cp-09.08" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.8_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}." - }, - { - "id": "cp-9.8_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-09(08)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-09(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-09(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system backup responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-09(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection of backup information" - } - ] - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "System Recovery and Reconstitution", - "params": [ - { - "id": "cp-10_prm_1", - "props": [ - { - "name": "aggregates", - "value": "cp-10_odp.01" - } - ], - "label": "organization-defined time period consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-10_odp.01", - "props": [ - { - "name": "label", - "value": "CP-10_ODP[01]" - } - ], - "label": "time period consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives for the recovery of the system is determined;" - } - ] - }, - { - "id": "cp-10_odp.02", - "props": [ - { - "name": "label", - "value": "CP-10_ODP[02]" - } - ], - "label": "time period consistent with recovery time and recovery point objectives", - "guidelines": [ - { - "prose": "time period consistent with recovery time and recovery point objectives for the reconstitution of the system is determined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, cp-10_prm_1 }} after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10[01]", - "class": "sp800-53A" - } - ], - "prose": "the recovery of the system to a known state is provided within {{ insert: param, cp-10_odp.01 }} after a disruption, compromise, or failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10[02]", - "class": "sp800-53A" - } - ], - "prose": "a reconstitution of the system to a known state is provided within {{ insert: param, cp-10_odp.02 }} after a disruption, compromise, or failure." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system backup\n\ncontingency plan\n\nsystem backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing system recovery and reconstitution operations\n\nautomated mechanisms supporting and/or implementing system recovery and reconstitution operations" - } - ] - } - ], - "controls": [ - { - "id": "cp-10.1", - "class": "SP800-53-enhancement", - "title": "Contingency Plan Testing", - "props": [ - { - "name": "label", - "value": "CP-10(01)" - }, - { - "name": "sort-id", - "value": "cp-10.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "props": [ - { - "name": "label", - "value": "CP-10(02)" - }, - { - "name": "sort-id", - "value": "cp-10.02" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "Implement transaction recovery for systems that are transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(02)", - "class": "sp800-53A" - } - ], - "prose": "transaction recovery is implemented for systems that are transaction-based." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem transaction recovery records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for transaction recovery\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transaction recovery capability" - } - ] - } - ] - }, - { - "id": "cp-10.3", - "class": "SP800-53-enhancement", - "title": "Compensating Security Controls", - "props": [ - { - "name": "label", - "value": "CP-10(03)" - }, - { - "name": "sort-id", - "value": "cp-10.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "parts": [ - { - "id": "cp-10.3_smt", - "name": "statement", - "prose": "Addressed through tailoring." - } - ] - }, - { - "id": "cp-10.4", - "class": "SP800-53-enhancement", - "title": "Restore Within Time Period", - "params": [ - { - "id": "cp-10.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-10.4_prm_1" - }, - { - "name": "label", - "value": "CP-10(04)_ODP" - } - ], - "label": "restoration time periods", - "guidelines": [ - { - "prose": "restoration time period within which to restore system components to a known, operational state is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-10(04)" - }, - { - "name": "sort-id", - "value": "cp-10.04" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.4_smt", - "name": "statement", - "prose": "Provide the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components." - }, - { - "id": "cp-10.4_gdn", - "name": "guidance", - "prose": "Restoration of system components includes reimaging, which restores the components to known, operational states." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(04)", - "class": "sp800-53A" - } - ], - "prose": "the capability to restore system components within {{ insert: param, cp-10.04_odp }} from configuration-controlled and integrity-protected information representing a known, operational state for the components is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nevidence of system recovery and reconstitution operations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery/reconstitution of system information" - } - ] - } - ] - }, - { - "id": "cp-10.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "props": [ - { - "name": "label", - "value": "CP-10(05)" - }, - { - "name": "sort-id", - "value": "cp-10.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.6", - "class": "SP800-53-enhancement", - "title": "Component Protection", - "props": [ - { - "name": "label", - "value": "CP-10(06)" - }, - { - "name": "sort-id", - "value": "cp-10.06" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.6_smt", - "name": "statement", - "prose": "Protect system components used for recovery and reconstitution." - }, - { - "id": "cp-10.6_gdn", - "name": "guidance", - "prose": "Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-10(06)", - "class": "sp800-53A" - } - ], - "prose": "system components used for recovery and reconstitution are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing system recovery and reconstitution\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogical access credentials\n\nphysical access credentials\n\nlogical access authorization records\n\nphysical access authorization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system recovery and reconstitution responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting backup and restoration of hardware, firmware, and software\n\nautomated mechanisms supporting and/or implementing protection of backups and restoration of hardware, firmware, and software" - } - ] - } - ] - } - ] - }, - { - "id": "cp-11", - "class": "SP800-53", - "title": "Alternate Communications Protocols", - "params": [ - { - "id": "cp-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-11_prm_1" - }, - { - "name": "label", - "value": "CP-11_ODP" - } - ], - "label": "alternative communications protocols", - "guidelines": [ - { - "prose": "alternative communications protocols in support of maintaining continuity of operations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-11" - }, - { - "name": "sort-id", - "value": "cp-11" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-11_smt", - "name": "statement", - "prose": "Provide the capability to employ {{ insert: param, cp-11_odp }} in support of maintaining continuity of operations." - }, - { - "id": "cp-11_gdn", - "name": "guidance", - "prose": "Contingency plans and the contingency training or testing associated with those plans incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-11", - "class": "sp800-53A" - } - ], - "prose": "the capability to employ {{ insert: param, cp-11_odp }} are provided in support of maintaining continuity of operations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternative communications protocols\n\ncontingency plan\n\ncontinuity of operations plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of alternative communications protocols supporting continuity of operations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation responsibilities\n\norganizational personnel with continuity of operations planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms employing alternative communications protocols" - } - ] - } - ] - }, - { - "id": "cp-12", - "class": "SP800-53", - "title": "Safe Mode", - "params": [ - { - "id": "cp-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-12_prm_2" - }, - { - "name": "label", - "value": "CP-12_ODP[01]" - } - ], - "label": "restrictions for safe mode of operation", - "guidelines": [ - { - "prose": "restrictions for safe mode of operation are defined;" - } - ] - }, - { - "id": "cp-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-12_prm_1" - }, - { - "name": "label", - "value": "CP-12_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions detected to enter a safe mode of operation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-12" - }, - { - "name": "sort-id", - "value": "cp-12" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#si-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-12_smt", - "name": "statement", - "prose": "When {{ insert: param, cp-12_odp.02 }} are detected, enter a safe mode of operation with {{ insert: param, cp-12_odp.01 }}." - }, - { - "id": "cp-12_gdn", - "name": "guidance", - "prose": "For systems that support critical mission and business functions—including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments)—organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations that systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-12", - "class": "sp800-53A" - } - ], - "prose": "a safe mode of operation is entered with {{ insert: param, cp-12_odp.01 }} when {{ insert: param, cp-12_odp.02 }} are detected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing safe mode of operation for the system\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem administration manuals\n\nsystem operation manuals\n\nsystem installation manuals\n\ncontingency plan test records\n\nincident handling records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing safe mode of operation" - } - ] - } - ] - }, - { - "id": "cp-13", - "class": "SP800-53", - "title": "Alternative Security Mechanisms", - "params": [ - { - "id": "cp-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-13_prm_1" - }, - { - "name": "label", - "value": "CP-13_ODP[01]" - } - ], - "label": "alternative or supplemental security mechanisms", - "guidelines": [ - { - "prose": "alternative or supplemental security mechanisms are defined;" - } - ] - }, - { - "id": "cp-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "cp-13_prm_2" - }, - { - "name": "label", - "value": "CP-13_ODP[02]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "CP-13" - }, - { - "name": "sort-id", - "value": "cp-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-13_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-13_odp.01 }} for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "id": "cp-13_gdn", - "name": "guidance", - "prose": "Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are only applied to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue one-time pads to senior executives, officials, and system administrators if multi-factor tokens—the standard means for achieving secure authentication— are compromised." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "CP-13", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, cp-13_odp.01 }} are employed for satisfying {{ insert: param, cp-13_odp.02 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\n\nprocedures addressing alternate security mechanisms\n\ncontingency plan\n\ncontinuity of operations plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncontingency plan test records\n\ncontingency plan test results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "system capability implementing alternative security mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ia-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ia-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-01_odp.01", - "props": [ - { - "name": "label", - "value": "IA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the identification and authentication policy is to be disseminated are defined;" - } - ] - }, - { - "id": "ia-01_odp.02", - "props": [ - { - "name": "label", - "value": "IA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the identification and authentication procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ia-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_2" - }, - { - "name": "label", - "value": "IA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ia-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_3" - }, - { - "name": "label", - "value": "IA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the identification and authentication policy and procedures is defined;" - } - ] - }, - { - "id": "ia-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_4" - }, - { - "name": "label", - "value": "IA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current identification and authentication policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ia-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_5" - }, - { - "name": "label", - "value": "IA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current identification and authentication policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ia-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_6" - }, - { - "name": "label", - "value": "IA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current identification and authentication procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ia-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-1_prm_7" - }, - { - "name": "label", - "value": "IA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require identification and authentication procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-01" - }, - { - "name": "sort-id", - "value": "ia-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ia-01_odp.03 }} identification and authentication policy that:", - "parts": [ - { - "id": "ia-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ia-01_odp.04 }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and" - }, - { - "id": "ia-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current identification and authentication:", - "parts": [ - { - "id": "ia-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ia-01_odp.05 }} and following {{ insert: param, ia-01_odp.06 }} ; and" - }, - { - "id": "ia-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ia-01_odp.07 }} and following {{ insert: param, ia-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an identification and authentication policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the identification and authentication policy is disseminated to {{ insert: param, ia-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the identification and authentication procedures are disseminated to {{ insert: param, ia-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.03 }} identification and authentication policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ia-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication policy is reviewed and updated {{ insert: param, ia-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication policy is reviewed and updated following {{ insert: param, ia-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication procedures are reviewed and updated {{ insert: param, ia-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current identification and authentication procedures are reviewed and updated following {{ insert: param, ia-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\nlist of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings)\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-02" - }, - { - "name": "sort-id", - "value": "ia-02" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#d9e036ba-6eec-46a6-9340-b0bf1fea23b4", - "rel": "reference" - }, - { - "href": "#e8552d48-cf41-40aa-8b06-f45f7fb4706c", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#4b38e961-1125-4a5b-aa35-1d6c02846dad", - "rel": "reference" - }, - { - "href": "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "rel": "reference" - }, - { - "href": "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12](#f16e438e-7114-4144-bfe2-2dfcad8cb2d0) . Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in [AC-14](#ac-14) and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity.\n\nOrganizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks.\n\nThe use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in [IA-8](#ia-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational users are uniquely identified and authenticated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02[02]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of authenticated organizational users is associated with processes acting on behalf of those users." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\nsystem security plan, system design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Multi-factor Authentication to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(01)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for access to privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "prose": "Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for access to privileged accounts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Multi-factor Authentication to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(02)" - }, - { - "name": "sort-id", - "value": "ia-02.02" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for access to non-privileged accounts." - }, - { - "id": "ia-2.2_gdn", - "name": "guidance", - "prose": "Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(02)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication for access to non-privileged accounts is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(03)" - }, - { - "name": "sort-id", - "value": "ia-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.4", - "class": "SP800-53-enhancement", - "title": "Local Access to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-02(04)" - }, - { - "name": "sort-id", - "value": "ia-02.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Individual Authentication with Group Authentication", - "props": [ - { - "name": "label", - "value": "IA-02(05)" - }, - { - "name": "sort-id", - "value": "ia-02.05" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(05)", - "class": "sp800-53A" - } - ], - "prose": "users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authentication capability for group accounts" - } - ] - } - ] - }, - { - "id": "ia-2.6", - "class": "SP800-53-enhancement", - "title": "Access to Accounts —separate Device", - "params": [ - { - "id": "ia-02.06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_1" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "network", - "remote" - ] - } - }, - { - "id": "ia-02.06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_2" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - }, - { - "id": "ia-02.06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.6_prm_3" - }, - { - "name": "label", - "value": "IA-02(06)_ODP[03]" - } - ], - "label": "strength of mechanism requirements", - "guidelines": [ - { - "prose": "the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(06)" - }, - { - "name": "sort-id", - "value": "ia-02.06" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.6_smt", - "name": "statement", - "prose": "Implement multi-factor authentication for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that:", - "parts": [ - { - "id": "ia-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "One of the factors is provided by a device separate from the system gaining access; and" - }, - { - "id": "ia-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "The device meets {{ insert: param, ia-02.06_odp.03 }}." - } - ] - }, - { - "id": "ia-2.6_gdn", - "name": "guidance", - "prose": "The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that one of the factors is provided by a device separate from the system gaining access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that the device meets {{ insert: param, ia-02.06_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multi-factor authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.7", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts — Separate Device", - "props": [ - { - "name": "label", - "value": "IA-02(07)" - }, - { - "name": "sort-id", - "value": "ia-02.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Access to Accounts — Replay Resistant", - "params": [ - { - "id": "ia-02.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.8_prm_1" - }, - { - "name": "label", - "value": "IA-02(08)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(08)" - }, - { - "name": "sort-id", - "value": "ia-02.08" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "Implement replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }}." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(08)", - "class": "sp800-53A" - } - ], - "prose": "replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of privileged system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing replay-resistant authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-2.9", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts — Replay Resistant", - "props": [ - { - "name": "label", - "value": "IA-02(09)" - }, - { - "name": "sort-id", - "value": "ia-02.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.10", - "class": "SP800-53-enhancement", - "title": "Single Sign-on", - "params": [ - { - "id": "ia-02.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.10_prm_1" - }, - { - "name": "label", - "value": "IA-02(10)_ODP" - } - ], - "label": "system accounts and services", - "guidelines": [ - { - "prose": "system accounts and services for which a single sign-on capability must be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(10)" - }, - { - "name": "sort-id", - "value": "ia-02.10" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.10_smt", - "name": "statement", - "prose": "Provide a single sign-on capability for {{ insert: param, ia-02.10_odp }}." - }, - { - "id": "ia-2.10_gdn", - "name": "guidance", - "prose": "Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multi-factor authentication for applications and systems (existing and new) that may not be able to natively support multi-factor authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(10)", - "class": "sp800-53A" - } - ], - "prose": "a single sign-on capability is provided for {{ insert: param, ia-02.10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing single sign-on capability for system accounts and services\n\nprocedures addressing identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts and services requiring single sign-on capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing single sign-on capability for system accounts and services" - } - ] - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access — Separate Device", - "props": [ - { - "name": "label", - "value": "IA-02(11)" - }, - { - "name": "sort-id", - "value": "ia-02.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "props": [ - { - "name": "label", - "value": "IA-02(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials." - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03) . Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166](#e8552d48-cf41-40aa-8b06-f45f7fb4706c) . The DOD Common Access Card (CAC) is an example of a PIV credential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(12)", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials are accepted and electronically verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-2.13", - "class": "SP800-53-enhancement", - "title": "Out-of-band Authentication", - "params": [ - { - "id": "ia-02.13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.13_prm_2" - }, - { - "name": "label", - "value": "IA-02(13)_ODP[01]" - } - ], - "label": "out-of-band authentication", - "guidelines": [ - { - "prose": "out-of-band authentication mechanisms to be implemented are defined;" - } - ] - }, - { - "id": "ia-02.13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-2.13_prm_1" - }, - { - "name": "label", - "value": "IA-02(13)_ODP[02]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which out-of-band authentication is to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-02(13)" - }, - { - "name": "sort-id", - "value": "ia-02.13" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "required" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.13_smt", - "name": "statement", - "prose": "Implement the following out-of-band authentication mechanisms under {{ insert: param, ia-02.13_odp.02 }}: {{ insert: param, ia-02.13_odp.01 }}." - }, - { - "id": "ia-2.13_gdn", - "name": "guidance", - "prose": "Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path) is used to identify and authenticate users or devices and is generally the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected \"man-in the-middle\" attacks. The conditions or criteria for activation include suspicious activities, new threat indicators, elevated threat levels, or the impact or classification level of information in requested transactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-02(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-02.13_odp.01 }} mechanisms are implemented under {{ insert: param, ia-02.13_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-02(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem-generated list of out-of-band authentication paths\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-02(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-02(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing out-of-band authentication capability" - } - ] - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "params": [ - { - "id": "ia-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3_prm_1" - }, - { - "name": "label", - "value": "IA-03_ODP[01]" - } - ], - "label": "devices and/or types of devices", - "guidelines": [ - { - "prose": "devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined;" - } - ] - }, - { - "id": "ia-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3_prm_2" - }, - { - "name": "label", - "value": "IA-03_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-03" - }, - { - "name": "sort-id", - "value": "ia-03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-03_odp.01 }} before establishing a {{ insert: param, ia-03_odp.02 }} connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-03_odp.01 }} are uniquely identified and authenticated before establishing a {{ insert: param, ia-03_odp.02 }} connection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\nsystem configuration settings and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-3.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Authentication", - "params": [ - { - "id": "ia-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.1_prm_1" - }, - { - "name": "label", - "value": "IA-03(01)_ODP[01]" - } - ], - "label": "devices and/or types of devices", - "guidelines": [ - { - "prose": "devices and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more connections are defined;" - } - ] - }, - { - "id": "ia-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.1_prm_2" - }, - { - "name": "label", - "value": "IA-03(01)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(01)" - }, - { - "name": "sort-id", - "value": "ia-03.01" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.1_smt", - "name": "statement", - "prose": "Authenticate {{ insert: param, ia-03.01_odp.01 }} before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "id": "ia-3.1_gdn", - "name": "guidance", - "prose": "A local connection is a connection with a device that communicates without the use of a network. A network connection is a connection with a device that communicates through a network. A remote connection is a connection with a device that communicates through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-03.01_odp.01 }} are authenticated before establishing {{ insert: param, ia-03.01_odp.02 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\nsystem configuration settings and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device authentication capability\n\ncryptographically based bidirectional authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-3.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Network Authentication", - "props": [ - { - "name": "label", - "value": "IA-03(02)" - }, - { - "name": "sort-id", - "value": "ia-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-3.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Address Allocation", - "params": [ - { - "id": "ia-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.3_prm_1" - }, - { - "name": "label", - "value": "IA-03(03)_ODP" - } - ], - "label": "lease information and lease duration", - "guidelines": [ - { - "prose": "lease information and lease duration to be employed to standardize dynamic address allocation for devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(03)" - }, - { - "name": "sort-id", - "value": "ia-03.03" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.3_smt", - "name": "statement", - "parts": [ - { - "id": "ia-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with {{ insert: param, ia-03.03_odp }} ; and" - }, - { - "id": "ia-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit lease information when assigned to a device." - } - ] - }, - { - "id": "ia-3.3_gdn", - "name": "guidance", - "prose": "The Dynamic Host Configuration Protocol (DHCP) is an example of a means by which clients can dynamically receive network address assignments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "dynamic address allocation lease information and lease duration assigned to devices where addresses are allocated dynamically are standardized in accordance with {{ insert: param, ia-03.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "lease information is audited when assigned to a device." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nevidence of lease information and lease duration assigned to devices\n\ndevice connection reports\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing dynamic address allocation\n\nautomated mechanisms supporting and/or implanting auditing of lease information" - } - ] - } - ] - }, - { - "id": "ia-3.4", - "class": "SP800-53-enhancement", - "title": "Device Attestation", - "params": [ - { - "id": "ia-03.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-3.4_prm_1" - }, - { - "name": "label", - "value": "IA-03(04)_ODP" - } - ], - "label": "configuration management process", - "guidelines": [ - { - "prose": "configuration management process to be employed to handle device identification and authentication based on attestation is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-03(04)" - }, - { - "name": "sort-id", - "value": "ia-03.04" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.4_smt", - "name": "statement", - "prose": "Handle device identification and authentication based on attestation by {{ insert: param, ia-03.04_odp }}." - }, - { - "id": "ia-3.4_gdn", - "name": "guidance", - "prose": "Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and do not disrupt identification and authentication to other devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-03(04)", - "class": "sp800-53A" - } - ], - "prose": "device identification and authentication are handled based on attestation by {{ insert: param, ia-03.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing device identification and authentication\n\nprocedures addressing device configuration management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nconfiguration management records\n\nchange control records\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing configuration management\n\ncryptographic mechanisms supporting device attestation" - } - ] - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "params": [ - { - "id": "ia-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4_prm_1" - }, - { - "name": "label", - "value": "IA-04_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles from whom authorization must be received to assign an identifier are defined;" - } - ] - }, - { - "id": "ia-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4_prm_2" - }, - { - "name": "label", - "value": "IA-04_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for preventing reuse of identifiers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04" - }, - { - "name": "sort-id", - "value": "ia-04" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-12", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "Manage system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign an individual, group, role, service, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, service, or device; and" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}." - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of [AC-2](#ac-2) use account names provided by [IA-4](#ia-4) . Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04a.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign to an individual, group, role, or device identifier;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04b.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04c.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by assigning the identifier to the intended individual, group, role, service, or device;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04d.", - "class": "sp800-53A" - } - ], - "prose": "system identifiers are managed by preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ], - "controls": [ - { - "id": "ia-4.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Account Identifiers as Public Identifiers", - "props": [ - { - "name": "label", - "value": "IA-04(01)" - }, - { - "name": "sort-id", - "value": "ia-04.01" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.1_smt", - "name": "statement", - "prose": "Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts." - }, - { - "id": "ia-4.1_gdn", - "name": "guidance", - "prose": "Prohibiting account identifiers as public identifiers applies to any publicly disclosed account identifier used for communication such as, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier, such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and credentials to protect the account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the use of system account identifiers that are the same as public identifiers is prohibited for individual accounts." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.2", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-04(02)" - }, - { - "name": "sort-id", - "value": "ia-04.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.3", - "class": "SP800-53-enhancement", - "title": "Multiple Forms of Certification", - "props": [ - { - "name": "label", - "value": "IA-04(03)" - }, - { - "name": "sort-id", - "value": "ia-04.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "params": [ - { - "id": "ia-04.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.4_prm_1" - }, - { - "name": "label", - "value": "IA-04(04)_ODP" - } - ], - "label": "characteristics used to identify individual status", - "guidelines": [ - { - "prose": "characteristics used to identify individual status is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(04)" - }, - { - "name": "sort-id", - "value": "ia-04.04" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(04)", - "class": "sp800-53A" - } - ], - "prose": "individual identifiers are managed by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nlist of characteristics identifying individual status\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.5", - "class": "SP800-53-enhancement", - "title": "Dynamic Management", - "params": [ - { - "id": "ia-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.5_prm_1" - }, - { - "name": "label", - "value": "IA-04(05)_ODP" - } - ], - "label": "dynamic identifier policy", - "guidelines": [ - { - "prose": "a dynamic identifier policy for managing individual identifiers is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(05)" - }, - { - "name": "sort-id", - "value": "ia-04.05" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.5_smt", - "name": "statement", - "prose": "Manage individual identifiers dynamically in accordance with {{ insert: param, ia-04.05_odp }}." - }, - { - "id": "ia-4.5_gdn", - "name": "guidance", - "prose": "In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at runtime for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate credentials and related identifiers are essential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(05)", - "class": "sp800-53A" - } - ], - "prose": "individual identifiers are dynamically managed in accordance with {{ insert: param, ia-04.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing dynamic identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.6", - "class": "SP800-53-enhancement", - "title": "Cross-organization Management", - "params": [ - { - "id": "ia-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.6_prm_1" - }, - { - "name": "label", - "value": "IA-04(06)_ODP" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations with whom to coordinate the cross-organization management of identifiers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(06)" - }, - { - "name": "sort-id", - "value": "ia-04.06" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.6_smt", - "name": "statement", - "prose": "Coordinate with the following external organizations for cross-organization management of identifiers: {{ insert: param, ia-04.06_odp }}." - }, - { - "id": "ia-4.6_gdn", - "name": "guidance", - "prose": "Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(06)", - "class": "sp800-53A" - } - ], - "prose": "cross-organization management of identifiers is coordinated with {{ insert: param, ia-04.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.7", - "class": "SP800-53-enhancement", - "title": "In-person Registration", - "props": [ - { - "name": "label", - "value": "IA-04(07)" - }, - { - "name": "sort-id", - "value": "ia-04.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.8", - "class": "SP800-53-enhancement", - "title": "Pairwise Pseudonymous Identifiers", - "props": [ - { - "name": "label", - "value": "IA-04(08)" - }, - { - "name": "sort-id", - "value": "ia-04.08" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.8_smt", - "name": "statement", - "prose": "Generate pairwise pseudonymous identifiers." - }, - { - "id": "ia-4.8_gdn", - "name": "guidance", - "prose": "A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identity provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers with no identifying information about a subscriber discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(08)", - "class": "sp800-53A" - } - ], - "prose": "pairwise pseudonymous identifiers are generated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-4.9", - "class": "SP800-53-enhancement", - "title": "Attribute Maintenance and Protection", - "params": [ - { - "id": "ia-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-4.9_prm_1" - }, - { - "name": "label", - "value": "IA-04(09)_ODP" - } - ], - "label": "protected central storage", - "guidelines": [ - { - "prose": "protected central storage used to maintain the attributes for each uniquely identified individual, device, or service is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-04(09)" - }, - { - "name": "sort-id", - "value": "ia-04.09" - } - ], - "links": [ - { - "href": "#ia-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-4.9_smt", - "name": "statement", - "prose": "Maintain the attributes for each uniquely identified individual, device, or service in {{ insert: param, ia-04.09_odp }}." - }, - { - "id": "ia-4.9_gdn", - "name": "guidance", - "prose": "For each of the entities covered in [IA-2](#ia-2), [IA-3](#ia-3), [IA-8](#ia-8) , and [IA-9](#ia-9) , it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-04(09)", - "class": "sp800-53A" - } - ], - "prose": "the attributes for each uniquely identified individual, device, or service are maintained in {{ insert: param, ia-04.09_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "params": [ - { - "id": "ia-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5_prm_1" - }, - { - "name": "label", - "value": "IA-05_ODP[01]" - } - ], - "label": "time period by authenticator type", - "guidelines": [ - { - "prose": "a time period for changing or refreshing authenticators by authenticator type is defined;" - } - ] - }, - { - "id": "ia-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5_prm_2" - }, - { - "name": "label", - "value": "IA-05_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that trigger the change or refreshment of authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05" - }, - { - "name": "sort-id", - "value": "ia-05" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "rel": "reference" - }, - { - "href": "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "Manage system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for any authenticators issued by the organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default authenticators prior to first use;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Changing or refreshing authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and modification;" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Changing authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control [PL-4](#pl-4) or [PS-6](#ps-6) for authenticators in the possession of individuals and by controls [AC-3](#ac-3), [AC-6](#ac-6) , and [SC-28](#sc-28) for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges.\n\nSystems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05a.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the verification of the identity of the individual, group, role, service, or device receiving the authenticator as part of the initial authenticator distribution;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05b.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the establishment of initial authenticator content for any authenticators issued by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05c.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed to ensure that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05d.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the establishment and implementation of administrative procedures for initial authenticator distribution; lost, compromised, or damaged authenticators; and the revocation of authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05e.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change of default authenticators prior to first use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05f.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change or refreshment of authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05g.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the protection of authenticator content from unauthorized disclosure and modification;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.[01]", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the requirement for individuals to take specific controls to protect authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05h.[02]", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the requirement for devices to implement specific controls to protect authenticators;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05i.", - "class": "sp800-53A" - } - ], - "prose": "system authenticators are managed through the change of authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\naddressing authenticator management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system authenticator types\n\nchange control records associated with managing system authenticators\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "params": [ - { - "id": "ia-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.1_prm_1" - }, - { - "name": "label", - "value": "IA-05(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update the list of commonly used, expected, or compromised passwords is defined;" - } - ] - }, - { - "id": "ia-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.1_prm_2" - }, - { - "name": "label", - "value": "IA-05(01)_ODP[02]" - } - ], - "label": "composition and complexity rules", - "guidelines": [ - { - "prose": "authenticator composition and complexity rules are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(01)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "For password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a);" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Transmit passwords only over cryptographically-protected channels;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Store passwords using an approved salted key derivation function, preferably using a keyed hash;" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Require immediate selection of a new password upon account recovery;" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allow user selection of long passwords and passphrases, including spaces and all printable characters;" - }, - { - "id": "ia-5.1_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Employ automated tools to assist the user in selecting strong password authenticators; and" - }, - { - "id": "ia-5.1_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Enforce the following composition and complexity rules: {{ insert: param, ia-05.01_odp.02 }}." - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, a list of commonly used, expected, or compromised passwords is maintained and updated {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication when passwords are created or updated by users, the passwords are verified not to be found on the list of commonly used, expected, or compromised passwords in IA-05(01)(a);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, passwords are only transmitted over cryptographically protected channels;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(d)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, passwords are stored using an approved salted key derivation function, preferably using a keyed hash;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(e)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, immediate selection of a new password is required upon account recovery;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(f)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, user selection of long passwords and passphrases is allowed, including spaces and all printable characters;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(g)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, automated tools are employed to assist the user in selecting strong password authenticators;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(01)(h)", - "class": "sp800-53A" - } - ], - "prose": "for password-based authentication, {{ insert: param, ia-05.01_odp.02 }} are enforced." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Public Key-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-05(02)" - }, - { - "name": "sort-id", - "value": "ia-05.02" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "For public key-based authentication:", - "parts": [ - { - "id": "ia-5.2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Enforce authorized access to the corresponding private key; and" - }, - { - "id": "ia-5.2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Map the authenticated identity to the account of the individual or group; and" - } - ] - }, - { - "id": "ia-5.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "When public key infrastructure (PKI) is used:", - "parts": [ - { - "id": "ia-5.2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and" - }, - { - "id": "ia-5.2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Implement a local cache of revocation data to support path discovery and validation." - } - ] - } - ] - }, - { - "id": "ia-5.2_gdn", - "name": "guidance", - "prose": "Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)(01)", - "class": "sp800-53A" - } - ], - "prose": "authorized access to the corresponding private key is enforced for public key-based authentication;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(a)(02)", - "class": "sp800-53A" - } - ], - "prose": "the authenticated identity is mapped to the account of the individual or group for public key-based authentication;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(02)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nPKI certification validation records\n\nPKI certification revocation lists\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with PKI-based, authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Registration", - "props": [ - { - "name": "label", - "value": "IA-05(03)" - }, - { - "name": "sort-id", - "value": "ia-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "props": [ - { - "name": "label", - "value": "IA-05(04)" - }, - { - "name": "sort-id", - "value": "ia-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.5", - "class": "SP800-53-enhancement", - "title": "Change Authenticators Prior to Delivery", - "props": [ - { - "name": "label", - "value": "IA-05(05)" - }, - { - "name": "sort-id", - "value": "ia-05.05" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.5_smt", - "name": "statement", - "prose": "Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "id": "ia-5.5_gdn", - "name": "guidance", - "prose": "Changing authenticators prior to the delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "developers and installers of system components are required to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nsystem and services acquisition policy\n\nprocedures addressing authenticator management\n\nprocedures addressing the integration of security requirements into the acquisition process\n\nacquisition documentation\n\nacquisition contracts for system procurements or services\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security, acquisition, and contracting responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(06)" - }, - { - "name": "sort-id", - "value": "ia-05.06" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ra-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(06)", - "class": "sp800-53A" - } - ], - "prose": "authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity categorization documentation for the system\n\nsecurity assessments of authenticator protections\n\nrisk assessment results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel implementing and/or maintaining authenticator protections\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability\n\nautomated mechanisms protecting authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(07)" - }, - { - "name": "sort-id", - "value": "ia-05.07" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(07)", - "class": "sp800-53A" - } - ], - "prose": "unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing authenticator management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlogical access scripts\n\napplication code reviews for detecting unencrypted static authenticators\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability\n\nautomated mechanisms implementing authentication in applications" - } - ] - } - ] - }, - { - "id": "ia-5.8", - "class": "SP800-53-enhancement", - "title": "Multiple System Accounts", - "params": [ - { - "id": "ia-05.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.8_prm_1" - }, - { - "name": "label", - "value": "IA-05(08)_ODP" - } - ], - "label": "security controls", - "guidelines": [ - { - "prose": "security controls implemented to manage the risk of compromise due to individuals having accounts on multiple systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(08)" - }, - { - "name": "sort-id", - "value": "ia-05.08" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ia-05.08_odp }} to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "id": "ia-5.8_gdn", - "name": "guidance", - "prose": "When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see [PL-4](#pl-4) ) and access agreements (see [PS-6](#ps-6) ) to mitigate the risk of multiple system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.08_odp }} are implemented to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nlist of individuals having accounts on multiple systems\n\nlist of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple systems\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards for authenticator management" - } - ] - } - ] - }, - { - "id": "ia-5.9", - "class": "SP800-53-enhancement", - "title": "Federated Credential Management", - "params": [ - { - "id": "ia-05.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.9_prm_1" - }, - { - "name": "label", - "value": "IA-05(09)_ODP" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations to be used for federating credentials are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(09)" - }, - { - "name": "sort-id", - "value": "ia-05.09" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.9_smt", - "name": "statement", - "prose": "Use the following external organizations to federate credentials: {{ insert: param, ia-05.09_odp }}." - }, - { - "id": "ia-5.9_gdn", - "name": "guidance", - "prose": "Federation provides organizations with the capability to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information. Using a specific list of approved external organizations for authentication helps to ensure that those organizations are vetted and trusted." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.09_odp }} are used to federate credentials." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nprocedures addressing account management\n\nsystem security plan\n\nsecurity agreements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards for authenticator management" - } - ] - } - ] - }, - { - "id": "ia-5.10", - "class": "SP800-53-enhancement", - "title": "Dynamic Credential Binding", - "params": [ - { - "id": "ia-05.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.10_prm_1" - }, - { - "name": "label", - "value": "IA-05(10)_ODP" - } - ], - "label": "binding rules", - "guidelines": [ - { - "prose": "rules for dynamically binding identities and authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(10)" - }, - { - "name": "sort-id", - "value": "ia-05.10" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.10_smt", - "name": "statement", - "prose": "Bind identities and authenticators dynamically using the following rules: {{ insert: param, ia-05.10_odp }}." - }, - { - "id": "ia-5.10_gdn", - "name": "guidance", - "prose": "Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(10)", - "class": "sp800-53A" - } - ], - "prose": "identities and authenticators are dynamically bound using {{ insert: param, ia-05.10_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing identifier management capability\n\nautomated mechanisms implementing dynamic binding of identities and authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-05(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - }, - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.12", - "class": "SP800-53-enhancement", - "title": "Biometric Authentication Performance", - "params": [ - { - "id": "ia-05.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.12_prm_1" - }, - { - "name": "label", - "value": "IA-05(12)_ODP" - } - ], - "label": "biometric quality requirements", - "guidelines": [ - { - "prose": "biometric quality requirements for biometric-based authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(12)" - }, - { - "name": "sort-id", - "value": "ia-05.12" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.12_smt", - "name": "statement", - "prose": "For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements {{ insert: param, ia-05.12_odp }}." - }, - { - "id": "ia-5.12_gdn", - "name": "guidance", - "prose": "Unlike password-based authentication, which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide exact matches. Depending on the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis for comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate, which reflects the accuracy of the biometric matching algorithm used by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(12)", - "class": "sp800-53A" - } - ], - "prose": "mechanisms that satisfy {{ insert: param, ia-05.12_odp }} are employed for biometric-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms employing biometric-based authentication for the system\n\nlist of biometric quality requirements\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing biometric-based authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.13", - "class": "SP800-53-enhancement", - "title": "Expiration of Cached Authenticators", - "params": [ - { - "id": "ia-05.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.13_prm_1" - }, - { - "name": "label", - "value": "IA-05(13)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period after which the use of cached authenticators is prohibited is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(13)" - }, - { - "name": "sort-id", - "value": "ia-05.13" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.13_smt", - "name": "statement", - "prose": "Prohibit the use of cached authenticators after {{ insert: param, ia-05.13_odp }}." - }, - { - "id": "ia-5.13_gdn", - "name": "guidance", - "prose": "Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(13)", - "class": "sp800-53A" - } - ], - "prose": "the use of cached authenticators is prohibited after {{ insert: param, ia-05.13_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.14", - "class": "SP800-53-enhancement", - "title": "Managing Content of PKI Trust Stores", - "props": [ - { - "name": "label", - "value": "IA-05(14)" - }, - { - "name": "sort-id", - "value": "ia-05.14" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.14_smt", - "name": "statement", - "prose": "For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications." - }, - { - "id": "ia-5.14_gdn", - "name": "guidance", - "prose": "An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(14)", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide methodology for managing the content of PKI trust stores is employed across all platforms, including networks, operating systems, browsers, and applications for PKI-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsystem security plan\n\norganizational methodology for managing content of PKI trust stores across installed all platforms\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nenterprise security architecture documentation\n\nenterprise architecture documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based authenticator management capability\n\nautomated mechanisms supporting and/or implementing the PKI trust store capability" - } - ] - } - ] - }, - { - "id": "ia-5.15", - "class": "SP800-53-enhancement", - "title": "Gsa-approved Products and Services", - "props": [ - { - "name": "label", - "value": "IA-05(15)" - }, - { - "name": "sort-id", - "value": "ia-05.15" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.15_smt", - "name": "statement", - "prose": "Use only General Services Administration-approved products and services for identity, credential, and access management." - }, - { - "id": "ia-5.15_gdn", - "name": "guidance", - "prose": "General Services Administration (GSA)-approved products and services are products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(15)", - "class": "sp800-53A" - } - ], - "prose": "only General Services Administration-approved products and services are used for identity, credential, and access management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.16", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Authenticator Issuance", - "params": [ - { - "id": "ia-05.16_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_1" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[01]" - } - ], - "label": "types of and/or specific authenticators", - "guidelines": [ - { - "prose": "types of and/or specific authenticators to be issued are defined;" - } - ] - }, - { - "id": "ia-05.16_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_2" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[02]" - } - ], - "select": { - "choice": [ - "in person", - "by a trusted external party" - ] - } - }, - { - "id": "ia-05.16_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_3" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[03]" - } - ], - "label": "registration authority", - "guidelines": [ - { - "prose": "the registration authority that issues authenticators is defined;" - } - ] - }, - { - "id": "ia-05.16_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.16_prm_4" - }, - { - "name": "label", - "value": "IA-05(16)_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles who authorize the issuance of authenticators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(16)" - }, - { - "name": "sort-id", - "value": "ia-05.16" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.16_smt", - "name": "statement", - "prose": "Require that the issuance of {{ insert: param, ia-05.16_odp.01 }} be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}." - }, - { - "id": "ia-5.16_gdn", - "name": "guidance", - "prose": "Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(16)", - "class": "sp800-53A" - } - ], - "prose": "the issuance of {{ insert: param, ia-05.16_odp.01 }} is required to be conducted {{ insert: param, ia-05.16_odp.02 }} before {{ insert: param, ia-05.16_odp.03 }} with authorization by {{ insert: param, ia-05.16_odp.04 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.17", - "class": "SP800-53-enhancement", - "title": "Presentation Attack Detection for Biometric Authenticators", - "props": [ - { - "name": "label", - "value": "IA-05(17)" - }, - { - "name": "sort-id", - "value": "ia-05.17" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - }, - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.17_smt", - "name": "statement", - "prose": "Employ presentation attack detection mechanisms for biometric-based authentication." - }, - { - "id": "ia-5.17_gdn", - "name": "guidance", - "prose": "Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses, taking a picture of someone with a camera phone to obtain facial images with or without their knowledge, lifting from objects that someone has touched (e.g., a latent fingerprint), or capturing a high-resolution image (e.g., an iris pattern). Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(17)", - "class": "sp800-53A" - } - ], - "prose": "presentation attack detection mechanisms are employed for biometric-based authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - }, - { - "id": "ia-5.18", - "class": "SP800-53-enhancement", - "title": "Password Managers", - "params": [ - { - "id": "ia-05.18_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.18_prm_1" - }, - { - "name": "label", - "value": "IA-05(18)_ODP[01]" - } - ], - "label": "password managers", - "guidelines": [ - { - "prose": "password managers employed for generating and managing passwords are defined;" - } - ] - }, - { - "id": "ia-05.18_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-5.18_prm_2" - }, - { - "name": "label", - "value": "IA-05(18)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls for protecting passwords are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-05(18)" - }, - { - "name": "sort-id", - "value": "ia-05.18" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-5.18_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ {{ insert: param, ia-05.18_odp.01 }} to generate and manage passwords; and" - }, - { - "id": "ia-5.18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect the passwords using {{ insert: param, ia-05.18_odp.02 }}." - } - ] - }, - { - "id": "ia-5.18_gdn", - "name": "guidance", - "prose": "For systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see [IA-5(1)(d)](#ia-5.1_smt.d) ) and storing the collection offline in a token." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-05.18_odp.01 }} are employed to generate and manage passwords;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-05(18)(b)", - "class": "sp800-53A" - } - ], - "prose": "the passwords are protected using {{ insert: param, ia-05.18_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-05(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identifier management\n\nsystem security plan\n\nsystem design documentation\n\nautomated mechanisms providing dynamic binding of identifiers and authenticators\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-05(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-05(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing account management capability\n\nautomated mechanisms supporting and/or implementing identification and authentication management capabilities for the system" - } - ] - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authentication Feedback", - "props": [ - { - "name": "label", - "value": "IA-06" - }, - { - "name": "sort-id", - "value": "ia-06" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-06", - "class": "sp800-53A" - } - ], - "prose": "the feedback of authentication information is obscured during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing authenticator feedback\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "props": [ - { - "name": "label", - "value": "IA-07" - }, - { - "name": "sort-id", - "value": "ia-07" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-07", - "class": "sp800-53A" - } - ], - "prose": "mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing cryptographic module authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-08" - }, - { - "name": "sort-id", - "value": "ia-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a1555677-2b9d-4868-a97b-a1363aff32f5", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#2100332a-16a5-4598-bacf-7261baea9711", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include system users other than organizational users explicitly covered by [IA-2](#ia-2) . Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in [AC-14](#ac-14) . Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors—including security, privacy, scalability, and practicality—when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08", - "class": "sp800-53A" - } - ], - "prose": "non-organizational users or processes acting on behalf of non-organizational users are uniquely identified and authenticated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of system accounts\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "props": [ - { - "name": "label", - "value": "IA-08(01)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials from other federal agencies are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "Personal Identity Verification-compliant credentials from other federal agencies are electronically verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept and verify PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of External Authenticators", - "props": [ - { - "name": "label", - "value": "IA-08(02)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "parts": [ - { - "id": "ia-8.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Accept only external authenticators that are NIST-compliant; and" - }, - { - "id": "ia-8.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document and maintain a list of accepted external authenticators." - } - ] - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) . Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "only external authenticators that are NIST-compliant are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "a list of accepted external authenticators is documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "a list of accepted external authenticators is maintained." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of third-party credentialing products, components, or services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept external credentials" - } - ] - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "props": [ - { - "name": "label", - "value": "IA-08(03)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-8.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Defined Profiles", - "params": [ - { - "id": "ia-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.4_prm_1" - }, - { - "name": "label", - "value": "IA-08(04)_ODP" - } - ], - "label": "identity management profiles", - "guidelines": [ - { - "prose": "identity management profiles are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(04)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "Conform to the following profiles for identity management {{ insert: param, ia-08.04_odp }}." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(04)", - "class": "sp800-53A" - } - ], - "prose": "there is conformance with {{ insert: param, ia-08.04_odp }} for identity management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms supporting and/or implementing conformance with profiles" - } - ] - } - ] - }, - { - "id": "ia-8.5", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV-I Credentials", - "params": [ - { - "id": "ia-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.5_prm_1" - }, - { - "name": "label", - "value": "IA-08(05)_ODP" - } - ], - "label": "policy", - "guidelines": [ - { - "prose": "a policy for using federated or PKI credentials is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(05)" - }, - { - "name": "sort-id", - "value": "ia-08.05" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.5_smt", - "name": "statement", - "prose": "Accept and verify federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }}." - }, - { - "id": "ia-8.5_gdn", - "name": "guidance", - "prose": "Acceptance of PIV-I credentials can be implemented by PIV, PIV-I, and other commercial or external identity providers. The acceptance and verification of PIV-I-compliant credentials apply to both logical and physical access control systems. The acceptance and verification of PIV-I credentials address nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by Federal Government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are accepted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "federated or PKI credentials that meet {{ insert: param, ia-08.05_odp }} are verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nPIV-I verification records\n\nevidence of PIV-I credentials\n\nPIV-I credential authorizations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities\n\nautomated mechanisms that accept and verify PIV-I credentials" - } - ] - } - ] - }, - { - "id": "ia-8.6", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "ia-08.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-8.6_prm_1" - }, - { - "name": "label", - "value": "IA-08(06)_ODP" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "disassociability measures are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-08(06)" - }, - { - "name": "sort-id", - "value": "ia-08.06" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-8.6_smt", - "name": "statement", - "prose": "Implement the following measures to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties: {{ insert: param, ia-08.06_odp }}." - }, - { - "id": "ia-8.6_gdn", - "name": "guidance", - "prose": "Federated identity solutions can create increased privacy risks due to the tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-08(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-08.06_odp }} to disassociate user attributes or identifier assertion relationships among individuals, credential service providers, and relying parties are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nsystem security plan\n\nprivacy plan\n\nprocedures addressing user identification and authentication\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "ia-9", - "class": "SP800-53", - "title": "Service Identification and Authentication", - "params": [ - { - "id": "ia-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-9_prm_1" - }, - { - "name": "label", - "value": "IA-09_ODP" - } - ], - "label": "system services and applications", - "guidelines": [ - { - "prose": "system services and applications to be uniquely identified and authenticated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-09" - }, - { - "name": "sort-id", - "value": "ia-09" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-9_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-09_odp }} before establishing communications with devices, users, or other services or applications." - }, - { - "id": "ia-9_gdn", - "name": "guidance", - "prose": "Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services and applications include information or code signing, provenance graphs, and electronic signatures that indicate the sources of services. Decisions regarding the validity of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authentication data) are provided to the services that need to act on those decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-09", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ia-09_odp }} are uniquely identified and authenticated before establishing communications with devices, users, or other services or applications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing service identification and authentication\n\nsystem security plan\n\nsystem design documentation\n\nsecurity safeguards used to identify and authenticate system services\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security safeguards implementing service identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-9.1", - "class": "SP800-53-enhancement", - "title": "Information Exchange", - "props": [ - { - "name": "label", - "value": "IA-09(01)" - }, - { - "name": "sort-id", - "value": "ia-09.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-9.2", - "class": "SP800-53-enhancement", - "title": "Transmission of Decisions", - "props": [ - { - "name": "label", - "value": "IA-09(02)" - }, - { - "name": "sort-id", - "value": "ia-09.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ia-10", - "class": "SP800-53", - "title": "Adaptive Authentication", - "params": [ - { - "id": "ia-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-10_prm_1" - }, - { - "name": "label", - "value": "IA-10_ODP[01]" - } - ], - "label": "supplemental authentication techniques or mechanisms", - "guidelines": [ - { - "prose": "supplemental authentication techniques or mechanisms to be employed when accessing the system under specific circumstances or situations are defined;" - } - ] - }, - { - "id": "ia-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-10_prm_2" - }, - { - "name": "label", - "value": "IA-10_ODP[02]" - } - ], - "label": "circumstances or situations", - "guidelines": [ - { - "prose": "circumstances or situations that require individuals accessing the system to employ supplemental authentication techniques or mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-10" - }, - { - "name": "sort-id", - "value": "ia-10" - } - ], - "links": [ - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-10_smt", - "name": "statement", - "prose": "Require individuals accessing the system to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}." - }, - { - "id": "ia-10_gdn", - "name": "guidance", - "prose": "Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multi-factor authentication mechanisms but can augment implementations of multi-factor authentication." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-10", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing the system are required to employ {{ insert: param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing adaptive/supplemental identification and authentication techniques or mechanisms\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsupplemental identification and authentication techniques or mechanisms\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-11", - "class": "SP800-53", - "title": "Re-authentication", - "params": [ - { - "id": "ia-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-11_prm_1" - }, - { - "name": "label", - "value": "IA-11_ODP" - } - ], - "label": "circumstances or situations requiring re-authentication", - "guidelines": [ - { - "prose": "circumstances or situations requiring re-authentication are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-11" - }, - { - "name": "sort-id", - "value": "ia-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-11_smt", - "name": "statement", - "prose": "Require users to re-authenticate when {{ insert: param, ia-11_odp }}." - }, - { - "id": "ia-11_gdn", - "name": "guidance", - "prose": "In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-11", - "class": "sp800-53A" - } - ], - "prose": "users are required to re-authenticate when {{ insert: param, ia-11_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing user and device re-authentication\n\nsystem security plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of circumstances or situations requiring re-authentication\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12", - "class": "SP800-53", - "title": "Identity Proofing", - "props": [ - { - "name": "label", - "value": "IA-12" - }, - { - "name": "sort-id", - "value": "ia-12" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#9099ed2c-922a-493d-bcb4-d896192243ff", - "rel": "reference" - }, - { - "href": "#10963761-58fc-4b20-b3d6-b44a54daba03", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12_smt", - "name": "statement", - "parts": [ - { - "id": "ia-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;" - }, - { - "id": "ia-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Resolve user identities to a unique individual; and" - }, - { - "id": "ia-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Collect, validate, and verify identity evidence." - } - ] - }, - { - "id": "ia-12_gdn", - "name": "guidance", - "prose": "Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3](#737513fa-6758-403f-831d-5ddab5e23cb3) and [SP 800-63A](#9099ed2c-922a-493d-bcb4-d896192243ff) . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12a.", - "class": "sp800-53A" - } - ], - "prose": "users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12b.", - "class": "sp800-53A" - } - ], - "prose": "user identities are resolved to a unique individual;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[01]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is collected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[02]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is validated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12c.[03]", - "class": "sp800-53A" - } - ], - "prose": "identity evidence is verified." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nlegal counsel\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ], - "controls": [ - { - "id": "ia-12.1", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-12(01)" - }, - { - "name": "sort-id", - "value": "ia-12.01" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.1_smt", - "name": "statement", - "prose": "Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "id": "ia-12.1_gdn", - "name": "guidance", - "prose": "Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user’s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user’s privileges are appropriate for the anticipated responsibilities and authorities within the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(01)", - "class": "sp800-53A" - } - ], - "prose": "the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.2", - "class": "SP800-53-enhancement", - "title": "Identity Evidence", - "props": [ - { - "name": "label", - "value": "IA-12(02)" - }, - { - "name": "sort-id", - "value": "ia-12.02" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.2_smt", - "name": "statement", - "prose": "Require evidence of individual identification be presented to the registration authority." - }, - { - "id": "ia-12.2_gdn", - "name": "guidance", - "prose": "Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(02)", - "class": "sp800-53A" - } - ], - "prose": "evidence of individual identification is presented to the registration authority." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.3", - "class": "SP800-53-enhancement", - "title": "Identity Evidence Validation and Verification", - "params": [ - { - "id": "ia-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.3_prm_1" - }, - { - "name": "label", - "value": "IA-12(03)_ODP" - } - ], - "label": "methods of validation and verification", - "guidelines": [ - { - "prose": "methods of validation and verification of identity evidence are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(03)" - }, - { - "name": "sort-id", - "value": "ia-12.03" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.3_smt", - "name": "statement", - "prose": "Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.03_odp }}." - }, - { - "id": "ia-12.3_gdn", - "name": "guidance", - "prose": "Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(03)", - "class": "sp800-53A" - } - ], - "prose": "the presented identity evidence is validated and verified through {{ insert: param, ia-12.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.4", - "class": "SP800-53-enhancement", - "title": "In-person Validation and Verification", - "props": [ - { - "name": "label", - "value": "IA-12(04)" - }, - { - "name": "sort-id", - "value": "ia-12.04" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "ia-12.4_smt", - "name": "statement", - "prose": "Require that the validation and verification of identity evidence be conducted in person before a designated registration authority." - }, - { - "id": "ia-12.4_gdn", - "name": "guidance", - "prose": "In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(04)", - "class": "sp800-53A" - } - ], - "prose": "the validation and verification of identity evidence is conducted in person before a designated registration authority." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.5", - "class": "SP800-53-enhancement", - "title": "Address Confirmation", - "params": [ - { - "id": "ia-12.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.5_prm_1" - }, - { - "name": "label", - "value": "IA-12(05)_ODP" - } - ], - "select": { - "choice": [ - "registration code", - "notice of proofing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(05)" - }, - { - "name": "sort-id", - "value": "ia-12.05" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - }, - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.5_smt", - "name": "statement", - "prose": "Require that a {{ insert: param, ia-12.05_odp }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record." - }, - { - "id": "ia-12.5_gdn", - "name": "guidance", - "prose": "To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(05)", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, ia-12.05_odp }} is delivered through an out-of-band channel to verify the user’s address (physical or digital) of record." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - }, - { - "id": "ia-12.6", - "class": "SP800-53-enhancement", - "title": "Accept Externally-proofed Identities", - "params": [ - { - "id": "ia-12.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ia-12.6_prm_1" - }, - { - "name": "label", - "value": "IA-12(06)_ODP" - } - ], - "label": "identity assurance level", - "guidelines": [ - { - "prose": "an identity assurance level for accepting externally proofed identities is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(06)" - }, - { - "name": "sort-id", - "value": "ia-12.06" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "required" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.6_smt", - "name": "statement", - "prose": "Accept externally-proofed identities at {{ insert: param, ia-12.06_odp }}." - }, - { - "id": "ia-12.6_gdn", - "name": "guidance", - "prose": "To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IA-12(06)", - "class": "sp800-53A" - } - ], - "prose": "externally proofed identities are accepted {{ insert: param, ia-12.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-12(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\n\nprocedures addressing identity proofing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-12(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with identification and authentication responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-12(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and authentication capabilities" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ir-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ir-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-01_odp.01", - "props": [ - { - "name": "label", - "value": "IR-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the incident response policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ir-01_odp.02", - "props": [ - { - "name": "label", - "value": "IR-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the incident response procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ir-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_2" - }, - { - "name": "label", - "value": "IR-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ir-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_3" - }, - { - "name": "label", - "value": "IR-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the incident response policy and procedures is defined;" - } - ] - }, - { - "id": "ir-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_4" - }, - { - "name": "label", - "value": "IR-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current incident response policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ir-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_5" - }, - { - "name": "label", - "value": "IR-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current incident response policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ir-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_6" - }, - { - "name": "label", - "value": "IR-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current incident response procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ir-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-1_prm_7" - }, - { - "name": "label", - "value": "IR-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the incident response procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-01" - }, - { - "name": "sort-id", - "value": "ir-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ir-01_odp.03 }} incident response policy that:", - "parts": [ - { - "id": "ir-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ir-01_odp.04 }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and" - }, - { - "id": "ir-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current incident response:", - "parts": [ - { - "id": "ir-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ir-01_odp.05 }} and following {{ insert: param, ir-01_odp.06 }} ; and" - }, - { - "id": "ir-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ir-01_odp.07 }} and following {{ insert: param, ir-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident response policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response policy is disseminated to {{ insert: param, ir-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "incident response procedures to facilitate the implementation of the incident response policy and associated incident response controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the incident response procedures are disseminated to {{ insert: param, ir-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.03 }} incident response policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ir-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the incident response policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response policy is reviewed and updated {{ insert: param, ir-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response policy is reviewed and updated following {{ insert: param, ir-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response procedures are reviewed and updated {{ insert: param, ir-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current incident response procedures are reviewed and updated following {{ insert: param, ir-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "params": [ - { - "id": "ir-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_1" - }, - { - "name": "label", - "value": "IR-02_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined;" - } - ] - }, - { - "id": "ir-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_2" - }, - { - "name": "label", - "value": "IR-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide incident response training to users is defined;" - } - ] - }, - { - "id": "ir-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_3" - }, - { - "name": "label", - "value": "IR-02_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review and update incident response training content is defined;" - } - ] - }, - { - "id": "ir-02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2_prm_4" - }, - { - "name": "label", - "value": "IR-02_ODP[04]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that initiate a review of the incident response training content are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-02" - }, - { - "name": "sort-id", - "value": "ir-02" - } - ], - "links": [ - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#511f6832-23ca-49a3-8c0f-ce493373cab8", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide incident response training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "id": "ir-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "ir-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "{{ insert: param, ir-02_odp.02 }} thereafter; and" - } - ] - }, - { - "id": "ir-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update incident response training content {{ insert: param, ir-02_odp.03 }} and following {{ insert: param, ir-02_odp.04 }}." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of [AT-2](#at-2) or [AT-3](#at-3) . Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.01", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.02", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities when required by system changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02a.03", - "class": "sp800-53A" - } - ], - "prose": "incident response training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, ir-02_odp.02 }} thereafter;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response training content is reviewed and updated {{ insert: param, ir-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response training content is reviewed and updated following {{ insert: param, ir-02_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nprivacy plan\n\nincident response plan\n\nincident response training records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-2.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "IR-02(01)" - }, - { - "name": "sort-id", - "value": "ir-02.01" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "id": "ir-2.1_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(01)", - "class": "sp800-53A" - } - ], - "prose": "simulated events are incorporated into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement simulated events for incident response training" - } - ] - } - ] - }, - { - "id": "ir-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Training Environments", - "params": [ - { - "id": "ir-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-2.2_prm_1" - }, - { - "name": "label", - "value": "IR-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used in an incident response training environment are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-02(02)" - }, - { - "name": "sort-id", - "value": "ir-02.02" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.2_smt", - "name": "statement", - "prose": "Provide an incident response training environment using {{ insert: param, ir-02.02_odp }}." - }, - { - "id": "ir-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(02)", - "class": "sp800-53A" - } - ], - "prose": "an incident response training environment is provided using {{ insert: param, ir-02.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nautomated mechanisms supporting incident response training\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that provide a thorough and realistic incident response training environment" - } - ] - } - ] - }, - { - "id": "ir-2.3", - "class": "SP800-53-enhancement", - "title": "Breach", - "props": [ - { - "name": "label", - "value": "IR-02(03)" - }, - { - "name": "sort-id", - "value": "ir-02.03" - } - ], - "links": [ - { - "href": "#ir-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-2.3_smt", - "name": "statement", - "prose": "Provide incident response training on how to identify and respond to a breach, including the organization’s process for reporting a breach." - }, - { - "id": "ir-2.3_gdn", - "name": "guidance", - "prose": "For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The incident response training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Incident response training includes tabletop exercises that simulate a breach. See [IR-2(1)](#ir-2.1)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response training on how to identify and respond to a breach is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-02(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response training on the organization’s process for reporting a breach is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "params": [ - { - "id": "ir-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3_prm_1" - }, - { - "name": "label", - "value": "IR-03_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to test the effectiveness of the incident response capability for the system is defined;" - } - ] - }, - { - "id": "ir-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3_prm_2" - }, - { - "name": "label", - "value": "IR-03_ODP[02]" - } - ], - "label": "tests", - "guidelines": [ - { - "prose": "tests used to test the effectiveness of the incident response capability for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-03" - }, - { - "name": "sort-id", - "value": "ir-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "Test the effectiveness of the incident response capability for the system {{ insert: param, ir-03_odp.01 }} using the following tests: {{ insert: param, ir-03_odp.02 }}." - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of the incident response capability for the system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert: param, ir-03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "ir-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-3.1_prm_1" - }, - { - "name": "label", - "value": "IR-03(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to test the incident response capability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-03(01)" - }, - { - "name": "sort-id", - "value": "ir-03.01" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.1_smt", - "name": "statement", - "prose": "Test the incident response capability using {{ insert: param, ir-03.01_odp }}." - }, - { - "id": "ir-3.1_gdn", - "name": "guidance", - "prose": "Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues, selecting realistic test scenarios and environments, and stressing the response capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(01)", - "class": "sp800-53A" - } - ], - "prose": "the incident response capability is tested using {{ insert: param, ir-03.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing documentation\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nautomated mechanisms supporting incident response tests\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that more thoroughly and effectively test the incident response capability" - } - ] - } - ] - }, - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "props": [ - { - "name": "label", - "value": "IR-03(02)" - }, - { - "name": "sort-id", - "value": "ir-03.02" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "Coordinate incident response testing with organizational elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(02)", - "class": "sp800-53A" - } - ], - "prose": "incident response testing is coordinated with organizational elements responsible for related plans." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans related to incident response testing\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ir-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "IR-03(03)" - }, - { - "name": "sort-id", - "value": "ir-03.03" - } - ], - "links": [ - { - "href": "#ir-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-3.3_smt", - "name": "statement", - "prose": "Use qualitative and quantitative data from testing to:", - "parts": [ - { - "id": "ir-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine the effectiveness of incident response processes;" - }, - { - "id": "ir-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Continuously improve incident response processes; and" - }, - { - "id": "ir-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format." - } - ] - }, - { - "id": "ir-3.3_gdn", - "name": "guidance", - "prose": "To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to determine the effectiveness of incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to determine the effectiveness of incident response processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative and quantitative data from testing are used to continuously improve incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to continuously improve incident response processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics that are accurate;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics that are accurate;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[03]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics that are consistent;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[04]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics that are consistent;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[05]", - "class": "sp800-53A" - } - ], - "prose": "qualitative data from testing are used to provide incident response measures and metrics in a reproducible format;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-03(03)(c)[06]", - "class": "sp800-53A" - } - ], - "prose": "quantitative data from testing are used to provide incident response measures and metrics in a reproducible format." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans related to incident response testing\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "props": [ - { - "name": "label", - "value": "IR-04" - }, - { - "name": "sort-id", - "value": "ir-04" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#cfdb1858-c473-46b3-89f9-a700308d0be2", - "rel": "reference" - }, - { - "href": "#10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "rel": "reference" - }, - { - "href": "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#31ae65ab-3f26-46b7-9d64-f25a4dac5778", - "rel": "reference" - }, - { - "href": "#2be7b163-e50a-435c-8906-f1162f2a457a", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and" - }, - { - "id": "ir-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization." - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents is implemented that is consistent with the incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes preparation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes detection and analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes containment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes eradication;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability for incidents includes recovery;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(b)", - "class": "sp800-53A" - } - ], - "prose": "incident handling activities are coordinated with contingency planning activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "lessons learned from ongoing incident handling activities are incorporated into incident response procedures, training, and testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the changes resulting from the incorporated lessons learned are implemented accordingly;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "the rigor of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "the intensity of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[03]", - "class": "sp800-53A" - } - ], - "prose": "the scope of incident handling activities is comparable and predictable across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(d)[04]", - "class": "sp800-53A" - } - ], - "prose": "the results of incident handling activities are comparable and predictable across the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "params": [ - { - "id": "ir-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.1_prm_1" - }, - { - "name": "label", - "value": "IR-04(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to support the incident handling process are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(01)" - }, - { - "name": "sort-id", - "value": "ir-04.01" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "Support the incident handling process using {{ insert: param, ir-04.01_odp }}." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the incident handling process is supported using {{ insert: param, ir-04.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the incident handling process" - } - ] - } - ] - }, - { - "id": "ir-4.2", - "class": "SP800-53-enhancement", - "title": "Dynamic Reconfiguration", - "params": [ - { - "id": "ir-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.2_prm_2" - }, - { - "name": "label", - "value": "IR-04(02)_ODP[01]" - } - ], - "label": "types of dynamic reconfiguration", - "guidelines": [ - { - "prose": "types of dynamic reconfiguration for system components are defined;" - } - ] - }, - { - "id": "ir-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.2_prm_1" - }, - { - "name": "label", - "value": "IR-04(02)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components that require dynamic reconfiguration are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(02)" - }, - { - "name": "sort-id", - "value": "ir-04.02" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.2_smt", - "name": "statement", - "prose": "Include the following types of dynamic reconfiguration for {{ insert: param, ir-04.02_odp.02 }} as part of the incident response capability: {{ insert: param, ir-04.02_odp.01 }}." - }, - { - "id": "ir-4.2_gdn", - "name": "guidance", - "prose": "Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.02_odp.01 }} for {{ insert: param, ir-04.02_odp.02 }} are included as part of the incident response capability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nlist of system components to be dynamically reconfigured as part of incident response capability\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response" - } - ] - } - ] - }, - { - "id": "ir-4.3", - "class": "SP800-53-enhancement", - "title": "Continuity of Operations", - "params": [ - { - "id": "ir-04.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.3_prm_1" - }, - { - "name": "label", - "value": "IR-04(03)_ODP[01]" - } - ], - "label": "classes of incidents", - "guidelines": [ - { - "prose": "classes of incidents requiring an organization-defined action (defined in IR-04(03)_ODP[02]) to be taken are defined;" - } - ] - }, - { - "id": "ir-04.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.3_prm_2" - }, - { - "name": "label", - "value": "IR-04(03)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken in response to organization-defined classes of incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(03)" - }, - { - "name": "sort-id", - "value": "ir-04.03" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.3_smt", - "name": "statement", - "prose": "Identify {{ insert: param, ir-04.03_odp.01 }} and take the following actions in response to those incidents to ensure continuation of organizational mission and business functions: {{ insert: param, ir-04.03_odp.02 }}." - }, - { - "id": "ir-4.3_gdn", - "name": "guidance", - "prose": "Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of [IR-4(5)](#ir-4.5)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.03_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.03_odp.02 }} are taken in response to those incidents to ensure the continuation of organizational mission and business functions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nprivacy plan\n\nlist of classes of incidents\n\nlist of appropriate incident response actions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement continuity of operations" - } - ] - } - ] - }, - { - "id": "ir-4.4", - "class": "SP800-53-enhancement", - "title": "Information Correlation", - "props": [ - { - "name": "label", - "value": "IR-04(04)" - }, - { - "name": "sort-id", - "value": "ir-04.04" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.4_smt", - "name": "statement", - "prose": "Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response." - }, - { - "id": "ir-4.4_gdn", - "name": "guidance", - "prose": "Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(04)", - "class": "sp800-53A" - } - ], - "prose": "incident information and individual incident responses are correlated to achieve an organization-wide perspective on incident awareness and response." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nprivacy plan\n\nautomated mechanisms supporting incident and event correlation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nincident management correlation logs\n\nevent management correlation logs\n\nsecurity information and event management logs\n\nincident management correlation reports\n\nevent management correlation reports\n\nsecurity information and event management reports\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with whom incident information and individual incident responses are to be correlated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for correlating incident information and individual incident responses\n\nautomated mechanisms that support and or implement the correlation of incident response information with individual incident responses" - } - ] - } - ] - }, - { - "id": "ir-4.5", - "class": "SP800-53-enhancement", - "title": "Automatic Disabling of System", - "params": [ - { - "id": "ir-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.5_prm_1" - }, - { - "name": "label", - "value": "IR-04(05)_ODP" - } - ], - "label": "security violations", - "guidelines": [ - { - "prose": "security violations that automatically disable a system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(05)" - }, - { - "name": "sort-id", - "value": "ir-04.05" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.5_smt", - "name": "statement", - "prose": "Implement a configurable capability to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected." - }, - { - "id": "ir-4.5_gdn", - "name": "guidance", - "prose": "Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of [CP-2](#cp-2) or [IR-4(3)](#ir-4.3) . Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information and serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(05)", - "class": "sp800-53A" - } - ], - "prose": "a configurable capability is implemented to automatically disable the system if {{ insert: param, ir-04.05_odp }} are detected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nincident response plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization\n\nautomated mechanisms supporting and/or implementing automatic disabling of the system" - } - ] - } - ] - }, - { - "id": "ir-4.6", - "class": "SP800-53-enhancement", - "title": "Insider Threats", - "props": [ - { - "name": "label", - "value": "IR-04(06)" - }, - { - "name": "sort-id", - "value": "ir-04.06" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.6_smt", - "name": "statement", - "prose": "Implement an incident handling capability for incidents involving insider threats." - }, - { - "id": "ir-4.6_gdn", - "name": "guidance", - "prose": "Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(06)", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability is implemented for incidents involving insider threats." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-4.7", - "class": "SP800-53-enhancement", - "title": "Insider Threats — Intra-organization Coordination", - "params": [ - { - "id": "ir-04.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.7_prm_1" - }, - { - "name": "label", - "value": "IR-04(07)_ODP" - } - ], - "label": "entities", - "guidelines": [ - { - "prose": "entities that require coordination for an incident handling capability for insider threats are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(07)" - }, - { - "name": "sort-id", - "value": "ir-04.07" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.7_smt", - "name": "statement", - "prose": "Coordinate an incident handling capability for insider threats that includes the following organizational entities {{ insert: param, ir-04.07_odp }}." - }, - { - "id": "ir-4.7_gdn", - "name": "guidance", - "prose": "Incident handling for insider threat incidents (e.g., preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident handling capability is coordinated for insider threats;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "the coordinated incident handling capability includes {{ insert: param, ir-04.07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ninsider threat program plan\n\ninsider threat CONOPS\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel/elements with whom the incident handling capability is to be coordinated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for coordinating incident handling" - } - ] - } - ] - }, - { - "id": "ir-4.8", - "class": "SP800-53-enhancement", - "title": "Correlation with External Organizations", - "params": [ - { - "id": "ir-04.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.8_prm_1" - }, - { - "name": "label", - "value": "IR-04(08)_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations with whom organizational incident information is to be coordinated and shared are defined;" - } - ] - }, - { - "id": "ir-04.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.8_prm_2" - }, - { - "name": "label", - "value": "IR-04(08)_ODP[02]" - } - ], - "label": "incident information", - "guidelines": [ - { - "prose": "incident information to be correlated and shared with organization-defined external organizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(08)" - }, - { - "name": "sort-id", - "value": "ir-04.08" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.8_smt", - "name": "statement", - "prose": "Coordinate with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "id": "ir-4.8_gdn", - "name": "guidance", - "prose": "The coordination of incident information with external organizations—including mission or business partners, military or coalition partners, customers, and developers—can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage information from a variety of sources to effectively respond to incidents and breaches that could potentially affect the organization’s operations, assets, and individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(08)", - "class": "sp800-53A" - } - ], - "prose": "there is coordination with {{ insert: param, ir-04.08_odp.01 }} to correlate and share {{ insert: param, ir-04.08_odp.02 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nlist of external organizations\n\nrecords of incident handling coordination with external organizations\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel from external organizations with whom incident response information is to be coordinated, shared, and correlated" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for coordinating incident handling information with external organizations" - } - ] - } - ] - }, - { - "id": "ir-4.9", - "class": "SP800-53-enhancement", - "title": "Dynamic Response Capability", - "params": [ - { - "id": "ir-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.9_prm_1" - }, - { - "name": "label", - "value": "IR-04(09)_ODP" - } - ], - "label": "dynamic response capabilities", - "guidelines": [ - { - "prose": "dynamic response capabilities to be employed to respond to incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(09)" - }, - { - "name": "sort-id", - "value": "ir-04.09" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.9_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ir-04.09_odp }} to respond to incidents." - }, - { - "id": "ir-4.9_gdn", - "name": "guidance", - "prose": "The dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-04.09_odp }} are employed to respond to incidents." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting dynamic response capabilities\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\naudit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dynamic response capability\n\nautomated mechanisms supporting and/or implementing the dynamic response capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-4.10", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-04(10)" - }, - { - "name": "sort-id", - "value": "ir-04.10" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.10_smt", - "name": "statement", - "prose": "Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain." - }, - { - "id": "ir-4.10_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents can occur anywhere through or to the supply chain and include compromises or breaches that involve primary or sub-tier providers, information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements and their obligations for reporting incidents to government oversight bodies (e.g., Federal Acquisition Security Council)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(10)", - "class": "sp800-53A" - } - ], - "prose": "incident handling activities involving supply chain events are coordinated with other organizations involved in the supply chain." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council\n\nacquisition contracts\n\nservice-level agreements\n\nincident response plan\n\nsupply chain risk management plan\n\nsystem security plan\n\nincident response plans of other organization involved in supply chain activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with mission and business responsibilities\n\norganizational personnel with legal responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with acquisition responsibilities" - } - ] - } - ] - }, - { - "id": "ir-4.11", - "class": "SP800-53-enhancement", - "title": "Integrated Incident Response Team", - "params": [ - { - "id": "ir-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.11_prm_1" - }, - { - "name": "label", - "value": "IR-04(11)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which an integrated incident response team can be deployed is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(11)" - }, - { - "name": "sort-id", - "value": "ir-04.11" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.11_smt", - "name": "statement", - "prose": "Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}." - }, - { - "id": "ir-4.11_gdn", - "name": "guidance", - "prose": "An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity.\n\nAn integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "an integrated incident response team is established and maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrated incident response team can be deployed to any location identified by the organization in {{ insert: param, ir-04.11_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nmembers of the integrated incident response team" - } - ] - } - ] - }, - { - "id": "ir-4.12", - "class": "SP800-53-enhancement", - "title": "Malicious Code and Forensic Analysis", - "props": [ - { - "name": "label", - "value": "IR-04(12)" - }, - { - "name": "sort-id", - "value": "ir-04.12" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.12_smt", - "name": "statement", - "prose": "Analyze malicious code and/or other residual artifacts remaining in the system after the incident." - }, - { - "id": "ir-4.12_gdn", - "name": "guidance", - "prose": "When conducted carefully in an isolated environment, analysis of malicious code and other residual artifacts of a security incident or breach can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. In addition, malicious code analysis can help the organization develop responses to future incidents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code remaining in the system is analyzed after the incident;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(12)[02]", - "class": "sp800-53A" - } - ], - "prose": "other residual artifacts remaining in the system (if any) are analyzed after the incident." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing code and forensic analysis\n\nprocedures addressing incident response\n\nincident response plan\n\nsystem design documentation\n\nmalicious code protection mechanisms, tools, and techniques\n\nresults from malicious code analyses\n\nsystem security plan\n\nsystem audit records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for incident response\n\norganizational processes for conducting forensic analysis\n\ntools and techniques for analysis of malicious code characteristics and behavior" - } - ] - } - ] - }, - { - "id": "ir-4.13", - "class": "SP800-53-enhancement", - "title": "Behavior Analysis", - "params": [ - { - "id": "ir-04.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-4.13_prm_1" - }, - { - "name": "label", - "value": "IR-04(13)_ODP" - } - ], - "label": "environments or resources", - "guidelines": [ - { - "prose": "environments or resources which may contain or may be related to anomalous or suspected adversarial behavior are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-04(13)" - }, - { - "name": "sort-id", - "value": "ir-04.13" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.13_smt", - "name": "statement", - "prose": "Analyze anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }}." - }, - { - "id": "ir-4.13_gdn", - "name": "guidance", - "prose": "If the organization maintains a deception environment, an analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)", - "class": "sp800-53A" - } - ], - "prose": "anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-04.13_odp }} are analyzed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)-Examine[SELECT", - "class": "sp800-53A" - } - ], - "prose": "FROM: Incident response policy; procedures addressing system monitoring tools and techniques; incident response plan; system monitoring logs or records; system monitoring tools and techniques documentation; system configuration settings and associated documentation; security plan; system component inventory; network diagram; system protocols documentation; list of acceptable thresholds for false positives and false negatives; system security plan; other relevant documents or records]." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(13)-Interview[SELECT", - "class": "sp800-53A" - } - ], - "prose": "FROM: Organizational personnel with information security responsibilities; system/network administrators]." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detecting anomalous behavior" - } - ] - } - ] - }, - { - "id": "ir-4.14", - "class": "SP800-53-enhancement", - "title": "Security Operations Center", - "props": [ - { - "name": "label", - "value": "IR-04(14)" - }, - { - "name": "sort-id", - "value": "ir-04.14" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.14_smt", - "name": "statement", - "prose": "Establish and maintain a security operations center." - }, - { - "id": "ir-4.14_gdn", - "name": "guidance", - "prose": "A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization’s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such a capability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "a security operations center is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "a security operations center is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nprocedures addressing the security operations center operations\n\nautomated mechanisms supporting dynamic response capabilities\n\nincident response plan\n\ncontingency plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\nsecurity operations center personnel\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the security operations center capability\n\nautomated mechanisms that support and/or implement the incident handling process" - } - ] - } - ] - }, - { - "id": "ir-4.15", - "class": "SP800-53-enhancement", - "title": "Public Relations and Reputation Repair", - "props": [ - { - "name": "label", - "value": "IR-04(15)" - }, - { - "name": "sort-id", - "value": "ir-04.15" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-4.15_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Manage public relations associated with an incident; and" - }, - { - "id": "ir-4.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ measures to repair the reputation of the organization." - } - ] - }, - { - "id": "ir-4.15_gdn", - "name": "guidance", - "prose": "It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public, have cast the organization in a negative light, or have affected the organization’s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and affect its ability to carry out its mission and business functions. Taking proactive steps to repair the organization’s reputation is an essential aspect of reestablishing the trust and confidence of its constituents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)(a)", - "class": "sp800-53A" - } - ], - "prose": "public relations associated with an incident are managed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-04(15)(b)", - "class": "sp800-53A" - } - ], - "prose": "measures are employed to repair the reputation of the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing incident handling\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with communications or public relations responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "props": [ - { - "name": "label", - "value": "IR-05" - }, - { - "name": "sort-id", - "value": "ir-05" - } - ], - "links": [ - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "Track and document incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. [IR-4](#ir-4) provides information on the types of incidents that are appropriate for monitoring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05[01]", - "class": "sp800-53A" - } - ], - "prose": "incidents are tracked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05[02]", - "class": "sp800-53A" - } - ], - "prose": "incidents are documented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents" - } - ] - } - ], - "controls": [ - { - "id": "ir-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Tracking, Data Collection, and Analysis", - "params": [ - { - "id": "ir-5.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ir-05.01_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "ir-05.01_odp.01", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to track incidents are defined;" - } - ] - }, - { - "id": "ir-05.01_odp.02", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to collect incident information are defined;" - } - ] - }, - { - "id": "ir-05.01_odp.03", - "props": [ - { - "name": "label", - "value": "IR-05(01)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to analyze incident information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-05(01)" - }, - { - "name": "sort-id", - "value": "ir-05.01" - } - ], - "links": [ - { - "href": "#ir-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-5.1_smt", - "name": "statement", - "prose": "Track incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}." - }, - { - "id": "ir-5.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "incidents are tracked using {{ insert: param, ir-05.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "incident information is collected using {{ insert: param, ir-05.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-05(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "incident information is analyzed using {{ insert: param, ir-05.01_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nsystem security plan\n\nincident response plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of system security incidents" - } - ] - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "params": [ - { - "id": "ir-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6_prm_1" - }, - { - "name": "label", - "value": "IR-06_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for personnel to report suspected incidents to the organizational incident response capability is defined;" - } - ] - }, - { - "id": "ir-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6_prm_2" - }, - { - "name": "label", - "value": "IR-06_ODP[02]" - } - ], - "label": "authorities", - "guidelines": [ - { - "prose": "authorities to whom incident information is to be reported are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06" - }, - { - "name": "sort-id", - "value": "ir-06" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#40b78258-c892-480e-9af8-77ac36648301", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require personnel to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }} ; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report incident information to {{ insert: param, ir-06_odp.02 }}." - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(a)", - "class": "sp800-53A" - } - ], - "prose": "personnel is/are required to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(b)", - "class": "sp800-53A" - } - ], - "prose": "incident information is reported to {{ insert: param, ir-06_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported\n\nsystem users" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "params": [ - { - "id": "ir-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6.1_prm_1" - }, - { - "name": "label", - "value": "IR-06(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used for reporting incidents are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06(01)" - }, - { - "name": "sort-id", - "value": "ir-06.01" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - }, - { - "href": "#ir-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "Report incidents using {{ insert: param, ir-06.01_odp }}." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "prose": "The recipients of incident reports are specified in [IR-6b](#ir-6_smt.b) . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(01)", - "class": "sp800-53A" - } - ], - "prose": "incidents are reported using {{ insert: param, ir-06.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nautomated mechanisms supporting incident reporting\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing reporting of security incidents" - } - ] - } - ] - }, - { - "id": "ir-6.2", - "class": "SP800-53-enhancement", - "title": "Vulnerabilities Related to Incidents", - "params": [ - { - "id": "ir-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-6.2_prm_1" - }, - { - "name": "label", - "value": "IR-06(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom system vulnerabilities associated with reported incidents are reported to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-06(02)" - }, - { - "name": "sort-id", - "value": "ir-06.02" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-6.2_smt", - "name": "statement", - "prose": "Report system vulnerabilities associated with reported incidents to {{ insert: param, ir-06.02_odp }}." - }, - { - "id": "ir-6.2_gdn", - "name": "guidance", - "prose": "Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners, mission and business owners, senior agency information security officers, senior agency officials for privacy, authorizing officials, and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(02)", - "class": "sp800-53A" - } - ], - "prose": "system vulnerabilities associated with reported incidents are reported to {{ insert: param, ir-06.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident reporting\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nsecurity incident reports and associated system vulnerabilities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\npersonnel to whom vulnerabilities associated with security incidents are to be reported" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing the reporting of vulnerabilities associated with security incidents" - } - ] - } - ] - }, - { - "id": "ir-6.3", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-06(03)" - }, - { - "name": "sort-id", - "value": "ir-06.03" - } - ], - "links": [ - { - "href": "#ir-6", - "rel": "required" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.3_smt", - "name": "statement", - "prose": "Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident." - }, - { - "id": "ir-6.3_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-06(03)", - "class": "sp800-53A" - } - ], - "prose": "incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing supply chain coordination and supply chain risk information sharing with the Federal Acquisition Security Council\n\nacquisition policy\n\nacquisition contracts\n\nservice-level agreements\n\nincident response plan\n\nsupply chain risk management plan\n\nsystem security plan\n\nplans of other organizations involved in supply chain activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganization personnel with acquisition responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\n\norganizational processes for supply chain risk information sharing\n\nautomated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain" - } - ] - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "props": [ - { - "name": "label", - "value": "IR-07" - }, - { - "name": "sort-id", - "value": "ir-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#2be7b163-e50a-435c-8906-f1162f2a457a", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07[01]", - "class": "sp800-53A" - } - ], - "prose": "an incident response support resource, integral to the organizational incident response capability, is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support responsibilities\n\norganizational personnel with access to incident response support and assistance capability\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response assistance" - } - ] - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information and Support", - "params": [ - { - "id": "ir-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-7.1_prm_1" - }, - { - "name": "label", - "value": "IR-07(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to increase the availability of incident response information and support are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-07(01)" - }, - { - "name": "sort-id", - "value": "ir-07.01" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "Increase the availability of incident response information and support using {{ insert: param, ir-07.01_odp }}." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(01)", - "class": "sp800-53A" - } - ], - "prose": "the availability of incident response information and support is increased using {{ insert: param, ir-07.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nautomated mechanisms supporting incident response support and assistance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance responsibilities\n\norganizational personnel with access to incident response support and assistance capability\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing an increase in the availability of incident response information and support" - } - ] - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "props": [ - { - "name": "label", - "value": "IR-07(02)" - }, - { - "name": "sort-id", - "value": "ir-07.02" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identify organizational incident response team members to the external providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "a direct, cooperative relationship is established between its incident response capability and external providers of the system protection capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-07(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "organizational incident response team members are identified to the external providers." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance responsibilities\n\nexternal providers of system protection capability\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "params": [ - { - "id": "ir-8_prm_5", - "props": [ - { - "name": "aggregates", - "value": "ir-08_odp.06" - } - ], - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "ir-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_1" - }, - { - "name": "label", - "value": "IR-08_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles that review and approve the incident response plan is/are identified;" - } - ] - }, - { - "id": "ir-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_2" - }, - { - "name": "label", - "value": "IR-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and approve the incident response plan is defined;" - } - ] - }, - { - "id": "ir-08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_3" - }, - { - "name": "label", - "value": "IR-08_ODP[03]" - } - ], - "label": "entities, personnel, or roles", - "guidelines": [ - { - "prose": "entities, personnel, or roles with designated responsibility for incident response are defined;" - } - ] - }, - { - "id": "ir-08_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-8_prm_4" - }, - { - "name": "label", - "value": "IR-08_ODP[04]" - } - ], - "label": "incident response personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined;" - } - ] - }, - { - "id": "ir-08_odp.05", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[05]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "organizational elements to which copies of the incident response plan are to be distributed are defined;" - } - ] - }, - { - "id": "ir-08_odp.06", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[06]" - } - ], - "label": "incident response personnel (identified by name and/or by role)", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to whom changes to the incident response plan are communicated are defined;" - } - ] - }, - { - "id": "ir-08_odp.07", - "props": [ - { - "name": "label", - "value": "IR-08_ODP[07]" - } - ], - "label": "organizational elements", - "guidelines": [ - { - "prose": "organizational elements to which changes to the incident response plan are communicated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-08" - }, - { - "name": "sort-id", - "value": "ir-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Describes the structure and organization of the incident response capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "08." - } - ], - "prose": "Addresses the sharing of incident information;" - }, - { - "id": "ir-8_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "09." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }} ; and" - }, - { - "id": "ir-8_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}." - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the incident response plan to {{ insert: param, ir-08_odp.04 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Communicate incident response plan changes to {{ insert: param, ir-8_prm_5 }} ; and" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the incident response plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.01", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.02", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that describes the structure and organization of the incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.03", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.04", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that meets the unique requirements of the organization with regard to mission, size, structure, and functions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.05", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that defines reportable incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.06", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that provides metrics for measuring the incident response capability within the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.07", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.08", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that addresses the sharing of incident information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.09", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that is reviewed and approved by {{ insert: param, ir-08_odp.01 }} {{ insert: param, ir-08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08a.10", - "class": "sp800-53A" - } - ], - "prose": "an incident response plan is developed that explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.05 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08c.", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is updated to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.[01]", - "class": "sp800-53A" - } - ], - "prose": "incident response plan changes are communicated to {{ insert: param, ir-08_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08d.[02]", - "class": "sp800-53A" - } - ], - "prose": "incident response plan changes are communicated to {{ insert: param, ir-08_odp.07 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ], - "controls": [ - { - "id": "ir-8.1", - "class": "SP800-53-enhancement", - "title": "Breaches", - "props": [ - { - "name": "label", - "value": "IR-08(01)" - }, - { - "name": "sort-id", - "value": "ir-08.01" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "required" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8.1_smt", - "name": "statement", - "prose": "Include the following in the Incident Response Plan for breaches involving personally identifiable information:", - "parts": [ - { - "id": "ir-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "id": "ir-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and" - }, - { - "id": "ir-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identification of applicable privacy requirements." - } - ] - }, - { - "id": "ir-8.1_gdn", - "name": "guidance", - "prose": "Organizations may be required by law, regulation, or policy to follow specific procedures relating to breaches, including notice to individuals, affected organizations, and oversight bodies; standards of harm; and mitigation or other specific requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes a process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes an assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-08(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the incident response plan for breaches involving personally identifiable information includes the identification of applicable privacy requirements." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nsystem security plan\n\nprivacy plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "params": [ - { - "id": "ir-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_1" - }, - { - "name": "label", - "value": "IR-09_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles assigned the responsibility for responding to information spills is/are defined;" - } - ] - }, - { - "id": "ir-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_2" - }, - { - "name": "label", - "value": "IR-09_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined;" - } - ] - }, - { - "id": "ir-09_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9_prm_3" - }, - { - "name": "label", - "value": "IR-09_ODP[03]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09" - }, - { - "name": "sort-id", - "value": "ir-09" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "Respond to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigning {{ insert: param, ir-09_odp.01 }} with responsibility for responding to information spills;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifying the specific information involved in the system contamination;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alerting {{ insert: param, ir-09_odp.02 }} of the information spill using a method of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Isolating the contaminated system or system component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Eradicating the information from the contaminated system or component;" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identifying other systems or system components that may have been subsequently contaminated; and" - }, - { - "id": "ir-9_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Performing the following additional actions: {{ insert: param, ir-09_odp.03 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility to respond to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(b)", - "class": "sp800-53A" - } - ], - "prose": "the specific information involved in the system contamination is identified in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(c)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.02 }} is/are alerted of the information spill using a method of communication not associated with the spill;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(d)", - "class": "sp800-53A" - } - ], - "prose": "the contaminated system or system component is isolated in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(e)", - "class": "sp800-53A" - } - ], - "prose": "the information is eradicated from the contaminated system or component in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(f)", - "class": "sp800-53A" - } - ], - "prose": "other systems or system components that may have been subsequently contaminated are identified in response to information spills;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(g)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09_odp.03 }} are performed in response to information spills." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nrecords of information spillage alerts/notifications\n\nlist of personnel who should receive alerts of information spillage\n\nlist of actions to be performed regarding information spillage\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information spillage response\n\nautomated mechanisms supporting and/or implementing information spillage response actions and related communications" - } - ] - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "props": [ - { - "name": "label", - "value": "IR-09(01)" - }, - { - "name": "sort-id", - "value": "ir-09.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "params": [ - { - "id": "ir-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.2_prm_1" - }, - { - "name": "label", - "value": "IR-09(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide information spillage response training is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(02)" - }, - { - "name": "sort-id", - "value": "ir-09.02" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "Provide information spillage response training {{ insert: param, ir-09.02_odp }}." - }, - { - "id": "ir-9.2_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(02)", - "class": "sp800-53A" - } - ], - "prose": "information spillage response training is provided {{ insert: param, ir-09.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing information spillage response training\n\ninformation spillage response training curriculum\n\ninformation spillage response training materials\n\nincident response plan\n\nsystem security plan\n\ninformation spillage response training records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "params": [ - { - "id": "ir-09.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.3_prm_1" - }, - { - "name": "label", - "value": "IR-09(03)_ODP" - } - ], - "label": "procedures", - "guidelines": [ - { - "prose": "procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(03)" - }, - { - "name": "sort-id", - "value": "ir-09.03" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-09.03_odp }}." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09.03_odp }} are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-spill operations" - } - ] - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "params": [ - { - "id": "ir-09.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ir-9.4_prm_1" - }, - { - "name": "label", - "value": "IR-09(04)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls employed for personnel exposed to information not within assigned access authorizations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "IR-09(04)" - }, - { - "name": "sort-id", - "value": "ir-09.04" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-09.04_odp }}." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "IR-09(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ir-09.04_odp }} are employed for personnel exposed to information not within assigned access authorizations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\n\nprocedures addressing incident response\n\nprocedures addressing information spillage\n\nincident response plan\n\nsystem security plan\n\nsecurity safeguards regarding information spillage/exposure to unauthorized personnel\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dealing with information exposed to unauthorized personnel\n\nautomated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations" - } - ] - } - ] - } - ] - }, - { - "id": "ir-10", - "class": "SP800-53", - "title": "Integrated Information Security Analysis Team", - "props": [ - { - "name": "label", - "value": "IR-10" - }, - { - "name": "sort-id", - "value": "ir-10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ir-4.11", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ma-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-01_odp.01", - "props": [ - { - "name": "label", - "value": "MA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the maintenance policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ma-01_odp.02", - "props": [ - { - "name": "label", - "value": "MA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the maintenance procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ma-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_2" - }, - { - "name": "label", - "value": "MA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ma-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_3" - }, - { - "name": "label", - "value": "MA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the maintenance policy and procedures is defined;" - } - ] - }, - { - "id": "ma-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_4" - }, - { - "name": "label", - "value": "MA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current maintenance policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ma-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_5" - }, - { - "name": "label", - "value": "MA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current maintenance policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ma-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_6" - }, - { - "name": "label", - "value": "MA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current maintenance procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ma-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-1_prm_7" - }, - { - "name": "label", - "value": "MA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the maintenance procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-01" - }, - { - "name": "sort-id", - "value": "ma-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ma-01_odp.03 }} maintenance policy that:", - "parts": [ - { - "id": "ma-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ma-01_odp.04 }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and" - }, - { - "id": "ma-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current maintenance:", - "parts": [ - { - "id": "ma-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ma-01_odp.05 }} and following {{ insert: param, ma-01_odp.06 }} ; and" - }, - { - "id": "ma-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ma-01_odp.07 }} and following {{ insert: param, ma-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a maintenance policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the maintenance policy is disseminated to {{ insert: param, ma-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "maintenance procedures to facilitate the implementation of the maintenance policy and associated maintenance controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the maintenance procedures are disseminated to {{ insert: param, ma-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.03 }} maintenance policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ma-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the maintenance policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance policy is reviewed and updated {{ insert: param, ma-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance policy is reviewed and updated following {{ insert: param, ma-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance procedures are reviewed and updated {{ insert: param, ma-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current maintenance procedures are reviewed and updated following {{ insert: param, ma-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\n\nsystem security plan\n\nprivacy plan\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "params": [ - { - "id": "ma-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_1" - }, - { - "name": "label", - "value": "MA-02_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined;" - } - ] - }, - { - "id": "ma-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_2" - }, - { - "name": "label", - "value": "MA-02_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined;" - } - ] - }, - { - "id": "ma-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-2_prm_3" - }, - { - "name": "label", - "value": "MA-02_ODP[03]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be included in organizational maintenance records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-02" - }, - { - "name": "sort-id", - "value": "ma-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require that {{ insert: param, ma-02_odp.01 }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, ma-02_odp.02 }};" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Include the following information in organizational maintenance records: {{ insert: param, ma-02_odp.03 }}." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "maintenance, repair, and replacement of system components are scheduled in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "maintenance, repair, and replacement of system components are documented in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "records of maintenance, repair, and replacement of system components are reviewed in accordance with manufacturer or vendor specifications and/or organizational requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02_odp.01 }} is/are required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02d.", - "class": "sp800-53A" - } - ], - "prose": "equipment is sanitized to remove {{ insert: param, ma-02_odp.02 }} from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02e.", - "class": "sp800-53A" - } - ], - "prose": "all potentially impacted controls are checked to verify that the controls are still functioning properly following maintenance, repair, or replacement actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02f.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02_odp.03 }} is included in organizational maintenance records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing controlled system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system\n\norganizational processes for sanitizing system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of system components" - } - ] - } - ], - "controls": [ - { - "id": "ma-2.1", - "class": "SP800-53-enhancement", - "title": "Record Content", - "props": [ - { - "name": "label", - "value": "MA-02(01)" - }, - { - "name": "sort-id", - "value": "ma-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance Activities", - "params": [ - { - "id": "ma-2.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-02.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "ma-02.02_odp.01", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to schedule maintenance, repair, and replacement actions for the system are defined;" - } - ] - }, - { - "id": "ma-02.02_odp.02", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to conduct maintenance, repair, and replacement actions for the system are defined;" - } - ] - }, - { - "id": "ma-02.02_odp.03", - "props": [ - { - "name": "label", - "value": "MA-02(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to document maintenance, repair, and replacement actions for the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-02(02)" - }, - { - "name": "sort-id", - "value": "ma-02.02" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "required" - }, - { - "href": "#ma-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2.2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }} ; and" - }, - { - "id": "ma-2.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed." - } - ] - }, - { - "id": "ma-2.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.01 }} are used to schedule maintenance, repair, and replacement actions for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.02 }} are used to conduct maintenance, repair, and replacement actions for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-02.02_odp.03 }} are used to document maintenance, repair, and replacement actions for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all maintenance actions requested, scheduled, in process, and completed are produced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all repair actions requested, scheduled, in process, and completed are produced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-02(02)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "up-to date, accurate, and complete records of all replacement actions requested, scheduled, in process, and completed are produced." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing controlled system maintenance\n\nautomated mechanisms supporting system maintenance activities\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms supporting and/or implementing production of records of maintenance and repair actions" - } - ] - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "params": [ - { - "id": "ma-03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-3_prm_1" - }, - { - "name": "label", - "value": "MA-03_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review previously approved system maintenance tools is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-03" - }, - { - "name": "sort-id", - "value": "ma-03" - } - ], - "links": [ - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve, control, and monitor the use of system maintenance tools; and" - }, - { - "id": "ma-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review previously approved system maintenance tools {{ insert: param, ma-03_odp }}." - } - ] - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as \"ping,\" \"ls,\" \"ipconfig,\" or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of system maintenance tools is monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(b)", - "class": "sp800-53A" - } - ], - "prose": "previously approved system maintenance tools are reviewed {{ insert: param, ma-03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving, controlling, and monitoring maintenance tools\n\nautomated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools" - } - ] - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "props": [ - { - "name": "label", - "value": "MA-03(01)" - }, - { - "name": "sort-id", - "value": "ma-03.01" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance tool inspection records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\n\nautomated mechanisms supporting and/or implementing inspection of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "props": [ - { - "name": "label", - "value": "MA-03(02)" - }, - { - "name": "sort-id", - "value": "ma-03.02" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "Check media containing diagnostic and test programs for malicious code before the media are used in the system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(02)", - "class": "sp800-53A" - } - ], - "prose": "media containing diagnostic and test programs are checked for malicious code before the media are used in the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for inspecting media for malicious code\n\nautomated mechanisms supporting and/or implementing inspection of media used for maintenance" - } - ] - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "params": [ - { - "id": "ma-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-3.3_prm_1" - }, - { - "name": "label", - "value": "MA-03(03)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles who can authorize removal of equipment from the facility is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-03(03)" - }, - { - "name": "sort-id", - "value": "ma-03.03" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "Prevent the removal of maintenance equipment containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nmaintenance records\n\nequipment sanitization records\n\nmedia sanitization records\n\nexemptions for equipment removal\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for preventing unauthorized removal of information\n\nautomated mechanisms supporting media sanitization or destruction of equipment\n\nautomated mechanisms supporting verification of media sanitization" - } - ] - } - ] - }, - { - "id": "ma-3.4", - "class": "SP800-53-enhancement", - "title": "Restricted Tool Use", - "props": [ - { - "name": "label", - "value": "MA-03(04)" - }, - { - "name": "sort-id", - "value": "ma-03.04" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.4_smt", - "name": "statement", - "prose": "Restrict the use of maintenance tools to authorized personnel only." - }, - { - "id": "ma-3.4_gdn", - "name": "guidance", - "prose": "Restricting the use of maintenance tools to only authorized personnel applies to systems that are used to carry out maintenance functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(04)", - "class": "sp800-53A" - } - ], - "prose": "the use of maintenance tools is restricted to authorized personnel only." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting the use of maintenance tools\n\nautomated mechanisms supporting and/or implementing restricted use of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.5", - "class": "SP800-53-enhancement", - "title": "Execution with Privilege", - "props": [ - { - "name": "label", - "value": "MA-03(05)" - }, - { - "name": "sort-id", - "value": "ma-03.05" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.5_smt", - "name": "statement", - "prose": "Monitor the use of maintenance tools that execute with increased privilege." - }, - { - "id": "ma-3.5_gdn", - "name": "guidance", - "prose": "Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of maintenance tools that execute with increased privilege is monitored." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting the use of maintenance tools\n\norganizational process for monitoring maintenance tools and maintenance tool usage\n\nautomated mechanisms monitoring the use of maintenance tools" - } - ] - } - ] - }, - { - "id": "ma-3.6", - "class": "SP800-53-enhancement", - "title": "Software Updates and Patches", - "props": [ - { - "name": "label", - "value": "MA-03(06)" - }, - { - "name": "sort-id", - "value": "ma-03.06" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.6_smt", - "name": "statement", - "prose": "Inspect maintenance tools to ensure the latest software updates and patches are installed." - }, - { - "id": "ma-3.6_gdn", - "name": "guidance", - "prose": "Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-03(06)", - "class": "sp800-53A" - } - ], - "prose": "maintenance tools are inspected to ensure that the latest software updates and patches are installed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance tools\n\nsystem maintenance tools and associated documentation\n\nlist of personnel authorized to use maintenance tools\n\nmaintenance tool usage records\n\nmaintenance records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\n\norganizational processes for maintenance tools updates\n\nautomated mechanisms supporting and/or implementing inspection of maintenance tools\n\nautomated mechanisms supporting and/or implementing maintenance tool updates." - } - ] - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-04" - }, - { - "name": "sort-id", - "value": "ma-04" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#736d6310-e403-4b57-a79d-9967970c66d7", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and monitor nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintain records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminate session and network connections when nonlocal maintenance is completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in [IA-2](#ia-2) . Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in [MA-4](#ma-4) is accomplished, in part, by other controls. [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) provides additional guidance on strong authentication and authenticators." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance and diagnostic activities are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance and diagnostic activities are monitored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of nonlocal maintenance and diagnostic tools are allowed only as consistent with organizational policy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of nonlocal maintenance and diagnostic tools are documented in the security plan for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04c.", - "class": "sp800-53A" - } - ], - "prose": "strong authentication is employed in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04d.", - "class": "sp800-53A" - } - ], - "prose": "records for nonlocal maintenance and diagnostic activities are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.[01]", - "class": "sp800-53A" - } - ], - "prose": "session connections are terminated when nonlocal maintenance is completed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04e.[02]", - "class": "sp800-53A" - } - ], - "prose": "network connections are terminated when nonlocal maintenance is completed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nremote access policy\n\nremote access procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\nrecords of remote access\n\ndiagnostic records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network connections" - } - ] - } - ], - "controls": [ - { - "id": "ma-4.1", - "class": "SP800-53-enhancement", - "title": "Logging and Review", - "params": [ - { - "id": "ma-4.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ma-04.01_odp.01" - } - ], - "label": "organization-defined audit events" - }, - { - "id": "ma-04.01_odp.01", - "props": [ - { - "name": "label", - "value": "MA-04(01)_ODP[01]" - } - ], - "label": "audit events", - "guidelines": [ - { - "prose": "audit events to be logged for nonlocal maintenance are defined;" - } - ] - }, - { - "id": "ma-04.01_odp.02", - "props": [ - { - "name": "label", - "value": "MA-04(01)_ODP[02]" - } - ], - "label": "audit events", - "guidelines": [ - { - "prose": "audit events to be logged for diagnostic sessions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(01)" - }, - { - "name": "sort-id", - "value": "ma-04.01" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance and diagnostic sessions; and" - }, - { - "id": "ma-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review the audit records of the maintenance and diagnostic sessions to detect anomalous behavior." - } - ] - }, - { - "id": "ma-4.1_gdn", - "name": "guidance", - "prose": "Audit logging for nonlocal maintenance is enforced by [AU-2](#au-2) . Audit events are defined in [AU-2a](#au-2_smt.a)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.01_odp.01 }} are logged for nonlocal maintenance sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.01_odp.02 }} are logged for nonlocal diagnostic sessions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the audit records of the maintenance sessions are reviewed to detect anomalous behavior;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the audit records of the diagnostic sessions are reviewed to detect anomalous behavior." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nlist of audit events\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nreviews of maintenance and diagnostic session records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with audit and review responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for audit and review of nonlocal maintenance\n\nautomated mechanisms supporting and/or implementing audit and review of nonlocal maintenance" - } - ] - } - ] - }, - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Document Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-04(02)" - }, - { - "name": "sort-id", - "value": "ma-04.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-1", - "rel": "incorporated-into" - }, - { - "href": "#ma-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-4.3", - "class": "SP800-53-enhancement", - "title": "Comparable Security and Sanitization", - "props": [ - { - "name": "label", - "value": "MA-04(03)" - }, - { - "name": "sort-id", - "value": "ma-04.03" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - }, - { - "id": "ma-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system." - } - ] - }, - { - "id": "ma-4.3_gdn", - "name": "guidance", - "prose": "Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "nonlocal diagnostic services are required to be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the component to be serviced is removed from the system prior to nonlocal maintenance or diagnostic services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the component to be serviced is sanitized (for organizational information);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(03)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "the component is inspected and sanitized (for potentially malicious software) after the service is performed and before reconnecting the component to the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nservice provider contracts and/or service-level agreements\n\nmaintenance records\n\ninspection records\n\naudit records\n\nequipment sanitization records\n\nmedia sanitization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nsystem maintenance provider\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for comparable security and sanitization for nonlocal maintenance\n\norganizational processes for the removal, sanitization, and inspection of components serviced via nonlocal maintenance\n\nautomated mechanisms supporting and/or implementing component sanitization and inspection" - } - ] - } - ] - }, - { - "id": "ma-4.4", - "class": "SP800-53-enhancement", - "title": "Authentication and Separation of Maintenance Sessions", - "params": [ - { - "id": "ma-04.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.4_prm_1" - }, - { - "name": "label", - "value": "MA-04(04)_ODP" - } - ], - "label": "authenticators that are replay resistant", - "guidelines": [ - { - "prose": "authenticators that are replay resistant are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(04)" - }, - { - "name": "sort-id", - "value": "ma-04.04" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-4.4_smt", - "name": "statement", - "prose": "Protect nonlocal maintenance sessions by:", - "parts": [ - { - "id": "ma-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employing {{ insert: param, ma-04.04_odp }} ; and" - }, - { - "id": "ma-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Separating the maintenance sessions from other network sessions with the system by either:", - "parts": [ - { - "id": "ma-4.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Physically separated communications paths; or" - }, - { - "id": "ma-4.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Logically separated communications paths." - } - ] - } - ] - }, - { - "id": "ma-4.4_gdn", - "name": "guidance", - "prose": "Communications paths can be logically separated using encryption." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by employing {{ insert: param, ma-04.04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)(01)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by separating maintenance sessions from other network sessions with the system by physically separated communication paths; or" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(04)(b)(02)", - "class": "sp800-53A" - } - ], - "prose": "nonlocal maintenance sessions are protected by logically separated communication paths." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting nonlocal maintenance sessions\n\nautomated mechanisms implementing replay-resistant authenticators\n\nautomated mechanisms implementing logically separated/encrypted communication paths" - } - ] - } - ] - }, - { - "id": "ma-4.5", - "class": "SP800-53-enhancement", - "title": "Approvals and Notifications", - "params": [ - { - "id": "ma-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.5_prm_1" - }, - { - "name": "label", - "value": "MA-04(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles required to approve each nonlocal maintenance session is/are defined;" - } - ] - }, - { - "id": "ma-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.5_prm_2" - }, - { - "name": "label", - "value": "MA-04(05)_ODP[02]" - } - ], - "label": "personnel and roles", - "guidelines": [ - { - "prose": "personnel and roles to be notified of the date and time of planned nonlocal maintenance is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(05)" - }, - { - "name": "sort-id", - "value": "ma-04.05" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-4.5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require the approval of each nonlocal maintenance session by {{ insert: param, ma-04.05_odp.01 }} ; and" - }, - { - "id": "ma-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify the following personnel or roles of the date and time of planned nonlocal maintenance: {{ insert: param, ma-04.05_odp.02 }}." - } - ] - }, - { - "id": "ma-4.5_gdn", - "name": "guidance", - "prose": "Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the approval of each nonlocal maintenance session is required by {{ insert: param, ma-04.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.05_odp.02 }} is/are notified of the date and time of planned nonlocal maintenance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nnotifications supporting nonlocal maintenance sessions\n\nmaintenance records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with notification responsibilities\n\norganizational personnel with approval responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving and notifying personnel regarding nonlocal maintenance\n\nautomated mechanisms supporting notification and approval of nonlocal maintenance" - } - ] - } - ] - }, - { - "id": "ma-4.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "ma-04.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-4.6_prm_1" - }, - { - "name": "label", - "value": "MA-04(06)_ODP" - } - ], - "label": "cryptographic mechanisms", - "guidelines": [ - { - "prose": "cryptographic mechanisms to be implemented to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-04(06)" - }, - { - "name": "sort-id", - "value": "ma-04.06" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.6_smt", - "name": "statement", - "prose": "Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: {{ insert: param, ma-04.06_odp }}." - }, - { - "id": "ma-4.6_gdn", - "name": "guidance", - "prose": "Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions, including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission or business capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.06_odp }} are implemented to protect the integrity of nonlocal maintenance and diagnostic communications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-04.06_odp }} are implemented to protect the confidentiality of nonlocal maintenance and diagnostic communications." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms protecting nonlocal maintenance activities\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications" - } - ] - } - ] - }, - { - "id": "ma-4.7", - "class": "SP800-53-enhancement", - "title": "Disconnect Verification", - "props": [ - { - "name": "label", - "value": "MA-04(07)" - }, - { - "name": "sort-id", - "value": "ma-04.07" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "required" - }, - { - "href": "#ac-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.7_smt", - "name": "statement", - "prose": "Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions." - }, - { - "id": "ma-4.7_gdn", - "name": "guidance", - "prose": "Verifying the termination of a connection once maintenance is completed ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "session connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-04(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "network connection termination is verified after the completion of nonlocal maintenance and diagnostic sessions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing nonlocal system maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms protecting nonlocal maintenance activities\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions" - } - ] - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "props": [ - { - "name": "label", - "value": "MA-05" - }, - { - "name": "sort-id", - "value": "ma-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while [PE-2](#pe-2) addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel—such as information technology manufacturers, vendors, systems integrators, and consultants—may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "a process for maintenance personnel authorization is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "a list of authorized maintenance organizations or personnel is maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(b)", - "class": "sp800-53A" - } - ], - "prose": "non-escorted personnel performing maintenance on the system possess the required access authorizations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(c)", - "class": "sp800-53A" - } - ], - "prose": "organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance personnel" - } - ] - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "params": [ - { - "id": "ma-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-5.1_prm_1" - }, - { - "name": "label", - "value": "MA-05(01)_ODP" - } - ], - "label": "alternate controls", - "guidelines": [ - { - "prose": "alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-05(01)" - }, - { - "name": "sort-id", - "value": "ma-05.01" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(01)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(02)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop and implement {{ insert: param, ma-05.01_odp }} in the event a system component cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)(01)", - "class": "sp800-53A" - } - ], - "prose": "procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(a)(02)", - "class": "sp800-53A" - } - ], - "prose": "procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ma-05.01_odp }} are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\nphysical and environmental protection policy\n\nlist of maintenance personnel requiring escort/supervision\n\nmaintenance records\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing maintenance personnel without appropriate access\n\nautomated mechanisms supporting and/or implementing alternative security safeguards\n\nautomated mechanisms supporting and/or implementing information storage component sanitization" - } - ] - } - ] - }, - { - "id": "ma-5.2", - "class": "SP800-53-enhancement", - "title": "Security Clearances for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-05(02)" - }, - { - "name": "sort-id", - "value": "ma-05.02" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.2_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system." - }, - { - "id": "ma-5.2_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances for at least the highest classification level and for compartments of information on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess formal access approvals for at least the highest classification level and for compartments of information on the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\npersonnel records\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing security clearances for maintenance personnel" - } - ] - } - ] - }, - { - "id": "ma-5.3", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-05(03)" - }, - { - "name": "sort-id", - "value": "ma-05.03" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.3_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "id": "ma-5.3_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U.S. citizens, the same restriction is applied to personnel performing maintenance on those systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(03)", - "class": "sp800-53A" - } - ], - "prose": "personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\npersonnel records\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-5.4", - "class": "SP800-53-enhancement", - "title": "Foreign Nationals", - "props": [ - { - "name": "label", - "value": "MA-05(04)" - }, - { - "name": "sort-id", - "value": "ma-05.04" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - }, - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.4_smt", - "name": "statement", - "prose": "Ensure that:", - "parts": [ - { - "id": "ma-5.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and" - }, - { - "id": "ma-5.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements." - } - ] - }, - { - "id": "ma-5.4_gdn", - "name": "guidance", - "prose": "Personnel who conduct maintenance and diagnostic activities on organizational systems may be exposed to classified information. If non-U.S. citizens are permitted to perform maintenance and diagnostics activities on classified systems, then additional vetting is required to ensure agreements and restrictions are not being violated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments or owned and operated solely by foreign allied governments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "approvals regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "consents regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(04)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within memoranda of agreements." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmemorandum of agreement\n\nmaintenance records\n\naccess control records\n\naccess credentials\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities, organizational personnel with personnel security responsibilities\n\norganizational personnel managing memoranda of agreements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing foreign national maintenance personnel" - } - ] - } - ] - }, - { - "id": "ma-5.5", - "class": "SP800-53-enhancement", - "title": "Non-system Maintenance", - "props": [ - { - "name": "label", - "value": "MA-05(05)" - }, - { - "name": "sort-id", - "value": "ma-05.05" - } - ], - "links": [ - { - "href": "#ma-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-5.5_smt", - "name": "statement", - "prose": "Ensure that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations." - }, - { - "id": "ma-5.5_gdn", - "name": "guidance", - "prose": "Personnel who perform maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system have required access authorizations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing maintenance personnel\n\nsystem media protection policy\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmaintenance records\n\naccess control records\n\naccess authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "params": [ - { - "id": "ma-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6_prm_1" - }, - { - "name": "label", - "value": "MA-06_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which maintenance support and/or spare parts are obtained are defined;" - } - ] - }, - { - "id": "ma-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6_prm_2" - }, - { - "name": "label", - "value": "MA-06_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which maintenance support and/or spare parts are to be obtained after a failure are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06" - }, - { - "name": "sort-id", - "value": "ma-06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "Obtain maintenance support and/or spare parts for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06", - "class": "sp800-53A" - } - ], - "prose": "maintenance support and/or spare parts are obtained for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\ninventory and availability of spare parts\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring timely maintenance" - } - ] - } - ], - "controls": [ - { - "id": "ma-6.1", - "class": "SP800-53-enhancement", - "title": "Preventive Maintenance", - "params": [ - { - "id": "ma-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.1_prm_1" - }, - { - "name": "label", - "value": "MA-06(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which preventive maintenance is to be performed are defined;" - } - ] - }, - { - "id": "ma-06.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.1_prm_2" - }, - { - "name": "label", - "value": "MA-06(01)_ODP[02]" - } - ], - "label": "time intervals", - "guidelines": [ - { - "prose": "time intervals within which preventive maintenance is to be performed on system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(01)" - }, - { - "name": "sort-id", - "value": "ma-06.01" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.1_smt", - "name": "statement", - "prose": "Perform preventive maintenance on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}." - }, - { - "id": "ma-6.1_gdn", - "name": "guidance", - "prose": "Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(01)", - "class": "sp800-53A" - } - ], - "prose": "preventive maintenance is performed on {{ insert: param, ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring preventive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for preventive maintenance\n\nautomated mechanisms supporting and/or implementing preventive maintenance" - } - ] - } - ] - }, - { - "id": "ma-6.2", - "class": "SP800-53-enhancement", - "title": "Predictive Maintenance", - "params": [ - { - "id": "ma-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.2_prm_1" - }, - { - "name": "label", - "value": "MA-06(02)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components on which predictive maintenance is to be performed are defined;" - } - ] - }, - { - "id": "ma-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.2_prm_2" - }, - { - "name": "label", - "value": "MA-06(02)_ODP[02]" - } - ], - "label": "time intervals", - "guidelines": [ - { - "prose": "time intervals within which predictive maintenance is to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(02)" - }, - { - "name": "sort-id", - "value": "ma-06.02" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.2_smt", - "name": "statement", - "prose": "Perform predictive maintenance on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}." - }, - { - "id": "ma-6.2_gdn", - "name": "guidance", - "prose": "Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(02)", - "class": "sp800-53A" - } - ], - "prose": "predictive maintenance is performed on {{ insert: param, ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring predictive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for predictive maintenance\n\nautomated mechanisms supporting and/or implementing predictive maintenance" - } - ] - } - ] - }, - { - "id": "ma-6.3", - "class": "SP800-53-enhancement", - "title": "Automated Support for Predictive Maintenance", - "params": [ - { - "id": "ma-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-6.3_prm_1" - }, - { - "name": "label", - "value": "MA-06(03)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to transfer predictive maintenance data to a maintenance management system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-06(03)" - }, - { - "name": "sort-id", - "value": "ma-06.03" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ma-6.3_smt", - "name": "statement", - "prose": "Transfer predictive maintenance data to a maintenance management system using {{ insert: param, ma-06.03_odp }}." - }, - { - "id": "ma-6.3_gdn", - "name": "guidance", - "prose": "A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates the processing of equipment condition data to trigger maintenance planning, execution, and reporting." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-06(03)", - "class": "sp800-53A" - } - ], - "prose": "predictive maintenance data is transferred to a maintenance management system using {{ insert: param, ma-06.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\nmaintenance records\n\nlist of system components requiring predictive maintenance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system\n\noperations of the computer maintenance management system" - } - ] - } - ] - } - ] - }, - { - "id": "ma-7", - "class": "SP800-53", - "title": "Field Maintenance", - "params": [ - { - "id": "ma-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-7_prm_1" - }, - { - "name": "label", - "value": "MA-07_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components on which field maintenance is restricted or prohibited to trusted maintenance facilities are defined;" - } - ] - }, - { - "id": "ma-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ma-7_prm_2" - }, - { - "name": "label", - "value": "MA-07_ODP[02]" - } - ], - "label": "trusted maintenance facilities", - "guidelines": [ - { - "prose": "trusted maintenance facilities that are not restricted or prohibited from conducting field maintenance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MA-07" - }, - { - "name": "sort-id", - "value": "ma-07" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-7_smt", - "name": "statement", - "prose": "Restrict or prohibit field maintenance on {{ insert: param, ma-07_odp.01 }} to {{ insert: param, ma-07_odp.02 }}." - }, - { - "id": "ma-7_gdn", - "name": "guidance", - "prose": "Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MA-07", - "class": "sp800-53A" - } - ], - "prose": "field maintenance on {{ insert: param, ma-07_odp.01 }} are restricted or prohibited to {{ insert: param, ma-07_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy\n\nprocedures addressing field maintenance\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nsystem security plan\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing field maintenance\n\nautomated mechanisms implementing, supporting, and/or managing field maintenance\n\nautomated mechanisms for strong authentication of field maintenance diagnostic sessions\n\nautomated mechanisms for terminating field maintenance sessions and network connections" - } - ] - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "mp-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-01_odp.01", - "props": [ - { - "name": "label", - "value": "MP-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the media protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "mp-01_odp.02", - "props": [ - { - "name": "label", - "value": "MP-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the media protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "mp-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_2" - }, - { - "name": "label", - "value": "MP-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "mp-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_3" - }, - { - "name": "label", - "value": "MP-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the media protection policy and procedures is defined;" - } - ] - }, - { - "id": "mp-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_4" - }, - { - "name": "label", - "value": "MP-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current media protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "mp-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_5" - }, - { - "name": "label", - "value": "MP-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current media protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "mp-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_6" - }, - { - "name": "label", - "value": "MP-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current media protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "mp-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-1_prm_7" - }, - { - "name": "label", - "value": "MP-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require media protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-01" - }, - { - "name": "sort-id", - "value": "mp-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, mp-01_odp.03 }} media protection policy that:", - "parts": [ - { - "id": "mp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, mp-01_odp.04 }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and" - }, - { - "id": "mp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current media protection:", - "parts": [ - { - "id": "mp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, mp-01_odp.05 }} and following {{ insert: param, mp-01_odp.06 }} ; and" - }, - { - "id": "mp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, mp-01_odp.07 }} and following {{ insert: param, mp-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a media protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the media protection policy is disseminated to {{ insert: param, mp-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "media protection procedures to facilitate the implementation of the media protection policy and associated media protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the media protection procedures are disseminated to {{ insert: param, mp-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.03 }} media protection policy compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the media protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the media protection policy and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection policy is reviewed and updated {{ insert: param, mp-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection policy is reviewed and updated following {{ insert: param, mp-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection procedures are reviewed and updated {{ insert: param, mp-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current media protection procedures are reviewed and updated following {{ insert: param, mp-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\n\norganizational risk management strategy\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "params": [ - { - "id": "mp-2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-02_odp.01" - } - ], - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-02_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[01]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to which access is restricted are defined;" - } - ] - }, - { - "id": "mp-02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles authorized to access digital media is/are defined;" - } - ] - }, - { - "id": "mp-02_odp.03", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[03]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to which access is restricted are defined;" - } - ] - }, - { - "id": "mp-02_odp.04", - "props": [ - { - "name": "label", - "value": "MP-02_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles authorized to access non-digital media is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-02" - }, - { - "name": "sort-id", - "value": "mp-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert: param, mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02[01]", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, mp-02_odp.01 }} is restricted to {{ insert: param, mp-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-02[02]", - "class": "sp800-53A" - } - ], - "prose": "access to {{ insert: param, mp-02_odp.03 }} is restricted to {{ insert: param, mp-02_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - } - ], - "controls": [ - { - "id": "mp-2.1", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "props": [ - { - "name": "label", - "value": "MP-02(01)" - }, - { - "name": "sort-id", - "value": "mp-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-2.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-02(02)" - }, - { - "name": "sort-id", - "value": "mp-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "params": [ - { - "id": "mp-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-3_prm_1" - }, - { - "name": "label", - "value": "MP-03_ODP[01]" - } - ], - "label": "types of media exempted from marking", - "guidelines": [ - { - "prose": "types of system media exempt from marking when remaining in controlled areas are defined;" - } - ] - }, - { - "id": "mp-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-3_prm_2" - }, - { - "name": "label", - "value": "MP-03_ODP[02]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas where media is exempt from marking are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-03" - }, - { - "name": "sort-id", - "value": "mp-03" - } - ], - "links": [ - { - "href": "#34a5571f-e252-4309-a8a1-2fdb2faefbcd", - "rel": "reference" - }, - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempt {{ insert: param, mp-03_odp.01 }} from marking if the media remain within {{ insert: param, mp-03_odp.02 }}." - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03a.", - "class": "sp800-53A" - } - ], - "prose": "system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-03b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-03_odp.01 }} remain within {{ insert: param, mp-03_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media marking\n\nphysical and environmental protection policy and procedures\n\nlist of system media marking security attributes\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and marking responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for marking information media\n\nautomated mechanisms supporting and/or implementing media marking" - } - ] - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "params": [ - { - "id": "mp-4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-04_odp.01" - } - ], - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-04_odp.05" - } - ], - "label": "organization-defined controlled areas" - }, - { - "id": "mp-04_odp.01", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[01]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to be physically controlled are defined;" - } - ] - }, - { - "id": "mp-04_odp.02", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[02]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to be physically controlled are defined;" - } - ] - }, - { - "id": "mp-04_odp.03", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[03]" - } - ], - "label": "types of digital media", - "guidelines": [ - { - "prose": "types of digital media to be securely stored are defined;" - } - ] - }, - { - "id": "mp-04_odp.04", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[04]" - } - ], - "label": "types of non-digital media", - "guidelines": [ - { - "prose": "types of non-digital media to be securely stored are defined;" - } - ] - }, - { - "id": "mp-04_odp.05", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[05]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which to securely store digital media are defined;" - } - ] - }, - { - "id": "mp-04_odp.06", - "props": [ - { - "name": "label", - "value": "MP-04_ODP[06]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which to securely store non-digital media are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-04" - }, - { - "name": "sort-id", - "value": "mp-04" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }} ; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures." - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.01 }} are physically controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.02 }} are physically controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.03 }} are securely stored within {{ insert: param, mp-04_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-04_odp.04 }} are securely stored within {{ insert: param, mp-04_odp.06 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsystem media\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing secure media storage/media protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-4.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-04(01)" - }, - { - "name": "sort-id", - "value": "mp-04.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "params": [ - { - "id": "mp-4.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-04.02_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "mp-04.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-04(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to restrict access to media storage areas are defined;" - } - ] - }, - { - "id": "mp-04.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-04(02)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to log access attempts and access granted to media storage areas are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-04(02)" - }, - { - "name": "sort-id", - "value": "mp-04.02" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4.2_smt", - "name": "statement", - "prose": "Restrict access to media storage areas and log access attempts and access granted using {{ insert: param, mp-4.2_prm_1 }}." - }, - { - "id": "mp-4.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms include keypads, biometric readers, or card readers on the external entries to media storage areas." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "access to media storage areas is restricted using {{ insert: param, mp-04.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "access attempts to media storage areas are logged using {{ insert: param, mp-04.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-04(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "access granted to media storage areas is logged using {{ insert: param, mp-04.02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nmedia storage facilities\n\naccess control devices\n\naccess control records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting access to media storage areas\n\nautomated mechanisms auditing access attempts and access granted to media storage areas" - } - ] - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "params": [ - { - "id": "mp-5_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-05_odp.02" - } - ], - "label": "organization-defined controls" - }, - { - "id": "mp-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-5_prm_1" - }, - { - "name": "label", - "value": "MP-05_ODP[01]" - } - ], - "label": "types of system media", - "guidelines": [ - { - "prose": "types of system media to protect and control during transport outside of controlled areas are defined;" - } - ] - }, - { - "id": "mp-05_odp.02", - "props": [ - { - "name": "label", - "value": "MP-05_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to protect system media outside of controlled areas are defined;" - } - ] - }, - { - "id": "mp-05_odp.03", - "props": [ - { - "name": "label", - "value": "MP-05_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls used to control system media outside of controlled areas are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-05" - }, - { - "name": "sort-id", - "value": "mp-05" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect and control {{ insert: param, mp-05_odp.01 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain accountability for system media during transport outside of controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document activities associated with the transport of system media; and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restrict the activities associated with the transport of system media to authorized personnel." - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-05_odp.01 }} are protected during transport outside of controlled areas using {{ insert: param, mp-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-05_odp.01 }} are controlled during transport outside of controlled areas using {{ insert: param, mp-05_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05b.", - "class": "sp800-53A" - } - ], - "prose": "accountability for system media is maintained during transport outside of controlled areas;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05c.", - "class": "sp800-53A" - } - ], - "prose": "activities associated with the transport of system media are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.[01]", - "class": "sp800-53A" - } - ], - "prose": "personnel authorized to conduct media transport activities is/are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05d.[02]", - "class": "sp800-53A" - } - ], - "prose": "activities associated with the transport of system media are restricted to identified authorized personnel." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nauthorized personnel list\n\nsystem media\n\ndesignated controlled areas\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media protection and storage responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing media storage/media protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-5.1", - "class": "SP800-53-enhancement", - "title": "Protection Outside of Controlled Areas", - "props": [ - { - "name": "label", - "value": "MP-05(01)" - }, - { - "name": "sort-id", - "value": "mp-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.2", - "class": "SP800-53-enhancement", - "title": "Documentation of Activities", - "props": [ - { - "name": "label", - "value": "MP-05(02)" - }, - { - "name": "sort-id", - "value": "mp-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.3", - "class": "SP800-53-enhancement", - "title": "Custodians", - "props": [ - { - "name": "label", - "value": "MP-05(03)" - }, - { - "name": "sort-id", - "value": "mp-05.03" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-5.3_smt", - "name": "statement", - "prose": "Employ an identified custodian during transport of system media outside of controlled areas." - }, - { - "id": "mp-5.3_gdn", - "name": "guidance", - "prose": "Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a custodian to transport system media outside of controlled areas is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-05(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the identified custodian is employed during the transport of system media outside of controlled areas." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media transport\n\nphysical and environmental protection policy and procedures\n\nsystem media transport records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media transport responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying and employing a custodian to transport media outside of controlled areas" - } - ] - } - ] - }, - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-05(04)" - }, - { - "name": "sort-id", - "value": "mp-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "params": [ - { - "id": "mp-6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-06_odp.01" - } - ], - "label": "organization-defined system media" - }, - { - "id": "mp-6_prm_2", - "props": [ - { - "name": "aggregates", - "value": "mp-06_odp.04" - } - ], - "label": "organization-defined sanitization techniques and procedures" - }, - { - "id": "mp-06_odp.01", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[01]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to disposal is defined;" - } - ] - }, - { - "id": "mp-06_odp.02", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[02]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to release from organizational control is defined;" - } - ] - }, - { - "id": "mp-06_odp.03", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[03]" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized prior to release for reuse is defined;" - } - ] - }, - { - "id": "mp-06_odp.04", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[04]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to disposal are defined;" - } - ] - }, - { - "id": "mp-06_odp.05", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[05]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to release from organizational control are defined;" - } - ] - }, - { - "id": "mp-06_odp.06", - "props": [ - { - "name": "label", - "value": "MP-06_ODP[06]" - } - ], - "label": "sanitization techniques and procedures", - "guidelines": [ - { - "prose": "sanitization techniques and procedures to be used for sanitization prior to release for reuse are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06" - }, - { - "name": "sort-id", - "value": "mp-06" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, mp-6_prm_2 }} ; and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction—prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.01 }} is sanitized using {{ insert: param, mp-06_odp.04 }} prior to disposal;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.02 }} is sanitized using {{ insert: param, mp-06_odp.05 }} prior to release from organizational control;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-06_odp.03 }} is sanitized using {{ insert: param, mp-06_odp.06 }} prior to release for reuse;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06b.", - "class": "sp800-53A" - } - ], - "prose": "sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization policy\n\nmedia sanitization records\n\nsystem audit records\n\nsystem design documentation\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ], - "controls": [ - { - "id": "mp-6.1", - "class": "SP800-53-enhancement", - "title": "Review, Approve, Track, Document, and Verify", - "props": [ - { - "name": "label", - "value": "MP-06(01)" - }, - { - "name": "sort-id", - "value": "mp-06.01" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.1_smt", - "name": "statement", - "prose": "Review, approve, track, document, and verify media sanitization and disposal actions." - }, - { - "id": "mp-6.1_gdn", - "name": "guidance", - "prose": "Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are tracked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[04]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(01)[05]", - "class": "sp800-53A" - } - ], - "prose": "media sanitization and disposal actions are verified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nmedia sanitization and disposal records\n\nreview records for media sanitization and disposal actions\n\napprovals for media sanitization and disposal actions\n\ntracking records\n\nverification records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization and disposal responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing verification of media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-6.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-06.02_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "mp-06.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-06(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to test sanitization equipment is defined;" - } - ] - }, - { - "id": "mp-06.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-06(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to test sanitization procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(02)" - }, - { - "name": "sort-id", - "value": "mp-06.02" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to ensure that the intended sanitization is being achieved." - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "sanitization equipment is tested {{ insert: param, mp-06.02_odp.01 }} to ensure that the intended sanitization is being achieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "sanitization procedures are tested {{ insert: param, mp-06.02_odp.02 }} to ensure that the intended sanitization is being achieved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nprocedures addressing testing of media sanitization equipment\n\nresults of media sanitization equipment and procedures testing\n\nsystem audit records\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with records retention and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization procedures\n\nsanitization equipment" - } - ] - } - ] - }, - { - "id": "mp-6.3", - "class": "SP800-53-enhancement", - "title": "Nondestructive Techniques", - "params": [ - { - "id": "mp-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.3_prm_1" - }, - { - "name": "label", - "value": "MP-06(03)_ODP" - } - ], - "label": "circumstances requiring sanitization of portable storage devices", - "guidelines": [ - { - "prose": "circumstances requiring sanitization of portable storage devices are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(03)" - }, - { - "name": "sort-id", - "value": "mp-06.03" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.3_smt", - "name": "statement", - "prose": "Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-06.03_odp }}." - }, - { - "id": "mp-6.3_gdn", - "name": "guidance", - "prose": "Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(03)", - "class": "sp800-53A" - } - ], - "prose": "non-destructive sanitization techniques are applied to portable storage devices prior to connecting such devices to the system under {{ insert: param, mp-06.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\ninformation on portable storage devices for the system\n\nlist of circumstances requiring sanitization of portable storage devices\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization of portable storage devices\n\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.4", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-06(04)" - }, - { - "name": "sort-id", - "value": "mp-06.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.5", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-06(05)" - }, - { - "name": "sort-id", - "value": "mp-06.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.6", - "class": "SP800-53-enhancement", - "title": "Media Destruction", - "props": [ - { - "name": "label", - "value": "MP-06(06)" - }, - { - "name": "sort-id", - "value": "mp-06.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "mp-06.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.7_prm_1" - }, - { - "name": "label", - "value": "MP-06(07)_ODP" - } - ], - "label": "system media", - "guidelines": [ - { - "prose": "system media to be sanitized using dual authorization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(07)" - }, - { - "name": "sort-id", - "value": "mp-06.07" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the sanitization of {{ insert: param, mp-06.07_odp }}." - }, - { - "id": "mp-6.7_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals who sanitize system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(07)", - "class": "sp800-53A" - } - ], - "prose": "dual authorization for sanitization of {{ insert: param, mp-06.07_odp }} is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\ndual authorization policy and procedures\n\nlist of system media requiring dual authorization for sanitization\n\nauthorization records\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes requiring dual authorization for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization\n\nautomated mechanisms supporting and/or implementing dual authorization" - } - ] - } - ] - }, - { - "id": "mp-6.8", - "class": "SP800-53-enhancement", - "title": "Remote Purging or Wiping of Information", - "params": [ - { - "id": "mp-06.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_1" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components to purge or wipe information either remotely or under specific conditions are defined;" - } - ] - }, - { - "id": "mp-06.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_2" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[02]" - } - ], - "select": { - "choice": [ - "remotely", - "under{{ insert: param, mp-06.08_odp.03 }} " - ] - } - }, - { - "id": "mp-06.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-6.8_prm_3" - }, - { - "name": "label", - "value": "MP-06(08)_ODP[03]" - } - ], - "label": "conditions", - "guidelines": [ - { - "prose": "conditions under which information is to be purged or wiped are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-06(08)" - }, - { - "name": "sort-id", - "value": "mp-06.08" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-6.8_smt", - "name": "statement", - "prose": "Provide the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }}." - }, - { - "id": "mp-6.8_gdn", - "name": "guidance", - "prose": "Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-06(08)", - "class": "sp800-53A" - } - ], - "prose": "the capability to purge or wipe information from {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02 }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-06(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media sanitization and disposal\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nauthorization records\n\nmedia sanitization records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-06(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-06(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for purging/wiping media\n\nautomated mechanisms supporting and/or implementing purge/wipe capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "params": [ - { - "id": "mp-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_2" - }, - { - "name": "label", - "value": "MP-07_ODP[01]" - } - ], - "label": "types of system media", - "guidelines": [ - { - "prose": "types of system media to be restricted or prohibited from use on systems or system components are defined;" - } - ] - }, - { - "id": "mp-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_1" - }, - { - "name": "label", - "value": "MP-07_ODP[02]" - } - ], - "select": { - "choice": [ - "restrict", - "prohibit" - ] - } - }, - { - "id": "mp-07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_3" - }, - { - "name": "label", - "value": "MP-07_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components on which the use of specific types of system media to be restricted or prohibited are defined;" - } - ] - }, - { - "id": "mp-07_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-7_prm_4" - }, - { - "name": "label", - "value": "MP-07_ODP[04]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to restrict or prohibit the use of specific types of system media on systems or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-07" - }, - { - "name": "sort-id", - "value": "mp-07" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "parts": [ - { - "id": "mp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, mp-07_odp.02 }} the use of {{ insert: param, mp-07_odp.01 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }} ; and" - }, - { - "id": "mp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner." - } - ] - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to [MP-2](#mp-2) , which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07a.", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, mp-07_odp.01 }} is {{ insert: param, mp-07_odp.02 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07b.", - "class": "sp800-53A" - } - ], - "prose": "the use of portable storage devices in organizational systems is prohibited when such devices have no identifiable owner." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nrules of behavior\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of system media on systems or system components" - } - ] - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "props": [ - { - "name": "label", - "value": "MP-07(01)" - }, - { - "name": "sort-id", - "value": "mp-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-7.2", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Sanitization-resistant Media", - "props": [ - { - "name": "label", - "value": "MP-07(02)" - }, - { - "name": "sort-id", - "value": "mp-07.02" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "required" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7.2_smt", - "name": "statement", - "prose": "Prohibit the use of sanitization-resistant media in organizational systems." - }, - { - "id": "mp-7.2_gdn", - "name": "guidance", - "prose": "Sanitization resistance refers to how resistant media are to non-destructive sanitization techniques with respect to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media includes compact flash, embedded flash on boards and devices, solid state drives, and USB removable media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "sanitization-resistant media is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-07(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of sanitization-resistant media in organizational systems is prohibited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nrules of behavior\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\n\nautomated mechanisms prohibiting use of media on systems or system components" - } - ] - } - ] - } - ] - }, - { - "id": "mp-8", - "class": "SP800-53", - "title": "Media Downgrading", - "params": [ - { - "id": "mp-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-8_prm_1" - }, - { - "name": "label", - "value": "MP-08_ODP[01]" - } - ], - "label": "system media downgrading process", - "guidelines": [ - { - "prose": "a system media downgrading process is defined;" - } - ] - }, - { - "id": "mp-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "mp-8_prm_2" - }, - { - "name": "label", - "value": "MP-08_ODP[02]" - } - ], - "label": "system media requiring downgrading", - "guidelines": [ - { - "prose": "system media requiring downgrading is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-08" - }, - { - "name": "sort-id", - "value": "mp-08" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21", - "rel": "reference" - } - ], - "parts": [ - { - "id": "mp-8_smt", - "name": "statement", - "parts": [ - { - "id": "mp-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, mp-08_odp.01 }} that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - }, - { - "id": "mp-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;" - }, - { - "id": "mp-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify {{ insert: param, mp-08_odp.02 }} ; and" - }, - { - "id": "mp-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Downgrade the identified system media using the established process." - } - ] - }, - { - "id": "mp-8_gdn", - "name": "guidance", - "prose": "Media downgrading applies to digital and non-digital media subject to release outside of the organization, whether the media is considered removable or not. When applied to system media, the downgrading process removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading ensures that empty space on the media is devoid of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, mp-08_odp.01 }} is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, mp-08_odp.01 }} includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "there is verification that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "there is verification that the system media downgrading process is commensurate with the access authorizations of the potential recipients of the downgraded information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, mp-08_odp.02 }} is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08d.", - "class": "sp800-53A" - } - ], - "prose": "the identified system media is downgraded using the {{ insert: param, mp-08_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nsystem categorization documentation\n\nlist of media requiring downgrading\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ], - "controls": [ - { - "id": "mp-8.1", - "class": "SP800-53-enhancement", - "title": "Documentation of Process", - "props": [ - { - "name": "label", - "value": "MP-08(01)" - }, - { - "name": "sort-id", - "value": "mp-08.01" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.1_smt", - "name": "statement", - "prose": "Document system media downgrading actions." - }, - { - "id": "mp-8.1_gdn", - "name": "guidance", - "prose": "Organizations can document the media downgrading process by providing information, such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(01)", - "class": "sp800-53A" - } - ], - "prose": "system media downgrading actions are documented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nsystem categorization documentation\n\nlist of media requiring downgrading\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "mp-08.02_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "mp-08.02_odp.01", - "props": [ - { - "name": "label", - "value": "MP-08(02)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which to test downgrading equipment is defined;" - } - ] - }, - { - "id": "mp-08.02_odp.02", - "props": [ - { - "name": "label", - "value": "MP-08(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which to test downgrading procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "MP-08(02)" - }, - { - "name": "sort-id", - "value": "mp-08.02" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.2_smt", - "name": "statement", - "prose": "Test downgrading equipment and procedures {{ insert: param, mp-8.2_prm_1 }} to ensure that downgrading actions are being achieved." - }, - { - "id": "mp-8.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "downgrading equipment is tested {{ insert: param, mp-08.02_odp.01 }} to ensure that downgrading actions are being achieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "downgrading procedures are tested {{ insert: param, mp-08.02_odp.02 }} to ensure that downgrading actions are being achieved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\nprocedures addressing media downgrading\n\nprocedures addressing testing of media downgrading equipment\n\nresults of downgrading equipment and procedures testing\n\nrecords of media downgrading\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.3", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-08(03)" - }, - { - "name": "sort-id", - "value": "mp-08.03" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.3_smt", - "name": "statement", - "prose": "Downgrade system media containing controlled unclassified information prior to public release." - }, - { - "id": "mp-8.3_gdn", - "name": "guidance", - "prose": "The downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "system media containing controlled unclassified information is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "system media containing controlled unclassified information is downgraded prior to public release." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\naccess authorization policy\n\nprocedures addressing downgrading of media containing CUI\n\napplicable federal and organizational standards and policies regarding protection of CUI\n\nmedia downgrading records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - }, - { - "id": "mp-8.4", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-08(04)" - }, - { - "name": "sort-id", - "value": "mp-08.04" - } - ], - "links": [ - { - "href": "#mp-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "mp-8.4_smt", - "name": "statement", - "prose": "Downgrade system media containing classified information prior to release to individuals without required access authorizations." - }, - { - "id": "mp-8.4_gdn", - "name": "guidance", - "prose": "Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "system media containing classified information is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "MP-08(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "system media containing classified information is downgraded prior to release to individuals without required access authorizations." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System media protection policy\n\naccess authorization policy\n\nprocedures addressing downgrading of media containing classified information\n\nprocedures addressing handling of classified information\n\nNSA standards and policies regarding protection of classified information\n\nmedia downgrading records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system media downgrading responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media downgrading\n\nautomated mechanisms supporting and/or implementing media downgrading" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pe-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-01_odp.01", - "props": [ - { - "name": "label", - "value": "PE-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the physical and environmental protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pe-01_odp.02", - "props": [ - { - "name": "label", - "value": "PE-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the physical and environmental protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pe-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_2" - }, - { - "name": "label", - "value": "PE-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pe-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_3" - }, - { - "name": "label", - "value": "PE-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the physical and environmental protection policy and procedures is defined;" - } - ] - }, - { - "id": "pe-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_4" - }, - { - "name": "label", - "value": "PE-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current physical and environmental protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pe-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_5" - }, - { - "name": "label", - "value": "PE-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current physical and environmental protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pe-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_6" - }, - { - "name": "label", - "value": "PE-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pe-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-1_prm_7" - }, - { - "name": "label", - "value": "PE-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the physical and environmental protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-01" - }, - { - "name": "sort-id", - "value": "pe-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pe-01_odp.03 }} physical and environmental protection policy that:", - "parts": [ - { - "id": "pe-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pe-01_odp.04 }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and" - }, - { - "id": "pe-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current physical and environmental protection:", - "parts": [ - { - "id": "pe-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pe-01_odp.05 }} and following {{ insert: param, pe-01_odp.06 }} ; and" - }, - { - "id": "pe-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pe-01_odp.07 }} and following {{ insert: param, pe-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a physical and environmental protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the physical and environmental protection policy is disseminated to {{ insert: param, pe-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "physical and environmental protection procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the physical and environmental protection procedures are disseminated to {{ insert: param, pe-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pe-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection policy is reviewed and updated {{ insert: param, pe-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection policy is reviewed and updated following {{ insert: param, pe-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection procedures are reviewed and updated {{ insert: param, pe-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current physical and environmental protection procedures are reviewed and updated following {{ insert: param, pe-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\n\nsystem security plan\n\nprivacy plan\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "params": [ - { - "id": "pe-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2_prm_1" - }, - { - "name": "label", - "value": "PE-02_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the access list detailing authorized facility access by individuals is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02" - }, - { - "name": "sort-id", - "value": "pe-02" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issue authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the access list detailing authorized facility access by individuals {{ insert: param, pe-02_odp }} ; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remove individuals from the facility access list when access is no longer required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a list of individuals with authorized access to the facility where the system resides has been developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the list of individuals with authorized access to the facility where the system resides has been approved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the list of individuals with authorized access to the facility where the system resides has been maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02b.", - "class": "sp800-53A" - } - ], - "prose": "authorization credentials are issued for facility access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02c.", - "class": "sp800-53A" - } - ], - "prose": "the access list detailing authorized facility access by individuals is reviewed {{ insert: param, pe-02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02d.", - "class": "sp800-53A" - } - ], - "prose": "individuals are removed from the facility access list when access is no longer required." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ], - "controls": [ - { - "id": "pe-2.1", - "class": "SP800-53-enhancement", - "title": "Access by Position or Role", - "props": [ - { - "name": "label", - "value": "PE-02(01)" - }, - { - "name": "sort-id", - "value": "pe-02.01" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.1_smt", - "name": "statement", - "prose": "Authorize physical access to the facility where the system resides based on position or role." - }, - { - "id": "pe-2.1_gdn", - "name": "guidance", - "prose": "Role-based facility access includes access by authorized permanent and regular/routine maintenance personnel, duty officers, and emergency medical staff." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(01)", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is authorized based on position or role." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nphysical access control logs or records\n\nlist of positions/roles and corresponding physical access authorizations\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - }, - { - "id": "pe-2.2", - "class": "SP800-53-enhancement", - "title": "Two Forms of Identification", - "params": [ - { - "id": "pe-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.2_prm_1" - }, - { - "name": "label", - "value": "PE-02(02)_ODP" - } - ], - "label": "list of acceptable forms of identification", - "guidelines": [ - { - "prose": "a list of acceptable forms of identification for visitor access to the facility where the system resides is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02(02)" - }, - { - "name": "sort-id", - "value": "pe-02.02" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.2_smt", - "name": "statement", - "prose": "Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: {{ insert: param, pe-02.02_odp }}." - }, - { - "id": "pe-2.2_gdn", - "name": "guidance", - "prose": "Acceptable forms of identification include passports, REAL ID-compliant drivers’ licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(02)", - "class": "sp800-53A" - } - ], - "prose": "two forms of identification are required from {{ insert: param, pe-02.02_odp }} for visitor access to the facility where the system resides." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nlist of acceptable forms of identification for visitor access to the facility where the system resides\n\naccess authorization forms\n\naccess credentials\n\nphysical access control logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to the system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - }, - { - "id": "pe-2.3", - "class": "SP800-53-enhancement", - "title": "Restrict Unescorted Access", - "params": [ - { - "id": "pe-02.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.3_prm_1" - }, - { - "name": "label", - "value": "PE-02(03)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security clearances for all information contained within the system", - "formal access authorizations for all information contained within the system", - "need for access to all information contained within the system", - " {{ insert: param, pe-02.03_odp.02 }} " - ] - } - }, - { - "id": "pe-02.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-2.3_prm_2" - }, - { - "name": "label", - "value": "PE-02(03)_ODP[02]" - } - ], - "label": "physical access authorizations", - "guidelines": [ - { - "prose": "physical access authorizations for unescorted access to the facility where the system resides are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-02(03)" - }, - { - "name": "sort-id", - "value": "pe-02.03" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "required" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.3_smt", - "name": "statement", - "prose": "Restrict unescorted access to the facility where the system resides to personnel with {{ insert: param, pe-02.03_odp.01 }}." - }, - { - "id": "pe-2.3_gdn", - "name": "guidance", - "prose": "Individuals without required security clearances, access approvals, or need to know are escorted by individuals with appropriate physical access authorizations to ensure that information is not exposed or otherwise compromised." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-02(03)", - "class": "sp800-53A" - } - ], - "prose": "unescorted access to the facility where the system resides is restricted to personnel with {{ insert: param, pe-02.03_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nauthorized personnel access list\n\nsecurity clearances\n\naccess authorizations\n\naccess credentials\n\nphysical access control logs or records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to the system facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access authorizations" - } - ] - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "params": [ - { - "id": "pe-3_prm_9", - "props": [ - { - "name": "aggregates", - "value": "pe-03_odp.09" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pe-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_1" - }, - { - "name": "label", - "value": "PE-03_ODP[01]" - } - ], - "label": "entry and exit points", - "guidelines": [ - { - "prose": "entry and exit points to the facility in which the system resides are defined;" - } - ] - }, - { - "id": "pe-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_2" - }, - { - "name": "label", - "value": "PE-03_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pe-03_odp.03 }} ", - "guards" - ] - } - }, - { - "id": "pe-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_3" - }, - { - "name": "label", - "value": "PE-03_ODP[03]" - } - ], - "label": "systems or devices", - "guidelines": [ - { - "prose": "physical access control systems or devices used to control ingress and egress to the facility are defined (if selected);" - } - ] - }, - { - "id": "pe-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_4" - }, - { - "name": "label", - "value": "PE-03_ODP[04]" - } - ], - "label": "entry or exit points", - "guidelines": [ - { - "prose": "entry or exit points for which physical access logs are maintained are defined;" - } - ] - }, - { - "id": "pe-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_5" - }, - { - "name": "label", - "value": "PE-03_ODP[05]" - } - ], - "label": "physical access controls", - "guidelines": [ - { - "prose": "physical access controls to control access to areas within the facility designated as publicly accessible are defined;" - } - ] - }, - { - "id": "pe-03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_6" - }, - { - "name": "label", - "value": "PE-03_ODP[06]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances requiring visitor escorts and control of visitor activity are defined;" - } - ] - }, - { - "id": "pe-03_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_7" - }, - { - "name": "label", - "value": "PE-03_ODP[07]" - } - ], - "label": "physical access devices", - "guidelines": [ - { - "prose": "physical access devices to be inventoried are defined;" - } - ] - }, - { - "id": "pe-03_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3_prm_8" - }, - { - "name": "label", - "value": "PE-03_ODP[08]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to inventory physical access devices is defined;" - } - ] - }, - { - "id": "pe-03_odp.09", - "props": [ - { - "name": "label", - "value": "PE-03_ODP[09]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to change combinations is defined;" - } - ] - }, - { - "id": "pe-03_odp.10", - "props": [ - { - "name": "label", - "value": "PE-03_ODP[10]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to change keys is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03" - }, - { - "name": "sort-id", - "value": "pe-03" - } - ], - "links": [ - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#2100332a-16a5-4598-bacf-7261baea9711", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce physical access authorizations at {{ insert: param, pe-03_odp.01 }} by:", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Verifying individual access authorizations before granting access to the facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain physical access audit logs for {{ insert: param, pe-03_odp.04 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, pe-03_odp.05 }};" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escort visitors and control visitor activity {{ insert: param, pe-03_odp.06 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secure keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventory {{ insert: param, pe-03_odp.07 }} every {{ insert: param, pe-03_odp.08 }} ; and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Change combinations and keys {{ insert: param, pe-3_prm_9 }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.01", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by verifying individual access authorizations before granting access to the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03a.02", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03b.", - "class": "sp800-53A" - } - ], - "prose": "physical access audit logs are maintained for {{ insert: param, pe-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03c.", - "class": "sp800-53A" - } - ], - "prose": "access to areas within the facility designated as publicly accessible are maintained by implementing {{ insert: param, pe-03_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "visitors are escorted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "visitor activity is controlled {{ insert: param, pe-03_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[01]", - "class": "sp800-53A" - } - ], - "prose": "keys are secured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[02]", - "class": "sp800-53A" - } - ], - "prose": "combinations are secured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03e.[03]", - "class": "sp800-53A" - } - ], - "prose": "other physical access devices are secured;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03f.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-03_odp.07 }} are inventoried {{ insert: param, pe-03_odp.08 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.[01]", - "class": "sp800-53A" - } - ], - "prose": "combinations are changed {{ insert: param, pe-03_odp.09 }} , when combinations are compromised, or when individuals possessing the combinations are transferred or terminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03g.[02]", - "class": "sp800-53A" - } - ], - "prose": "keys are changed {{ insert: param, pe-03_odp.10 }} , when keys are lost, or when individuals possessing the keys are transferred or terminated." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\nsystem entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible areas within facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices" - } - ] - } - ], - "controls": [ - { - "id": "pe-3.1", - "class": "SP800-53-enhancement", - "title": "System Access", - "params": [ - { - "id": "pe-03.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.1_prm_1" - }, - { - "name": "label", - "value": "PE-03(01)_ODP" - } - ], - "label": "physical spaces", - "guidelines": [ - { - "prose": "physical spaces containing one or more components of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(01)" - }, - { - "name": "sort-id", - "value": "pe-03.01" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.1_smt", - "name": "statement", - "prose": "Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-03.01_odp }}." - }, - { - "id": "pe-3.1_gdn", - "name": "guidance", - "prose": "Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access authorizations to the system are enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(01)02]", - "class": "sp800-53A" - } - ], - "prose": "physical access controls are enforced for the facility at {{ insert: param, pe-03.01_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\nsystem entry and exit points\n\nlist of areas within the facility containing concentrations of system components or system components requiring additional physical protection\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the information system/components\n\nautomated mechanisms supporting and/or implementing physical access control for facility areas containing system components" - } - ] - } - ] - }, - { - "id": "pe-3.2", - "class": "SP800-53-enhancement", - "title": "Facility and Systems", - "params": [ - { - "id": "pe-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.2_prm_1" - }, - { - "name": "label", - "value": "PE-03(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(02)" - }, - { - "name": "sort-id", - "value": "pe-03.02" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.2_smt", - "name": "statement", - "prose": "Perform security checks {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "id": "pe-3.2_gdn", - "name": "guidance", - "prose": "Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(02)", - "class": "sp800-53A" - } - ], - "prose": "security checks are performed {{ insert: param, pe-03.02_odp }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nrecords of security checks\n\nsecurity audit reports\n\nsecurity inspection reports\n\nfacility layout documentation\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the facility and/or system\n\nautomated mechanisms supporting and/or implementing physical access control for the facility or system\n\nautomated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information" - } - ] - } - ] - }, - { - "id": "pe-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Guards", - "params": [ - { - "id": "pe-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.3_prm_1" - }, - { - "name": "label", - "value": "PE-03(03)_ODP" - } - ], - "label": "physical access points", - "guidelines": [ - { - "prose": "physical access points to the facility where the system resides are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(03)" - }, - { - "name": "sort-id", - "value": "pe-03.03" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.3_smt", - "name": "statement", - "prose": "Employ guards to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "id": "pe-3.3_gdn", - "name": "guidance", - "prose": "Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(03)", - "class": "sp800-53A" - } - ], - "prose": "guards are employed to control {{ insert: param, pe-03.03_odp }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nphysical access control devices\n\nfacility surveillance records\n\nfacility layout documentation\n\nsystem entry and exit points\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the facility where the system resides\n\nautomated mechanisms supporting and/or implementing physical access control for the facility where the system resides" - } - ] - } - ] - }, - { - "id": "pe-3.4", - "class": "SP800-53-enhancement", - "title": "Lockable Casings", - "params": [ - { - "id": "pe-03.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.4_prm_1" - }, - { - "name": "label", - "value": "PE-03(04)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be protected from unauthorized physical access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(04)" - }, - { - "name": "sort-id", - "value": "pe-03.04" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.4_smt", - "name": "statement", - "prose": "Use lockable physical casings to protect {{ insert: param, pe-03.04_odp }} from unauthorized physical access." - }, - { - "id": "pe-3.4_gdn", - "name": "guidance", - "prose": "The greatest risk from the use of portable devices—such as smart phones, tablets, and notebook computers—is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(04)", - "class": "sp800-53A" - } - ], - "prose": "lockable physical casings are used to protect {{ insert: param, pe-03.04_odp }} from unauthorized access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of system components requiring protection through lockable physical casings\n\nlockable physical casings\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Lockable physical casings" - } - ] - } - ] - }, - { - "id": "pe-3.5", - "class": "SP800-53-enhancement", - "title": "Tamper Protection", - "params": [ - { - "id": "pe-03.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_1" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[01]" - } - ], - "label": "anti-tamper technologies", - "guidelines": [ - { - "prose": "anti-tamper technologies to be employed are defined;" - } - ] - }, - { - "id": "pe-03.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_2" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "detect", - "prevent" - ] - } - }, - { - "id": "pe-03.05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.5_prm_3" - }, - { - "name": "label", - "value": "PE-03(05)_ODP[03]" - } - ], - "label": "hardware components", - "guidelines": [ - { - "prose": "hardware components to be protected from physical tampering or alteration are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(05)" - }, - { - "name": "sort-id", - "value": "pe-03.05" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-03.05_odp.01 }} to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system." - }, - { - "id": "pe-3.5_gdn", - "name": "guidance", - "prose": "Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-03.05_odp.01 }} are employed to {{ insert: param, pe-03.05_odp.02 }} physical tampering or alteration of {{ insert: param, pe-03.05_odp.03 }} within the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of security safeguards to detect/prevent physical tampering or alteration of system hardware components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes to detect/prevent physical tampering or alteration of system hardware components\n\nautomated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of system hardware components" - } - ] - } - ] - }, - { - "id": "pe-3.6", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "props": [ - { - "name": "label", - "value": "PE-03(06)" - }, - { - "name": "sort-id", - "value": "pe-03.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-3.7", - "class": "SP800-53-enhancement", - "title": "Physical Barriers", - "props": [ - { - "name": "label", - "value": "PE-03(07)" - }, - { - "name": "sort-id", - "value": "pe-03.07" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.7_smt", - "name": "statement", - "prose": "Limit access using physical barriers." - }, - { - "id": "pe-3.7_gdn", - "name": "guidance", - "prose": "Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(07)", - "class": "sp800-53A" - } - ], - "prose": "physical barriers are used to limit access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of physical barriers to limit access to the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-3.8", - "class": "SP800-53-enhancement", - "title": "Access Control Vestibules", - "params": [ - { - "id": "pe-03.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-3.8_prm_1" - }, - { - "name": "label", - "value": "PE-03(08)_ODP" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations within the facility where access control vestibules are to be employed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-03(08)" - }, - { - "name": "sort-id", - "value": "pe-03.08" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-3.8_smt", - "name": "statement", - "prose": "Employ access control vestibules at {{ insert: param, pe-03.08_odp }}." - }, - { - "id": "pe-3.8_gdn", - "name": "guidance", - "prose": "An access control vestibule is part of a physical access control system that typically provides a space between two sets of interlocking doors. Vestibules are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Interlocking door controllers can be used to limit the number of individuals who enter controlled access points and to provide containment areas while authorization for physical access is verified. Interlocking door controllers can be fully automated (i.e., controlling the opening and closing of the doors) or partially automated (i.e., using security guards to control the number of individuals entering the containment area)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-03(08)", - "class": "sp800-53A" - } - ], - "prose": "access control vestibules are employed at {{ insert: param, pe-03.08_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nlist of access control vestibules and locations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vestibules to prevent unauthorized access." - } - ] - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission", - "params": [ - { - "id": "pe-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-4_prm_1" - }, - { - "name": "label", - "value": "PE-04_ODP[01]" - } - ], - "label": "system distribution and transmission lines", - "guidelines": [ - { - "prose": "system distribution and transmission lines requiring physical access controls are defined;" - } - ] - }, - { - "id": "pe-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-4_prm_2" - }, - { - "name": "label", - "value": "PE-04_ODP[02]" - } - ], - "label": "security controls", - "guidelines": [ - { - "prose": "security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-04" - }, - { - "name": "sort-id", - "value": "pe-04" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "Control physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities using {{ insert: param, pe-04_odp.02 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-04", - "class": "sp800-53A" - } - ], - "prose": "physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities is controlled using {{ insert: param, pe-04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing access control for transmission mediums\n\nsystem design documentation\n\nfacility communications and wiring diagrams\n\nlist of physical security safeguards applied to system distribution and transmission lines\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to distribution and transmission lines\n\nautomated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines" - } - ] - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "params": [ - { - "id": "pe-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-5_prm_1" - }, - { - "name": "label", - "value": "PE-05_ODP" - } - ], - "label": "output devices", - "guidelines": [ - { - "prose": "output devices that require physical access control to output are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-05" - }, - { - "name": "sort-id", - "value": "pe-05" - } - ], - "links": [ - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "Control physical access to output from {{ insert: param, pe-05_odp }} to prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-05", - "class": "sp800-53A" - } - ], - "prose": "physical access to output from {{ insert: param, pe-05_odp }} is controlled to prevent unauthorized individuals from obtaining the output." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing access control for display medium\n\nfacility layout of system components\n\nactual displays from system components\n\nlist of output devices and associated outputs requiring physical access controls\n\nphysical access control logs or records for areas containing output devices and related outputs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output devices" - } - ] - } - ], - "controls": [ - { - "id": "pe-5.1", - "class": "SP800-53-enhancement", - "title": "Access to Output by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "PE-05(01)" - }, - { - "name": "sort-id", - "value": "pe-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-5.2", - "class": "SP800-53-enhancement", - "title": "Link to Individual Identity", - "props": [ - { - "name": "label", - "value": "PE-05(02)" - }, - { - "name": "sort-id", - "value": "pe-05.02" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-5.2_smt", - "name": "statement", - "prose": "Link individual identity to receipt of output from output devices." - }, - { - "id": "pe-5.2_gdn", - "name": "guidance", - "prose": "Methods for linking individual identity to the receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-05(02)", - "class": "sp800-53A" - } - ], - "prose": "individual identity is linked to the receipt of output from output devices." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of output devices and associated outputs requiring physical access controls\n\nphysical access control logs or records for areas containing output devices and related outputs\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output devices" - } - ] - } - ] - }, - { - "id": "pe-5.3", - "class": "SP800-53-enhancement", - "title": "Marking Output Devices", - "props": [ - { - "name": "label", - "value": "PE-05(03)" - }, - { - "name": "sort-id", - "value": "pe-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "params": [ - { - "id": "pe-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6_prm_1" - }, - { - "name": "label", - "value": "PE-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review physical access logs is defined;" - } - ] - }, - { - "id": "pe-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6_prm_2" - }, - { - "name": "label", - "value": "PE-06_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events or potential indication of events requiring physical access logs to be reviewed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06" - }, - { - "name": "sort-id", - "value": "pe-06" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review physical access logs {{ insert: param, pe-06_odp.01 }} and upon occurrence of {{ insert: param, pe-06_odp.02 }} ; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate results of reviews and investigations with the organizational incident response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as [AU-2](#au-2) , if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06a.", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored to detect and respond to physical security incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access logs are reviewed {{ insert: param, pe-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06b.[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access logs are reviewed upon occurrence of {{ insert: param, pe-06_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "results of reviews are coordinated with organizational incident response capabilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "results of investigations are coordinated with organizational incident response capabilities." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing the review of physical access logs" - } - ] - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms and Surveillance Equipment", - "props": [ - { - "name": "label", - "value": "PE-06(01)" - }, - { - "name": "sort-id", - "value": "pe-06.01" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment." - }, - { - "id": "pe-6.1_gdn", - "name": "guidance", - "prose": "Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored using physical intrusion alarms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "physical access to the facility where the system resides is monitored using physical surveillance equipment." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical intrusion alarms and surveillance equipment\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment" - } - ] - } - ] - }, - { - "id": "pe-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Intrusion Recognition and Responses", - "params": [ - { - "id": "pe-06.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_1" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[01]" - } - ], - "label": "classes or types of intrusions", - "guidelines": [ - { - "prose": "classes or types of intrusions to be recognized by automated mechanisms are defined;" - } - ] - }, - { - "id": "pe-06.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_2" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[02]" - } - ], - "label": "response actions", - "guidelines": [ - { - "prose": "response actions to be initiated by automated mechanisms when organization-defined classes or types of intrusions are recognized are defined;" - } - ] - }, - { - "id": "pe-06.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.2_prm_3" - }, - { - "name": "label", - "value": "PE-06(02)_ODP[03]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to recognize classes or types of intrusions and initiate response actions (defined in PE-06(02)_ODP) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(02)" - }, - { - "name": "sort-id", - "value": "pe-06.02" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6.2_smt", - "name": "statement", - "prose": "Recognize {{ insert: param, pe-06.02_odp.01 }} and initiate {{ insert: param, pe-06.02_odp.02 }} using {{ insert: param, pe-06.02_odp.03 }}." - }, - { - "id": "pe-6.2_gdn", - "name": "guidance", - "prose": "Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-06.02_odp.01 }} are recognized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-06.02_odp.02 }} are initiated using {{ insert: param, pe-06.02_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of response actions to be initiated when specific classes/types of intrusions are recognized\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response" - } - ] - } - ] - }, - { - "id": "pe-6.3", - "class": "SP800-53-enhancement", - "title": "Video Surveillance", - "params": [ - { - "id": "pe-06.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_1" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[01]" - } - ], - "label": "operational areas", - "guidelines": [ - { - "prose": "operational areas where video surveillance is to be employed are defined;" - } - ] - }, - { - "id": "pe-06.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_2" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review video recordings is defined;" - } - ] - }, - { - "id": "pe-06.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.3_prm_3" - }, - { - "name": "label", - "value": "PE-06(03)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for which to retain video recordings is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(03)" - }, - { - "name": "sort-id", - "value": "pe-06.03" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ video surveillance of {{ insert: param, pe-06.03_odp.01 }};" - }, - { - "id": "pe-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review video recordings {{ insert: param, pe-06.03_odp.02 }} ; and" - }, - { - "id": "pe-6.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retain video recordings for {{ insert: param, pe-06.03_odp.03 }}." - } - ] - }, - { - "id": "pe-6.3_gdn", - "name": "guidance", - "prose": "Video surveillance focuses on recording activity in specified areas for the purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required, although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "video surveillance of {{ insert: param, pe-06.03_odp.01 }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "video recording are reviewed {{ insert: param, pe-06.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "video recordings are retained for {{ insert: param, pe-06.03_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nvideo surveillance equipment used to monitor operational areas\n\nvideo recordings of operational areas where video surveillance is employed\n\nvideo surveillance equipment logs or records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing video surveillance" - } - ] - } - ] - }, - { - "id": "pe-6.4", - "class": "SP800-53-enhancement", - "title": "Monitoring Physical Access to Systems", - "params": [ - { - "id": "pe-06.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-6.4_prm_1" - }, - { - "name": "label", - "value": "PE-06(04)_ODP" - } - ], - "label": "physical spaces", - "guidelines": [ - { - "prose": "physical spaces containing one or more components of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-06(04)" - }, - { - "name": "sort-id", - "value": "pe-06.04" - } - ], - "links": [ - { - "href": "#pe-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-6.4_smt", - "name": "statement", - "prose": "Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}." - }, - { - "id": "pe-6.4_gdn", - "name": "guidance", - "prose": "Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-06(04)", - "class": "sp800-53A" - } - ], - "prose": "physical access to the system is monitored in addition to the physical access monitoring of the facility at {{ insert: param, pe-06.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-06(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\nlist of areas within the facility containing concentrations of system components or system components requiring additional physical access monitoring\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-06(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-06(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access to the system\n\nautomated mechanisms supporting and/or implementing physical access monitoring for facility areas containing system components" - } - ] - } - ] - } - ] - }, - { - "id": "pe-7", - "class": "SP800-53", - "title": "Visitor Control", - "props": [ - { - "name": "label", - "value": "PE-07" - }, - { - "name": "sort-id", - "value": "pe-07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - }, - { - "href": "#pe-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "params": [ - { - "id": "pe-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_1" - }, - { - "name": "label", - "value": "PE-08_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for which to maintain visitor access records for the facility where the system resides is defined;" - } - ] - }, - { - "id": "pe-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_2" - }, - { - "name": "label", - "value": "PE-08_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review visitor access records is defined;" - } - ] - }, - { - "id": "pe-08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8_prm_3" - }, - { - "name": "label", - "value": "PE-08_ODP[03]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom visitor access records anomalies are reported to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08" - }, - { - "name": "sort-id", - "value": "pe-08" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain visitor access records to the facility where the system resides for {{ insert: param, pe-08_odp.01 }};" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review visitor access records {{ insert: param, pe-08_odp.02 }} ; and" - }, - { - "id": "pe-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Report anomalies in visitor access records to {{ insert: param, pe-08_odp.03 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08a.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records for the facility where the system resides are maintained for {{ insert: param, pe-08_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08b.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are reviewed {{ insert: param, pe-08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08c.", - "class": "sp800-53A" - } - ], - "prose": "visitor access records anomalies are reported to {{ insert: param, pe-08_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access record responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of visitor access records" - } - ] - } - ], - "controls": [ - { - "id": "pe-8.1", - "class": "SP800-53-enhancement", - "title": "Automated Records Maintenance and Review", - "params": [ - { - "id": "pe-8.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-08.01_odp.01" - } - ], - "label": "organization-defined automated mechanisms" - }, - { - "id": "pe-08.01_odp.01", - "props": [ - { - "name": "label", - "value": "PE-08(01)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to maintain visitor access records are defined;" - } - ] - }, - { - "id": "pe-08.01_odp.02", - "props": [ - { - "name": "label", - "value": "PE-08(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to review visitor access records are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08(01)" - }, - { - "name": "sort-id", - "value": "pe-08.01" - } - ], - "links": [ - { - "href": "#pe-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-8.1_smt", - "name": "statement", - "prose": "Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}." - }, - { - "id": "pe-8.1_gdn", - "name": "guidance", - "prose": "Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are maintained using {{ insert: param, pe-08.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "visitor access records are reviewed using {{ insert: param, pe-08.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nautomated mechanisms supporting management of visitor access records\n\nvisitor access control logs or records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access record responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of visitor access records" - } - ] - } - ] - }, - { - "id": "pe-8.2", - "class": "SP800-53-enhancement", - "title": "Physical Access Records", - "props": [ - { - "name": "label", - "value": "PE-08(02)" - }, - { - "name": "sort-id", - "value": "pe-08.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "pe-08.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-8.3_prm_1" - }, - { - "name": "label", - "value": "PE-08(03)_ODP" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements identified in the privacy risk assessment to limit personally identifiable information contained in visitor access logs are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-08(03)" - }, - { - "name": "sort-id", - "value": "pe-08.03" - } - ], - "links": [ - { - "href": "#pe-8", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in visitor access records to the following elements identified in the privacy risk assessment: {{ insert: param, pe-08.03_odp }}." - }, - { - "id": "pe-8.3_gdn", - "name": "guidance", - "prose": "Organizations may have requirements that specify the contents of visitor access records. Limiting personally identifiable information in visitor access records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-08(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information contained in visitor access records is limited to {{ insert: param, pe-08.03_odp }} identified in the privacy risk assessment." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\npersonally identifiable information processing policy\n\nprivacy risk assessment documentation\n\nprivacy impact assessment\n\nvisitor access records\n\npersonally identifiable information inventory\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records" - } - ] - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "props": [ - { - "name": "label", - "value": "PE-09" - }, - { - "name": "sort-id", - "value": "pe-09" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "Protect power equipment and power cabling for the system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09[01]", - "class": "sp800-53A" - } - ], - "prose": "power equipment for the system is protected from damage and destruction;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09[02]", - "class": "sp800-53A" - } - ], - "prose": "power cabling for the system is protected from damage and destruction." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility to protect power equipment/cabling\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power equipment/cabling" - } - ] - } - ], - "controls": [ - { - "id": "pe-9.1", - "class": "SP800-53-enhancement", - "title": "Redundant Cabling", - "params": [ - { - "id": "pe-09.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-9.1_prm_1" - }, - { - "name": "label", - "value": "PE-09(01)_ODP" - } - ], - "label": "distance", - "guidelines": [ - { - "prose": "distance by which redundant power cabling paths are to be physically separated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-09(01)" - }, - { - "name": "sort-id", - "value": "pe-09.01" - } - ], - "links": [ - { - "href": "#pe-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-9.1_smt", - "name": "statement", - "prose": "Employ redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }}." - }, - { - "id": "pe-9.1_gdn", - "name": "guidance", - "prose": "Physically separate and redundant power cables ensure that power continues to flow in the event that one of the cables is cut or otherwise damaged." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09(01)", - "class": "sp800-53A" - } - ], - "prose": "redundant power cabling paths that are physically separated by {{ insert: param, pe-09.01_odp }} are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility to protect power equipment/cabling\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power equipment/cabling" - } - ] - } - ] - }, - { - "id": "pe-9.2", - "class": "SP800-53-enhancement", - "title": "Automatic Voltage Controls", - "params": [ - { - "id": "pe-09.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-9.2_prm_1" - }, - { - "name": "label", - "value": "PE-09(02)_ODP" - } - ], - "label": "critical system components", - "guidelines": [ - { - "prose": "the critical system components that require automatic voltage controls are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-09(02)" - }, - { - "name": "sort-id", - "value": "pe-09.02" - } - ], - "links": [ - { - "href": "#pe-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-9.2_smt", - "name": "statement", - "prose": "Employ automatic voltage controls for {{ insert: param, pe-09.02_odp }}." - }, - { - "id": "pe-9.2_gdn", - "name": "guidance", - "prose": "Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-09(02)", - "class": "sp800-53A" - } - ], - "prose": "automatic voltage controls for {{ insert: param, pe-09.02_odp }} are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing voltage control\n\nsecurity plan\n\nlist of critical system components requiring automatic voltage controls\n\nautomatic voltage control mechanisms and associated configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for environmental protection of system components\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-09(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing automatic voltage controls" - } - ] - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "params": [ - { - "id": "pe-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-10_prm_1" - }, - { - "name": "label", - "value": "PE-10_ODP[01]" - } - ], - "label": "system or individual system components", - "guidelines": [ - { - "prose": "system or individual system components that require the capability to shut off power in emergency situations is/are defined;" - } - ] - }, - { - "id": "pe-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-10_prm_2" - }, - { - "name": "label", - "value": "PE-10_ODP[02]" - } - ], - "label": "location", - "guidelines": [ - { - "prose": "location of emergency shutoff switches or devices by system or system component are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "pe-10" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the capability of shutting off power to {{ insert: param, pe-10_odp.01 }} in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Place emergency shutoff switches or devices in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(a)", - "class": "sp800-53A" - } - ], - "prose": "the capability to shut off power to {{ insert: param, pe-10_odp.01 }} in emergency situations is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(b)", - "class": "sp800-53A" - } - ], - "prose": "emergency shutoff switches or devices are placed in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-10(c)", - "class": "sp800-53A" - } - ], - "prose": "the emergency power shutoff capability is protected from unauthorized activation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing power source emergency shutoff\n\nemergency shutoff controls or switches\n\nlocations housing emergency shutoff switches and devices\n\nsecurity safeguards protecting the emergency power shutoff capability from unauthorized activation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability)\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency power shutoff" - } - ] - } - ], - "controls": [ - { - "id": "pe-10.1", - "class": "SP800-53-enhancement", - "title": "Accidental and Unauthorized Activation", - "props": [ - { - "name": "label", - "value": "PE-10(01)" - }, - { - "name": "sort-id", - "value": "pe-10.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-10", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "params": [ - { - "id": "pe-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11_prm_1" - }, - { - "name": "label", - "value": "PE-11_ODP" - } - ], - "select": { - "choice": [ - "an orderly shutdown of the system", - "transition of the system to long-term alternate power" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "pe-11" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "prose": "An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11", - "class": "sp800-53A" - } - ], - "prose": "an uninterruptible power supply is provided to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nuninterruptible power supply\n\nuninterruptible power supply documentation\n\nuninterruptible power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing uninterruptible power supply\n\nthe uninterruptable power supply" - } - ] - } - ], - "controls": [ - { - "id": "pe-11.1", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply — Minimal Operational Capability", - "params": [ - { - "id": "pe-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.1_prm_1" - }, - { - "name": "label", - "value": "PE-11(01)_ODP" - } - ], - "select": { - "choice": [ - "manually", - "automatically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(01)" - }, - { - "name": "sort-id", - "value": "pe-11.01" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-11.1_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.01_odp }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source." - }, - { - "id": "pe-11.1_gdn", - "name": "guidance", - "prose": "Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an alternate power supply provided for the system is activated {{ insert: param, pe-11.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system can maintain minimally required operational capability in the event of an extended loss of the primary power source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nalternate power supply\n\nalternate power supply documentation\n\nalternate power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate power supply\n\nthe alternate power supply" - } - ] - } - ] - }, - { - "id": "pe-11.2", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply — Self-contained", - "params": [ - { - "id": "pe-11.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.2_prm_1" - }, - { - "name": "label", - "value": "PE-11(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "manually", - "automatically" - ] - } - }, - { - "id": "pe-11.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-11.2_prm_2" - }, - { - "name": "label", - "value": "PE-11(02)_ODP[02]" - } - ], - "select": { - "choice": [ - "minimally required operational capability", - "full operational capability" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(02)" - }, - { - "name": "sort-id", - "value": "pe-11.02" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-11.2_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.02_odp.01 }} and that is:", - "parts": [ - { - "id": "pe-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Self-contained;" - }, - { - "id": "pe-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Not reliant on external power generation; and" - }, - { - "id": "pe-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "id": "pe-11.2_gdn", - "name": "guidance", - "prose": "The provision of a long-term, self-contained power supply can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)", - "class": "sp800-53A" - } - ], - "prose": "an alternate power supply provided for the system is activated {{ insert: param, pe-11.02_odp.01 }};", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is self-contained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is not reliant on external power generation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-11(02)(c)", - "class": "sp800-53A" - } - ], - "prose": "the alternate power supply provided for the system is capable of maintaining {{ insert: param, pe-11.02_odp.02 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nalternate power supply\n\nalternate power supply documentation\n\nalternate power supply test records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency power and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate power supply\n\nthe alternate power supply" - } - ] - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "props": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[01]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting that activates in the event of a power outage or disruption is employed for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[02]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting that activates in the event of a power outage or disruption is maintained for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[03]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting for the system covers emergency exits within the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12[04]", - "class": "sp800-53A" - } - ], - "prose": "automatic emergency lighting for the system covers evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency lighting and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the emergency lighting capability" - } - ] - } - ], - "controls": [ - { - "id": "pe-12.1", - "class": "SP800-53-enhancement", - "title": "Essential Mission and Business Functions", - "props": [ - { - "name": "label", - "value": "PE-12(01)" - }, - { - "name": "sort-id", - "value": "pe-12.01" - } - ], - "links": [ - { - "href": "#pe-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-12.1_smt", - "name": "statement", - "prose": "Provide emergency lighting for all areas within the facility supporting essential mission and business functions." - }, - { - "id": "pe-12.1_gdn", - "name": "guidance", - "prose": "Organizations define their essential missions and functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-12(01)", - "class": "sp800-53A" - } - ], - "prose": "emergency lighting is provided for all areas within the facility supporting essential mission and business functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nareas/locations within facility supporting essential missions and business functions\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for emergency lighting and/or planning\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the emergency lighting capability" - } - ] - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "props": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "Employ and maintain fire detection and suppression systems that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[01]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems are employed by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[02]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems are maintained by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[03]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems are employed by an independent energy source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13[04]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems are maintained by an independent energy source." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems" - } - ] - } - ], - "controls": [ - { - "id": "pe-13.1", - "class": "SP800-53-enhancement", - "title": "Detection Systems — Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.1_prm_1" - }, - { - "name": "label", - "value": "PE-13(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified in the event of a fire is/are defined;" - } - ] - }, - { - "id": "pe-13.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.1_prm_2" - }, - { - "name": "label", - "value": "PE-13(01)_ODP[02]" - } - ], - "label": "emergency responders", - "guidelines": [ - { - "prose": "emergency responders to be notified in the event of a fire are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(01)" - }, - { - "name": "sort-id", - "value": "pe-13.01" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.1_smt", - "name": "statement", - "prose": "Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.01_odp.01 }} and {{ insert: param, pe-13.01_odp.02 }} in the event of a fire." - }, - { - "id": "pe-13.1_gdn", - "name": "guidance", - "prose": "Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that activate automatically are employed in the event of a fire;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that notify {{ insert: param, pe-13.01_odp.01 }} automatically are employed in the event of a fire;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "fire detection systems that notify {{ insert: param, pe-13.01_odp.02 }} automatically are employed in the event of a fire." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\nalerts/notifications of fire events\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire detection devices/systems\n\nactivation of fire detection devices/systems (simulated)\n\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Systems — Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.2_prm_1" - }, - { - "name": "label", - "value": "PE-13(02)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified in the event of a fire is/are defined;" - } - ] - }, - { - "id": "pe-13.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.2_prm_2" - }, - { - "name": "label", - "value": "PE-13(02)_ODP[02]" - } - ], - "label": "emergency responders", - "guidelines": [ - { - "prose": "emergency responders to be notified in the event of a fire are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(02)" - }, - { - "name": "sort-id", - "value": "pe-13.02" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-13.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.02_odp.01 }} and {{ insert: param, pe-13.02_odp.02 }} ; and" - }, - { - "id": "pe-13.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis." - } - ] - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that activate automatically are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that notify {{ insert: param, pe-13.02_odp.01 }} automatically are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "fire suppression systems that notify {{ insert: param, pe-13.02_odp.02 }} automatically are employed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression devices/systems\n\nactivation of fire suppression devices/systems (simulated)\n\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "props": [ - { - "name": "label", - "value": "PE-13(03)" - }, - { - "name": "sort-id", - "value": "pe-13.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-13.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-13.4", - "class": "SP800-53-enhancement", - "title": "Inspections", - "params": [ - { - "id": "pe-13.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.4_prm_1" - }, - { - "name": "label", - "value": "PE-13(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for conducting fire protection inspections on the facility is defined;" - } - ] - }, - { - "id": "pe-13.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-13.4_prm_2" - }, - { - "name": "label", - "value": "PE-13(04)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for resolving deficiencies identified by fire protection inspections is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(04)" - }, - { - "name": "sort-id", - "value": "pe-13.04" - } - ], - "links": [ - { - "href": "#pe-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-13.4_smt", - "name": "statement", - "prose": "Ensure that the facility undergoes {{ insert: param, pe-13.04_odp.01 }} fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within {{ insert: param, pe-13.04_odp.02 }}." - }, - { - "id": "pe-13.4_gdn", - "name": "guidance", - "prose": "Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the facility undergoes fire protection inspections {{ insert: param, pe-13.04_odp.01 }} by authorized and qualified inspectors;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-13(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the identified deficiencies from fire protection inspections are resolved within {{ insert: param, pe-13.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfacility housing the system\n\ninspection plans\n\ninspection results\n\ninspect reports\n\ntest records of fire suppression and detection devices/systems\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-13(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for planning, approving, and executing fire inspections\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Environmental Controls", - "params": [ - { - "id": "pe-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_1" - }, - { - "name": "label", - "value": "PE-14_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "temperature", - "humidity", - "pressure", - "radiation", - " {{ insert: param, pe-14_odp.02 }} " - ] - } - }, - { - "id": "pe-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_2" - }, - { - "name": "label", - "value": "PE-14_ODP[02]" - } - ], - "label": "environmental control", - "guidelines": [ - { - "prose": "environmental control levels to be maintained in the facility where the system resides are defined (if selected);" - } - ] - }, - { - "id": "pe-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_3" - }, - { - "name": "label", - "value": "PE-14_ODP[03]" - } - ], - "label": "acceptable levels", - "guidelines": [ - { - "prose": "acceptable levels for environmental controls are defined;" - } - ] - }, - { - "id": "pe-14_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14_prm_4" - }, - { - "name": "label", - "value": "PE-14_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to monitor environmental control levels is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain {{ insert: param, pe-14_odp.01 }} levels within the facility where the system resides at {{ insert: param, pe-14_odp.03 }} ; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitor environmental control levels {{ insert: param, pe-14_odp.04 }}." - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-14_odp.01 }} levels are maintained at {{ insert: param, pe-14_odp.03 }} within the facility where the system resides;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14b.", - "class": "sp800-53A" - } - ], - "prose": "environmental control levels are monitored {{ insert: param, pe-14_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\ntemperature and humidity controls\n\nfacility housing the system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels" - } - ] - } - ], - "controls": [ - { - "id": "pe-14.1", - "class": "SP800-53-enhancement", - "title": "Automatic Controls", - "params": [ - { - "id": "pe-14.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14.1_prm_1" - }, - { - "name": "label", - "value": "PE-14(01)_ODP" - } - ], - "label": "automatic environmental controls", - "guidelines": [ - { - "prose": "automatic environmental controls to prevent fluctuations that are potentially harmful to the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(01)" - }, - { - "name": "sort-id", - "value": "pe-14.01" - } - ], - "links": [ - { - "href": "#pe-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-14.1_smt", - "name": "statement", - "prose": "Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: {{ insert: param, pe-14.01_odp }}." - }, - { - "id": "pe-14.1_gdn", - "name": "guidance", - "prose": "The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-14.01_odp }} are employed in the facility to prevent fluctuations that are potentially harmful to the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity controls\n\nfacility housing the system\n\nautomated mechanisms for temperature and humidity\n\ntemperature and humidity controls\n\ntemperature and humidity documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity levels" - } - ] - } - ] - }, - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms and Notifications", - "params": [ - { - "id": "pe-14.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-14.2_prm_1" - }, - { - "name": "label", - "value": "PE-14(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified by environmental control monitoring when environmental changes are potentially harmful to personnel or equipment is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(02)" - }, - { - "name": "sort-id", - "value": "pe-14.02" - } - ], - "links": [ - { - "href": "#pe-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.02_odp }}." - }, - { - "id": "pe-14.2_gdn", - "name": "guidance", - "prose": "The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "environmental control monitoring is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-14(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the environmental control monitoring capability provides an alarm or notification to {{ insert: param, pe-14.02_odp }} when changes are potentially harmful to personnel or equipment." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing temperature and humidity monitoring\n\nfacility housing the system\n\nlogs or records of temperature and humidity monitoring\n\nrecords of changes to temperature and humidity levels that generate alarms or notifications\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-14(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "props": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is protected from damage resulting from water leakage by providing master shutoff or isolation valves;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[02]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are accessible;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[03]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are working properly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15[04]", - "class": "sp800-53A" - } - ], - "prose": "the master shutoff or isolation valves are known to key personnel." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\n\norganizational process for activating master water shutoff" - } - ] - } - ], - "controls": [ - { - "id": "pe-15.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "pe-15.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-15.1_prm_1" - }, - { - "name": "label", - "value": "PE-15(01)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when the presence of water is detected near the system is/are defined;" - } - ] - }, - { - "id": "pe-15.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-15.1_prm_2" - }, - { - "name": "label", - "value": "PE-15(01)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to detect the presence of water near the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-15(01)" - }, - { - "name": "sort-id", - "value": "pe-15.01" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-15.1_smt", - "name": "statement", - "prose": "Detect the presence of water near the system and alert {{ insert: param, pe-15.01_odp.01 }} using {{ insert: param, pe-15.01_odp.02 }}." - }, - { - "id": "pe-15.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include notification systems, water detection sensors, and alarms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the presence of water near the system can be detected automatically;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-15(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-15.01_odp.01 }} is/are alerted using {{ insert: param, pe-15.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the system\n\nautomated mechanisms for water shutoff valves\n\nautomated mechanisms for detecting the presence of water in the vicinity of the system\n\nalerts/notifications of water detection in system facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing water detection capabilities and alerts for the system" - } - ] - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "params": [ - { - "id": "pe-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pe-16_odp.01" - } - ], - "label": "organization-defined types of system components" - }, - { - "id": "pe-16_odp.01", - "props": [ - { - "name": "label", - "value": "PE-16_ODP[01]" - } - ], - "label": "types of system components", - "guidelines": [ - { - "prose": "types of system components to be authorized and controlled when entering the facility are defined;" - } - ] - }, - { - "id": "pe-16_odp.02", - "props": [ - { - "name": "label", - "value": "PE-16_ODP[02]" - } - ], - "label": "types of system components", - "guidelines": [ - { - "prose": "types of system components to be authorized and controlled when exiting the facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "parts": [ - { - "id": "pe-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize and control {{ insert: param, pe-16_prm_1 }} entering and exiting the facility; and" - }, - { - "id": "pe-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain records of the system components." - } - ] - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.01 }} are authorized when entering the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.01 }} are controlled when entering the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.02 }} are authorized when exiting the facility;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16a.[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-16_odp.02 }} are controlled when exiting the facility;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-16b.", - "class": "sp800-53A" - } - ], - "prose": "records of the system components are maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing the delivery and removal of system components from the facility\n\nfacility housing the system\n\nrecords of items entering and exiting the facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling system components entering and exiting the facility\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility" - } - ] - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "params": [ - { - "id": "pe-17_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-17_prm_1" - }, - { - "name": "label", - "value": "PE-17_ODP[01]" - } - ], - "label": "alternate work sites", - "guidelines": [ - { - "prose": "alternate work sites allowed for use by employees are defined;" - } - ] - }, - { - "id": "pe-17_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-17_prm_2" - }, - { - "name": "label", - "value": "PE-17_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed at alternate work sites are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "pe-17" - } - ], - "links": [ - { - "href": "#83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pe-17_odp.01 }} allowed for use by employees;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls at alternate work sites: {{ insert: param, pe-17_odp.02 }};" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the effectiveness of controls at alternate work sites; and" - }, - { - "id": "pe-17_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a means for employees to communicate with information security and privacy personnel in case of incidents." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-17_odp.01 }} are determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-17_odp.02 }} are employed at alternate work sites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17c.", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of controls at alternate work sites is assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-17d.", - "class": "sp800-53A" - } - ], - "prose": "a means for employees to communicate with information security and privacy personnel in case of incidents is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing alternate work sites for organizational personnel\n\nlist of security controls required for alternate work sites\n\nassessments of security controls at alternate work sites\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel approving the use of alternate work sites\n\norganizational personnel using alternate work sites\n\norganizational personnel assessing controls at alternate work sites\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy at alternate work sites\n\nautomated mechanisms supporting alternate work sites\n\nsecurity and privacy controls employed at alternate work sites\n\nmeans of communication between personnel at alternate work sites and security and privacy personnel" - } - ] - } - ] - }, - { - "id": "pe-18", - "class": "SP800-53", - "title": "Location of System Components", - "params": [ - { - "id": "pe-18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-18_prm_1" - }, - { - "name": "label", - "value": "PE-18_ODP" - } - ], - "label": "physical and environmental hazards", - "guidelines": [ - { - "prose": "physical and environmental hazards that could result in potential damage to system components within the facility are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-18" - }, - { - "name": "sort-id", - "value": "pe-18" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-18_smt", - "name": "statement", - "prose": "Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access." - }, - { - "id": "pe-18_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-18", - "class": "sp800-53A" - } - ], - "prose": "system components are positioned within the facility to minimize potential damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity for unauthorized access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing the positioning of system components\n\ndocumentation providing the location and position of system components within the facility\n\nlocations housing system components within the facility\n\nlist of physical and environmental hazards with the potential to damage system components within the facility\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for positioning system components\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for positioning system components" - } - ] - } - ], - "controls": [ - { - "id": "pe-18.1", - "class": "SP800-53-enhancement", - "title": "Facility Site", - "props": [ - { - "name": "label", - "value": "PE-18(01)" - }, - { - "name": "sort-id", - "value": "pe-18.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pe-23", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "pe-19", - "class": "SP800-53", - "title": "Information Leakage", - "props": [ - { - "name": "label", - "value": "PE-19" - }, - { - "name": "sort-id", - "value": "pe-19" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-19_smt", - "name": "statement", - "prose": "Protect the system from information leakage due to electromagnetic signals emanations." - }, - { - "id": "pe-19_gdn", - "name": "guidance", - "prose": "Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19", - "class": "sp800-53A" - } - ], - "prose": "the system is protected from information leakage due to electromagnetic signal emanations." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing information leakage due to electromagnetic signal emanations\n\nmechanisms protecting the system against electronic signal emanations\n\nfacility housing the system\n\nrecords from electromagnetic signal emanation tests\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signal emanations" - } - ] - } - ], - "controls": [ - { - "id": "pe-19.1", - "class": "SP800-53-enhancement", - "title": "National Emissions Policies and Procedures", - "props": [ - { - "name": "label", - "value": "PE-19(01)" - }, - { - "name": "sort-id", - "value": "pe-19.01" - } - ], - "links": [ - { - "href": "#pe-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "pe-19.1_smt", - "name": "statement", - "prose": "Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information." - }, - { - "id": "pe-19.1_gdn", - "name": "guidance", - "prose": "Emissions Security (EMSEC) policies include the former TEMPEST policies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "system components are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "associated data communications are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-19(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "networks are protected in accordance with national emissions security policies and procedures based on the security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-19(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures\n\nsystem component design documentation\n\nsystem configuration settings and associated documentation system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-19(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for system environmental controls\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-19(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system components for compliance with national emissions and TEMPEST policies and procedures" - } - ] - } - ] - } - ] - }, - { - "id": "pe-20", - "class": "SP800-53", - "title": "Asset Monitoring and Tracking", - "params": [ - { - "id": "pe-20_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_1" - }, - { - "name": "label", - "value": "PE-20_ODP[01]" - } - ], - "label": "asset location technologies", - "guidelines": [ - { - "prose": "asset location technologies to be employed to track and monitor the location and movement of assets is defined;" - } - ] - }, - { - "id": "pe-20_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_2" - }, - { - "name": "label", - "value": "PE-20_ODP[02]" - } - ], - "label": "assets", - "guidelines": [ - { - "prose": "assets whose location and movement are to be tracked and monitored are defined;" - } - ] - }, - { - "id": "pe-20_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-20_prm_3" - }, - { - "name": "label", - "value": "PE-20_ODP[03]" - } - ], - "label": "controlled areas", - "guidelines": [ - { - "prose": "controlled areas within which asset location and movement are to be tracked and monitored are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-20" - }, - { - "name": "sort-id", - "value": "pe-20" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-20_odp.01 }} to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}." - }, - { - "id": "pe-20_gdn", - "name": "guidance", - "prose": "Asset location technologies can help ensure that critical assets—including vehicles, equipment, and system components—remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-20", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-20_odp.01 }} are employed to track and monitor the location and movement of {{ insert: param, pe-20_odp.02 }} within {{ insert: param, pe-20_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing asset monitoring and tracking\n\ndocumentation showing the use of asset location technologies\n\nsystem configuration documentation\n\nlist of organizational assets requiring tracking and monitoring\n\nasset monitoring and tracking records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with asset monitoring and tracking responsibilities\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for tracking and monitoring assets\n\nautomated mechanisms supporting and/or implementing the tracking and monitoring of assets" - } - ] - } - ] - }, - { - "id": "pe-21", - "class": "SP800-53", - "title": "Electromagnetic Pulse Protection", - "params": [ - { - "id": "pe-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-21_prm_1" - }, - { - "name": "label", - "value": "PE-21_ODP[01]" - } - ], - "label": "protective measures", - "guidelines": [ - { - "prose": "protective measures to be employed against electromagnetic pulse damage are defined;" - } - ] - }, - { - "id": "pe-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-21_prm_2" - }, - { - "name": "label", - "value": "PE-21_ODP[02]" - } - ], - "label": "system and system components", - "guidelines": [ - { - "prose": "system and system components requiring protection against electromagnetic pulse damage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-21" - }, - { - "name": "sort-id", - "value": "pe-21" - } - ], - "links": [ - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-21_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-21_odp.01 }} against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}." - }, - { - "id": "pe-21_gdn", - "name": "guidance", - "prose": "An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding. EMP protection may be especially significant for systems and applications that are part of the U.S. critical infrastructure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-21", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-21_odp.01 }} are employed against electromagnetic pulse damage for {{ insert: param, pe-21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing protective measures to mitigate EMP risk to systems and components\n\ndocumentation detailing protective measures to mitigate EMP risk\n\nlist of locations where protective measures to mitigate EMP risk are implemented\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for physical and environmental protection\n\nsystem developers/integrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms for mitigating EMP risk" - } - ] - } - ] - }, - { - "id": "pe-22", - "class": "SP800-53", - "title": "Component Marking", - "params": [ - { - "id": "pe-22_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pe-22_prm_1" - }, - { - "name": "label", - "value": "PE-22_ODP" - } - ], - "label": "system hardware components", - "guidelines": [ - { - "prose": "system hardware components to be marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PE-22" - }, - { - "name": "sort-id", - "value": "pe-22" - } - ], - "links": [ - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-22_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-22_odp }} indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "id": "pe-22_gdn", - "name": "guidance", - "prose": "Hardware components that may require marking include input and output devices. Input devices include desktop and notebook computers, keyboards, tablets, and smart phones. Output devices include printers, monitors/video displays, facsimile machines, scanners, copiers, and audio devices. Permissions controlling output to the output devices are addressed in [AC-3](#ac-3) or [AC-4](#ac-4) . Components are marked to indicate the impact level or classification level of the system to which the devices are connected, or the impact level or classification level of the information permitted to be output. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal system data structures. Security marking is generally not required for hardware components that process, store, or transmit information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components that process, store, or transmit public information in order to indicate that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-22", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pe-22_odp }} are marked indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nprocedures addressing component marking\n\nlist of component marking security attributes\n\ncomponent inventory\n\ninformation types and their impact/classification level\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with component marking responsibilities\n\norganizational personnel with component inventory responsibilities\n\norganizational personnel with information categorization/classification responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for component marking\n\nautomated mechanisms supporting and/or implementing component marking" - } - ] - } - ] - }, - { - "id": "pe-23", - "class": "SP800-53", - "title": "Facility Location", - "props": [ - { - "name": "label", - "value": "PE-23" - }, - { - "name": "sort-id", - "value": "pe-23" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-23_smt", - "name": "statement", - "parts": [ - { - "id": "pe-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Plan the location or site of the facility where the system resides considering physical and environmental hazards; and" - }, - { - "id": "pe-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy." - } - ] - }, - { - "id": "pe-23_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in [PE-18](#pe-18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23a.", - "class": "sp800-53A" - } - ], - "prose": "the location or site of the facility where the system resides is planned considering physical and environmental hazards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PE-23b.", - "class": "sp800-53A" - } - ], - "prose": "for existing facilities, physical and environmental hazards are considered in the organizational risk management strategy." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\n\nphysical site planning documents\n\norganizational assessment of risk\n\ncontingency plan\n\nrisk mitigation strategy documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with site selection responsibilities for the facility housing the system\n\norganizational personnel with risk mitigation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for site planning" - } - ] - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pl-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pl-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-01_odp.01", - "props": [ - { - "name": "label", - "value": "PL-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the planning policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pl-01_odp.02", - "props": [ - { - "name": "label", - "value": "PL-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the planning procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pl-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_2" - }, - { - "name": "label", - "value": "PL-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pl-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_3" - }, - { - "name": "label", - "value": "PL-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the planning policy and procedures is defined;" - } - ] - }, - { - "id": "pl-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_4" - }, - { - "name": "label", - "value": "PL-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current planning policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pl-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_5" - }, - { - "name": "label", - "value": "PL-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current planning policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pl-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_6" - }, - { - "name": "label", - "value": "PL-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency with which the current planning procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pl-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-1_prm_7" - }, - { - "name": "label", - "value": "PL-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-01" - }, - { - "name": "sort-id", - "value": "pl-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pl-01_odp.03 }} planning policy that:", - "parts": [ - { - "id": "pl-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the planning policy and the associated planning controls;" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pl-01_odp.04 }} to manage the development, documentation, and dissemination of the planning policy and procedures; and" - }, - { - "id": "pl-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current planning:", - "parts": [ - { - "id": "pl-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pl-01_odp.05 }} and following {{ insert: param, pl-01_odp.06 }} ; and" - }, - { - "id": "pl-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pl-01_odp.07 }} and following {{ insert: param, pl-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a planning policy is developed and documented." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the planning policy is disseminated to {{ insert: param, pl-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the planning procedures are disseminated to {{ insert: param, pl-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.03 }} planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pl-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the planning policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current planning policy is reviewed and updated {{ insert: param, pl-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current planning policy is reviewed and updated following {{ insert: param, pl-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current planning procedures are reviewed and updated {{ insert: param, pl-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current planning procedures are reviewed and updated following {{ insert: param, pl-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security and Privacy Plans", - "params": [ - { - "id": "pl-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_1" - }, - { - "name": "label", - "value": "PL-02_ODP[01]" - } - ], - "label": "individuals or groups", - "guidelines": [ - { - "prose": "individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned;" - } - ] - }, - { - "id": "pl-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_2" - }, - { - "name": "label", - "value": "PL-02_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles for distributed copies of the system security and privacy plans is/are assigned;" - } - ] - }, - { - "id": "pl-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-2_prm_3" - }, - { - "name": "label", - "value": "PL-02_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency to review system security and privacy plans is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-02" - }, - { - "name": "sort-id", - "value": "pl-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy plans for the system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Explicitly define the constituent system components;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Describe the operational context of the system in terms of mission and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Identify the individuals that fulfill system roles and responsibilities;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Identify the information types processed, stored, and transmitted by the system;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Provide the security categorization of the system, including supporting rationale;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "07." - } - ], - "prose": "Describe any specific threats to the system that are of concern to the organization;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "08." - } - ], - "prose": "Provide the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "09." - } - ], - "prose": "Describe the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "id": "pl-2_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Provide an overview of the security and privacy requirements for the system;" - }, - { - "id": "pl-2_smt.a.11", - "name": "item", - "props": [ - { - "name": "label", - "value": "11." - } - ], - "prose": "Identify any relevant control baselines or overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.12", - "name": "item", - "props": [ - { - "name": "label", - "value": "12." - } - ], - "prose": "Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;" - }, - { - "id": "pl-2_smt.a.13", - "name": "item", - "props": [ - { - "name": "label", - "value": "13." - } - ], - "prose": "Include risk determinations for security and privacy architecture and design decisions;" - }, - { - "id": "pl-2_smt.a.14", - "name": "item", - "props": [ - { - "name": "label", - "value": "14." - } - ], - "prose": "Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }} ; and" - }, - { - "id": "pl-2_smt.a.15", - "name": "item", - "props": [ - { - "name": "label", - "value": "15." - } - ], - "prose": "Are reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, pl-02_odp.02 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the plans {{ insert: param, pl-02_odp.03 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the plans from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). [Section 2.1](#c3397cc9-83c6-4459-adb2-836739dc1b94) describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls.\n\nOrganizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented.\n\nSecurity and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide—explicitly or by reference—sufficient information to define what needs to be accomplished by those plans.\n\nSecurity- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that is consistent with the organization’s enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that is consistent with the organization’s enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that explicitly defines the constituent system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that explicitly defines the constituent system components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.05[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides the security categorization of the system, including supporting rationale;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.06[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.07[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.08[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.09[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that provides an overview of the security requirements for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.10[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that provides an overview of the privacy requirements for the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.11[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.12[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that includes risk determinations for security architecture and design decisions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.13[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.14[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15[01]", - "class": "sp800-53A" - } - ], - "prose": "a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02a.15[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "copies of the plans were distributed to {{ insert: param, pl-02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "subsequent changes to the plans are communicated to {{ insert: param, pl-02_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02c.", - "class": "sp800-53A" - } - ], - "prose": "plans are reviewed {{ insert: param, pl-02_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[01]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address changes to the system and environment of operations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[02]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address problems identified during the plan implementation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02d.[03]", - "class": "sp800-53A" - } - ], - "prose": "plans are updated to address problems identified during control assessments;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-02e.", - "class": "sp800-53A" - } - ], - "prose": "plans are protected from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nprocedures addressing security and privacy plan reviews and updates\n\nenterprise architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nrecords of system security and privacy plan reviews and updates\n\nsecurity and privacy architecture and design documentation\n\nrisk assessments\n\nrisk assessment results\n\ncontrol assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system security and privacy planning and plan implementation responsibilities\n\nsystem developers\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system security and privacy plan development, review, update, and approval\n\nautomated mechanisms supporting the system security and privacy plan" - } - ] - } - ], - "controls": [ - { - "id": "pl-2.1", - "class": "SP800-53-enhancement", - "title": "Concept of Operations", - "props": [ - { - "name": "label", - "value": "PL-02(01)" - }, - { - "name": "sort-id", - "value": "pl-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.2", - "class": "SP800-53-enhancement", - "title": "Functional Architecture", - "props": [ - { - "name": "label", - "value": "PL-02(02)" - }, - { - "name": "sort-id", - "value": "pl-02.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan and Coordinate with Other Organizational Entities", - "props": [ - { - "name": "label", - "value": "PL-02(03)" - }, - { - "name": "sort-id", - "value": "pl-02.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pl-3", - "class": "SP800-53", - "title": "System Security Plan Update", - "props": [ - { - "name": "label", - "value": "PL-03" - }, - { - "name": "sort-id", - "value": "pl-03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "params": [ - { - "id": "pl-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_1" - }, - { - "name": "label", - "value": "PL-04_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for reviewing and updating the rules of behavior is defined;" - } - ] - }, - { - "id": "pl-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_2" - }, - { - "name": "label", - "value": "PL-04_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pl-04_odp.03 }} ", - "when the rules are revised or updated" - ] - } - }, - { - "id": "pl-04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-4_prm_3" - }, - { - "name": "label", - "value": "PL-04_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for individuals to read and re-acknowledge the rules of behavior is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-04" - }, - { - "name": "sort-id", - "value": "pl-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#30eb758a-2707-4bca-90ad-949a74d4eb16", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the rules of behavior {{ insert: param, pl-04_odp.01 }} ; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-04_odp.02 }}." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see [PS-6](#ps-6) ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in [AC-8](#ac-8) . The related controls section provides a list of controls that are relevant to organizational rules of behavior. [PL-4b](#pl-4_smt.b) , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04b.", - "class": "sp800-53A" - } - ], - "prose": "before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04c.", - "class": "sp800-53A" - } - ], - "prose": "rules of behavior are reviewed and updated {{ insert: param, pl-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04d.", - "class": "sp800-53A" - } - ], - "prose": "individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge {{ insert: param, pl-04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing rules of behavior for system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\n\norganizational personnel with responsibility for literacy training and awareness and role-based training\n\norganizational personnel who are authorized users of the system and have signed and resigned rules of behavior\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior" - } - ] - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and External Site/application Usage Restrictions", - "props": [ - { - "name": "label", - "value": "PL-04(01)" - }, - { - "name": "sort-id", - "value": "pl-04.01" - } - ], - "links": [ - { - "href": "#pl-4", - "rel": "required" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "Include in the rules of behavior, restrictions on:", - "parts": [ - { - "id": "pl-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Use of social media, social networking sites, and external sites/applications;" - }, - { - "id": "pl-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Posting organizational information on public websites; and" - }, - { - "id": "pl-4.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications." - } - ] - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on the use of social media, social networking sites, and external sites/applications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on posting organizational information on public websites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-04(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the rules of behavior include restrictions on the use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing rules of behavior for system users\n\nrules of behavior\n\ntraining policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\n\norganizational personnel with responsibility for literacy training and awareness and role-based training\n\norganizational personnel who are authorized users of the system and have signed rules of behavior\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment of rules of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "pl-5", - "class": "SP800-53", - "title": "Privacy Impact Assessment", - "props": [ - { - "name": "label", - "value": "PL-05" - }, - { - "name": "sort-id", - "value": "pl-05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-6", - "class": "SP800-53", - "title": "Security-related Activity Planning", - "props": [ - { - "name": "label", - "value": "PL-06" - }, - { - "name": "sort-id", - "value": "pl-06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-7", - "class": "SP800-53", - "title": "Concept of Operations", - "params": [ - { - "id": "pl-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-7_prm_1" - }, - { - "name": "label", - "value": "PL-07_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for review and update of the Concept of Operations (CONOPS) is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-07" - }, - { - "name": "sort-id", - "value": "pl-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-7_smt", - "name": "statement", - "parts": [ - { - "id": "pl-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and" - }, - { - "id": "pl-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the CONOPS {{ insert: param, pl-07_odp }}." - } - ] - }, - { - "id": "pl-7_gdn", - "name": "guidance", - "prose": "The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other organizational documents, such as procurement specifications, system development life cycle documents, and systems engineering documents." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07a.", - "class": "sp800-53A" - } - ], - "prose": "a CONOPS for the system describing how the organization intends to operate the system from the perspective of information security and privacy is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-07b.", - "class": "sp800-53A" - } - ], - "prose": "a CONOPS is reviewed and updated {{ insert: param, pl-07_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing security and privacy CONOPS development\n\nprocedures addressing security and privacy CONOPS reviews and updates\n\nsecurity and privacy CONOPS for the system\n\nsystem security plan\n\nprivacy plan\n\nrecords of security and privacy CONOPS reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the security CONOPS\n\nautomated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS" - } - ] - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Security and Privacy Architectures", - "params": [ - { - "id": "pl-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8_prm_1" - }, - { - "name": "label", - "value": "PL-08_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency for review and update to reflect changes in the enterprise architecture;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08" - }, - { - "name": "sort-id", - "value": "pl-08" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy architectures for the system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Describe how the architectures are integrated into and support the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Describe any assumptions about, and dependencies on, external systems and services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the architectures {{ insert: param, pl-08_odp }} to reflect changes in the enterprise architecture; and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions." - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in [PM-7](#pm-7) , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs.\n\n[SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03](#c5e11048-1d38-4af3-b00b-0d88dc26860c) requires the use of the systems security engineering concepts described in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews).\n\nIn today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures.\n\n[PL-8](#pl-8) is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, [SA-17](#sa-17) is primarily directed at the external information technology product and system developers and integrators. [SA-17](#sa-17) , which is complementary to [PL-8](#pl-8) , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.01", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.02", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture describes the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "a security architecture for the system describes any assumptions about and dependencies on external systems and services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy architecture for the system describes any assumptions about and dependencies on external systems and services;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08b.", - "class": "sp800-53A" - } - ], - "prose": "changes in the enterprise architecture are reviewed and updated {{ insert: param, pl-08_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[01]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the security plan are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[02]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the privacy plan are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[03]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in the Concept of Operations (CONOPS) are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[04]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in criticality analysis are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[05]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in organizational procedures are reflected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08c.[06]", - "class": "sp800-53A" - } - ], - "prose": "planned architecture changes in procurements and acquisitions are reflected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nprocedures addressing information security and privacy architecture reviews and updates\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nrecords of information security and privacy architecture reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the information security and privacy architecture\n\nautomated mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture" - } - ] - } - ], - "controls": [ - { - "id": "pl-8.1", - "class": "SP800-53-enhancement", - "title": "Defense in Depth", - "params": [ - { - "id": "pl-08.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.1_prm_1" - }, - { - "name": "label", - "value": "PL-08(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be allocated are defined;" - } - ] - }, - { - "id": "pl-08.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.1_prm_2" - }, - { - "name": "label", - "value": "PL-08(01)_ODP[02]" - } - ], - "label": "locations and architectural layers", - "guidelines": [ - { - "prose": "locations and architectural layers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08(01)" - }, - { - "name": "sort-id", - "value": "pl-08.01" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.1_smt", - "name": "statement", - "prose": "Design the security and privacy architectures for the system using a defense-in-depth approach that:", - "parts": [ - { - "id": "pl-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }} ; and" - }, - { - "id": "pl-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - }, - { - "id": "pl-8.1_gdn", - "name": "guidance", - "prose": "Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; it also increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse, unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity that requires thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see [SA-8(3)](#sa-8.3) ), separation of system and user functionality (see [SC-2](#sc-2) ), and security function isolation (see [SC-3](#sc-3))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the security architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy architecture for the system is designed using a defense-in-depth approach that allocates {{ insert: param, pl-08.01_odp.01 }} to {{ insert: param, pl-08.01_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the security architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy architecture for the system is designed using a defense-in-depth approach that ensures the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for designing the information security and privacy architecture\n\nautomated mechanisms supporting and/or implementing the design of the information security and privacy architecture" - } - ] - } - ] - }, - { - "id": "pl-8.2", - "class": "SP800-53-enhancement", - "title": "Supplier Diversity", - "params": [ - { - "id": "pl-08.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.2_prm_1" - }, - { - "name": "label", - "value": "PL-08(02)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be allocated are defined;" - } - ] - }, - { - "id": "pl-08.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-8.2_prm_2" - }, - { - "name": "label", - "value": "PL-08(02)_ODP[02]" - } - ], - "label": "locations and architectural layers", - "guidelines": [ - { - "prose": "locations and architectural layers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-08(02)" - }, - { - "name": "sort-id", - "value": "pl-08.02" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "required" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.2_smt", - "name": "statement", - "prose": "Require that {{ insert: param, pl-08.02_odp.01 }} allocated to {{ insert: param, pl-08.02_odp.02 }} are obtained from different suppliers." - }, - { - "id": "pl-8.2_gdn", - "name": "guidance", - "prose": "Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pl-08.02_odp.01 }} that are allocated to {{ insert: param, pl-08.02_odp.02 }} are required to be obtained from different suppliers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing information security and privacy architecture development\n\nenterprise architecture documentation\n\ninformation security and privacy architecture documentation\n\nsystem security plan\n\nprivacy plan\n\nsecurity and privacy CONOPS for the system\n\nIT acquisitions policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy architecture development responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining information security and privacy safeguards from different suppliers" - } - ] - } - ] - } - ] - }, - { - "id": "pl-9", - "class": "SP800-53", - "title": "Central Management", - "params": [ - { - "id": "pl-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pl-9_prm_1" - }, - { - "name": "label", - "value": "PL-09_ODP" - } - ], - "label": "controls and related processes", - "guidelines": [ - { - "prose": "security and privacy controls and related processes to be centrally managed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PL-09" - }, - { - "name": "sort-id", - "value": "pl-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-9_smt", - "name": "statement", - "prose": "Centrally manage {{ insert: param, pl-09_odp }}." - }, - { - "id": "pl-9_gdn", - "name": "guidance", - "prose": "Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and the judicious use of organizational resources. Centrally managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring.\n\nAutomated tools (e.g., security information and event management tools or enterprise security monitoring and management tools) can improve the accuracy, consistency, and availability of information associated with centrally managed controls and processes. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision-making within the organization.\n\nAs part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include but are not limited to: [AC-2(1)](#ac-2.1), [AC-2(2)](#ac-2.2), [AC-2(3)](#ac-2.3), [AC-2(4)](#ac-2.4), [AC-4(all)](#ac-4), [AC-17(1)](#ac-17.1), [AC-17(2)](#ac-17.2), [AC-17(3)](#ac-17.3), [AC-17(9)](#ac-17.9), [AC-18(1)](#ac-18.1), [AC-18(3)](#ac-18.3), [AC-18(4)](#ac-18.4), [AC-18(5)](#ac-18.5), [AC-19(4)](#ac-19.4), [AC-22](#ac-22), [AC-23](#ac-23), [AT-2(1)](#at-2.1), [AT-2(2)](#at-2.2), [AT-3(1)](#at-3.1), [AT-3(2)](#at-3.2), [AT-3(3)](#at-3.3), [AT-4](#at-4), [AU-3](#au-3), [AU-6(1)](#au-6.1), [AU-6(3)](#au-6.3), [AU-6(5)](#au-6.5), [AU-6(6)](#au-6.6), [AU-6(9)](#au-6.9), [AU-7(1)](#au-7.1), [AU-7(2)](#au-7.2), [AU-11](#au-11), [AU-13](#au-13), [AU-16](#au-16), [CA-2(1)](#ca-2.1), [CA-2(2)](#ca-2.2), [CA-2(3)](#ca-2.3), [CA-3(1)](#ca-3.1), [CA-3(2)](#ca-3.2), [CA-3(3)](#ca-3.3), [CA-7(1)](#ca-7.1), [CA-9](#ca-9), [CM-2(2)](#cm-2.2), [CM-3(1)](#cm-3.1), [CM-3(4)](#cm-3.4), [CM-4](#cm-4), [CM-6](#cm-6), [CM-6(1)](#cm-6.1), [CM-7(2)](#cm-7.2), [CM-7(4)](#cm-7.4), [CM-7(5)](#cm-7.5), [CM-8(all)](#cm-8), [CM-9(1)](#cm-9.1), [CM-10](#cm-10), [CM-11](#cm-11), [CP-7(all)](#cp-7), [CP-8(all)](#cp-8), [SC-43](#sc-43), [SI-2](#si-2), [SI-3](#si-3), [SI-4(all)](#si-4), [SI-7](#si-7), [SI-8](#si-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-09", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pl-09_odp }} are centrally managed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing security and privacy plan development and implementation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with responsibilities for planning/implementing central management of controls and related processes\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the central management of controls and related processes\n\nautomated mechanisms supporting and/or implementing central management of controls and related processes" - } - ] - } - ] - }, - { - "id": "pl-10", - "class": "SP800-53", - "title": "Baseline Selection", - "props": [ - { - "name": "label", - "value": "PL-10" - }, - { - "name": "sort-id", - "value": "pl-10" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#46d9e201-840e-440e-987c-2c773333c752", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-10_smt", - "name": "statement", - "prose": "Select a control baseline for the system." - }, - { - "id": "pl-10_gdn", - "name": "guidance", - "prose": "Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see [PL-11](#pl-11) ). Federal control baselines are provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) are based on the requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9) and [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides guidance on control baselines for national security systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-10", - "class": "sp800-53A" - } - ], - "prose": "a control baseline for the system is selected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nprocedures addressing system security and privacy plan reviews and updates\n\nsystem design documentation\n\nsystem architecture and configuration documentation\n\nsystem categorization decision\n\ninformation types stored, transmitted, and processed by the system\n\nsystem element/component information\n\nstakeholder needs analysis\n\nlist of security and privacy requirements allocated to the system, system elements, and environment of operation\n\nlist of contractual requirements allocated to external providers of the system or system element\n\nbusiness impact analysis or criticality analysis\n\nrisk assessments\n\nrisk management strategy\n\norganizational security and privacy policy\n\nfederal or organization-approved or mandated baselines or overlays\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with responsibility for organizational risk management activities" - } - ] - } - ] - }, - { - "id": "pl-11", - "class": "SP800-53", - "title": "Baseline Tailoring", - "props": [ - { - "name": "label", - "value": "PL-11" - }, - { - "name": "sort-id", - "value": "pl-11" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#46d9e201-840e-440e-987c-2c773333c752", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-11_smt", - "name": "statement", - "prose": "Tailor the selected control baseline by applying specified tailoring actions." - }, - { - "id": "pl-11_gdn", - "name": "guidance", - "prose": "The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) in accordance with the security and privacy requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) . Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) to specialize or customize the controls that represent the specific needs and concerns of those entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PL-11", - "class": "sp800-53A" - } - ], - "prose": "the selected control baseline is tailored by applying specified tailoring actions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security and privacy planning policy\n\nprocedures addressing system security and privacy plan development and implementation\n\nsystem design documentation\n\nsystem categorization decision\n\ninformation types stored, transmitted, and processed by the system\n\nsystem element/component information\n\nstakeholder needs analysis\n\nlist of security and privacy requirements allocated to the system, system elements, and environment of operation\n\nlist of contractual requirements allocated to external providers of the system or system element\n\nbusiness impact analysis or criticality analysis\n\nrisk assessments\n\nrisk management strategy\n\norganizational security and privacy policy\n\nfederal or organization-approved or mandated baselines or overlays\n\nbaseline tailoring rationale\n\nsystem security plan\n\nprivacy plan\n\nrecords of system security and privacy plan reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy planning and plan implementation responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pm", - "class": "family", - "title": "Program Management", - "parts": [ - { - "id": "pm_ovw", - "name": "overview", - "title": "Program Management Controls", - "prose": "[FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) require federal agencies to develop, implement, and provide oversight for organization-wide information security and privacy programs to help ensure the confidentiality, integrity, and availability of federal information processed, stored, and transmitted by federal information systems and to protect individual privacy. The program management (PM) controls described in this section are implemented at the organization level and not directed at individual information systems. The PM controls have been designed to facilitate organizational compliance with applicable federal laws, executive orders, directives, policies, regulations, and standards. The controls are independent of [FIPS 200](#599fb53d-5041-444e-a7fe-640d6d30ad05) impact levels and, therefore, are not associated with the control baselines described in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752).\n\nOrganizations document program management controls in the information security and privacy program plans. The organization-wide information security program plan (see [PM-1](#pm-1) ) and privacy program plan (see [PM-18](#pm-18) ) supplement system security and privacy plans (see [PL-2](#pl-2) ) developed for organizational information systems. Together, the system security and privacy plans for the individual information systems and the information security and privacy program plans cover the totality of security and privacy controls employed by the organization." - } - ], - "controls": [ - { - "id": "pm-1", - "class": "SP800-53", - "title": "Information Security Program Plan", - "params": [ - { - "id": "pm-01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-1_prm_1" - }, - { - "name": "label", - "value": "PM-01_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the organization-wide information security program plan is defined;" - } - ] - }, - { - "id": "pm-01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-1_prm_2" - }, - { - "name": "label", - "value": "PM-01_ODP[02]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that trigger the review and update of the organization-wide information security program plan are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-01" - }, - { - "name": "sort-id", - "value": "pm-01" - } - ], - "links": [ - { - "href": "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-1_smt", - "name": "statement", - "parts": [ - { - "id": "pm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide information security program plan that:", - "parts": [ - { - "id": "pm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;" - }, - { - "id": "pm-1_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Reflects the coordination among organizational entities responsible for information security; and" - }, - { - "id": "pm-1_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "id": "pm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the organization-wide information security program plan {{ insert: param, pm-01_odp.01 }} and following {{ insert: param, pm-01_odp.02 }} ; and" - }, - { - "id": "pm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect the information security program plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pm-1_gdn", - "name": "guidance", - "prose": "An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. An information security program plan can be represented in a single document or compilations of documents. Privacy program plans and supply chain risk management plans are addressed separately in [PM-18](#pm-18) and [SR-2](#sr-2) , respectively.\n\nAn information security program plan documents implementation details about program management and common controls. The plan provides sufficient information about the controls (including specification of parameters for assignment and selection operations, explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended. Updates to information security program plans include organizational changes and problems identified during plan implementation or control assessments.\n\nProgram management controls may be implemented at the organization level or the mission or business process level, and are essential for managing the organization’s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular system. Together, the individual system security plans and the organization-wide information security program plan provide complete coverage for the security controls employed within the organization.\n\nCommon controls available for inheritance by organizational systems are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls.\n\nEvents that may precipitate an update to the information security program plan include, but are not limited to, organization-wide assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide information security program plan is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is disseminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides an overview of the requirements for the security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides a description of the security program management controls in place or planned for meeting those requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan provides a description of the common controls in place or planned for meeting those requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan includes the identification and assignment of roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan includes the identification and assignment of responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[04]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.02[05]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.03", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan reflects the coordination among the organizational entities responsible for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01a.04", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is reviewed and updated {{ insert: param, pm-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-01b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the information security program plan is reviewed and updated following {{ insert: param, pm-01_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews and updates\n\nprocedures addressing coordination of the program plan with relevant entities\n\nprocedures for program plan approvals\n\nrecords of program plan reviews and updates\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning and plan implementation responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-01-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information security program plan development, review, update, and approval\n\nautomated mechanisms supporting and/or implementing the information security program plan" - } - ] - } - ] - }, - { - "id": "pm-2", - "class": "SP800-53", - "title": "Information Security Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-02" - }, - { - "name": "sort-id", - "value": "pm-02" - } - ], - "links": [ - { - "href": "#81c44706-0227-4258-a920-620a4d259990", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-2_smt", - "name": "statement", - "prose": "Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program." - }, - { - "id": "pm-2_gdn", - "name": "guidance", - "prose": "The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[01]", - "class": "sp800-53A" - } - ], - "prose": "a senior agency information security officer is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[02]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to coordinate an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[03]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to develop an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[04]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to implement an organization-wide information security program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-02[05]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency information security officer is provided with the mission and resources to maintain an organization-wide information security program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews and updates\n\nprocedures addressing coordination of the program plan with relevant entities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning and plan implementation responsibilities\n\nsenior information security officer\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pm-3", - "class": "SP800-53", - "title": "Information Security and Privacy Resources", - "props": [ - { - "name": "label", - "value": "PM-03" - }, - { - "name": "sort-id", - "value": "pm-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-3_smt", - "name": "statement", - "parts": [ - { - "id": "pm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;" - }, - { - "id": "pm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and" - }, - { - "id": "pm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make available for expenditure, the planned information security and privacy resources." - } - ] - }, - { - "id": "pm-3_gdn", - "name": "guidance", - "prose": "Organizations consider establishing champions for information security and privacy and, as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the resources needed to implement the information security program are included in capital planning and investment requests, and all exceptions are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the resources needed to implement the privacy program are included in capital planning and investment requests, and all exceptions are documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the documentation required for addressing the information security program in capital planning and investment requests is prepared in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the documentation required for addressing the privacy program in capital planning and investment requests is prepared in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security resources are made available for expenditure as planned;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-03c.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy resources are made available for expenditure as planned." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nExhibit 300\n\nExhibit 53\n\nbusiness cases for capital planning and investment\n\nprocedures for capital planning and investment\n\ndocumentation of exceptions to capital planning requirements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security program planning responsibilities\n\norganizational personnel responsible for capital planning and investment\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for capital planning and investment\n\norganizational processes for business case, Exhibit 300, and Exhibit 53 development\n\nautomated mechanisms supporting the capital planning and investment process" - } - ] - } - ] - }, - { - "id": "pm-4", - "class": "SP800-53", - "title": "Plan of Action and Milestones Process", - "props": [ - { - "name": "label", - "value": "PM-04" - }, - { - "name": "sort-id", - "value": "pm-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-4_smt", - "name": "statement", - "parts": [ - { - "id": "pm-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process to ensure that plans of action and milestones for the information security, privacy, and supply chain risk management programs and associated organizational systems:", - "parts": [ - { - "id": "pm-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are developed and maintained;" - }, - { - "id": "pm-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Document the remedial information security, privacy, and supply chain risk management actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-4_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Are reported in accordance with established reporting requirements." - } - ] - }, - { - "id": "pm-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-4_gdn", - "name": "guidance", - "prose": "The plan of action and milestones is a key organizational document and is subject to reporting requirements established by the Office of Management and Budget. Organizations develop plans of action and milestones with an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple plans of action and milestones corresponding to the information system level, mission/business process level, and organizational/governance level. While plans of action and milestones are required for federal organizations, other types of organizations can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones at the system level is provided in [CA-5](#ca-5)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[05]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.01[06]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems are maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security program and associated organizational systems document remedial information security risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy program and associated organizational systems document remedial privacy risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management program and associated organizational systems document remedial supply chain risk management actions to adequately respond to risks to organizational operations and assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the information security risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the privacy risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04a.03[03]", - "class": "sp800-53A" - } - ], - "prose": "a process to ensure that plans of action and milestones for the supply chain risk management programs and associated organizational systems are reported in accordance with established reporting requirements;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.[01]", - "class": "sp800-53A" - } - ], - "prose": "plans of action and milestones are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-04b.[02]", - "class": "sp800-53A" - } - ], - "prose": "plans of action and milestones are reviewed for consistency with organization-wide priorities for risk response actions." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nplans of action and milestones\n\nprocedures addressing plans of action and milestones development and maintenance\n\nprocedures addressing plans of action and milestones reporting\n\nprocedures for reviewing plans of action and milestones for consistency with risk management strategy and risk response priorities\n\nresults of risk assessments associated with plans of action and milestones\n\nOMB FISMA reporting requirements\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing, maintaining, reviewing, and reporting plans of action and milestones\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for plan of action and milestones development, review, maintenance, and reporting\n\nautomated mechanisms supporting plans of action and milestones" - } - ] - } - ] - }, - { - "id": "pm-5", - "class": "SP800-53", - "title": "System Inventory", - "params": [ - { - "id": "pm-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-5_prm_1" - }, - { - "name": "label", - "value": "PM-05_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to update the inventory of organizational systems is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-05" - }, - { - "name": "sort-id", - "value": "pm-05" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-5_smt", - "name": "statement", - "prose": "Develop and update {{ insert: param, pm-05_odp }} an inventory of organizational systems." - }, - { - "id": "pm-5_gdn", - "name": "guidance", - "prose": "[OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) provides guidance on developing systems inventories and associated reporting requirements. 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Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-05(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "an inventory of all systems, applications, and projects that process personally identifiable information is updated {{ insert: param, pm-05.01_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing system inventory development, maintenance, and updates\n\nOMB FISMA reporting guidance\n\nprivacy program plan\n\ninformation security program plan\n\npersonally identifiable information processing policy\n\nsystem inventory\n\npersonally identifiable information inventory\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing and maintaining the system inventory\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system inventory development, maintenance, and updates\n\nautomated mechanisms supporting the system inventory" - } - ] - } - ] - } - ] - }, - { - "id": "pm-6", - "class": "SP800-53", - "title": "Measures of Performance", - "props": [ - { - "name": "label", - "value": "PM-06" - }, - { - "name": "sort-id", - "value": "pm-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#7798067b-4ed0-4adc-a505-79dad4741693", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-6_smt", - "name": "statement", - "prose": "Develop, monitor, and report on the results of information security and privacy measures of performance." - }, - { - "id": "pm-6_gdn", - "name": "guidance", - "prose": "Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program. To facilitate security and privacy risk management, organizations consider aligning measures of performance with the organizational risk tolerance as defined in the risk management strategy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[01]", - "class": "sp800-53A" - } - ], - "prose": "information security measures of performance are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[02]", - "class": "sp800-53A" - } - ], - "prose": "information security measures of performance are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[03]", - "class": "sp800-53A" - } - ], - "prose": "the results of information security measures of performance are reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy measures of performance are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[05]", - "class": "sp800-53A" - } - ], - "prose": "privacy measures of performance are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-06[06]", - "class": "sp800-53A" - } - ], - "prose": "the results of privacy measures of performance are reported." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ninformation security measures of performance\n\nprivacy measures of performance\n\nprocedures addressing the development, monitoring, and reporting of information security and privacy measures of performance\n\nrisk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing, monitoring, and reporting information security and privacy measures of performance\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, monitoring, and reporting information security and privacy measures of performance\n\nautomated mechanisms supporting the development, monitoring, and reporting of information security and privacy measures of performance" - } - ] - } - ] - }, - { - "id": "pm-7", - "class": "SP800-53", - "title": "Enterprise Architecture", - "props": [ - { - "name": "label", - "value": "PM-07" - }, - { - "name": "sort-id", - "value": "pm-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7_smt", - "name": "statement", - "prose": "Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - }, - { - "id": "pm-7_gdn", - "name": "guidance", - "prose": "The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture and the organization’s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For [PL-8](#pl-8) , the security and privacy architectures are developed at a level that represents an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37](#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8) and supporting security standards and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[01]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[02]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[03]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[04]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[05]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is developed with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07[06]", - "class": "sp800-53A" - } - ], - "prose": "an enterprise architecture is maintained with consideration for the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nprocedures addressing enterprise architecture development\n\nresults of risk assessments of enterprise architecture\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing enterprise architecture\n\norganizational personnel responsible for risk assessments of enterprise architecture\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for enterprise architecture development\n\nautomated mechanisms supporting the enterprise architecture and its development" - } - ] - } - ], - "controls": [ - { - "id": "pm-7.1", - "class": "SP800-53-enhancement", - "title": "Offloading", - "params": [ - { - "id": "pm-07.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-7.1_prm_1" - }, - { - "name": "label", - "value": "PM-07(01)_ODP" - } - ], - "label": "non-essential functions or services", - "guidelines": [ - { - "prose": "non-essential functions or services to be offloaded are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-07(01)" - }, - { - "name": "sort-id", - "value": "pm-07.01" - } - ], - "links": [ - { - "href": "#pm-7", - "rel": "required" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7.1_smt", - "name": "statement", - "prose": "Offload {{ insert: param, pm-07.01_odp }} to other systems, system components, or an external provider." - }, - { - "id": "pm-7.1_gdn", - "name": "guidance", - "prose": "Not every function or service that a system provides is essential to organizational mission or business functions. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services that support essential mission or business functions. Maintaining such functions on the same system or system component increases the attack surface of the organization’s mission-essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-07(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-07.01_odp }} are offloaded to other systems, system components, or an external provider." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nprocedures addressing enterprise architecture development\n\nprocedures for identifying and offloading functions or services\n\nresults of risk assessments of enterprise architecture\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing enterprise architecture\n\norganizational personnel responsible for risk assessments of enterprise architecture\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for enterprise architecture development\n\nautomated mechanisms supporting the enterprise architecture and its development\n\nmechanisms for offloading functions and services" - } - ] - } - ] - } - ] - }, - { - "id": "pm-8", - "class": "SP800-53", - "title": "Critical Infrastructure Plan", - "props": [ - { - "name": "label", - "value": "PM-08" - }, - { - "name": "sort-id", - "value": "pm-08" - } - ], - "links": [ - { - "href": "#3406fdc0-d61c-44a9-a5ca-84180544c83a", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#488d6934-00b2-4252-bf23-1b3c2d71eb13", - "rel": "reference" - }, - { - "href": "#b9951d04-6385-478c-b1a3-ab68c19d9041", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-8_smt", - "name": "statement", - "prose": "Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan." - }, - { - "id": "pm-8_gdn", - "name": "guidance", - "prose": "Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[01]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the development of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[02]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the documentation of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[03]", - "class": "sp800-53A" - } - ], - "prose": "information security issues are addressed in the update of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[04]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the development of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[05]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the documentation of a critical infrastructure and key resources protection plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-08[06]", - "class": "sp800-53A" - } - ], - "prose": "privacy issues are addressed in the update of a critical infrastructure and key resources protection plan." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ncritical infrastructure and key resources protection plan\n\nprocedures addressing the development, documentation, and updating of the critical infrastructure and key resources protection plan\n\nHSPD 7\n\nNational Infrastructure Protection Plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan\n\nautomated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan" - } - ] - } - ] - }, - { - "id": "pm-9", - "class": "SP800-53", - "title": "Risk Management Strategy", - "params": [ - { - "id": "pm-09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-9_prm_1" - }, - { - "name": "label", - "value": "PM-09_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the risk management strategy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-09" - }, - { - "name": "sort-id", - "value": "pm-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-9_smt", - "name": "statement", - "parts": [ - { - "id": "pm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a comprehensive strategy to manage:", - "parts": [ - { - "id": "pm-9_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and" - }, - { - "id": "pm-9_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "id": "pm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the risk management strategy consistently across the organization; and" - }, - { - "id": "pm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the risk management strategy {{ insert: param, pm-09_odp }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-9_gdn", - "name": "guidance", - "prose": "An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization, security and privacy risk mitigation strategies, acceptable risk assessment methodologies, a process for evaluating security and privacy risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure that the strategy is broad-based and comprehensive. The supply chain risk management strategy described in [PM-30](#pm-30) can also provide useful inputs to the organization-wide risk management strategy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.01", - "class": "sp800-53A" - } - ], - "prose": "a comprehensive strategy is developed to manage security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09a.02", - "class": "sp800-53A" - } - ], - "prose": "a comprehensive strategy is developed to manage privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09b.", - "class": "sp800-53A" - } - ], - "prose": "the risk management strategy is implemented consistently across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-09c.", - "class": "sp800-53A" - } - ], - "prose": "the risk management strategy is reviewed and updated {{ insert: param, pm-09_odp }} or as required to address organizational changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nsupply chain risk management strategy\n\nprocedures addressing the development, implementation, review, and update of the risk management strategy\n\nrisk assessment results relevant to the risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the development, implementation, review, and update of the risk management strategy\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the development, implementation, review, and update of the risk management strategy\n\nautomated mechanisms supporting the development, implementation, review, and update of the risk management strategy" - } - ] - } - ] - }, - { - "id": "pm-10", - "class": "SP800-53", - "title": "Authorization Process", - "props": [ - { - "name": "label", - "value": "PM-10" - }, - { - "name": "sort-id", - "value": "pm-10" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-10_smt", - "name": "statement", - "parts": [ - { - "id": "pm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;" - }, - { - "id": "pm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and" - }, - { - "id": "pm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Integrate the authorization processes into an organization-wide risk management program." - } - ] - }, - { - "id": "pm-10_gdn", - "name": "guidance", - "prose": "Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The authorization processes for the organization are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the security state of organizational systems and the environments in which those systems operate are managed through authorization processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy state of organizational systems and the environments in which those systems operate are managed through authorization processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10b.", - "class": "sp800-53A" - } - ], - "prose": "individuals are designated to fulfill specific roles and responsibilities within the organizational risk management process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-10c.", - "class": "sp800-53A" - } - ], - "prose": "the authorization processes are integrated into an organization-wide risk management program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nprocedures addressing management (i.e., documentation, tracking, and reporting) of the authorization process\n\nassessment, authorization, and monitoring policy\n\nassessment, authorization, and monitoring procedures\n\nsystem authorization documentation\n\nlists or other documentation about authorization process roles and responsibilities\n\nrisk assessment results relevant to the authorization process and the organization-wide risk management program\n\norganizational risk management strategy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for management of the authorization process\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorization\n\nautomated mechanisms supporting the authorization process" - } - ] - } - ] - }, - { - "id": "pm-11", - "class": "SP800-53", - "title": "Mission and Business Process Definition", - "params": [ - { - "id": "pm-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-11_prm_1" - }, - { - "name": "label", - "value": "PM-11_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and revise the mission and business processes is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-11" - }, - { - "name": "sort-id", - "value": "pm-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-11_smt", - "name": "statement", - "parts": [ - { - "id": "pm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and" - }, - { - "id": "pm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and revise the mission and business processes {{ insert: param, pm-11_odp }}." - } - ] - }, - { - "id": "pm-11_gdn", - "name": "guidance", - "prose": "Protection needs are technology-independent capabilities that are required to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by organizational stakeholders, the mission and business processes designed to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent to defining protection and personally identifiable information processing needs is an understanding of the adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of the processing of personally identifiable information at any stage of the information life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policies and procedures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for information security;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "organizational mission and business processes are defined with consideration for the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.[01]", - "class": "sp800-53A" - } - ], - "prose": "information protection needs arising from the defined mission and business processes are determined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11b.[02]", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information processing needs arising from the defined mission and business processes are determined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-11c.", - "class": "sp800-53A" - } - ], - "prose": "the mission and business processes are reviewed and revised {{ insert: param, pm-11_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nprocedures for determining mission and business protection needs\n\ninformation security and privacy risk assessment results relevant to the determination of mission and business protection needs\n\npersonally identifiable information processing policy\n\npersonally identifiable information inventory\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for enterprise risk management\n\norganizational personnel responsible for determining information protection needs for mission and business processes\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining mission and business processes and their information protection needs" - } - ] - } - ] - }, - { - "id": "pm-12", - "class": "SP800-53", - "title": "Insider Threat Program", - "props": [ - { - "name": "label", - "value": "PM-12" - }, - { - "name": "sort-id", - "value": "pm-12" - } - ], - "links": [ - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#528135e3-c65b-461a-93d3-46513610f792", - "rel": "reference" - }, - { - "href": "#06d74ea9-2178-449c-a9c5-b2980f804ac8", - "rel": "reference" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-12_smt", - "name": "statement", - "prose": "Implement an insider threat program that includes a cross-discipline insider threat incident handling team." - }, - { - "id": "pm-12_gdn", - "name": "guidance", - "prose": "Organizations that handle classified information are required, under Executive Order 13587 [EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) and the National Insider Threat Policy [ODNI NITP](#06d74ea9-2178-449c-a9c5-b2980f804ac8) , to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and nontechnical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from offices in the department or agency for insider threat analysis, and conduct self-assessments of department or agency insider threat posture.\n\nInsider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-12", - "class": "sp800-53A" - } - ], - "prose": "an insider threat program that includes a cross-discipline insider threat incident handling team is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the insider threat program\n\nmembers of the cross-discipline insider threat incident handling team\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team\n\nautomated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team" - } - ] - } - ] - }, - { - "id": "pm-13", - "class": "SP800-53", - "title": "Security and Privacy Workforce", - "props": [ - { - "name": "label", - "value": "PM-13" - }, - { - "name": "sort-id", - "value": "pm-13" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-13_smt", - "name": "statement", - "prose": "Establish a security and privacy workforce development and improvement program." - }, - { - "id": "pm-13_gdn", - "name": "guidance", - "prose": "Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13[01]", - "class": "sp800-53A" - } - ], - "prose": "a security workforce development and improvement program is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-13[02]", - "class": "sp800-53A" - } - ], - "prose": "a privacy workforce development and improvement program is established." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\ninformation security and privacy workforce development and improvement program documentation\n\nprocedures for the information security and privacy workforce development and improvement program\n\ninformation security and privacy role-based training program documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the information security and privacy workforce development and improvement program\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the information security and privacy workforce development and improvement program\n\nautomated mechanisms supporting and/or implementing the information security and privacy workforce development and improvement program" - } - ] - } - ] - }, - { - "id": "pm-14", - "class": "SP800-53", - "title": "Testing, Training, and Monitoring", - "props": [ - { - "name": "label", - "value": "PM-14" - }, - { - "name": "sort-id", - "value": "pm-14" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-14_smt", - "name": "statement", - "parts": [ - { - "id": "pm-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:", - "parts": [ - { - "id": "pm-14_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Are developed and maintained; and" - }, - { - "id": "pm-14_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Continue to be executed; and" - } - ] - }, - { - "id": "pm-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-14_gdn", - "name": "guidance", - "prose": "A process for organization-wide security and privacy testing, training, and monitoring helps ensure that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.01[04]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems are maintained;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational systems continue to be executed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "a process is implemented for ensuring that organizational plans for conducting privacy testing, training, and monitoring activities associated with organizational systems continue to be executed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[01]", - "class": "sp800-53A" - } - ], - "prose": "testing, training, and monitoring plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[02]", - "class": "sp800-53A" - } - ], - "prose": "training plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[03]", - "class": "sp800-53A" - } - ], - "prose": "monitoring plans are reviewed for consistency with the organizational risk management strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[04]", - "class": "sp800-53A" - } - ], - "prose": "testing plans are reviewed for consistency with organization-wide priorities for risk response actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[05]", - "class": "sp800-53A" - } - ], - "prose": "training plans are reviewed for consistency with organization-wide priorities for risk response actions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-14b.[06]", - "class": "sp800-53A" - } - ], - "prose": "monitoring plans are reviewed for consistency with organization-wide priorities for risk response actions." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nplans for conducting security and privacy testing, training, and monitoring activities\n\norganizational procedures addressing the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities\n\nrisk management strategy\n\nprocedures for the review of plans for conducting security and privacy testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities\n\nresults of risk assessments associated with conducting security and privacy testing, training, and monitoring activities\n\ndocumentation of the timely execution of plans for conducting security and privacy testing, training, and monitoring activities\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing and maintaining plans for conducting security and privacy testing, training, and monitoring activities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities\n\nautomated mechanisms supporting the development and maintenance of plans for conducting security and privacy testing, training, and monitoring activities" - } - ] - } - ] - }, - { - "id": "pm-15", - "class": "SP800-53", - "title": "Security and Privacy Groups and Associations", - "props": [ - { - "name": "label", - "value": "PM-15" - }, - { - "name": "sort-id", - "value": "pm-15" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-15_smt", - "name": "statement", - "prose": "Establish and institutionalize contact with selected groups and associations within the security and privacy communities:", - "parts": [ - { - "id": "pm-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "To facilitate ongoing security and privacy education and training for organizational personnel;" - }, - { - "id": "pm-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "To maintain currency with recommended security and privacy practices, techniques, and technologies; and" - }, - { - "id": "pm-15_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "To share current security and privacy information, including threats, vulnerabilities, and incidents." - } - ] - }, - { - "id": "pm-15_gdn", - "name": "guidance", - "prose": "Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users’ groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on mission and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to facilitate ongoing security education and training for organizational personnel;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15a.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to facilitate ongoing privacy education and training for organizational personnel;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to maintain currency with recommended security practices, techniques, and technologies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15b.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to maintain currency with recommended privacy practices, techniques, and technologies;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.[01]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the security community to share current security information, including threats, vulnerabilities, and incidents;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-15c.[02]", - "class": "sp800-53A" - } - ], - "prose": "contact is established and institutionalized with selected groups and associations within the privacy community to share current privacy information, including threats, vulnerabilities, and incidents." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nprocedures for establishing and institutionalizing contacts with security and privacy groups and associations\n\nlists or other records of contacts with and/or membership in security and privacy groups and associations\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for establishing and institutionalizing contact with security and privacy groups and associations\n\norganizational personnel with information security and privacy responsibilities\n\npersonnel from selected groups and associations with which the organization has established and institutionalized contact" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing and institutionalizing contact with security and privacy groups and associations\n\nautomated mechanisms supporting contact with security and privacy groups and associations" - } - ] - } - ] - }, - { - "id": "pm-16", - "class": "SP800-53", - "title": "Threat Awareness Program", - "props": [ - { - "name": "label", - "value": "PM-16" - }, - { - "name": "sort-id", - "value": "pm-16" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-16_smt", - "name": "statement", - "prose": "Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence." - }, - { - "id": "pm-16_gdn", - "name": "guidance", - "prose": "Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information, including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may require special agreements and protection, or it may be freely shared." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-16", - "class": "sp800-53A" - } - ], - "prose": "a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nthreat awareness program policy\n\nthreat awareness program procedures\n\nrisk assessment results relevant to threat awareness\n\ndocumentation about the cross-organization information-sharing capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the threat awareness program\n\norganizational personnel responsible for the cross-organization information-sharing capability\n\norganizational personnel with information security and privacy responsibilities\n\nexternal personnel with whom threat awareness information is shared by the organization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the threat awareness program\n\norganizational processes for implementing the cross-organization information-sharing capability\n\nautomated mechanisms supporting and/or implementing the threat awareness program\n\nautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability" - } - ] - } - ], - "controls": [ - { - "id": "pm-16.1", - "class": "SP800-53-enhancement", - "title": "Automated Means for Sharing Threat Intelligence", - "props": [ - { - "name": "label", - "value": "PM-16(01)" - }, - { - "name": "sort-id", - "value": "pm-16.01" - } - ], - "links": [ - { - "href": "#pm-16", - "rel": "required" - } - ], - "parts": [ - { - "id": "pm-16.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information." - }, - { - "id": "pm-16.1_gdn", - "name": "guidance", - "prose": "To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By using well-established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed the relevant threat detection signatures into monitoring tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-16(01)", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are employed to maximize the effectiveness of sharing threat intelligence information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nthreat awareness program policy\n\nthreat awareness program procedures\n\nrisk assessment results related to threat awareness\n\ndocumentation about the cross-organization information-sharing capability\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy program planning and plan implementation responsibilities\n\norganizational personnel responsible for the threat awareness program\n\norganizational personnel responsible for the cross-organization information-sharing capability\n\norganizational personnel with information security and privacy responsibilities\n\nexternal personnel with whom threat awareness information is shared by the organization" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing the threat awareness program\n\norganizational processes for implementing the cross-organization information-sharing capability\n\nautomated mechanisms supporting and/or implementing the threat awareness program\n\nautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability" - } - ] - } - ] - } - ] - }, - { - "id": "pm-17", - "class": "SP800-53", - "title": "Protecting Controlled Unclassified Information on External Systems", - "params": [ - { - "id": "pm-17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-17_prm_1" - }, - { - "name": "label", - "value": "PM-17_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the policy and procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-17" - }, - { - "name": "sort-id", - "value": "pm-17" - } - ], - "links": [ - { - "href": "#91f992fb-f668-4c91-a50f-0f05b95ccee3", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-17_smt", - "name": "statement", - "parts": [ - { - "id": "pm-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; and" - }, - { - "id": "pm-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the policy and procedures {{ insert: param, pm-17_odp }}." - } - ] - }, - { - "id": "pm-17_gdn", - "name": "guidance", - "prose": "Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) and, specifically for systems external to the federal organization, [32 CFR 2002.14h](https://www.govinfo.gov/content/pkg/CFR-2017-title32-vol6/xml/CFR-2017-title32-vol6-part2002.xml) . The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.[01]", - "class": "sp800-53A" - } - ], - "prose": "policy is established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and standards;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17a.[02]", - "class": "sp800-53A" - } - ], - "prose": "procedures are established to ensure that requirements for the protection of controlled unclassified information that is processed, stored, or transmitted on external systems are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and standards;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-17b.", - "class": "sp800-53A" - } - ], - "prose": "policy and procedures are reviewed and updated {{ insert: param, pm-17_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Controlled unclassified information policy\n\ncontrolled unclassified information procedures\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with controlled unclassified information responsibilities\n\norganizational personnel with information security responsibilities." - } - ] - } - ] - }, - { - "id": "pm-18", - "class": "SP800-53", - "title": "Privacy Program Plan", - "params": [ - { - "id": "pm-18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-18_prm_1" - }, - { - "name": "label", - "value": "PM-18_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of updates to the privacy program plan is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-18" - }, - { - "name": "sort-id", - "value": "pm-18" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-18_smt", - "name": "statement", - "parts": [ - { - "id": "pm-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:", - "parts": [ - { - "id": "pm-18_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;" - }, - { - "id": "pm-18_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-18_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;" - }, - { - "id": "pm-18_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;" - }, - { - "id": "pm-18_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "05." - } - ], - "prose": "Reflects coordination among organizational entities responsible for the different aspects of privacy; and" - }, - { - "id": "pm-18_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "06." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and" - } - ] - }, - { - "id": "pm-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the plan {{ insert: param, pm-18_odp }} and to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments." - } - ] - }, - { - "id": "pm-18_gdn", - "name": "guidance", - "prose": "A privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the senior agency official for privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents.\n\nThe senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection operations explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended.\n\nProgram management controls are generally implemented at the organization level and are essential for managing the organization’s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. Together, the privacy plans for individual systems and the organization-wide privacy program plan provide complete coverage for the privacy controls employed within the organization.\n\nCommon controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide privacy program plan that provides an overview of the agency’s privacy program is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes a description of the structure of the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes a description of the resources dedicated to the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides an overview of the requirements for the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides a description of the privacy program management controls in place or planned for meeting the requirements of the privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan provides a description of common controls in place or planned for meeting the requirements of the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes the role of the senior agency official for privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan includes the identification and assignment of the roles of other privacy officials and staff and their responsibilities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes compliance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.04[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan describes the strategic goals and objectives of the privacy program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.05", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan reflects coordination among organizational entities responsible for the different aspects of privacy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.06", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is approved by a senior official with responsibility and accountability for the privacy risk being incurred by organizational operations (including, mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is disseminated;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated {{ insert: param, pm-18_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address changes in federal privacy laws and policies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address organizational changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-18b.[04]", - "class": "sp800-53A" - } - ], - "prose": "the privacy program plan is updated to address problems identified during plan implementation or privacy control assessments." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprocedures addressing program plan development and implementation\n\nprocedures addressing program plan reviews, updates, and approvals\n\nprocedures addressing coordination of the program plan with relevant entities\n\nrecords of program plan reviews, updates, and approvals\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pm-19", - "class": "SP800-53", - "title": "Privacy Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-19" - }, - { - "name": "sort-id", - "value": "pm-19" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-19_smt", - "name": "statement", - "prose": "Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program." - }, - { - "id": "pm-19_gdn", - "name": "guidance", - "prose": "The privacy officer is an organizational official. For federal agencies—as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines—this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has roles on the data management board (see [PM-23](#pm-23) ) and the data integrity board (see [PM-24](#pm-24))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[01]", - "class": "sp800-53A" - } - ], - "prose": "a senior agency official for privacy with authority, mission, accountability, and resources is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[02]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy coordinates applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[03]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy develops applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[04]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy implements applicable privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-19[05]", - "class": "sp800-53A" - } - ], - "prose": "the senior agency official for privacy manages privacy risks through the organization-wide privacy program." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program documents, including policies, procedures, plans, and reports\n\npublic privacy notices, including Federal Register notices\n\nprivacy impact assessments\n\nprivacy risk assessments\n\nPrivacy Act statements\n\nsystem of records notices\n\ncomputer matching agreements and notices\n\ncontracts, information sharing agreements, and memoranda of understanding\n\ngoverning requirements, including laws, Executive Orders, regulations, standards, and guidance\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program planning and plan implementation responsibilities\n\norganizational personnel with privacy responsibilities\n\nsenior agency official for privacy\n\nprivacy officials" - } - ] - } - ] - }, - { - "id": "pm-20", - "class": "SP800-53", - "title": "Dissemination of Privacy Program Information", - "props": [ - { - "name": "label", - "value": "PM-20" - }, - { - "name": "sort-id", - "value": "pm-20" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#206a3284-6a7e-423c-8ea9-25b22542541d", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-20_smt", - "name": "statement", - "prose": "Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that:", - "parts": [ - { - "id": "pm-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;" - }, - { - "id": "pm-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that organizational privacy practices and reports are publicly available; and" - }, - { - "id": "pm-20_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "id": "pm-20_gdn", - "name": "guidance", - "prose": "For federal agencies, the webpage is located at www.[agency].gov/privacy. Federal agencies include public privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption and implementation rules, privacy reports, privacy policies, instructions for individuals making an access or amendment request, email addresses for questions/complaints, blogs, and periodic publications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20[01]", - "class": "sp800-53A" - } - ], - "prose": "a central resource webpage is maintained on the organization’s principal public website;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage serves as a central source of information about the organization’s privacy program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that the public has access to information about organizational privacy activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that the public can communicate with its senior agency official for privacy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that organizational privacy practices are publicly available;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the webpage ensures that organizational privacy reports are publicly available;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20c.", - "class": "sp800-53A" - } - ], - "prose": "the webpage employs publicly facing email addresses and/or phone numbers to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Public website\n\npublicly posted privacy program documents, including policies, procedures, plans, and reports\n\nposition description of the senior agency official for privacy\n\npublic privacy notices, including Federal Register notices\n\nprivacy impact assessments\n\nprivacy risk assessments\n\nPrivacy Act statements and system of records notices\n\ncomputer matching agreements and notices\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Location, access, availability, and functionality of privacy resource webpage" - } - ] - } - ], - "controls": [ - { - "id": "pm-20.1", - "class": "SP800-53-enhancement", - "title": "Privacy Policies on Websites, Applications, and Digital Services", - "props": [ - { - "name": "label", - "value": "PM-20(01)" - }, - { - "name": "sort-id", - "value": "pm-20.01" - } - ], - "links": [ - { - "href": "#pm-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "pm-20.1_smt", - "name": "statement", - "prose": "Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:", - "parts": [ - { - "id": "pm-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Are written in plain language and organized in a way that is easy to understand and navigate;" - }, - { - "id": "pm-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide information needed by the public to make an informed decision about whether and how to interact with the organization; and" - }, - { - "id": "pm-20.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes." - } - ] - }, - { - "id": "pm-20.1_gdn", - "name": "guidance", - "prose": "Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations provide a link to the privacy policy on any webpage that collects personally identifiable information. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that require the provision of specific information to the public. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all external-facing websites;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all mobile applications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "privacy policies are developed and posted on all other digital services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are written in plain language;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are organized in a way that is easy to understand and navigate;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies provide the information needed by the public to make an informed decision about whether to interact with the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies provide the information needed by the public to make an informed decision about how to interact with the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies are updated whenever the organization makes a substantive change to the practices it describes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-20(01)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy policies include a time/date stamp to inform the public of the date of the most recent changes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-20(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprivacy policies on the agency website, mobile applications, and/or other digital services" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-20(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-20(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing\n\norganizational procedures and practices for disseminating privacy program information\n\nautomated mechanisms supporting the dissemination of privacy program information" - } - ] - } - ] - } - ] - }, - { - "id": "pm-21", - "class": "SP800-53", - "title": "Accounting of Disclosures", - "props": [ - { - "name": "label", - "value": "PM-21" - }, - { - "name": "sort-id", - "value": "pm-21" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-21_smt", - "name": "statement", - "parts": [ - { - "id": "pm-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:", - "parts": [ - { - "id": "pm-21_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Date, nature, and purpose of each disclosure; and" - }, - { - "id": "pm-21_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Name and address, or other contact information of the individual or organization to which the disclosure was made;" - } - ] - }, - { - "id": "pm-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and" - }, - { - "id": "pm-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "id": "pm-21_gdn", - "name": "guidance", - "prose": "The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed, to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information, and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision.\n\nOrganizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services that provide notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing the disclosure or dissemination of information and dissemination restrictions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.", - "class": "sp800-53A" - } - ], - "prose": "an accurate accounting of disclosures of personally identifiable information is developed and maintained;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the date of each disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the nature of each disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the purpose of each disclosure;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the name of the individual or organization to whom the disclosure was made;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the accounting includes the address or other contact information of the individual or organization to whom the disclosure was made;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21b.", - "class": "sp800-53A" - } - ], - "prose": "the accounting of disclosures is retained for the length of time that the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-21c.", - "class": "sp800-53A" - } - ], - "prose": "the accounting of disclosures is made available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ndisclosure policies and procedures\n\nrecords of disclosures\n\naudit logs\n\nPrivacy Act policies and procedures\n\nsystem of records notice\n\nPrivacy Act exemption rules." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for disclosures\n\nautomated mechanisms supporting the accounting of disclosures, including commercial services that provide notifications and alerts." - } - ] - } - ] - }, - { - "id": "pm-22", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Management", - "props": [ - { - "name": "label", - "value": "PM-22" - }, - { - "name": "sort-id", - "value": "pm-22" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#227063d4-431e-435f-9e8f-009b6dbc20f4", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-22_smt", - "name": "statement", - "prose": "Develop and document organization-wide policies and procedures for:", - "parts": [ - { - "id": "pm-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;" - }, - { - "id": "pm-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "id": "pm-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and" - }, - { - "id": "pm-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Appeals of adverse decisions on correction or deletion requests." - } - ] - }, - { - "id": "pm-22_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality management includes steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information.\n\nThe senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations.\n\nOrganizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to the complexity of data flows and storage, other entities may need to be informed of the correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22[01]", - "class": "sp800-53A" - } - ], - "prose": "organization-wide policies for personally identifiable information quality management are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22[02]", - "class": "sp800-53A" - } - ], - "prose": "organization-wide procedures for personally identifiable information quality management are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the accuracy of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the relevance of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the timeliness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the policies address reviewing the completeness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the accuracy of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the relevance of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the timeliness of personally identifiable information across the information life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address reviewing the completeness of personally identifiable information across the information life cycle;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address correcting or deleting inaccurate or outdated personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the policies address appeals of adverse decisions on correction or deletion requests;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-22d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the procedures address appeals of adverse decisions on correction or deletion requests." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\npolicies and procedures addressing personally identifiable information quality management, information life cycle documentation, and sample notices of correction or deletion\n\nrecords of monitoring PII quality management practices\n\ndocumentation of reviews and updates of policies and procedures" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program information dissemination responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "[Organizational processes for data quality and personally identifiable information quality management procedures\n\nautomated mechanisms supporting and/or implementing quality management requirements" - } - ] - } - ] - }, - { - "id": "pm-23", - "class": "SP800-53", - "title": "Data Governance Body", - "params": [ - { - "id": "pm-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-23_prm_1" - }, - { - "name": "label", - "value": "PM-23_ODP[01]" - } - ], - "label": "roles", - "guidelines": [ - { - "prose": "the roles of a data governance body are defined;" - } - ] - }, - { - "id": "pm-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-23_prm_2" - }, - { - "name": "label", - "value": "PM-23_ODP[02]" - } - ], - "label": "responsibilities", - "guidelines": [ - { - "prose": "the responsibilities of a data governance body are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-23" - }, - { - "name": "sort-id", - "value": "pm-23" - } - ], - "links": [ - { - "href": "#511da9ca-604d-43f7-be41-b862085420a9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#d886c141-c832-4ad7-ac6d-4b94f4b550d3", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-23_smt", - "name": "statement", - "prose": "Establish a Data Governance Body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }}." - }, - { - "id": "pm-23_gdn", - "name": "guidance", - "prose": "A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines that support data modeling, quality, integrity, and the de-identification needs of personally identifiable information across the information life cycle as well as reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT](#511da9ca-604d-43f7-be41-b862085420a9) and policies set forth under [OMB M-19-23](#d886c141-c832-4ad7-ac6d-4b94f4b550d3)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-23", - "class": "sp800-53A" - } - ], - "prose": "a data governance body consisting of {{ insert: param, pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }} is established." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ndocumentation relating to a data governance body, including documents establishing such a body, its charter of operations, and any plans and reports\n\nrecords of board meetings and decisions\n\nrecords of requests to review data\n\npolicies, procedures, and standards that facilitate data governance" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Officials serving on the data governance dody (e.g., chief information officer, senior agency information security officer, and senior agency official for privacy)" - } - ] - } - ] - }, - { - "id": "pm-24", - "class": "SP800-53", - "title": "Data Integrity Board", - "props": [ - { - "name": "label", - "value": "PM-24" - }, - { - "name": "sort-id", - "value": "pm-24" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-24_smt", - "name": "statement", - "prose": "Establish a Data Integrity Board to:", - "parts": [ - { - "id": "pm-24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review proposals to conduct or participate in a matching program; and" - }, - { - "id": "pm-24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "id": "pm-24_gdn", - "name": "guidance", - "prose": "A Data Integrity Board is the board of senior officials designated by the head of a federal agency and is responsible for, among other things, reviewing the agency’s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24", - "class": "sp800-53A" - } - ], - "prose": "a data integrity board is established;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24a.", - "class": "sp800-53A" - } - ], - "prose": "the data integrity board reviews proposals to conduct or participate in a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-24b.", - "class": "sp800-53A" - } - ], - "prose": "the data integrity board conducts an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprivacy program documents relating to a data integrity board, including documents establishing the board, its charter of operations, and any plans and reports\n\ncomputer matching agreements and notices\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nrecords documenting annual reviews\n\ngoverning requirements, including laws, Executive Orders, regulations, standards, and guidance" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "members of the data integrity board (e.g., the chief information officer, senior information security officer, senior agency official for privacy, and agency Inspector General)" - } - ] - } - ] - }, - { - "id": "pm-25", - "class": "SP800-53", - "title": "Minimization of Personally Identifiable Information Used in Testing, Training, and Research", - "params": [ - { - "id": "pm-25_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pm-25_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pm-25_odp.01", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing policies that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.02", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating policies that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.03", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing procedures that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - }, - { - "id": "pm-25_odp.04", - "props": [ - { - "name": "label", - "value": "PM-25_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating procedures that address the use of personally identifiable information for internal testing, training, and research is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-25" - }, - { - "name": "sort-id", - "value": "pm-25" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-25_smt", - "name": "statement", - "parts": [ - { - "id": "pm-25_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;" - }, - { - "id": "pm-25_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;" - }, - { - "id": "pm-25_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and" - }, - { - "id": "pm-25_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review and update policies and procedures {{ insert: param, pm-25_prm_1 }}." - } - ] - }, - { - "id": "pm-25_gdn", - "name": "guidance", - "prose": "The use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and/or legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[01]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal testing are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[02]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal training are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[03]", - "class": "sp800-53A" - } - ], - "prose": "policies that address the use of personally identifiable information for internal research are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[04]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal testing are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[05]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal training are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[06]", - "class": "sp800-53A" - } - ], - "prose": "procedures that address the use of personally identifiable information for internal research are implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25a.[07]", - "class": "sp800-53A" - } - ], - "prose": "policies and procedures that address the use of personally identifiable information for internal testing, training, and research are implemented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal testing purposes is limited or minimized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal training purposes is limited or minimized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the amount of personally identifiable information used for internal research purposes is limited or minimized;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal testing is authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal training is authorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25c.[03]", - "class": "sp800-53A" - } - ], - "prose": "the required use of personally identifiable information for internal research is authorized;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[01]", - "class": "sp800-53A" - } - ], - "prose": "policies are reviewed {{ insert: param, pm-25_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[02]", - "class": "sp800-53A" - } - ], - "prose": "policies are updated {{ insert: param, pm-25_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[03]", - "class": "sp800-53A" - } - ], - "prose": "procedures are reviewed {{ insert: param, pm-25_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-25d.[04]", - "class": "sp800-53A" - } - ], - "prose": "procedures are updated {{ insert: param, pm-25_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\npolicies and procedures for the minimization of personally identifiable information used in testing, training, and research\n\ndocumentation supporting policy implementation (e.g., templates for testing, training, and research\n\nprivacy threshold analysis\n\nprivacy risk assessment)\n\ndata sets used for testing, training, and research" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities\n\nsystem developers\n\npersonnel with IRB responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for data quality and personally identifiable information management\n\nautomated mechanisms supporting data quality management and personally identifiable information management to minimize the use of personally identifiable information" - } - ] - } - ] - }, - { - "id": "pm-26", - "class": "SP800-53", - "title": "Complaint Management", - "params": [ - { - "id": "pm-26_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pm-25_odp.04" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_prm_2", - "props": [ - { - "name": "aggregates", - "value": "pm-26_odp.01" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_prm_3", - "props": [ - { - "name": "aggregates", - "value": "pm-26_odp.02" - } - ], - "label": "organization-defined time period" - }, - { - "id": "pm-26_odp.01", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period in which complaints (including concerns or questions) from individuals are to be reviewed is defined;" - } - ] - }, - { - "id": "pm-26_odp.02", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period in which complaints (including concerns or questions) from individuals are to be addressed is defined;" - } - ] - }, - { - "id": "pm-26_odp.03", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for acknowledging the receipt of complaints is defined;" - } - ] - }, - { - "id": "pm-26_odp.04", - "props": [ - { - "name": "label", - "value": "PM-26_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period for responding to complaints is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-26" - }, - { - "name": "sort-id", - "value": "pm-26" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-26_smt", - "name": "statement", - "prose": "Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes:", - "parts": [ - { - "id": "pm-26_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mechanisms that are easy to use and readily accessible by the public;" - }, - { - "id": "pm-26_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "All information necessary for successfully filing complaints;" - }, - { - "id": "pm-26_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};" - }, - { - "id": "pm-26_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_2 }} ; and" - }, - { - "id": "pm-26_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_3 }}." - } - ] - }, - { - "id": "pm-26_gdn", - "name": "guidance", - "prose": "Complaints, concerns, and questions from individuals can serve as valuable sources of input to organizations and ultimately improve operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information which is handled in accordance with relevant policies and processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26", - "class": "sp800-53A" - } - ], - "prose": "a process for receiving complaints, concerns, or questions from individuals about the organizational security and privacy practices is implemented;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes mechanisms that are easy to use by the public;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes mechanisms that are readily accessible by the public;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26b.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes all information necessary for successfully filing complaints;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes tracking mechanisms to ensure that all complaints are reviewed within {{ insert: param, pm-26_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes tracking mechanisms to ensure that all complaints are addressed within {{ insert: param, pm-26_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26d.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes acknowledging the receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-26e.", - "class": "sp800-53A" - } - ], - "prose": "the complaint management process includes responding to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-26-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\nprocedures addressing complaint management\n\ncomplaint documentation\n\nprocedures addressing the reviews of complaints\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-26-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-26-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for complaint management\n\nautomated mechanisms supporting complaint management\n\ntools used by the public to submit complaints, concerns, and questions (e.g., telephone, hotline, email, or web-based forms" - } - ] - } - ] - }, - { - "id": "pm-27", - "class": "SP800-53", - "title": "Privacy Reporting", - "params": [ - { - "id": "pm-27_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_1" - }, - { - "name": "label", - "value": "PM-27_ODP[01]" - } - ], - "label": "privacy reports", - "guidelines": [ - { - "prose": "privacy reports are defined;" - } - ] - }, - { - "id": "pm-27_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_2" - }, - { - "name": "label", - "value": "PM-27_ODP[02]" - } - ], - "label": "oversight bodies", - "guidelines": [ - { - "prose": "privacy oversight bodies are defined;" - } - ] - }, - { - "id": "pm-27_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_3" - }, - { - "name": "label", - "value": "PM-27_ODP[03]" - } - ], - "label": "officials", - "guidelines": [ - { - "prose": "officials responsible for monitoring privacy program compliance are defined;" - } - ] - }, - { - "id": "pm-27_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-27_prm_4" - }, - { - "name": "label", - "value": "PM-27_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating privacy reports is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-27" - }, - { - "name": "sort-id", - "value": "pm-27" - } - ], - "links": [ - { - "href": "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-27_smt", - "name": "statement", - "parts": [ - { - "id": "pm-27_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop {{ insert: param, pm-27_odp.01 }} and disseminate to:", - "parts": [ - { - "id": "pm-27_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and" - }, - { - "id": "pm-27_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, pm-27_odp.03 }} and other personnel with responsibility for monitoring privacy program compliance; and" - } - ] - }, - { - "id": "pm-27_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update privacy reports {{ insert: param, pm-27_odp.04 }}." - } - ] - }, - { - "id": "pm-27_gdn", - "name": "guidance", - "prose": "Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. For federal agencies, privacy reports include annual senior agency official for privacy reports to OMB, reports to Congress required by Implementing Regulations of the 9/11 Commission Act, and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-27_odp.01 }} are developed;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.01", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to {{ insert: param, pm-27_odp.02 }} to demonstrate accountability with statutory, regulatory, and policy privacy mandates;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to {{ insert: param, pm-27_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are disseminated to other personnel responsible for monitoring privacy program compliance;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-27b.", - "class": "sp800-53A" - } - ], - "prose": "the privacy reports are reviewed and updated {{ insert: param, pm-27_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-27-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Privacy program plan\n\ninternal and external privacy reports\n\nprivacy program plan\n\nannual senior agency official for privacy reports to OMB\n\nreports to Congress required by law, regulation, or policy, including internal policies\n\nrecords documenting the dissemination of reports to oversight bodies and officials responsible for monitoring privacy program compliance\n\nrecords of review and updates of privacy reports." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-27-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with privacy program responsibilities\n\norganizational personnel with privacy responsibilities\n\nlegal counsel." - } - ] - } - ] - }, - { - "id": "pm-28", - "class": "SP800-53", - "title": "Risk Framing", - "params": [ - { - "id": "pm-28_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-28_prm_1" - }, - { - "name": "label", - "value": "PM-28_ODP[01]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "the personnel to receive the results of risk framing activities is/are defined;" - } - ] - }, - { - "id": "pm-28_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-28_prm_2" - }, - { - "name": "label", - "value": "PM-28_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating risk framing considerations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-28" - }, - { - "name": "sort-id", - "value": "pm-28" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-28_smt", - "name": "statement", - "parts": [ - { - "id": "pm-28_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document:", - "parts": [ - { - "id": "pm-28_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Assumptions affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Constraints affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Priorities and trade-offs considered by the organization for managing risk; and" - }, - { - "id": "pm-28_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Organizational risk tolerance;" - } - ] - }, - { - "id": "pm-28_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the results of risk framing activities to {{ insert: param, pm-28_odp.01 }} ; and" - }, - { - "id": "pm-28_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update risk framing considerations {{ insert: param, pm-28_odp.02 }}." - } - ] - }, - { - "id": "pm-28_gdn", - "name": "guidance", - "prose": "Risk framing is most effective when conducted at the organization level and in consultation with stakeholders throughout the organization including mission, business, and system owners. The assumptions, constraints, risk tolerance, priorities, and trade-offs identified as part of the risk framing process inform the risk management strategy, which in turn informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel, including mission and business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk assessments are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk responses are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "assumptions affecting risk monitoring are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk assessments are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk responses are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "constraints affecting risk monitoring are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "priorities considered by the organization for managing risk are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "trade-offs considered by the organization for managing risk are identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28a.04", - "class": "sp800-53A" - } - ], - "prose": "organizational risk tolerance is identified and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28b.", - "class": "sp800-53A" - } - ], - "prose": "the results of risk framing activities are distributed to {{ insert: param, pm-28_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-28c.", - "class": "sp800-53A" - } - ], - "prose": "risk framing considerations are reviewed and updated {{ insert: param, pm-28_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-28-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nsupply chain risk management strategy\n\ndocumentation of risk framing activities\n\npolicies and procedures for risk framing activities\n\nrisk management strategy" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-28-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel (including mission, business, and system owners or stewards\n\nauthorizing officials\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\nand senior accountable official for risk management)" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-28-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and practices for authorizing, conducting, managing, and reviewing personally identifiable information processing\n\norganizational processes for risk framing\n\nautomated mechanisms supporting the development, review, update, and approval of risk framing" - } - ] - } - ] - }, - { - "id": "pm-29", - "class": "SP800-53", - "title": "Risk Management Program Leadership Roles", - "props": [ - { - "name": "label", - "value": "PM-29" - }, - { - "name": "sort-id", - "value": "pm-29" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-29_smt", - "name": "statement", - "parts": [ - { - "id": "pm-29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and" - }, - { - "id": "pm-29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization." - } - ] - }, - { - "id": "pm-29_gdn", - "name": "guidance", - "prose": "The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a Senior Accountable Official for Risk Management is appointed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a Senior Accountable Official for Risk Management aligns information security and privacy management processes with strategic, operational, and budgetary planning processes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[01]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) views and analyzes risk from an organization-wide perspective;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-29b.[03]", - "class": "sp800-53A" - } - ], - "prose": "a Risk Executive (function) ensures that the management of risk is consistent across the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-29-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nrisk management strategy\n\nsupply chain risk management strategy\n\ndocumentation of appointment, roles, and responsibilities of a Senior Accountable Official for Risk Management\n\ndocumentation of actions taken by the Official\n\ndocumentation of the establishment, policies, and procedures of a Risk Executive (function)" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-29-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Senior Accountable Official for Risk Management\n\nchief information officer\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\norganizational personnel with information security and privacy program responsibilities" - } - ] - } - ] - }, - { - "id": "pm-30", - "class": "SP800-53", - "title": "Supply Chain Risk Management Strategy", - "params": [ - { - "id": "pm-30_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-30_prm_1" - }, - { - "name": "label", - "value": "PM-30_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for reviewing and updating the supply chain risk management strategy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-30" - }, - { - "name": "sort-id", - "value": "pm-30" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#206a3284-6a7e-423c-8ea9-25b22542541d", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30_smt", - "name": "statement", - "parts": [ - { - "id": "pm-30_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;" - }, - { - "id": "pm-30_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management strategy consistently across the organization; and" - }, - { - "id": "pm-30_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management strategy on {{ insert: param, pm-30_odp }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-30_gdn", - "name": "guidance", - "prose": "An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk appetite and tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of the security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization’s overarching risk management strategy and can guide and inform supply chain policies and system-level supply chain risk management plans. In addition, the use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organization and mission/business levels, whereas the supply chain risk management plan (see [SR-2](#sr-2) ) is implemented at the system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide strategy for managing supply chain risks is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the development of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the development of system components;\n\nthe supply chain risk management strategy addresses risks associated with the development of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the acquisition of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[09]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the maintenance of system services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[10]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[11]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30a.[12]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy addresses risks associated with the disposal of system services;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30b.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy is implemented consistently across the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30c.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management strategy is reviewed and updated {{ insert: param, pm-30_odp }} or as required to address organizational changes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-30-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management strategy\n\norganizational risk management strategy\n\nenterprise risk management documents\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-30-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "pm-30.1", - "class": "SP800-53-enhancement", - "title": "Suppliers of Critical or Mission-essential Items", - "props": [ - { - "name": "label", - "value": "PM-30(01)" - }, - { - "name": "sort-id", - "value": "pm-30.01" - } - ], - "links": [ - { - "href": "#pm-30", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30.1_smt", - "name": "statement", - "prose": "Identify, prioritize, and assess suppliers of critical or mission-essential technologies, products, and services." - }, - { - "id": "pm-30.1_gdn", - "name": "guidance", - "prose": "The identification and prioritization of suppliers of critical or mission-essential technologies, products, and services is paramount to the mission/business success of organizations. The assessment of suppliers is conducted using supplier reviews (see [SR-6](#sr-6) ) and supply chain risk assessment processes (see [RA-3(1)](#ra-3.1) ). An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are prioritized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-30(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "suppliers of critical or mission-essential technologies, products, and services are assessed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-30(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management strategy\n\norganization-wide risk management strategy\n\nenterprise risk management documents\n\ninventory records or suppliers\n\nassessment and prioritization documentation\n\ncritical or mission-essential technologies, products, and service documents or records\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-30(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-30(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, prioritizing, and assessing critical or mission-essential technologies, products, and services\n\norganizational processes for maintaining an inventory of suppliers\n\norganizational process for associating suppliers with critical or mission-essential technologies, products, and services" - } - ] - } - ] - } - ] - }, - { - "id": "pm-31", - "class": "SP800-53", - "title": "Continuous Monitoring Strategy", - "params": [ - { - "id": "pm-31_prm_4", - "props": [ - { - "name": "aggregates", - "value": "pm-31_odp.04" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pm-31_prm_5", - "props": [ - { - "name": "aggregates", - "value": "pm-31_odp.06" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "pm-31_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_1" - }, - { - "name": "label", - "value": "PM-31_ODP[01]" - } - ], - "label": "metrics", - "guidelines": [ - { - "prose": "the metrics for organization-wide continuous monitoring are defined;" - } - ] - }, - { - "id": "pm-31_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_2" - }, - { - "name": "label", - "value": "PM-31_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for monitoring is defined;" - } - ] - }, - { - "id": "pm-31_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-31_prm_3" - }, - { - "name": "label", - "value": "PM-31_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for assessing control effectiveness is defined;" - } - ] - }, - { - "id": "pm-31_odp.04", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles for reporting the security status of organizational systems to is/are defined;" - } - ] - }, - { - "id": "pm-31_odp.05", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[05]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "the personnel or roles for reporting the privacy status of organizational systems to is/are defined;" - } - ] - }, - { - "id": "pm-31_odp.06", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to report the security status of organizational systems is defined;" - } - ] - }, - { - "id": "pm-31_odp.07", - "props": [ - { - "name": "label", - "value": "PM-31_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to report the privacy status of organizational systems is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-31" - }, - { - "name": "sort-id", - "value": "pm-31" - } - ], - "links": [ - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#62ea77ca-e450-4323-b210-e0d75390e785", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-31_smt", - "name": "statement", - "prose": "Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:", - "parts": [ - { - "id": "pm-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following organization-wide metrics to be monitored: {{ insert: param, pm-31_odp.01 }};" - }, - { - "id": "pm-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, pm-31_odp.02 }} for monitoring and {{ insert: param, pm-31_odp.03 }} for assessment of control effectiveness;" - }, - { - "id": "pm-31_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "pm-31_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "pm-31_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "pm-31_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Reporting the security and privacy status of organizational systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param, pm-31_prm_5 }}." - } - ] - }, - { - "id": "pm-31_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms \"continuous\" and \"ongoing\" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective, timely, and informed risk management decisions, including ongoing authorization decisions. To further facilitate security and privacy risk management, organizations consider aligning organization-defined monitoring metrics with organizational risk tolerance as defined in the risk management strategy. Monitoring requirements, including the need for monitoring, may be referenced in other controls and control enhancements such as, [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CA-7](#ca-7), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b), [SI-4](#si-4)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31", - "class": "sp800-53A" - } - ], - "prose": "an organization-wide continuous monitoring strategy is developed;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31a.", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include establishing {{ insert: param, pm-31_odp.01 }} to be monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.02 }} for monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31b.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that establish {{ insert: param, pm-31_odp.03 }} for assessment of control effectiveness;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31c.", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include monitoring {{ insert: param, pm-31_odp.01 }} on an ongoing basis in accordance with the continuous monitoring strategy;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include correlating information generated by control assessments and monitoring;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31d.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include analyzing information generated by control assessments and monitoring;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include response actions to address the analysis of control assessment information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31e.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include response actions to address the analysis of monitoring information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.[01]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include reporting the security status of organizational systems to {{ insert: param, pm-31_odp.04 }} {{ insert: param, pm-31_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-31f.[02]", - "class": "sp800-53A" - } - ], - "prose": "continuous monitoring programs are implemented that include reporting the privacy status of organizational systems to {{ insert: param, pm-31_odp.05 }} {{ insert: param, pm-31_odp.07 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-31-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nsupply chain risk management plan\n\ncontinuous monitoring strategy\n\nrisk management strategy\n\ninformation security continuous monitoring program documentation, reporting, metrics, and artifacts\n\ninformation security continuous monitoring program assessment documentation, reporting, metrics, and artifacts\n\nassessment and authorization policy\n\nprocedures addressing the continuous monitoring of controls\n\nprivacy program continuous monitoring documentation, reporting, metrics, and artifacts\n\ncontinuous monitoring program records, security, and privacy impact analyses\n\nstatus reports\n\nrisk response documentation\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-31-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Senior Accountable Official for Risk Management\n\nchief information officer\n\nsenior agency information security officer\n\nsenior agency official for privacy\n\norganizational personnel with information security, privacy, and supply chain risk management program responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PM-31-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational procedures and mechanisms used for information security, privacy, and supply chain continuous monitoring" - } - ] - } - ] - }, - { - "id": "pm-32", - "class": "SP800-53", - "title": "Purposing", - "params": [ - { - "id": "pm-32_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pm-32_prm_1" - }, - { - "name": "label", - "value": "PM-32_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components supporting mission-essential services or functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PM-32" - }, - { - "name": "sort-id", - "value": "pm-32" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-32_smt", - "name": "statement", - "prose": "Analyze {{ insert: param, pm-32_odp }} supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose." - }, - { - "id": "pm-32_gdn", - "name": "guidance", - "prose": "Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside of the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are more vulnerable to compromise, which can ultimately impact the services and functions for which they were intended. This is especially impactful for mission-essential services and functions. By analyzing resource use, organizations can identify such potential exposures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PM-32", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pm-32_odp }} supporting mission-essential services or functions are analyzed to ensure that the information resources are being used in a manner that is consistent with their intended purpose." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PM-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information security program plan\n\nprivacy program plan\n\nlist of essential services and functions\n\norganizational analysis of information resources\n\nrisk management strategy\n\nother relevant documents or records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PM-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security, privacy, and supply chain risk management program responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ps-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ps-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-01_odp.01", - "props": [ - { - "name": "label", - "value": "PS-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personnel security policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ps-01_odp.02", - "props": [ - { - "name": "label", - "value": "PS-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personnel security procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ps-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_2" - }, - { - "name": "label", - "value": "PS-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ps-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_3" - }, - { - "name": "label", - "value": "PS-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the personnel security policy and procedures is defined;" - } - ] - }, - { - "id": "ps-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_4" - }, - { - "name": "label", - "value": "PS-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personnel security policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ps-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_5" - }, - { - "name": "label", - "value": "PS-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current personnel security policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ps-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_6" - }, - { - "name": "label", - "value": "PS-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personnel security procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ps-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-1_prm_7" - }, - { - "name": "label", - "value": "PS-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the personnel security procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-01" - }, - { - "name": "sort-id", - "value": "ps-01" - } - ], - "links": [ - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ps-01_odp.03 }} personnel security policy that:", - "parts": [ - { - "id": "ps-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ps-01_odp.04 }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and" - }, - { - "id": "ps-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personnel security:", - "parts": [ - { - "id": "ps-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ps-01_odp.05 }} and following {{ insert: param, ps-01_odp.06 }} ; and" - }, - { - "id": "ps-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ps-01_odp.07 }} and following {{ insert: param, ps-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a personnel security policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the personnel security policy is disseminated to {{ insert: param, ps-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "personnel security procedures to facilitate the implementation of the personnel security policy and associated personnel security controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the personnel security procedures are disseminated to {{ insert: param, ps-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.03 }} personnel security policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ps-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personnel security policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security policy is reviewed and updated {{ insert: param, ps-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security policy is reviewed and updated following {{ insert: param, ps-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security procedures are reviewed and updated {{ insert: param, ps-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personnel security procedures are reviewed and updated following {{ insert: param, ps-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\naudit findings\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "params": [ - { - "id": "ps-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-2_prm_1" - }, - { - "name": "label", - "value": "PS-02_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update position risk designations is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-02" - }, - { - "name": "sort-id", - "value": "ps-02" - } - ], - "links": [ - { - "href": "#a5ef5e56-5c1a-4911-b419-37dddc1b3581", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update position risk designations {{ insert: param, ps-02_odp }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02a.", - "class": "sp800-53A" - } - ], - "prose": "a risk designation is assigned to all organizational positions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02b.", - "class": "sp800-53A" - } - ], - "prose": "screening criteria are established for individuals filling organizational positions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-02c.", - "class": "sp800-53A" - } - ], - "prose": "position risk designations are reviewed and updated {{ insert: param, ps-02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nrecords of position risk designation reviews and updates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk designations\n\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "params": [ - { - "id": "ps-3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ps-03_odp.01" - } - ], - "label": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening" - }, - { - "id": "ps-03_odp.01", - "props": [ - { - "name": "label", - "value": "PS-03_ODP[01]" - } - ], - "label": "conditions requiring rescreening", - "guidelines": [ - { - "prose": "conditions requiring rescreening of individuals are defined;" - } - ] - }, - { - "id": "ps-03_odp.02", - "props": [ - { - "name": "label", - "value": "PS-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency of rescreening individuals where it is so indicated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03" - }, - { - "name": "sort-id", - "value": "ps-03" - } - ], - "links": [ - { - "href": "#55b0c93a-5e48-457a-baa6-5ce81c239c49", - "rel": "reference" - }, - { - "href": "#0af071a6-cf8e-48ee-8c82-fe91efa20f94", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "rel": "reference" - }, - { - "href": "#828856bd-d7c4-427b-8b51-815517ec382d", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screen individuals prior to authorizing access to the system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreen individuals in accordance with {{ insert: param, ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03a.", - "class": "sp800-53A" - } - ], - "prose": "individuals are screened prior to authorizing access to the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals are rescreened in accordance with {{ insert: param, ps-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "where rescreening is so indicated, individuals are rescreened {{ insert: param, ps-03_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ], - "controls": [ - { - "id": "ps-3.1", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "PS-03(01)" - }, - { - "name": "sort-id", - "value": "ps-03.01" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.1_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system." - }, - { - "id": "ps-3.1_gdn", - "name": "guidance", - "prose": "Classified information is the most sensitive information that the Federal Government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see [AC-3](#ac-3) ) and flow controls (see [AC-4](#ac-4))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting classified information are cleared;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for clearing and indoctrinating personnel for access to classified information" - } - ] - } - ] - }, - { - "id": "ps-3.2", - "class": "SP800-53-enhancement", - "title": "Formal Indoctrination", - "props": [ - { - "name": "label", - "value": "PS-03(02)" - }, - { - "name": "sort-id", - "value": "ps-03.02" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.2_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system." - }, - { - "id": "ps-3.2_gdn", - "name": "guidance", - "prose": "Types of classified information that require formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartmented Information (SCI)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(02)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination are formally indoctrinated for all of the relevant types of information to which they have access on the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel screening\n\nindoctrination documents\n\nrecords of screened personnel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for formal indoctrination for all relevant types of information to which personnel have access" - } - ] - } - ] - }, - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protective Measures", - "params": [ - { - "id": "ps-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.3_prm_1" - }, - { - "name": "label", - "value": "PS-03(03)_ODP" - } - ], - "label": "additional personnel screening criteria", - "guidelines": [ - { - "prose": "additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03(03)" - }, - { - "name": "sort-id", - "value": "ps-03.03" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ insert: param, ps-03.03_odp }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy {{ insert: param, ps-03.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for information requiring special protection\n\norganizational process for additional personnel screening for information requiring special protection" - } - ] - } - ] - }, - { - "id": "ps-3.4", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements", - "params": [ - { - "id": "ps-03.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.4_prm_1" - }, - { - "name": "label", - "value": "PS-03(04)_ODP[01]" - } - ], - "label": "information types", - "guidelines": [ - { - "prose": "information types that are processed, stored, or transmitted by a system are defined;" - } - ] - }, - { - "id": "ps-03.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-3.4_prm_2" - }, - { - "name": "label", - "value": "PS-03(04)_ODP[02]" - } - ], - "label": "citizenship requirements", - "guidelines": [ - { - "prose": "citizenship requirements to be met by individuals to access a system processing, storing, or transmitting information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-03(04)" - }, - { - "name": "sort-id", - "value": "ps-03.04" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-3.4_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}." - }, - { - "id": "ps-3.4_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-03(04)", - "class": "sp800-53A" - } - ], - "prose": "individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param, ps-03.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for information requiring citizenship\n\norganizational process for additional personnel screening for information requiring citizenship" - } - ] - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "params": [ - { - "id": "ps-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4_prm_1" - }, - { - "name": "label", - "value": "PS-04_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period within which to disable system access is defined;" - } - ] - }, - { - "id": "ps-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4_prm_2" - }, - { - "name": "label", - "value": "PS-04_ODP[02]" - } - ], - "label": "information security topics", - "guidelines": [ - { - "prose": "information security topics to be discussed when conducting exit interviews are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-04" - }, - { - "name": "sort-id", - "value": "ps-04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "Upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disable system access within {{ insert: param, ps-04_odp.01 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminate or revoke any authenticators and credentials associated with the individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieve all security-related organizational system-related property; and" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain access to organizational information and systems formerly controlled by terminated individual." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04a.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, system access is disabled within {{ insert: param, ps-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04b.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, any authenticators and credentials are terminated or revoked;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04c.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }} are conducted;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04d.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, all security-related organizational system-related property is retrieved;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04e.", - "class": "sp800-53A" - } - ], - "prose": "upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination notifications\n\nautomated mechanisms for disabling system access/revoking authenticators" - } - ] - } - ], - "controls": [ - { - "id": "ps-4.1", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-04(01)" - }, - { - "name": "sort-id", - "value": "ps-04.01" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and" - }, - { - "id": "ps-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "id": "ps-4.1_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "terminated individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "terminated individuals are required to sign an acknowledgement of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nsigned post-employment acknowledgement forms\n\nlist of applicable, legally binding post-employment requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-employment requirements" - } - ] - } - ] - }, - { - "id": "ps-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Actions", - "params": [ - { - "id": "ps-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_1" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to notify personnel or roles of individual termination actions and/or to disable access to system resources are defined;" - } - ] - }, - { - "id": "ps-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_2" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "notify{{ insert: param, ps-04.02_odp.03 }}of individual termination actions", - "disable access to system resources" - ] - } - }, - { - "id": "ps-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-4.2_prm_3" - }, - { - "name": "label", - "value": "PS-04(02)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified upon termination of an individual is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-04(02)" - }, - { - "name": "sort-id", - "value": "ps-04.02" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-4.2_smt", - "name": "statement", - "prose": "Use {{ insert: param, ps-04.02_odp.01 }} to {{ insert: param, ps-04.02_odp.02 }}." - }, - { - "id": "ps-4.2_gdn", - "name": "guidance", - "prose": "In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-04.02_odp.01 }} are used to {{ insert: param, ps-04.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel termination\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of personnel termination actions\n\nautomated notifications of employee terminations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "params": [ - { - "id": "ps-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_1" - }, - { - "name": "label", - "value": "PS-05_ODP[01]" - } - ], - "label": "transfer or reassignment actions", - "guidelines": [ - { - "prose": "transfer or reassignment actions to be initiated following transfer or reassignment are defined;" - } - ] - }, - { - "id": "ps-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_2" - }, - { - "name": "label", - "value": "PS-05_ODP[02]" - } - ], - "label": "time period following the formal transfer action", - "guidelines": [ - { - "prose": "the time period within which transfer or reassignment actions must occur following transfer or reassignment is defined;" - } - ] - }, - { - "id": "ps-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_3" - }, - { - "name": "label", - "value": "PS-05_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization is/are defined;" - } - ] - }, - { - "id": "ps-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-5_prm_4" - }, - { - "name": "label", - "value": "PS-05_ODP[04]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-05" - }, - { - "name": "sort-id", - "value": "ps-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiate {{ insert: param, ps-05_odp.01 }} within {{ insert: param, ps-05_odp.02 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notify {{ insert: param, ps-05_odp.03 }} within {{ insert: param, ps-05_odp.04 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05a.", - "class": "sp800-53A" - } - ], - "prose": "the ongoing operational need for current logical and physical access authorizations to systems and facilities are reviewed and confirmed when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-05_odp.01 }} are initiated within {{ insert: param, ps-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05c.", - "class": "sp800-53A" - } - ], - "prose": "access authorization is modified as needed to correspond with any changes in operational need due to reassignment or transfer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-05d.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-05_odp.03 }} are notified within {{ insert: param, ps-05_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing personnel transfer\n\nrecords of personnel transfer actions\n\nlist of system and facility access authorizations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer notifications\n\nautomated mechanisms for disabling system access/revoking authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "params": [ - { - "id": "ps-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-6_prm_1" - }, - { - "name": "label", - "value": "PS-06_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update access agreements is defined;" - } - ] - }, - { - "id": "ps-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-6_prm_2" - }, - { - "name": "label", - "value": "PS-06_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to re-sign access agreements to maintain access to organizational information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-06" - }, - { - "name": "sort-id", - "value": "ps-06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document access agreements for organizational systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the access agreements {{ insert: param, ps-06_odp.01 }} ; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that individuals requiring access to organizational information and systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06a.", - "class": "sp800-53A" - } - ], - "prose": "access agreements are developed and documented for organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06b.", - "class": "sp800-53A" - } - ], - "prose": "the access agreements are reviewed and updated {{ insert: param, ps-06_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.01", - "class": "sp800-53A" - } - ], - "prose": "individuals requiring access to organizational information and systems sign appropriate access agreements prior to being granted access;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06c.02", - "class": "sp800-53A" - } - ], - "prose": "individuals requiring access to organizational information and systems re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing access agreements for organizational information and systems\n\naccess control policy\n\naccess control procedures\n\naccess agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)\n\ndocumentation of access agreement reviews, updates, and re-signing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing, updating, and re-signing access agreements\n\nautomated mechanisms supporting the reviewing, updating, and re-signing of access agreements" - } - ] - } - ], - "controls": [ - { - "id": "ps-6.1", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-06(01)" - }, - { - "name": "sort-id", - "value": "ps-06.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ps-6.2", - "class": "SP800-53-enhancement", - "title": "Classified Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-06(02)" - }, - { - "name": "sort-id", - "value": "ps-06.02" - } - ], - "links": [ - { - "href": "#ps-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "ps-6.2_smt", - "name": "statement", - "prose": "Verify that access to classified information requiring special protection is granted only to individuals who:", - "parts": [ - { - "id": "ps-6.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "id": "ps-6.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy associated personnel security criteria; and" - }, - { - "id": "ps-6.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Have read, understood, and signed a nondisclosure agreement." - } - ] - }, - { - "id": "ps-6.2_gdn", - "name": "guidance", - "prose": "Classified information that requires special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who satisfy associated personnel security criteria;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(02)(c)", - "class": "sp800-53A" - } - ], - "prose": "access to classified information requiring special protection is granted only to individuals who have read, understood, and signed a non-disclosure agreement." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing access agreements for organizational information and systems\n\naccess agreements\n\naccess authorizations\n\npersonnel security criteria\n\nsigned non-disclosure agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed non-disclosure agreements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access to classified information requiring special protection" - } - ] - } - ] - }, - { - "id": "ps-6.3", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-06(03)" - }, - { - "name": "sort-id", - "value": "ps-06.03" - } - ], - "links": [ - { - "href": "#ps-6", - "rel": "required" - }, - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and" - }, - { - "id": "ps-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information." - } - ] - }, - { - "id": "ps-6.3_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "individuals are notified of applicable, legally binding post-employment requirements for the protection of organizational information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-06(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "individuals are required to sign an acknowledgement of applicable, legally binding post-employment requirements as part of being granted initial access to covered information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing access agreements for organizational information and systems\n\nsigned post-employment acknowledgement forms\n\naccess agreements\n\nlist of applicable, legally binding post-employment requirements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed access agreements that include post-employment requirements\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-employment requirements\n\nautomated mechanisms supporting notifications and individual acknowledgements of post-employment requirements" - } - ] - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "External Personnel Security", - "params": [ - { - "id": "ps-07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-7_prm_1" - }, - { - "name": "label", - "value": "PS-07_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is/are defined;" - } - ] - }, - { - "id": "ps-07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-7_prm_2" - }, - { - "name": "label", - "value": "PS-07_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-07" - }, - { - "name": "sort-id", - "value": "ps-07" - } - ], - "links": [ - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish personnel security requirements, including security roles and responsibilities for external providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Require external providers to comply with personnel security policies and procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require external providers to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, ps-07_odp.02 }} ; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitor provider compliance with personnel security requirements." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(a)", - "class": "sp800-53A" - } - ], - "prose": "personnel security requirements are established, including security roles and responsibilities for external providers;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(b)", - "class": "sp800-53A" - } - ], - "prose": "external providers are required to comply with personnel security policies and procedures established by the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(c)", - "class": "sp800-53A" - } - ], - "prose": "personnel security requirements are documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(d)", - "class": "sp800-53A" - } - ], - "prose": "external providers are required to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges within {{ insert: param, ps-07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-07(e)", - "class": "sp800-53A" - } - ], - "prose": "provider compliance with personnel security requirements is monitored." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\nprocedures addressing external personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\nexternal providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring external personnel security\n\nautomated mechanisms supporting and/or implementing the monitoring of provider compliance" - } - ] - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "params": [ - { - "id": "ps-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-8_prm_1" - }, - { - "name": "label", - "value": "PS-08_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined;" - } - ] - }, - { - "id": "ps-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ps-8_prm_2" - }, - { - "name": "label", - "value": "PS-08_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PS-08" - }, - { - "name": "sort-id", - "value": "ps-08" - } - ], - "links": [ - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notify {{ insert: param, ps-08_odp.01 }} within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08a.", - "class": "sp800-53A" - } - ], - "prose": "a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-08b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ps-08_odp.01 }} is/are notified within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing personnel sanctions\n\naccess agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)\n\nlist of personnel or roles to be notified of formal employee sanctions\n\nrecords or notifications of formal employee sanctions\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\nlegal counsel\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing formal employee sanctions\n\nautomated mechanisms supporting and/or implementing formal employee sanctions notifications" - } - ] - } - ] - }, - { - "id": "ps-9", - "class": "SP800-53", - "title": "Position Descriptions", - "props": [ - { - "name": "label", - "value": "PS-09" - }, - { - "name": "sort-id", - "value": "ps-09" - } - ], - "links": [ - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - } - ], - "parts": [ - { - "id": "ps-9_smt", - "name": "statement", - "prose": "Incorporate security and privacy roles and responsibilities into organizational position descriptions." - }, - { - "id": "ps-9_gdn", - "name": "guidance", - "prose": "Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09[01]", - "class": "sp800-53A" - } - ], - "prose": "security roles and responsibilities are incorporated into organizational position descriptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PS-09[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy roles and responsibilities are incorporated into organizational position descriptions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\n\npersonnel security procedures\n\nprocedures addressing position descriptions\n\nsecurity and privacy position descriptions\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with human capital management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing position descriptions" - } - ] - } - ] - } - ] - }, - { - "id": "pt", - "class": "family", - "title": "Personally Identifiable Information Processing and Transparency", - "controls": [ - { - "id": "pt-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pt-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "pt-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "pt-01_odp.01", - "props": [ - { - "name": "label", - "value": "PT-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personally identifiable information processing and transparency policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "pt-01_odp.02", - "props": [ - { - "name": "label", - "value": "PT-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the personally identifiable information processing and transparency procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "pt-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_2" - }, - { - "name": "label", - "value": "PT-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pt-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_3" - }, - { - "name": "label", - "value": "PT-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the personally identifiable information processing and transparency policy and procedures is defined;" - } - ] - }, - { - "id": "pt-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_4" - }, - { - "name": "label", - "value": "PT-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personally identifiable information processing and transparency policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "pt-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_5" - }, - { - "name": "label", - "value": "PT-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current personally identifiable information processing and transparency policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "pt-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_6" - }, - { - "name": "label", - "value": "PT-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current personally identifiable information processing and transparency procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "pt-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-1_prm_7" - }, - { - "name": "label", - "value": "PT-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the personally identifiable information processing and transparency procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-01" - }, - { - "name": "sort-id", - "value": "pt-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pt-1_smt", - "name": "statement", - "parts": [ - { - "id": "pt-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pt-1_prm_1 }}:", - "parts": [ - { - "id": "pt-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy that:", - "parts": [ - { - "id": "pt-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pt-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pt-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;" - } - ] - }, - { - "id": "pt-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pt-01_odp.04 }} to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and" - }, - { - "id": "pt-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personally identifiable information processing and transparency:", - "parts": [ - { - "id": "pt-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, pt-01_odp.05 }} and following {{ insert: param, pt-01_odp.06 }} ; and" - }, - { - "id": "pt-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, pt-01_odp.07 }} and following {{ insert: param, pt-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "pt-1_gdn", - "name": "guidance", - "prose": "Personally identifiable information processing and transparency policy and procedures address the controls in the PT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of personally identifiable information processing and transparency policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personally identifiable information processing and transparency policy and procedures include assessment or audit findings, breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a personally identifiable information processing and transparency policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the personally identifiable information processing and transparency policy is disseminated to {{ insert: param, pt-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information processing and transparency procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and associated personally identifiable information processing and transparency controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the personally identifiable information processing and transparency procedures are disseminated to {{ insert: param, pt-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.03 }} personally identifiable information processing and transparency policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency policy is reviewed and updated {{ insert: param, pt-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency policy is reviewed and updated following {{ insert: param, pt-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency procedures are reviewed and updated {{ insert: param, pt-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current personally identifiable information processing and transparency procedures are reviewed and updated following {{ insert: param, pt-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "pt-2", - "class": "SP800-53", - "title": "Authority to Process Personally Identifiable Information", - "params": [ - { - "id": "pt-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_1" - }, - { - "name": "label", - "value": "PT-02_ODP[01]" - } - ], - "label": "authority", - "guidelines": [ - { - "prose": "the authority to permit the processing (defined in PT-02_ODP[02]) of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_2" - }, - { - "name": "label", - "value": "PT-02_ODP[02]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the type of processing of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2_prm_3" - }, - { - "name": "label", - "value": "PT-02_ODP[03]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the type of processing of personally identifiable information to be restricted is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02" - }, - { - "name": "sort-id", - "value": "pt-02" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2_smt", - "name": "statement", - "parts": [ - { - "id": "pt-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information; and" - }, - { - "id": "pt-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Restrict the {{ insert: param, pt-02_odp.03 }} of personally identifiable information to only that which is authorized." - } - ] - }, - { - "id": "pt-2_gdn", - "name": "guidance", - "prose": "The processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes but is not limited to creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining.\n\nOrganizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization’s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organization’s policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks.\n\nOrganizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and other documentation.\n\nOrganizations take steps to ensure that personally identifiable information is only processed for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02a.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-02_odp.01 }} that permits the {{ insert: param, pt-02_odp.02 }} of personally identifiable information is determined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-02_odp.03 }} of personally identifiable information is restricted to only that which is authorized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the restriction of personally identifiable information processing" - } - ] - } - ], - "controls": [ - { - "id": "pt-2.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-02.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.1_prm_1" - }, - { - "name": "label", - "value": "PT-02(01)_ODP[01]" - } - ], - "label": "authorized processing", - "guidelines": [ - { - "prose": "the authorized processing of personally identifiable information is defined;" - } - ] - }, - { - "id": "pt-02.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.1_prm_2" - }, - { - "name": "label", - "value": "PT-02(01)_ODP[02]" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be tagged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02(01)" - }, - { - "name": "sort-id", - "value": "pt-02.01" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.1_smt", - "name": "statement", - "prose": "Attach data tags containing {{ insert: param, pt-02.01_odp.01 }} to {{ insert: param, pt-02.01_odp.02 }}." - }, - { - "id": "pt-2.1_gdn", - "name": "guidance", - "prose": "Data tags support the tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02(01)", - "class": "sp800-53A" - } - ], - "prose": "data tags containing {{ insert: param, pt-02.01_odp.01 }} are attached to {{ insert: param, pt-02.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures including procedures addressing data tagging\n\ndata tag definitions\n\ndocumented requirements for use and monitoring of data tagging\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\norganizational processes for data tagging\n\nautomated mechanisms for applying and monitoring data tagging\n\nautomated mechanisms supporting and/or implementing the restriction of personally identifiable information processing" - } - ] - } - ] - }, - { - "id": "pt-2.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-02.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-2.2_prm_1" - }, - { - "name": "label", - "value": "PT-02(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to manage enforcement of the authorized processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-02(02)" - }, - { - "name": "sort-id", - "value": "pt-02.02" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.2_smt", - "name": "statement", - "prose": "Manage enforcement of the authorized processing of personally identifiable information using {{ insert: param, pt-02.02_odp }}." - }, - { - "id": "pt-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment verification that only authorized processing is occurring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-02(02)", - "class": "sp800-53A" - } - ], - "prose": "enforcement of the authorized processing of personally identifiable information is managed using {{ insert: param, pt-02.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing" - } - ] - } - ] - } - ] - }, - { - "id": "pt-3", - "class": "SP800-53", - "title": "Personally Identifiable Information Processing Purposes", - "params": [ - { - "id": "pt-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_1" - }, - { - "name": "label", - "value": "PT-03_ODP[01]" - } - ], - "label": "purpose(s)", - "guidelines": [ - { - "prose": "the purpose(s) for processing personally identifiable information is/are defined;" - } - ] - }, - { - "id": "pt-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_2" - }, - { - "name": "label", - "value": "PT-03_ODP[02]" - } - ], - "label": "processing", - "guidelines": [ - { - "prose": "the processing of personally identifiable information to be restricted is defined;" - } - ] - }, - { - "id": "pt-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_3" - }, - { - "name": "label", - "value": "PT-03_ODP[03]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms to be implemented for ensuring any changes in the processing of personally identifiable information are made in accordance with requirements are defined;" - } - ] - }, - { - "id": "pt-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3_prm_4" - }, - { - "name": "label", - "value": "PT-03_ODP[04]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements for changing the processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03" - }, - { - "name": "sort-id", - "value": "pt-03" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3_smt", - "name": "statement", - "parts": [ - { - "id": "pt-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information;" - }, - { - "id": "pt-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Describe the purpose(s) in the public privacy notices and policies of the organization;" - }, - { - "id": "pt-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Restrict the {{ insert: param, pt-03_odp.02 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and" - }, - { - "id": "pt-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-03_odp.03 }} to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}." - } - ] - }, - { - "id": "pt-3_gdn", - "name": "guidance", - "prose": "Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term \"process\" includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system and individuals whose information is processed by the system to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, computer matching notices, and other applicable Federal Register notices.\n\nOrganizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information.\n\nOrganizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes that arise from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks that arise from changes in personally identifiable information processing purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03a.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-03_odp.01 }} for processing personally identifiable information is/are identified and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the purpose(s) is/are described in the public privacy notices of the organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the purpose(s) is/are described in the policies of the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03c.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-03_odp.02 }} of personally identifiable information are restricted to only that which is compatible with the identified purpose(s);" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "changes in the processing of personally identifiable information are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-03_odp.03 }} are implemented to ensure that any changes are made in accordance with {{ insert: param, pt-03_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconfiguration management plan\n\norganizational privacy notices\n\norganizational policies\n\nPrivacy Act statements\n\ncomputer matching notices\n\napplicable Federal Register notices\n\ndocumented requirements for enforcing and monitoring the processing of personally identifiable information\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing the management of authorized personally identifiable information processing\n\norganizational processes for monitoring changes in processing personally identifiable information" - } - ] - } - ], - "controls": [ - { - "id": "pt-3.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-03.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.1_prm_2" - }, - { - "name": "label", - "value": "PT-03(01)_ODP[01]" - } - ], - "label": "processing purposes", - "guidelines": [ - { - "prose": "processing purposes to be contained in data tags are defined;" - } - ] - }, - { - "id": "pt-03.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.1_prm_1" - }, - { - "name": "label", - "value": "PT-03(01)_ODP[02]" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be tagged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03(01)" - }, - { - "name": "sort-id", - "value": "pt-03.01" - } - ], - "links": [ - { - "href": "#pt-3", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.1_smt", - "name": "statement", - "prose": "Attach data tags containing the following purposes to {{ insert: param, pt-03.01_odp.02 }}: {{ insert: param, pt-03.01_odp.01 }}." - }, - { - "id": "pt-3.1_gdn", - "name": "guidance", - "prose": "Data tags support the tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03(01)", - "class": "sp800-53A" - } - ], - "prose": "data tags containing {{ insert: param, pt-03.01_odp.01 }} are attached to {{ insert: param, pt-03.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\ndocumented description of how data tags are used to identify personally identifiable information data elements and their authorized uses\n\ndata tag schema\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with data tagging responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing the processing of personally identifiable information\n\nautomated mechanisms supporting and/or implementing data tagging" - } - ] - } - ] - }, - { - "id": "pt-3.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-3.2_prm_1" - }, - { - "name": "label", - "value": "PT-03(02)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms for tracking the processing purposes of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-03(02)" - }, - { - "name": "sort-id", - "value": "pt-03.02" - } - ], - "links": [ - { - "href": "#pt-3", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.2_smt", - "name": "statement", - "prose": "Track processing purposes of personally identifiable information using {{ insert: param, pt-03.02_odp }}." - }, - { - "id": "pt-3.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment tracking of the processing purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-03(02)", - "class": "sp800-53A" - } - ], - "prose": "the processing purposes of personally identifiable information are tracked using {{ insert: param, pt-03.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\ndata extracts with corresponding data tags\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the enforcement of authorized processing of personally identifiable information\n\nautomated tracking mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "pt-4", - "class": "SP800-53", - "title": "Consent", - "params": [ - { - "id": "pt-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4_prm_1" - }, - { - "name": "label", - "value": "PT-04_ODP" - } - ], - "label": "tools or mechanisms", - "guidelines": [ - { - "prose": "the tools or mechanisms to be implemented for individuals to consent to the processing of their personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04" - }, - { - "name": "sort-id", - "value": "pt-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-04_odp }} for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making." - }, - { - "id": "pt-4_gdn", - "name": "guidance", - "prose": "Consent allows individuals to participate in making decisions about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting consent as a control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks that arise from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the processing carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including the type of consent (e.g., opt-in, opt-out), how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-04_odp }} are implemented for individuals to consent to the processing of their personally identifiable information prior to its collection that facilitate individuals’ informed decision-making." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nconsent tools and mechanisms\n\nconsent presentation or display (user interface)\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the collection of personally identifiable information\n\nconsent tools or mechanisms for users to authorize the processing of their personally identifiable information\n\nautomated mechanisms implementing consent" - } - ] - } - ], - "controls": [ - { - "id": "pt-4.1", - "class": "SP800-53-enhancement", - "title": "Tailored Consent", - "params": [ - { - "id": "pt-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.1_prm_1" - }, - { - "name": "label", - "value": "PT-04(01)_ODP" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "tailoring mechanisms for processing selected elements of personally identifiable information permissions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(01)" - }, - { - "name": "sort-id", - "value": "pt-04.01" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, pt-04.01_odp }} to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "id": "pt-4.1_gdn", - "name": "guidance", - "prose": "While some processing may be necessary for the basic functionality of the product or service, other processing may not. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors, such as abandonment of the product or service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-04.01_odp }} are provided to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nconsent tools and mechanisms\n\nconsent presentation or display (user interface)\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for consenting to the processing of personally identifiable information\n\nconsent tools or mechanisms\n\nautomated mechanisms implementing consent" - } - ] - } - ] - }, - { - "id": "pt-4.2", - "class": "SP800-53-enhancement", - "title": "Just-in-time Consent", - "params": [ - { - "id": "pt-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_1" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[01]" - } - ], - "label": "consent mechanisms", - "guidelines": [ - { - "prose": "consent mechanisms to be presented to individuals are defined;" - } - ] - }, - { - "id": "pt-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_2" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to present consent mechanisms to individuals is defined;" - } - ] - }, - { - "id": "pt-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.2_prm_3" - }, - { - "name": "label", - "value": "PT-04(02)_ODP[03]" - } - ], - "label": "personally identifiable information processing", - "guidelines": [ - { - "prose": "personally identifiable information processing to be presented in conjunction with organization-defined consent mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(02)" - }, - { - "name": "sort-id", - "value": "pt-04.02" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.2_smt", - "name": "statement", - "prose": "Present {{ insert: param, pt-04.02_odp.01 }} to individuals at {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}." - }, - { - "id": "pt-4.2_gdn", - "name": "guidance", - "prose": "Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time or in conjunction with specific types of data processing when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information is being processed might not be accurate or reliable if time has passed since the individual last gave consent or the type of processing creates significant privacy risk. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals’ privacy interests and concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-04.02_odp.01 }} are presented to individuals {{ insert: param, pt-04.02_odp.02 }} and in conjunction with {{ insert: param, pt-04.02_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent policies and procedures\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the collection of personally identifiable information\n\nmechanisms for obtaining just-in-time consent from users for the processing of their personally identifiable information\n\nautomated mechanisms implementing just-in-time consent" - } - ] - } - ] - }, - { - "id": "pt-4.3", - "class": "SP800-53-enhancement", - "title": "Revocation", - "params": [ - { - "id": "pt-04.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-4.3_prm_1" - }, - { - "name": "label", - "value": "PT-04(03)_ODP" - } - ], - "label": "tools or mechanisms", - "guidelines": [ - { - "prose": "the tools or mechanisms to be implemented for revoking consent to the processing of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-04(03)" - }, - { - "name": "sort-id", - "value": "pt-04.03" - } - ], - "links": [ - { - "href": "#pt-4", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-04.03_odp }} for individuals to revoke consent to the processing of their personally identifiable information." - }, - { - "id": "pt-4.3_gdn", - "name": "guidance", - "prose": "Revocation of consent enables individuals to exercise control over their initial consent decision when circumstances change. Organizations consider usability factors in enabling easy-to-use revocation capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-04(03)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, pt-04.03_odp }} are implemented for individuals to revoke consent to the processing of their personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nconsent revocation policies and procedures\n\nconsent revocation user interface or user experience\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for consenting to the processing of personally identifiable information\n\ntools or mechanisms for implementing consent revocation" - } - ] - } - ] - } - ] - }, - { - "id": "pt-5", - "class": "SP800-53", - "title": "Privacy Notice", - "params": [ - { - "id": "pt-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5_prm_1" - }, - { - "name": "label", - "value": "PT-05_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which a notice is provided to individuals after initial interaction with an organization is defined;" - } - ] - }, - { - "id": "pt-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5_prm_2" - }, - { - "name": "label", - "value": "PT-05_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be included with the notice about the processing of personally identifiable information is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-05" - }, - { - "name": "sort-id", - "value": "pt-05" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5_smt", - "name": "statement", - "prose": "Provide notice to individuals about the processing of personally identifiable information that:", - "parts": [ - { - "id": "pt-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is available to individuals upon first interacting with an organization, and subsequently at {{ insert: param, pt-05_odp.01 }};" - }, - { - "id": "pt-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;" - }, - { - "id": "pt-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies the authority that authorizes the processing of personally identifiable information;" - }, - { - "id": "pt-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Identifies the purposes for which personally identifiable information is to be processed; and" - }, - { - "id": "pt-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Includes {{ insert: param, pt-05_odp.02 }}." - } - ] - }, - { - "id": "pt-5_gdn", - "name": "guidance", - "prose": "Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices.\n\nPrivacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided such that the notice is available to individuals upon first interacting with an organization;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided such that the notice is subsequently available to individuals {{ insert: param, pt-05_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05b.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information is provided that is clear, easy-to-understand, and expresses information about personally identifiable information processing in plain language;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05c.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information that identifies the authority that authorizes the processing of personally identifiable information is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05d.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information that identifies the purpose for which personally identifiable information is to be processed is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05e.", - "class": "sp800-53A" - } - ], - "prose": "a notice to individuals about the processing of personally identifiable information which includes {{ insert: param, pt-05_odp.02 }} is provided." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act statements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information" - } - ] - } - ], - "controls": [ - { - "id": "pt-5.1", - "class": "SP800-53-enhancement", - "title": "Just-in-time Notice", - "params": [ - { - "id": "pt-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-5.1_prm_1" - }, - { - "name": "label", - "value": "PT-05(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to present a notice of personally identifiable information processing is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-05(01)" - }, - { - "name": "sort-id", - "value": "pt-05.01" - } - ], - "links": [ - { - "href": "#pt-5", - "rel": "required" - }, - { - "href": "#pm-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.1_smt", - "name": "statement", - "prose": "Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}." - }, - { - "id": "pt-5.1_gdn", - "name": "guidance", - "prose": "Just-in-time notices inform individuals of how organizations process their personally identifiable information at a time when such notices may be most useful to the individuals. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. A just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use a just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. A just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use a just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users’ privacy interests and concerns." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05(01)", - "class": "sp800-53A" - } - ], - "prose": "a notice of personally identifiable information processing is presented to individuals at a time and location where the individual provides personally identifiable information, in conjunction with a data action, or {{ insert: param, pt-05.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with user interface or user experience responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes and implementation support or mechanisms for providing notice to individuals regarding the processing of their personally identifiable information" - } - ] - } - ] - }, - { - "id": "pt-5.2", - "class": "SP800-53-enhancement", - "title": "Privacy Act Statements", - "props": [ - { - "name": "label", - "value": "PT-05(02)" - }, - { - "name": "sort-id", - "value": "pt-05.02" - } - ], - "links": [ - { - "href": "#pt-5", - "rel": "required" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.2_smt", - "name": "statement", - "prose": "Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals." - }, - { - "id": "pt-5.2_gdn", - "name": "guidance", - "prose": "If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond.\n\n[PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-05(02)", - "class": "sp800-53A" - } - ], - "prose": "Privacy Act statements are included on forms that collect information that will be maintained in a Privacy Act system of records, or Privacy Act statements are provided on separate forms that can be retained by individuals." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nforms that include Privacy Act statements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for including Privacy Act statements on forms that collect information or on separate forms that can be retained by individuals" - } - ] - } - ] - } - ] - }, - { - "id": "pt-6", - "class": "SP800-53", - "title": "System of Records Notice", - "props": [ - { - "name": "label", - "value": "PT-06" - }, - { - "name": "sort-id", - "value": "pt-06" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6_smt", - "name": "statement", - "prose": "For systems that process information that will be maintained in a Privacy Act system of records:", - "parts": [ - { - "id": "pt-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;" - }, - { - "id": "pt-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Publish system of records notices in the Federal Register; and" - }, - { - "id": "pt-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Keep system of records notices accurate, up-to-date, and scoped in accordance with policy." - } - ] - }, - { - "id": "pt-6_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108](#3671ff20-c17c-44d6-8a88-7de203fa74aa)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are drafted in accordance with OMB guidance for systems that process information that will be maintained in a Privacy Act system of records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "new and significantly modified system of records notices are submitted to the OMB and appropriate congressional committees for advance review for systems that process information that will be maintained in a Privacy Act system of records;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06b.", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are published in the Federal Register for systems that process information that will be maintained in a Privacy Act system of records;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06c.", - "class": "sp800-53A" - } - ], - "prose": "system of records notices are kept accurate, up-to-date, and scoped in accordance with policy for systems that process information that will be maintained in a Privacy Act system of records." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nFederal Register notices\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for Privacy Act system of records maintenance" - } - ] - } - ], - "controls": [ - { - "id": "pt-6.1", - "class": "SP800-53-enhancement", - "title": "Routine Uses", - "params": [ - { - "id": "pt-06.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-6.1_prm_1" - }, - { - "name": "label", - "value": "PT-06(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review all routine uses published in the system of records notice is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-06(01)" - }, - { - "name": "sort-id", - "value": "pt-06.01" - } - ], - "links": [ - { - "href": "#pt-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-6.1_smt", - "name": "statement", - "prose": "Review all routine uses published in the system of records notice at {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "id": "pt-6.1_gdn", - "name": "guidance", - "prose": "A [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(01)", - "class": "sp800-53A" - } - ], - "prose": "all routine uses published in the system of records notice are reviewed {{ insert: param, pt-06.01_odp }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing system of records notices" - } - ] - } - ] - }, - { - "id": "pt-6.2", - "class": "SP800-53-enhancement", - "title": "Exemption Rules", - "params": [ - { - "id": "pt-06.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-6.2_prm_1" - }, - { - "name": "label", - "value": "PT-06(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review all Privacy Act exemptions claimed for the system of records is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-06(02)" - }, - { - "name": "sort-id", - "value": "pt-06.02" - } - ], - "links": [ - { - "href": "#pt-6", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-6.2_smt", - "name": "statement", - "prose": "Review all Privacy Act exemptions claimed for the system of records at {{ insert: param, pt-06.02_odp }} to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice." - }, - { - "id": "pt-6.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. In certain circumstances, these provisions allow agencies to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . At a minimum, organizations’ [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they remain appropriate and necessary in accordance with law;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they have been promulgated as regulations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-06(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "all Privacy Act exemptions claimed for the system of records are reviewed {{ insert: param, pt-06.02_odp }} to ensure that they are accurately described in the system of records notice." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nPrivacy Act exemptions\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for Privacy Act system of records maintenance" - } - ] - } - ] - } - ] - }, - { - "id": "pt-7", - "class": "SP800-53", - "title": "Specific Categories of Personally Identifiable Information", - "params": [ - { - "id": "pt-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "pt-7_prm_1" - }, - { - "name": "label", - "value": "PT-07_ODP" - } - ], - "label": "processing conditions", - "guidelines": [ - { - "prose": "processing conditions to be applied for specific categories of personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "PT-07" - }, - { - "name": "sort-id", - "value": "pt-07" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7_smt", - "name": "statement", - "prose": "Apply {{ insert: param, pt-07_odp }} for specific categories of personally identifiable information." - }, - { - "id": "pt-7_gdn", - "name": "guidance", - "prose": "Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from the results of privacy risk assessments that factor in contextual changes that may result in an organizational determination that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, pt-07_odp }} are applied for specific categories of personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\ncomputer matching agreements and notices\n\ncontracts\n\nprivacy information sharing agreements\n\nmemoranda of understanding\n\ngoverning requirements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing" - } - ] - } - ], - "controls": [ - { - "id": "pt-7.1", - "class": "SP800-53-enhancement", - "title": "Social Security Numbers", - "props": [ - { - "name": "label", - "value": "PT-07(01)" - }, - { - "name": "sort-id", - "value": "pt-07.01" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "required" - }, - { - "href": "#ia-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7.1_smt", - "name": "statement", - "prose": "When a system processes Social Security numbers:", - "parts": [ - { - "id": "pt-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;" - }, - { - "id": "pt-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Do not deny any individual any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his or her Social Security number; and" - }, - { - "id": "pt-7.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it." - } - ] - }, - { - "id": "pt-7.1_gdn", - "name": "guidance", - "prose": "Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information and observe any particular requirements that apply." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, the unnecessary collection, maintenance, and use of Social Security numbers are eliminated;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, alternatives to the use of Social Security Numbers as a personal identifier are explored;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, individual rights, benefits, or privileges provided by law are not denied because of an individual’s refusal to disclose their Social Security number;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed by what statutory or other authority the number is solicited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(01)(c)[03]", - "class": "sp800-53A" - } - ], - "prose": "when a system processes Social Security numbers, any individual who is asked to disclose their Social Security number is informed what uses will be made of it." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reviewing, and taking action to control the unnecessary use of Social Security numbers\n\nimplementation of an alternative to Social Security numbers as identifiers" - } - ] - } - ] - }, - { - "id": "pt-7.2", - "class": "SP800-53-enhancement", - "title": "First Amendment Information", - "props": [ - { - "name": "label", - "value": "PT-07(02)" - }, - { - "name": "sort-id", - "value": "pt-07.02" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "pt-7.2_smt", - "name": "statement", - "prose": "Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "id": "pt-7.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) limits agencies’ ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-07(02)", - "class": "sp800-53A" - } - ], - "prose": "the processing of information describing how any individual exercises rights guaranteed by the First Amendment is prohibited unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing" - } - ] - } - ] - } - ] - }, - { - "id": "pt-8", - "class": "SP800-53", - "title": "Computer Matching Requirements", - "props": [ - { - "name": "label", - "value": "PT-08" - }, - { - "name": "sort-id", - "value": "pt-08" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#94c64e1a-456c-457f-86da-83ac0dfc85ac", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#3671ff20-c17c-44d6-8a88-7de203fa74aa", - "rel": "reference" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-8_smt", - "name": "statement", - "prose": "When a system or organization processes information for the purpose of conducting a matching program:", - "parts": [ - { - "id": "pt-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain approval from the Data Integrity Board to conduct the matching program;" - }, - { - "id": "pt-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop and enter into a computer matching agreement;" - }, - { - "id": "pt-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Publish a matching notice in the Federal Register;" - }, - { - "id": "pt-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and" - }, - { - "id": "pt-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual." - } - ] - }, - { - "id": "pt-8_gdn", - "name": "guidance", - "prose": "The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) establishes requirements for federal and non-federal agencies if they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) systems of records or an automated system of records and automated records maintained by a non-federal agency (or agent thereof). A matching program either pertains to federal benefit programs or federal personnel or payroll records. A federal benefit match is performed to determine or verify eligibility for payments under federal benefit programs or to recoup payments or delinquent debts under federal benefit programs. A matching program involves not just the matching activity itself but also the investigative follow-up and ultimate action, if any." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08a.", - "class": "sp800-53A" - } - ], - "prose": "approval to conduct the matching program is obtained from the Data Integrity Board when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "a computer matching agreement is developed when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "a computer matching agreement is entered into when a system or organization processes information for the purpose of conducting a matching program;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08c.", - "class": "sp800-53A" - } - ], - "prose": "a matching notice is published in the Federal Register when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08d.", - "class": "sp800-53A" - } - ], - "prose": "the information produced by the matching program is independently verified before taking adverse action against an individual, if required, when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals are provided with notice when a system or organization processes information for the purpose of conducting a matching program;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "PT-08e.[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals are provided with an opportunity to contest the findings before adverse action is taken against them when a system or organization processes information for the purpose of conducting a matching program." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PT-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personally identifiable information processing and transparency policy and procedures\n\nprivacy notice\n\nPrivacy Act system of records\n\nFederal Register notices\n\nData Integrity Board determinations\n\ncontracts\n\ninformation sharing agreements\n\nmemoranda of understanding\n\ngoverning requirements\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PT-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personally identifiable information processing and transparency responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "PT-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for supporting and/or implementing personally identifiable information processing\n\nmatching program" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ra-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-01_odp.01" - }, - { - "name": "aggregates", - "value": "ra-01_odp.02" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-01_odp.01", - "props": [ - { - "name": "label", - "value": "RA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the risk assessment policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-01_odp.02", - "props": [ - { - "name": "label", - "value": "RA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the risk assessment procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_2" - }, - { - "name": "label", - "value": "RA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ra-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_3" - }, - { - "name": "label", - "value": "RA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the risk assessment policy and procedures is defined;" - } - ] - }, - { - "id": "ra-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_4" - }, - { - "name": "label", - "value": "RA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current risk assessment policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "ra-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_5" - }, - { - "name": "label", - "value": "RA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current risk assessment policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "ra-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_6" - }, - { - "name": "label", - "value": "RA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current risk assessment procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "ra-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-1_prm_7" - }, - { - "name": "label", - "value": "RA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require risk assessment procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-01" - }, - { - "name": "sort-id", - "value": "ra-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, ra-01_odp.03 }} risk assessment policy that:", - "parts": [ - { - "id": "ra-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ra-01_odp.04 }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and" - }, - { - "id": "ra-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current risk assessment:", - "parts": [ - { - "id": "ra-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, ra-01_odp.05 }} and following {{ insert: param, ra-01_odp.06 }} ; and" - }, - { - "id": "ra-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, ra-01_odp.07 }} and following {{ insert: param, ra-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment policy is disseminated to {{ insert: param, ra-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment procedures are disseminated to {{ insert: param, ra-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.03 }} risk assessment policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, ra-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the risk assessment policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment policy is reviewed and updated {{ insert: param, ra-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment policy is reviewed and updated following {{ insert: param, ra-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment procedures are reviewed and updated {{ insert: param, ra-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current risk assessment procedures are reviewed and updated following {{ insert: param, ra-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy and procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "props": [ - { - "name": "label", - "value": "RA-02" - }, - { - "name": "sort-id", - "value": "ra-02" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#4e4fbc93-333d-45e6-a875-de36b878b6b9", - "rel": "reference" - }, - { - "href": "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorize the system and information it processes, stores, and transmits;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document the security categorization results, including supporting rationale, in the security plan for the system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides additional guidance on categorization for national security systems.\n\nOrganizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT](#13f0c39d-eaf7-417a-baef-69a041878bb5) and Homeland Security Presidential Directives, potential national-level adverse impacts.\n\nSecurity categorization processes facilitate the development of inventories of information assets and, along with [CM-8](#cm-8) , mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02a.", - "class": "sp800-53A" - } - ], - "prose": "the system and the information it processes, stores, and transmits are categorized;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02b.", - "class": "sp800-53A" - } - ], - "prose": "the security categorization results, including supporting rationale, are documented in the security plan for the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02c.", - "class": "sp800-53A" - } - ], - "prose": "the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and systems\n\nsecurity categorization documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ], - "controls": [ - { - "id": "ra-2.1", - "class": "SP800-53-enhancement", - "title": "Impact-level Prioritization", - "props": [ - { - "name": "label", - "value": "RA-02(01)" - }, - { - "name": "sort-id", - "value": "ra-02.01" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-2.1_smt", - "name": "statement", - "prose": "Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels." - }, - { - "id": "ra-2.1_gdn", - "name": "guidance", - "prose": "Organizations apply the \"high-water mark\" concept to each system categorized in accordance with [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) , resulting in systems designated as low impact, moderate impact, or high impact. Organizations that desire additional granularity in the system impact designations for risk-based decision-making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and information exchanges. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems. Alternatively, organizations can apply the guidance in [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) for security objective-related categorization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-02(01)", - "class": "sp800-53A" - } - ], - "prose": "an impact-level prioritization of organizational systems is conducted to obtain additional granularity on system impact levels." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity and privacy planning policy and procedures\n\nprocedures addressing security categorization of organizational information and systems\n\nsecurity categorization documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "params": [ - { - "id": "ra-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_1" - }, - { - "name": "label", - "value": "RA-03_ODP[01]" - } - ], - "select": { - "choice": [ - "security and privacy plans", - "risk assessment report", - " {{ insert: param, ra-03_odp.02 }} " - ] - } - }, - { - "id": "ra-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_2" - }, - { - "name": "label", - "value": "RA-03_ODP[02]" - } - ], - "label": "document", - "guidelines": [ - { - "prose": "a document in which risk assessment results are to be documented (if not documented in the security and privacy plans or risk assessment report) is defined (if selected);" - } - ] - }, - { - "id": "ra-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_3" - }, - { - "name": "label", - "value": "RA-03_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to review risk assessment results is defined;" - } - ] - }, - { - "id": "ra-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_4" - }, - { - "name": "label", - "value": "RA-03_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom risk assessment results are to be disseminated is/are defined;" - } - ] - }, - { - "id": "ra-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3_prm_5" - }, - { - "name": "label", - "value": "RA-03_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to update the risk assessment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03" - }, - { - "name": "sort-id", - "value": "ra-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct a risk assessment, including:", - "parts": [ - { - "id": "ra-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Identifying threats to and vulnerabilities in the system;" - }, - { - "id": "ra-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and" - }, - { - "id": "ra-3_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "id": "ra-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document risk assessment results in {{ insert: param, ra-03_odp.01 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review risk assessment results {{ insert: param, ra-03_odp.03 }};" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disseminate risk assessment results to {{ insert: param, ra-03_odp.04 }} ; and" - }, - { - "id": "ra-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Update the risk assessment {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities.\n\nOrganizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle.\n\nRisk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.01", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to identify threats to and vulnerabilities in the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.02", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03a.03", - "class": "sp800-53A" - } - ], - "prose": "a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03b.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03c.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are documented in {{ insert: param, ra-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03d.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are reviewed {{ insert: param, ra-03_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03e.", - "class": "sp800-53A" - } - ], - "prose": "risk assessment results are disseminated to {{ insert: param, ra-03_odp.04 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03f.", - "class": "sp800-53A" - } - ], - "prose": "the risk assessment is updated {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nrisk assessment procedures\n\nsecurity and privacy planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ], - "controls": [ - { - "id": "ra-3.1", - "class": "SP800-53-enhancement", - "title": "Supply Chain Risk Assessment", - "params": [ - { - "id": "ra-3.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-03.01_odp.01" - }, - { - "name": "aggregates", - "value": "ra-03.01_odp.02" - }, - { - "name": "aggregates", - "value": "ra-03.01_odp.03" - } - ], - "label": "organization-defined systems, system components, and system services" - }, - { - "id": "ra-03.01_odp.01", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[01]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.02", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.03", - "props": [ - { - "name": "label", - "value": "RA-03(01)_ODP[03]" - } - ], - "label": "system services", - "guidelines": [ - { - "prose": "system services to assess supply chain risks are defined;" - } - ] - }, - { - "id": "ra-03.01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.1_prm_2" - }, - { - "name": "label", - "value": "RA-03(01)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency to update the supply chain risk assessment is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(01)" - }, - { - "name": "sort-id", - "value": "ra-03.01" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#pm-17", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assess supply chain risks associated with {{ insert: param, ra-3.1_prm_1 }} ; and" - }, - { - "id": "ra-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Update the supply chain risk assessment {{ insert: param, ra-03.01_odp.04 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "id": "ra-3.1_gdn", - "name": "guidance", - "prose": "Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.01 }} are assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.02 }} are assessed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risks associated with {{ insert: param, ra-03.01_odp.03 }} are assessed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk assessment is updated {{ insert: param, ra-03.01_odp.04 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\ninventory of critical systems, system components, and system services\n\nrisk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of supply chain risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nacquisition policy\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.2", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "RA-03(02)" - }, - { - "name": "sort-id", - "value": "ra-03.02" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-3.2_smt", - "name": "statement", - "prose": "Use all-source intelligence to assist in the analysis of risk." - }, - { - "id": "ra-3.2_gdn", - "name": "guidance", - "prose": "Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information, measurement and signature intelligence, human intelligence, signals intelligence, and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(02)", - "class": "sp800-53A" - } - ], - "prose": "all-source intelligence is used to assist in the analysis of risk." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk intelligence reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Threat Awareness", - "params": [ - { - "id": "ra-03.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.3_prm_1" - }, - { - "name": "label", - "value": "RA-03(03)_ODP" - } - ], - "label": "means", - "guidelines": [ - { - "prose": "means to determine the current cyber threat environment on an ongoing basis;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(03)" - }, - { - "name": "sort-id", - "value": "ra-03.03" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.3_smt", - "name": "statement", - "prose": "Determine the current cyber threat environment on an ongoing basis using {{ insert: param, ra-03.03_odp }}." - }, - { - "id": "ra-3.3_gdn", - "name": "guidance", - "prose": "The threat awareness information that is gathered feeds into the organization’s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the current cyber threat environment is determined on an ongoing basis using {{ insert: param, ra-03.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-3.4", - "class": "SP800-53-enhancement", - "title": "Predictive Cyber Analytics", - "params": [ - { - "id": "ra-3.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "ra-03.04_odp.01" - }, - { - "name": "aggregates", - "value": "ra-03.04_odp.03" - } - ], - "label": "organization-defined advanced automation and analytics capabilities" - }, - { - "id": "ra-03.04_odp.01", - "props": [ - { - "name": "label", - "value": "RA-03(04)_ODP[01]" - } - ], - "label": "advanced automation capabilities", - "guidelines": [ - { - "prose": "advanced automation capabilities to predict and identify risks are defined;" - } - ] - }, - { - "id": "ra-03.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-3.4_prm_1" - }, - { - "name": "label", - "value": "RA-03(04)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components where advanced automation and analytics capabilities are to be employed are defined;" - } - ] - }, - { - "id": "ra-03.04_odp.03", - "props": [ - { - "name": "label", - "value": "RA-03(04)_ODP[03]" - } - ], - "label": "advanced analytics capabilities", - "guidelines": [ - { - "prose": "advanced analytics capabilities to predict and identify risks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-03(04)" - }, - { - "name": "sort-id", - "value": "ra-03.04" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-3.4_smt", - "name": "statement", - "prose": "Employ the following advanced automation and analytics capabilities to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}: {{ insert: param, ra-3.4_prm_2 }}." - }, - { - "id": "ra-3.4_gdn", - "name": "guidance", - "prose": "A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts, including machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), automated workflow operations, and machine assisted decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure that sophisticated adversaries are not able to conceal their activities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-03.04_odp.01 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-03.04_odp.03 }} are employed to predict and identify risks to {{ insert: param, ra-03.04_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nrisk reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment" - } - ] - } - ] - } - ] - }, - { - "id": "ra-4", - "class": "SP800-53", - "title": "Risk Assessment Update", - "props": [ - { - "name": "label", - "value": "RA-04" - }, - { - "name": "sort-id", - "value": "ra-04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Monitoring and Scanning", - "params": [ - { - "id": "ra-5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "ra-05_odp.01" - }, - { - "name": "aggregates", - "value": "ra-05_odp.02" - } - ], - "label": "organization-defined frequency and/or randomly in accordance with organization-defined process" - }, - { - "id": "ra-05_odp.01", - "props": [ - { - "name": "label", - "value": "RA-05_ODP[01]" - } - ], - "label": "frequency and/or randomly in accordance with organization-defined process", - "guidelines": [ - { - "prose": "frequency for monitoring systems and hosted applications for vulnerabilities is defined;" - } - ] - }, - { - "id": "ra-05_odp.02", - "props": [ - { - "name": "label", - "value": "RA-05_ODP[02]" - } - ], - "label": "frequency and/or randomly in accordance with organization-defined process", - "guidelines": [ - { - "prose": "frequency for scanning systems and hosted applications for vulnerabilities is defined;" - } - ] - }, - { - "id": "ra-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5_prm_2" - }, - { - "name": "label", - "value": "RA-05_ODP[03]" - } - ], - "label": "response times", - "guidelines": [ - { - "prose": "response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk are defined;" - } - ] - }, - { - "id": "ra-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5_prm_3" - }, - { - "name": "label", - "value": "RA-05_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles with whom information obtained from the vulnerability scanning process and control assessments is to be shared;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05" - }, - { - "name": "sort-id", - "value": "ra-05" - } - ], - "links": [ - { - "href": "#8df72805-2e5c-4731-a73e-81db0f0318d0", - "rel": "reference" - }, - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#122177fa-c4ed-485d-8345-3082c0fb9a06", - "rel": "reference" - }, - { - "href": "#8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "rel": "reference" - }, - { - "href": "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "rel": "reference" - }, - { - "href": "#d2ebec9b-f868-4ee1-a2bd-0b2282aed248", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyze vulnerability scan reports and results from vulnerability monitoring;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediate legitimate vulnerabilities {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems; and" - }, - { - "id": "ra-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned." - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities—such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers—are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers.\n\nVulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\n\nVulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation.\n\nOrganizations may also employ the use of financial incentives (also known as \"bug bounties\" ) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.[01]", - "class": "sp800-53A" - } - ], - "prose": "systems and hosted applications are monitored for vulnerabilities {{ insert: param, ra-05_odp.01 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05a.[02]", - "class": "sp800-53A" - } - ], - "prose": "systems and hosted applications are scanned for vulnerabilities {{ insert: param, ra-05_odp.02 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools;", - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.01", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to automate parts of the vulnerability management process by using standards for enumerating platforms, software flaws, and improper configurations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.02", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for formatting checklists and test procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05b.03", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for measuring vulnerability impact;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05c.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability scan reports and results from vulnerability monitoring are analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05d.", - "class": "sp800-53A" - } - ], - "prose": "legitimate vulnerabilities are remediated {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05e.", - "class": "sp800-53A" - } - ], - "prose": "information obtained from the vulnerability monitoring process and control assessments is shared with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05f.", - "class": "sp800-53A" - } - ], - "prose": "vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned are employed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing" - } - ] - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "props": [ - { - "name": "label", - "value": "RA-05(01)" - }, - { - "name": "sort-id", - "value": "ra-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update Vulnerabilities to Be Scanned", - "params": [ - { - "id": "ra-05.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.2_prm_1" - }, - { - "name": "label", - "value": "RA-05(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-05.02_odp.02 }} ", - "prior to a new scan", - "when new vulnerabilities are identified and reported" - ] - } - }, - { - "id": "ra-05.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.2_prm_2" - }, - { - "name": "label", - "value": "RA-05(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for updating the system vulnerabilities scanned is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(02)" - }, - { - "name": "sort-id", - "value": "ra-05.02" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "Update the system vulnerabilities to be scanned {{ insert: param, ra-05.02_odp.01 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "prose": "Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(02)", - "class": "sp800-53A" - } - ], - "prose": "the system vulnerabilities to be scanned are updated {{ insert: param, ra-05.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth and Depth of Coverage", - "props": [ - { - "name": "label", - "value": "RA-05(03)" - }, - { - "name": "sort-id", - "value": "ra-05.03" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "Define the breadth and depth of vulnerability scanning coverage." - }, - { - "id": "ra-5.3_gdn", - "name": "guidance", - "prose": "The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. [SP 800-53A](#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d) provides additional information on the breadth and depth of coverage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(03)", - "class": "sp800-53A" - } - ], - "prose": "the breadth and depth of vulnerability scanning coverage are defined." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.4", - "class": "SP800-53-enhancement", - "title": "Discoverable Information", - "params": [ - { - "id": "ra-05.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.4_prm_1" - }, - { - "name": "label", - "value": "RA-05(04)_ODP" - } - ], - "label": "corrective actions", - "guidelines": [ - { - "prose": "corrective actions to be taken if information about the system is discoverable are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(04)" - }, - { - "name": "sort-id", - "value": "ra-05.04" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.4_smt", - "name": "statement", - "prose": "Determine information about the system that is discoverable and take {{ insert: param, ra-05.04_odp }}." - }, - { - "id": "ra-5.4_gdn", - "name": "guidance", - "prose": "Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "information about the system is discoverable;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, ra-05.04_odp }} are taken when information about the system is confirmed as discoverable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\n\nassessment report\n\npenetration test results\n\nvulnerability scanning results\n\nrisk assessment report\n\nrecords of corrective actions taken\n\nincident response records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning and/or penetration testing responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel responsible for risk response\n\norganizational personnel responsible for incident management and response\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational processes for risk response\n\norganizational processes for incident management and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing risk response\n\nautomated mechanisms supporting and/or implementing incident management and response" - } - ] - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "params": [ - { - "id": "ra-05.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.5_prm_1" - }, - { - "name": "label", - "value": "RA-05(05)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to which privileged access is authorized for selected vulnerability scanning activities are defined;" - } - ] - }, - { - "id": "ra-05.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.5_prm_2" - }, - { - "name": "label", - "value": "RA-05(05)_ODP[02]" - } - ], - "label": "vulnerability scanning activities", - "guidelines": [ - { - "prose": "vulnerability scanning activities selected for privileged access authorization to system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(05)" - }, - { - "name": "sort-id", - "value": "ra-05.05" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "Implement privileged access authorization to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(05)", - "class": "sp800-53A" - } - ], - "prose": "privileged access authorization is implemented to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system components for vulnerability scanning\n\npersonnel access authorization list\n\nauthorization credentials\n\naccess authorization records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\nsystem/network administrators\n\norganizational personnel responsible for access control to the system\n\norganizational personnel responsible for configuration management of the system\n\nsystem developers\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational processes for access control\n\nautomated mechanisms supporting and/or implementing access control\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning" - } - ] - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "params": [ - { - "id": "ra-05.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.6_prm_1" - }, - { - "name": "label", - "value": "RA-05(06)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to compare the results of multiple vulnerability scans are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(06)" - }, - { - "name": "sort-id", - "value": "ra-05.06" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "Compare the results of multiple vulnerability scans using {{ insert: param, ra-05.06_odp }}." - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to analyze multiple vulnerability scans over time can help determine trends in system vulnerabilities and identify patterns of attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(06)", - "class": "sp800-53A" - } - ], - "prose": "the results of multiple vulnerability scans are compared using {{ insert: param, ra-05.06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsystem design documentation\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing trend analysis of vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.7", - "class": "SP800-53-enhancement", - "title": "Automated Detection and Notification of Unauthorized Components", - "props": [ - { - "name": "label", - "value": "RA-05(07)" - }, - { - "name": "sort-id", - "value": "ra-05.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "params": [ - { - "id": "ra-05.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.8_prm_1" - }, - { - "name": "label", - "value": "RA-05(08)_ODP[01]" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "a system whose historic audit logs are to be reviewed is defined;" - } - ] - }, - { - "id": "ra-05.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-5.8_prm_2" - }, - { - "name": "label", - "value": "RA-05(08)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period for a potential previous exploit of a system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-05(08)" - }, - { - "name": "sort-id", - "value": "ra-05.08" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within an {{ insert: param, ra-05.08_odp.02 }}." - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "prose": "Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(08)", - "class": "sp800-53A" - } - ], - "prose": "historic audit logs are reviewed to determine if a vulnerability identified in a {{ insert: param, ra-05.08_odp.01 }} has been previously exploited within {{ insert: param, ra-05.08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\naudit logs\n\nrecords of audit log reviews\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with audit record review responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\norganizational process for audit record review and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms supporting and/or implementing audit record review" - } - ] - } - ] - }, - { - "id": "ra-5.9", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analyses", - "props": [ - { - "name": "label", - "value": "RA-05(09)" - }, - { - "name": "sort-id", - "value": "ra-05.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.10", - "class": "SP800-53-enhancement", - "title": "Correlate Scanning Information", - "props": [ - { - "name": "label", - "value": "RA-05(10)" - }, - { - "name": "sort-id", - "value": "ra-05.10" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.10_smt", - "name": "statement", - "prose": "Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "id": "ra-5.10_gdn", - "name": "guidance", - "prose": "An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(10)", - "class": "sp800-53A" - } - ], - "prose": "the output from vulnerability scanning tools is correlated to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nvulnerability management records\n\naudit records\n\nevent/vulnerability correlation logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms implementing correlation of vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.11", - "class": "SP800-53-enhancement", - "title": "Public Disclosure Program", - "props": [ - { - "name": "label", - "value": "RA-05(11)" - }, - { - "name": "sort-id", - "value": "ra-05.11" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "ra-5.11_smt", - "name": "statement", - "prose": "Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "id": "ra-5.11_gdn", - "name": "guidance", - "prose": "The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-05(11)", - "class": "sp800-53A" - } - ], - "prose": "a public reporting channel is established for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-05(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nvulnerability management records\n\naudit records\n\npublic reporting channel\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-05(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-05(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability scanning\n\nautomated mechanisms implementing public reporting of vulnerabilities" - } - ] - } - ] - } - ] - }, - { - "id": "ra-6", - "class": "SP800-53", - "title": "Technical Surveillance Countermeasures Survey", - "params": [ - { - "id": "ra-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_1" - }, - { - "name": "label", - "value": "RA-06_ODP[01]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to employ technical surveillance countermeasure surveys are defined;" - } - ] - }, - { - "id": "ra-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_2" - }, - { - "name": "label", - "value": "RA-06_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-06_odp.03 }} ", - "when{{ insert: param, ra-06_odp.04 }} " - ] - } - }, - { - "id": "ra-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_3" - }, - { - "name": "label", - "value": "RA-06_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to employ technical surveillance countermeasure surveys is defined (if selected);" - } - ] - }, - { - "id": "ra-06_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-6_prm_4" - }, - { - "name": "label", - "value": "RA-06_ODP[04]" - } - ], - "label": "events or indicators", - "guidelines": [ - { - "prose": "events or indicators which, if they occur, trigger a technical surveillance countermeasures survey are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-06" - }, - { - "name": "sort-id", - "value": "ra-06" - } - ], - "parts": [ - { - "id": "ra-6_smt", - "name": "statement", - "prose": "Employ a technical surveillance countermeasures survey at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}." - }, - { - "id": "ra-6_gdn", - "name": "guidance", - "prose": "A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-06", - "class": "sp800-53A" - } - ], - "prose": "a technical surveillance countermeasures survey is employed at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nprocedures addressing technical surveillance countermeasures surveys\n\naudit records/event logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with technical surveillance countermeasures surveys responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for technical surveillance countermeasures surveys\n\nautomated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys" - } - ] - } - ] - }, - { - "id": "ra-7", - "class": "SP800-53", - "title": "Risk Response", - "props": [ - { - "name": "label", - "value": "RA-07" - }, - { - "name": "sort-id", - "value": "ra-07" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-7_smt", - "name": "statement", - "prose": "Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance." - }, - { - "id": "ra-7_gdn", - "name": "guidance", - "prose": "Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[01]", - "class": "sp800-53A" - } - ], - "prose": "findings from security assessments are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[02]", - "class": "sp800-53A" - } - ], - "prose": "findings from privacy assessments are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[03]", - "class": "sp800-53A" - } - ], - "prose": "findings from monitoring are responded to in accordance with organizational risk tolerance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-07[04]", - "class": "sp800-53A" - } - ], - "prose": "findings from audits are responded to in accordance with organizational risk tolerance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\naudit records/event logs\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\nsystem/network administrators\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-8", - "class": "SP800-53", - "title": "Privacy Impact Assessments", - "props": [ - { - "name": "label", - "value": "RA-08" - }, - { - "name": "sort-id", - "value": "ra-08" - } - ], - "links": [ - { - "href": "#7b0b9634-741a-4335-b6fa-161228c3a76e", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#d229ae60-51dd-4d7b-a8bf-1f7195cc7561", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-8_smt", - "name": "statement", - "prose": "Conduct privacy impact assessments for systems, programs, or other activities before:", - "parts": [ - { - "id": "ra-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Developing or procuring information technology that processes personally identifiable information; and" - }, - { - "id": "ra-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiating a new collection of personally identifiable information that:", - "parts": [ - { - "id": "ra-8_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Will be processed using information technology; and" - }, - { - "id": "ra-8_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "id": "ra-8_gdn", - "name": "guidance", - "prose": "A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document that details the process and the outcome of the analysis.\n\nOrganizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization’s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization’s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization’s practices, or other factors alter the privacy risks associated with the use of such information technology.\n\nTo conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes that may have different names, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization’s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV](#7b0b9634-741a-4335-b6fa-161228c3a76e) ; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08a.", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before developing or procuring information technology that processes personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.[01]", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that will be processed using information technology;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-08b.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy impact assessments are conducted for systems, programs, or other activities before initiating a collection of personally identifiable information that includes personally identifiable information permitting the physical or virtual (online) contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more individuals, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nsecurity and privacy risk assessment reports\n\nacquisitions documents\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\nsystem/network administrators\n\nsystem developers\n\nprogram managers\n\nlegal counsel\n\norganizational personnel with security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-9", - "class": "SP800-53", - "title": "Criticality Analysis", - "params": [ - { - "id": "ra-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-9_prm_1" - }, - { - "name": "label", - "value": "RA-09_ODP[01]" - } - ], - "label": "systems, system components, or system services", - "guidelines": [ - { - "prose": "systems, system components, or system services to be analyzed for criticality are defined;" - } - ] - }, - { - "id": "ra-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-9_prm_2" - }, - { - "name": "label", - "value": "RA-09_ODP[02]" - } - ], - "label": "decision points in the system development life cycle", - "guidelines": [ - { - "prose": "decision points in the system development life cycle when a criticality analysis is to be performed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-09" - }, - { - "name": "sort-id", - "value": "ra-09" - } - ], - "links": [ - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-9_smt", - "name": "statement", - "prose": "Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}." - }, - { - "id": "ra-9_gdn", - "name": "guidance", - "prose": "Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system.\n\nThe operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions.\n\nCriticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in [RA-2](#ra-2)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-09", - "class": "sp800-53A" - } - ], - "prose": "critical system components and functions are identified by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\ncriticality analysis/finalized criticality for each component/subcomponent\n\naudit records/event logs\n\nanalysis reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with assessment and auditing responsibilities\n\norganizational personnel with criticality analysis responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing assessments and auditing" - } - ] - } - ] - }, - { - "id": "ra-10", - "class": "SP800-53", - "title": "Threat Hunting", - "params": [ - { - "id": "ra-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "ra-10_prm_1" - }, - { - "name": "label", - "value": "RA-10_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to employ the threat hunting capability is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "RA-10" - }, - { - "name": "sort-id", - "value": "ra-10" - } - ], - "links": [ - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-10_smt", - "name": "statement", - "parts": [ - { - "id": "ra-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and maintain a cyber threat hunting capability to:", - "parts": [ - { - "id": "ra-10_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Search for indicators of compromise in organizational systems; and" - }, - { - "id": "ra-10_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Detect, track, and disrupt threats that evade existing controls; and" - } - ] - }, - { - "id": "ra-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the threat hunting capability {{ insert: param, ra-10_odp }}." - } - ] - }, - { - "id": "ra-10_gdn", - "name": "guidance", - "prose": "Threat hunting is an active means of cyber defense in contrast to traditional protection measures, such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.01", - "class": "sp800-53A" - } - ], - "prose": "a cyber threat capability is established and maintained to search for indicators of compromise in organizational systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10a.02", - "class": "sp800-53A" - } - ], - "prose": "a cyber threat capability is established and maintained to detect, track, and disrupt threats that evade existing controls;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "RA-10b.", - "class": "sp800-53A" - } - ], - "prose": "the threat hunting capability is employed {{ insert: param, ra-10_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\n\nassessment reports\n\naudit records/event logs\n\nthreat hunting capability\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with threat hunting responsibilities\n\nsystem/network administrators\n\norganizational personnel with security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assessments and audits\n\nautomated mechanisms/tools supporting and/or implementing threat hunting capabilities" - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sa-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.02" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "Organization-level", - "Mission/business process-level", - "System-level" - ] - } - }, - { - "id": "sa-1_prm_7", - "props": [ - { - "name": "aggregates", - "value": "sa-01_odp.07" - } - ], - "label": "organization-defined events" - }, - { - "id": "sa-01_odp.01", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and services acquisition policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "sa-01_odp.02", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and services acquisition procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "sa-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_3" - }, - { - "name": "label", - "value": "SA-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sa-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_4" - }, - { - "name": "label", - "value": "SA-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and services acquisition policy and procedures is defined;" - } - ] - }, - { - "id": "sa-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_5" - }, - { - "name": "label", - "value": "SA-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and services acquisition policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sa-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-1_prm_6" - }, - { - "name": "label", - "value": "SA-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and services acquisition policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sa-01_odp.07", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and services acquisition procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "sa-01_odp.08", - "props": [ - { - "name": "label", - "value": "SA-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and services acquisition procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-01" - }, - { - "name": "sort-id", - "value": "sa-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sa-1_prm_2 }} system and services acquisition policy that:", - "parts": [ - { - "id": "sa-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sa-01_odp.03 }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and" - }, - { - "id": "sa-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and services acquisition:", - "parts": [ - { - "id": "sa-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sa-01_odp.04 }} and following {{ insert: param, sa-01_odp.05 }} ; and" - }, - { - "id": "sa-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sa-01_odp.06 }} and following {{ insert: param, sa-1_prm_7 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and services acquisition policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition policy is disseminated to {{ insert: param, sa-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition procedures are disseminated to {{ insert: param, sa-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sa-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the system and services acquisition policy is reviewed and updated {{ insert: param, sa-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition policy is reviewed and updated following {{ insert: param, sa-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition procedures are reviewed and updated {{ insert: param, sa-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and services acquisition procedures are reviewed and updated following {{ insert: param, sa-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nsupply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "props": [ - { - "name": "label", - "value": "SA-02" - }, - { - "name": "sort-id", - "value": "sa-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the high-level information security requirements for the system or system service are determined in mission and business process planning;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the high-level privacy requirements for the system or system service are determined in mission and business process planning;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "a discrete line item for information security is established in organizational programming and budgeting documentation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "a discrete line item for privacy is established in organizational programming and budgeting documentation." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nsystem and services acquisition strategy and plans\n\nprocedures addressing the allocation of resources to information security and privacy requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security and privacy requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "params": [ - { - "id": "sa-03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-3_prm_1" - }, - { - "name": "label", - "value": "SA-03_ODP" - } - ], - "label": "system-development life cycle", - "guidelines": [ - { - "prose": "system development life cycle is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-03" - }, - { - "name": "sort-id", - "value": "sa-03" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Acquire, develop, and manage the system using {{ insert: param, sa-03_odp }} that incorporates information security and privacy considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document information security and privacy roles and responsibilities throughout the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify individuals having information security and privacy roles and responsibilities; and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrate the organizational information security and privacy risk management process into system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in [SA-8](#sa-8) help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities.\n\nThe effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates information security considerations;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates privacy considerations;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.[01]", - "class": "sp800-53A" - } - ], - "prose": "information security roles and responsibilities are defined and documented throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03b.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy roles and responsibilities are defined and documented throughout the system development life cycle;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.[01]", - "class": "sp800-53A" - } - ], - "prose": "individuals with information security roles and responsibilities are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03c.[02]", - "class": "sp800-53A" - } - ], - "prose": "individuals with privacy roles and responsibilities are identified;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational information security risk management processes are integrated into system development life cycle activities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03d.[02]", - "class": "sp800-53A" - } - ], - "prose": "organizational privacy risk management processes are integrated into system development life cycle activities." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process\n\nsystem development life cycle documentation\n\norganizational risk management strategy\n\ninformation security and privacy risk management strategy documentation\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nenterprise architecture documentation\n\nrole-based security and privacy training program documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle development responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ], - "controls": [ - { - "id": "sa-3.1", - "class": "SP800-53-enhancement", - "title": "Manage Preproduction Environment", - "props": [ - { - "name": "label", - "value": "SA-03(01)" - }, - { - "name": "sort-id", - "value": "sa-03.01" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.1_smt", - "name": "statement", - "prose": "Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "id": "sa-3.1_gdn", - "name": "guidance", - "prose": "The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense are examples of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribute to a more secure system development environment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(01)", - "class": "sp800-53A" - } - ], - "prose": "system pre-production environments are protected commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security and supply chain risk management into the system development life cycle process\n\nsystem development life cycle documentation\n\nprocedures addressing program protection planning\n\ncriticality analysis results\n\nsecurity and supply chain risk management strategy/program documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and system life cycle development responsibilities\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational process for integrating security risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ] - }, - { - "id": "sa-3.2", - "class": "SP800-53-enhancement", - "title": "Use of Live or Operational Data", - "props": [ - { - "name": "label", - "value": "SA-03(02)" - }, - { - "name": "sort-id", - "value": "sa-03.02" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and" - }, - { - "id": "sa-3.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments." - } - ] - }, - { - "id": "sa-3.2_gdn", - "name": "guidance", - "prose": "Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risks to organizations. In addition, the use of personally identifiable information in testing, research, and training increases the risk of unauthorized disclosure or misuse of such information. Therefore, it is important for the organization to manage any additional risks that may result from the use of live or operational data. Organizations can minimize such risks by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is approved for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is documented for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of live data in pre-production environments is controlled for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(02)b.", - "class": "sp800-53A" - } - ], - "prose": "pre-production environments for the system, system component, or system service are protected at the same impact or classification level as any live data in use within the pre-production environments." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy into the system development life cycle process\n\nsystem development life cycle documentation\n\nsecurity risk assessment documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\ndata mapping documentation\n\npersonally identifiable information processing policy\n\nprocedures addressing the authority to test with personally identifiable information\n\nprocedures addressing the minimization of personally identifiable information used in testing, training, and research\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibility\n\norganizational personnel with system life cycle development responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes the use of live data in pre-production environments\n\nmechanisms for protecting live data in pre-production environments" - } - ] - } - ] - }, - { - "id": "sa-3.3", - "class": "SP800-53-enhancement", - "title": "Technology Refresh", - "props": [ - { - "name": "label", - "value": "SA-03(03)" - }, - { - "name": "sort-id", - "value": "sa-03.03" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "required" - }, - { - "href": "#ma-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.3_smt", - "name": "statement", - "prose": "Plan for and implement a technology refresh schedule for the system throughout the system development life cycle." - }, - { - "id": "sa-3.3_gdn", - "name": "guidance", - "prose": "Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase the security and privacy risks associated with unsupported components, counterfeit or repurposed components, components unable to implement security or privacy requirements, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a technology refresh schedule is planned for the system throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-03(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "a technology refresh schedule is implemented for the system throughout the system development life cycle." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing technology refresh planning and implementation\n\nsystem development life cycle documentation\n\ntechnology refresh schedule\n\nsecurity risk assessment documentation\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle development responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle\n\norganizational processes for identifying system development life cycle roles and responsibilities\n\norganizational processes for integrating security and privacy risk management into the system development life cycle\n\nautomated mechanisms supporting and/or implementing the system development life cycle" - } - ] - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "params": [ - { - "id": "sa-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4_prm_1" - }, - { - "name": "label", - "value": "SA-04_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "standardized contract language", - " {{ insert: param, sa-04_odp.02 }} " - ] - } - }, - { - "id": "sa-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4_prm_2" - }, - { - "name": "label", - "value": "SA-04_ODP[02]" - } - ], - "label": "contract language", - "guidelines": [ - { - "prose": "contract language is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04" - }, - { - "name": "sort-id", - "value": "sa-04" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73", - "rel": "reference" - }, - { - "href": "#87087451-2af5-43d4-88c1-d66ad850f614", - "rel": "reference" - }, - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#06ce9216-bd54-4054-a422-94f358b50a5d", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "rel": "reference" - }, - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#858705be-3c1f-48aa-a328-0ce398d95ef0", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#4b38e961-1125-4a5b-aa35-1d6c02846dad", - "rel": "reference" - }, - { - "href": "#604774da-9e1d-48eb-9c62-4e959dc80737", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#795aff72-3e6c-4b6b-a80a-b14d84b7f544", - "rel": "reference" - }, - { - "href": "#3d575737-98cb-459d-b41c-d7e82b73ad78", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security and privacy functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Strength of mechanism requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security and privacy assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Controls needed to satisfy the security and privacy requirements." - }, - { - "id": "sa-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Security and privacy documentation requirements;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Requirements for protecting security and privacy documentation;" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Description of the system development environment and environment in which the system is intended to operate;" - }, - { - "id": "sa-4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and" - }, - { - "id": "sa-4_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Acceptance criteria." - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in [SA-2](#sa-2) . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) describes the process of requirements engineering as part of the system development life cycle.\n\nControls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle.\n\nSecurity and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.[01]", - "class": "sp800-53A" - } - ], - "prose": "security functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04a.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04b.", - "class": "sp800-53A" - } - ], - "prose": "strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.[01]", - "class": "sp800-53A" - } - ], - "prose": "security assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04c.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.[01]", - "class": "sp800-53A" - } - ], - "prose": "controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04d.[02]", - "class": "sp800-53A" - } - ], - "prose": "controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.[01]", - "class": "sp800-53A" - } - ], - "prose": "security documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04e.[02]", - "class": "sp800-53A" - } - ], - "prose": "privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.[01]", - "class": "sp800-53A" - } - ], - "prose": "requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04f.[02]", - "class": "sp800-53A" - } - ], - "prose": "requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04g.", - "class": "sp800-53A" - } - ], - "prose": "the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[01]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[02]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04h.[03]", - "class": "sp800-53A" - } - ], - "prose": "the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04i.", - "class": "sp800-53A" - } - ], - "prose": "acceptance criteria requirements and descriptions are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process\n\nconfiguration management plan\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining system security and privacy functional, strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts" - } - ] - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Controls", - "props": [ - { - "name": "label", - "value": "SA-04(01)" - }, - { - "name": "sort-id", - "value": "sa-04.01" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(01)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system services\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining system security functional requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts" - } - ] - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design and Implementation Information for Controls", - "params": [ - { - "id": "sa-04.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_1" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security-relevant external system interfaces", - "high-level design", - "low-level design", - "source code or hardware schematics", - " {{ insert: param, sa-04.02_odp.02 }} " - ] - } - }, - { - "id": "sa-04.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_2" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[02]" - } - ], - "label": "design and implementation information", - "guidelines": [ - { - "prose": "design and implementation information is defined (if selected);" - } - ] - }, - { - "id": "sa-04.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.2_prm_3" - }, - { - "name": "label", - "value": "SA-04(02)_ODP[03]" - } - ], - "label": "level of detail", - "guidelines": [ - { - "prose": "level of detail is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(02)" - }, - { - "name": "sort-id", - "value": "sa-04.02" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(02)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system components, or system services\n\ndesign and implementation information for controls employed in the system, system component, or system service\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\nsystem developers or service provider\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining the level of detail for system design and controls\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing development of system design details" - } - ] - } - ] - }, - { - "id": "sa-4.3", - "class": "SP800-53-enhancement", - "title": "Development Methods, Techniques, and Practices", - "params": [ - { - "id": "sa-4.3_prm_3", - "props": [ - { - "name": "aggregates", - "value": "sa-04.03_odp.03" - } - ], - "label": "organization-defined software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes" - }, - { - "id": "sa-04.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.3_prm_1" - }, - { - "name": "label", - "value": "SA-04(03)_ODP[01]" - } - ], - "label": "systems engineering methods", - "guidelines": [ - { - "prose": "systems engineering methods are defined;" - } - ] - }, - { - "id": "sa-04.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.3_prm_2" - }, - { - "name": "label", - "value": "SA-04(03)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-04.03_odp.03 }} ", - " {{ insert: param, sa-04.03_odp.04 }} " - ] - } - }, - { - "id": "sa-04.03_odp.03", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[03]" - } - ], - "label": "system security engineering methods", - "guidelines": [ - { - "prose": "system security engineering methods (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.04", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[04]" - } - ], - "label": "privacy engineering methods", - "guidelines": [ - { - "prose": "privacy engineering methods (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.05", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-04.03_odp.06 }} ", - " {{ insert: param, sa-04.03_odp.07 }} ", - " {{ insert: param, sa-04.03_odp.08 }} " - ] - } - }, - { - "id": "sa-04.03_odp.06", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[06]" - } - ], - "label": "software development methods", - "guidelines": [ - { - "prose": "software development methods are defined (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.07", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[07]" - } - ], - "label": "testing, evaluation, assessment, verification, and validation methods", - "guidelines": [ - { - "prose": "testing, evaluation, assessment, verification, and validation methods are defined (if selected);" - } - ] - }, - { - "id": "sa-04.03_odp.08", - "props": [ - { - "name": "label", - "value": "SA-04(03)_ODP[08]" - } - ], - "label": "quality control processes", - "guidelines": [ - { - "prose": "quality control processes are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(03)" - }, - { - "name": "sort-id", - "value": "sa-04.03" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:", - "parts": [ - { - "id": "sa-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, sa-04.03_odp.01 }};" - }, - { - "id": "sa-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, sa-04.03_odp.02 }} ; and" - }, - { - "id": "sa-4.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_3 }}." - } - ] - }, - { - "id": "sa-4.3_gdn", - "name": "guidance", - "prose": "Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods and techniques that developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provides an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to demonstrate the use of a system development life cycle process that includes {{ insert: param, sa-04.03_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nlist of systems security and privacy engineering methods to be included in the developer’s system development life cycle process\n\nlist of software development methods to be included in the developer’s system development life cycle process\n\nlist of testing, evaluation, or validation techniques to be included in the developer’s system development life cycle process\n\nlist of quality control processes to be included in the developer’s system development life cycle process\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with system life cycle responsibilities\n\nsystem developers or service provider" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for development methods, techniques, and processes" - } - ] - } - ] - }, - { - "id": "sa-4.4", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "props": [ - { - "name": "label", - "value": "SA-04(04)" - }, - { - "name": "sort-id", - "value": "sa-04.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-8.9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-4.5", - "class": "SP800-53-enhancement", - "title": "System, Component, and Service Configurations", - "params": [ - { - "id": "sa-04.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.5_prm_1" - }, - { - "name": "label", - "value": "SA-04(05)_ODP" - } - ], - "label": "security configurations", - "guidelines": [ - { - "prose": "security configurations for the system, component, or service are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(05)" - }, - { - "name": "sort-id", - "value": "sa-04.05" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented; and" - }, - { - "id": "sa-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "id": "sa-4.5_gdn", - "name": "guidance", - "prose": "Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to deliver the system, component, or service with {{ insert: param, sa-04.05_odp }} implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the configurations are used as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nsecurity configurations to be implemented by the developer of the system, system component, or system service\n\nservice level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\nsystem developers or service provider\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to verify that the configuration of the system, component, or service is delivered as specified" - } - ] - } - ] - }, - { - "id": "sa-4.6", - "class": "SP800-53-enhancement", - "title": "Use of Information Assurance Products", - "props": [ - { - "name": "label", - "value": "SA-04(06)" - }, - { - "name": "sort-id", - "value": "sa-04.06" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.6_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and" - }, - { - "id": "sa-4.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "id": "sa-4.6_gdn", - "name": "guidance", - "prose": "Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC](#3d575737-98cb-459d-b41c-d7e82b73ad78)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted are employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(06)(b)", - "class": "sp800-53A" - } - ], - "prose": "these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nsecurity configurations to be implemented by the developer of the system, system component, or system service\n\nservice level agreements\n\nNSA-approved list\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility to determine system security requirements\n\norganizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information" - } - ] - } - ] - }, - { - "id": "sa-4.7", - "class": "SP800-53-enhancement", - "title": "Niap-approved Protection Profiles", - "props": [ - { - "name": "label", - "value": "SA-04(07)" - }, - { - "name": "sort-id", - "value": "sa-04.07" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and" - }, - { - "id": "sa-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved." - } - ] - }, - { - "id": "sa-4.7_gdn", - "name": "guidance", - "prose": "See [NIAP CCEVS](#795aff72-3e6c-4b6b-a80a-b14d84b7f544) for additional information on NIAP. See [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) for additional information on FIPS-validated cryptographic modules." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the use of commercially provided information assurance and information assurance-enabled information technology products is limited to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that cryptographic module is required to be FIPS-validated or NSA-approved." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nNAIP-approved protection profiles\n\nFIPS-validation information for cryptographic functionality\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\norganizational personnel responsible for ensuring that information assurance products have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products" - } - ] - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan for Controls", - "props": [ - { - "name": "label", - "value": "SA-04(08)" - }, - { - "name": "sort-id", - "value": "sa-04.08" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization." - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring programs implemented by organizations. Continuous monitoring plans can include the types of control assessment and monitoring activities planned, frequency of control monitoring, and actions to be taken when controls fail or become ineffective." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(08)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a plan for the continuous monitoring of control effectiveness that is consistent with the continuous monitoring program of the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing developer continuous monitoring plans\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\ndeveloper continuous monitoring plans\n\nsecurity assessment plans\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Vendor processes for continuous monitoring\n\nautomated mechanisms supporting and/or implementing developer continuous monitoring" - } - ] - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions, Ports, Protocols, and Services in Use", - "props": [ - { - "name": "label", - "value": "SA-04(09)" - }, - { - "name": "sort-id", - "value": "sa-04.09" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. [SA-9](#sa-9) describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the functions intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the ports intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the protocols intended for organizational use;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(09)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to identify the services intended for organizational use." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsystem design documentation\n\nsystem documentation, including functions, ports, protocols, and services intended for organizational use\n\nacquisition contracts for systems or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\norganizational security requirements, descriptions, and criteria for developers of systems, system components, and system services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the system\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "props": [ - { - "name": "label", - "value": "SA-04(10)" - }, - { - "name": "sort-id", - "value": "sa-04.10" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "prose": "Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(10)", - "class": "sp800-53A" - } - ], - "prose": "only information technology products on the FIPS 201-approved products list for the Personal Identity Verification (PIV) capability implemented within organizational systems are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nservice level agreements\n\nFIPS 201 approved products list\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security requirements\n\norganizational personnel with the responsibility for ensuring that only FIPS 201- approved products are implemented\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing FIPS 201-approved products" - } - ] - } - ] - }, - { - "id": "sa-4.11", - "class": "SP800-53-enhancement", - "title": "System of Records", - "params": [ - { - "id": "sa-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.11_prm_1" - }, - { - "name": "label", - "value": "SA-04(11)_ODP" - } - ], - "label": "Privacy Act requirements", - "guidelines": [ - { - "prose": "Privacy Act requirements for the operation of a system of records are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(11)" - }, - { - "name": "sort-id", - "value": "sa-04.11" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.11_smt", - "name": "statement", - "prose": "Include {{ insert: param, sa-04.11_odp }} in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "id": "sa-4.11_gdn", - "name": "guidance", - "prose": "When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) to be applied to the system of records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-04.11_odp }} are defined in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of Privacy Act requirements into systems of records operated by external organizations\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nservice level agreements\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contract management processes to verify Privacy Act requirements are defined for the operation of a system of records\n\nvendor processes for demonstrating incorporation of Privacy Act requirements in its operation of a system of records" - } - ] - } - ] - }, - { - "id": "sa-4.12", - "class": "SP800-53-enhancement", - "title": "Data Ownership", - "params": [ - { - "id": "sa-04.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-4.12_prm_1" - }, - { - "name": "label", - "value": "SA-04(12)_ODP" - } - ], - "label": "time frame", - "guidelines": [ - { - "prose": "time frame to remove data from a contractor system and return it to the organization is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-04(12)" - }, - { - "name": "sort-id", - "value": "sa-04.12" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-4.12_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Include organizational data ownership requirements in the acquisition contract; and" - }, - { - "id": "sa-4.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require all data to be removed from the contractor’s system and returned to the organization within {{ insert: param, sa-04.12_odp }}." - } - ] - }, - { - "id": "sa-4.12_gdn", - "name": "guidance", - "prose": "Contractors who operate a system that contains data owned by an organization initiating the contract have policies and procedures in place to remove the data from their systems and/or return the data in a time frame defined by the contract." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)(a)", - "class": "sp800-53A" - } - ], - "prose": "organizational data ownership requirements are included in the acquisition contract;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-04(12)(b)", - "class": "sp800-53A" - } - ], - "prose": "all data to be removed from the contractor’s system and returned to the organization is required within {{ insert: param, sa-04.12_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy requirements, descriptions, and criteria into the acquisition process\n\nprocedures addressing the disposition of personally identifiable information\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system or system service\n\npersonally identifiable information processing policy\n\nservice level agreements\n\ninformation sharing agreements\n\nmemoranda of understanding\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for data management and processing requirements\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contract management processes to verify that data is removed as required\n\nvendor processes for removing data in required timeframe\n\nautomated mechanisms verifying the removal and return of data" - } - ] - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "System Documentation", - "params": [ - { - "id": "sa-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-5_prm_1" - }, - { - "name": "label", - "value": "SA-05_ODP[01]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to take when system, system component, or system service documentation is either unavailable or nonexistent are defined;" - } - ] - }, - { - "id": "sa-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-5_prm_2" - }, - { - "name": "label", - "value": "SA-05_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to distribute system documentation to is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-05" - }, - { - "name": "sort-id", - "value": "sa-05" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain or develop administrator documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Effective use and maintenance of security and privacy functions and mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative or privileged functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtain or develop user documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take {{ insert: param, sa-05_odp.01 }} in response; and" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Distribute documentation to {{ insert: param, sa-05_odp.02 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.01[03]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05a.02[04]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[03]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.01[04]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.02[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03[01]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05b.03[02]", - "class": "sp800-53A" - } - ], - "prose": "user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.[01]", - "class": "sp800-53A" - } - ], - "prose": "attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05c.[02]", - "class": "sp800-53A" - } - ], - "prose": "after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, {{ insert: param, sa-05_odp.01 }} are taken in response;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05d.", - "class": "sp800-53A" - } - ], - "prose": "documentation is distributed to {{ insert: param, sa-05_odp.02 }}." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-05.a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed;" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system documentation\n\nsystem documentation, including administrator and user guides\n\nsystem design documentation\n\nrecords documenting attempts to obtain unavailable or nonexistent system documentation\n\nlist of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation\n\nrisk management strategy documentation\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem administrators\n\norganizational personnel responsible for operating, using, and/or maintaining the system\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing system administrator and user documentation" - } - ] - } - ], - "controls": [ - { - "id": "sa-5.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "props": [ - { - "name": "label", - "value": "SA-05(01)" - }, - { - "name": "sort-id", - "value": "sa-05.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant External System Interfaces", - "props": [ - { - "name": "label", - "value": "SA-05(02)" - }, - { - "name": "sort-id", - "value": "sa-05.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.3", - "class": "SP800-53-enhancement", - "title": "High-level Design", - "props": [ - { - "name": "label", - "value": "SA-05(03)" - }, - { - "name": "sort-id", - "value": "sa-05.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.4", - "class": "SP800-53-enhancement", - "title": "Low-level Design", - "props": [ - { - "name": "label", - "value": "SA-05(04)" - }, - { - "name": "sort-id", - "value": "sa-05.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.5", - "class": "SP800-53-enhancement", - "title": "Source Code", - "props": [ - { - "name": "label", - "value": "SA-05(05)" - }, - { - "name": "sort-id", - "value": "sa-05.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-6", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "SA-06" - }, - { - "name": "sort-id", - "value": "sa-06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-7", - "class": "SP800-53", - "title": "User-installed Software", - "props": [ - { - "name": "label", - "value": "SA-07" - }, - { - "name": "sort-id", - "value": "sa-07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security and Privacy Engineering Principles", - "params": [ - { - "id": "sa-8_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08_odp.01" - } - ], - "label": "organization-defined systems security and privacy engineering principles" - }, - { - "id": "sa-08_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08_ODP[01]" - } - ], - "label": "systems security engineering principles", - "guidelines": [ - { - "prose": "systems security engineering principles are defined;" - } - ] - }, - { - "id": "sa-08_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08_ODP[02]" - } - ], - "label": "privacy engineering principles", - "guidelines": [ - { - "prose": "privacy engineering principles are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08" - }, - { - "name": "sort-id", - "value": "sa-08" - } - ], - "links": [ - { - "href": "#18e71fec-c6fd-475a-925a-5d8495cf8455", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#599fb53d-5041-444e-a7fe-640d6d30ad05", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "rel": "reference" - }, - { - "href": "#9be5d661-421f-41ad-854e-86f98b811891", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#98d415ca-7281-4064-9931-0c366637e324", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, sa-8_prm_1 }}." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see [SA-3](#sa-3) ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems.\n\nThe application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk.\n\nOrganizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the specification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the design of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the development of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the implementation of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[05]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.01 }} are applied in the modification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[06]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the specification of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[07]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the design of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[08]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the development of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[09]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the implementation of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08[10]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08_odp.02 }} are applied in the modification of the system and system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nassessment and authorization procedures\n\nprocedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification" - } - ] - } - ], - "controls": [ - { - "id": "sa-8.1", - "class": "SP800-53-enhancement", - "title": "Clear Abstractions", - "props": [ - { - "name": "label", - "value": "SA-08(01)" - }, - { - "name": "sort-id", - "value": "sa-08.01" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.1_smt", - "name": "statement", - "prose": "Implement the security design principle of clear abstractions." - }, - { - "id": "sa-8.1_gdn", - "name": "guidance", - "prose": "The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how the data is managed. The clarity, simplicity, necessity, and sufficiency of the system interfaces— combined with a precise definition of their functional behavior—promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples that reflect the application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters. Information hiding (i.e., representation-independent programming), is a design discipline used to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(01)", - "class": "sp800-53A" - } - ], - "prose": "the security design principle of clear abstractions is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of clear abstractions used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of clear abstractions to system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of clear abstractions to system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.2", - "class": "SP800-53-enhancement", - "title": "Least Common Mechanism", - "params": [ - { - "id": "sa-8.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.02_odp" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.02_odp", - "props": [ - { - "name": "label", - "value": "SA-08(02)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least common mechanism are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(02)" - }, - { - "name": "sort-id", - "value": "sa-08.02" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.2_smt", - "name": "statement", - "prose": "Implement the security design principle of least common mechanism in {{ insert: param, sa-8.2_prm_1 }}." - }, - { - "id": "sa-8.2_gdn", - "name": "guidance", - "prose": "The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74](#79453f84-26a4-4995-8257-d32d37aefea3) . Mechanism minimization implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with care to ensure that it does not unintentionally compromise security [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) . Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing the system state among different programs. A single program that corrupts a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73](#d1cdab13-4218-400d-91a9-c3818dfa5ec8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.02_odp }} implement the security design principle of least common mechanism." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of least common mechanism used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of least common mechanism in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of least common mechanism in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.3", - "class": "SP800-53-enhancement", - "title": "Modularity and Layering", - "params": [ - { - "id": "sa-8.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.03_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(03)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of modularity are defined;" - } - ] - }, - { - "id": "sa-08.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(03)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of layering are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(03)" - }, - { - "name": "sort-id", - "value": "sa-08.03" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.3_smt", - "name": "statement", - "prose": "Implement the security design principles of modularity and layering in {{ insert: param, sa-8.3_prm_1 }}." - }, - { - "id": "sa-8.3_gdn", - "name": "guidance", - "prose": "The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the allocation of policies to systems in a network, separation of system applications into processes with distinct address spaces, allocation of system policies to layers, and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.03_odp.01 }} implement the security design principle of modularity;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.03_odp.02 }} implement the security design principle of layering." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principles of modularity and layering used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principles of modularity and layering in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principles of modularity and layering in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing an isolation boundary" - } - ] - } - ] - }, - { - "id": "sa-8.4", - "class": "SP800-53-enhancement", - "title": "Partially Ordered Dependencies", - "params": [ - { - "id": "sa-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.4_prm_1" - }, - { - "name": "label", - "value": "SA-08(04)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least partially ordered dependencies are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(04)" - }, - { - "name": "sort-id", - "value": "sa-08.04" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.4_smt", - "name": "statement", - "prose": "Implement the security design principle of partially ordered dependencies in {{ insert: param, sa-08.04_odp }}." - }, - { - "id": "sa-8.4_gdn", - "name": "guidance", - "prose": "The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent on lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.04_odp }} implement the security design principle of partially ordered dependencies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of partially ordered dependencies used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of partially ordered dependencies in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.5", - "class": "SP800-53-enhancement", - "title": "Efficiently Mediated Access", - "params": [ - { - "id": "sa-08.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.5_prm_1" - }, - { - "name": "label", - "value": "SA-08(05)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of efficiently mediated access are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(05)" - }, - { - "name": "sort-id", - "value": "sa-08.05" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.5_smt", - "name": "statement", - "prose": "Implement the security design principle of efficiently mediated access in {{ insert: param, sa-08.05_odp }}." - }, - { - "id": "sa-8.5_gdn", - "name": "guidance", - "prose": "The principle of efficiently mediated access states that policy enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data, and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.05_odp }} implement the security design principle of efficiently mediated access." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of efficiently mediated access used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of efficiently mediated access in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.6", - "class": "SP800-53-enhancement", - "title": "Minimized Sharing", - "params": [ - { - "id": "sa-08.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.6_prm_1" - }, - { - "name": "label", - "value": "SA-08(06)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of minimized sharing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(06)" - }, - { - "name": "sort-id", - "value": "sa-08.06" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.6_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized sharing in {{ insert: param, sa-08.06_odp }}." - }, - { - "id": "sa-8.6_gdn", - "name": "guidance", - "prose": "The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case of internal entities or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage and timing channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, the use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(06)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.06_odp }} implement the security design principle of minimized sharing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of minimized sharing used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of minimized sharing in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of minimized sharing in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.7", - "class": "SP800-53-enhancement", - "title": "Reduced Complexity", - "params": [ - { - "id": "sa-08.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.7_prm_1" - }, - { - "name": "label", - "value": "SA-08(07)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of reduced complexity are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(07)" - }, - { - "name": "sort-id", - "value": "sa-08.07" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.7_smt", - "name": "statement", - "prose": "Implement the security design principle of reduced complexity in {{ insert: param, sa-08.07_odp }}." - }, - { - "id": "sa-8.7_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain; that is, simpler systems contain fewer vulnerabilities. An benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and the existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(07)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.07_odp }} implement the security design principle of reduced complexity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of reduced complexity used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of reduced complexity in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of reduced complexity in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.8", - "class": "SP800-53-enhancement", - "title": "Secure Evolvability", - "params": [ - { - "id": "sa-08.08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.8_prm_1" - }, - { - "name": "label", - "value": "SA-08(08)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure evolvability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(08)" - }, - { - "name": "sort-id", - "value": "sa-08.08" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.8_smt", - "name": "statement", - "prose": "Implement the security design principle of secure evolvability in {{ insert: param, sa-08.08_odp }}." - }, - { - "id": "sa-8.8_gdn", - "name": "guidance", - "prose": "The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system’s structure, interfaces, interconnections (i.e., system architecture), functionality, or configuration (i.e., security policy enforcement). Changes include a new, enhanced, or upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction, anticipated changes in the threat environment, and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life cycle costs, reduced cost of ownership, improved system security, more effective management of security risk, and less risk uncertainty." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.08_odp }} implement the security design principle of secure evolvability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of secure evolvability used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure evolvability in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure evolvability in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.9", - "class": "SP800-53-enhancement", - "title": "Trusted Components", - "params": [ - { - "id": "sa-08.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.9_prm_1" - }, - { - "name": "label", - "value": "SA-08(09)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of trusted components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(09)" - }, - { - "name": "sort-id", - "value": "sa-08.09" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.9_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted components in {{ insert: param, sa-08.09_odp }}." - }, - { - "id": "sa-8.9_gdn", - "name": "guidance", - "prose": "The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and the trust is not consequently misplaced. Ultimately, this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships.\n\nThe principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption. However, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives as well as relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component or a replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(09)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.09_odp }} implement the security design principle of trusted components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity, supply chain risk management, and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nprocedures for determining component assurance\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of trusted components in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.10", - "class": "SP800-53-enhancement", - "title": "Hierarchical Trust", - "params": [ - { - "id": "sa-08.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.10_prm_1" - }, - { - "name": "label", - "value": "SA-08(10)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of hierarchical trust are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(10)" - }, - { - "name": "sort-id", - "value": "sa-08.10" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.10_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical trust in {{ insert: param, sa-08.10_odp }}." - }, - { - "id": "sa-8.10_gdn", - "name": "guidance", - "prose": "The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or an assurance case (assurance argument) when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend on a less trustworthy component in a higher layer, this would, in effect, put the components in the same \"less trustworthy\" equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.10_odp }} implement the security design principle of hierarchical trust." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of hierarchical trust used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of hierarchical trust in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of hierarchical trust in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.11", - "class": "SP800-53-enhancement", - "title": "Inverse Modification Threshold", - "params": [ - { - "id": "sa-08.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.11_prm_1" - }, - { - "name": "label", - "value": "SA-08(11)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of inverse modification threshold are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(11)" - }, - { - "name": "sort-id", - "value": "sa-08.11" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.11_smt", - "name": "statement", - "prose": "Implement the security design principle of inverse modification threshold in {{ insert: param, sa-08.11_odp }}." - }, - { - "id": "sa-8.11_gdn", - "name": "guidance", - "prose": "The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component’s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(11)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.11_odp }} implement the security design principle of inverse modification threshold." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of inverse modification threshold used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of inverse modification threshold in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.12", - "class": "SP800-53-enhancement", - "title": "Hierarchical Protection", - "params": [ - { - "id": "sa-08.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.12_prm_1" - }, - { - "name": "label", - "value": "SA-08(12)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of hierarchical protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(12)" - }, - { - "name": "sort-id", - "value": "sa-08.12" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.12_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical protection in {{ insert: param, sa-08.12_odp }}." - }, - { - "id": "sa-8.12_gdn", - "name": "guidance", - "prose": "The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in \"system high\" environments where users are highly trustworthy and where other protections are put in place to bound and protect the \"system high\" execution environment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.12_odp }} implement the security design principle of hierarchical protection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of hierarchical protection used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of hierarchical protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of hierarchical protection in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.13", - "class": "SP800-53-enhancement", - "title": "Minimized Security Elements", - "params": [ - { - "id": "sa-08.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.13_prm_1" - }, - { - "name": "label", - "value": "SA-08(13)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of minimized security elements are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(13)" - }, - { - "name": "sort-id", - "value": "sa-08.13" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.13_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized security elements in {{ insert: param, sa-08.13_odp }}." - }, - { - "id": "sa-8.13_gdn", - "name": "guidance", - "prose": "The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to the increased rigor of development processes. Trusted components require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.13_odp }} implement the security design principle of minimized security elements." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of minimized security elements used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of minimized security elements in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of minimized security elements in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.14", - "class": "SP800-53-enhancement", - "title": "Least Privilege", - "params": [ - { - "id": "sa-08.14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.14_prm_1" - }, - { - "name": "label", - "value": "SA-08(14)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of least privilege are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(14)" - }, - { - "name": "sort-id", - "value": "sa-08.14" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.14_smt", - "name": "statement", - "prose": "Implement the security design principle of least privilege in {{ insert: param, sa-08.14_odp }}." - }, - { - "id": "sa-8.14_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions but no more. Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact, and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has need to view the audit data that has been collected but no need to perform operations on that data.\n\nIn addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated on by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality and that the access modes for the elements (e.g., read, write) are minimal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.14_odp }} implement the security design principle of least privilege." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of least privilege used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of least privilege in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of least privilege in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.15", - "class": "SP800-53-enhancement", - "title": "Predicate Permission", - "params": [ - { - "id": "sa-08.15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.15_prm_1" - }, - { - "name": "label", - "value": "SA-08(15)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of predicate permission are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(15)" - }, - { - "name": "sort-id", - "value": "sa-08.15" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.15_smt", - "name": "statement", - "prose": "Implement the security design principle of predicate permission in {{ insert: param, sa-08.15_odp }}." - }, - { - "id": "sa-8.15_gdn", - "name": "guidance", - "prose": "The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(15)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.15_odp }} implement the security design principle of predicate permission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of predicate permission used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of predicate permission in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of predicate permission in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.16", - "class": "SP800-53-enhancement", - "title": "Self-reliant Trustworthiness", - "params": [ - { - "id": "sa-08.16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.16_prm_1" - }, - { - "name": "label", - "value": "SA-08(16)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of self-reliant trustworthiness are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(16)" - }, - { - "name": "sort-id", - "value": "sa-08.16" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.16_smt", - "name": "statement", - "prose": "Implement the security design principle of self-reliant trustworthiness in {{ insert: param, sa-08.16_odp }}." - }, - { - "id": "sa-8.16_gdn", - "name": "guidance", - "prose": "The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default, and any connection to an external entity is used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that could result in the loss or degradation of that connection. The benefit of the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(16)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.16_odp }} implement the security design principle of self-reliant trustworthiness." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of self-reliant trustworthiness used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of self-reliant trustworthiness in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.17", - "class": "SP800-53-enhancement", - "title": "Secure Distributed Composition", - "params": [ - { - "id": "sa-08.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.17_prm_1" - }, - { - "name": "label", - "value": "SA-08(17)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure distributed composition are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(17)" - }, - { - "name": "sort-id", - "value": "sa-08.17" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.17_smt", - "name": "statement", - "prose": "Implement the security design principle of secure distributed composition in {{ insert: param, sa-08.17_odp }}." - }, - { - "id": "sa-8.17_gdn", - "name": "guidance", - "prose": "The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable a capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(17)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.17_odp }} implement the security design principle of secure distributed composition." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of secure distributed composition used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure distributed composition in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure distributed composition in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.18", - "class": "SP800-53-enhancement", - "title": "Trusted Communications Channels", - "params": [ - { - "id": "sa-08.18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.18_prm_1" - }, - { - "name": "label", - "value": "SA-08(18)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of trusted communications channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(18)" - }, - { - "name": "sort-id", - "value": "sa-08.18" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.18_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted communications channels in {{ insert: param, sa-08.18_odp }}." - }, - { - "id": "sa-8.18_gdn", - "name": "guidance", - "prose": "The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception and modification and to further increase the assurance of proper end-to-end communication)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(18)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.18_odp }} implement the security design principle of trusted communications channels." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of trusted communications channels used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of trusted communications channels in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of trusted communications channels in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.19", - "class": "SP800-53-enhancement", - "title": "Continuous Protection", - "params": [ - { - "id": "sa-08.19_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.19_prm_1" - }, - { - "name": "label", - "value": "SA-08(19)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of continuous protection are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(19)" - }, - { - "name": "sort-id", - "value": "sa-08.19" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.19_smt", - "name": "statement", - "prose": "Implement the security design principle of continuous protection in {{ insert: param, sa-08.19_odp }}." - }, - { - "id": "sa-8.19_gdn", - "name": "guidance", - "prose": "The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor; the reference monitor is able to protect itself from tampering; and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing) and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes).\n\nContinuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(19)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.19_odp }} implement the security design principle of continuous protection." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\naccess control policy\n\nsystem and communications protection policy\n\nprocedures addressing boundary protection\n\nprocedures addressing the security design principle of continuous protection used in the specification, design, development, implementation, and modification of the system\n\nsystem configuration settings and associated documentation\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\norganizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of continuous protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms implementing access enforcement functions\n\nautomated mechanisms supporting the application of the security design principle of continuous protection in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - }, - { - "id": "sa-8.20", - "class": "SP800-53-enhancement", - "title": "Secure Metadata Management", - "params": [ - { - "id": "sa-08.20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.20_prm_1" - }, - { - "name": "label", - "value": "SA-08(20)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure metadata management are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(20)" - }, - { - "name": "sort-id", - "value": "sa-08.20" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.20_smt", - "name": "statement", - "prose": "Implement the security design principle of secure metadata management in {{ insert: param, sa-08.20_odp }}." - }, - { - "id": "sa-8.20_gdn", - "name": "guidance", - "prose": "The principle of secure metadata management states that metadata are \"first class\" objects with respect to security policy when the policy requires either complete protection of information or that the security subsystem be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies on for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the classification level or impact level of a file name), including self-referential metadata.\n\nThe apparent secondary nature of metadata can lead to neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessments for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.20_odp }} implement the security design principle of secure metadata management." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of metadata management used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of metadata management in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of metadata management in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.21", - "class": "SP800-53-enhancement", - "title": "Self-analysis", - "params": [ - { - "id": "sa-08.21_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.21_prm_1" - }, - { - "name": "label", - "value": "SA-08(21)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of self-analysis are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(21)" - }, - { - "name": "sort-id", - "value": "sa-08.21" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.21_smt", - "name": "statement", - "prose": "Implement the security design principle of self-analysis in {{ insert: param, sa-08.21_odp }}." - }, - { - "id": "sa-8.21_gdn", - "name": "guidance", - "prose": "The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom-up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component that attests to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, internal malfunction, or transient errors. By following this principle, some simple malfunctions or errors can be detected without allowing the effects of the error or malfunction to propagate outside of the component. Further, the self-test can be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(21)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.21_odp }} implement the security design principle of self-analysis." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of self-analysis used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of self-analysis in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of self-analysis in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.22", - "class": "SP800-53-enhancement", - "title": "Accountability and Traceability", - "params": [ - { - "id": "sa-8.22_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.22_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.22_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(22)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of accountability are defined;" - } - ] - }, - { - "id": "sa-08.22_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(22)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of traceability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(22)" - }, - { - "name": "sort-id", - "value": "sa-08.22" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.22_smt", - "name": "statement", - "prose": "Implement the security design principle of accountability and traceability in {{ insert: param, sa-8.22_prm_1 }}." - }, - { - "id": "sa-8.22_gdn", - "name": "guidance", - "prose": "The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires that audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provide non-repudiation because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy and the actions of individuals associated with the violation of the security policy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.22_odp.01 }} implement the security design principle of accountability;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(22)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.22_odp.02 }} implement the security design principle of traceability." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\naudit and accountability policy\n\naccess control policy\n\nprocedures addressing least privilege\n\nprocedures addressing auditable events\n\nidentification and authentication policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the security design principle of accountability and traceability used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem audit records\n\nsystem auditable events\n\nsystem configuration settings and associated documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with audit and accountability responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of accountability and traceability in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of accountability and traceability in system specification, design, development, implementation, and modification\n\nautomated mechanisms implementing information system auditing\n\nautomated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "sa-8.23", - "class": "SP800-53-enhancement", - "title": "Secure Defaults", - "params": [ - { - "id": "sa-08.23_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.23_prm_1" - }, - { - "name": "label", - "value": "SA-08(23)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure defaults are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(23)" - }, - { - "name": "sort-id", - "value": "sa-08.23" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.23_smt", - "name": "statement", - "prose": "Implement the security design principle of secure defaults in {{ insert: param, sa-08.23_odp }}." - }, - { - "id": "sa-8.23_gdn", - "name": "guidance", - "prose": "The principle of secure defaults states that the default configuration of a system (including its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a \"deny unless explicitly authorized\" strategy. The initial configuration aspect of this principle requires that any \"as shipped\" configuration of a system, subsystem, or system component does not aid in the violation of the security policy and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user.\n\nRestrictive defaults mean that the system will operate \"as-shipped\" with adequate self-protection and be able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the \"as-shipped\" product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure.\n\nThe security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is denied by default are often far more compact and complete than those that would need to be checked in order to deny a request that is granted by default." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(23)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.23_odp }} implement the security design principle of secure defaults." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nconfiguration management policy\n\nprocedures addressing the security design principle of secure defaults used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nprocedures addressing system documentation\n\nsystem documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure defaults in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure defaults in system specification, design, development, implementation, and modification\n\norganizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline configuration" - } - ] - } - ] - }, - { - "id": "sa-8.24", - "class": "SP800-53-enhancement", - "title": "Secure Failure and Recovery", - "params": [ - { - "id": "sa-8.24_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-08.24_odp.01" - } - ], - "label": "organization-defined systems or system components" - }, - { - "id": "sa-08.24_odp.01", - "props": [ - { - "name": "label", - "value": "SA-08(24)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure failure are defined;" - } - ] - }, - { - "id": "sa-08.24_odp.02", - "props": [ - { - "name": "label", - "value": "SA-08(24)_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure recovery are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(24)" - }, - { - "name": "sort-id", - "value": "sa-08.24" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.24_smt", - "name": "statement", - "prose": "Implement the security design principle of secure failure and recovery in {{ insert: param, sa-8.24_prm_1 }}." - }, - { - "id": "sa-8.24_gdn", - "name": "guidance", - "prose": "The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operations while ensuring that a secure state is maintained such that security policies are not violated.\n\nFailure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component while maintaining security and provide all or part of the functionality of the original system, or it may completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration.\n\nAnother technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operations may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally \"atomic\" operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection.\n\nFailure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.24_odp.01 }} implement the security design principle of secure failure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.24_odp.02 }} implement the security design principle of secure recovery." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and communications protection policy\n\ncontingency planning policy\n\nprocedures addressing information system recovery and reconstitution\n\nprocedures addressing the security design principle of secure failure and recovery used in the specification, design, development, implementation, and modification of the system\n\ncontingency plan\n\nprocedures addressing system backup\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\norganizational personnel with contingency plan testing responsibilities\n\norganizational personnel with system recovery and reconstitution responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with information system backup responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure failure and recovery in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting and/or implementing secure failure\n\norganizational processes for contingency plan testing\n\nautomated mechanisms supporting contingency plan testing\n\nautomated mechanisms supporting recovery and reconstitution of the system\n\norganizational processes for conducting system backups\n\nautomated mechanisms supporting and/or implementing system backups" - } - ] - } - ] - }, - { - "id": "sa-8.25", - "class": "SP800-53-enhancement", - "title": "Economic Security", - "params": [ - { - "id": "sa-08.25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.25_prm_1" - }, - { - "name": "label", - "value": "SA-08(25)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of economic security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(25)" - }, - { - "name": "sort-id", - "value": "sa-08.25" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.25_smt", - "name": "statement", - "prose": "Implement the security design principle of economic security in {{ insert: param, sa-08.25_odp }}." - }, - { - "id": "sa-8.25_gdn", - "name": "guidance", - "prose": "The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence as well as the necessary analyses to assess and draw trustworthiness and risk conclusions from the evidence." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(25)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.25_odp }} implement the security design principle of economic security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of economic security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\ncost-benefit analysis\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of economic security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of economic security in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.26", - "class": "SP800-53-enhancement", - "title": "Performance Security", - "params": [ - { - "id": "sa-08.26_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.26_prm_1" - }, - { - "name": "label", - "value": "SA-08(26)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of performance security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(26)" - }, - { - "name": "sort-id", - "value": "sa-08.26" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.26_smt", - "name": "statement", - "prose": "Implement the security design principle of performance security in {{ insert: param, sa-08.26_odp }}." - }, - { - "id": "sa-8.26_gdn", - "name": "guidance", - "prose": "The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to provide an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements, performance-critical overhead issues (e.g., cryptographic key management), and an assessment of the capability of the threat.\n\nThe principle of performance security leads to the incorporation of features that help in the enforcement of security policy but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(26)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.26_odp }} implement the security design principle of performance security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of performance security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\ntrade-off analysis between performance and security\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of performance security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of performance security in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sa-8.27", - "class": "SP800-53-enhancement", - "title": "Human Factored Security", - "params": [ - { - "id": "sa-08.27_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.27_prm_1" - }, - { - "name": "label", - "value": "SA-08(27)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of human factored security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(27)" - }, - { - "name": "sort-id", - "value": "sa-08.27" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.27_smt", - "name": "statement", - "prose": "Implement the security design principle of human factored security in {{ insert: param, sa-08.27_odp }}." - }, - { - "id": "sa-8.27_gdn", - "name": "guidance", - "prose": "The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user-friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. Personnel with system administrative and operational responsibilities are able to configure systems before start-up and administer them during runtime with confidence that their intent is correctly mapped to the system’s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessary for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable them, avoid them, or use them in ways inconsistent with the security requirements and protection needs that the mechanisms were designed to satisfy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(27)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.27_odp }} implement the security design principle of human factored security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of human factored security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nusability analysis\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with human factored security responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of human factored security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of human factored security in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.28", - "class": "SP800-53-enhancement", - "title": "Acceptable Security", - "params": [ - { - "id": "sa-08.28_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.28_prm_1" - }, - { - "name": "label", - "value": "SA-08(28)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of acceptable security are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(28)" - }, - { - "name": "sort-id", - "value": "sa-08.28" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.28_smt", - "name": "statement", - "prose": "Implement the security design principle of acceptable security in {{ insert: param, sa-08.28_odp }}." - }, - { - "id": "sa-8.28_gdn", - "name": "guidance", - "prose": "The principle of acceptable security requires that the level of privacy and performance that the system provides is consistent with the users’ expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(28)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.28_odp }} implement the security design principle of acceptable security." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the security design principle of acceptable security used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\npersonally identifiable information processing policy\n\nprivacy notifications provided to users\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of acceptable security in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of acceptable security in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.29", - "class": "SP800-53-enhancement", - "title": "Repeatable and Documented Procedures", - "params": [ - { - "id": "sa-08.29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.29_prm_1" - }, - { - "name": "label", - "value": "SA-08(29)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of repeatable and documented procedures are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(29)" - }, - { - "name": "sort-id", - "value": "sa-08.29" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.29_smt", - "name": "statement", - "prose": "Implement the security design principle of repeatable and documented procedures in {{ insert: param, sa-08.29_odp }}." - }, - { - "id": "sa-8.29_gdn", - "name": "guidance", - "prose": "The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permit the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier, which may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and the ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review, procedures for the configuration management of development tools and system artifacts, and procedures for system delivery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(29)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.29_odp }} implement the security design principle of repeatable and documented procedures." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of repeatable and documented procedures used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of repeatable and documented procedures in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.30", - "class": "SP800-53-enhancement", - "title": "Procedural Rigor", - "params": [ - { - "id": "sa-08.30_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.30_prm_1" - }, - { - "name": "label", - "value": "SA-08(30)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of procedural rigor are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(30)" - }, - { - "name": "sort-id", - "value": "sa-08.30" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-8.30_smt", - "name": "statement", - "prose": "Implement the security design principle of procedural rigor in {{ insert: param, sa-08.30_odp }}." - }, - { - "id": "sa-8.30_gdn", - "name": "guidance", - "prose": "The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented.\n\nSecond, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built rather than trusting that the component, as implemented, is the authoritative (and potentially misleading) specification.\n\nFinally, modifications to an existing system component are easier when there are detailed specifications that describe its current design instead of studying source code or schematics to try to understand how it works. Procedural rigor helps ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(30)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.30_odp }} implement the security design principle of procedural rigor." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(30)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of procedural rigor used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(30)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(30)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of procedural rigor in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of procedural rigor in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies" - } - ] - } - ] - }, - { - "id": "sa-8.31", - "class": "SP800-53-enhancement", - "title": "Secure System Modification", - "params": [ - { - "id": "sa-08.31_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.31_prm_1" - }, - { - "name": "label", - "value": "SA-08(31)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of secure system modification are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(31)" - }, - { - "name": "sort-id", - "value": "sa-08.31" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.31_smt", - "name": "statement", - "prose": "Implement the security design principle of secure system modification in {{ insert: param, sa-08.31_odp }}." - }, - { - "id": "sa-8.31_gdn", - "name": "guidance", - "prose": "The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(31)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.31_odp }} implement the security design principle of secure system modification." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(31)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nconfiguration management policy and procedures\n\nprocedures addressing the security design principle of secure system modification used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(31)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(31)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of secure system modification in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of secure system modification in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - }, - { - "id": "sa-8.32", - "class": "SP800-53-enhancement", - "title": "Sufficient Documentation", - "params": [ - { - "id": "sa-08.32_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.32_prm_1" - }, - { - "name": "label", - "value": "SA-08(32)_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that implement the security design principle of sufficient documentation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(32)" - }, - { - "name": "sort-id", - "value": "sa-08.32" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.32_smt", - "name": "statement", - "prose": "Implement the security design principle of sufficient documentation in {{ insert: param, sa-08.32_odp }}." - }, - { - "id": "sa-8.32_gdn", - "name": "guidance", - "prose": "The principle of sufficient documentation states that organizational personnel with responsibilities to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms and the ramifications of the misuse or misconfiguration of security mechanisms are not always intuitively obvious. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(32)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-08.32_odp }} implement the security design principle of sufficient documentation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(32)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the security design principle of sufficient documentation used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\nsecurity and privacy requirements and specifications for the system\n\nsystem security and privacy documentation\n\nsystem security and privacy architecture\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(32)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with the responsibility for determining system security and privacy requirements\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(32)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security policies\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - }, - { - "id": "sa-8.33", - "class": "SP800-53-enhancement", - "title": "Minimization", - "params": [ - { - "id": "sa-08.33_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-8.33_prm_1" - }, - { - "name": "label", - "value": "SA-08(33)_ODP" - } - ], - "label": "processes", - "guidelines": [ - { - "prose": "processes that implement the privacy principle of minimization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-08(33)" - }, - { - "name": "sort-id", - "value": "sa-08.33" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "required" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.33_smt", - "name": "statement", - "prose": "Implement the privacy principle of minimization using {{ insert: param, sa-08.33_odp }}." - }, - { - "id": "sa-8.33_gdn", - "name": "guidance", - "prose": "The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-08(33)", - "class": "sp800-53A" - } - ], - "prose": "the privacy principle of minimization is implemented using {{ insert: param, sa-08.33_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-08(33)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing the minimization of personally identifiable information in system design\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nchange control records\n\ninformation security and privacy requirements and specifications for the system\n\nsystem security and privacy architecture\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-08(33)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with system specification, design, development, implementation, and modification responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-08(33)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying the privacy design principle of minimization in system specification, design, development, implementation, and modification\n\nautomated mechanisms supporting the application of the security design principle of sufficient documentation in system specification, design, development, implementation, and modification\n\nautomated mechanisms that enforce security and privacy policy\n\norganizational processes for managing change configuration\n\nautomated mechanisms supporting configuration control" - } - ] - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External System Services", - "params": [ - { - "id": "sa-09_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9_prm_1" - }, - { - "name": "label", - "value": "SA-09_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed by external system service providers are defined;" - } - ] - }, - { - "id": "sa-09_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9_prm_2" - }, - { - "name": "label", - "value": "SA-09_ODP[02]" - } - ], - "label": "processes, methods, and techniques", - "guidelines": [ - { - "prose": "processes, methods, and techniques employed to monitor control compliance by external service providers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09" - }, - { - "name": "sort-id", - "value": "sa-09" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, sa-09_odp.01 }};" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document organizational oversight and user roles and responsibilities with regard to external system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, sa-09_odp.02 }}." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[01]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services comply with organizational security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[02]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services comply with organizational privacy requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09a.[03]", - "class": "sp800-53A" - } - ], - "prose": "providers of external system services employ {{ insert: param, sa-09_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.[01]", - "class": "sp800-53A" - } - ], - "prose": "organizational oversight with regard to external system services are defined and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09b.[02]", - "class": "sp800-53A" - } - ], - "prose": "user roles and responsibilities with regard to external system services are defined and documented;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09c.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09_odp.02 }} are employed to monitor control compliance by external service providers on an ongoing basis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing methods and techniques for monitoring control compliance by external service providers of system services\n\nacquisition documentation\n\ncontracts\n\nservice level agreements\n\ninteragency agreements\n\nlicensing agreements\n\nlist of organizational security and privacy requirements for external provider services\n\ncontrol assessment results or reports from external providers of system services\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\nexternal providers of system services\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis\n\nautomated mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis" - } - ] - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments and Organizational Approvals", - "params": [ - { - "id": "sa-09.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.1_prm_1" - }, - { - "name": "label", - "value": "SA-09(01)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(01)" - }, - { - "name": "sort-id", - "value": "sa-09.01" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-09.01_odp }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09.01_odp }} approve the acquisition or outsourcing of dedicated information security services." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management policy and procedures\n\nprocedures addressing external system services\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nrisk assessment reports\n\napproval records for the acquisition or outsourcing of dedicated security services\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with system security responsibilities\n\nexternal providers of system services\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services\n\norganizational processes for approving the outsourcing of dedicated security services\n\nautomated mechanisms supporting and/or implementing risk assessment\n\nautomated mechanisms supporting and/or implementing approval processes" - } - ] - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions, Ports, Protocols, and Services", - "params": [ - { - "id": "sa-9.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-09.02_odp" - } - ], - "label": "organization-defined external system services" - }, - { - "id": "sa-09.02_odp", - "props": [ - { - "name": "label", - "value": "SA-09(02)_ODP" - } - ], - "label": "external system services", - "guidelines": [ - { - "prose": "external system services that require the identification of functions, ports, protocols, and other services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(02)" - }, - { - "name": "sort-id", - "value": "sa-09.02" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-9.2_prm_1 }}." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(02)", - "class": "sp800-53A" - } - ], - "prose": "providers of {{ insert: param, sa-09.02_odp }} are required to identify the functions, ports, protocols, and other services required for the use of such services." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management policy and procedures\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\norganizational security requirements and security specifications for external service providers\n\nlist of required functions, ports, protocols, and other services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nexternal providers of system services" - } - ] - } - ] - }, - { - "id": "sa-9.3", - "class": "SP800-53-enhancement", - "title": "Establish and Maintain Trust Relationship with Providers", - "params": [ - { - "id": "sa-9.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-09.03_odp.01" - } - ], - "label": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships" - }, - { - "id": "sa-09.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-09(03)_ODP[01]" - } - ], - "label": "security requirements, properties, factors, or conditions", - "guidelines": [ - { - "prose": "security requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;" - } - ] - }, - { - "id": "sa-09.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-09(03)_ODP[02]" - } - ], - "label": "privacy requirements, properties, factors, or conditions", - "guidelines": [ - { - "prose": "privacy requirements, properties, factors, or conditions defining acceptable trust relationships on which a trust relationship is maintained are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(03)" - }, - { - "name": "sort-id", - "value": "sa-09.03" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.3_smt", - "name": "statement", - "prose": "Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1 }}." - }, - { - "id": "sa-9.3_gdn", - "name": "guidance", - "prose": "Trust relationships between organizations and external service providers reflect the degree of confidence that the risk from using external services is at an acceptable level. Trust relationships can help organizations gain increased levels of confidence that service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control that organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are established and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.01 }} are maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are established and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(03)[04]", - "class": "sp800-53A" - } - ], - "prose": "trust relationships with external service provides based on {{ insert: param, sa-09.03_odp.02 }} are maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nacquisition contracts for the system, system component, or system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\nlist of organizational security and privacy requirements, properties, factors, or conditions for external provider services\n\ndocumentation of trust relationships with external service providers\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "params": [ - { - "id": "sa-09.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.4_prm_1" - }, - { - "name": "label", - "value": "SA-09(04)_ODP[01]" - } - ], - "label": "external service providers", - "guidelines": [ - { - "prose": "external service providers are defined;" - } - ] - }, - { - "id": "sa-09.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.4_prm_2" - }, - { - "name": "label", - "value": "SA-09(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken to verify that the interests of external service providers are consistent with and reflect organizational interests are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(04)" - }, - { - "name": "sort-id", - "value": "sa-09.04" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "Take the following actions to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests: {{ insert: param, sa-09.04_odp.02 }}." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, such as providers with which organizations have had successful trust relationships; and conducting routine, periodic, unscheduled visits to service provider facilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-09.04_odp.02 }} are taken to verify that the interests of {{ insert: param, sa-09.04_odp.01 }} are consistent with and reflect organizational interests." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\norganizational security requirements/safeguards for external service providers\n\npersonnel security policies for external service providers\n\nassessments performed on external service providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers\n\nautomated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers" - } - ] - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "params": [ - { - "id": "sa-09.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_1" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "information processing", - "information or data", - "system services" - ] - } - }, - { - "id": "sa-09.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_2" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations where is/are to be restricted are defined;" - } - ] - }, - { - "id": "sa-09.05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-9.5_prm_3" - }, - { - "name": "label", - "value": "SA-09(05)_ODP[03]" - } - ], - "label": "requirements", - "guidelines": [ - { - "prose": "requirements or conditions for restricting the location of are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-09(05)" - }, - { - "name": "sort-id", - "value": "sa-09.05" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "Restrict the location of {{ insert: param, sa-09.05_odp.01 }} to {{ insert: param, sa-09.05_odp.02 }} based on {{ insert: param, sa-09.05_odp.03 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(05)", - "class": "sp800-53A" - } - ], - "prose": "based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert: param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param, sa-09.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nrestricted locations for information processing\n\ninformation/data and/or system services\n\ninformation processing, information/data, and/or system services to be maintained in restricted locations\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services\n\norganizational processes for ensuring the location is restricted in accordance with requirements or conditions" - } - ] - } - ] - }, - { - "id": "sa-9.6", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Cryptographic Keys", - "props": [ - { - "name": "label", - "value": "SA-09(06)" - }, - { - "name": "sort-id", - "value": "sa-09.06" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.6_smt", - "name": "statement", - "prose": "Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system." - }, - { - "id": "sa-9.6_gdn", - "name": "guidance", - "prose": "Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system but allows exclusive organizational access to the encryption keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(06)", - "class": "sp800-53A" - } - ], - "prose": "exclusive control of cryptographic keys is maintained for encrypted material stored or transmitted through an external system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing organization-controlled cryptographic key management\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with cryptographic key management responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for cryptographic key management\n\nautomated mechanisms for supporting and implementing the management of organization-controlled cryptographic keys" - } - ] - } - ] - }, - { - "id": "sa-9.7", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Integrity Checking", - "props": [ - { - "name": "label", - "value": "SA-09(07)" - }, - { - "name": "sort-id", - "value": "sa-09.07" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.7_smt", - "name": "statement", - "prose": "Provide the capability to check the integrity of information while it resides in the external system." - }, - { - "id": "sa-9.7_gdn", - "name": "guidance", - "prose": "Storage of organizational information in an external system could limit visibility into the security status of its data. The ability of the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(07)", - "class": "sp800-53A" - } - ], - "prose": "the capability is provided to check the integrity of information while it resides in the external system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing organization-controlled integrity checking\n\ninformation/data and/or system services\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with integrity checking responsibilities\n\nexternal providers of system services\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for integrity checking\n\nautomated mechanisms for supporting and implementing integrity checking of information in external systems" - } - ] - } - ] - }, - { - "id": "sa-9.8", - "class": "SP800-53-enhancement", - "title": "Processing and Storage Location — U.s. Jurisdiction", - "props": [ - { - "name": "label", - "value": "SA-09(08)" - }, - { - "name": "sort-id", - "value": "sa-09.08" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.8_smt", - "name": "statement", - "prose": "Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States." - }, - { - "id": "sa-9.8_gdn", - "name": "guidance", - "prose": "The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their mission and business functions. A compromise or breach of high impact information and systems can have severe or catastrophic adverse impacts on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-09(08)", - "class": "sp800-53A" - } - ], - "prose": "the geographic location of information processing and data storage is restricted to facilities located within the legal jurisdictional boundary of the United States." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-09(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing external system services\n\nacquisition contracts for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nprocedures addressing determining jurisdiction restrictions for processing and storage location\n\ninformation/data and/or system services\n\norganizational security requirements or conditions for external providers\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-09(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganization personnel with supply chain risk management responsibilities\n\nexternal providers of system services" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-09(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes restricting external system service providers to process and store information within the legal jurisdictional boundary of the United States" - } - ] - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "params": [ - { - "id": "sa-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_1" - }, - { - "name": "label", - "value": "SA-10_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "design", - "development", - "implementation", - "operation", - "disposal" - ] - } - }, - { - "id": "sa-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_2" - }, - { - "name": "label", - "value": "SA-10_ODP[02]" - } - ], - "label": "configuration items", - "guidelines": [ - { - "prose": "configuration items under configuration management are defined;" - } - ] - }, - { - "id": "sa-10_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-10_prm_3" - }, - { - "name": "label", - "value": "SA-10_ODP[03]" - } - ], - "label": "personnel", - "guidelines": [ - { - "prose": "personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "sa-10" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_odp.03 }}." - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.\n\nThe configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10a.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to manage the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to control the integrity of changes to {{ insert: param, sa-10_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10c.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document approved changes to the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the potential security impacts of approved changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10d.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to track security flaws within the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10e.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to report findings to {{ insert: param, sa-10_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsecurity flaw and flaw resolution tracking records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software and Firmware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(01)" - }, - { - "name": "sort-id", - "value": "sa-10.01" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(01)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to enable integrity verification of software and firmware components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsoftware and firmware integrity verification records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.2", - "class": "SP800-53-enhancement", - "title": "Alternative Configuration Management Processes", - "props": [ - { - "name": "label", - "value": "SA-10(02)" - }, - { - "name": "sort-id", - "value": "sa-10.02" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.2_smt", - "name": "statement", - "prose": "Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "id": "sa-10.2_gdn", - "name": "guidance", - "prose": "Alternate configuration management processes may be required when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel who review and approve proposed changes to systems, system components, and system services and conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(02)", - "class": "sp800-53A" - } - ], - "prose": "an alternate configuration management process has been provided using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nconfiguration management policy\n\nconfiguration management plan\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nsecurity impact analyses\n\nprivacy impact analyses\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.3", - "class": "SP800-53-enhancement", - "title": "Hardware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(03)" - }, - { - "name": "sort-id", - "value": "sa-10.03" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of hardware components." - }, - { - "id": "sa-10.3_gdn", - "name": "guidance", - "prose": "Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations may verify the integrity of hardware components with hard-to-copy labels, verifiable serial numbers provided by developers, and by requiring the use of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(03)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to enable integrity verification of hardware components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nhardware integrity verification records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.4", - "class": "SP800-53-enhancement", - "title": "Trusted Generation", - "props": [ - { - "name": "label", - "value": "SA-10(04)" - }, - { - "name": "sort-id", - "value": "sa-10.04" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions." - }, - { - "id": "sa-10.4_gdn", - "name": "guidance", - "prose": "The trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, [SA-10(1)](#sa-10.1) and [SA-10(3)](#sa-10.3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of security-relevant hardware descriptions with previous versions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of source code with previous versions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(04)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ tools for comparing newly generated versions of object code with previous versions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nconfiguration control audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.5", - "class": "SP800-53-enhancement", - "title": "Mapping Integrity for Version Control", - "props": [ - { - "name": "label", - "value": "SA-10(05)" - }, - { - "name": "sort-id", - "value": "sa-10.05" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "id": "sa-10.5_gdn", - "name": "guidance", - "prose": "Mapping integrity for version control addresses changes to hardware, software, and firmware components during both initial development and system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs, hardware drawings, source code) and the equivalent data in master copies in operational environments is essential to ensuring the availability of organizational systems that support critical mission and business functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(05)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to maintain the integrity of the mapping between the master build data describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nversion control change/update records\n\nintegrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.6", - "class": "SP800-53-enhancement", - "title": "Trusted Distribution", - "props": [ - { - "name": "label", - "value": "SA-10(06)" - }, - { - "name": "sort-id", - "value": "sa-10.06" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "id": "sa-10.6_gdn", - "name": "guidance", - "prose": "The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer configuration management" - } - ] - } - ] - }, - { - "id": "sa-10.7", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "sa-10.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-10.07_odp.01" - } - ], - "label": "organization-defined security and privacy representatives" - }, - { - "id": "sa-10.7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-10.07_odp.03" - } - ], - "label": "organization-defined configuration change management and control process" - }, - { - "id": "sa-10.07_odp.01", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[01]" - } - ], - "label": "security representatives", - "guidelines": [ - { - "prose": "security representatives to be included in the configuration change management and control process are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.02", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[02]" - } - ], - "label": "privacy representatives", - "guidelines": [ - { - "prose": "privacy representatives to be included in the configuration change management and control process are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.03", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[03]" - } - ], - "label": "configuration change management and control processes", - "guidelines": [ - { - "prose": "configuration change management and control processes in which security representatives are required to be included are defined;" - } - ] - }, - { - "id": "sa-10.07_odp.04", - "props": [ - { - "name": "label", - "value": "SA-10(07)_ODP[04]" - } - ], - "label": "configuration change management and control processes", - "guidelines": [ - { - "prose": "configuration change management and control processes in which privacy representatives are required to be included are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-10(07)" - }, - { - "name": "sort-id", - "value": "sa-10.07" - } - ], - "links": [ - { - "href": "#sa-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-10.7_smt", - "name": "statement", - "prose": "Require {{ insert: param, sa-10.7_prm_1 }} to be included in the {{ insert: param, sa-10.7_prm_2 }}." - }, - { - "id": "sa-10.7_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives can include system security officers, senior agency information security officers, senior agency officials for privacy, and system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change management and control process in this control enhancement refers to the change management and control process defined by organizations in [SA-10b](#sa-10_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-10.07_odp.01 }} are required to be included in the {{ insert: param, sa-10.07_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-10(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-10.07_odp.02 }} are required to be included in the {{ insert: param, sa-10.07_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nconfiguration management policy\n\nconfiguration management plan\n\nsolicitation documentation requiring representatives for security and privacy\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer configuration management plan\n\nchange control records\n\nconfiguration management records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-10(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Testing and Evaluation", - "params": [ - { - "id": "sa-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_1" - }, - { - "name": "label", - "value": "SA-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "unit", - "integration", - "system", - "regression" - ] - } - }, - { - "id": "sa-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_2" - }, - { - "name": "label", - "value": "SA-11_ODP[02]" - } - ], - "label": "frequency to conduct", - "guidelines": [ - { - "prose": "frequency at which to conduct testing/evaluation is defined;" - } - ] - }, - { - "id": "sa-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11_prm_3" - }, - { - "name": "label", - "value": "SA-11_ODP[03]" - } - ], - "label": "depth and coverage", - "guidelines": [ - { - "prose": "depth and coverage of testing/evaluation is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "sa-11" - } - ], - "links": [ - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "rel": "reference" - }, - { - "href": "#708b94e1-3d5e-4b22-ab43-1c69f3a97e37", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement a plan for ongoing security and privacy control assessments;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during testing and evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches.\n\nDevelopers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11b.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11d.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11e.", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security and privacy testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsecurity and privacy architecture\n\nsystem design documentation\n\nsystem developer security and privacy assessment plans\n\nresults of developer security and privacy assessments for the system, system component, or system service\n\nsecurity and privacy flaw and remediation tracking records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security and privacy testing responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation" - } - ] - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(01)" - }, - { - "name": "sort-id", - "value": "sa-11.01" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsecurity and privacy architecture\n\nsystem design documentation\n\nsystem developer security and privacy assessment plans\n\nresults of system developer security and privacy assessments\n\nsecurity flaw and remediation tracking records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security and privacy testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\n\nstatic code analysis tools" - } - ] - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analyses", - "params": [ - { - "id": "sa-11.2_prm_3", - "props": [ - { - "name": "aggregates", - "value": "sa-11.02_odp.03" - } - ], - "label": "organization-defined breadth and depth of modeling and analyses" - }, - { - "id": "sa-11.2_prm_4", - "props": [ - { - "name": "aggregates", - "value": "sa-11.02_odp.05" - } - ], - "label": "organization-defined acceptance criteria" - }, - { - "id": "sa-11.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.2_prm_1" - }, - { - "name": "label", - "value": "SA-11(02)_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.2_prm_2" - }, - { - "name": "label", - "value": "SA-11(02)_ODP[02]" - } - ], - "label": "tools and methods", - "guidelines": [ - { - "prose": "the tools and methods to be employed for threat modeling and vulnerability analyses are defined;" - } - ] - }, - { - "id": "sa-11.02_odp.03", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[03]" - } - ], - "label": "breadth and depth", - "guidelines": [ - { - "prose": "the breadth and depth of threat modeling to be conducted is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.04", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[04]" - } - ], - "label": "breadth and depth", - "guidelines": [ - { - "prose": "the breadth and depth of vulnerability analyses to be conducted is defined;" - } - ] - }, - { - "id": "sa-11.02_odp.05", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[05]" - } - ], - "label": "acceptance criteria", - "guidelines": [ - { - "prose": "acceptance criteria to be met by produced evidence for threat modeling are defined;" - } - ] - }, - { - "id": "sa-11.02_odp.06", - "props": [ - { - "name": "label", - "value": "SA-11(02)_ODP[06]" - } - ], - "label": "acceptance criteria", - "guidelines": [ - { - "prose": "acceptance criteria to be met by produced evidence for vulnerability analyses are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(02)" - }, - { - "name": "sort-id", - "value": "sa-11.02" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:", - "parts": [ - { - "id": "sa-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Uses the following contextual information: {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "id": "sa-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs the following tools and methods: {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "id": "sa-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }} ; and" - }, - { - "id": "sa-11.2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}." - } - ] - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(b)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling at {{ insert: param, sa-11.02_odp.03 }} during development of the system, component, or service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at {{ insert: param, sa-11.02_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(02)(d)[04]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the system, system component, or system service\n\nvulnerability scanning results\n\nsystem risk assessment reports\n\nthreat and vulnerability analysis reports\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.3", - "class": "SP800-53-enhancement", - "title": "Independent Verification of Assessment Plans and Evidence", - "params": [ - { - "id": "sa-11.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.3_prm_1" - }, - { - "name": "label", - "value": "SA-11(03)_ODP" - } - ], - "label": "independence criteria", - "guidelines": [ - { - "prose": "independence criteria to be satisfied by an independent agent are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(03)" - }, - { - "name": "sort-id", - "value": "sa-11.03" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-11.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require an independent agent satisfying {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and" - }, - { - "id": "sa-11.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "id": "sa-11.3_gdn", - "name": "guidance", - "prose": "Independent agents have the qualifications—including the expertise, skills, training, certifications, and experience—to verify the correct implementation of developer security and privacy assessment plans." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer security assessment plan and the evidence produced during testing and evaluation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "an independent agent is required to satisfy {{ insert: param, sa-11.03_odp }} to verify the correct implementation of the developer privacy assessment plan and the evidence produced during testing and evaluation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nindependent verification and validation reports\n\nsecurity and privacy assessment plans\n\nresults of security and privacy assessments for the system, system component, or system service\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.4", - "class": "SP800-53-enhancement", - "title": "Manual Code Reviews", - "params": [ - { - "id": "sa-11.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.4_prm_1" - }, - { - "name": "label", - "value": "SA-11(04)_ODP[01]" - } - ], - "label": "specific code", - "guidelines": [ - { - "prose": "specific code requiring manual code review is defined;" - } - ] - }, - { - "id": "sa-11.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-11.4_prm_2" - }, - { - "name": "label", - "value": "SA-11(04)_ODP[02]" - } - ], - "label": "processes, procedures, and/or techniques", - "guidelines": [ - { - "prose": "processes, procedures, and/or techniques used for manual code reviews are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(04)" - }, - { - "name": "sort-id", - "value": "sa-11.04" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using the following processes, procedures, and/or techniques: {{ insert: param, sa-11.04_odp.02 }}." - }, - { - "id": "sa-11.4_gdn", - "name": "guidance", - "prose": "Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective at identifying weaknesses that require knowledge of the application’s requirements or context that, in most cases, is unavailable to automated analytic tools and techniques, such as static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(04)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a manual code review of {{ insert: param, sa-11.04_odp.01 }} using {{ insert: param, sa-11.04_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocesses, procedures, and/or techniques for performing manual code reviews\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nlist of code requiring manual reviews\n\nrecords of manual code reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.5", - "class": "SP800-53-enhancement", - "title": "Penetration Testing", - "params": [ - { - "id": "sa-11.5_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-11.05_odp.01" - } - ], - "label": "organization-defined breadth and depth of testing" - }, - { - "id": "sa-11.5_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-11.05_odp.03" - } - ], - "label": "organization-defined constraints" - }, - { - "id": "sa-11.05_odp.01", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[01]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of penetration testing is defined;" - } - ] - }, - { - "id": "sa-11.05_odp.02", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[02]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of penetration testing is defined;" - } - ] - }, - { - "id": "sa-11.05_odp.03", - "props": [ - { - "name": "label", - "value": "SA-11(05)_ODP[03]" - } - ], - "label": "constraints", - "guidelines": [ - { - "prose": "constraints of penetration testing are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(05)" - }, - { - "name": "sort-id", - "value": "sa-11.05" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform penetration testing:", - "parts": [ - { - "id": "sa-11.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-11.5_prm_1 }} ; and" - }, - { - "id": "sa-11.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Under the following constraints: {{ insert: param, sa-11.5_prm_2 }}." - } - ] - }, - { - "id": "sa-11.5_gdn", - "name": "guidance", - "prose": "Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent the implemented security and privacy features of information technology products and systems. Useful information for assessors who conduct penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black-box testing with analyses performed by skilled professionals who simulate adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components, and services that result from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide a greater level of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing at the following level of rigor: {{ insert: param, sa-11.05_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform penetration testing under {{ insert: param, sa-11.05_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer penetration testing and evaluation plans\n\nsystem developer penetration testing and evaluation results\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security and privacy assessments\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security and privacy assessments" - } - ] - } - ] - }, - { - "id": "sa-11.6", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reviews", - "props": [ - { - "name": "label", - "value": "SA-11(06)" - }, - { - "name": "sort-id", - "value": "sa-11.06" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform attack surface reviews." - }, - { - "id": "sa-11.6_gdn", - "name": "guidance", - "prose": "Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. The correction of identified flaws includes deprecation of unsafe functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform attack surface reviews." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nrecords of attack surface reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.7", - "class": "SP800-53-enhancement", - "title": "Verify Scope of Testing and Evaluation", - "params": [ - { - "id": "sa-11.7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-11.07_odp.01" - } - ], - "label": "organization-defined breadth and depth of testing and evaluation" - }, - { - "id": "sa-11.07_odp.01", - "props": [ - { - "name": "label", - "value": "SA-11(07)_ODP[01]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of testing and evaluation of required controls is defined;" - } - ] - }, - { - "id": "sa-11.07_odp.02", - "props": [ - { - "name": "label", - "value": "SA-11(07)_ODP[02]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of testing and evaluation of required controls is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(07)" - }, - { - "name": "sort-id", - "value": "sa-11.07" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - }, - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - }, - { - "id": "sa-11.7_gdn", - "name": "guidance", - "prose": "Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance that corresponds to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be achieved using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to verify that the scope of testing and evaluation provides complete coverage of the required controls at {{ insert: param, sa-11.07_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security testing and evaluation plans\n\nsystem developer security testing and evaluation results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers\n\nindependent verification agent" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(08)" - }, - { - "name": "sort-id", - "value": "sa-11.08" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides runtime verification of software programs using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs runtime tools to ensure that security functionality performs in the way it was designed. A type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies are derived from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and the assurance provided, organizations may also consider conducting code coverage analysis (i.e., checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (i.e., checking for words that are out of place in software code, such as non-English language words or derogatory terms)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ dynamic code analysis tools to identify common flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.9", - "class": "SP800-53-enhancement", - "title": "Interactive Application Security Testing", - "props": [ - { - "name": "label", - "value": "SA-11(09)" - }, - { - "name": "sort-id", - "value": "sa-11.09" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-11.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results." - }, - { - "id": "sa-11.9_gdn", - "name": "guidance", - "prose": "Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to directly measure control effectiveness. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to employ interactive application security testing tools to identify flaws;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-11(09)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to document the results of flaw identification." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing interactive application security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-11(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for interactive application security testing\n\nautomated mechanisms supporting and/or implementing the interactive application security testing" - } - ] - } - ] - } - ] - }, - { - "id": "sa-12", - "class": "SP800-53", - "title": "Supply Chain Protection", - "props": [ - { - "name": "label", - "value": "SA-12" - }, - { - "name": "sort-id", - "value": "sa-12" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-12.1", - "class": "SP800-53-enhancement", - "title": "Acquisition Strategies / Tools / Methods", - "props": [ - { - "name": "label", - "value": "SA-12(01)" - }, - { - "name": "sort-id", - "value": "sa-12.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.2", - "class": "SP800-53-enhancement", - "title": "Supplier Reviews", - "props": [ - { - "name": "label", - "value": "SA-12(02)" - }, - { - "name": "sort-id", - "value": "sa-12.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.3", - "class": "SP800-53-enhancement", - "title": "Trusted Shipping and Warehousing", - "props": [ - { - "name": "label", - "value": "SA-12(03)" - }, - { - "name": "sort-id", - "value": "sa-12.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.4", - "class": "SP800-53-enhancement", - "title": "Diversity of Suppliers", - "props": [ - { - "name": "label", - "value": "SA-12(04)" - }, - { - "name": "sort-id", - "value": "sa-12.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.5", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "props": [ - { - "name": "label", - "value": "SA-12(05)" - }, - { - "name": "sort-id", - "value": "sa-12.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.6", - "class": "SP800-53-enhancement", - "title": "Minimizing Procurement Time", - "props": [ - { - "name": "label", - "value": "SA-12(06)" - }, - { - "name": "sort-id", - "value": "sa-12.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.7", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection / Acceptance / Update", - "props": [ - { - "name": "label", - "value": "SA-12(07)" - }, - { - "name": "sort-id", - "value": "sa-12.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-5.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.8", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "SA-12(08)" - }, - { - "name": "sort-id", - "value": "sa-12.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.9", - "class": "SP800-53-enhancement", - "title": "Operations Security", - "props": [ - { - "name": "label", - "value": "SA-12(09)" - }, - { - "name": "sort-id", - "value": "sa-12.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-7", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.10", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "props": [ - { - "name": "label", - "value": "SA-12(10)" - }, - { - "name": "sort-id", - "value": "sa-12.10" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-4.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.11", - "class": "SP800-53-enhancement", - "title": "Penetration Testing / Analysis of Elements, Processes, and Actors", - "props": [ - { - "name": "label", - "value": "SA-12(11)" - }, - { - "name": "sort-id", - "value": "sa-12.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-6.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.12", - "class": "SP800-53-enhancement", - "title": "Inter-organizational Agreements", - "props": [ - { - "name": "label", - "value": "SA-12(12)" - }, - { - "name": "sort-id", - "value": "sa-12.12" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.13", - "class": "SP800-53-enhancement", - "title": "Critical Information System Components", - "props": [ - { - "name": "label", - "value": "SA-12(13)" - }, - { - "name": "sort-id", - "value": "sa-12.13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "incorporated-into" - }, - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.14", - "class": "SP800-53-enhancement", - "title": "Identity and Traceability", - "props": [ - { - "name": "label", - "value": "SA-12(14)" - }, - { - "name": "sort-id", - "value": "sa-12.14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-4.1", - "rel": "incorporated-into" - }, - { - "href": "#sr-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.15", - "class": "SP800-53-enhancement", - "title": "Processes to Address Weaknesses or Deficiencies", - "props": [ - { - "name": "label", - "value": "SA-12(15)" - }, - { - "name": "sort-id", - "value": "sa-12.15" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-13", - "class": "SP800-53", - "title": "Trustworthiness", - "props": [ - { - "name": "label", - "value": "SA-13" - }, - { - "name": "sort-id", - "value": "sa-13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-14", - "class": "SP800-53", - "title": "Criticality Analysis", - "props": [ - { - "name": "label", - "value": "SA-14" - }, - { - "name": "sort-id", - "value": "sa-14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-14.1", - "class": "SP800-53-enhancement", - "title": "Critical Components with No Viable Alternative Sourcing", - "props": [ - { - "name": "label", - "value": "SA-14(01)" - }, - { - "name": "sort-id", - "value": "sa-14.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-20", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-15", - "class": "SP800-53", - "title": "Development Process, Standards, and Tools", - "params": [ - { - "id": "sa-15_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-15_odp.02" - } - ], - "label": "organization-defined security and privacy requirements" - }, - { - "id": "sa-15_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15_prm_1" - }, - { - "name": "label", - "value": "SA-15_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined;" - } - ] - }, - { - "id": "sa-15_odp.02", - "props": [ - { - "name": "label", - "value": "SA-15_ODP[02]" - } - ], - "label": "security requirements", - "guidelines": [ - { - "prose": "security requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;" - } - ] - }, - { - "id": "sa-15_odp.03", - "props": [ - { - "name": "label", - "value": "SA-15_ODP[03]" - } - ], - "label": "privacy requirements", - "guidelines": [ - { - "prose": "privacy requirements to be satisfied by the process, standards, tools, tool options, and tool configurations are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15" - }, - { - "name": "sort-id", - "value": "sa-15" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15_smt", - "name": "statement", - "parts": [ - { - "id": "sa-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require the developer of the system, system component, or system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Explicitly addresses security and privacy requirements;" - }, - { - "id": "sa-15_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "03." - } - ], - "prose": "Documents the specific tool options and tool configurations used in the development process; and" - }, - { - "id": "sa-15_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "04." - } - ], - "prose": "Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and" - } - ] - }, - { - "id": "sa-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_odp.01 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}." - } - ] - }, - { - "id": "sa-15_gdn", - "name": "guidance", - "prose": "Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.03[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15a.04", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security and privacy requirements during the development process\n\nsolicitation documentation\n\nacquisition documentation\n\ncritical component inventory documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem developer documentation listing tool options/configuration guides\n\nconfiguration management policy\n\nconfiguration management records\n\ndocumentation of development process reviews using maturity models\n\nchange control records\n\nconfiguration control records\n\ndocumented reviews of the development process, standards, tools, and tool options/configurations\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ], - "controls": [ - { - "id": "sa-15.1", - "class": "SP800-53-enhancement", - "title": "Quality Metrics", - "params": [ - { - "id": "sa-15.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_1" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-15.01_odp.02 }} ", - " {{ insert: param, sa-15.01_odp.03 }} ", - "upon delivery" - ] - } - }, - { - "id": "sa-15.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_2" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to provide evidence of meeting the quality metrics is defined (if selected);" - } - ] - }, - { - "id": "sa-15.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.1_prm_3" - }, - { - "name": "label", - "value": "SA-15(01)_ODP[03]" - } - ], - "label": "program review", - "guidelines": [ - { - "prose": "program review milestones are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(01)" - }, - { - "name": "sort-id", - "value": "sa-15.01" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-15.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define quality metrics at the beginning of the development process; and" - }, - { - "id": "sa-15.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}." - } - ] - }, - { - "id": "sa-15.1_gdn", - "name": "guidance", - "prose": "Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards that represent the satisfactory execution of specific phases of the system development project. For example, a quality gate may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. Metrics can include defining the severity thresholds of vulnerabilities in accordance with organizational risk tolerance, such as requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of medium or high." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define quality metrics at the beginning of the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide evidence of meeting the quality metrics {{ insert: param, sa-15.01_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of quality metrics\n\ndocumentation evidence of meeting quality metrics\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-15.2", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Tracking Tools", - "props": [ - { - "name": "label", - "value": "SA-15(02)" - }, - { - "name": "sort-id", - "value": "sa-15.02" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process." - }, - { - "id": "sa-15.2_gdn", - "name": "guidance", - "prose": "System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to select and employ security tracking tools for use during the development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to select and employ privacy tracking tools for use during the development process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ndocumentation of the selection of security and privacy tracking tools\n\nevidence of employing security and privacy tracking tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.3", - "class": "SP800-53-enhancement", - "title": "Criticality Analysis", - "params": [ - { - "id": "sa-15.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-15.03_odp.01" - } - ], - "label": "organization-defined decision points in the system development life cycle" - }, - { - "id": "sa-15.3_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sa-15.03_odp.02" - } - ], - "label": "organization-defined breadth and depth of criticality analysis" - }, - { - "id": "sa-15.03_odp.01", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[01]" - } - ], - "label": "decision points", - "guidelines": [ - { - "prose": "decision points in the system development life cycle are defined;" - } - ] - }, - { - "id": "sa-15.03_odp.02", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[02]" - } - ], - "label": "breadth", - "guidelines": [ - { - "prose": "the breadth of criticality analysis is defined;" - } - ] - }, - { - "id": "sa-15.03_odp.03", - "props": [ - { - "name": "label", - "value": "SA-15(03)_ODP[03]" - } - ], - "label": "depth", - "guidelines": [ - { - "prose": "the depth of criticality analysis is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(03)" - }, - { - "name": "sort-id", - "value": "sa-15.03" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a criticality analysis:", - "parts": [ - { - "id": "sa-15.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following decision points in the system development life cycle: {{ insert: param, sa-15.3_prm_1 }} ; and" - }, - { - "id": "sa-15.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}." - } - ] - }, - { - "id": "sa-15.3_gdn", - "name": "guidance", - "prose": "Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at {{ insert: param, sa-15.03_odp.01 }} in the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(03)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.03 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing criticality analysis requirements for the system, system component, or system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ncriticality analysis documentation\n\nbusiness impact analysis documentation\n\nsoftware development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for performing criticality analysis\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for performing criticality analysis\n\nautomated mechanisms supporting and/or implementing criticality analysis" - } - ] - } - ] - }, - { - "id": "sa-15.4", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analysis", - "props": [ - { - "name": "label", - "value": "SA-15(04)" - }, - { - "name": "sort-id", - "value": "sa-15.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-11.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.5", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reduction", - "params": [ - { - "id": "sa-15.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.5_prm_1" - }, - { - "name": "label", - "value": "SA-15(05)_ODP" - } - ], - "label": "thresholds", - "guidelines": [ - { - "prose": "thresholds to which attack surfaces are to be reduced are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(05)" - }, - { - "name": "sort-id", - "value": "sa-15.05" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}." - }, - { - "id": "sa-15.5_gdn", - "name": "guidance", - "prose": "Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses, applying the principles of least privilege and least functionality, applying secure software development practices, deprecating unsafe functions, reducing entry points available to unauthorized users, reducing the amount of code that executes, and eliminating application programming interfaces (APIs) that are vulnerable to attacks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(05)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to reduce attack surfaces to {{ insert: param, sa-15.05_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing attack surface reduction\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system or system service\n\nsystem design documentation\n\nnetwork diagram\n\nsystem configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces\n\nlist of restricted ports, protocols, functions, and services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for attack surface reduction thresholds\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining attack surface reduction thresholds" - } - ] - } - ] - }, - { - "id": "sa-15.6", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "SA-15(06)" - }, - { - "name": "sort-id", - "value": "sa-15.06" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process." - }, - { - "id": "sa-15.6_gdn", - "name": "guidance", - "prose": "Developers of systems, system components, and system services consider the effectiveness and efficiency of their development processes for meeting quality objectives and addressing the security and privacy capabilities in current threat environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement an explicit process to continuously improve the development process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nquality goals and metrics for improving the system development process\n\nsecurity assessments\n\nquality control reviews of system development process\n\nplans of action and milestones for improving the system development process\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-15.7", - "class": "SP800-53-enhancement", - "title": "Automated Vulnerability Analysis", - "params": [ - { - "id": "sa-15.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_1" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to conduct vulnerability analysis is defined;" - } - ] - }, - { - "id": "sa-15.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_2" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[02]" - } - ], - "label": "tools", - "guidelines": [ - { - "prose": "tools used to perform automated vulnerability analysis are defined;" - } - ] - }, - { - "id": "sa-15.07_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-15.7_prm_3" - }, - { - "name": "label", - "value": "SA-15(07)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the outputs of tools and results of the analysis are to be delivered is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(07)" - }, - { - "name": "sort-id", - "value": "sa-15.07" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service {{ insert: param, sa-15.07_odp.01 }} to:", - "parts": [ - { - "id": "sa-15.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Perform an automated vulnerability analysis using {{ insert: param, sa-15.07_odp.02 }};" - }, - { - "id": "sa-15.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Determine the exploitation potential for discovered vulnerabilities;" - }, - { - "id": "sa-15.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Determine potential risk mitigations for delivered vulnerabilities; and" - }, - { - "id": "sa-15.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Deliver the outputs of the tools and results of the analysis to {{ insert: param, sa-15.07_odp.03 }}." - } - ] - }, - { - "id": "sa-15.7_gdn", - "name": "guidance", - "prose": "Automated tools can be more effective at analyzing exploitable weaknesses or deficiencies in large and complex systems, prioritizing vulnerabilities by severity, and providing recommendations for risk mitigations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to perform automated vulnerability analysis {{ insert: param, sa-15.07_odp.01 }} using {{ insert: param, sa-15.07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to determine the exploitation potential for discovered vulnerabilities {{ insert: param, sa-15.07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to determine potential risk mitigations {{ insert: param, sa-15.07_odp.01 }} for delivered vulnerabilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(07)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to deliver the outputs of the tools and results of the analysis {{ insert: param, sa-15.07_odp.01 }} to {{ insert: param, sa-15.07_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nvulnerability analysis tools and associated documentation\n\nrisk assessment reports\n\nvulnerability analysis results\n\nvulnerability mitigation reports\n\nrisk mitigation strategy documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel performing automated vulnerability analysis on the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability analysis of systems, system components, or system services under development\n\nautomated mechanisms supporting and/or implementing vulnerability analysis of systems, system components, or system services under development" - } - ] - } - ] - }, - { - "id": "sa-15.8", - "class": "SP800-53-enhancement", - "title": "Reuse of Threat and Vulnerability Information", - "props": [ - { - "name": "label", - "value": "SA-15(08)" - }, - { - "name": "sort-id", - "value": "sa-15.08" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-15.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process." - }, - { - "id": "sa-15.8_gdn", - "name": "guidance", - "prose": "Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to use threat modeling from similar systems, components, or services to inform the current development process;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to use vulnerability analyses from similar systems, components, or services to inform the current development process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsupply chain risk management plan\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nthreat modeling and vulnerability analyses from similar systems, system components, or system services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.9", - "class": "SP800-53-enhancement", - "title": "Use of Live Data", - "props": [ - { - "name": "label", - "value": "SA-15(09)" - }, - { - "name": "sort-id", - "value": "sa-15.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.10", - "class": "SP800-53-enhancement", - "title": "Incident Response Plan", - "props": [ - { - "name": "label", - "value": "SA-15(10)" - }, - { - "name": "sort-id", - "value": "sa-15.10" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan." - }, - { - "id": "sa-15.10_gdn", - "name": "guidance", - "prose": "The incident response plan provided by developers may provide information not readily available to organizations and be incorporated into organizational incident response plans. Developer information may also be extremely helpful, such as when organizations respond to vulnerabilities in commercial off-the-shelf products." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide an incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to implement an incident response plan;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(10)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to test an incident response plan." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing incident response, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system components or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice level agreements\n\ndeveloper incident response plan\n\nsystem security plan\n\nprivacy plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.11", - "class": "SP800-53-enhancement", - "title": "Archive System or Component", - "props": [ - { - "name": "label", - "value": "SA-15(11)" - }, - { - "name": "sort-id", - "value": "sa-15.11" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.11_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "id": "sa-15.11_gdn", - "name": "guidance", - "prose": "Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(11)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system or system component is required to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system or system component\n\nevidence of archived system or component\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sa-15.12", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "SA-15(12)" - }, - { - "name": "sort-id", - "value": "sa-15.12" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.12_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments." - }, - { - "id": "sa-15.12_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual’s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-15(12)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system or system component is required to minimize the use of personally identifiable information in development and test environments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the development process\n\nprocedures addressing the minimization of personally identifiable information in testing, training, and research\n\npersonally identifiable information processing policy\n\nprocedures addressing the authority to test with personally identifiable information\n\nstandards and tools\n\nsolicitation documentation\n\nservice level agreements\n\nacquisition contracts for the system or services\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-15(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the minimization of personally identifiable information in development and test environments\n\nautomated mechanisms to facilitate minimization of personally identifiable information in development and test environments" - } - ] - } - ] - } - ] - }, - { - "id": "sa-16", - "class": "SP800-53", - "title": "Developer-provided Training", - "params": [ - { - "id": "sa-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-16_odp" - } - ], - "label": "organization-defined training" - }, - { - "id": "sa-16_odp", - "props": [ - { - "name": "label", - "value": "SA-16_ODP" - } - ], - "label": "training", - "guidelines": [ - { - "prose": "training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms provided by the developer of the system, system component, or system service is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-16" - }, - { - "name": "sort-id", - "value": "sa-16" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-16_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - }, - { - "id": "sa-16_gdn", - "name": "guidance", - "prose": "Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-16", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide {{ insert: param, sa-16_odp }} on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing developer-provided training\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\norganizational security and privacy training policy\n\ndeveloper-provided training materials\n\ntraining records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\nexternal or internal (in-house) developers with training responsibilities for the system, system component, or information system service" - } - ] - } - ] - }, - { - "id": "sa-17", - "class": "SP800-53", - "title": "Developer Security and Privacy Architecture and Design", - "props": [ - { - "name": "label", - "value": "SA-17" - }, - { - "name": "sort-id", - "value": "sa-17" - } - ], - "links": [ - { - "href": "#87087451-2af5-43d4-88c1-d66ad850f614", - "rel": "reference" - }, - { - "href": "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:", - "parts": [ - { - "id": "sa-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture;" - }, - { - "id": "sa-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and" - }, - { - "id": "sa-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection." - } - ] - }, - { - "id": "sa-17_gdn", - "name": "guidance", - "prose": "Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, [PL-8](#pl-8) is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and [PL-8](#pl-8) is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization’s security architecture, which is an integral part the organization’s enterprise architecture;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization’s privacy architecture, which is an integral part the organization’s enterprise architecture;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nenterprise architecture policy\n\nenterprise architecture documentation\n\nprocedures addressing developer security and privacy architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ], - "controls": [ - { - "id": "sa-17.1", - "class": "SP800-53-enhancement", - "title": "Formal Policy Model", - "params": [ - { - "id": "sa-17.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sa-17.01_odp.01" - } - ], - "label": "organization-defined elements of organizational security and privacy policy" - }, - { - "id": "sa-17.01_odp.01", - "props": [ - { - "name": "label", - "value": "SA-17(01)_ODP[01]" - } - ], - "label": "organizational security policy", - "guidelines": [ - { - "prose": "organizational security policy to be enforced is defined;" - } - ] - }, - { - "id": "sa-17.01_odp.02", - "props": [ - { - "name": "label", - "value": "SA-17(01)_ODP[02]" - } - ], - "label": "organizational privacy policy", - "guidelines": [ - { - "prose": "organizational privacy policy to be enforced is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(01)" - }, - { - "name": "sort-id", - "value": "sa-17.01" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal policy model describing the {{ insert: param, sa-17.1_prm_1 }} to be enforced; and" - }, - { - "id": "sa-17.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security and privacy policy when implemented." - } - ] - }, - { - "id": "sa-17.1_gdn", - "name": "guidance", - "prose": "Formal models describe specific behaviors or security and privacy policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the behaviors or policies of interest, such as nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.01 }} to be enforced;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal policy model describing the {{ insert: param, sa-17.01_odp.02 }} to be enforced;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(01)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational privacy policy when implemented." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nsystem and services acquisition procedures\n\nenterprise architecture policy\n\nenterprise architecture documentation\n\nprocedures addressing developer security and privacy architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-17.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant Components", - "props": [ - { - "name": "label", - "value": "SA-17(02)" - }, - { - "name": "sort-id", - "value": "sa-17.02" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "id": "sa-17.2_gdn", - "name": "guidance", - "prose": "The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant hardware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant software;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to define security-relevant firmware;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of security-relevant hardware, software, and firmware components\n\ndocumented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.3", - "class": "SP800-53-enhancement", - "title": "Formal Correspondence", - "props": [ - { - "name": "label", - "value": "SA-17(03)" - }, - { - "name": "sort-id", - "value": "sa-17.03" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.3_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations on the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show proof that the formal top-level specification is consistent with the formal policy model to the extent feasible with additional informal demonstration as necessary;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via informal demonstration that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(03)(e)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the formal top-level specification but are strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nformal policy model\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nformal top-level specification documentation\n\nsystem security architecture and design documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.4", - "class": "SP800-53-enhancement", - "title": "Informal Correspondence", - "params": [ - { - "id": "sa-17.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.4_prm_1" - }, - { - "name": "label", - "value": "SA-17(04)_ODP" - } - ], - "select": { - "choice": [ - "informal demonstration, convincing argument with formal methods as feasible" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(04)" - }, - { - "name": "sort-id", - "value": "sa-17.04" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.4_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that additional code or implementation detail has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of error messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "as an integral part of the development process, the developer of the system, system component, or system service is required to produce an informal, descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of effects;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via {{ insert: param, sa-17.04_odp }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(c)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show via informal demonstration that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(04)(e)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to describe the security-relevant hardware, software, and firmware mechanisms that are not addressed in the descriptive top-level specification but are strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nformal policy model\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninformal, descriptive top-level specification documentation\n\nsystem security architecture and design documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing security-relevant hardware, software, and firmware mechanisms not addressed in the informal, descriptive top-level specification documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.5", - "class": "SP800-53-enhancement", - "title": "Conceptually Simple Design", - "props": [ - { - "name": "label", - "value": "SA-17(05)" - }, - { - "name": "sort-id", - "value": "sa-17.05" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and" - }, - { - "id": "sa-17.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "id": "sa-17.5_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible (see [SA-8(7)](#sa-8.7) ). A small and simple design is easier to understand and analyze and is also less prone to error (see [AC-25](#ac-25), [SA-8(13)](#sa-8.13) ). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain. That is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(05)(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.6", - "class": "SP800-53-enhancement", - "title": "Structure for Testing", - "props": [ - { - "name": "label", - "value": "SA-17(06)" - }, - { - "name": "sort-id", - "value": "sa-17.06" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "id": "sa-17.6_gdn", - "name": "guidance", - "prose": "Applying the security design principles in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(06)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nprivacy architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate testing\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with information security and privacy architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.7", - "class": "SP800-53-enhancement", - "title": "Structure for Least Privilege", - "props": [ - { - "name": "label", - "value": "SA-17(07)" - }, - { - "name": "sort-id", - "value": "sa-17.07" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "id": "sa-17.7_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions but no more (see [SA-8(14)](#sa-8.14) ). Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who only has a need to view the audit data that has been collected but no need to perform operations on that data.\n\nIn addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and the access modes to the elements (e.g., read, write) are minimal." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(07)", - "class": "sp800-53A" - } - ], - "prose": "the developer of the system, system component, or system service is required to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specifications for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing the design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture and design responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.8", - "class": "SP800-53-enhancement", - "title": "Orchestration", - "params": [ - { - "id": "sa-17.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.8_prm_1" - }, - { - "name": "label", - "value": "SA-17(08)_ODP[01]" - } - ], - "label": "critical systems", - "guidelines": [ - { - "prose": "critical systems or system components are defined;" - } - ] - }, - { - "id": "sa-17.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.8_prm_2" - }, - { - "name": "label", - "value": "SA-17(08)_ODP[02]" - } - ], - "label": "capabilities", - "guidelines": [ - { - "prose": "capabilities to be implemented by systems or components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(08)" - }, - { - "name": "sort-id", - "value": "sa-17.08" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-17.8_smt", - "name": "statement", - "prose": "Design {{ insert: param, sa-17.08_odp.01 }} with coordinated behavior to implement the following capabilities: {{ insert: param, sa-17.08_odp.02 }}." - }, - { - "id": "sa-17.8_gdn", - "name": "guidance", - "prose": "Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-17.08_odp.01 }} are designed with coordinated behavior to implement {{ insert: param, sa-17.08_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security and privacy architecture and design\n\nenterprise architecture\n\nsecurity architecture\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing design orchestration\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture responsibilities" - } - ] - } - ] - }, - { - "id": "sa-17.9", - "class": "SP800-53-enhancement", - "title": "Design Diversity", - "params": [ - { - "id": "sa-17.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-17.9_prm_1" - }, - { - "name": "label", - "value": "SA-17(09)_ODP" - } - ], - "label": "critical systems", - "guidelines": [ - { - "prose": "critical systems or system components to be designed differently are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(09)" - }, - { - "name": "sort-id", - "value": "sa-17.09" - } - ], - "links": [ - { - "href": "#sa-17", - "rel": "required" - } - ], - "parts": [ - { - "id": "sa-17.9_smt", - "name": "statement", - "prose": "Use different designs for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "id": "sa-17.9_gdn", - "name": "guidance", - "prose": "Design diversity is achieved by supplying the same requirements specification to multiple developers, each of whom is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task and how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what information to convert to digital form, transmitting the same information at different times, and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-17(09)", - "class": "sp800-53A" - } - ], - "prose": "different designs are used for {{ insert: param, sa-17.09_odp }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-17(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design diversity for the system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem design documentation\n\nsystem security architecture documentation\n\nsystem configuration settings and associated documentation\n\ndeveloper documentation describing design diversity\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with information security architecture responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "sa-18", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SA-18" - }, - { - "name": "sort-id", - "value": "sa-18" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-18.1", - "class": "SP800-53-enhancement", - "title": "Multiple Phases of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SA-18(01)" - }, - { - "name": "sort-id", - "value": "sa-18.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-18.2", - "class": "SP800-53-enhancement", - "title": "Inspection of Systems or Components", - "props": [ - { - "name": "label", - "value": "SA-18(02)" - }, - { - "name": "sort-id", - "value": "sa-18.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-10", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-19", - "class": "SP800-53", - "title": "Component Authenticity", - "props": [ - { - "name": "label", - "value": "SA-19" - }, - { - "name": "sort-id", - "value": "sa-19" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-19.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "props": [ - { - "name": "label", - "value": "SA-19(01)" - }, - { - "name": "sort-id", - "value": "sa-19.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "props": [ - { - "name": "label", - "value": "SA-19(02)" - }, - { - "name": "sort-id", - "value": "sa-19.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "props": [ - { - "name": "label", - "value": "SA-19(03)" - }, - { - "name": "sort-id", - "value": "sa-19.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-12", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "props": [ - { - "name": "label", - "value": "SA-19(04)" - }, - { - "name": "sort-id", - "value": "sa-19.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-11.3", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-20", - "class": "SP800-53", - "title": "Customized Development of Critical Components", - "params": [ - { - "id": "sa-20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-20_prm_1" - }, - { - "name": "label", - "value": "SA-20_ODP" - } - ], - "label": "critical system", - "guidelines": [ - { - "prose": "critical system components to be reimplemented or custom-developed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-20" - }, - { - "name": "sort-id", - "value": "sa-20" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-20_smt", - "name": "statement", - "prose": "Reimplement or custom develop the following critical system components: {{ insert: param, sa-20_odp }}." - }, - { - "id": "sa-20_gdn", - "name": "guidance", - "prose": "Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components for which there are no viable security controls to adequately mitigate risk. Reimplementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to reimplement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-20", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-20_odp }} are reimplemented or custom-developed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing the customized development of critical system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem development life cycle documentation addressing the custom development of critical system components\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for the reimplementation or customized development of critical system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the reimplementation or customized development of critical system components\n\nautomated mechanisms supporting and/or implementing reimplementation or customized development of critical system components" - } - ] - } - ] - }, - { - "id": "sa-21", - "class": "SP800-53", - "title": "Developer Screening", - "params": [ - { - "id": "sa-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_1" - }, - { - "name": "label", - "value": "SA-21_ODP[01]" - } - ], - "label": "system, systems component, or system service", - "guidelines": [ - { - "prose": "the system, systems component, or system service that the developer has access to is/are defined;" - } - ] - }, - { - "id": "sa-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_2" - }, - { - "name": "label", - "value": "SA-21_ODP[02]" - } - ], - "label": "official government duties", - "guidelines": [ - { - "prose": "official government duties assigned to the developer are defined;" - } - ] - }, - { - "id": "sa-21_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-21_prm_3" - }, - { - "name": "label", - "value": "SA-21_ODP[03]" - } - ], - "label": "additional personnel screening criteria", - "guidelines": [ - { - "prose": "additional personnel screening criteria for the developer are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-21" - }, - { - "name": "sort-id", - "value": "sa-21" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-21_smt", - "name": "statement", - "prose": "Require that the developer of {{ insert: param, sa-21_odp.01 }}:", - "parts": [ - { - "id": "sa-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }} ; and" - }, - { - "id": "sa-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_odp.03 }}." - } - ] - }, - { - "id": "sa-21_gdn", - "name": "guidance", - "prose": "Developer screening is directed at external developers. Internal developer screening is addressed by [PS-3](#ps-3) . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21(a)", - "class": "sp800-53A" - } - ], - "prose": "the developer of {{ insert: param, sa-21_odp.01 }} is required to have appropriate access authorizations as determined by assigned {{ insert: param, sa-21_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-21(b)", - "class": "sp800-53A" - } - ], - "prose": "the developer of {{ insert: param, sa-21_odp.01 }} is required to satisfy {{ insert: param, sa-21_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\npersonnel security policy and procedures\n\nprocedures addressing personnel screening\n\nsystem design documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for developer services\n\nsystem configuration settings and associated documentation\n\nlist of appropriate access authorizations required by the developers of the system\n\npersonnel screening criteria and associated documentation\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for developer screening" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developer screening\n\nautomated mechanisms supporting developer screening" - } - ] - } - ], - "controls": [ - { - "id": "sa-21.1", - "class": "SP800-53-enhancement", - "title": "Validation of Screening", - "props": [ - { - "name": "label", - "value": "SA-21(01)" - }, - { - "name": "sort-id", - "value": "sa-21.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-22", - "class": "SP800-53", - "title": "Unsupported System Components", - "params": [ - { - "id": "sa-22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-22_prm_1" - }, - { - "name": "label", - "value": "SA-22_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "in-house support", - " {{ insert: param, sa-22_odp.02 }} " - ] - } - }, - { - "id": "sa-22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-22_prm_2" - }, - { - "name": "label", - "value": "SA-22_ODP[02]" - } - ], - "label": "support from external providers", - "guidelines": [ - { - "prose": "support from external providers is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-22" - }, - { - "name": "sort-id", - "value": "sa-22" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-22_smt", - "name": "statement", - "parts": [ - { - "id": "sa-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or" - }, - { - "id": "sa-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, sa-22_odp.01 }}." - } - ] - }, - { - "id": "sa-22_gdn", - "name": "guidance", - "prose": "Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\n\nAlternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22(a)", - "class": "sp800-53A" - } - ], - "prose": "system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-22(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-22_odp.01 }} provide options for alternative sources for continued support for unsupported components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing the replacement or continued use of unsupported system components\n\ndocumented evidence of replacing unsupported system components\n\ndocumented approvals (including justification) for the continued use of unsupported system components\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility for the system development life cycle\n\norganizational personnel responsible for component replacement" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for replacing unsupported system components\n\nautomated mechanisms supporting and/or implementing the replacement of unsupported system components" - } - ] - } - ], - "controls": [ - { - "id": "sa-22.1", - "class": "SP800-53-enhancement", - "title": "Alternative Sources for Continued Support", - "props": [ - { - "name": "label", - "value": "SA-22(01)" - }, - { - "name": "sort-id", - "value": "sa-22.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sa-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-23", - "class": "SP800-53", - "title": "Specialization", - "params": [ - { - "id": "sa-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-23_prm_1" - }, - { - "name": "label", - "value": "SA-23_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "design modification", - "augmentation", - "reconfiguration" - ] - } - }, - { - "id": "sa-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sa-23_prm_2" - }, - { - "name": "label", - "value": "SA-23_ODP[02]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components supporting mission-essential services or functions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SA-23" - }, - { - "name": "sort-id", - "value": "sa-23" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sa-23_odp.01 }} on {{ insert: param, sa-23_odp.02 }} supporting mission essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "id": "sa-23_gdn", - "name": "guidance", - "prose": "It is often necessary for a system or system component that supports mission-essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend on the organization-defined resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SA-23", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sa-23_odp.01 }} is employed on {{ insert: param, sa-23_odp.02 }} supporting essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\n\nprocedures addressing design modification, augmentation, or reconfiguration of systems or system components\n\ndocumented evidence of design modification, augmentation, or reconfiguration\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility for security architecture\n\norganizational personnel responsible for configuration management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the modification of design, augmentation, or reconfiguration of systems or system components\n\nautomated mechanisms supporting and/or implementing design modification, augmentation, or reconfiguration of systems or system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sc-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-01_odp.01", - "props": [ - { - "name": "label", - "value": "SC-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and communications protection policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "sc-01_odp.02", - "props": [ - { - "name": "label", - "value": "SC-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and communications protection procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "sc-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_2" - }, - { - "name": "label", - "value": "SC-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business-process-level", - "system-level" - ] - } - }, - { - "id": "sc-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_3" - }, - { - "name": "label", - "value": "SC-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and communications protection policy and procedures is defined;" - } - ] - }, - { - "id": "sc-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_4" - }, - { - "name": "label", - "value": "SC-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and communications protection policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sc-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_5" - }, - { - "name": "label", - "value": "SC-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and communications protection policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sc-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_6" - }, - { - "name": "label", - "value": "SC-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and communications protection procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "sc-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-1_prm_7" - }, - { - "name": "label", - "value": "SC-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and communications protection procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-01" - }, - { - "name": "sort-id", - "value": "sc-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sc-01_odp.03 }} system and communications protection policy that:", - "parts": [ - { - "id": "sc-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sc-01_odp.04 }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and" - }, - { - "id": "sc-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and communications protection:", - "parts": [ - { - "id": "sc-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sc-01_odp.05 }} and following {{ insert: param, sc-01_odp.06 }} ; and" - }, - { - "id": "sc-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sc-01_odp.07 }} and following {{ insert: param, sc-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and communications protection policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and communications protection policy is disseminated to {{ insert: param, sc-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and communications protection procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and communications protection procedures are disseminated to {{ insert: param, sc-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.03 }} system and communications protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and communications protection policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection policy is reviewed and updated {{ insert: param, sc-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection policy is reviewed and updated following {{ insert: param, sc-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection procedures are reviewed and updated {{ insert: param, sc-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and communications protection procedures are reviewed and updated following {{ insert: param, sc-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem and communications protection procedures\n\nsystem security plan\n\nprivacy plan\n\nrisk management strategy documentation\n\naudit findings\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Separation of System and User Functionality", - "props": [ - { - "name": "label", - "value": "SC-02" - }, - { - "name": "sort-id", - "value": "sc-02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "Separate user functionality, including user interface services, from system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02", - "class": "sp800-53A" - } - ], - "prose": "user functionality, including user interface services, are separated from system management functionality." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from system management functionality" - } - ] - } - ], - "controls": [ - { - "id": "sc-2.1", - "class": "SP800-53-enhancement", - "title": "Interfaces for Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SC-02(01)" - }, - { - "name": "sort-id", - "value": "sc-02.01" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2.1_smt", - "name": "statement", - "prose": "Prevent the presentation of system management functionality at interfaces to non-privileged users." - }, - { - "id": "sc-2.1_gdn", - "name": "guidance", - "prose": "Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02(01)", - "class": "sp800-53A" - } - ], - "prose": "the presentation of system management functionality is prevented at interfaces to non-privileged users." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nnon-privileged users of the system\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from system management functionality" - } - ] - } - ] - }, - { - "id": "sc-2.2", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "props": [ - { - "name": "label", - "value": "SC-02(02)" - }, - { - "name": "sort-id", - "value": "sc-02.02" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-2.2_smt", - "name": "statement", - "prose": "Store state information from applications and software separately." - }, - { - "id": "sc-2.2_gdn", - "name": "guidance", - "prose": "If a system is compromised, storing applications and software separately from state information about users’ interactions with an application may better protect individuals’ privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-02(02)", - "class": "sp800-53A" - } - ], - "prose": "state information is stored separately from applications and software." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing application and software partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of application state information from software" - } - ] - } - ] - } - ] - }, - { - "id": "sc-3", - "class": "SP800-53", - "title": "Security Function Isolation", - "props": [ - { - "name": "label", - "value": "SC-03" - }, - { - "name": "sort-id", - "value": "sc-03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-3_smt", - "name": "statement", - "prose": "Isolate security functions from nonsecurity functions." - }, - { - "id": "sc-3_gdn", - "name": "guidance", - "prose": "Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in [SA-8](#sa-8) , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03", - "class": "sp800-53A" - } - ], - "prose": "security functions are isolated from non-security functions." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nlist of security functions to be isolated from non-security functions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of security functions from non-security functions within the system" - } - ] - } - ], - "controls": [ - { - "id": "sc-3.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-03(01)" - }, - { - "name": "sort-id", - "value": "sc-03.01" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.1_smt", - "name": "statement", - "prose": "Employ hardware separation mechanisms to implement security function isolation." - }, - { - "id": "sc-3.1_gdn", - "name": "guidance", - "prose": "Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(01)", - "class": "sp800-53A" - } - ], - "prose": "hardware separation mechanisms are employed to implement security function isolation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nhardware separation mechanisms\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of security functions from non-security functions within the system" - } - ] - } - ] - }, - { - "id": "sc-3.2", - "class": "SP800-53-enhancement", - "title": "Access and Flow Control Functions", - "props": [ - { - "name": "label", - "value": "SC-03(02)" - }, - { - "name": "sort-id", - "value": "sc-03.02" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.2_smt", - "name": "statement", - "prose": "Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions." - }, - { - "id": "sc-3.2_gdn", - "name": "guidance", - "prose": "Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "security functions enforcing access control are isolated from non-security functions;\n\nsecurity functions enforcing access control are isolated from other security functions;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "security functions enforcing information flow control are isolated from non-security functions;\n\nsecurity functions enforcing information flow control are isolated from other security functions." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nlist of critical security functions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Isolation of security functions enforcing access and information flow control" - } - ] - } - ] - }, - { - "id": "sc-3.3", - "class": "SP800-53-enhancement", - "title": "Minimize Nonsecurity Functionality", - "props": [ - { - "name": "label", - "value": "SC-03(03)" - }, - { - "name": "sort-id", - "value": "sc-03.03" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.3_smt", - "name": "statement", - "prose": "Minimize the number of nonsecurity functions included within the isolation boundary containing security functions." - }, - { - "id": "sc-3.3_gdn", - "name": "guidance", - "prose": "Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems that provide information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the number of non-security functions included within the isolation boundary containing security functions is minimized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing an isolation boundary" - } - ] - } - ] - }, - { - "id": "sc-3.4", - "class": "SP800-53-enhancement", - "title": "Module Coupling and Cohesiveness", - "props": [ - { - "name": "label", - "value": "SC-03(04)" - }, - { - "name": "sort-id", - "value": "sc-03.04" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.4_smt", - "name": "statement", - "prose": "Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules." - }, - { - "id": "sc-3.4_gdn", - "name": "guidance", - "prose": "The reduction of inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as largely independent modules that maximize internal cohesiveness within modules;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as largely independent modules that minimize coupling between modules." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules\n\nautomated mechanisms supporting and/or implementing security functions as independent modules" - } - ] - } - ] - }, - { - "id": "sc-3.5", - "class": "SP800-53-enhancement", - "title": "Layered Structures", - "props": [ - { - "name": "label", - "value": "SC-03(05)" - }, - { - "name": "sort-id", - "value": "sc-03.05" - } - ], - "links": [ - { - "href": "#sc-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-3.5_smt", - "name": "statement", - "prose": "Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "id": "sc-3.5_gdn", - "name": "guidance", - "prose": "The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) enables the isolation of security functions and the management of complexity." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-03(05)", - "class": "sp800-53A" - } - ], - "prose": "security functions are implemented as a layered structure, minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-03(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing security function isolation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-03(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-03(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers\n\nautomated mechanisms supporting and/or implementing security functions as a layered structure" - } - ] - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared System Resources", - "props": [ - { - "name": "label", - "value": "SC-04" - }, - { - "name": "sort-id", - "value": "sc-04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "Prevent unauthorized and unintended information transfer via shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04[01]", - "class": "sp800-53A" - } - ], - "prose": "unauthorized information transfer via shared system resources is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04[02]", - "class": "sp800-53A" - } - ], - "prose": "unintended information transfer via shared system resources is prevented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources" - } - ] - } - ], - "controls": [ - { - "id": "sc-4.1", - "class": "SP800-53-enhancement", - "title": "Security Levels", - "props": [ - { - "name": "label", - "value": "SC-04(01)" - }, - { - "name": "sort-id", - "value": "sc-04.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-4.2", - "class": "SP800-53-enhancement", - "title": "Multilevel or Periods Processing", - "params": [ - { - "id": "sc-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-4.2_prm_1" - }, - { - "name": "label", - "value": "SC-04(02)_ODP" - } - ], - "label": "procedures", - "guidelines": [ - { - "prose": "procedures to prevent unauthorized information transfer via shared resources are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-04(02)" - }, - { - "name": "sort-id", - "value": "sc-04.02" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-4.2_smt", - "name": "statement", - "prose": "Prevent unauthorized information transfer via shared resources in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "id": "sc-4.2_gdn", - "name": "guidance", - "prose": "Changes in processing levels can occur during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include approved sanitization processes for electronically stored information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-04(02)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized information transfer via shared resources is prevented in accordance with {{ insert: param, sc-04.02_odp }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized transfer of information via shared system resources" - } - ] - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial-of-service Protection", - "params": [ - { - "id": "sc-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_2" - }, - { - "name": "label", - "value": "SC-05_ODP[01]" - } - ], - "label": "types of denial-of-service events", - "guidelines": [ - { - "prose": "types of denial-of-service events to be protected against or limited are defined;" - } - ] - }, - { - "id": "sc-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_1" - }, - { - "name": "label", - "value": "SC-05_ODP[02]" - } - ], - "select": { - "choice": [ - "protect against", - "limit" - ] - } - }, - { - "id": "sc-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5_prm_3" - }, - { - "name": "label", - "value": "SC-05_ODP[03]" - } - ], - "label": "controls by type of denial-of-service event", - "guidelines": [ - { - "prose": "controls by type of denial-of-service event are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05" - }, - { - "name": "sort-id", - "value": "sc-05" - } - ], - "links": [ - { - "href": "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, sc-05_odp.02 }} the effects of the following types of denial-of-service events: {{ insert: param, sc-05_odp.01 }} ; and" - }, - { - "id": "sc-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to achieve the denial-of-service objective: {{ insert: param, sc-05_odp.03 }}." - } - ] - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05a.", - "class": "sp800-53A" - } - ], - "prose": "the effects of {{ insert: param, sc-05_odp.01 }} are {{ insert: param, sc-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05_odp.03 }} are employed to achieve the denial-of-service protection objective." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nlist of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial-of-service attacks\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial-of-service attacks" - } - ] - } - ], - "controls": [ - { - "id": "sc-5.1", - "class": "SP800-53-enhancement", - "title": "Restrict Ability to Attack Other Systems", - "params": [ - { - "id": "sc-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.1_prm_1" - }, - { - "name": "label", - "value": "SC-05(01)_ODP" - } - ], - "label": "denial-of-service attacks", - "guidelines": [ - { - "prose": "denial-of-service attacks to be restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05(01)" - }, - { - "name": "sort-id", - "value": "sc-05.01" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-5.1_smt", - "name": "statement", - "prose": "Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: {{ insert: param, sc-05.01_odp }}." - }, - { - "id": "sc-5.1_gdn", - "name": "guidance", - "prose": "Restricting the ability of individuals to launch denial-of-service attacks requires the mechanisms commonly used for such attacks to be unavailable. Individuals of concern include hostile insiders or external adversaries who have breached or compromised the system and are using it to launch a denial-of-service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial-of-service attacks may be implemented on specific systems or boundary devices that prohibit egress to potential target systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(01)", - "class": "sp800-53A" - } - ], - "prose": "the ability of individuals to launch {{ insert: param, sc-05.01_odp }} against other systems is restricted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nlist of denial-of-service attacks launched by individuals against systems\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting the ability to launch denial-of-service attacks against other systems" - } - ] - } - ] - }, - { - "id": "sc-5.2", - "class": "SP800-53-enhancement", - "title": "Capacity, Bandwidth, and Redundancy", - "props": [ - { - "name": "label", - "value": "SC-05(02)" - }, - { - "name": "sort-id", - "value": "sc-05.02" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-5.2_smt", - "name": "statement", - "prose": "Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial-of-service attacks." - }, - { - "id": "sc-5.2_gdn", - "name": "guidance", - "prose": "Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(02)", - "class": "sp800-53A" - } - ], - "prose": "capacity, bandwidth, or other redundancies to limit the effects of information flooding denial-of-service attacks are managed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of system bandwidth, capacity, and redundancy to limit the effects of information flooding denial-of-service attacks" - } - ] - } - ] - }, - { - "id": "sc-5.3", - "class": "SP800-53-enhancement", - "title": "Detection and Monitoring", - "params": [ - { - "id": "sc-05.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.3_prm_1" - }, - { - "name": "label", - "value": "SC-05(03)_ODP[01]" - } - ], - "label": "monitoring tools", - "guidelines": [ - { - "prose": "monitoring tools for detecting indicators of denial-of-service attacks are defined;" - } - ] - }, - { - "id": "sc-05.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-5.3_prm_2" - }, - { - "name": "label", - "value": "SC-05(03)_ODP[02]" - } - ], - "label": "system resources", - "guidelines": [ - { - "prose": "system resources to be monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-05(03)" - }, - { - "name": "sort-id", - "value": "sc-05.03" - } - ], - "links": [ - { - "href": "#sc-5", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following monitoring tools to detect indicators of denial-of-service attacks against, or launched from, the system: {{ insert: param, sc-05.03_odp.01 }} ; and" - }, - { - "id": "sc-5.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor the following system resources to determine if sufficient resources exist to prevent effective denial-of-service attacks: {{ insert: param, sc-05.03_odp.02 }}." - } - ] - }, - { - "id": "sc-5.3_gdn", - "name": "guidance", - "prose": "Organizations consider the utilization and capacity of system resources when managing risk associated with a denial of service due to malicious attacks. Denial-of-service attacks can originate from external or internal sources. System resources that are sensitive to denial of service include physical disk storage, memory, and CPU cycles. Techniques used to prevent denial-of-service attacks related to storage utilization and capacity include instituting disk quotas, configuring systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05.03_odp.01 }} are employed to detect indicators of denial-of-service attacks against or launched from the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-05(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-05.03_odp.02 }} are monitored to determine if sufficient resources exist to prevent effective denial-of-service attacks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-05(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing denial-of-service protection\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-05(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with detection and monitoring responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-05(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms/tools implementing system monitoring for denial-of-service attacks" - } - ] - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "params": [ - { - "id": "sc-06_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_1" - }, - { - "name": "label", - "value": "SC-06_ODP[01]" - } - ], - "label": "resources", - "guidelines": [ - { - "prose": "resources to be allocated to protect the availability of resources are defined;" - } - ] - }, - { - "id": "sc-06_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_2" - }, - { - "name": "label", - "value": "SC-06_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "priority", - "quota", - " {{ insert: param, sc-06_odp.03 }} " - ] - } - }, - { - "id": "sc-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-6_prm_3" - }, - { - "name": "label", - "value": "SC-06_ODP[03]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to protect the availability of resources are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-06" - }, - { - "name": "sort-id", - "value": "sc-06" - } - ], - "links": [ - { - "href": "#047b041a-b4b0-4537-ab2d-2b36283eeda0", - "rel": "reference" - }, - { - "href": "#4f42ee6e-86cc-403b-a51f-76c2b4f81b54", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "Protect the availability of resources by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection prevents lower-priority processes from delaying or interfering with the system that services higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-06", - "class": "sp800-53A" - } - ], - "prose": "the availability of resources is protected by allocating {{ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing prioritization of system resources\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing resource allocation capability\n\nsafeguards employed to protect availability of resources" - } - ] - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "params": [ - { - "id": "sc-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7_prm_1" - }, - { - "name": "label", - "value": "SC-07_ODP" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-07" - }, - { - "name": "sort-id", - "value": "sc-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "rel": "reference" - }, - { - "href": "#a7f0e897-29a3-45c4-bd88-40dfef0e034a", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement subnetworks for publicly accessible system components that are {{ insert: param, sc-07_odp }} separated from internal organizational networks; and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "communications at external managed interfaces to the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "communications at external managed interfaces to the system are controlled;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[03]", - "class": "sp800-53A" - } - ], - "prose": "communications at key internal managed interfaces within the system are monitored;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07a.[04]", - "class": "sp800-53A" - } - ], - "prose": "communications at key internal managed interfaces within the system are controlled;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07b.", - "class": "sp800-53A" - } - ], - "prose": "subnetworks for publicly accessible system components are {{ insert: param, sc-07_odp }} separated from internal organizational networks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07c.", - "class": "sp800-53A" - } - ], - "prose": "external networks or systems are only connected through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the system\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem configuration settings and associated documentation\n\nenterprise security architecture documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities" - } - ] - } - ], - "controls": [ - { - "id": "sc-7.1", - "class": "SP800-53-enhancement", - "title": "Physically Separated Subnetworks", - "props": [ - { - "name": "label", - "value": "SC-07(01)" - }, - { - "name": "sort-id", - "value": "sc-07.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.2", - "class": "SP800-53-enhancement", - "title": "Public Access", - "props": [ - { - "name": "label", - "value": "SC-07(02)" - }, - { - "name": "sort-id", - "value": "sc-07.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "props": [ - { - "name": "label", - "value": "SC-07(03)" - }, - { - "name": "sort-id", - "value": "sc-07.03" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "Limit the number of external network connections to the system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(03)", - "class": "sp800-53A" - } - ], - "prose": "the number of external network connections to the system is limited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\ncommunications and network traffic monitoring logs\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms limiting the number of external network connections to the system" - } - ] - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "params": [ - { - "id": "sc-07.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.4_prm_1" - }, - { - "name": "label", - "value": "SC-07(04)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review exceptions to traffic flow policy is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(04)" - }, - { - "name": "sort-id", - "value": "sc-07.04" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protect the confidentiality and integrity of the information being transmitted across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Review exceptions to the traffic flow policy {{ insert: param, sc-07.04_odp }} and remove exceptions that are no longer supported by an explicit mission or business need;" - }, - { - "id": "sc-7.4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Prevent unauthorized exchange of control plane traffic with external networks;" - }, - { - "id": "sc-7.4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and" - }, - { - "id": "sc-7.4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Filter unauthorized control plane traffic from external networks." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "prose": "External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "a managed interface is implemented for each external telecommunication service;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "a traffic flow policy is established for each managed interface;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "the confidentiality of the information being transmitted across each interface is protected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of the information being transmitted across each interface is protected;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(d)", - "class": "sp800-53A" - } - ], - "prose": "each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the traffic flow policy are reviewed {{ insert: param, sc-07.04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(e)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(f)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized exchanges of control plan traffic with external networks are prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(g)", - "class": "sp800-53A" - } - ], - "prose": "information is published to enable remote networks to detect unauthorized control plane traffic from internal networks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(04)(h)", - "class": "sp800-53A" - } - ], - "prose": "unauthorized control plan traffic is filtered from external networks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\ntraffic flow policy\n\ninformation flow control policy\n\nprocedures addressing boundary protection\n\nsystem security architecture\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem architecture and configuration documentation\n\nsystem configuration settings and associated documentation\n\nrecords of traffic flow policy exceptions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for documenting and reviewing exceptions to the traffic flow policy\n\norganizational processes for removing exceptions to the traffic flow policy\n\nautomated mechanisms implementing boundary protection capabilities\n\nmanaged interfaces implementing traffic flow policy" - } - ] - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default — Allow by Exception", - "params": [ - { - "id": "sc-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.5_prm_1" - }, - { - "name": "label", - "value": "SC-07(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at managed interfaces", - "for{{ insert: param, sc-07.05_odp.02 }} " - ] - } - }, - { - "id": "sc-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.5_prm_2" - }, - { - "name": "label", - "value": "SC-07(05)_ODP[02]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which network communications traffic is denied by default and network communications traffic is allowed by exception are defined (if selected)." - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(05)" - }, - { - "name": "sort-id", - "value": "sc-07.05" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-07.05_odp.01 }}." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "network communications traffic is denied by default {{ insert: param, sc-07.05_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "network communications traffic is allowed by exception {{ insert: param, sc-07.05_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.6", - "class": "SP800-53-enhancement", - "title": "Response to Recognized Failures", - "props": [ - { - "name": "label", - "value": "SC-07(06)" - }, - { - "name": "sort-id", - "value": "sc-07.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7.18", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Split Tunneling for Remote Devices", - "params": [ - { - "id": "sc-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.7_prm_1" - }, - { - "name": "label", - "value": "SC-07(07)_ODP" - } - ], - "label": "safeguards", - "guidelines": [ - { - "prose": "safeguards to securely provision split tunneling are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(07)" - }, - { - "name": "sort-id", - "value": "sc-07.07" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(07)", - "class": "sp800-53A" - } - ], - "prose": "split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms supporting/restricting non-remote connections" - } - ] - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "params": [ - { - "id": "sc-07.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.8_prm_1" - }, - { - "name": "label", - "value": "SC-07(08)_ODP[01]" - } - ], - "label": "internal communications traffic", - "guidelines": [ - { - "prose": "internal communications traffic to be routed to external networks is defined;" - } - ] - }, - { - "id": "sc-07.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.8_prm_2" - }, - { - "name": "label", - "value": "SC-07(08)_ODP[02]" - } - ], - "label": "external networks", - "guidelines": [ - { - "prose": "external networks to which internal communications traffic is to be routed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(08)" - }, - { - "name": "sort-id", - "value": "sc-07.08" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "Route {{ insert: param, sc-07.08_odp.01 }} to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for \"man-in-the-middle\" attacks (depending on the implementation)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(08)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.9", - "class": "SP800-53-enhancement", - "title": "Restrict Threatening Outgoing Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-07(09)" - }, - { - "name": "sort-id", - "value": "sc-07.09" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect and deny outgoing communications traffic posing a threat to external systems; and" - }, - { - "id": "sc-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit the identity of internal users associated with denied communications." - } - ] - }, - { - "id": "sc-7.9_gdn", - "name": "guidance", - "prose": "Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out within the system at managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial-of-service attacks, traffic with spoofed source addresses, and traffic that contains malicious code. Organizations have criteria to determine, update, and manage identified threats related to extrusion detection." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "outgoing communications traffic posing a threat to external systems is detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "outgoing communications traffic posing a threat to external systems is denied;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(09)(b)", - "class": "sp800-53A" - } - ], - "prose": "the identity of internal users associated with denied communications is audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\nautomated mechanisms implementing detection and denial of threatening outgoing communications traffic\n\nautomated mechanisms implementing auditing of outgoing communications traffic" - } - ] - } - ] - }, - { - "id": "sc-7.10", - "class": "SP800-53-enhancement", - "title": "Prevent Exfiltration", - "params": [ - { - "id": "sc-07.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.10_prm_1" - }, - { - "name": "label", - "value": "SC-07(10)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency for conducting exfiltration tests is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(10)" - }, - { - "name": "sort-id", - "value": "sc-07.10" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.10_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prevent the exfiltration of information; and" - }, - { - "id": "sc-7.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Conduct exfiltration tests {{ insert: param, sc-07.10_odp }}." - } - ] - }, - { - "id": "sc-7.10_gdn", - "name": "guidance", - "prose": "Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)(a)", - "class": "sp800-53A" - } - ], - "prose": "the exfiltration of information is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(10)(b)", - "class": "sp800-53A" - } - ], - "prose": "exfiltration tests are conducted {{ insert: param, sc-07.10_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities\n\npreventing unauthorized exfiltration of information across managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.11", - "class": "SP800-53-enhancement", - "title": "Restrict Incoming Communications Traffic", - "params": [ - { - "id": "sc-07.11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.11_prm_1" - }, - { - "name": "label", - "value": "SC-07(11)_ODP[01]" - } - ], - "label": "authorized sources", - "guidelines": [ - { - "prose": "authorized sources of incoming communications to be routed are defined;" - } - ] - }, - { - "id": "sc-07.11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.11_prm_2" - }, - { - "name": "label", - "value": "SC-07(11)_ODP[02]" - } - ], - "label": "authorized destinations", - "guidelines": [ - { - "prose": "authorized destinations to which incoming communications from authorized sources may be routed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(11)" - }, - { - "name": "sort-id", - "value": "sc-07.11" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.11_smt", - "name": "statement", - "prose": "Only allow incoming communications from {{ insert: param, sc-07.11_odp.01 }} to be routed to {{ insert: param, sc-07.11_odp.02 }}." - }, - { - "id": "sc-7.11_gdn", - "name": "guidance", - "prose": "General source address validation techniques are applied to restrict the use of illegal and unallocated source addresses as well as source addresses that should only be used within the system. The restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications, the absence of such address pairs in lists of unauthorized or disallowed pairs, or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols, and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(11)", - "class": "sp800-53A" - } - ], - "prose": "only incoming communications from {{ insert: param, sc-07.11_odp.01 }} are allowed to be routed to {{ insert: param, sc-07.11_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs" - } - ] - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "params": [ - { - "id": "sc-07.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.12_prm_1" - }, - { - "name": "label", - "value": "SC-07(12)_ODP[01]" - } - ], - "label": "host-based boundary protection mechanisms", - "guidelines": [ - { - "prose": "host-based boundary protection mechanisms to be implemented are defined;" - } - ] - }, - { - "id": "sc-07.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.12_prm_2" - }, - { - "name": "label", - "value": "SC-07(12)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where host-based boundary protection mechanisms are to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(12)" - }, - { - "name": "sort-id", - "value": "sc-07.12" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-07.12_odp.01 }} at {{ insert: param, sc-07.12_odp.02 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.12_odp.01 }} are implemented {{ insert: param, sc-07.12_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nboundary protection hardware and software\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities\n\nsystem users" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing host-based boundary protection capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools, Mechanisms, and Support Components", - "params": [ - { - "id": "sc-07.13_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.13_prm_1" - }, - { - "name": "label", - "value": "SC-07(13)_ODP" - } - ], - "label": "information security tools, mechanisms, and support components", - "guidelines": [ - { - "prose": "information security tools, mechanisms, and support components to be isolated from other internal system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(13)" - }, - { - "name": "sort-id", - "value": "sc-07.13" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "Isolate {{ insert: param, sc-07.13_odp }} from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(13)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.13_odp }} are isolated from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of security tools and support components to be isolated from other internal system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components" - } - ] - } - ] - }, - { - "id": "sc-7.14", - "class": "SP800-53-enhancement", - "title": "Protect Against Unauthorized Physical Connections", - "params": [ - { - "id": "sc-07.14_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.14_prm_1" - }, - { - "name": "label", - "value": "SC-07(14)_ODP" - } - ], - "label": "managed interfaces", - "guidelines": [ - { - "prose": "managed interfaces used to protect against unauthorized physical connections are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(14)" - }, - { - "name": "sort-id", - "value": "sc-07.14" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.14_smt", - "name": "statement", - "prose": "Protect against unauthorized physical connections at {{ insert: param, sc-07.14_odp }}." - }, - { - "id": "sc-7.14_gdn", - "name": "guidance", - "prose": "Systems that operate at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls that enforce limited authorized access to these items." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(14)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.14_odp }} are protected against unauthorized physical connections." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nfacility communications and wiring diagram system security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection against unauthorized physical connections" - } - ] - } - ] - }, - { - "id": "sc-7.15", - "class": "SP800-53-enhancement", - "title": "Networked Privileged Accesses", - "props": [ - { - "name": "label", - "value": "SC-07(15)" - }, - { - "name": "sort-id", - "value": "sc-07.15" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.15_smt", - "name": "statement", - "prose": "Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing." - }, - { - "id": "sc-7.15_gdn", - "name": "guidance", - "prose": "Privileged access provides greater accessibility to system functions, including security functions. Adversaries attempt to gain privileged access to systems through remote access to cause adverse mission or business impacts, such as by exfiltrating information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface further restricts privileged access for increased access control and auditing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)[01]", - "class": "sp800-53A" - } - ], - "prose": "networked, privileged accesses are routed through a dedicated, managed interface for purposes of access control;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(15)[02]", - "class": "sp800-53A" - } - ], - "prose": "networked, privileged accesses are routed through a dedicated, managed interface for purposes of auditing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\naudit logs\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated, managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.16", - "class": "SP800-53-enhancement", - "title": "Prevent Discovery of System Components", - "props": [ - { - "name": "label", - "value": "SC-07(16)" - }, - { - "name": "sort-id", - "value": "sc-07.16" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.16_smt", - "name": "statement", - "prose": "Prevent the discovery of specific system components that represent a managed interface." - }, - { - "id": "sc-7.16_gdn", - "name": "guidance", - "prose": "Preventing the discovery of system components representing a managed interface helps protect network addresses of those components from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery and require prior knowledge for access. Preventing the discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(16)", - "class": "sp800-53A" - } - ], - "prose": "the discovery of specific system components that represent a managed interface is prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.17", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement of Protocol Formats", - "props": [ - { - "name": "label", - "value": "SC-07(17)" - }, - { - "name": "sort-id", - "value": "sc-07.17" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#sc-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.17_smt", - "name": "statement", - "prose": "Enforce adherence to protocol formats." - }, - { - "id": "sc-7.17_gdn", - "name": "guidance", - "prose": "System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(17)", - "class": "sp800-53A" - } - ], - "prose": "adherence to protocol formats is enforced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats" - } - ] - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "props": [ - { - "name": "label", - "value": "SC-07(18)" - }, - { - "name": "sort-id", - "value": "sc-07.18" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(18)", - "class": "sp800-53A" - } - ], - "prose": "systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - }, - { - "id": "sc-7.19", - "class": "SP800-53-enhancement", - "title": "Block Communication from Non-organizationally Configured Hosts", - "params": [ - { - "id": "sc-07.19_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.19_prm_1" - }, - { - "name": "label", - "value": "SC-07(19)_ODP" - } - ], - "label": "communication clients", - "guidelines": [ - { - "prose": "communication clients that are independently configured by end users and external service providers are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(19)" - }, - { - "name": "sort-id", - "value": "sc-07.19" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.19_smt", - "name": "statement", - "prose": "Block inbound and outbound communications traffic between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers." - }, - { - "id": "sc-7.19_gdn", - "name": "guidance", - "prose": "Communication clients independently configured by end users and external service providers include instant messaging clients and video conferencing software and applications. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)[01]", - "class": "sp800-53A" - } - ], - "prose": "inbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(19)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is blocked between {{ insert: param, sc-07.19_odp }} that are independently configured by end users and external service providers." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of communication clients independently configured by end users and external service providers\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers" - } - ] - } - ] - }, - { - "id": "sc-7.20", - "class": "SP800-53-enhancement", - "title": "Dynamic Isolation and Segregation", - "params": [ - { - "id": "sc-07.20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.20_prm_1" - }, - { - "name": "label", - "value": "SC-07(20)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be dynamically isolated from other system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(20)" - }, - { - "name": "sort-id", - "value": "sc-07.20" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.20_smt", - "name": "statement", - "prose": "Provide the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components." - }, - { - "id": "sc-7.20_gdn", - "name": "guidance", - "prose": "The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(20)", - "class": "sp800-53A" - } - ], - "prose": "the capability to dynamically isolate {{ insert: param, sc-07.20_odp }} from other system components is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of system components to be dynamically isolated/segregated from other components of the system\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate system components" - } - ] - } - ] - }, - { - "id": "sc-7.21", - "class": "SP800-53-enhancement", - "title": "Isolation of System Components", - "params": [ - { - "id": "sc-07.21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.21_prm_1" - }, - { - "name": "label", - "value": "SC-07(21)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be isolated by boundary protection mechanisms are defined;" - } - ] - }, - { - "id": "sc-07.21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.21_prm_2" - }, - { - "name": "label", - "value": "SC-07(21)_ODP[02]" - } - ], - "label": "missions and/or business functions", - "guidelines": [ - { - "prose": "missions and/or business functions to be supported by system components isolated by boundary protection mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(21)" - }, - { - "name": "sort-id", - "value": "sc-07.21" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#ca-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.21_smt", - "name": "statement", - "prose": "Employ boundary protection mechanisms to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}." - }, - { - "id": "sc-7.21_gdn", - "name": "guidance", - "prose": "Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(21)", - "class": "sp800-53A" - } - ], - "prose": "boundary protection mechanisms are employed to isolate {{ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nenterprise architecture documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to separate system components supporting organizational missions and/or business functions" - } - ] - } - ] - }, - { - "id": "sc-7.22", - "class": "SP800-53-enhancement", - "title": "Separate Subnets for Connecting to Different Security Domains", - "props": [ - { - "name": "label", - "value": "SC-07(22)" - }, - { - "name": "sort-id", - "value": "sc-07.22" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.22_smt", - "name": "statement", - "prose": "Implement separate network addresses to connect to systems in different security domains." - }, - { - "id": "sc-7.22_gdn", - "name": "guidance", - "prose": "The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains that contain information with different security categories or classification levels." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(22)", - "class": "sp800-53A" - } - ], - "prose": "separate network addresses are implemented to connect to systems in different security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate network addresses/different subnets" - } - ] - } - ] - }, - { - "id": "sc-7.23", - "class": "SP800-53-enhancement", - "title": "Disable Sender Feedback on Protocol Validation Failure", - "props": [ - { - "name": "label", - "value": "SC-07(23)" - }, - { - "name": "sort-id", - "value": "sc-07.23" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.23_smt", - "name": "statement", - "prose": "Disable feedback to senders on protocol format validation failure." - }, - { - "id": "sc-7.23_gdn", - "name": "guidance", - "prose": "Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(23)", - "class": "sp800-53A" - } - ], - "prose": "feedback to senders is disabled on protocol format validation failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure" - } - ] - } - ] - }, - { - "id": "sc-7.24", - "class": "SP800-53-enhancement", - "title": "Personally Identifiable Information", - "params": [ - { - "id": "sc-07.24_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.24_prm_1" - }, - { - "name": "label", - "value": "SC-07(24)_ODP" - } - ], - "label": "processing rules", - "guidelines": [ - { - "prose": "processing rules for systems that process personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(24)" - }, - { - "name": "sort-id", - "value": "sc-07.24" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.24_smt", - "name": "statement", - "prose": "For systems that process personally identifiable information:", - "parts": [ - { - "id": "sc-7.24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Apply the following processing rules to data elements of personally identifiable information: {{ insert: param, sc-07.24_odp }};" - }, - { - "id": "sc-7.24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;" - }, - { - "id": "sc-7.24_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Document each processing exception; and" - }, - { - "id": "sc-7.24_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Review and remove exceptions that are no longer supported." - } - ] - }, - { - "id": "sc-7.24_gdn", - "name": "guidance", - "prose": "Managing the processing of personally identifiable information is an important aspect of protecting an individual’s privacy. Applying, monitoring for, and documenting exceptions to processing rules ensure that personally identifiable information is processed only in accordance with established privacy requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-07.24_odp }} are applied to data elements of personally identifiable information on systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "permitted processing is monitored at the external interfaces to the systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "permitted processing is monitored at key internal boundaries within the systems that process personally identifiable information;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(c)", - "class": "sp800-53A" - } - ], - "prose": "each processing exception is documented for systems that process personally identifiable information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)[01]", - "class": "sp800-53A" - } - ], - "prose": "exceptions for systems that process personally identifiable information are reviewed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(24)(d)[02]", - "class": "sp800-53A" - } - ], - "prose": "exceptions for systems that process personally identifiable information that are no longer supported are removed." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\npersonally identifiable information processing policies\n\nlist of key internal boundaries of the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nenterprise security and privacy architecture documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information inventory documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.25", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "params": [ - { - "id": "sc-07.25_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.25_prm_1" - }, - { - "name": "label", - "value": "SC-07(25)_ODP[01]" - } - ], - "label": "unclassified national security system", - "guidelines": [ - { - "prose": "the unclassified national security system prohibited from directly connecting to an external network is defined;" - } - ] - }, - { - "id": "sc-07.25_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.25_prm_2" - }, - { - "name": "label", - "value": "SC-07(25)_ODP[02]" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(25)" - }, - { - "name": "sort-id", - "value": "sc-07.25" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.25_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }}." - }, - { - "id": "sc-7.25_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified national security systems and external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(25)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of {{ insert: param, sc-07.25_odp.01 }} to an external network without the use of {{ insert: param, sc-07.25_odp.02 }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of unclassified national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.26", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "params": [ - { - "id": "sc-07.26_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.26_prm_1" - }, - { - "name": "label", - "value": "SC-07(26)_ODP" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(26)" - }, - { - "name": "sort-id", - "value": "sc-07.26" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.26_smt", - "name": "statement", - "prose": "Prohibit the direct connection of a classified national security system to an external network without the use of {{ insert: param, sc-07.26_odp }}." - }, - { - "id": "sc-7.26_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(26)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of classified national security system to an external network without the use of a {{ insert: param, sc-07.26_odp }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(26)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(26)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(26)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of classified national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.27", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "params": [ - { - "id": "sc-07.27_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.27_prm_1" - }, - { - "name": "label", - "value": "SC-07(27)_ODP[01]" - } - ], - "label": "unclassified, non-national security system", - "guidelines": [ - { - "prose": "the unclassified, non-national security system prohibited from directly connecting to an external network is defined;" - } - ] - }, - { - "id": "sc-07.27_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.27_prm_2" - }, - { - "name": "label", - "value": "SC-07(27)_ODP[02]" - } - ], - "label": "boundary protection device", - "guidelines": [ - { - "prose": "the boundary protection device required for a direct connection of unclassified, non-national security system to an external network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(27)" - }, - { - "name": "sort-id", - "value": "sc-07.27" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.27_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of {{ insert: param, sc-07.27_odp.02 }}." - }, - { - "id": "sc-7.27_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices (e.g., firewalls, gateways, and routers) mediate communications and information flows between unclassified non-national security systems and external networks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(27)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of {{ insert: param, sc-07.27_odp.01 }} to an external network without the use of a {{ insert: param, sc-07.27_odp.02 }} is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(27)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(27)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(27)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of unclassified, non-national security systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.28", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "params": [ - { - "id": "sc-07.28_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.28_prm_1" - }, - { - "name": "label", - "value": "SC-07(28)_ODP" - } - ], - "label": "system", - "guidelines": [ - { - "prose": "the system that is prohibited from directly connecting to a public network is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(28)" - }, - { - "name": "sort-id", - "value": "sc-07.28" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.28_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-07.28_odp }} to a public network." - }, - { - "id": "sc-7.28_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(28)", - "class": "sp800-53A" - } - ], - "prose": "the direct connection of the {{ insert: param, sc-07.28_odp }} to a public network is prohibited." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(28)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(28)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(28)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the direct connection of systems to an external network" - } - ] - } - ] - }, - { - "id": "sc-7.29", - "class": "SP800-53-enhancement", - "title": "Separate Subnets to Isolate Functions", - "params": [ - { - "id": "sc-07.29_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.29_prm_1" - }, - { - "name": "label", - "value": "SC-07(29)_ODP[01]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-07.29_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-7.29_prm_2" - }, - { - "name": "label", - "value": "SC-07(29)_ODP[02]" - } - ], - "label": "critical system components and functions", - "guidelines": [ - { - "prose": "critical system components and functions to be isolated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-07(29)" - }, - { - "name": "sort-id", - "value": "sc-07.29" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-7.29_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-07.29_odp.01 }} separate subnetworks to isolate the following critical system components and functions: {{ insert: param, sc-07.29_odp.02 }}." - }, - { - "id": "sc-7.29_gdn", - "name": "guidance", - "prose": "Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce susceptibility to a catastrophic or debilitating breach or compromise that results in system failure. For example, physically separating the command and control function from the in-flight entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-07(29)", - "class": "sp800-53A" - } - ], - "prose": "subnetworks are separated {{ insert: param, sc-07.29_odp.01 }} to isolate {{ insert: param, sc-07.29_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-07(29)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing boundary protection\n\nsystem design documentation\n\nsystem hardware and software\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\ncriticality analysis\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-07(29)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-07(29)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms separating critical system components and functions" - } - ] - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "params": [ - { - "id": "sc-08_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8_prm_1" - }, - { - "name": "label", - "value": "SC-08_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08" - }, - { - "name": "sort-id", - "value": "sc-08" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#736d6310-e403-4b57-a79d-9967970c66d7", - "rel": "reference" - }, - { - "href": "#7537638e-2837-407d-844b-40fb3fafdd99", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#4c501da5-9d79-4cb6-ba80-97260e1ce327", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-08_odp }} of transmitted information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques.\n\nOrganizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-08_odp }} of transmitted information is/are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity" - } - ] - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-08.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.1_prm_1" - }, - { - "name": "label", - "value": "SC-08(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(01)" - }, - { - "name": "sort-id", - "value": "sc-08.01" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to {{ insert: param, sc-08.01_odp }} during transmission." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(01)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to {{ insert: param, sc-08.01_odp }} during transmission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.2", - "class": "SP800-53-enhancement", - "title": "Pre- and Post-transmission Handling", - "params": [ - { - "id": "sc-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.2_prm_1" - }, - { - "name": "label", - "value": "SC-08(02)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(02)" - }, - { - "name": "sort-id", - "value": "sc-08.02" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-8.2_smt", - "name": "statement", - "prose": "Maintain the {{ insert: param, sc-08.02_odp }} of information during preparation for transmission and during reception." - }, - { - "id": "sc-8.2_gdn", - "name": "guidance", - "prose": "Information can be unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "information {{ insert: param, sc-08.02_odp }} is/are maintained during preparation for transmission;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "information {{ insert: param, sc-08.02_odp }} is/are maintained during reception." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity" - } - ] - } - ] - }, - { - "id": "sc-8.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection for Message Externals", - "params": [ - { - "id": "sc-08.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.3_prm_1" - }, - { - "name": "label", - "value": "SC-08(03)_ODP" - } - ], - "label": "alternative physical controls", - "guidelines": [ - { - "prose": "alternative physical controls to protect message externals are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(03)" - }, - { - "name": "sort-id", - "value": "sc-08.03" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}." - }, - { - "id": "sc-8.3_gdn", - "name": "guidance", - "prose": "Cryptographic protection for message externals addresses protection from the unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to protect message externals unless otherwise protected by {{ insert: param, sc-08.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.4", - "class": "SP800-53-enhancement", - "title": "Conceal or Randomize Communications", - "params": [ - { - "id": "sc-08.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.4_prm_1" - }, - { - "name": "label", - "value": "SC-08(04)_ODP" - } - ], - "label": "alternative physical controls", - "guidelines": [ - { - "prose": "alternative physical controls to protect against unauthorized disclosure of communication patterns are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(04)" - }, - { - "name": "sort-id", - "value": "sc-08.04" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}." - }, - { - "id": "sc-8.4_gdn", - "name": "guidance", - "prose": "Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information with intelligence value, especially when combined with other available information related to the mission and business functions of the organization. Concealing or randomizing communications prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed, or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(04)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-08.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns\n\nautomated mechanisms supporting and/or implementing alternative physical safeguards\n\norganizational processes for defining and implementing alternative physical safeguards" - } - ] - } - ] - }, - { - "id": "sc-8.5", - "class": "SP800-53-enhancement", - "title": "Protected Distribution System", - "params": [ - { - "id": "sc-08.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.5_prm_1" - }, - { - "name": "label", - "value": "SC-08(05)_ODP[01]" - } - ], - "label": "protected distribution system", - "guidelines": [ - { - "prose": "the protected distribution system is defined;" - } - ] - }, - { - "id": "sc-08.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-8.5_prm_2" - }, - { - "name": "label", - "value": "SC-08(05)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-08(05)" - }, - { - "name": "sort-id", - "value": "sc-08.05" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-8.5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-08.05_odp.01 }} to {{ insert: param, sc-08.05_odp.02 }} during transmission." - }, - { - "id": "sc-8.5_gdn", - "name": "guidance", - "prose": "The purpose of a protected distribution system is to deter, detect, and/or make difficult physical access to the communication lines that carry national security information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-08(05)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-08.05_odp.01 }} is implemented to {{ insert: param, sc-08.05_odp.02 }} during transmission." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-08(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-08(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-08(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing concealment or randomization of communication patterns\n\nautomated mechanisms supporting and/or implementing protected distribution systems" - } - ] - } - ] - } - ] - }, - { - "id": "sc-9", - "class": "SP800-53", - "title": "Transmission Confidentiality", - "props": [ - { - "name": "label", - "value": "SC-09" - }, - { - "name": "sort-id", - "value": "sc-09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "params": [ - { - "id": "sc-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-10_prm_1" - }, - { - "name": "label", - "value": "SC-10_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "a time period of inactivity after which the system terminates a network connection associated with a communication session is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "sc-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-10", - "class": "sp800-53A" - } - ], - "prose": "the network connection associated with a communication session is terminated at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing network disconnect\n\nsystem design documentation\n\nsecurity plan\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing network disconnect capability" - } - ] - } - ] - }, - { - "id": "sc-11", - "class": "SP800-53", - "title": "Trusted Path", - "params": [ - { - "id": "sc-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11_prm_1" - }, - { - "name": "label", - "value": "SC-11_ODP[01]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11_prm_2" - }, - { - "name": "label", - "value": "SC-11_ODP[02]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-11" - }, - { - "name": "sort-id", - "value": "sc-11" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-11_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide a {{ insert: param, sc-11_odp.01 }} isolated trusted communications path for communications between the user and the trusted components of the system; and" - }, - { - "id": "sc-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: {{ insert: param, sc-11_odp.02 }}." - } - ] - }, - { - "id": "sc-11_gdn", - "name": "guidance", - "prose": "Trusted paths are mechanisms by which users can communicate (using input devices such as keyboards) directly with the security functions of systems with the requisite assurance to support security policies. Trusted path mechanisms can only be activated by users or the security functions of organizational systems. User responses that occur via trusted paths are protected from modification by and disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted paths employed an out-of-band signal to initiate the path, such as using the key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used (e.g., the + + keys). Such key combinations, however, are platform-specific and may not provide a trusted path implementation in every case. The enforcement of trusted communications paths is provided by a specific implementation that meets the reference monitor concept." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11a.", - "class": "sp800-53A" - } - ], - "prose": "a {{ insert: param, sc-11_odp.01 }} isolated trusted communication path is provided for communications between the user and the trusted components of the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11b.", - "class": "sp800-53A" - } - ], - "prose": "users are permitted to invoke the trusted communication path for communications between the user and the {{ insert: param, sc-11_odp.02 }} of the system, including authentication and re-authentication, at a minimum." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing trusted communication paths\n\nsecurity plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nassessment results from independent, testing organizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing trusted communication paths" - } - ] - } - ], - "controls": [ - { - "id": "sc-11.1", - "class": "SP800-53-enhancement", - "title": "Irrefutable Communications Path", - "params": [ - { - "id": "sc-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-11.1_prm_1" - }, - { - "name": "label", - "value": "SC-11(01)_ODP" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-11(01)" - }, - { - "name": "sort-id", - "value": "sc-11.01" - } - ], - "links": [ - { - "href": "#sc-11", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-11.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and" - }, - { - "id": "sc-11.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Initiate the trusted communications path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user." - } - ] - }, - { - "id": "sc-11.1_gdn", - "name": "guidance", - "prose": "An irrefutable communications path permits the system to initiate a trusted path, which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "a trusted communication path that is irrefutably distinguishable from other communication paths is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-11(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the trusted communication path for communications between the {{ insert: param, sc-11.01_odp }} of the system and the user is initiated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing trusted communication paths\n\nsecurity plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nassessment results from independent, testing organizations\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing trusted communication paths" - } - ] - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "params": [ - { - "id": "sc-12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12_prm_1" - }, - { - "name": "label", - "value": "SC-12_ODP" - } - ], - "label": "requirements for key generation, distribution, storage, access, and destruction", - "guidelines": [ - { - "prose": "requirements for key generation, distribution, storage, access, and destruction are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#849b2358-683f-4d97-b111-1cc3d522ded5", - "rel": "reference" - }, - { - "href": "#3915a084-b87b-4f02-83d4-c369e746292f", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, sc-12_odp }}." - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) and [NIST CAVP](#84dc1b0c-acb7-4269-84c4-00dbabacd78c) provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic keys are established when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic keys are managed when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\ncryptographic mechanisms\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment and/or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ], - "controls": [ - { - "id": "sc-12.1", - "class": "SP800-53-enhancement", - "title": "Availability", - "props": [ - { - "name": "label", - "value": "SC-12(01)" - }, - { - "name": "sort-id", - "value": "sc-12.01" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.1_smt", - "name": "statement", - "prose": "Maintain availability of information in the event of the loss of cryptographic keys by users." - }, - { - "id": "sc-12.1_gdn", - "name": "guidance", - "prose": "Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(01)", - "class": "sp800-53A" - } - ], - "prose": "information availability is maintained in the event of the loss of cryptographic keys by users." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment, management, and recovery\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "params": [ - { - "id": "sc-12.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12.2_prm_1" - }, - { - "name": "label", - "value": "SC-12(02)_ODP" - } - ], - "select": { - "choice": [ - "NIST FIPS-validated", - "NSA-approved" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(02)" - }, - { - "name": "sort-id", - "value": "sc-12.02" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "Produce, control, and distribute symmetric cryptographic keys using {{ insert: param, sc-12.02_odp }} key management technology and processes." - }, - { - "id": "sc-12.2_gdn", - "name": "guidance", - "prose": "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are produced using {{ insert: param, sc-12.02_odp }} key management technology and processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are controlled using {{ insert: param, sc-12.02_odp }} key management technology and processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "symmetric cryptographic keys are distributed using {{ insert: param, sc-12.02_odp }} key management technology and processes." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of FIPS-validated cryptographic products\n\nlist of NSA-approved cryptographic products\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "params": [ - { - "id": "sc-12.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-12.3_prm_1" - }, - { - "name": "label", - "value": "SC-12(03)_ODP" - } - ], - "select": { - "choice": [ - "NSA-approved key management technology and processes", - "prepositioned keying material", - "DoD-approved or DoD-issued Medium Assurance PKI certificates", - "DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates and hardware security tokens that protect the user’s private key", - "certificates issued in accordance with organization-defined requirements" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(03)" - }, - { - "name": "sort-id", - "value": "sc-12.03" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "Produce, control, and distribute asymmetric cryptographic keys using {{ insert: param, sc-12.03_odp }}." - }, - { - "id": "sc-12.3_gdn", - "name": "guidance", - "prose": "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a) provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1), [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance on cryptographic key management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are produced using {{ insert: param, sc-12.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are controlled using {{ insert: param, sc-12.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "asymmetric cryptographic keys are distributed using {{ insert: param, sc-12.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of NSA-approved cryptographic products\n\nlist of approved PKI Class 3 and Class 4 certificates\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key establishment or management\n\norganizational personnel with responsibilities for PKI certificates" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.4", - "class": "SP800-53-enhancement", - "title": "PKI Certificates", - "props": [ - { - "name": "label", - "value": "SC-12(04)" - }, - { - "name": "sort-id", - "value": "sc-12.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.5", - "class": "SP800-53-enhancement", - "title": "PKI Certificates / Hardware Tokens", - "props": [ - { - "name": "label", - "value": "SC-12(05)" - }, - { - "name": "sort-id", - "value": "sc-12.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.6", - "class": "SP800-53-enhancement", - "title": "Physical Control of Keys", - "props": [ - { - "name": "label", - "value": "SC-12(06)" - }, - { - "name": "sort-id", - "value": "sc-12.06" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-12.6_smt", - "name": "statement", - "prose": "Maintain physical control of cryptographic keys when stored information is encrypted by external service providers." - }, - { - "id": "sc-12.6_gdn", - "name": "guidance", - "prose": "For organizations that use external service providers (e.g., cloud service or data center providers), physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-12(06)", - "class": "sp800-53A" - } - ], - "prose": "physical control of cryptographic keys is maintained when stored information is encrypted by external service providers." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-12(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic key establishment, management, and recovery\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-12(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment or management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-12(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key establishment and management" - } - ] - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-13_prm_1" - }, - { - "name": "label", - "value": "SC-13_ODP[01]" - } - ], - "label": "cryptographic uses", - "guidelines": [ - { - "prose": "cryptographic uses are defined;" - } - ] - }, - { - "id": "sc-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-13_prm_2" - }, - { - "name": "label", - "value": "SC-13_ODP[02]" - } - ], - "label": "types of cryptography", - "guidelines": [ - { - "prose": "types of cryptography for each specified cryptographic use are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "parts": [ - { - "id": "sc-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the {{ insert: param, sc-13_odp.01 }} ; and" - }, - { - "id": "sc-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, sc-13_odp.02 }}." - } - ] - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-13_odp.01 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-13b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-13_odp.02 }} for each specified cryptographic use (defined in SC-13_ODP[01]) are implemented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cryptographic protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS-validated cryptographic modules\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - } - ], - "controls": [ - { - "id": "sc-13.1", - "class": "SP800-53-enhancement", - "title": "Fips-validated Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(01)" - }, - { - "name": "sort-id", - "value": "sc-13.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.2", - "class": "SP800-53-enhancement", - "title": "Nsa-approved Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(02)" - }, - { - "name": "sort-id", - "value": "sc-13.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.3", - "class": "SP800-53-enhancement", - "title": "Individuals Without Formal Access Approvals", - "props": [ - { - "name": "label", - "value": "SC-13(03)" - }, - { - "name": "sort-id", - "value": "sc-13.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.4", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "SC-13(04)" - }, - { - "name": "sort-id", - "value": "sc-13.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-14", - "class": "SP800-53", - "title": "Public Access Protections", - "props": [ - { - "name": "label", - "value": "SC-14" - }, - { - "name": "sort-id", - "value": "sc-14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - }, - { - "href": "#si-3", - "rel": "incorporated-into" - }, - { - "href": "#si-4", - "rel": "incorporated-into" - }, - { - "href": "#si-5", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - }, - { - "href": "#si-10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices and Applications", - "params": [ - { - "id": "sc-15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15_prm_1" - }, - { - "name": "label", - "value": "SC-15_ODP" - } - ], - "label": "exceptions where remote activation is to be allowed", - "guidelines": [ - { - "prose": "exceptions where remote activation is to be allowed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, sc-15_odp }} ; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of use to users physically present at the devices." - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15a.", - "class": "sp800-53A" - } - ], - "prose": "remote activation of collaborative computing devices and applications is prohibited except {{ insert: param, sc-15_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15b.", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of use is provided to users physically present at the devices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing devices" - } - ] - } - ], - "controls": [ - { - "id": "sc-15.1", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Disconnect", - "params": [ - { - "id": "sc-15.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.1_prm_1" - }, - { - "name": "label", - "value": "SC-15(01)_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "physical", - "logical" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(01)" - }, - { - "name": "sort-id", - "value": "sc-15.01" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices in a manner that supports ease of use." - }, - { - "id": "sc-15.1_gdn", - "name": "guidance", - "prose": "Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures. Disconnect from collaborative computing devices can be manual or automatic." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(01)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-15.01_odp }} disconnect of collaborative computing devices is/are provided in a manner that supports ease of use." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical disconnect of collaborative computing devices" - } - ] - } - ] - }, - { - "id": "sc-15.2", - "class": "SP800-53-enhancement", - "title": "Blocking Inbound and Outbound Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-15(02)" - }, - { - "name": "sort-id", - "value": "sc-15.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15.3", - "class": "SP800-53-enhancement", - "title": "Disabling and Removal in Secure Work Areas", - "params": [ - { - "id": "sc-15.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.3_prm_1" - }, - { - "name": "label", - "value": "SC-15(03)_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components from which collaborative computing devises are to be disabled or removed are defined;" - } - ] - }, - { - "id": "sc-15.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.3_prm_2" - }, - { - "name": "label", - "value": "SC-15(03)_ODP[02]" - } - ], - "label": "secure work areas", - "guidelines": [ - { - "prose": "secure work areas where collaborative computing devices are to be disabled or removed from systems or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(03)" - }, - { - "name": "sort-id", - "value": "sc-15.03" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.3_smt", - "name": "statement", - "prose": "Disable or remove collaborative computing devices and applications from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}." - }, - { - "id": "sc-15.3_gdn", - "name": "guidance", - "prose": "Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A Sensitive Compartmented Information Facility (SCIF) is an example of a secure work area." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(03)", - "class": "sp800-53A" - } - ], - "prose": "collaborative computing devices and applications are disabled or removed from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param, sc-15.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of secure work areas\n\nsystems or system components in secured work areas where collaborative computing devices are to be disabled or removed\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices" - } - ] - } - ] - }, - { - "id": "sc-15.4", - "class": "SP800-53-enhancement", - "title": "Explicitly Indicate Current Participants", - "params": [ - { - "id": "sc-15.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-15.4_prm_1" - }, - { - "name": "label", - "value": "SC-15(04)_ODP" - } - ], - "label": "online meetings and teleconferences", - "guidelines": [ - { - "prose": "online meetings and teleconferences for which an explicit indication of current participants is to be provided are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(04)" - }, - { - "name": "sort-id", - "value": "sc-15.04" - } - ], - "links": [ - { - "href": "#sc-15", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-15.4_smt", - "name": "statement", - "prose": "Provide an explicit indication of current participants in {{ insert: param, sc-15.04_odp }}." - }, - { - "id": "sc-15.4_gdn", - "name": "guidance", - "prose": "Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-15(04)", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of current participants in {{ insert: param, sc-15.04_odp }} is provided." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nlist of types of meetings and teleconferences requiring explicit indication of current participants\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-15(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing collaborative computing devices" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices" - } - ] - } - ] - } - ] - }, - { - "id": "sc-16", - "class": "SP800-53", - "title": "Transmission of Security and Privacy Attributes", - "params": [ - { - "id": "sc-16_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-16_odp.01" - } - ], - "label": "organization-defined security and privacy attributes" - }, - { - "id": "sc-16_odp.01", - "props": [ - { - "name": "label", - "value": "SC-16_ODP[01]" - } - ], - "label": "security attributes", - "guidelines": [ - { - "prose": "security attributes to be associated with information exchanged are defined;" - } - ] - }, - { - "id": "sc-16_odp.02", - "props": [ - { - "name": "label", - "value": "SC-16_ODP[02]" - } - ], - "label": "privacy attributes", - "guidelines": [ - { - "prose": "privacy attributes to be associated with information exchanged are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-16" - }, - { - "name": "sort-id", - "value": "sc-16" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16_smt", - "name": "statement", - "prose": "Associate {{ insert: param, sc-16_prm_1 }} with information exchanged between systems and between system components." - }, - { - "id": "sc-16_gdn", - "name": "guidance", - "prose": "Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are abstractions that represent the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently or in conjunction with security attributes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.01 }} are associated with information exchanged between system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between systems;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16[04]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16_odp.02 }} are associated with information exchanged between system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\ninformation flow control policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the transmission of security and privacy attributes between systems" - } - ] - } - ], - "controls": [ - { - "id": "sc-16.1", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "props": [ - { - "name": "label", - "value": "SC-16(01)" - }, - { - "name": "sort-id", - "value": "sc-16.01" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.1_smt", - "name": "statement", - "prose": "Verify the integrity of transmitted security and privacy attributes." - }, - { - "id": "sc-16.1_gdn", - "name": "guidance", - "prose": "Part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of transmitted security attributes is verified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of transmitted privacy attributes is verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing verification of the integrity of transmitted security and privacy attributes" - } - ] - } - ] - }, - { - "id": "sc-16.2", - "class": "SP800-53-enhancement", - "title": "Anti-spoofing Mechanisms", - "props": [ - { - "name": "label", - "value": "SC-16(02)" - }, - { - "name": "sort-id", - "value": "sc-16.02" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.2_smt", - "name": "statement", - "prose": "Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "id": "sc-16.2_gdn", - "name": "guidance", - "prose": "Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(02)", - "class": "sp800-53A" - } - ], - "prose": "anti-spoofing mechanisms are implemented to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing anti-spoofing mechanisms" - } - ] - } - ] - }, - { - "id": "sc-16.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Binding", - "params": [ - { - "id": "sc-16.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-16.3_prm_1" - }, - { - "name": "label", - "value": "SC-16(03)_ODP" - } - ], - "label": "mechanisms or techniques", - "guidelines": [ - { - "prose": "mechanisms or techniques to bind security and privacy attributes to transmitted information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-16(03)" - }, - { - "name": "sort-id", - "value": "sc-16.03" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "required" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-16.03_odp }} to bind security and privacy attributes to transmitted information." - }, - { - "id": "sc-16.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms and techniques can provide strong security and privacy attribute binding to transmitted information to help ensure the integrity of such information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-16(03)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-16.03_odp }} are implemented to bind security and privacy attributes to transmitted information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-16(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the transmission of security and privacy attributes\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-16(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-16(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing anti-spoofing mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "params": [ - { - "id": "sc-17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-17_prm_1" - }, - { - "name": "label", - "value": "SC-17_ODP" - } - ], - "label": "certificate policy", - "guidelines": [ - { - "prose": "a certificate policy for issuing public key certificates is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "sc-17" - } - ], - "links": [ - { - "href": "#8cb338a4-e493-4177-818f-3af18983ddc5", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#737513fa-6758-403f-831d-5ddab5e23cb3", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "parts": [ - { - "id": "sc-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Issue public key certificates under an {{ insert: param, sc-17_odp }} or obtain public key certificates from an approved service provider; and" - }, - { - "id": "sc-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Include only approved trust anchors in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17a.", - "class": "sp800-53A" - } - ], - "prose": "public key certificates are issued under {{ insert: param, sc-17_odp }} , or public key certificates are obtained from an approved service provider;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-17b.", - "class": "sp800-53A" - } - ], - "prose": "only approved trust anchors are included in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing public key infrastructure certificates\n\npublic key certificate policy or policies\n\npublic key issuing process\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for issuing public key certificates\n\nservice providers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates" - } - ] - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "props": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "sc-18" - } - ], - "links": [ - { - "href": "#f641309f-a3ad-48be-8c67-2b318648b2f5", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define acceptable and unacceptable mobile code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of mobile code within the system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "acceptable mobile code is defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "unacceptable mobile code is defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "acceptable mobile code and mobile code technologies are defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18a.[04]", - "class": "sp800-53A" - } - ], - "prose": "unacceptable mobile code and mobile code technologies are defined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is authorized within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is monitored within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code is controlled within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code implementation policy and procedures\n\nlist of acceptable mobile code and mobile code technologies\n\nlist of unacceptable mobile code and mobile technologies\n\nauthorization records\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling mobile code\n\nautomated mechanisms supporting and/or implementing the management of mobile code\n\nautomated mechanisms supporting and/or implementing the monitoring of mobile code" - } - ] - } - ], - "controls": [ - { - "id": "sc-18.1", - "class": "SP800-53-enhancement", - "title": "Identify Unacceptable Code and Take Corrective Actions", - "params": [ - { - "id": "sc-18.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.1_prm_1" - }, - { - "name": "label", - "value": "SC-18(01)_ODP[01]" - } - ], - "label": "unacceptable mobile code", - "guidelines": [ - { - "prose": "unacceptable mobile code is defined;" - } - ] - }, - { - "id": "sc-18.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.1_prm_2" - }, - { - "name": "label", - "value": "SC-18(01)_ODP[02]" - } - ], - "label": "corrective actions", - "guidelines": [ - { - "prose": "corrective actions to be taken when unacceptable mobile code is identified are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(01)" - }, - { - "name": "sort-id", - "value": "sc-18.01" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.1_smt", - "name": "statement", - "prose": "Identify {{ insert: param, sc-18.01_odp.01 }} and take {{ insert: param, sc-18.01_odp.02 }}." - }, - { - "id": "sc-18.1_gdn", - "name": "guidance", - "prose": "Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing the transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.01_odp.01 }} is identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.01_odp.02 }} are taken if unacceptable mobile code is identified." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of unacceptable mobile code\n\nlist of corrective actions to be taken when unacceptable mobile code is identified\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capabilities" - } - ] - } - ] - }, - { - "id": "sc-18.2", - "class": "SP800-53-enhancement", - "title": "Acquisition, Development, and Use", - "params": [ - { - "id": "sc-18.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.2_prm_1" - }, - { - "name": "label", - "value": "SC-18(02)_ODP" - } - ], - "label": "mobile code requirements", - "guidelines": [ - { - "prose": "mobile code requirements for the acquisition, development, and use of mobile code to be deployed in the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(02)" - }, - { - "name": "sort-id", - "value": "sc-18.02" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.2_smt", - "name": "statement", - "prose": "Verify that the acquisition, development, and use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}." - }, - { - "id": "sc-18.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the acquisition of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the development of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of mobile code to be deployed in the system meets {{ insert: param, sc-18.02_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code requirements\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nacquisition documentation\n\nacquisition contracts for system, system component, or system service\n\nsystem development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code\n\norganizational personnel with acquisition and contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the acquisition, development, and use of mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.3", - "class": "SP800-53-enhancement", - "title": "Prevent Downloading and Execution", - "params": [ - { - "id": "sc-18.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.3_prm_1" - }, - { - "name": "label", - "value": "SC-18(03)_ODP" - } - ], - "label": "unacceptable mobile code", - "guidelines": [ - { - "prose": "unacceptable mobile code to be prevented from downloading and executing is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(03)" - }, - { - "name": "sort-id", - "value": "sc-18.03" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.3_smt", - "name": "statement", - "prose": "Prevent the download and execution of {{ insert: param, sc-18.03_odp }}." - }, - { - "id": "sc-18.3_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the download of {{ insert: param, sc-18.03_odp }} is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the execution of {{ insert: param, sc-18.03_odp }} is prevented." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing download and execution of unacceptable mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.4", - "class": "SP800-53-enhancement", - "title": "Prevent Automatic Execution", - "params": [ - { - "id": "sc-18.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.4_prm_1" - }, - { - "name": "label", - "value": "SC-18(04)_ODP[01]" - } - ], - "label": "software applications", - "guidelines": [ - { - "prose": "software applications in which the automatic execution of mobile code is to be prevented are defined;" - } - ] - }, - { - "id": "sc-18.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-18.4_prm_2" - }, - { - "name": "label", - "value": "SC-18(04)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be enforced by the system prior to executing mobile code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(04)" - }, - { - "name": "sort-id", - "value": "sc-18.04" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-18.4_smt", - "name": "statement", - "prose": "Prevent the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} and enforce {{ insert: param, sc-18.04_odp.02 }} prior to executing the code." - }, - { - "id": "sc-18.4_gdn", - "name": "guidance", - "prose": "Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing the automatic execution of mobile code includes disabling auto-execute features on system components that employ portable storage devices, such as compact discs, digital versatile discs, and universal serial bus devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "the automatic execution of mobile code in {{ insert: param, sc-18.04_odp.01 }} is prevented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-18.04_odp.02 }} are enforced prior to executing mobile code." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions\n\nmobile code implementation policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of software applications in which the automatic execution of mobile code must be prohibited\n\nlist of actions required before execution of mobile code\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing the automatic execution of unacceptable mobile code\n\nautomated mechanisms enforcing actions to be taken prior to the execution of the mobile code" - } - ] - } - ] - }, - { - "id": "sc-18.5", - "class": "SP800-53-enhancement", - "title": "Allow Execution Only in Confined Environments", - "props": [ - { - "name": "label", - "value": "SC-18(05)" - }, - { - "name": "sort-id", - "value": "sc-18.05" - } - ], - "links": [ - { - "href": "#sc-18", - "rel": "required" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18.5_smt", - "name": "statement", - "prose": "Allow execution of permitted mobile code only in confined virtual machine environments." - }, - { - "id": "sc-18.5_gdn", - "name": "guidance", - "prose": "Permitting the execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-18(05)", - "class": "sp800-53A" - } - ], - "prose": "execution of permitted mobile code is allowed only in confined virtual machine environments." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage allowances\n\nmobile code usage restrictions\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of confined virtual machine environments in which the execution of organizationally acceptable mobile code is allowed\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms allowing the execution of permitted mobile code in confined virtual machine environments" - } - ] - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "props": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "sort-id", - "value": "sc-19" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "Technology-specific; addressed as any other technology or protocol." - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (authoritative Source)", - "props": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - } - ], - "links": [ - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.[01]", - "class": "sp800-53A" - } - ], - "prose": "additional data origin authentication is provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20a.[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification artifacts are provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the means to indicate the security status of child zones (and if the child supports secure resolution services) is provided when operating as part of a distributed, hierarchical namespace;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the means to enable verification of a chain of trust among parent and child domains when operating as part of a distributed, hierarchical namespace is provided." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (authoritative source)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution services" - } - ] - } - ], - "controls": [ - { - "id": "sc-20.1", - "class": "SP800-53-enhancement", - "title": "Child Subspaces", - "props": [ - { - "name": "label", - "value": "SC-20(01)" - }, - { - "name": "sort-id", - "value": "sc-20.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-20.2", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-20(02)" - }, - { - "name": "sort-id", - "value": "sc-20.02" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-20.2_smt", - "name": "statement", - "prose": "Provide data origin and integrity protection artifacts for internal name/address resolution queries." - }, - { - "id": "sc-20.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "data origin artifacts are provided for internal name/address resolution queries;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-20(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity protection artifacts are provided for internal name/address resolution queries." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-20(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (authoritative source)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-20(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries" - } - ] - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (recursive or Caching Resolver)", - "props": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - } - ], - "links": [ - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[01]", - "class": "sp800-53A" - } - ], - "prose": "data origin authentication is requested for the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[02]", - "class": "sp800-53A" - } - ], - "prose": "data origin authentication is performed on the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[03]", - "class": "sp800-53A" - } - ], - "prose": "data integrity verification is requested for the name/address resolution responses that the system receives from authoritative sources;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-21[04]", - "class": "sp800-53A" - } - ], - "prose": "data integrity verification is performed on the name/address resolution responses that the system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing secure name/address resolution services (recursive or caching resolver)\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services" - } - ] - } - ], - "controls": [ - { - "id": "sc-21.1", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-21(01)" - }, - { - "name": "sort-id", - "value": "sc-21.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name/address Resolution Service", - "props": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - } - ], - "links": [ - { - "href": "#fe209006-bfd4-4033-a79a-9fee1adaf372", - "rel": "reference" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers—one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[01]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization are fault-tolerant;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[02]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization implement internal role separation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-22[03]", - "class": "sp800-53A" - } - ], - "prose": "the systems that collectively provide name/address resolution services for an organization implement external role separation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution services\n\naccess control policy and procedures\n\nsystem design documentation\n\nassessment results from independent testing organizations\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "props": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "sc-23" - } - ], - "links": [ - { - "href": "#7537638e-2837-407d-844b-40fb3fafdd99", - "rel": "reference" - }, - { - "href": "#d4d7c760-2907-403b-8b2a-767ca5370ecd", - "rel": "reference" - }, - { - "href": "#a6b9907a-2a14-4bb4-a142-d4c73026a8b4", - "rel": "reference" - }, - { - "href": "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "Protect the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against \"man-in-the-middle\" attacks, session hijacking, and the insertion of false information into sessions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23", - "class": "sp800-53A" - } - ], - "prose": "the authenticity of communication sessions is protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session authenticity" - } - ] - } - ], - "controls": [ - { - "id": "sc-23.1", - "class": "SP800-53-enhancement", - "title": "Invalidate Session Identifiers at Logout", - "props": [ - { - "name": "label", - "value": "SC-23(01)" - }, - { - "name": "sort-id", - "value": "sc-23.01" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-23.1_smt", - "name": "statement", - "prose": "Invalidate session identifiers upon user logout or other session termination." - }, - { - "id": "sc-23.1_gdn", - "name": "guidance", - "prose": "Invalidating session identifiers at logout curtails the ability of adversaries to capture and continue to employ previously valid session IDs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(01)", - "class": "sp800-53A" - } - ], - "prose": "session identifiers are invalidated upon user logout or other session termination." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination" - } - ] - } - ] - }, - { - "id": "sc-23.2", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts and Message Displays", - "props": [ - { - "name": "label", - "value": "SC-23(02)" - }, - { - "name": "sort-id", - "value": "sc-23.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.3", - "class": "SP800-53-enhancement", - "title": "Unique System-generated Session Identifiers", - "params": [ - { - "id": "sc-23.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-23.3_prm_1" - }, - { - "name": "label", - "value": "SC-23(03)_ODP" - } - ], - "label": "randomness requirements", - "guidelines": [ - { - "prose": "randomness requirements for generating a unique session identifier for each session are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(03)" - }, - { - "name": "sort-id", - "value": "sc-23.03" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - }, - { - "href": "#ac-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.3_smt", - "name": "statement", - "prose": "Generate a unique session identifier for each session with {{ insert: param, sc-23.03_odp }} and recognize only session identifiers that are system-generated." - }, - { - "id": "sc-23.3_gdn", - "name": "guidance", - "prose": "Generating unique session identifiers curtails the ability of adversaries to reuse previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "a unique session identifier is generated for each session with {{ insert: param, sc-23.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "only system-generated session identifiers are recognized." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting, implementing, generating, and monitoring unique session identifiers\n\nautomated mechanisms supporting and/or implementing randomness requirements" - } - ] - } - ] - }, - { - "id": "sc-23.4", - "class": "SP800-53-enhancement", - "title": "Unique Session Identifiers with Randomization", - "props": [ - { - "name": "label", - "value": "SC-23(04)" - }, - { - "name": "sort-id", - "value": "sc-23.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-23.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.5", - "class": "SP800-53-enhancement", - "title": "Allowed Certificate Authorities", - "params": [ - { - "id": "sc-23.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-23.5_prm_1" - }, - { - "name": "label", - "value": "SC-23(05)_ODP" - } - ], - "label": "certificated authorities", - "guidelines": [ - { - "prose": "certificate authorities to be allowed for verification of the establishment of protected sessions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(05)" - }, - { - "name": "sort-id", - "value": "sc-23.05" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.5_smt", - "name": "statement", - "prose": "Only allow the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions." - }, - { - "id": "sc-23.5_gdn", - "name": "guidance", - "prose": "Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-23(05)", - "class": "sp800-53A" - } - ], - "prose": "only the use of {{ insert: param, sc-23.05_odp }} for verification of the establishment of protected sessions is allowed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-23(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing session authenticity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of certificate authorities allowed for verification of the establishment of protected sessions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-23(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-23(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of certificate authorities" - } - ] - } - ] - } - ] - }, - { - "id": "sc-24", - "class": "SP800-53", - "title": "Fail in Known State", - "params": [ - { - "id": "sc-24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_3" - }, - { - "name": "label", - "value": "SC-24_ODP[01]" - } - ], - "label": "types of system failures on system components", - "guidelines": [ - { - "prose": "types of system failures for which the system components fail to a known state are defined;" - } - ] - }, - { - "id": "sc-24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_1" - }, - { - "name": "label", - "value": "SC-24_ODP[02]" - } - ], - "label": "known system state", - "guidelines": [ - { - "prose": "known system state to which system components fail in the event of a system failure is defined;" - } - ] - }, - { - "id": "sc-24_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-24_prm_2" - }, - { - "name": "label", - "value": "SC-24_ODP[03]" - } - ], - "label": "system state information", - "guidelines": [ - { - "prose": "system state information to be preserved in the event of a system failure is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-24" - }, - { - "name": "sort-id", - "value": "sc-24" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-24_smt", - "name": "statement", - "prose": "Fail to a {{ insert: param, sc-24_odp.02 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_odp.03 }} in failure: {{ insert: param, sc-24_odp.01 }}." - }, - { - "id": "sc-24_gdn", - "name": "guidance", - "prose": "Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-24", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-24_odp.01 }} fail to a {{ insert: param, sc-24_odp.02 }} while preserving {{ insert: param, sc-24_odp.03 }} in failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-24-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system failure to known state\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of failures requiring system to fail in a known state\n\nstate information to be preserved in system failure\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-24-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-24-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the fail in known state capability\n\nautomated mechanisms preserving system state information in the event of a system failure" - } - ] - } - ] - }, - { - "id": "sc-25", - "class": "SP800-53", - "title": "Thin Nodes", - "params": [ - { - "id": "sc-25_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-25_prm_1" - }, - { - "name": "label", - "value": "SC-25_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be employed with minimal functionality and information storage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-25" - }, - { - "name": "sort-id", - "value": "sc-25" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-25_smt", - "name": "statement", - "prose": "Employ minimal functionality and information storage on the following system components: {{ insert: param, sc-25_odp }}." - }, - { - "id": "sc-25_gdn", - "name": "guidance", - "prose": "The deployment of system components with minimal functionality reduces the need to secure every endpoint and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25[01]", - "class": "sp800-53A" - } - ], - "prose": "minimal functionality for {{ insert: param, sc-25_odp }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-25[02]", - "class": "sp800-53A" - } - ], - "prose": "minimal information storage on {{ insert: param, sc-25_odp }} is allocated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-25-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing use of thin nodes\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-25-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-25-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing thin nodes" - } - ] - } - ] - }, - { - "id": "sc-26", - "class": "SP800-53", - "title": "Decoys", - "props": [ - { - "name": "label", - "value": "SC-26" - }, - { - "name": "sort-id", - "value": "sc-26" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-26_smt", - "name": "statement", - "prose": "Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks." - }, - { - "id": "sc-26_gdn", - "name": "guidance", - "prose": "Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and deflect attacks away from the operational systems that support organizational mission and business functions. Use of decoys requires some supporting isolation measures to ensure that any deflected malicious code does not infect organizational systems. Depending on the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[01]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to detect such attacks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[02]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to deflect such attacks;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-26[03]", - "class": "sp800-53A" - } - ], - "prose": "components within organizational systems specifically designed to be the target of malicious attacks are included to analyze such attacks." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-26-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of decoys\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-26-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-26-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing decoys" - } - ] - } - ], - "controls": [ - { - "id": "sc-26.1", - "class": "SP800-53-enhancement", - "title": "Detection of Malicious Code", - "props": [ - { - "name": "label", - "value": "SC-26(01)" - }, - { - "name": "sort-id", - "value": "sc-26.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-35", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-27", - "class": "SP800-53", - "title": "Platform-independent Applications", - "params": [ - { - "id": "sc-27_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-27_prm_1" - }, - { - "name": "label", - "value": "SC-27_ODP" - } - ], - "label": "platform-independent applications", - "guidelines": [ - { - "prose": "platform-independent applications to be included within organizational systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-27" - }, - { - "name": "sort-id", - "value": "sc-27" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-27_smt", - "name": "statement", - "prose": "Include within organizational systems the following platform independent applications: {{ insert: param, sc-27_odp }}." - }, - { - "id": "sc-27_gdn", - "name": "guidance", - "prose": "Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems, the underlying computer architectures, or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increase the availability of mission-essential functions within organizations in situations where systems with specific operating systems are under attack." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-27", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-27_odp }} are included within organizational systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-27-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing platform-independent applications\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of platform-independent applications\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-27-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-27-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing platform-independent applications" - } - ] - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "params": [ - { - "id": "sc-28_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28_prm_1" - }, - { - "name": "label", - "value": "SC-28_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - }, - { - "id": "sc-28_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28_prm_2" - }, - { - "name": "label", - "value": "SC-28_ODP[02]" - } - ], - "label": "information at rest", - "guidelines": [ - { - "prose": "information at rest requiring protection is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "sc-28" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "rel": "reference" - }, - { - "href": "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "rel": "reference" - }, - { - "href": "#eef62b16-c796-4554-955c-505824135b8a", - "rel": "reference" - }, - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-28_odp.01 }} of the following information at rest: {{ insert: param, sc-28_odp.02 }}." - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-28_odp.01 }} of {{ insert: param, sc-28_odp.02 }} is/are protected." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nlist of information at rest requiring confidentiality and integrity protections\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest" - } - ] - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-28.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.1_prm_2" - }, - { - "name": "label", - "value": "SC-28(01)_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information requiring cryptographic protection is defined;" - } - ] - }, - { - "id": "sc-28.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.1_prm_1" - }, - { - "name": "label", - "value": "SC-28(01)_ODP[02]" - } - ], - "label": "system components or media", - "guidelines": [ - { - "prose": "system components or media requiring cryptographic protection is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(01)" - }, - { - "name": "sort-id", - "value": "sc-28.01" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, sc-28.01_odp.02 }}: {{ insert: param, sc-28.01_odp.01 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized disclosure of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent unauthorized modification of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest" - } - ] - } - ] - }, - { - "id": "sc-28.2", - "class": "SP800-53-enhancement", - "title": "Offline Storage", - "params": [ - { - "id": "sc-28.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.2_prm_1" - }, - { - "name": "label", - "value": "SC-28(02)_ODP" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information to be removed from online storage and stored offline in a secure location is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(02)" - }, - { - "name": "sort-id", - "value": "sc-28.02" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-28.2_smt", - "name": "statement", - "prose": "Remove the following information from online storage and store offline in a secure location: {{ insert: param, sc-28.02_odp }}." - }, - { - "id": "sc-28.2_gdn", - "name": "guidance", - "prose": "Removing organizational information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to offline storage in lieu of protecting such information in online storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-28.02_odp }} is removed from online storage;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-28.02_odp }} is stored offline in a secure location." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\noffline storage locations for information at rest\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of information from online storage\n\nautomated mechanisms supporting and/or implementing storage of information offline" - } - ] - } - ] - }, - { - "id": "sc-28.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Keys", - "params": [ - { - "id": "sc-28.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.3_prm_1" - }, - { - "name": "label", - "value": "SC-28(03)_ODP[01]" - } - ], - "select": { - "choice": [ - " {{ insert: param, sc-28.03_odp.02 }} ", - "hardware-protected key store" - ] - } - }, - { - "id": "sc-28.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-28.3_prm_2" - }, - { - "name": "label", - "value": "SC-28(03)_ODP[02]" - } - ], - "label": "safeguards", - "guidelines": [ - { - "prose": "safeguards for protecting the storage of cryptographic keys are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(03)" - }, - { - "name": "sort-id", - "value": "sc-28.03" - } - ], - "links": [ - { - "href": "#sc-28", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.3_smt", - "name": "statement", - "prose": "Provide protected storage for cryptographic keys {{ insert: param, sc-28.03_odp.01 }}." - }, - { - "id": "sc-28.3_gdn", - "name": "guidance", - "prose": "A Trusted Platform Module (TPM) is an example of a hardware-protected data store that can be used to protect cryptographic keys." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-28(03)", - "class": "sp800-53A" - } - ], - "prose": "protected storage for cryptographic keys is provided using {{ insert: param, sc-28.03_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the protection of information at rest\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-28(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware-based key store protection" - } - ] - } - ] - } - ] - }, - { - "id": "sc-29", - "class": "SP800-53", - "title": "Heterogeneity", - "params": [ - { - "id": "sc-29_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-29_prm_1" - }, - { - "name": "label", - "value": "SC-29_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring a diverse set of information technologies to be employed in the implementation of the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-29" - }, - { - "name": "sort-id", - "value": "sc-29" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-27", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-29_smt", - "name": "statement", - "prose": "Employ a diverse set of information technologies for the following system components in the implementation of the system: {{ insert: param, sc-29_odp }}." - }, - { - "id": "sc-29_gdn", - "name": "guidance", - "prose": "Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-29", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of information technologies is employed for {{ insert: param, sc-29_odp }} in the implementation of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-29-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of technologies deployed in the system\n\nacquisition documentation\n\nacquisition contracts for system components or services\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-29-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with system acquisition, development, and implementation responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-29-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies" - } - ] - } - ], - "controls": [ - { - "id": "sc-29.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "params": [ - { - "id": "sc-29.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-29.1_prm_1" - }, - { - "name": "label", - "value": "SC-29(01)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to change the diversity of operating systems and applications deployed using virtualization techniques is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-29(01)" - }, - { - "name": "sort-id", - "value": "sc-29.01" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-29.1_smt", - "name": "statement", - "prose": "Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}." - }, - { - "id": "sc-29.1_gdn", - "name": "guidance", - "prose": "While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-29(01)", - "class": "sp800-53A" - } - ], - "prose": "virtualization techniques are employed to support the deployment of a diverse range of operating systems and applications that are changed {{ insert: param, sc-29.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-29(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of operating systems and applications deployed using virtualization techniques\n\nchange control records\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-29(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for implementing approved virtualization techniques to the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-29(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of a diverse set of information technologies\n\nautomated mechanisms supporting and/or implementing virtualization techniques" - } - ] - } - ] - } - ] - }, - { - "id": "sc-30", - "class": "SP800-53", - "title": "Concealment and Misdirection", - "params": [ - { - "id": "sc-30_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_3" - }, - { - "name": "label", - "value": "SC-30_ODP[01]" - } - ], - "label": "concealment and misdirection techniques", - "guidelines": [ - { - "prose": "concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting systems are defined;" - } - ] - }, - { - "id": "sc-30_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_1" - }, - { - "name": "label", - "value": "SC-30_ODP[02]" - } - ], - "label": "systems", - "guidelines": [ - { - "prose": "systems for which concealment and misdirection techniques are to be employed are defined;" - } - ] - }, - { - "id": "sc-30_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30_prm_2" - }, - { - "name": "label", - "value": "SC-30_ODP[03]" - } - ], - "label": "time periods", - "guidelines": [ - { - "prose": "time periods to employ concealment and misdirection techniques for systems are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30" - }, - { - "name": "sort-id", - "value": "sc-30" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30_smt", - "name": "statement", - "prose": "Employ the following concealment and misdirection techniques for {{ insert: param, sc-30_odp.02 }} at {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries: {{ insert: param, sc-30_odp.01 }}." - }, - { - "id": "sc-30_gdn", - "name": "guidance", - "prose": "Concealment and misdirection techniques can significantly reduce the targeting capabilities of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods—including randomness, uncertainty, and virtualization—may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core mission and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30_odp.01 }} are employed for {{ insert: param, sc-30_odp.02 }} for {{ insert: param, sc-30_odp.03 }} to confuse and mislead adversaries." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of concealment and misdirection techniques to be employed for organizational systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to implement concealment and misdirection techniques for systems" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing concealment and misdirection techniques" - } - ] - } - ], - "controls": [ - { - "id": "sc-30.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "props": [ - { - "name": "label", - "value": "SC-30(01)" - }, - { - "name": "sort-id", - "value": "sc-30.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-29.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-30.2", - "class": "SP800-53-enhancement", - "title": "Randomness", - "params": [ - { - "id": "sc-30.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.2_prm_1" - }, - { - "name": "label", - "value": "SC-30(02)_ODP" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques employed to introduce randomness into organizational operations and assets are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(02)" - }, - { - "name": "sort-id", - "value": "sc-30.02" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.2_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-30.02_odp }} to introduce randomness into organizational operations and assets." - }, - { - "id": "sc-30.2_gdn", - "name": "guidance", - "prose": "Randomness introduces increased levels of uncertainty for adversaries regarding the actions that organizations take to defend their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations that support critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques that involve randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30.02_odp }} are employed to introduce randomness into organizational operations and assets." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of techniques to be employed to introduce randomness into organizational operations and assets\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to implement concealment and misdirection techniques for systems" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique" - } - ] - } - ] - }, - { - "id": "sc-30.3", - "class": "SP800-53-enhancement", - "title": "Change Processing and Storage Locations", - "params": [ - { - "id": "sc-30.03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_1" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[01]" - } - ], - "label": "processing and/or storage", - "guidelines": [ - { - "prose": "processing and/or storage locations to be changed are defined;" - } - ] - }, - { - "id": "sc-30.03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_2" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[02]" - } - ], - "select": { - "choice": [ - " {{ insert: param, sc-30.03_odp.03 }} ", - "random time intervals" - ] - } - }, - { - "id": "sc-30.03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.3_prm_3" - }, - { - "name": "label", - "value": "SC-30(03)_ODP[03]" - } - ], - "label": "time frequency", - "guidelines": [ - { - "prose": "time frequency at which to change the location of processing and/or storage is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(03)" - }, - { - "name": "sort-id", - "value": "sc-30.03" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.3_smt", - "name": "statement", - "prose": "Change the location of {{ insert: param, sc-30.03_odp.01 }} {{ insert: param, sc-30.03_odp.02 }}]." - }, - { - "id": "sc-30.3_gdn", - "name": "guidance", - "prose": "Adversaries target critical mission and business functions and the systems that support those mission and business functions while also trying to minimize the exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing, storage) that support critical mission and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities of adversaries. The targeting uncertainty increases the work factor of adversaries and makes compromises or breaches of the organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose certain aspects of their tradecraft while attempting to locate critical organizational resources." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(03)", - "class": "sp800-53A" - } - ], - "prose": "the location of {{ insert: param, sc-30.03_odp.01 }} is changed {{ insert: param, sc-30.03_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nlist of processing/storage locations to be changed at organizational time intervals\n\nchange control records\n\nconfiguration management records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to change processing and/or storage locations" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing changing processing and/or storage locations" - } - ] - } - ] - }, - { - "id": "sc-30.4", - "class": "SP800-53-enhancement", - "title": "Misleading Information", - "params": [ - { - "id": "sc-30.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.4_prm_1" - }, - { - "name": "label", - "value": "SC-30(04)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which realistic but misleading information about their security state or posture is employed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(04)" - }, - { - "name": "sort-id", - "value": "sc-30.04" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.4_smt", - "name": "statement", - "prose": "Employ realistic, but misleading information in {{ insert: param, sc-30.04_odp }} about its security state or posture." - }, - { - "id": "sc-30.4_gdn", - "name": "guidance", - "prose": "Employing misleading information is intended to confuse potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(04)", - "class": "sp800-53A" - } - ], - "prose": "realistic but misleading information about the security state or posture of {{ insert: param, sc-30.04_odp }} is employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to define and employ realistic but misleading information about the security posture of system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of realistic but misleading information about the security posture of system components" - } - ] - } - ] - }, - { - "id": "sc-30.5", - "class": "SP800-53-enhancement", - "title": "Concealment of System Components", - "params": [ - { - "id": "sc-30.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.5_prm_2" - }, - { - "name": "label", - "value": "SC-30(05)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques to be employed to hide or conceal system components are defined;" - } - ] - }, - { - "id": "sc-30.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-30.5_prm_1" - }, - { - "name": "label", - "value": "SC-30(05)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be hidden or concealed using techniques (as defined in SC-30(05)_ODP[01]) are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(05)" - }, - { - "name": "sort-id", - "value": "sc-30.05" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-30.5_smt", - "name": "statement", - "prose": "Employ the following techniques to hide or conceal {{ insert: param, sc-30.05_odp.02 }}: {{ insert: param, sc-30.05_odp.01 }}." - }, - { - "id": "sc-30.5_gdn", - "name": "guidance", - "prose": "By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include the configuration of routers or the use of encryption or virtualization techniques." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-30(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-30.05_odp.01 }} are employed to hide or conceal {{ insert: param, sc-30.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-30(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nconfiguration management policy and procedures\n\nprocedures addressing concealment and misdirection techniques for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of techniques employed to hide or conceal system components\n\nlist of system components to be hidden or concealed\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-30(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with the responsibility to conceal system components" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-30(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing techniques for the concealment of system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc-31", - "class": "SP800-53", - "title": "Covert Channel Analysis", - "params": [ - { - "id": "sc-31_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31_prm_1" - }, - { - "name": "label", - "value": "SC-31_ODP" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-31" - }, - { - "name": "sort-id", - "value": "sc-31" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-31_smt", - "name": "statement", - "parts": [ - { - "id": "sc-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels; and" - }, - { - "id": "sc-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Estimate the maximum bandwidth of those channels." - } - ] - }, - { - "id": "sc-31_gdn", - "name": "guidance", - "prose": "Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, such as in the case of systems that contain export-controlled information and have connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31a.", - "class": "sp800-53A" - } - ], - "prose": "a covert channel analysis is performed to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_odp }} channels;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31b.", - "class": "sp800-53A" - } - ], - "prose": "the maximum bandwidth of those channels is estimated." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels" - } - ] - } - ], - "controls": [ - { - "id": "sc-31.1", - "class": "SP800-53-enhancement", - "title": "Test Covert Channels for Exploitability", - "props": [ - { - "name": "label", - "value": "SC-31(01)" - }, - { - "name": "sort-id", - "value": "sc-31.01" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.1_smt", - "name": "statement", - "prose": "Test a subset of the identified covert channels to determine the channels that are exploitable." - }, - { - "id": "sc-31.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(01)", - "class": "sp800-53A" - } - ], - "prose": "a subset of the identified covert channels is tested to determine the channels that are exploitable." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of covert channels\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for testing covert channels\n\nautomated mechanisms supporting and/or implementing the testing of covert channel analysis" - } - ] - } - ] - }, - { - "id": "sc-31.2", - "class": "SP800-53-enhancement", - "title": "Maximum Bandwidth", - "params": [ - { - "id": "sc-31.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.2_prm_1" - }, - { - "name": "label", - "value": "SC-31(02)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - }, - { - "id": "sc-31.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.2_prm_2" - }, - { - "name": "label", - "value": "SC-31(02)_ODP[02]" - } - ], - "label": "values", - "guidelines": [ - { - "prose": "values for the maximum bandwidth for identified covert channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(02)" - }, - { - "name": "sort-id", - "value": "sc-31.02" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.2_smt", - "name": "statement", - "prose": "Reduce the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels to {{ insert: param, sc-31.02_odp.02 }}." - }, - { - "id": "sc-31.2_gdn", - "name": "guidance", - "prose": "The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(02)", - "class": "sp800-53A" - } - ], - "prose": "the maximum bandwidth for identified covert {{ insert: param, sc-31.02_odp.01 }} channels is reduced to {{ insert: param, sc-31.02_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nacquisition contracts for systems or services\n\nacquisition documentation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels" - } - ] - } - ] - }, - { - "id": "sc-31.3", - "class": "SP800-53-enhancement", - "title": "Measure Bandwidth in Operational Environments", - "params": [ - { - "id": "sc-31.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-31.3_prm_1" - }, - { - "name": "label", - "value": "SC-31(03)_ODP" - } - ], - "label": "subset of identified covert channels", - "guidelines": [ - { - "prose": "subset of identified covert channels whose bandwidth is to be measured in the operational environment of the system is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(03)" - }, - { - "name": "sort-id", - "value": "sc-31.03" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-31.3_smt", - "name": "statement", - "prose": "Measure the bandwidth of {{ insert: param, sc-31.03_odp }} in the operational environment of the system." - }, - { - "id": "sc-31.3_gdn", - "name": "guidance", - "prose": "Measuring covert channel bandwidth in specified operational environments helps organizations determine how much information can be covertly leaked before such leakage adversely affects mission or business functions. Covert channel bandwidth may be significantly different when measured in settings that are independent of the specific environments of operation, including laboratories or system development environments." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-31(03)", - "class": "sp800-53A" - } - ], - "prose": "the bandwidth of {{ insert: param, sc-31.03_odp }} is measured in the operational environment of the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-31(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing covert channel analysis\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncovert channel analysis documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-31(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with covert channel analysis responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-31(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for conducting covert channel analysis\n\nautomated mechanisms supporting and/or implementing covert channel analysis\n\nautomated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels" - } - ] - } - ] - } - ] - }, - { - "id": "sc-32", - "class": "SP800-53", - "title": "System Partitioning", - "params": [ - { - "id": "sc-32_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_1" - }, - { - "name": "label", - "value": "SC-32_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to reside in separate physical or logical domains or environments based on circumstances for the physical or logical separation of components are defined;" - } - ] - }, - { - "id": "sc-32_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_2" - }, - { - "name": "label", - "value": "SC-32_ODP[02]" - } - ], - "select": { - "choice": [ - "physical", - "logical" - ] - } - }, - { - "id": "sc-32_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-32_prm_3" - }, - { - "name": "label", - "value": "SC-32_ODP[03]" - } - ], - "label": "circumstances for the physical or logical separation of components", - "guidelines": [ - { - "prose": "circumstances for the physical or logical separation of components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-32" - }, - { - "name": "sort-id", - "value": "sc-32" - } - ], - "links": [ - { - "href": "#628d22a1-6a11-4784-bc59-5cd9497b5445", - "rel": "reference" - }, - { - "href": "#d4296805-2dca-4c63-a95f-eeccaa826aec", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-32_smt", - "name": "statement", - "prose": "Partition the system into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}." - }, - { - "id": "sc-32_gdn", - "name": "guidance", - "prose": "System partitioning is part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include physically distinct components in separate racks in the same room, critical components in separate rooms, and geographical separation of critical components. Security categorization can guide the selection of candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-32", - "class": "sp800-53A" - } - ], - "prose": "the system is partitioned into {{ insert: param, sc-32_odp.01 }} residing in separate {{ insert: param, sc-32_odp.02 }} domains or environments based on {{ insert: param, sc-32_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical domains (or environments)\n\nsystem facility diagrams\n\nsystem network diagrams\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-32-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical separation of system components" - } - ] - } - ], - "controls": [ - { - "id": "sc-32.1", - "class": "SP800-53-enhancement", - "title": "Separate Physical Domains for Privileged Functions", - "props": [ - { - "name": "label", - "value": "SC-32(01)" - }, - { - "name": "sort-id", - "value": "sc-32.01" - } - ], - "links": [ - { - "href": "#sc-32", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-32.1_smt", - "name": "statement", - "prose": "Partition privileged functions into separate physical domains." - }, - { - "id": "sc-32.1_gdn", - "name": "guidance", - "prose": "Privileged functions that operate in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-32(01)", - "class": "sp800-53A" - } - ], - "prose": "privileged functions are partitioned into separate physical domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-32-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing system partitioning\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical domains (or environments)\n\nsystem facility diagrams\n\nsystem network diagrams\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-32-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-32-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the physical separation of system components" - } - ] - } - ] - } - ] - }, - { - "id": "sc-33", - "class": "SP800-53", - "title": "Transmission Preparation Integrity", - "props": [ - { - "name": "label", - "value": "SC-33" - }, - { - "name": "sort-id", - "value": "sc-33" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-34", - "class": "SP800-53", - "title": "Non-modifiable Executable Programs", - "params": [ - { - "id": "sc-34_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34_prm_1" - }, - { - "name": "label", - "value": "SC-34_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which the operating environment and applications are to be loaded and executed from hardware-enforced, read-only media are defined;" - } - ] - }, - { - "id": "sc-34_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34_prm_2" - }, - { - "name": "label", - "value": "SC-34_ODP[02]" - } - ], - "label": "applications", - "guidelines": [ - { - "prose": "applications to be loaded and executed from hardware-enforced, read-only media are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-34" - }, - { - "name": "sort-id", - "value": "sc-34" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34_smt", - "name": "statement", - "prose": "For {{ insert: param, sc-34_odp.01 }} , load and execute:", - "parts": [ - { - "id": "sc-34_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "The operating environment from hardware-enforced, read-only media; and" - }, - { - "id": "sc-34_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "The following applications from hardware-enforced, read-only media: {{ insert: param, sc-34_odp.02 }}." - } - ] - }, - { - "id": "sc-34_gdn", - "name": "guidance", - "prose": "The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications that run directly on hardware platforms. Hardware-enforced, read-only media include Compact Disc-Recordable (CD-R) and Digital Versatile Disc-Recordable (DVD-R) disk drives as well as one-time, programmable, read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable, read-only memory can be accepted as read-only media provided that integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system, and there are reliable hardware protections against reprogramming the memory while installed in organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34a.", - "class": "sp800-53A" - } - ], - "prose": "the operating environment for {{ insert: param, sc-34_odp.01 }} is loaded and executed from hardware-enforced, read-only media;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-34_odp.02 }} for {{ insert: param, sc-34_odp.01 }} are loaded and executed from hardware-enforced, read-only media." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of operating system components to be loaded from hardware-enforced, read-only media\n\nlist of applications to be loaded from hardware-enforced, read-only media\n\nmedia used to load and execute the system operating environment\n\nmedia used to load and execute system applications\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing, loading, and executing the operating environment from hardware-enforced, read-only media\n\nautomated mechanisms supporting and/or implementing, loading, and executing applications from hardware-enforced, read-only media" - } - ] - } - ], - "controls": [ - { - "id": "sc-34.1", - "class": "SP800-53-enhancement", - "title": "No Writable Storage", - "params": [ - { - "id": "sc-34.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-34.1_prm_1" - }, - { - "name": "label", - "value": "SC-34(01)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components to be employed with no writeable storage are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(01)" - }, - { - "name": "sort-id", - "value": "sc-34.01" - } - ], - "links": [ - { - "href": "#sc-34", - "rel": "required" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-34.01_odp }} with no writeable storage that is persistent across component restart or power on/off." - }, - { - "id": "sc-34.1_gdn", - "name": "guidance", - "prose": "Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-34.01_odp }} are employed with no writeable storage that is persistent across component restart or power on/off." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system components to be employed without writeable storage capabilities\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the employment of components with no writeable storage\n\nautomated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off" - } - ] - } - ] - }, - { - "id": "sc-34.2", - "class": "SP800-53-enhancement", - "title": "Integrity Protection on Read-only Media", - "props": [ - { - "name": "label", - "value": "SC-34(02)" - }, - { - "name": "sort-id", - "value": "sc-34.02" - } - ], - "links": [ - { - "href": "#sc-34", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.2_smt", - "name": "statement", - "prose": "Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media." - }, - { - "id": "sc-34.2_gdn", - "name": "guidance", - "prose": "Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the integrity of information is protected prior to storage on read-only media;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-34(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the media is controlled after such information has been recorded onto the media;" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-34(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing non-modifiable executable programs\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-34(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-34(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to protect information integrity on read-only media prior to storage and after information has been recorded onto the media" - } - ] - } - ] - }, - { - "id": "sc-34.3", - "class": "SP800-53-enhancement", - "title": "Hardware-based Protection", - "props": [ - { - "name": "label", - "value": "SC-34(03)" - }, - { - "name": "sort-id", - "value": "sc-34.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-51", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sc-35", - "class": "SP800-53", - "title": "External Malicious Code Identification", - "props": [ - { - "name": "label", - "value": "SC-35" - }, - { - "name": "sort-id", - "value": "sc-35" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-35_smt", - "name": "statement", - "prose": "Include system components that proactively seek to identify network-based malicious code or malicious websites." - }, - { - "id": "sc-35_gdn", - "name": "guidance", - "prose": "External malicious code identification differs from decoys in [SC-26](#sc-26) in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-35", - "class": "sp800-53A" - } - ], - "prose": "system components that proactively seek to identify network-based malicious code or malicious websites are included." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-35-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing external malicious code identification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem components deployed to identify malicious websites and/or web-based malicious code\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-35-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-35-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing external malicious code identification" - } - ] - } - ] - }, - { - "id": "sc-36", - "class": "SP800-53", - "title": "Distributed Processing and Storage", - "params": [ - { - "id": "sc-36_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-36_odp.02" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sc-36_odp.01" - } - ], - "label": "organization-defined processing and storage components" - }, - { - "id": "sc-36_odp.01", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[01]" - } - ], - "label": "processing components", - "guidelines": [ - { - "prose": "processing components to be distributed across multiple locations/domains are defined;" - } - ] - }, - { - "id": "sc-36_odp.02", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[02]" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_odp.03", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[03]" - } - ], - "label": "storage components", - "guidelines": [ - { - "prose": "storage components to be distributed across multiple locations/domains are defined;" - } - ] - }, - { - "id": "sc-36_odp.04", - "props": [ - { - "name": "label", - "value": "SC-36_ODP[04]" - } - ], - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-36" - }, - { - "name": "sort-id", - "value": "sc-36" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36_smt", - "name": "statement", - "prose": "Distribute the following processing and storage components across multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2 }}." - }, - { - "id": "sc-36_gdn", - "name": "guidance", - "prose": "Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increase the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36_odp.01 }} are distributed across {{ insert: param, sc-36_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36_odp.03 }} are distributed across {{ insert: param, sc-36_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\ncontingency planning policy and procedures\n\ncontingency plan\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system physical locations (or environments) with distributed processing and storage\n\nsystem facility diagrams\n\nprocessing site agreements\n\nstorage site agreements\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel with contingency planning and plan implementation responsibilities\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for distributed processing and storage across multiple physical locations\n\nautomated mechanisms supporting and/or implementing the capability to distribute processing and storage across multiple physical locations" - } - ] - } - ], - "controls": [ - { - "id": "sc-36.1", - "class": "SP800-53-enhancement", - "title": "Polling Techniques", - "params": [ - { - "id": "sc-36.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.1_prm_1" - }, - { - "name": "label", - "value": "SC-36(01)_ODP[01]" - } - ], - "label": "distributed processing and storage components", - "guidelines": [ - { - "prose": "distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises are defined;" - } - ] - }, - { - "id": "sc-36.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.1_prm_2" - }, - { - "name": "label", - "value": "SC-36(01)_ODP[02]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken in response to identified faults, errors, or compromise are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(01)" - }, - { - "name": "sort-id", - "value": "sc-36.01" - } - ], - "links": [ - { - "href": "#sc-36", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-36.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: {{ insert: param, sc-36.01_odp.01 }} ; and" - }, - { - "id": "sc-36.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions in response to identified faults, errors, or compromises: {{ insert: param, sc-36.01_odp.02 }}." - } - ] - }, - { - "id": "sc-36.1_gdn", - "name": "guidance", - "prose": "Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, the distribution of processing and storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "polling techniques are employed to identify potential faults, errors, or compromises to {{ insert: param, sc-36.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36.01_odp.02 }} are taken in response to identified faults, errors, or compromise." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of distributed processing and storage components subject to polling\n\nsystem polling techniques and associated documentation or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing polling techniques" - } - ] - } - ] - }, - { - "id": "sc-36.2", - "class": "SP800-53-enhancement", - "title": "Synchronization", - "params": [ - { - "id": "sc-36.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-36.2_prm_1" - }, - { - "name": "label", - "value": "SC-36(02)_ODP" - } - ], - "label": "duplicate systems or system components", - "guidelines": [ - { - "prose": "duplicate systems or system components to be synchronized are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(02)" - }, - { - "name": "sort-id", - "value": "sc-36.02" - } - ], - "links": [ - { - "href": "#sc-36", - "rel": "required" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.2_smt", - "name": "statement", - "prose": "Synchronize the following duplicate systems or system components: {{ insert: param, sc-36.02_odp }}." - }, - { - "id": "sc-36.2_gdn", - "name": "guidance", - "prose": "[SC-36](#sc-36) and [CP-9(6)](#cp-9.6) require the duplication of systems or system components in distributed locations. The synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the mission or business functions of organizations, as needed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-36(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-36.02_odp }} are synchronized." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-36(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of distributed processing and storage components subject to polling\n\nsystem polling techniques and associated documentation or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-36(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-36(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing duplicate system or system component synchronization" - } - ] - } - ] - } - ] - }, - { - "id": "sc-37", - "class": "SP800-53", - "title": "Out-of-band Channels", - "params": [ - { - "id": "sc-37_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_3" - }, - { - "name": "label", - "value": "SC-37_ODP[01]" - } - ], - "label": "out-of-band channels", - "guidelines": [ - { - "prose": "out-of-band channels to be employed for the physical delivery or electronic transmission of information, system components, or devices to individuals or the system are defined;" - } - ] - }, - { - "id": "sc-37_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_1" - }, - { - "name": "label", - "value": "SC-37_ODP[02]" - } - ], - "label": "information, system components, or devices", - "guidelines": [ - { - "prose": "information, system components, or devices to employ out-of-band-channels for physical delivery or electronic transmission are defined;" - } - ] - }, - { - "id": "sc-37_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37_prm_2" - }, - { - "name": "label", - "value": "SC-37_ODP[03]" - } - ], - "label": "individuals or systems", - "guidelines": [ - { - "prose": "individuals or systems to which physical delivery or electronic transmission of information, system components, or devices is to be achieved via the employment of out-of-band channels are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-37" - }, - { - "name": "sort-id", - "value": "sc-37" - } - ], - "links": [ - { - "href": "#110e26af-4765-49e1-8740-6750f83fcda1", - "rel": "reference" - }, - { - "href": "#e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "rel": "reference" - }, - { - "href": "#8306620b-1920-4d73-8b21-12008528595f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-37_smt", - "name": "statement", - "prose": "Employ the following out-of-band channels for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}: {{ insert: param, sc-37_odp.01 }}." - }, - { - "id": "sc-37_gdn", - "name": "guidance", - "prose": "Out-of-band channels include local, non-network accesses to systems; network paths physically separate from network paths used for operational traffic; or non-electronic paths, such as the U.S. Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of organizational items, including authenticators and credentials; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-37", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-37_odp.01 }} are employed for the physical delivery or electronic transmission of {{ insert: param, sc-37_odp.02 }} to {{ insert: param, sc-37_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-37-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of out-of-band channels\n\naccess control policy and procedures\n\nidentification and authentication policy and procedures\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of out-of-band channels\n\ntypes of information, system components, or devices requiring the use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or systems\n\nphysical delivery records\n\nelectronic transmission records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-37-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-37-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of out-of-band channels\n\nautomated mechanisms supporting and/or implementing the use of out-of-band channels" - } - ] - } - ], - "controls": [ - { - "id": "sc-37.1", - "class": "SP800-53-enhancement", - "title": "Ensure Delivery and Transmission", - "params": [ - { - "id": "sc-37.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_1" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be employed to ensure that only designated individuals or systems receive specific information, system components, or devices are defined;" - } - ] - }, - { - "id": "sc-37.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_2" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[02]" - } - ], - "label": "individuals or systems", - "guidelines": [ - { - "prose": "individuals or systems designated to receive specific information, system components, or devices are defined;" - } - ] - }, - { - "id": "sc-37.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-37.1_prm_3" - }, - { - "name": "label", - "value": "SC-37(01)_ODP[03]" - } - ], - "label": "information, system components, or devices", - "guidelines": [ - { - "prose": "information, system components, or devices that only individuals or systems are designated to receive are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-37(01)" - }, - { - "name": "sort-id", - "value": "sc-37.01" - } - ], - "links": [ - { - "href": "#sc-37", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-37.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-37.01_odp.01 }} to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive the following information, system components, or devices: {{ insert: param, sc-37.01_odp.03 }}." - }, - { - "id": "sc-37.1_gdn", - "name": "guidance", - "prose": "Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-37(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-37.01_odp.01 }} are employed to ensure that only {{ insert: param, sc-37.01_odp.02 }} receive {{ insert: param, sc-37.01_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-37(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing the use of out-of-band channels\n\naccess control policy and procedures\n\nidentification and authentication policy and procedures\n\nsystem design documentation\n\nsystem architecture\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards to be employed to ensure that designated individuals or systems receive organization-defined information, system components, or devices\n\nlist of security safeguards for delivering designated information, system components, or devices to designated individuals or systems\n\nlist of information, system components, or devices to be delivered to designated individuals or systems\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-37(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-37(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of out-of-band channels\n\nautomated mechanisms supporting and/or implementing the use of out-of-band channels\n\nautomated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices" - } - ] - } - ] - } - ] - }, - { - "id": "sc-38", - "class": "SP800-53", - "title": "Operations Security", - "params": [ - { - "id": "sc-38_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-38_prm_1" - }, - { - "name": "label", - "value": "SC-38_ODP" - } - ], - "label": "operations security controls", - "guidelines": [ - { - "prose": "operations security controls to be employed to protect key organizational information throughout the system development life cycle are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-38" - }, - { - "name": "sort-id", - "value": "sc-38" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-38_smt", - "name": "statement", - "prose": "Employ the following operations security controls to protect key organizational information throughout the system development life cycle: {{ insert: param, sc-38_odp }}." - }, - { - "id": "sc-38_gdn", - "name": "guidance", - "prose": "Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information, analysis of threats, analysis of vulnerabilities, assessment of risks, and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers, potential suppliers, and other non-organizational elements and individuals. Information critical to organizational mission and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-38", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-38_odp }} are employed to protect key organizational information throughout the system development life cycle." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-38-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing operations security\n\nsecurity plan\n\nlist of operations security safeguards\n\nsecurity control assessments\n\nrisk assessments\n\nthreat and vulnerability assessments\n\nplans of action and milestones\n\nsystem development life cycle documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-38-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-38-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for protecting organizational information throughout the system development life cycle\n\nautomated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the system development life cycle" - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "props": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each executing system process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39", - "class": "sp800-53A" - } - ], - "prose": "a separate execution domain is maintained for each executing system process." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System design documentation\n\nsystem architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System developers/integrators\n\nsystem security architect" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for each executing process" - } - ] - } - ], - "controls": [ - { - "id": "sc-39.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-39(01)" - }, - { - "name": "sort-id", - "value": "sc-39.01" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-39.1_smt", - "name": "statement", - "prose": "Implement hardware separation mechanisms to facilitate process isolation." - }, - { - "id": "sc-39.1_gdn", - "name": "guidance", - "prose": "Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39(01)", - "class": "sp800-53A" - } - ], - "prose": "hardware separation is implemented to facilitate process isolation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem documentation for hardware separation mechanisms\n\nsystem documentation from vendors, manufacturers, or developers\n\nindependent verification and validation documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability implementing underlying hardware separation mechanisms for process separation" - } - ] - } - ] - }, - { - "id": "sc-39.2", - "class": "SP800-53-enhancement", - "title": "Separate Execution Domain Per Thread", - "params": [ - { - "id": "sc-39.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-39.2_prm_1" - }, - { - "name": "label", - "value": "SC-39(02)_ODP" - } - ], - "label": "multi-threaded processing", - "guidelines": [ - { - "prose": "multi-thread processing for which a separate execution domain is to be maintained for each thread is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-39(02)" - }, - { - "name": "sort-id", - "value": "sc-39.02" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-39.2_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each thread in {{ insert: param, sc-39.02_odp }}." - }, - { - "id": "sc-39.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-39(02)", - "class": "sp800-53A" - } - ], - "prose": "a separate execution domain is maintained for each thread in {{ insert: param, sc-39.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-39(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of system execution domains for each thread in multi-threaded processing\n\nsystem documentation for multi-threaded processing\n\nsystem documentation from vendors, manufacturers, or developers\n\nindependent verification and validation documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-39(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-39(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System capability implementing a separate execution domain for each thread in multi-threaded processing" - } - ] - } - ] - } - ] - }, - { - "id": "sc-40", - "class": "SP800-53", - "title": "Wireless Link Protection", - "params": [ - { - "id": "sc-40_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sc-40_odp.01" - } - ], - "label": "organization-defined wireless links" - }, - { - "id": "sc-40_prm_2", - "props": [ - { - "name": "aggregates", - "value": "sc-40_odp.02" - } - ], - "label": "organization-defined types of signal parameter attacks or references to sources for such attacks" - }, - { - "id": "sc-40_odp.01", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[01]" - } - ], - "label": "wireless links", - "guidelines": [ - { - "prose": "external wireless links to be protected from particular types of signal parameter attacks are defined;" - } - ] - }, - { - "id": "sc-40_odp.02", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[02]" - } - ], - "label": "types of signal parameter attacks or references to sources for such attacks", - "guidelines": [ - { - "prose": "types of signal parameter attacks or references to sources for such attacks from which to protect external wireless links are defined;" - } - ] - }, - { - "id": "sc-40_odp.03", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[03]" - } - ], - "label": "wireless links", - "guidelines": [ - { - "prose": "internal wireless links to be protected from particular types of signal parameter attacks are defined;" - } - ] - }, - { - "id": "sc-40_odp.04", - "props": [ - { - "name": "label", - "value": "SC-40_ODP[04]" - } - ], - "label": "types of signal parameter attacks or references to sources for such attacks", - "guidelines": [ - { - "prose": "types of signal parameter attacks or references to sources for such attacks from which to protect internal wireless links are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40" - }, - { - "name": "sort-id", - "value": "sc-40" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40_smt", - "name": "statement", - "prose": "Protect external and internal {{ insert: param, sc-40_prm_1 }} from the following signal parameter attacks: {{ insert: param, sc-40_prm_2 }}." - }, - { - "id": "sc-40_gdn", - "name": "guidance", - "prose": "Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement wireless link protections to the extent necessary to meet organizational security requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40[01]", - "class": "sp800-53A" - } - ], - "prose": "external {{ insert: param, sc-40_odp.01 }} are protected from {{ insert: param, sc-40_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40[02]", - "class": "sp800-53A" - } - ], - "prose": "internal {{ insert: param, sc-40_odp.03 }} are protected from {{ insert: param, sc-40_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of internal and external wireless links\n\nlist of signal parameter attacks or references to sources for attacks\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of wireless links" - } - ] - } - ], - "controls": [ - { - "id": "sc-40.1", - "class": "SP800-53-enhancement", - "title": "Electromagnetic Interference", - "params": [ - { - "id": "sc-40.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.1_prm_1" - }, - { - "name": "label", - "value": "SC-40(01)_ODP" - } - ], - "label": "level of protection", - "guidelines": [ - { - "prose": "level of protection to be employed against the effects of intentional electromagnetic interference is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(01)" - }, - { - "name": "sort-id", - "value": "sc-40.01" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#pe-21", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference." - }, - { - "id": "sc-40.1_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms for electromagnetic interference protects systems against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters that share the same spectrum. Mission requirements, projected threats, concept of operations, and laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, and performance." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(01)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms that achieve {{ insert: param, sc-40.01_odp }} against the effects of intentional electromagnetic interference are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsecurity categorization results\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference" - } - ] - } - ] - }, - { - "id": "sc-40.2", - "class": "SP800-53-enhancement", - "title": "Reduce Detection Potential", - "params": [ - { - "id": "sc-40.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.2_prm_1" - }, - { - "name": "label", - "value": "SC-40(02)_ODP" - } - ], - "label": "level of reduction", - "guidelines": [ - { - "prose": "the level of reduction to be achieved to reduce the detection potential of wireless links is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(02)" - }, - { - "name": "sort-id", - "value": "sc-40.02" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }}." - }, - { - "id": "sc-40.2_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that the spread spectrum waveforms used to achieve a low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(02)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.02_odp }} are implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing wireless link protection\n\nsystem design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsecurity categorization results\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing protections to reduce the detection of wireless links" - } - ] - } - ] - }, - { - "id": "sc-40.3", - "class": "SP800-53-enhancement", - "title": "Imitative or Manipulative Communications Deception", - "props": [ - { - "name": "label", - "value": "SC-40(03)" - }, - { - "name": "sort-id", - "value": "sc-40.03" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "id": "sc-40.3_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based on signal parameters alone." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(03)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing system design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception" - } - ] - } - ] - }, - { - "id": "sc-40.4", - "class": "SP800-53-enhancement", - "title": "Signal Parameter Identification", - "params": [ - { - "id": "sc-40.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-40.4_prm_1" - }, - { - "name": "label", - "value": "SC-40(04)_ODP" - } - ], - "label": "wireless transmitters", - "guidelines": [ - { - "prose": "wireless transmitters for which cryptographic mechanisms are to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(04)" - }, - { - "name": "sort-id", - "value": "sc-40.04" - } - ], - "links": [ - { - "href": "#sc-40", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters." - }, - { - "id": "sc-40.4_gdn", - "name": "guidance", - "prose": "The implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for the purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required. Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-40(04)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to prevent the identification of {{ insert: param, sc-40.04_odp }} by using the transmitter signal parameters." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-40(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing system design documentation\n\nwireless network diagrams\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem communications hardware and software\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-40(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel authorizing, installing, configuring, and/or maintaining internal and external wireless links" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-40(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms preventing the identification of wireless transmitters" - } - ] - } - ] - } - ] - }, - { - "id": "sc-41", - "class": "SP800-53", - "title": "Port and I/O Device Access", - "params": [ - { - "id": "sc-41_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_2" - }, - { - "name": "label", - "value": "SC-41_ODP[01]" - } - ], - "label": "connection ports or input/output devices", - "guidelines": [ - { - "prose": "connection ports or input/output devices to be disabled or removed are defined;" - } - ] - }, - { - "id": "sc-41_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_1" - }, - { - "name": "label", - "value": "SC-41_ODP[02]" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-41_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-41_prm_3" - }, - { - "name": "label", - "value": "SC-41_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components with connection ports or input/output devices to be disabled or removed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-41" - }, - { - "name": "sort-id", - "value": "sc-41" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-41_smt", - "name": "statement", - "prose": "{{ insert: param, sc-41_odp.02 }} disable or remove {{ insert: param, sc-41_odp.01 }} on the following systems or system components: {{ insert: param, sc-41_odp.03 }}." - }, - { - "id": "sc-41_gdn", - "name": "guidance", - "prose": "Connection ports include Universal Serial Bus (USB), Thunderbolt, and Firewire (IEEE 1394). Input/output (I/O) devices include compact disc and digital versatile disc drives. Disabling or removing such connection ports and I/O devices helps prevent the exfiltration of information from systems and the introduction of malicious code from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-41", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-41_odp.01 }} are {{ insert: param, sc-41_odp.02 }} disabled or removed on {{ insert: param, sc-41_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-41-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing port and input/output device access\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystems or system components\n\nlist of connection ports or input/output devices to be physically disabled or removed on systems or system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-41-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-41-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the disabling of connection ports or input/output devices" - } - ] - } - ] - }, - { - "id": "sc-42", - "class": "SP800-53", - "title": "Sensor Capability and Data", - "params": [ - { - "id": "sc-42_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_1" - }, - { - "name": "label", - "value": "SC-42_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "the use of devices possessing{{ insert: param, sc-42_odp.02 }}in{{ insert: param, sc-42_odp.03 }} ", - "the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions:{{ insert: param, sc-42_odp.04 }} " - ] - } - }, - { - "id": "sc-42_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_2" - }, - { - "name": "label", - "value": "SC-42_ODP[02]" - } - ], - "label": "environmental sensing capabilities", - "guidelines": [ - { - "prose": "environmental sensing capabilities in devices are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_3" - }, - { - "name": "label", - "value": "SC-42_ODP[03]" - } - ], - "label": "facilities, areas, or systems", - "guidelines": [ - { - "prose": "facilities, areas, or systems where the use of devices possessing environmental sensing capabilities is prohibited are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_4" - }, - { - "name": "label", - "value": "SC-42_ODP[04]" - } - ], - "label": "exceptions where remote activation of sensors is allowed", - "guidelines": [ - { - "prose": "exceptions where remote activation of sensors is allowed are defined (if selected);" - } - ] - }, - { - "id": "sc-42_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42_prm_5" - }, - { - "name": "label", - "value": "SC-42_ODP[05]" - } - ], - "label": "group of users", - "guidelines": [ - { - "prose": "group of users to whom an explicit indication of sensor use is to be provided is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42" - }, - { - "name": "sort-id", - "value": "sc-42" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42_smt", - "name": "statement", - "parts": [ - { - "id": "sc-42_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit {{ insert: param, sc-42_odp.01 }} ; and" - }, - { - "id": "sc-42_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of sensor use to {{ insert: param, sc-42_odp.05 }}." - } - ] - }, - { - "id": "sc-42_gdn", - "name": "guidance", - "prose": "Sensor capability and data applies to types of systems or system components characterized as mobile devices, such as cellular telephones, smart phones, and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include microphones, cameras, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the movements of an individual. Organizations may prohibit individuals from bringing cellular telephones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42_odp.01 }} is/are prohibited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42b.", - "class": "sp800-53A" - } - ], - "prose": "an explicit indication of sensor use is provided to {{ insert: param, sc-42_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor capabilities and data collection\n\naccess control policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access controls for the remote activation of system sensor capabilities\n\nautomated mechanisms implementing the capability to indicate sensor use" - } - ] - } - ], - "controls": [ - { - "id": "sc-42.1", - "class": "SP800-53-enhancement", - "title": "Reporting to Authorized Individuals or Roles", - "params": [ - { - "id": "sc-42.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.1_prm_1" - }, - { - "name": "label", - "value": "SC-42(01)_ODP" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors to be used to collect data or information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(01)" - }, - { - "name": "sort-id", - "value": "sc-42.01" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-42.1_smt", - "name": "statement", - "prose": "Verify that the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles." - }, - { - "id": "sc-42.1_gdn", - "name": "guidance", - "prose": "In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(01)", - "class": "sp800-53A" - } - ], - "prose": "the system is configured so that data or information collected by the {{ insert: param, sc-42.01_odp }} is only reported to authorized individuals or roles." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\nprocedures addressing sensor capability and data collection\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for the sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms restricting the reporting of sensor information to those authorized\n\nsensor data collection and reporting capabilities for the system" - } - ] - } - ] - }, - { - "id": "sc-42.2", - "class": "SP800-53-enhancement", - "title": "Authorized Use", - "params": [ - { - "id": "sc-42.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.2_prm_2" - }, - { - "name": "label", - "value": "SC-42(02)_ODP[01]" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to be employed so that data or information collected by sensors is only used for authorized purposes are defined;" - } - ] - }, - { - "id": "sc-42.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.2_prm_1" - }, - { - "name": "label", - "value": "SC-42(02)_ODP[02]" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors to be used to collect data or information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(02)" - }, - { - "name": "sort-id", - "value": "sc-42.02" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.2_smt", - "name": "statement", - "prose": "Employ the following measures so that data or information collected by {{ insert: param, sc-42.02_odp.02 }} is only used for authorized purposes: {{ insert: param, sc-42.02_odp.01 }}." - }, - { - "id": "sc-42.2_gdn", - "name": "guidance", - "prose": "Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track the movements of individuals. Measures to mitigate such activities include additional training to help ensure that authorized individuals do not abuse their authority and, in the case where sensor data is maintained by external parties, contractual restrictions on the use of such data." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42.02_odp.01 }} are employed so that data or information collected by {{ insert: param, sc-42.02_odp.02 }} is only used for authorized purposes." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nlist of measures to be employed to that the ensure data or information collected by sensors is only used for authorized purposes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes\n\nsensor information collection capability for the system" - } - ] - } - ] - }, - { - "id": "sc-42.3", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Devices", - "props": [ - { - "name": "label", - "value": "SC-42(03)" - }, - { - "name": "sort-id", - "value": "sc-42.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-42.4", - "class": "SP800-53-enhancement", - "title": "Notice of Collection", - "params": [ - { - "id": "sc-42.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.4_prm_2" - }, - { - "name": "label", - "value": "SC-42(04)_ODP[01]" - } - ], - "label": "measures", - "guidelines": [ - { - "prose": "measures to facilitate an individual’s awareness that personally identifiable information is being collected are defined;" - } - ] - }, - { - "id": "sc-42.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.4_prm_1" - }, - { - "name": "label", - "value": "SC-42(04)_ODP[02]" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "sensors that collect personally identifiable information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(04)" - }, - { - "name": "sort-id", - "value": "sc-42.04" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-4", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.4_smt", - "name": "statement", - "prose": "Employ the following measures to facilitate an individual’s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }}: {{ insert: param, sc-42.04_odp.01 }}." - }, - { - "id": "sc-42.4_gdn", - "name": "guidance", - "prose": "Awareness that organizational sensors are collecting data enables individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals directly or indirectly aware through other devices that the sensor is collecting information. The usability and efficacy of the notice are important considerations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(04)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-42.04_odp.01 }} are employed to facilitate an individual’s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.04_odp.02 }} " - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprivacy risk assessment documentation\n\nprivacy impact assessments\n\nsystem architecture\n\nlist of measures to be employed to ensure that individuals are aware that personally identifiable information is being collected by sensors\n\nexamples of notifications provided to individuals that personally identifiable information is being collected by sensors\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to facilitate an individual’s awareness that personally identifiable information is being collected by sensors\n\nsensor information collection capabilities for the system" - } - ] - } - ] - }, - { - "id": "sc-42.5", - "class": "SP800-53-enhancement", - "title": "Collection Minimization", - "params": [ - { - "id": "sc-42.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-42.5_prm_1" - }, - { - "name": "label", - "value": "SC-42(05)_ODP" - } - ], - "label": "sensors", - "guidelines": [ - { - "prose": "the sensors that are configured to minimize the collection of unneeded information about individuals are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(05)" - }, - { - "name": "sort-id", - "value": "sc-42.05" - } - ], - "links": [ - { - "href": "#sc-42", - "rel": "required" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-42.05_odp }} that are configured to minimize the collection of information about individuals that is not needed." - }, - { - "id": "sc-42.5_gdn", - "name": "guidance", - "prose": "Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features, such as blurring or pixelating flesh tones." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-42(05)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sc-42.05_odp }} configured to minimize the collection of information about individuals that is not needed are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-42(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\naccess control policy and procedures\n\npersonally identifiable information processing policy\n\nsensor capability and data collection policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprivacy risk assessment documentation\n\nprivacy impact assessments\n\nsystem architecture\n\nlist of information being collected by sensors\n\nlist of sensor configurations that minimize the collection of personally identifiable information (e.g., obscure human features)\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-42(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for sensor capabilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-42(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing measures to facilitate the review of information that is being collected by sensors\n\nsensor information collection capabilities for the system" - } - ] - } - ] - } - ] - }, - { - "id": "sc-43", - "class": "SP800-53", - "title": "Usage Restrictions", - "params": [ - { - "id": "sc-43_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-43_prm_1" - }, - { - "name": "label", - "value": "SC-43_ODP" - } - ], - "label": "components", - "guidelines": [ - { - "prose": "the components for which usage restrictions and implementation guidance are to be established are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-43" - }, - { - "name": "sort-id", - "value": "sc-43" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#0f66be67-85e7-4ca6-bd19-39453e9f4394", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-43_smt", - "name": "statement", - "parts": [ - { - "id": "sc-43_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish usage restrictions and implementation guidelines for the following system components: {{ insert: param, sc-43_odp }} ; and" - }, - { - "id": "sc-43_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of such components within the system." - } - ] - }, - { - "id": "sc-43_gdn", - "name": "guidance", - "prose": "Usage restrictions apply to all system components including but not limited to mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43a.", - "class": "sp800-53A" - } - ], - "prose": "usage restrictions and implementation guidelines are established for {{ insert: param, sc-43_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[01]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is authorized within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[02]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is monitored within the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-43b.[03]", - "class": "sp800-53A" - } - ], - "prose": "the use of {{ insert: param, sc-43_odp }} is controlled within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-43-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nusage restrictions\n\nprocedures addressing usage restrictions\n\nimplementation policy and procedures\n\nauthorization records\n\nsystem monitoring records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-43-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-43-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing, monitoring, and controlling the use of components with usage restrictions\n\nAutomated mechanisms supporting and/or implementing, authorizing, monitoring, and controlling the use of components with usage restrictions" - } - ] - } - ] - }, - { - "id": "sc-44", - "class": "SP800-53", - "title": "Detonation Chambers", - "params": [ - { - "id": "sc-44_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-44_prm_1" - }, - { - "name": "label", - "value": "SC-44_ODP" - } - ], - "label": "system, system component, or location", - "guidelines": [ - { - "prose": "the system, system component, or location where a detonation chamber capability is to be employed is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-44" - }, - { - "name": "sort-id", - "value": "sc-44" - } - ], - "links": [ - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-44_smt", - "name": "statement", - "prose": "Employ a detonation chamber capability within {{ insert: param, sc-44_odp }}." - }, - { - "id": "sc-44_gdn", - "name": "guidance", - "prose": "Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. Protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, the employment of detonation chambers is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, detonation chambers are intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-44", - "class": "sp800-53A" - } - ], - "prose": "a detonation chamber capability is employed within the {{ insert: param, sc-44_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-44-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing detonation chambers\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-44-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-44-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the detonation chamber capability" - } - ] - } - ] - }, - { - "id": "sc-45", - "class": "SP800-53", - "title": "System Time Synchronization", - "props": [ - { - "name": "label", - "value": "SC-45" - }, - { - "name": "sort-id", - "value": "sc-45" - } - ], - "links": [ - { - "href": "#e4d37285-1e79-4029-8b6a-42df39cace30", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-45_smt", - "name": "statement", - "prose": "Synchronize system clocks within and between systems and system components." - }, - { - "id": "sc-45_gdn", - "name": "guidance", - "prose": "Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45", - "class": "sp800-53A" - } - ], - "prose": "system clocks are synchronized within and between systems and system components." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization" - } - ] - } - ], - "controls": [ - { - "id": "sc-45.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "params": [ - { - "id": "sc-45.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_1" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to compare the internal system clocks with the authoritative time source is defined;" - } - ] - }, - { - "id": "sc-45.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_2" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[02]" - } - ], - "label": "authoritative time source", - "guidelines": [ - { - "prose": "the authoritative time source to which internal system clocks are to be compared is defined;" - } - ] - }, - { - "id": "sc-45.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-45.1_prm_3" - }, - { - "name": "label", - "value": "SC-45(01)_ODP[03]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period to compare the internal system clocks with the authoritative time source is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-45(01)" - }, - { - "name": "sort-id", - "value": "sc-45.01" - } - ], - "links": [ - { - "href": "#sc-45", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-45.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-45.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compare the internal system clocks {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }} ; and" - }, - { - "id": "sc-45.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}." - } - ] - }, - { - "id": "sc-45.1_gdn", - "name": "guidance", - "prose": "Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are compared {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are synchronized with the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization" - } - ] - } - ] - }, - { - "id": "sc-45.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "SC-45(02)" - }, - { - "name": "sort-id", - "value": "sc-45.02" - } - ], - "links": [ - { - "href": "#sc-45", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-45.2_smt", - "name": "statement", - "parts": [ - { - "id": "sc-45.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and" - }, - { - "id": "sc-45.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "id": "sc-45.2_gdn", - "name": "guidance", - "prose": "It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "a secondary authoritative time source is identified that is in a different geographic region than the primary authoritative time source;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-45(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "the internal system clocks are synchronized to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-45(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing time synchronization\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-45(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-45(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing system time synchronization with secondary authoritative time sources" - } - ] - } - ] - } - ] - }, - { - "id": "sc-46", - "class": "SP800-53", - "title": "Cross Domain Policy Enforcement", - "params": [ - { - "id": "sc-46_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-46_prm_1" - }, - { - "name": "label", - "value": "SC-46_ODP" - } - ], - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-46" - }, - { - "name": "sort-id", - "value": "sc-46" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-46_smt", - "name": "statement", - "prose": "Implement a policy enforcement mechanism {{ insert: param, sc-46_odp }} between the physical and/or network interfaces for the connecting security domains." - }, - { - "id": "sc-46_gdn", - "name": "guidance", - "prose": "For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security domain may be needed. Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-46", - "class": "sp800-53A" - } - ], - "prose": "a policy enforcement mechanism is {{ insert: param, sc-46_odp }} implemented between the physical and/or network interfaces for the connecting security domains." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-46-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-46-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-46-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cross-domain policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-47", - "class": "SP800-53", - "title": "Alternate Communications Paths", - "params": [ - { - "id": "sc-47_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-47_prm_1" - }, - { - "name": "label", - "value": "SC-47_ODP" - } - ], - "label": "alternate communication paths", - "guidelines": [ - { - "prose": "alternate communication paths for system operations and operational command and control are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-47" - }, - { - "name": "sort-id", - "value": "sc-47" - } - ], - "links": [ - { - "href": "#bc39f179-c735-4da2-b7a7-b2b622119755", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-47_smt", - "name": "statement", - "prose": "Establish {{ insert: param, sc-47_odp }} for system operations organizational command and control." - }, - { - "id": "sc-47_gdn", - "name": "guidance", - "prose": "An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. Alternate communications paths reduce the risk of all communications paths being affected by the same incident. To compound the problem, the inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements after a communications path incident, can impact the ability of the organization to respond to such incidents in a timely manner. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization’s ability to continue to operate and take appropriate actions during an incident." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-47", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-47_odp }} are established for system operations and operational command and control." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-47-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing communication paths\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-47-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-47-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate communication paths for system operations" - } - ] - } - ] - }, - { - "id": "sc-48", - "class": "SP800-53", - "title": "Sensor Relocation", - "params": [ - { - "id": "sc-48_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_1" - }, - { - "name": "label", - "value": "SC-48_ODP[01]" - } - ], - "label": "sensors and monitoring capabilities", - "guidelines": [ - { - "prose": "sensors and monitoring capabilities to be relocated are defined;" - } - ] - }, - { - "id": "sc-48_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_2" - }, - { - "name": "label", - "value": "SC-48_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to where sensors and monitoring capabilities are to be relocated are defined;" - } - ] - }, - { - "id": "sc-48_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48_prm_3" - }, - { - "name": "label", - "value": "SC-48_ODP[03]" - } - ], - "label": "conditions or circumstances", - "guidelines": [ - { - "prose": "conditions or circumstances for relocating sensors and monitoring capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-48" - }, - { - "name": "sort-id", - "value": "sc-48" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-48_smt", - "name": "statement", - "prose": "Relocate {{ insert: param, sc-48_odp.01 }} to {{ insert: param, sc-48_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48_odp.03 }}." - }, - { - "id": "sc-48_gdn", - "name": "guidance", - "prose": "Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities, and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary’s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information that the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-48", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-48_odp.01 }} are relocated to {{ insert: param, sc-48_odp.02 }} under {{ insert: param, sc-48_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-48-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor and monitoring capability relocation\n\nlist of sensors/monitoring capabilities to be relocated\n\nchange control records\n\nconfiguration management records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-48-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-48-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing sensor relocation" - } - ] - } - ], - "controls": [ - { - "id": "sc-48.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Relocation of Sensors or Monitoring Capabilities", - "params": [ - { - "id": "sc-48.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_1" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[01]" - } - ], - "label": "sensors and monitoring capabilities", - "guidelines": [ - { - "prose": "sensors and monitoring capabilities to be dynamically relocated are defined;" - } - ] - }, - { - "id": "sc-48.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_2" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[02]" - } - ], - "label": "locations", - "guidelines": [ - { - "prose": "locations to where sensors and monitoring capabilities are to be dynamically relocated are defined;" - } - ] - }, - { - "id": "sc-48.01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-48.1_prm_3" - }, - { - "name": "label", - "value": "SC-48(01)_ODP[03]" - } - ], - "label": "conditions or circumstances", - "guidelines": [ - { - "prose": "conditions or circumstances for dynamically relocating sensors and monitoring capabilities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-48(01)" - }, - { - "name": "sort-id", - "value": "sc-48.01" - } - ], - "links": [ - { - "href": "#sc-48", - "rel": "required" - } - ], - "parts": [ - { - "id": "sc-48.1_smt", - "name": "statement", - "prose": "Dynamically relocate {{ insert: param, sc-48.01_odp.01 }} to {{ insert: param, sc-48.01_odp.02 }} under the following conditions or circumstances: {{ insert: param, sc-48.01_odp.03 }}." - }, - { - "id": "sc-48.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-48(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sc-48.01_odp.01 }} are dynamically relocated to {{ insert: param, sc-48.01_odp.02 }} under {{ insert: param, sc-48.01_odp.03 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-48(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing sensor and monitoring capability relocation\n\nlist of sensors/monitoring capabilities to be relocated\n\nchange control records\n\nconfiguration management records\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-48(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-48(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "SELECT FROM: Automated mechanisms supporting and/or implementing sensor relocation" - } - ] - } - ] - } - ] - }, - { - "id": "sc-49", - "class": "SP800-53", - "title": "Hardware-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-49_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-49_prm_1" - }, - { - "name": "label", - "value": "SC-49_ODP" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains requiring hardware-enforced separation and policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-49" - }, - { - "name": "sort-id", - "value": "sc-49" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-50", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-49_smt", - "name": "statement", - "prose": "Implement hardware-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-49_odp }}." - }, - { - "id": "sc-49_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-49", - "class": "sp800-53A" - } - ], - "prose": "hardware-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-49_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-49-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-49-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-49-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware-enforced security domain separation and policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-50", - "class": "SP800-53", - "title": "Software-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-50_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-50_prm_1" - }, - { - "name": "label", - "value": "SC-50_ODP" - } - ], - "label": "security domains", - "guidelines": [ - { - "prose": "security domains requiring software-enforced separation and policy enforcement mechanisms are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-50" - }, - { - "name": "sort-id", - "value": "sc-50" - } - ], - "links": [ - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-50_smt", - "name": "statement", - "prose": "Implement software-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-50_odp }}." - }, - { - "id": "sc-50_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism to ensure domain separation and policy enforcement for specific types of threats and environments of operation." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-50", - "class": "sp800-53A" - } - ], - "prose": "software-enforced separation and policy enforcement mechanisms are implemented between {{ insert: param, sc-50_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-50-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing cross-domain policy enforcement\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-50-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-50-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing software-enforced separation and policy enforcement" - } - ] - } - ] - }, - { - "id": "sc-51", - "class": "SP800-53", - "title": "Hardware-based Protection", - "params": [ - { - "id": "sc-51_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-51_prm_1" - }, - { - "name": "label", - "value": "SC-51_ODP[01]" - } - ], - "label": "system firmware components", - "guidelines": [ - { - "prose": "system firmware components requiring hardware-based write-protect are defined;" - } - ] - }, - { - "id": "sc-51_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sc-51_prm_2" - }, - { - "name": "label", - "value": "SC-51_ODP[02]" - } - ], - "label": "authorized individuals", - "guidelines": [ - { - "prose": "authorized individuals requiring procedures for disabling and re-enabling hardware write-protect are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SC-51" - }, - { - "name": "sort-id", - "value": "sc-51" - } - ], - "parts": [ - { - "id": "sc-51_smt", - "name": "statement", - "parts": [ - { - "id": "sc-51_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ hardware-based, write-protect for {{ insert: param, sc-51_odp.01 }} ; and" - }, - { - "id": "sc-51_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement specific procedures for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode." - } - ] - }, - { - "id": "sc-51_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51a.", - "class": "sp800-53A" - } - ], - "prose": "hardware-based write-protect for {{ insert: param, sc-51_odp.01 }} is employed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.[01]", - "class": "sp800-53A" - } - ], - "prose": "specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to manually disable hardware write-protect for firmware modifications;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SC-51b.[02]", - "class": "sp800-53A" - } - ], - "prose": "specific procedures are implemented for {{ insert: param, sc-51_odp.02 }} to re-enable the write-protect prior to returning to operational mode." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-51-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\n\nprocedures addressing firmware modifications\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem architecture\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-51-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\nsystem developers/integrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-51-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for modifying system firmware\n\nautomated mechanisms supporting and/or implementing hardware-based write-protection for system firmware" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "si-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "si-01_odp.01", - "props": [ - { - "name": "label", - "value": "SI-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and information integrity policy is to be disseminated is/are defined;" - } - ] - }, - { - "id": "si-01_odp.02", - "props": [ - { - "name": "label", - "value": "SI-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom the system and information integrity procedures are to be disseminated is/are defined;" - } - ] - }, - { - "id": "si-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_2" - }, - { - "name": "label", - "value": "SI-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "si-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_3" - }, - { - "name": "label", - "value": "SI-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the system and information integrity policy and procedures is defined;" - } - ] - }, - { - "id": "si-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_4" - }, - { - "name": "label", - "value": "SI-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and information integrity policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "si-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_5" - }, - { - "name": "label", - "value": "SI-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the current system and information integrity policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "si-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_6" - }, - { - "name": "label", - "value": "SI-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current system and information integrity procedures are reviewed and updated is defined;" - } - ] - }, - { - "id": "si-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "si-1_prm_7" - }, - { - "name": "label", - "value": "SI-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that would require the system and information integrity procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-01" - }, - { - "name": "sort-id", - "value": "si-01" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, si-01_odp.03 }} system and information integrity policy that:", - "parts": [ - { - "id": "si-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "si-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, si-01_odp.04 }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and" - }, - { - "id": "si-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and information integrity:", - "parts": [ - { - "id": "si-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, si-01_odp.05 }} and following {{ insert: param, si-01_odp.06 }} ; and" - }, - { - "id": "si-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, si-01_odp.07 }} and following {{ insert: param, si-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a system and information integrity policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the system and information integrity policy is disseminated to {{ insert: param, si-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the system and information integrity procedures are disseminated to {{ insert: param, si-01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses compliance;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.03 }} system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity policy is reviewed and updated {{ insert: param, si-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity policy is reviewed and updated following {{ insert: param, si-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity procedures are reviewed and updated {{ insert: param, si-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current system and information integrity procedures are reviewed and updated following {{ insert: param, si-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "params": [ - { - "id": "si-02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2_prm_1" - }, - { - "name": "label", - "value": "SI-02_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period within which to install security-relevant software updates after the release of the updates is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02" - }, - { - "name": "sort-id", - "value": "si-02" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "rel": "reference" - }, - { - "href": "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify, report, and correct system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Install security-relevant software and firmware updates within {{ insert: param, si-02_odp }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate flaw remediation into the organizational configuration management process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified.\n\nOrganization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are reported;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "system flaws are corrected;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[01]", - "class": "sp800-53A" - } - ], - "prose": "software updates related to flaw remediation are tested for effectiveness before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[02]", - "class": "sp800-53A" - } - ], - "prose": "software updates related to flaw remediation are tested for potential side effects before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[03]", - "class": "sp800-53A" - } - ], - "prose": "firmware updates related to flaw remediation are tested for effectiveness before installation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02b.[04]", - "class": "sp800-53A" - } - ], - "prose": "firmware updates related to flaw remediation are tested for potential side effects before installation;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "security-relevant software updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "security-relevant firmware updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02d.", - "class": "sp800-53A" - } - ], - "prose": "flaw remediation is incorporated into the organizational configuration management process." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the system\n\nlist of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws)\n\ntest results from the installation of software and firmware updates to correct system flaws\n\ninstallation/change control records for security-relevant software and firmware updates\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel responsible for installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation\n\norganizational personnel with configuration management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing the reporting and correcting of system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware updates" - } - ] - } - ], - "controls": [ - { - "id": "si-2.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-02(01)" - }, - { - "name": "sort-id", - "value": "si-02.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "params": [ - { - "id": "si-02.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.2_prm_1" - }, - { - "name": "label", - "value": "SI-02(02)_ODP[01]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined;" - } - ] - }, - { - "id": "si-02.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.2_prm_2" - }, - { - "name": "label", - "value": "SI-02(02)_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(02)" - }, - { - "name": "sort-id", - "value": "si-02.02" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-02.02_odp.01 }} {{ insert: param, si-02.02_odp.02 }}." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can track and determine the status of known flaws for system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(02)", - "class": "sp800-53A" - } - ], - "prose": "system components have applicable security-relevant software and firmware updates installed {{ insert: param, si-02.02_odp.02 }} using {{ insert: param, si-02.02_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting centralized management of flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to determine the state of system components with regard to flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws and Benchmarks for Corrective Actions", - "params": [ - { - "id": "si-02.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.3_prm_1" - }, - { - "name": "label", - "value": "SI-02(03)_ODP" - } - ], - "label": "benchmarks", - "guidelines": [ - { - "prose": "the benchmarks for taking corrective actions are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(03)" - }, - { - "name": "sort-id", - "value": "si-02.03" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measure the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish the following benchmarks for taking corrective actions: {{ insert: param, si-02.03_odp }}." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)(a)", - "class": "sp800-53A" - } - ], - "prose": "the time between flaw identification and flaw remediation is measured;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(03)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-02.03_odp }} for taking corrective actions have been established." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of benchmarks for taking corrective action on identified flaws\n\nrecords that provide timestamps of flaw identification and subsequent flaw remediation activities\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting system flaws\n\nautomated mechanisms used to measure the time between flaw identification and flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Patch Management Tools", - "params": [ - { - "id": "si-02.04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.4_prm_1" - }, - { - "name": "label", - "value": "SI-02(04)_ODP" - } - ], - "label": "components", - "guidelines": [ - { - "prose": "the system components requiring automated patch management tools to facilitate flaw remediation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(04)" - }, - { - "name": "sort-id", - "value": "si-02.04" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.4_smt", - "name": "statement", - "prose": "Employ automated patch management tools to facilitate flaw remediation to the following system components: {{ insert: param, si-02.04_odp }}." - }, - { - "id": "si-2.4_gdn", - "name": "guidance", - "prose": "Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(04)", - "class": "sp800-53A" - } - ], - "prose": "automated patch management tools are employed to facilitate flaw remediation to {{ insert: param, si-02.04_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation and automatic software/firmware updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of system flaws\n\nrecords of recent security-relevant software and firmware updates that are automatically installed to system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated patch management tools\n\nautomated mechanisms implementing automatic software/firmware updates\n\nautomated mechanisms facilitating flaw remediation to system components" - } - ] - } - ] - }, - { - "id": "si-2.5", - "class": "SP800-53-enhancement", - "title": "Automatic Software and Firmware Updates", - "params": [ - { - "id": "si-02.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.5_prm_1" - }, - { - "name": "label", - "value": "SI-02(05)_ODP[01]" - } - ], - "label": "security-relevant software and firmware updates", - "guidelines": [ - { - "prose": "security-relevant software and firmware updates to be automatically installed to system components are defined;" - } - ] - }, - { - "id": "si-02.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.5_prm_2" - }, - { - "name": "label", - "value": "SI-02(05)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring security-relevant software updates to be automatically installed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(05)" - }, - { - "name": "sort-id", - "value": "si-02.05" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.5_smt", - "name": "statement", - "prose": "Install {{ insert: param, si-02.05_odp.01 }} automatically to {{ insert: param, si-02.05_odp.02 }}." - }, - { - "id": "si-2.5_gdn", - "name": "guidance", - "prose": "Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-02.05_odp.01 }} are installed automatically to {{ insert: param, si-02.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation and automatic software/firmware updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of recent security-relevant software and firmware updates automatically installed to system components\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing automatic software/firmware updates" - } - ] - } - ] - }, - { - "id": "si-2.6", - "class": "SP800-53-enhancement", - "title": "Removal of Previous Versions of Software and Firmware", - "params": [ - { - "id": "si-02.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-2.6_prm_1" - }, - { - "name": "label", - "value": "SI-02(06)_ODP" - } - ], - "label": "software and firmware components", - "guidelines": [ - { - "prose": "software and firmware components to be removed after updated versions have been installed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-02(06)" - }, - { - "name": "sort-id", - "value": "si-02.06" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-2.6_smt", - "name": "statement", - "prose": "Remove previous versions of {{ insert: param, si-02.06_odp }} after updated versions have been installed." - }, - { - "id": "si-2.6_gdn", - "name": "guidance", - "prose": "Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may automatically remove previous versions of software and firmware from the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-02(06)", - "class": "sp800-53A" - } - ], - "prose": "previous versions of {{ insert: param, si-02.06_odp }} are removed after updated versions have been installed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-02(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting flaw remediation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nrecords of software and firmware component removals after updated versions are installed\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-02(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for flaw remediation" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-02(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of previous versions of software/firmware" - } - ] - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "params": [ - { - "id": "si-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_1" - }, - { - "name": "label", - "value": "SI-03_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "signature-based", - "non-signature-based" - ] - } - }, - { - "id": "si-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_2" - }, - { - "name": "label", - "value": "SI-03_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which malicious code protection mechanisms perform scans is defined;" - } - ] - }, - { - "id": "si-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_3" - }, - { - "name": "label", - "value": "SI-03_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "endpoint", - "network entry and exit points" - ] - } - }, - { - "id": "si-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_4" - }, - { - "name": "label", - "value": "SI-03_ODP[04]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "block malicious code", - "quarantine malicious code", - "take{{ insert: param, si-03_odp.05 }} " - ] - } - }, - { - "id": "si-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_5" - }, - { - "name": "label", - "value": "SI-03_ODP[05]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "action to be taken in response to malicious code detection are defined (if selected);" - } - ] - }, - { - "id": "si-03_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3_prm_6" - }, - { - "name": "label", - "value": "SI-03_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when malicious code is detected is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03" - }, - { - "name": "sort-id", - "value": "si-03" - } - ], - "links": [ - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#88660532-2dcf-442e-845c-03340ce48999", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement {{ insert: param, si-03_odp.01 }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configure malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Perform periodic scans of the system {{ insert: param, si-03_odp.02 }} and real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "{{ insert: param, si-03_odp.04 }} ; and send alert to {{ insert: param, si-03_odp.06 }} in response to malicious code detection; and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code.\n\nMalicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions.\n\nIn situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to detect malicious code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to eradicate malicious code;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03b.", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are updated automatically as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to perform periodic scans of the system {{ insert: param, si-03_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to perform real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to {{ insert: param, si-03_odp.04 }} in response to malicious code detection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are configured to send alerts to {{ insert: param, si-03_odp.06 }} in response to malicious code detection;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03d.", - "class": "sp800-53A" - } - ], - "prose": "the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system are addressed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection\n\norganizational personnel with configuration management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code protection mechanisms\n\norganizational processes for addressing false positives and resulting potential impacts\n\nautomated mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions" - } - ] - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-03(01)" - }, - { - "name": "sort-id", - "value": "si-03.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "props": [ - { - "name": "label", - "value": "SI-03(02)" - }, - { - "name": "sort-id", - "value": "si-03.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.3", - "class": "SP800-53-enhancement", - "title": "Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-03(03)" - }, - { - "name": "sort-id", - "value": "si-03.03" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.4", - "class": "SP800-53-enhancement", - "title": "Updates Only by Privileged Users", - "props": [ - { - "name": "label", - "value": "SI-03(04)" - }, - { - "name": "sort-id", - "value": "si-03.04" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.4_smt", - "name": "statement", - "prose": "Update malicious code protection mechanisms only when directed by a privileged user." - }, - { - "id": "si-3.4_gdn", - "name": "guidance", - "prose": "Protection mechanisms for malicious code are typically categorized as security-related software and, as such, are only updated by organizational personnel with appropriate access privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(04)", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are updated only when directed by a privileged user." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nlist of privileged users on system\n\nsystem design documentation\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing malicious code protection capabilities" - } - ] - } - ] - }, - { - "id": "si-3.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "SI-03(05)" - }, - { - "name": "sort-id", - "value": "si-03.05" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.6", - "class": "SP800-53-enhancement", - "title": "Testing and Verification", - "params": [ - { - "id": "si-03.06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.6_prm_1" - }, - { - "name": "label", - "value": "SI-03(06)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to test malicious code protection mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(06)" - }, - { - "name": "sort-id", - "value": "si-03.06" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.6_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Test malicious code protection mechanisms {{ insert: param, si-03.06_odp }} by introducing known benign code into the system; and" - }, - { - "id": "si-3.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the detection of the code and the associated incident reporting occur." - } - ] - }, - { - "id": "si-3.6_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(a)", - "class": "sp800-53A" - } - ], - "prose": "malicious code protection mechanisms are tested {{ insert: param, si-03.06_odp }} by introducing known benign code into the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the detection of (benign test) code occurs;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(06)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the associate incident reporting occurs." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ntest cases\n\nrecords providing evidence of test cases executed on malicious code protection mechanisms\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the testing and verification of malicious code protection capabilities" - } - ] - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "props": [ - { - "name": "label", - "value": "SI-03(07)" - }, - { - "name": "sort-id", - "value": "si-03.07" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.8", - "class": "SP800-53-enhancement", - "title": "Detect Unauthorized Commands", - "params": [ - { - "id": "si-03.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_2" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[01]" - } - ], - "label": "unauthorized operating system commands", - "guidelines": [ - { - "prose": "system hardware components for which unauthorized operating system commands are to be detected through the kernel application programming interface are defined;" - } - ] - }, - { - "id": "si-03.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_1" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[02]" - } - ], - "label": "system hardware components", - "guidelines": [ - { - "prose": "unauthorized operating system commands to be detected are defined;" - } - ] - }, - { - "id": "si-03.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.8_prm_3" - }, - { - "name": "label", - "value": "SI-03(08)_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "issue a warning", - "audit the command execution", - "prevent the execution of the command" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(08)" - }, - { - "name": "sort-id", - "value": "si-03.08" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.8_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the following unauthorized operating system commands through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }}: {{ insert: param, si-03.08_odp.01 }} ; and" - }, - { - "id": "si-3.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-03.08_odp.03 }}." - } - ] - }, - { - "id": "si-3.8_gdn", - "name": "guidance", - "prose": "Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands as well as commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or a combination thereof. Organizations may select different actions for different types, classes, or instances of malicious commands." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.08_odp.01 }} are detected through the kernel application programming interface on {{ insert: param, si-03.08_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(08)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.08_odp.03 }} is/are performed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nsystem design documentation\n\nmalicious code protection mechanisms\n\nwarning messages sent upon the detection of unauthorized operating system command execution\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing malicious code protection capabilities\n\nautomated mechanisms supporting and/or implementing the detection of unauthorized operating system commands through the kernel application programming interface" - } - ] - } - ] - }, - { - "id": "si-3.9", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "props": [ - { - "name": "label", - "value": "SI-03(09)" - }, - { - "name": "sort-id", - "value": "si-03.09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-17.10", - "rel": "moved-to" - } - ] - }, - { - "id": "si-3.10", - "class": "SP800-53-enhancement", - "title": "Malicious Code Analysis", - "params": [ - { - "id": "si-03.10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-3.10_prm_1" - }, - { - "name": "label", - "value": "SI-03(10)_ODP" - } - ], - "label": "tools and techniques", - "guidelines": [ - { - "prose": "tools and techniques to be employed to analyze the characteristics and behavior of malicious code are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-03(10)" - }, - { - "name": "sort-id", - "value": "si-03.10" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-3.10_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: {{ insert: param, si-03.10_odp }} ; and" - }, - { - "id": "si-3.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes." - } - ] - }, - { - "id": "si-3.10_gdn", - "name": "guidance", - "prose": "The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-03.10_odp }} are employed to analyze the characteristics and behavior of malicious code;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "the results from malicious code analysis are incorporated into organizational incident response processes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-03(10)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "the results from malicious code analysis are incorporated into organizational flaw remediation processes." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-03(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing malicious code protection\n\nprocedures addressing incident response\n\nprocedures addressing flaw remediation\n\nsystem design documentation\n\nmalicious code protection mechanisms, tools, and techniques\n\nsystem configuration settings and associated documentation\n\nresults from malicious code analyses\n\nrecords of flaw remediation events resulting from malicious code analyses\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-03(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for malicious code protection\n\norganizational personnel responsible for flaw remediation\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-03(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for incident response\n\norganizational process for flaw remediation\n\nautomated mechanisms supporting and/or implementing malicious code protection capabilities\n\ntools and techniques for the analysis of malicious code characteristics and behavior" - } - ] - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "System Monitoring", - "params": [ - { - "id": "si-04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_1" - }, - { - "name": "label", - "value": "SI-04_ODP[01]" - } - ], - "label": "monitoring objectives", - "guidelines": [ - { - "prose": "monitoring objectives to detect attacks and indicators of potential attacks on the system are defined;" - } - ] - }, - { - "id": "si-04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_2" - }, - { - "name": "label", - "value": "SI-04_ODP[02]" - } - ], - "label": "techniques and methods", - "guidelines": [ - { - "prose": "techniques and methods used to identify unauthorized use of the system are defined;" - } - ] - }, - { - "id": "si-04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_3" - }, - { - "name": "label", - "value": "SI-04_ODP[03]" - } - ], - "label": "system monitoring information", - "guidelines": [ - { - "prose": "system monitoring information to be provided to personnel or roles is defined;" - } - ] - }, - { - "id": "si-04_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_4" - }, - { - "name": "label", - "value": "SI-04_ODP[04]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom system monitoring information is to be provided is/are defined;" - } - ] - }, - { - "id": "si-04_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_5" - }, - { - "name": "label", - "value": "SI-04_ODP[05]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "as needed", - " {{ insert: param, si-04_odp.06 }} " - ] - } - }, - { - "id": "si-04_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4_prm_6" - }, - { - "name": "label", - "value": "SI-04_ODP[06]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "a frequency for providing system monitoring to personnel or roles is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04" - }, - { - "name": "sort-id", - "value": "si-04" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "rel": "reference" - }, - { - "href": "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "rel": "reference" - }, - { - "href": "#5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "rel": "reference" - }, - { - "href": "#25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "rel": "reference" - }, - { - "href": "#067223d8-1ec7-45c5-b21b-c848da6de8fb", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-10", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor the system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, si-04_odp.01 }} ; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, si-04_odp.02 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Invoke internal monitoring capabilities or deploy monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Strategically within the system to collect organization-determined essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Analyze detected events and anomalies;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtain legal opinion regarding system monitoring activities; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provide {{ insert: param, si-04_odp.03 }} to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software.\n\nDepending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls [SC-7](#sc-7) and [AC-17](#ac-17) . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-17(1)](#ac-17.1), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) ). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.01", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect attacks and indicators of potential attacks in accordance with {{ insert: param, si-04_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized local connections;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized network connections;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04a.02[03]", - "class": "sp800-53A" - } - ], - "prose": "the system is monitored to detect unauthorized remote connections;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04b.", - "class": "sp800-53A" - } - ], - "prose": "unauthorized use of the system is identified through {{ insert: param, si-04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.01", - "class": "sp800-53A" - } - ], - "prose": "internal monitoring capabilities are invoked or monitoring devices are deployed strategically within the system to collect organization-determined essential information;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04c.02", - "class": "sp800-53A" - } - ], - "prose": "internal monitoring capabilities are invoked or monitoring devices are deployed at ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.[01]", - "class": "sp800-53A" - } - ], - "prose": "detected events are analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04d.[02]", - "class": "sp800-53A" - } - ], - "prose": "detected anomalies are analyzed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04e.", - "class": "sp800-53A" - } - ], - "prose": "the level of system monitoring activity is adjusted when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04f.", - "class": "sp800-53A" - } - ], - "prose": "a legal opinion regarding system monitoring activities is obtained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04g.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04_odp.03 }} is provided to {{ insert: param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\ncontinuous monitoring strategy\n\nfacility diagram/layout\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nlocations within the system where monitoring devices are deployed\n\nsystem configuration settings and associated documentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring capabilities" - } - ] - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "props": [ - { - "name": "label", - "value": "SI-04(01)" - }, - { - "name": "sort-id", - "value": "si-04.01" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "Connect and configure individual intrusion detection tools into a system-wide intrusion detection system." - }, - { - "id": "si-4.1_gdn", - "name": "guidance", - "prose": "Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "individual intrusion detection tools are connected to a system-wide intrusion detection system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "individual intrusion detection tools are configured into a system-wide intrusion detection system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection capabilities" - } - ] - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools and Mechanisms for Real-time Analysis", - "props": [ - { - "name": "label", - "value": "SI-04(02)" - }, - { - "name": "sort-id", - "value": "si-04.02" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to support near real-time analysis of events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(02)", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to support a near real-time analysis of events." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk management documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for incident response/management" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the near real-time analysis of events\n\norganizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring\n\nautomated mechanisms/tools supporting and/or implementing an analysis of events" - } - ] - } - ] - }, - { - "id": "si-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Tool and Mechanism Integration", - "props": [ - { - "name": "label", - "value": "SI-04(03)" - }, - { - "name": "sort-id", - "value": "si-04.03" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.3_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms." - }, - { - "id": "si-4.3_gdn", - "name": "guidance", - "prose": "Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling the reconfiguration of mechanisms in support of attack isolation and elimination." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into access control mechanisms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated tools and mechanisms are employed to integrate intrusion detection tools and mechanisms into flow control mechanisms." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing the intrusion detection and system monitoring capability\n\nautomated mechanisms and tools supporting and/or implementing the access and flow control capabilities\n\nautomated mechanisms and tools supporting and/or implementing the integration of intrusion detection tools into the access and flow control mechanisms" - } - ] - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "params": [ - { - "id": "si-4.4_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.04_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-4.4_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-04.04_odp.02" - } - ], - "label": "organization-defined unusual or unauthorized activities or conditions" - }, - { - "id": "si-04.04_odp.01", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to monitor inbound communications traffic for unusual or unauthorized activities or conditions is defined;" - } - ] - }, - { - "id": "si-04.04_odp.02", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[02]" - } - ], - "label": "unusual or unauthorized activities or conditions", - "guidelines": [ - { - "prose": "unusual or unauthorized activities or conditions that are to be monitored in inbound communications traffic are defined;" - } - ] - }, - { - "id": "si-04.04_odp.03", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to monitor outbound communications traffic for unusual or unauthorized activities or conditions is defined;" - } - ] - }, - { - "id": "si-04.04_odp.04", - "props": [ - { - "name": "label", - "value": "SI-04(04)_ODP[04]" - } - ], - "label": "unusual or unauthorized activities or conditions", - "guidelines": [ - { - "prose": "unusual or unauthorized activities or conditions that are to be monitored in outbound communications traffic are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(04)" - }, - { - "name": "sort-id", - "value": "si-04.04" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;" - }, - { - "id": "si-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for {{ insert: param, si-4.4_prm_2 }}." - } - ] - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "inbound communications traffic is monitored {{ insert: param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(04)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is monitored {{ insert: param, si-04.04_odp.03 }} for {{ insert: param, si-04.04_odp.04 }}." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "params": [ - { - "id": "si-04.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.5_prm_1" - }, - { - "name": "label", - "value": "SI-04(05)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined;" - } - ] - }, - { - "id": "si-04.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.5_prm_2" - }, - { - "name": "label", - "value": "SI-04(05)_ODP[02]" - } - ], - "label": "compromise indicators", - "guidelines": [ - { - "prose": "compromise indicators are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(05)" - }, - { - "name": "sort-id", - "value": "si-04.05" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-04.05_odp.01 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-04.05_odp.02 }}." - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in [SI-4(12)](#si-4.12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated {{ insert: param, si-04.05_odp.02 }} occur." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of personnel selected to receive alerts\n\ndocumentation of alerts generated based on compromise indicators\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel on the system alert notification list\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing alerts for compromise indicators" - } - ] - } - ] - }, - { - "id": "si-4.6", - "class": "SP800-53-enhancement", - "title": "Restrict Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-04(06)" - }, - { - "name": "sort-id", - "value": "si-04.06" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.7", - "class": "SP800-53-enhancement", - "title": "Automated Response to Suspicious Events", - "params": [ - { - "id": "si-04.07_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.7_prm_1" - }, - { - "name": "label", - "value": "SI-04(07)_ODP[01]" - } - ], - "label": "incident response personnel", - "guidelines": [ - { - "prose": "incident response personnel (identified by name and/or by role) to be notified of detected suspicious events is/are defined;" - } - ] - }, - { - "id": "si-04.07_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.7_prm_2" - }, - { - "name": "label", - "value": "SI-04(07)_ODP[02]" - } - ], - "label": "least-disruptive actions", - "guidelines": [ - { - "prose": "least-disruptive actions to terminate suspicious events are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(07)" - }, - { - "name": "sort-id", - "value": "si-04.07" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify {{ insert: param, si-04.07_odp.01 }} of detected suspicious events; and" - }, - { - "id": "si-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions upon detection: {{ insert: param, si-04.07_odp.02 }}." - } - ] - }, - { - "id": "si-4.7_gdn", - "name": "guidance", - "prose": "Least-disruptive actions include initiating requests for human responses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.07_odp.01 }} are notified of detected suspicious events;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(07)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.07_odp.02 }} are taken upon the detection of suspicious events." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nalerts and notifications generated based on detected suspicious events\n\nrecords of actions taken to terminate suspicious events\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing notifications to incident response personnel\n\nautomated mechanisms supporting and/or implementing actions to terminate suspicious events" - } - ] - } - ] - }, - { - "id": "si-4.8", - "class": "SP800-53-enhancement", - "title": "Protection of Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-04(08)" - }, - { - "name": "sort-id", - "value": "si-04.08" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.9", - "class": "SP800-53-enhancement", - "title": "Testing of Monitoring Tools and Mechanisms", - "params": [ - { - "id": "si-04.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.9_prm_1" - }, - { - "name": "label", - "value": "SI-04(09)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "a frequency at which to test intrusion-monitoring tools and mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(09)" - }, - { - "name": "sort-id", - "value": "si-04.09" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.9_smt", - "name": "statement", - "prose": "Test intrusion-monitoring tools and mechanisms {{ insert: param, si-04.09_odp }}." - }, - { - "id": "si-4.9_gdn", - "name": "guidance", - "prose": "Testing intrusion-monitoring tools and mechanisms is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(09)", - "class": "sp800-53A" - } - ], - "prose": "intrusion-monitoring tools and mechanisms are tested {{ insert: param, si-04.09_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing the testing of system monitoring tools and techniques\n\ndocumentation providing evidence of testing intrusion-monitoring tools\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the testing of intrusion-monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.10", - "class": "SP800-53-enhancement", - "title": "Visibility of Encrypted Communications", - "params": [ - { - "id": "si-04.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.10_prm_1" - }, - { - "name": "label", - "value": "SI-04(10)_ODP[01]" - } - ], - "label": "encrypted communications traffic", - "guidelines": [ - { - "prose": "encrypted communications traffic visible to system monitoring tools and mechanisms is defined;" - } - ] - }, - { - "id": "si-04.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.10_prm_2" - }, - { - "name": "label", - "value": "SI-04(10)_ODP[02]" - } - ], - "label": "system monitoring tools and mechanisms", - "guidelines": [ - { - "prose": "system monitoring tools and mechanisms to be provided access to encrypted communications traffic are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(10)" - }, - { - "name": "sort-id", - "value": "si-04.10" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.10_smt", - "name": "statement", - "prose": "Make provisions so that {{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}." - }, - { - "id": "si-4.10_gdn", - "name": "guidance", - "prose": "Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.10_odp.01 }} is visible to {{ insert: param, si-04.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the visibility of encrypted communications traffic to monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.11", - "class": "SP800-53-enhancement", - "title": "Analyze Communications Traffic Anomalies", - "params": [ - { - "id": "si-04.11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.11_prm_1" - }, - { - "name": "label", - "value": "SI-04(11)_ODP" - } - ], - "label": "interior points", - "guidelines": [ - { - "prose": "interior points within the system where communications traffic is to be analyzed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(11)" - }, - { - "name": "sort-id", - "value": "si-04.11" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.11_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-04.11_odp }} to discover anomalies." - }, - { - "id": "si-4.11_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)[01]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic at the external interfaces to the system is analyzed to discover anomalies;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(11)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic at {{ insert: param, si-04.11_odp }} is analyzed to discover anomalies." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(11)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nnetwork diagram\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(11)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(11)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the analysis of communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.12", - "class": "SP800-53-enhancement", - "title": "Automated Organization-generated Alerts", - "params": [ - { - "id": "si-04.12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_1" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted when indications of inappropriate or unusual activity with security or privacy implications occur is/are defined;" - } - ] - }, - { - "id": "si-04.12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_2" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[02]" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to alert personnel or roles are defined;" - } - ] - }, - { - "id": "si-04.12_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.12_prm_3" - }, - { - "name": "label", - "value": "SI-04(12)_ODP[03]" - } - ], - "label": "activities that trigger alerts", - "guidelines": [ - { - "prose": "activities that trigger alerts to personnel or are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(12)" - }, - { - "name": "sort-id", - "value": "si-04.12" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.12_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-04.12_odp.01 }} using {{ insert: param, si-04.12_odp.02 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-04.12_odp.03 }}." - }, - { - "id": "si-4.12_gdn", - "name": "guidance", - "prose": "Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in [SI-4(5)](#si-4.5) focus on information sources that are internal to the systems, such as audit records." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(12)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.12_odp.01 }} is/are alerted using {{ insert: param, si-04.12_odp.02 }} when {{ insert: param, si-04.12_odp.03 }} indicate inappropriate or unusual activities with security or privacy implications." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of inappropriate or unusual activities with security and privacy implications that trigger alerts\n\nsuspicious activity reports\n\nalerts provided to security and privacy personnel\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing automated alerts to security personnel" - } - ] - } - ] - }, - { - "id": "si-4.13", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Event Patterns", - "props": [ - { - "name": "label", - "value": "SI-04(13)" - }, - { - "name": "sort-id", - "value": "si-04.13" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.13_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Analyze communications traffic and event patterns for the system;" - }, - { - "id": "si-4.13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop profiles representing common traffic and event patterns; and" - }, - { - "id": "si-4.13_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use the traffic and event profiles in tuning system-monitoring devices." - } - ] - }, - { - "id": "si-4.13_gdn", - "name": "guidance", - "prose": "Identifying and understanding common communications traffic and event patterns help organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "communications traffic for the system is analyzed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "event patterns for the system are analyzed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)[01]", - "class": "sp800-53A" - } - ], - "prose": "profiles representing common traffic are developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(b)[02]", - "class": "sp800-53A" - } - ], - "prose": "profiles representing event patterns are developed;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)[01]", - "class": "sp800-53A" - } - ], - "prose": "traffic profiles are used in tuning system-monitoring devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(13)(c)[02]", - "class": "sp800-53A" - } - ], - "prose": "event profiles are used in tuning system-monitoring devices." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(13)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of profiles representing common traffic patterns and/or events\n\nsystem protocols documentation\n\nlist of acceptable thresholds for false positives and false negatives\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(13)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(13)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the analysis of communications traffic and event patterns" - } - ] - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "props": [ - { - "name": "label", - "value": "SI-04(14)" - }, - { - "name": "sort-id", - "value": "si-04.14" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[01]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to identify rogue wireless devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[02]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to detect attack attempts on the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(14)[03]", - "class": "sp800-53A" - } - ], - "prose": "a wireless intrusion detection system is employed to detect potential compromises or breaches to the system." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(14)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(14)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(14)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection\n\nautomated mechanisms supporting and/or implementing a wireless intrusion detection capability" - } - ] - } - ] - }, - { - "id": "si-4.15", - "class": "SP800-53-enhancement", - "title": "Wireless to Wireline Communications", - "props": [ - { - "name": "label", - "value": "SI-04(15)" - }, - { - "name": "sort-id", - "value": "si-04.15" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.15_smt", - "name": "statement", - "prose": "Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "id": "si-4.15_gdn", - "name": "guidance", - "prose": "Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. When wireless to wireline communications exist, the wireless network could become a port of entry into the wired network. Given the greater facility of unauthorized network access via wireless access points compared to unauthorized wired network access from within the physical boundaries of the system, additional monitoring of transitioning traffic between wireless and wired networks may be necessary to detect malicious activities. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(15)", - "class": "sp800-53A" - } - ], - "prose": "an intrusion detection system is employed to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem protocols documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing a wireless intrusion detection capability" - } - ] - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-04(16)" - }, - { - "name": "sort-id", - "value": "si-04.16" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "Correlate information from monitoring tools and mechanisms employed throughout the system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(16)", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring tools and mechanisms employed throughout the system is correlated." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nevent correlation logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the correlation of information from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.17", - "class": "SP800-53-enhancement", - "title": "Integrated Situational Awareness", - "props": [ - { - "name": "label", - "value": "SI-04(17)" - }, - { - "name": "sort-id", - "value": "si-04.17" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.17_smt", - "name": "statement", - "prose": "Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness." - }, - { - "id": "si-4.17_gdn", - "name": "guidance", - "prose": "Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to [SI-4(16)](#si-4.16) , which correlates the various cyber monitoring information, integrated situational awareness is intended to correlate monitoring beyond the cyber domain. Correlation of monitoring information from multiple activities may help reveal attacks on organizations that are operating across multiple attack vectors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[01]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring physical activities is correlated to achieve integrated, organization-wide situational awareness" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[02]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring cyber activities is correlated to achieve integrated, organization-wide situational awareness;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(17)[03]", - "class": "sp800-53A" - } - ], - "prose": "information from monitoring supply chain activities is correlated to achieve integrated, organization-wide situational awareness." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nevent correlation logs or records resulting from physical, cyber, and supply chain activities\n\nsystem audit records\n\nsystem security plan\n\nsupply chain risk management plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing the correlation of information from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.18", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Covert Exfiltration", - "params": [ - { - "id": "si-04.18_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.18_prm_1" - }, - { - "name": "label", - "value": "SI-04(18)_ODP" - } - ], - "label": "interior points", - "guidelines": [ - { - "prose": "interior points within the system where communications traffic is to be analyzed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(18)" - }, - { - "name": "sort-id", - "value": "si-04.18" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.18_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-04.18_odp }}." - }, - { - "id": "si-4.18_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)[01]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(18)[02]", - "class": "sp800-53A" - } - ], - "prose": "outbound communications traffic is analyzed at {{ insert: param, si-04.18_odp }} to detect covert exfiltration of information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(18)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nnetwork diagram\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(18)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\norganizational personnel responsible for the intrusion detection system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(18)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection and system monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities\n\nautomated mechanisms supporting and/or implementing an analysis of outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.19", - "class": "SP800-53-enhancement", - "title": "Risk for Individuals", - "params": [ - { - "id": "si-04.19_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.19_prm_1" - }, - { - "name": "label", - "value": "SI-04(19)_ODP[01]" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring of individuals who have been identified as posing an increased level of risk is defined;" - } - ] - }, - { - "id": "si-04.19_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.19_prm_2" - }, - { - "name": "label", - "value": "SI-04(19)_ODP[02]" - } - ], - "label": "sources", - "guidelines": [ - { - "prose": "sources that identify individuals who pose an increased level of risk are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(19)" - }, - { - "name": "sort-id", - "value": "si-04.19" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.19_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-04.19_odp.01 }} of individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk." - }, - { - "id": "si-4.19_gdn", - "name": "guidance", - "prose": "Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(19)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.19_odp.01 }} is implemented on individuals who have been identified by {{ insert: param, si-04.19_odp.02 }} as posing an increased level of risk." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(19)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(19)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system\n\nlegal counsel\n\nhuman resource officials\n\norganizational personnel with personnel security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(19)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.20", - "class": "SP800-53-enhancement", - "title": "Privileged Users", - "params": [ - { - "id": "si-4.20_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.20_odp" - } - ], - "label": "organization-defined additional monitoring" - }, - { - "id": "si-04.20_odp", - "props": [ - { - "name": "label", - "value": "SI-04(20)_ODP" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring of privileged users is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(20)" - }, - { - "name": "sort-id", - "value": "si-04.20" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.20_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of privileged users: {{ insert: param, si-4.20_prm_1 }}." - }, - { - "id": "si-4.20_gdn", - "name": "guidance", - "prose": "Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(20)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.20_odp }} of privileged users is implemented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(20)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(20)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(20)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.21", - "class": "SP800-53-enhancement", - "title": "Probationary Periods", - "params": [ - { - "id": "si-4.21_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-04.21_odp.01" - } - ], - "label": "organization-defined probationary period" - }, - { - "id": "si-04.21_odp.01", - "props": [ - { - "name": "label", - "value": "SI-04(21)_ODP[01]" - } - ], - "label": "additional monitoring", - "guidelines": [ - { - "prose": "additional monitoring to be implemented on individuals during probationary periods is defined;" - } - ] - }, - { - "id": "si-04.21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.21_prm_2" - }, - { - "name": "label", - "value": "SI-04(21)_ODP[02]" - } - ], - "label": "probationary period", - "guidelines": [ - { - "prose": "the probationary period of individuals is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(21)" - }, - { - "name": "sort-id", - "value": "si-04.21" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.21_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of individuals during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param, si-04.21_odp.02 }}." - }, - { - "id": "si-4.21_gdn", - "name": "guidance", - "prose": "During probationary periods, employees do not have permanent employment status within organizations. Without such status or access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(21)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.21_odp.01 }} of individuals is implemented during {{ insert: param, si-04.21_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(21)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(21)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(21)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.22", - "class": "SP800-53-enhancement", - "title": "Unauthorized Network Services", - "params": [ - { - "id": "si-04.22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_1" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[01]" - } - ], - "label": "authorization or approval processes", - "guidelines": [ - { - "prose": "authorization or approval processes for network services are defined;" - } - ] - }, - { - "id": "si-04.22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_2" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "audit", - "alert{{ insert: param, si-04.22_odp.03 }} " - ] - } - }, - { - "id": "si-04.22_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.22_prm_3" - }, - { - "name": "label", - "value": "SI-04(22)_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon the detection of network services that have not been authorized or approved by authorization or approval processes is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(22)" - }, - { - "name": "sort-id", - "value": "si-04.22" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.22_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} ; and" - }, - { - "id": "si-4.22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-04.22_odp.02 }} when detected." - } - ] - }, - { - "id": "si-4.22_gdn", - "name": "guidance", - "prose": "Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)(a)", - "class": "sp800-53A" - } - ], - "prose": "network services that have not been authorized or approved by {{ insert: param, si-04.22_odp.01 }} are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(22)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.22_odp.02 }} is/are initiated when network services that have not been authorized or approved by authorization or approval processes are detected." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(22)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\ndocumented authorization/approval of network services\n\nnotifications or alerts of unauthorized network services\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(22)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring the system" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(22)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms for auditing network services\n\nautomated mechanisms for providing alerts" - } - ] - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "params": [ - { - "id": "si-04.23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.23_prm_2" - }, - { - "name": "label", - "value": "SI-04(23)_ODP[01]" - } - ], - "label": "host-based monitoring mechanisms", - "guidelines": [ - { - "prose": "host-based monitoring mechanisms to be implemented on system components are defined;" - } - ] - }, - { - "id": "si-04.23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.23_prm_1" - }, - { - "name": "label", - "value": "SI-04(23)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components where host-based monitoring is to be implemented are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(23)" - }, - { - "name": "sort-id", - "value": "si-04.23" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "Implement the following host-based monitoring mechanisms at {{ insert: param, si-04.23_odp.02 }}: {{ insert: param, si-04.23_odp.01 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(23)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-04.23_odp.01 }} are implemented on {{ insert: param, si-04.23_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(23)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring tools and techniques\n\nsystem design documentation\n\nhost-based monitoring mechanisms\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nlist of system components requiring host-based monitoring\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(23)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(23)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\nautomated mechanisms supporting and/or implementing host-based monitoring capability" - } - ] - } - ] - }, - { - "id": "si-4.24", - "class": "SP800-53-enhancement", - "title": "Indicators of Compromise", - "params": [ - { - "id": "si-04.24_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.24_prm_2" - }, - { - "name": "label", - "value": "SI-04(24)_ODP[01]" - } - ], - "label": "sources", - "guidelines": [ - { - "prose": "sources that provide indicators of compromise are defined;" - } - ] - }, - { - "id": "si-04.24_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-4.24_prm_1" - }, - { - "name": "label", - "value": "SI-04(24)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom indicators of compromise are to be distributed is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-04(24)" - }, - { - "name": "sort-id", - "value": "si-04.24" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - }, - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.24_smt", - "name": "statement", - "prose": "Discover, collect, and distribute to {{ insert: param, si-04.24_odp.02 }} , indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }}." - }, - { - "id": "si-4.24_gdn", - "name": "guidance", - "prose": "Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques, procedures, and other indicators of compromise may be available via government and non-government cooperatives, including the Forum of Incident Response and Security Teams, the United States Computer Emergency Readiness Team, the Defense Industrial Base Cybersecurity Information Sharing Program, and the CERT Coordination Center." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[01]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are discovered;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[02]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are collected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(24)[03]", - "class": "sp800-53A" - } - ], - "prose": "indicators of compromise provided by {{ insert: param, si-04.24_odp.01 }} are distributed to {{ insert: param, si-04.24_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(24)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(24)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(24)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\norganizational processes for the discovery, collection, distribution, and use of indicators of compromise\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise" - } - ] - } - ] - }, - { - "id": "si-4.25", - "class": "SP800-53-enhancement", - "title": "Optimize Network Traffic Analysis", - "props": [ - { - "name": "label", - "value": "SI-04(25)" - }, - { - "name": "sort-id", - "value": "si-04.25" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-4.25_smt", - "name": "statement", - "prose": "Provide visibility into network traffic at external and key internal system interfaces to optimize the effectiveness of monitoring devices." - }, - { - "id": "si-4.25_gdn", - "name": "guidance", - "prose": "Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition) may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing, and distributing only relevant traffic to monitoring devices can streamline the efficiency and use of devices and optimize traffic analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)[01]", - "class": "sp800-53A" - } - ], - "prose": "visibility into network traffic at external system interfaces is provided to optimize the effectiveness of monitoring devices;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-04(25)[02]", - "class": "sp800-53A" - } - ], - "prose": "visibility into network traffic at internal system interfaces is provided to optimize the effectiveness of monitoring devices." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-04(25)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system monitoring\n\nsystem design documentation\n\nsystem monitoring tools and techniques documentation\n\nsystem configuration settings and associated documentation\n\nsystem monitoring logs or records\n\nsystem architecture\n\nsystem audit records\n\nnetwork traffic reports\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-04(25)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the system\n\norganizational personnel responsible for monitoring system hosts" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-04(25)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for system monitoring\n\norganizational processes for the discovery, collection, distribution, and use of indicators of compromise\n\nautomated mechanisms supporting and/or implementing a system monitoring capability\n\nautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise" - } - ] - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "params": [ - { - "id": "si-05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_1" - }, - { - "name": "label", - "value": "SI-05_ODP[01]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations from whom system security alerts, advisories, and directives are to be received on an ongoing basis are defined;" - } - ] - }, - { - "id": "si-05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_2" - }, - { - "name": "label", - "value": "SI-05_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-05_odp.03 }} ", - " {{ insert: param, si-05_odp.04 }} ", - " {{ insert: param, si-05_odp.05 }} " - ] - } - }, - { - "id": "si-05_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_3" - }, - { - "name": "label", - "value": "SI-05_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom security alerts, advisories, and directives are to be disseminated is/are defined (if selected);" - } - ] - }, - { - "id": "si-05_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_4" - }, - { - "name": "label", - "value": "SI-05_ODP[04]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements within the organization to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);" - } - ] - }, - { - "id": "si-05_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5_prm_5" - }, - { - "name": "label", - "value": "SI-05_ODP[05]" - } - ], - "label": "external organizations", - "guidelines": [ - { - "prose": "external organizations to whom security alerts, advisories, and directives are to be disseminated are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-05" - }, - { - "name": "sort-id", - "value": "si-05" - } - ], - "links": [ - { - "href": "#155f941a-cba9-4afd-9ca6-5d040d697ba9", - "rel": "reference" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receive system security alerts, advisories, and directives from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generate internal security alerts, advisories, and directives as deemed necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminate security alerts, advisories, and directives to: {{ insert: param, si-05_odp.02 }} ; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05a.", - "class": "sp800-53A" - } - ], - "prose": "system security alerts, advisories, and directives are received from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05b.", - "class": "sp800-53A" - } - ], - "prose": "internal security alerts, advisories, and directives are generated as deemed necessary;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05c.", - "class": "sp800-53A" - } - ], - "prose": "security alerts, advisories, and directives are disseminated to {{ insert: param, si-05_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05d.", - "class": "sp800-53A" - } - ], - "prose": "security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the system\n\norganizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ], - "controls": [ - { - "id": "si-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Alerts and Advisories", - "params": [ - { - "id": "si-05.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-5.1_prm_1" - }, - { - "name": "label", - "value": "SI-05(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to broadcast security alert and advisory information throughout the organization are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-05(01)" - }, - { - "name": "sort-id", - "value": "si-05.01" - } - ], - "links": [ - { - "href": "#si-5", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-5.1_smt", - "name": "statement", - "prose": "Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-05.01_odp }}." - }, - { - "id": "si-5.1_gdn", - "name": "guidance", - "prose": "The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-05.01_odp }} are used to broadcast security alert and advisory information throughout the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security alerts, advisories, and directives\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nautomated mechanisms supporting the distribution of security alert and advisory information\n\nrecords of security alerts and advisories\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the system\n\norganizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories\n\nautomated mechanisms supporting and/or implementing the dissemination of security alerts and advisories" - } - ] - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security and Privacy Function Verification", - "params": [ - { - "id": "si-6_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-06_odp.01" - } - ], - "label": "organization-defined security and privacy functions" - }, - { - "id": "si-06_odp.01", - "props": [ - { - "name": "label", - "value": "SI-06_ODP[01]" - } - ], - "label": "security functions", - "guidelines": [ - { - "prose": "security functions to be verified for correct operation are defined;" - } - ] - }, - { - "id": "si-06_odp.02", - "props": [ - { - "name": "label", - "value": "SI-06_ODP[02]" - } - ], - "label": "privacy functions", - "guidelines": [ - { - "prose": "privacy functions to be verified for correct operation are defined;" - } - ] - }, - { - "id": "si-06_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_2" - }, - { - "name": "label", - "value": "SI-06_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-06_odp.04 }} ", - "upon command by user with appropriate privilege", - " {{ insert: param, si-06_odp.05 }} " - ] - } - }, - { - "id": "si-06_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_3" - }, - { - "name": "label", - "value": "SI-06_ODP[04]" - } - ], - "label": "system transitional states", - "guidelines": [ - { - "prose": "system transitional states requiring the verification of security and privacy functions are defined; (if selected)" - } - ] - }, - { - "id": "si-06_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_4" - }, - { - "name": "label", - "value": "SI-06_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to verify the correct operation of security and privacy functions is defined; (if selected)" - } - ] - }, - { - "id": "si-06_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_5" - }, - { - "name": "label", - "value": "SI-06_ODP[06]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted of failed security and privacy verification tests is/are defined;" - } - ] - }, - { - "id": "si-06_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_6" - }, - { - "name": "label", - "value": "SI-06_ODP[07]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "shut the system down", - "restart the system", - " {{ insert: param, si-06_odp.08 }} " - ] - } - }, - { - "id": "si-06_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6_prm_7" - }, - { - "name": "label", - "value": "SI-06_ODP[08]" - } - ], - "label": "alternative action(s)", - "guidelines": [ - { - "prose": "alternative action(s) to be performed when anomalies are discovered are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-06" - }, - { - "name": "sort-id", - "value": "si-06" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verify the correct operation of {{ insert: param, si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform the verification of the functions specified in SI-6a {{ insert: param, si-06_odp.03 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alert {{ insert: param, si-06_odp.06 }} to failed security and privacy verification tests; and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "{{ insert: param, si-06_odp.07 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.01 }} are verified to be operating correctly;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06a.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.02 }} are verified to be operating correctly;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.01 }} are verified {{ insert: param, si-06_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06b.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.02 }} are verified {{ insert: param, si-06_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.06 }} is/are alerted to failed security verification tests;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06c.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.06 }} is/are alerted to failed privacy verification tests;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06d.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-06_odp.07 }} is/are initiated when anomalies are discovered." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nalerts/notifications of failed security verification tests\n\nlist of system transition states requiring security functionality verification\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the system\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy function verification\n\nautomated mechanisms supporting and/or implementing the security and privacy function verification capability" - } - ] - } - ], - "controls": [ - { - "id": "si-6.1", - "class": "SP800-53-enhancement", - "title": "Notification of Failed Security Tests", - "props": [ - { - "name": "label", - "value": "SI-06(01)" - }, - { - "name": "sort-id", - "value": "si-06.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-6.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Distributed Testing", - "props": [ - { - "name": "label", - "value": "SI-06(02)" - }, - { - "name": "sort-id", - "value": "si-06.02" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "required" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.2_smt", - "name": "statement", - "prose": "Implement automated mechanisms to support the management of distributed security and privacy function testing." - }, - { - "id": "si-6.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are implemented to support the management of distributed security function testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "automated mechanisms are implemented to support the management of distributed privacy function testing." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the system\n\nsystem/network administrators\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security and privacy function verification\n\nautomated mechanisms supporting and/or implementing the management of distributed security and privacy testing" - } - ] - } - ] - }, - { - "id": "si-6.3", - "class": "SP800-53-enhancement", - "title": "Report Verification Results", - "params": [ - { - "id": "si-06.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-6.3_prm_1" - }, - { - "name": "label", - "value": "SI-06(03)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles designated to receive the results of security and privacy function verification is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-06(03)" - }, - { - "name": "sort-id", - "value": "si-06.03" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "required" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.3_smt", - "name": "statement", - "prose": "Report the results of security and privacy function verification to {{ insert: param, si-06.03_odp }}." - }, - { - "id": "si-6.3_gdn", - "name": "guidance", - "prose": "Organizational personnel with potential interest in the results of the verification of security and privacy functions include systems security officers, senior agency information security officers, and senior agency officials for privacy." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the results of security function verification are reported to {{ insert: param, si-06.03_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-06(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the results of privacy function verification are reported to {{ insert: param, si-06.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-06(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing security and privacy function verification\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreports of security and privacy function verification results\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-06(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security and privacy function verification responsibilities\n\norganizational personnel who are recipients of security and privacy function verification reports\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-06(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reporting security and privacy function verification results\n\nautomated mechanisms supporting and/or implementing the reporting of security and privacy function verification results" - } - ] - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "params": [ - { - "id": "si-7_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-07_odp.01" - } - ], - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07_odp.04" - } - ], - "label": "organization-defined actions" - }, - { - "id": "si-07_odp.01", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[01]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.02", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[02]" - } - ], - "label": "firmware", - "guidelines": [ - { - "prose": "firmware requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.03", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[03]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information requiring integrity verification tools to be employed to detect unauthorized changes is defined;" - } - ] - }, - { - "id": "si-07_odp.04", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[04]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to software are detected are defined;" - } - ] - }, - { - "id": "si-07_odp.05", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[05]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to firmware are detected are defined;" - } - ] - }, - { - "id": "si-07_odp.06", - "props": [ - { - "name": "label", - "value": "SI-07_ODP[06]" - } - ], - "label": "actions", - "guidelines": [ - { - "prose": "actions to be taken when unauthorized changes to information are detected are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07" - }, - { - "name": "sort-id", - "value": "si-07" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#4895b4cd-34c5-4667-bf8a-27d443c12047", - "rel": "reference" - }, - { - "href": "#e47ee630-9cbc-4133-880e-e013f83ccd51", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "parts": [ - { - "id": "si-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }} ; and" - }, - { - "id": "si-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}." - } - ] - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[01]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[02]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07a.[03]", - "class": "sp800-53A" - } - ], - "prose": "integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.03 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.04 }} are taken when unauthorized changes to the software, firmware, and information are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.05 }} are taken when unauthorized changes to the software, firmware, and information are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07b.[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07_odp.06 }} are taken when unauthorized changes to the software, firmware, and information are detected." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security and privacy responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "params": [ - { - "id": "si-7.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.01" - } - ], - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.02" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - "at{{ insert: param, si-7.1_prm_3 }} ", - " {{ insert: param, si-7.1_prm_4 }} " - ] - } - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.03" - } - ], - "label": "organization-defined transitional states or security-relevant events" - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "props": [ - { - "name": "aggregates", - "value": "si-07.01_odp.04" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-07.01_odp.01", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[01]" - } - ], - "label": "software", - "guidelines": [ - { - "prose": "software on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.02", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.03 }} ", - " {{ insert: param, si-07.01_odp.04 }} " - ] - } - }, - { - "id": "si-07.01_odp.03", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[03]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (on software) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.04", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (on software) is defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.05", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[05]" - } - ], - "label": "firmware", - "guidelines": [ - { - "prose": "firmware on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.06", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[06]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.07 }} ", - " {{ insert: param, si-07.01_odp.08 }} " - ] - } - }, - { - "id": "si-07.01_odp.07", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[07]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (on firmware) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.08", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[08]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (on firmware) is defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.09", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[09]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "information on which an integrity check is to be performed is defined;" - } - ] - }, - { - "id": "si-07.01_odp.10", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[10]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - " {{ insert: param, si-07.01_odp.11 }} ", - " {{ insert: param, si-07.01_odp.12 }} " - ] - } - }, - { - "id": "si-07.01_odp.11", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[11]" - } - ], - "label": "at transitional states or security-relevant events", - "guidelines": [ - { - "prose": "transitional states or security-relevant events requiring integrity checks (of information) are defined (if selected);" - } - ] - }, - { - "id": "si-07.01_odp.12", - "props": [ - { - "name": "label", - "value": "SI-07(01)_ODP[12]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency with which to perform an integrity check (of information) is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(01)" - }, - { - "name": "sort-id", - "value": "si-07.01" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.01 }} is performed {{ insert: param, si-07.01_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.05 }} is performed {{ insert: param, si-07.01_odp.06 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "an integrity check of {{ insert: param, si-07.01_odp.09 }} is performed {{ insert: param, si-07.01_odp.10 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity testing\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.2", - "class": "SP800-53-enhancement", - "title": "Automated Notifications of Integrity Violations", - "params": [ - { - "id": "si-07.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.2_prm_1" - }, - { - "name": "label", - "value": "SI-07(02)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(02)" - }, - { - "name": "sort-id", - "value": "si-07.02" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.2_smt", - "name": "statement", - "prose": "Employ automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification." - }, - { - "id": "si-7.2_gdn", - "name": "guidance", - "prose": "The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(02)", - "class": "sp800-53A" - } - ], - "prose": "automated tools that provide notification to {{ insert: param, si-07.02_odp }} upon discovering discrepancies during integrity verification are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nautomated tools supporting alerts and notifications for integrity discrepancies\n\nnotifications provided upon discovering discrepancies during integrity verifications\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security and privacy responsibilities\n\nsystem administrators\n\nsoftware developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing integrity discrepancy notifications" - } - ] - } - ] - }, - { - "id": "si-7.3", - "class": "SP800-53-enhancement", - "title": "Centrally Managed Integrity Tools", - "props": [ - { - "name": "label", - "value": "SI-07(03)" - }, - { - "name": "sort-id", - "value": "si-07.03" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.3_smt", - "name": "statement", - "prose": "Employ centrally managed integrity verification tools." - }, - { - "id": "si-7.3_gdn", - "name": "guidance", - "prose": "Centrally managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(03)", - "class": "sp800-53A" - } - ], - "prose": "centrally managed integrity verification tools are employed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for the central management of integrity verification tools\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the central management of integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.4", - "class": "SP800-53-enhancement", - "title": "Tamper-evident Packaging", - "props": [ - { - "name": "label", - "value": "SI-07(04)" - }, - { - "name": "sort-id", - "value": "si-07.04" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-7.5", - "class": "SP800-53-enhancement", - "title": "Automated Response to Integrity Violations", - "params": [ - { - "id": "si-07.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.5_prm_1" - }, - { - "name": "label", - "value": "SI-07(05)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "shut down the system", - "restart the system", - "implement{{ insert: param, si-07.05_odp.02 }} " - ] - } - }, - { - "id": "si-07.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.5_prm_2" - }, - { - "name": "label", - "value": "SI-07(05)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented automatically when integrity violations are discovered are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(05)" - }, - { - "name": "sort-id", - "value": "si-07.05" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.5_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, si-07.05_odp.01 }} when integrity violations are discovered." - }, - { - "id": "si-7.5_gdn", - "name": "guidance", - "prose": "Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.05_odp.01 }} are automatically performed when integrity violations are discovered." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nrecords of integrity checks and responses to integrity violations\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing an automated response to integrity violations\n\nautomated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered" - } - ] - } - ] - }, - { - "id": "si-7.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "SI-07(06)" - }, - { - "name": "sort-id", - "value": "si-07.06" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.6_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information." - }, - { - "id": "si-7.6_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[01]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to software;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[02]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to firmware;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(06)[03]", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to detect unauthorized changes to information." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated documentation\n\nrecords of detected unauthorized changes to software, firmware, and information\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\ncryptographic mechanisms implementing software, firmware, and information integrity" - } - ] - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "params": [ - { - "id": "si-07.07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.7_prm_1" - }, - { - "name": "label", - "value": "SI-07(07)_ODP" - } - ], - "label": "changes", - "guidelines": [ - { - "prose": "security-relevant changes to the system are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(07)" - }, - { - "name": "sort-id", - "value": "si-07.07" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-07.07_odp }}." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(07)", - "class": "sp800-53A" - } - ], - "prose": "the detection of {{ insert: param, si-07.07_odp }} are incorporated into the organizational incident response capability." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nprocedures addressing incident response\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nincident response records\n\naudit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability\n\nsoftware, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability" - } - ] - } - ] - }, - { - "id": "si-7.8", - "class": "SP800-53-enhancement", - "title": "Auditing Capability for Significant Events", - "params": [ - { - "id": "si-07.08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_1" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "generate an audit record", - "alert current user", - "alert{{ insert: param, si-07.08_odp.02 }} ", - " {{ insert: param, si-07.08_odp.03 }} " - ] - } - }, - { - "id": "si-07.08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_2" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to be alerted upon the detection of a potential integrity violation is/are defined (if selected);" - } - ] - }, - { - "id": "si-07.08_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.8_prm_3" - }, - { - "name": "label", - "value": "SI-07(08)_ODP[03]" - } - ], - "label": "other actions", - "guidelines": [ - { - "prose": "other actions to be taken upon the detection of a potential integrity violation are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(08)" - }, - { - "name": "sort-id", - "value": "si-07.08" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.8_smt", - "name": "statement", - "prose": "Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: {{ insert: param, si-07.08_odp.01 }}." - }, - { - "id": "si-7.8_gdn", - "name": "guidance", - "prose": "Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)[01]", - "class": "sp800-53A" - } - ], - "prose": "the capability to audit an event upon the detection of a potential integrity violation is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(08)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.08_odp.01 }} is/are initiated upon the detection of a potential integrity violation." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nincident response records\n\nlist of security-relevant changes to the system\n\nautomated tools supporting alerts and notifications if unauthorized security changes are detected\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing the capability to audit potential integrity violations\n\nautomated mechanisms supporting and/or implementing alerts about potential integrity violations" - } - ] - } - ] - }, - { - "id": "si-7.9", - "class": "SP800-53-enhancement", - "title": "Verify Boot Process", - "params": [ - { - "id": "si-07.09_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.9_prm_1" - }, - { - "name": "label", - "value": "SI-07(09)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring integrity verification of the boot process are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(09)" - }, - { - "name": "sort-id", - "value": "si-07.09" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.9_smt", - "name": "statement", - "prose": "Verify the integrity of the boot process of the following system components: {{ insert: param, si-07.09_odp }}." - }, - { - "id": "si-7.9_gdn", - "name": "guidance", - "prose": "Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(09)", - "class": "sp800-53A" - } - ], - "prose": "the integrity of the boot process of {{ insert: param, si-07.09_odp }} is verified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(09)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\ndocumentation\n\nrecords of integrity verification scans\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(09)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(09)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing integrity verification of the boot process" - } - ] - } - ] - }, - { - "id": "si-7.10", - "class": "SP800-53-enhancement", - "title": "Protection of Boot Firmware", - "params": [ - { - "id": "si-07.10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.10_prm_2" - }, - { - "name": "label", - "value": "SI-07(10)_ODP[01]" - } - ], - "label": "mechanisms", - "guidelines": [ - { - "prose": "mechanisms to be implemented to protect the integrity of boot firmware in system components are defined;" - } - ] - }, - { - "id": "si-07.10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.10_prm_1" - }, - { - "name": "label", - "value": "SI-07(10)_ODP[02]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring mechanisms to protect the integrity of boot firmware are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(10)" - }, - { - "name": "sort-id", - "value": "si-07.10" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.10_smt", - "name": "statement", - "prose": "Implement the following mechanisms to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}: {{ insert: param, si-07.10_odp.01 }}." - }, - { - "id": "si-7.10_gdn", - "name": "guidance", - "prose": "Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component and preventing unauthorized processes from modifying the boot firmware." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(10)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.10_odp.01 }} are implemented to protect the integrity of boot firmware in {{ insert: param, si-07.10_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(10)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity verification scans\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(10)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(10)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing protection of the integrity of boot firmware\n\nsafeguards implementing protection of the integrity of boot firmware" - } - ] - } - ] - }, - { - "id": "si-7.11", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "props": [ - { - "name": "label", - "value": "SI-07(11)" - }, - { - "name": "sort-id", - "value": "si-07.11" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.6", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.12", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "params": [ - { - "id": "si-07.12_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.12_prm_1" - }, - { - "name": "label", - "value": "SI-07(12)_ODP" - } - ], - "label": "user-installed software", - "guidelines": [ - { - "prose": "user-installed software requiring integrity verification prior to execution is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(12)" - }, - { - "name": "sort-id", - "value": "si-07.12" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#cm-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.12_smt", - "name": "statement", - "prose": "Require that the integrity of the following user-installed software be verified prior to execution: {{ insert: param, si-07.12_odp }}." - }, - { - "id": "si-7.12_gdn", - "name": "guidance", - "prose": "Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or programs that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including the availability of trustworthy checksums from software developers and vendors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(12)", - "class": "sp800-53A" - } - ], - "prose": "the integrity of {{ insert: param, si-07.12_odp }} is verified prior to execution." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(12)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nintegrity verification records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(12)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(12)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution" - } - ] - } - ] - }, - { - "id": "si-7.13", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "props": [ - { - "name": "label", - "value": "SI-07(13)" - }, - { - "name": "sort-id", - "value": "si-07.13" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.7", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.14", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "SI-07(14)" - }, - { - "name": "sort-id", - "value": "si-07.14" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#cm-7.8", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.15", - "class": "SP800-53-enhancement", - "title": "Code Authentication", - "params": [ - { - "id": "si-07.15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.15_prm_1" - }, - { - "name": "label", - "value": "SI-07(15)_ODP" - } - ], - "label": "software or firmware components", - "guidelines": [ - { - "prose": "software or firmware components to be authenticated by cryptographic mechanisms prior to installation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(15)" - }, - { - "name": "sort-id", - "value": "si-07.15" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.15_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-07.15_odp }}." - }, - { - "id": "si-7.15_gdn", - "name": "guidance", - "prose": "Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(15)", - "class": "sp800-53A" - } - ], - "prose": "cryptographic mechanisms are implemented to authenticate {{ insert: param, si-07.15_odp }} prior to installation." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(15)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software, firmware, and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ncryptographic mechanisms and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(15)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(15)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms authenticating software and firmware prior to installation" - } - ] - } - ] - }, - { - "id": "si-7.16", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "params": [ - { - "id": "si-07.16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.16_prm_1" - }, - { - "name": "label", - "value": "SI-07(16)_ODP" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the maximum time period permitted for processes to execute without supervision is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(16)" - }, - { - "name": "sort-id", - "value": "si-07.16" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-7.16_smt", - "name": "statement", - "prose": "Prohibit processes from executing without supervision for more than {{ insert: param, si-07.16_odp }}." - }, - { - "id": "si-7.16_gdn", - "name": "guidance", - "prose": "Placing a time limit on process execution without supervision is intended to apply to processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, and manual oversight and response when system process anomalies occur." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(16)", - "class": "sp800-53A" - } - ], - "prose": "processes are prohibited from executing without supervision for more than {{ insert: param, si-07.16_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(16)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(16)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(16)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing time limits on process execution without supervision" - } - ] - } - ] - }, - { - "id": "si-7.17", - "class": "SP800-53-enhancement", - "title": "Runtime Application Self-protection", - "params": [ - { - "id": "si-07.17_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-7.17_prm_1" - }, - { - "name": "label", - "value": "SI-07(17)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented for application self-protection at runtime are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-07(17)" - }, - { - "name": "sort-id", - "value": "si-07.17" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "required" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.17_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-07.17_odp }} for application self-protection at runtime." - }, - { - "id": "si-7.17_gdn", - "name": "guidance", - "prose": "Runtime application self-protection employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls which can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-07(17)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-07.17_odp }} are implemented for application self-protection at runtime." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-07(17)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of known vulnerabilities addressed by runtime instrumentation\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-07(17)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for software, firmware, and/or information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-07(17)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing runtime application self-protection" - } - ] - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "props": [ - { - "name": "label", - "value": "SI-08" - }, - { - "name": "sort-id", - "value": "si-08" - } - ], - "links": [ - { - "href": "#314e33cb-3681-4b50-a2a2-3fae9604accd", - "rel": "reference" - }, - { - "href": "#1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "rel": "reference" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[01]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system entry points to detect unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[02]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system exit points to detect unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[03]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system entry points to act on unsolicited messages;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08a.[04]", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are employed at system exit points to act on unsolicited messages;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08b.", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nconfiguration management policies and procedures (CM-01)\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing spam protection\n\nautomated mechanisms supporting and/or implementing spam protection" - } - ] - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-08(01)" - }, - { - "name": "sort-id", - "value": "si-08.01" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "params": [ - { - "id": "si-08.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-8.2_prm_1" - }, - { - "name": "label", - "value": "SI-08(02)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to automatically update spam protection mechanisms is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-08(02)" - }, - { - "name": "sort-id", - "value": "si-08.02" - } - ], - "links": [ - { - "href": "#si-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "Automatically update spam protection mechanisms {{ insert: param, si-08.02_odp }}." - }, - { - "id": "si-8.2_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08(02)", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms are automatically updated {{ insert: param, si-08.02_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms" - } - ] - } - ] - }, - { - "id": "si-8.3", - "class": "SP800-53-enhancement", - "title": "Continuous Learning Capability", - "props": [ - { - "name": "label", - "value": "SI-08(03)" - }, - { - "name": "sort-id", - "value": "si-08.03" - } - ], - "links": [ - { - "href": "#si-8", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-8.3_smt", - "name": "statement", - "prose": "Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic." - }, - { - "id": "si-8.3_gdn", - "name": "guidance", - "prose": "Learning mechanisms include Bayesian filters that respond to user inputs that identify specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-08(03)", - "class": "sp800-53A" - } - ], - "prose": "spam protection mechanisms with a learning capability are implemented to more effectively identify legitimate communications traffic." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-08(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-08(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-08(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-9", - "class": "SP800-53", - "title": "Information Input Restrictions", - "props": [ - { - "name": "label", - "value": "SI-09" - }, - { - "name": "sort-id", - "value": "si-09" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "params": [ - { - "id": "si-10_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10_prm_1" - }, - { - "name": "legacy-identifier", - "value": "si-10.1_prm_1" - }, - { - "name": "label", - "value": "SI-10_ODP" - } - ], - "label": "information inputs", - "guidelines": [ - { - "prose": "information inputs to the system requiring validity checks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "si-10" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "Check the validity of the following information inputs: {{ insert: param, si-10_odp }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of \"387,\" \"abc,\" or \"%K%\" are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10", - "class": "sp800-53A" - } - ], - "prose": "the validity of the {{ insert: param, si-10_odp }} are checked." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\ndocumentation for automated tools and applications to verify the validity of information\n\nlist of information inputs requiring validity checks\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing validity checks on information inputs" - } - ] - } - ], - "controls": [ - { - "id": "si-10.1", - "class": "SP800-53-enhancement", - "title": "Manual Override Capability", - "params": [ - { - "id": "si-10.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.1_prm_2" - }, - { - "name": "label", - "value": "SI-10(01)_ODP" - } - ], - "label": "authorized individuals", - "guidelines": [ - { - "prose": "authorized individuals who can use the manual override capability are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(01)" - }, - { - "name": "sort-id", - "value": "si-10.01" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "si-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a manual override capability for input validation of the following information inputs: {{ insert: param, si-10_odp }};" - }, - { - "id": "si-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Restrict the use of the manual override capability to only {{ insert: param, si-10.01_odp }} ; and" - }, - { - "id": "si-10.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Audit the use of the manual override capability." - } - ] - }, - { - "id": "si-10.1_gdn", - "name": "guidance", - "prose": "In certain situations, such as during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(a)", - "class": "sp800-53A" - } - ], - "prose": "a manual override capability for the validation of {{ insert: param, si-10_odp }} is provided;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(b)", - "class": "sp800-53A" - } - ], - "prose": "the use of the manual override capability is restricted to only {{ insert: param, si-10.01_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(01)(c)", - "class": "sp800-53A" - } - ], - "prose": "the use of the manual override capability is audited." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the use of a manual override capability\n\nautomated mechanisms supporting and/or implementing a manual override capability for input validation\n\nautomated mechanisms supporting and/or implementing auditing of the use of a manual override capability" - } - ] - } - ] - }, - { - "id": "si-10.2", - "class": "SP800-53-enhancement", - "title": "Review and Resolve Errors", - "params": [ - { - "id": "si-10.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-10.02_odp.01" - } - ], - "label": "organization-defined time period" - }, - { - "id": "si-10.02_odp.01", - "props": [ - { - "name": "label", - "value": "SI-10(02)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which input validation errors are to be reviewed is defined;" - } - ] - }, - { - "id": "si-10.02_odp.02", - "props": [ - { - "name": "label", - "value": "SI-10(02)_ODP[02]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "the time period within which input validation errors are to be resolved is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(02)" - }, - { - "name": "sort-id", - "value": "si-10.02" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.2_smt", - "name": "statement", - "prose": "Review and resolve input validation errors within {{ insert: param, si-10.2_prm_1 }}." - }, - { - "id": "si-10.2_gdn", - "name": "guidance", - "prose": "Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input. Input validation errors are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "input validation errors are reviewed within {{ insert: param, si-10.02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "input validation errors are resolved within {{ insert: param, si-10.02_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nreview records of information input validation errors and resulting resolutions\n\ninformation input validation error logs or records\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the review and resolution of input validation errors\n\nautomated mechanisms supporting and/or implementing the review and resolution of input validation errors" - } - ] - } - ] - }, - { - "id": "si-10.3", - "class": "SP800-53-enhancement", - "title": "Predictable Behavior", - "props": [ - { - "name": "label", - "value": "SI-10(03)" - }, - { - "name": "sort-id", - "value": "si-10.03" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.3_smt", - "name": "statement", - "prose": "Verify that the system behaves in a predictable and documented manner when invalid inputs are received." - }, - { - "id": "si-10.3_gdn", - "name": "guidance", - "prose": "A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. Verification of system predictability helps ensure that the system behaves as expected when invalid inputs are received. This occurs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "the system behaves in a predictable manner when invalid inputs are received;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "the system behaves in a documented manner when invalid inputs are received." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received" - } - ] - } - ] - }, - { - "id": "si-10.4", - "class": "SP800-53-enhancement", - "title": "Timing Interactions", - "props": [ - { - "name": "label", - "value": "SI-10(04)" - }, - { - "name": "sort-id", - "value": "si-10.04" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-10.4_smt", - "name": "statement", - "prose": "Account for timing interactions among system components in determining appropriate responses for invalid inputs." - }, - { - "id": "si-10.4_gdn", - "name": "guidance", - "prose": "In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appear to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input. The invalid inputs are those related to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(04)", - "class": "sp800-53A" - } - ], - "prose": "timing interactions among system components are accounted for in determining appropriate responses for invalid inputs." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining appropriate responses to invalid inputs\n\nautomated mechanisms supporting and/or implementing responses to invalid inputs" - } - ] - } - ] - }, - { - "id": "si-10.5", - "class": "SP800-53-enhancement", - "title": "Restrict Inputs to Trusted Sources and Approved Formats", - "params": [ - { - "id": "si-10.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.5_prm_1" - }, - { - "name": "label", - "value": "SI-10(05)_ODP[01]" - } - ], - "label": "trusted sources", - "guidelines": [ - { - "prose": "trusted sources to which the use of information inputs is to be restricted are defined;" - } - ] - }, - { - "id": "si-10.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-10.5_prm_2" - }, - { - "name": "label", - "value": "SI-10(05)_ODP[02]" - } - ], - "label": "formats", - "guidelines": [ - { - "prose": "formats to which the use of information inputs is to be restricted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(05)" - }, - { - "name": "sort-id", - "value": "si-10.05" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.5_smt", - "name": "statement", - "prose": "Restrict the use of information inputs to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}." - }, - { - "id": "si-10.5_gdn", - "name": "guidance", - "prose": "Restricting the use of inputs to trusted sources and in trusted formats applies the concept of authorized or permitted software to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity. The information inputs are those defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(05)", - "class": "sp800-53A" - } - ], - "prose": "the use of information inputs is restricted to {{ insert: param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of trusted sources for information inputs\n\nlist of acceptable formats for input restrictions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information inputs\n\nautomated mechanisms supporting and/or implementing restriction of information inputs" - } - ] - } - ] - }, - { - "id": "si-10.6", - "class": "SP800-53-enhancement", - "title": "Injection Prevention", - "props": [ - { - "name": "label", - "value": "SI-10(06)" - }, - { - "name": "sort-id", - "value": "si-10.06" - } - ], - "links": [ - { - "href": "#si-10", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.6_smt", - "name": "statement", - "prose": "Prevent untrusted data injections." - }, - { - "id": "si-10.6_gdn", - "name": "guidance", - "prose": "Untrusted data injections may be prevented using a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so that injections of malicious or unintended data cannot change the semantics of commands being sent. Output escaping uses specified characters to inform the interpreter’s parser whether data is trusted. Prevention of untrusted data injections are with respect to the information inputs defined by the organization in the base control ( [SI-10](#si-10))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-10(06)", - "class": "sp800-53A" - } - ], - "prose": "untrusted data injections are prevented." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information input validation\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of trusted sources for information inputs\n\nlist of acceptable formats for input restrictions\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-10(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for preventing untrusted data injections\n\nautomated mechanisms supporting and/or implementing injection prevention" - } - ] - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "params": [ - { - "id": "si-11_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-11_prm_1" - }, - { - "name": "label", - "value": "SI-11_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom error messages are to be revealed is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "si-11" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveal error messages only to {{ insert: param, si-11_odp }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-11a.", - "class": "sp800-53A" - } - ], - "prose": "error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-11b.", - "class": "sp800-53A" - } - ], - "prose": "error messages are revealed only to {{ insert: param, si-11_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing system error handling\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation providing the structure and content of error messages\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for error handling\n\nautomated mechanisms supporting and/or implementing error handling\n\nautomated mechanisms supporting and/or implementing the management of error messages" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Management and Retention", - "props": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - } - ], - "links": [ - { - "href": "#e922fc50-b1f9-469f-92ef-ed7d9803611c", - "rel": "reference" - }, - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, [AC-6(9)](#ac-6.9), [AT-4](#at-4), [AU-12](#au-12), [CA-2](#ca-2), [CA-3](#ca-3), [CA-5](#ca-5), [CA-6](#ca-6), [CA-7](#ca-7), [CA-8](#ca-8), [CA-9](#ca-9), [CM-2](#cm-2), [CM-3](#cm-3), [CM-4](#cm-4), [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](#cm-9), [CM-12](#cm-12), [CM-13](#cm-13), [CP-2](#cp-2), [IR-6](#ir-6), [IR-8](#ir-8), [MA-2](#ma-2), [MA-4](#ma-4), [PE-2](#pe-2), [PE-8](#pe-8), [PE-16](#pe-16), [PE-17](#pe-17), [PL-2](#pl-2), [PL-4](#pl-4), [PL-7](#pl-7), [PL-8](#pl-8), [PM-5](#pm-5), [PM-8](#pm-8), [PM-9](#pm-9), [PM-18](#pm-18), [PM-21](#pm-21), [PM-27](#pm-27), [PM-28](#pm-28), [PM-30](#pm-30), [PM-31](#pm-31), [PS-2](#ps-2), [PS-6](#ps-6), [PS-7](#ps-7), [PT-2](#pt-2), [PT-3](#pt-3), [PT-7](#pt-7), [RA-2](#ra-2), [RA-3](#ra-3), [RA-5](#ra-5), [RA-8](#ra-8), [SA-4](#sa-4), [SA-5](#sa-5), [SA-8](#sa-8), [SA-10](#sa-10), [SI-4](#si-4), [SR-2](#sr-2), [SR-4](#sr-4), [SR-8](#sr-8)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[01]", - "class": "sp800-53A" - } - ], - "prose": "information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[02]", - "class": "sp800-53A" - } - ], - "prose": "information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[03]", - "class": "sp800-53A" - } - ], - "prose": "information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12[04]", - "class": "sp800-53A" - } - ], - "prose": "information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention\n\nmedia protection policy\n\nmedia protection procedures\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\npersonally identifiable information inventory\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information management, retention, and disposition\n\nautomated mechanisms supporting and/or implementing information management, retention, and disposition" - } - ] - } - ], - "controls": [ - { - "id": "si-12.1", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "si-12.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-12.1_prm_1" - }, - { - "name": "label", - "value": "SI-12(01)_ODP" - } - ], - "label": "elements of personally identifiable information", - "guidelines": [ - { - "prose": "elements of personally identifiable information being processed in the information life cycle are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(01)" - }, - { - "name": "sort-id", - "value": "si-12.01" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.1_smt", - "name": "statement", - "prose": "Limit personally identifiable information being processed in the information life cycle to the following elements of personally identifiable information: {{ insert: param, si-12.01_odp }}." - }, - { - "id": "si-12.1_gdn", - "name": "guidance", - "prose": "Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(01)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information being processed in the information life cycle is limited to {{ insert: param, si-12.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to limiting personally identifiable information elements\n\npersonally identifiable information inventory\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\ndata mapping documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information management and retention (including limiting personally identifiable information processing)\n\nautomated mechanisms supporting and/or implementing limits to personally identifiable information processing" - } - ] - } - ] - }, - { - "id": "si-12.2", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information in Testing, Training, and Research", - "params": [ - { - "id": "si-12.2_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-12.02_odp.01" - } - ], - "label": "organization-defined techniques" - }, - { - "id": "si-12.02_odp.01", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for research are defined;" - } - ] - }, - { - "id": "si-12.02_odp.02", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[02]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for testing are defined;" - } - ] - }, - { - "id": "si-12.02_odp.03", - "props": [ - { - "name": "label", - "value": "SI-12(02)_ODP[03]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to minimize the use of personally identifiable information for training are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(02)" - }, - { - "name": "sort-id", - "value": "si-12.02" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.2_smt", - "name": "statement", - "prose": "Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: {{ insert: param, si-12.2_prm_1 }}." - }, - { - "id": "si-12.2_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.01 }} are used to minimize the use of personally identifiable information for research;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.02 }} are used to minimize the use of personally identifiable information for testing;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.02_odp.03 }} are used to minimize the use of personally identifiable information for training." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to minimizing the use of personally identifiable information in testing, training, and research\n\npolicy for the minimization of personally identifiable information used in testing, training, and research\n\nprocedures for the minimization of personally identifiable information used in testing, training, and research\n\ndocumentation supporting minimization policy implementation (e.g., templates for testing, training, and research)\n\ndata sets used for testing, training, and research\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators\n\nsystem developers\n\npersonnel with IRB responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the minimization of personally identifiable information used in testing, training, and research\n\nautomated mechanisms supporting and/or implementing the minimization of personally identifiable information used in testing, training, and research" - } - ] - } - ] - }, - { - "id": "si-12.3", - "class": "SP800-53-enhancement", - "title": "Information Disposal", - "params": [ - { - "id": "si-12.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-12.03_odp.01" - } - ], - "label": "organization-defined techniques" - }, - { - "id": "si-12.03_odp.01", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[01]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to dispose of information following the retention period are defined;" - } - ] - }, - { - "id": "si-12.03_odp.02", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[02]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to destroy information following the retention period are defined;" - } - ] - }, - { - "id": "si-12.03_odp.03", - "props": [ - { - "name": "label", - "value": "SI-12(03)_ODP[03]" - } - ], - "label": "techniques", - "guidelines": [ - { - "prose": "techniques used to erase information following the retention period are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(03)" - }, - { - "name": "sort-id", - "value": "si-12.03" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-12.3_smt", - "name": "statement", - "prose": "Use the following techniques to dispose of, destroy, or erase information following the retention period: {{ insert: param, si-12.3_prm_1 }}." - }, - { - "id": "si-12.3_gdn", - "name": "guidance", - "prose": "Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. The disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.01 }} are used to dispose of information following the retention period;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.02 }} are used to destroy information following the retention period;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-12(03)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-12.03_odp.03 }} are used to erase information following the retention period." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-12(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\npersonally identifiable information processing procedures\n\nrecords retention and disposition policy\n\nrecords retention and disposition procedures\n\nlaws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information disposal\n\nmedia protection policy\n\nmedia protection procedures\n\nsystem audit records\n\naudit findings\n\ninformation disposal records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-12(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information and records management, retention, and disposition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\nnetwork administrators" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information disposition\n\nautomated mechanisms supporting and/or implementing information disposition" - } - ] - } - ] - } - ] - }, - { - "id": "si-13", - "class": "SP800-53", - "title": "Predictable Failure Prevention", - "params": [ - { - "id": "si-13_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13_prm_1" - }, - { - "name": "label", - "value": "SI-13_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components for which mean time to failure (MTTF) should be determined are defined;" - } - ] - }, - { - "id": "si-13_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13_prm_2" - }, - { - "name": "label", - "value": "SI-13_ODP[02]" - } - ], - "label": "mean time to failure (MTTF) substitution criteria", - "guidelines": [ - { - "prose": "mean time to failure (MTTF) substitution criteria to be used as a means to exchange active and standby components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13" - }, - { - "name": "sort-id", - "value": "si-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13_smt", - "name": "statement", - "parts": [ - { - "id": "si-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine mean time to failure (MTTF) for the following system components in specific environments of operation: {{ insert: param, si-13_odp.01 }} ; and" - }, - { - "id": "si-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: {{ insert: param, si-13_odp.02 }}." - } - ] - }, - { - "id": "si-13_gdn", - "name": "guidance", - "prose": "While MTTF is primarily a reliability issue, predictable failure prevention is intended to address potential failures of system components that provide security capabilities. Failure rates reflect installation-specific consideration rather than the industry-average. Organizations define the criteria for the substitution of system components based on the MTTF value with consideration for the potential harm from component failures. The transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capabilities. The preservation of system state variables is also critical to help ensure a successful transfer process. Standby components remain available at all times except for maintenance issues or recovery failures in progress." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13a.", - "class": "sp800-53A" - } - ], - "prose": "mean time to failure (MTTF) is determined for {{ insert: param, si-13_odp.01 }} in specific environments of operation;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13b.", - "class": "sp800-53A" - } - ], - "prose": "substitute system components and a means to exchange active and standby components are provided in accordance with {{ insert: param, si-13_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of MTTF substitution criteria\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF determinations and activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF" - } - ] - } - ], - "controls": [ - { - "id": "si-13.1", - "class": "SP800-53-enhancement", - "title": "Transferring Component Responsibilities", - "params": [ - { - "id": "si-13.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.1_prm_1" - }, - { - "name": "label", - "value": "SI-13(01)_ODP" - } - ], - "label": "fraction or percentage", - "guidelines": [ - { - "prose": "the fraction or percentage of mean time to failure within which to transfer the responsibilities of a system component to a substitute component is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(01)" - }, - { - "name": "sort-id", - "value": "si-13.01" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.1_smt", - "name": "statement", - "prose": "Take system components out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure." - }, - { - "id": "si-13.1_gdn", - "name": "guidance", - "prose": "Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business functions. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, the premature replacement of system components can result in the increased cost of system operations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(01)", - "class": "sp800-53A" - } - ], - "prose": "system components are taken out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.01_odp }} of mean time to failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF\n\nautomated mechanisms supporting and/or implementing the transfer of component responsibilities to substitute components" - } - ] - } - ] - }, - { - "id": "si-13.2", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "props": [ - { - "name": "label", - "value": "SI-13(02)" - }, - { - "name": "sort-id", - "value": "si-13.02" - }, - { - "name": "status", - "value": "withdrawn" - } - ], - "links": [ - { - "href": "#si-7.16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-13.3", - "class": "SP800-53-enhancement", - "title": "Manual Transfer Between Components", - "params": [ - { - "id": "si-13.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.3_prm_1" - }, - { - "name": "label", - "value": "SI-13(03)_ODP" - } - ], - "label": "percentage", - "guidelines": [ - { - "prose": "the percentage of the mean time to failure for transfers to be manually initiated is defined:" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(03)" - }, - { - "name": "sort-id", - "value": "si-13.03" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.3_smt", - "name": "statement", - "prose": "Manually initiate transfers between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure." - }, - { - "id": "si-13.3_gdn", - "name": "guidance", - "prose": "For example, if the MTTF for a system component is 100 days and the MTTF percentage defined by the organization is 90 percent, the manual transfer would occur after 90 days." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(03)", - "class": "sp800-53A" - } - ], - "prose": "transfers are initiated manually between active and standby system components when the use of the active component reaches {{ insert: param, si-13.03_odp }} of the mean time to failure." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF and conducting the manual transfer between active and standby components" - } - ] - } - ] - }, - { - "id": "si-13.4", - "class": "SP800-53-enhancement", - "title": "Standby Component Installation and Notification", - "params": [ - { - "id": "si-13.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_1" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[01]" - } - ], - "label": "time period", - "guidelines": [ - { - "prose": "time period for standby components to be installed is defined;" - } - ] - }, - { - "id": "si-13.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_2" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "activate{{ insert: param, si-13.04_odp.03 }} ", - "automatically shut down the system", - " {{ insert: param, si-13.04_odp.04 }} " - ] - } - }, - { - "id": "si-13.04_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_3" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[03]" - } - ], - "label": "alarm", - "guidelines": [ - { - "prose": "alarm to be activated when system component failures are detected is defined (if selected);" - } - ] - }, - { - "id": "si-13.04_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.4_prm_4" - }, - { - "name": "label", - "value": "SI-13(04)_ODP[04]" - } - ], - "label": "action", - "guidelines": [ - { - "prose": "action to be taken when system component failures are detected is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(04)" - }, - { - "name": "sort-id", - "value": "si-13.04" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-13.4_smt", - "name": "statement", - "prose": "If system component failures are detected:", - "parts": [ - { - "id": "si-13.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Ensure that the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} ; and" - }, - { - "id": "si-13.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-13.04_odp.02 }}." - } - ] - }, - { - "id": "si-13.4_gdn", - "name": "guidance", - "prose": "Automatic or manual transfer of components from standby to active mode can occur upon the detection of component failures." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)(a)", - "class": "sp800-53A" - } - ], - "prose": "the standby components are successfully and transparently installed within {{ insert: param, si-13.04_odp.01 }} if system component failures are detected;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(04)(b)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-13.04_odp.02 }} are performed if system component failures are detected." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of actions to be taken once system component failure is detected\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for MTTF activities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing MTTF\n\nautomated mechanisms supporting and/or implementing the transparent installation of standby components\n\nautomated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected" - } - ] - } - ] - }, - { - "id": "si-13.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "params": [ - { - "id": "si-13.05_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.5_prm_1" - }, - { - "name": "label", - "value": "SI-13(05)_ODP[01]" - } - ], - "select": { - "choice": [ - "real-time", - "near real-time" - ] - } - }, - { - "id": "si-13.05_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-13.5_prm_2" - }, - { - "name": "label", - "value": "SI-13(05)_ODP[02]" - } - ], - "label": "failover capability", - "guidelines": [ - { - "prose": "a failover capability for the system has been defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(05)" - }, - { - "name": "sort-id", - "value": "si-13.05" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "required" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} for the system." - }, - { - "id": "si-13.5_gdn", - "name": "guidance", - "prose": "Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by the recovery time periods of organizations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-13(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02 }} is provided for the system." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-13(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing predictable failure prevention\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ndocumentation describing the failover capability provided for the system\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-13(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for the failover capability\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with contingency planning responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-13(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing the failover capability\n\nautomated mechanisms supporting and/or implementing the failover capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-14", - "class": "SP800-53", - "title": "Non-persistence", - "params": [ - { - "id": "si-14_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_1" - }, - { - "name": "label", - "value": "SI-14_ODP[01]" - } - ], - "label": "system components and services", - "guidelines": [ - { - "prose": "non-persistent system components and services to be implemented are defined;" - } - ] - }, - { - "id": "si-14_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_2" - }, - { - "name": "label", - "value": "SI-14_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "upon end of session of use", - " {{ insert: param, si-14_odp.03 }} " - ] - } - }, - { - "id": "si-14_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14_prm_3" - }, - { - "name": "label", - "value": "SI-14_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to terminate non-persistent components and services that are initiated in a known state is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14" - }, - { - "name": "sort-id", - "value": "si-14" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14_smt", - "name": "statement", - "prose": "Implement non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state and terminated {{ insert: param, si-14_odp.02 }}." - }, - { - "id": "si-14_gdn", - "name": "guidance", - "prose": "Implementation of non-persistent components and services mitigates risk from advanced persistent threats (APTs) by reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a trusted, known state computing resource for a specific time period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems or operating environments. Since the APT is a high-end, sophisticated threat with regard to capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries attempting to compromise or breach organizational systems.\n\nNon-persistence can be achieved by refreshing system components, periodically reimaging components, or using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14[01]", - "class": "sp800-53A" - } - ], - "prose": "non-persistent {{ insert: param, si-14_odp.01 }} that are initiated in a known state;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14[02]", - "class": "sp800-53A" - } - ], - "prose": "non-persistent {{ insert: param, si-14_odp.01 }} are terminated {{ insert: param, si-14_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for non-persistence\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the initiation and termination of non-persistent components" - } - ] - } - ], - "controls": [ - { - "id": "si-14.1", - "class": "SP800-53-enhancement", - "title": "Refresh from Trusted Sources", - "params": [ - { - "id": "si-14.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.1_prm_1" - }, - { - "name": "label", - "value": "SI-14(01)_ODP" - } - ], - "label": "trusted sources", - "guidelines": [ - { - "prose": "trusted sources to obtain software and data for system component and service refreshes are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(01)" - }, - { - "name": "sort-id", - "value": "si-14.01" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-14.1_smt", - "name": "statement", - "prose": "Obtain software and data employed during system component and service refreshes from the following trusted sources: {{ insert: param, si-14.01_odp }}." - }, - { - "id": "si-14.1_gdn", - "name": "guidance", - "prose": "Trusted sources include software and data from write-once, read-only media or from selected offline secure storage facilities." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(01)", - "class": "sp800-53A" - } - ], - "prose": "the software and data employed during system component and service refreshes are obtained from {{ insert: param, si-14.01_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for obtaining component and service refreshes from trusted sources\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and obtaining component and service refreshes from trusted sources\n\nautomated mechanisms supporting and/or implementing component and service refreshes" - } - ] - } - ] - }, - { - "id": "si-14.2", - "class": "SP800-53-enhancement", - "title": "Non-persistent Information", - "params": [ - { - "id": "si-14.02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_1" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[01]" - } - ], - "select": { - "choice": [ - "refresh{{ insert: param, si-14.02_odp.02 }} {{ insert: param, si-14.02_odp.03 }} ", - "generate{{ insert: param, si-14.02_odp.04 }}on demand" - ] - } - }, - { - "id": "si-14.02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_2" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be refreshed is defined (if selected);" - } - ] - }, - { - "id": "si-14.02_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_3" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to refresh information is defined (if selected);" - } - ] - }, - { - "id": "si-14.02_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.2_prm_4" - }, - { - "name": "label", - "value": "SI-14(02)_ODP[04]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be generated is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(02)" - }, - { - "name": "sort-id", - "value": "si-14.02" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-14.2_smt", - "name": "statement", - "parts": [ - { - "id": "si-14.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, si-14.02_odp.01 }} ; and" - }, - { - "id": "si-14.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Delete information when no longer needed." - } - ] - }, - { - "id": "si-14.2_gdn", - "name": "guidance", - "prose": "Retaining information longer than is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)(a)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-14.02_odp.01 }} is performed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(02)(b)", - "class": "sp800-53A" - } - ], - "prose": "information is deleted when no longer needed." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for ensuring that information is and remains non-persistent\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring that information is and remains non-persistent\n\nautomated mechanisms supporting and/or implementing component and service refreshes" - } - ] - } - ] - }, - { - "id": "si-14.3", - "class": "SP800-53-enhancement", - "title": "Non-persistent Connectivity", - "params": [ - { - "id": "si-14.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-14.3_prm_1" - }, - { - "name": "label", - "value": "SI-14(03)_ODP" - } - ], - "select": { - "choice": [ - "completion of a request", - "a period of non-use" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(03)" - }, - { - "name": "sort-id", - "value": "si-14.03" - } - ], - "links": [ - { - "href": "#si-14", - "rel": "required" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14.3_smt", - "name": "statement", - "prose": "Establish connections to the system on demand and terminate connections after {{ insert: param, si-14.03_odp }}." - }, - { - "id": "si-14.3_gdn", - "name": "guidance", - "prose": "Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary’s ability to move freely through organizational systems." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "connections to the system are established on demand;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-14(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "connections to the system are terminated after {{ insert: param, si-14.03_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-14(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing non-persistence for system components\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-14(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for limiting persistent connections\n\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-14(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for limiting persistent connections\n\nautomated mechanisms supporting and/or implementing non-persistent connectivity" - } - ] - } - ] - } - ] - }, - { - "id": "si-15", - "class": "SP800-53", - "title": "Information Output Filtering", - "params": [ - { - "id": "si-15_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-15_prm_1" - }, - { - "name": "label", - "value": "SI-15_ODP" - } - ], - "label": "software programs and/or applications", - "guidelines": [ - { - "prose": "software programs and/or applications whose information output requires validation are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-15" - }, - { - "name": "sort-id", - "value": "si-15" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-15_smt", - "name": "statement", - "prose": "Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: {{ insert: param, si-15_odp }}." - }, - { - "id": "si-15_gdn", - "name": "guidance", - "prose": "Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-15", - "class": "sp800-53A" - } - ], - "prose": "information output from {{ insert: param, si-15_odp }} is validated to ensure that the information is consistent with the expected content." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-15-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing information output filtering\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-15-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for validating information output\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-15-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for validating information output\n\nautomated mechanisms supporting and/or implementing information output validation" - } - ] - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "params": [ - { - "id": "si-16_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-16_prm_1" - }, - { - "name": "label", - "value": "SI-16_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to be implemented to protect the system memory from unauthorized code execution are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "si-16" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_odp }}." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-16", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-16_odp }} are implemented to protect the system memory from unauthorized code execution." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-16-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\nprocedures addressing memory protection for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards protecting system memory from unauthorized code execution\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-16-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for memory protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-16-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution" - } - ] - } - ] - }, - { - "id": "si-17", - "class": "SP800-53", - "title": "Fail-safe Procedures", - "params": [ - { - "id": "si-17_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-17_odp.01" - } - ], - "label": "organization-defined list of failure conditions and associated fail-safe procedures" - }, - { - "id": "si-17_odp.01", - "props": [ - { - "name": "label", - "value": "SI-17_ODP[01]" - } - ], - "label": "fail-safe procedures", - "guidelines": [ - { - "prose": "fail-safe procedures associated with failure conditions are defined;" - } - ] - }, - { - "id": "si-17_odp.02", - "props": [ - { - "name": "label", - "value": "SI-17_ODP[02]" - } - ], - "label": "list of failure conditions", - "guidelines": [ - { - "prose": "a list of failure conditions requiring fail-safe procedures is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-17" - }, - { - "name": "sort-id", - "value": "si-17" - } - ], - "links": [ - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-17_smt", - "name": "statement", - "prose": "Implement the indicated fail-safe procedures when the indicated failures occur: {{ insert: param, si-17_prm_1 }}." - }, - { - "id": "si-17_gdn", - "name": "guidance", - "prose": "Failure conditions include the loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. Subsequent steps may include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-17", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-17_odp.01 }} are implemented when {{ insert: param, si-17_odp.02 }} occur." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-17-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\ndocumentation addressing fail-safe procedures for the system\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of security safeguards protecting the system memory from unauthorized code execution\n\nsystem audit records\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-17-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for fail-safe procedures\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-17-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational fail-safe procedures\n\nautomated mechanisms supporting and/or implementing fail-safe procedures" - } - ] - } - ] - }, - { - "id": "si-18", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Operations", - "params": [ - { - "id": "si-18_prm_1", - "props": [ - { - "name": "aggregates", - "value": "si-18_odp.01" - } - ], - "label": "organization-defined frequency" - }, - { - "id": "si-18_odp.01", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[01]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the accuracy of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.02", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the relevance of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.03", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the timeliness of personally identifiable information across the information life cycle is defined;" - } - ] - }, - { - "id": "si-18_odp.04", - "props": [ - { - "name": "label", - "value": "SI-18_ODP[04]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to check the completeness of personally identifiable information across the information life cycle is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18" - }, - { - "name": "sort-id", - "value": "si-18" - } - ], - "links": [ - { - "href": "#227063d4-431e-435f-9e8f-009b6dbc20f4", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18_smt", - "name": "statement", - "parts": [ - { - "id": "si-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle {{ insert: param, si-18_prm_1 }} ; and" - }, - { - "id": "si-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correct or delete inaccurate or outdated personally identifiable information." - } - ] - }, - { - "id": "si-18_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and the potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[01]", - "class": "sp800-53A" - } - ], - "prose": "the accuracy of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the relevance of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.02 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the timeliness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.03 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the completeness of personally identifiable information across the information life cycle is checked {{ insert: param, si-18_odp.04 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(b)", - "class": "sp800-53A" - } - ], - "prose": "inaccurate or outdated personally identifiable information is corrected or deleted." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\ndocumentation addressing personally identifiable information quality operations\n\nquality reports\n\nmaintenance logs\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for performing personally identifiable information quality inspections\n\norganizational personnel with information security responsibilities\n\norganizational personnel with privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personally identifiable information quality inspection\n\nautomated mechanisms supporting and/or implementing personally identifiable information quality operations" - } - ] - } - ], - "controls": [ - { - "id": "si-18.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "si-18.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-18.1_prm_1" - }, - { - "name": "label", - "value": "SI-18(01)_ODP" - } - ], - "label": "automated mechanisms", - "guidelines": [ - { - "prose": "automated mechanisms used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(01)" - }, - { - "name": "sort-id", - "value": "si-18.01" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.1_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using {{ insert: param, si-18.01_odp }}." - }, - { - "id": "si-18.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessments and make determinations that are in alignment with their privacy program plans.\n\nAs data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve the auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-18.01_odp }} are used to correct or delete personally identifiable information that is inaccurate, outdated, incorrectly determined regarding impact, or incorrectly de-identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\ndocumentation addressing personally identifiable information quality operations\n\nquality reports\n\nmaintenance logs\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for performing personally identifiable information quality inspections\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personally identifiable information quality inspection\n\nautomated mechanisms supporting and/or implementing personally identifiable information quality operations" - } - ] - } - ] - }, - { - "id": "si-18.2", - "class": "SP800-53-enhancement", - "title": "Data Tags", - "props": [ - { - "name": "label", - "value": "SI-18(02)" - }, - { - "name": "sort-id", - "value": "si-18.02" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.2_smt", - "name": "statement", - "prose": "Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "id": "si-18.2_gdn", - "name": "guidance", - "prose": "Data tagging personally identifiable information includes tags that note processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(02)", - "class": "sp800-53A" - } - ], - "prose": "data tags are employed to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing data tagging\n\npersonally identifiable information inventory\n\nsystem audit records\n\naudit findings\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for tagging data\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Data tagging mechanisms\n\nautomated mechanisms supporting and/or implementing data tagging" - } - ] - } - ] - }, - { - "id": "si-18.3", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-18(03)" - }, - { - "name": "sort-id", - "value": "si-18.03" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.3_smt", - "name": "statement", - "prose": "Collect personally identifiable information directly from the individual." - }, - { - "id": "si-18.3_gdn", - "name": "guidance", - "prose": "Individuals or their designated representatives can be sources of correct personally identifiable information. Organizations consider contextual factors that may incentivize individuals to provide correct data versus false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than the measures taken to validate less sensitive personally identifiable information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information is collected directly from the individual." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration documentation\n\nsystem audit records\n\nuser interface where personally identifiable information is collected\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for data collection\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Data collection mechanisms\n\nautomated mechanisms supporting and/or validating collection directly from the individual" - } - ] - } - ] - }, - { - "id": "si-18.4", - "class": "SP800-53-enhancement", - "title": "Individual Requests", - "props": [ - { - "name": "label", - "value": "SI-18(04)" - }, - { - "name": "sort-id", - "value": "si-18.04" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.4_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information upon request by individuals or their designated representatives." - }, - { - "id": "si-18.4_gdn", - "name": "guidance", - "prose": "Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion when determining if personally identifiable information is to be corrected or deleted based on the scope of requests, the changes sought, the impact of the changes, and laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(04)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information is corrected or deleted upon request by individuals or their designated representatives." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration\n\nindividual requests\n\nrecords of correction or deletion actions performed\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for responding to individual requests for personally identifiable information correction or deletion\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Request mechanisms\n\nautomated mechanisms supporting and/or implementing individual requests for correction or deletion" - } - ] - } - ] - }, - { - "id": "si-18.5", - "class": "SP800-53-enhancement", - "title": "Notice of Correction or Deletion", - "params": [ - { - "id": "si-18.05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-18.5_prm_1" - }, - { - "name": "label", - "value": "SI-18(05)_ODP" - } - ], - "label": "recipients", - "guidelines": [ - { - "prose": "recipients of personally identifiable information to be notified when the personally identifiable information has been corrected or deleted are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(05)" - }, - { - "name": "sort-id", - "value": "si-18.05" - } - ], - "links": [ - { - "href": "#si-18", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-18.5_smt", - "name": "statement", - "prose": "Notify {{ insert: param, si-18.05_odp }} and individuals that the personally identifiable information has been corrected or deleted." - }, - { - "id": "si-18.5_gdn", - "name": "guidance", - "prose": "When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with whom the information is associated or their designated representatives, are informed of the corrected or deleted information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-18(05)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-18.05_odp }} and individuals are notified when the personally identifiable information has been corrected or deleted." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-18(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem configuration\n\nindividual requests for corrections or deletions\n\nnotifications of correction or deletion action\n\nsystem audit records\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-18(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for sending correction or deletion notices\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-18(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for notifications of correction or deletion\n\nautomated mechanisms supporting and/or implementing notifications of correction or deletion" - } - ] - } - ] - } - ] - }, - { - "id": "si-19", - "class": "SP800-53", - "title": "De-identification", - "params": [ - { - "id": "si-19_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-19_prm_1" - }, - { - "name": "label", - "value": "SI-19_ODP[01]" - } - ], - "label": "elements", - "guidelines": [ - { - "prose": "elements of personally identifiable information to be removed from datasets are defined;" - } - ] - }, - { - "id": "si-19_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-19_prm_2" - }, - { - "name": "label", - "value": "SI-19_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to evaluate the effectiveness of de-identification is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-19" - }, - { - "name": "sort-id", - "value": "si-19" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "rel": "reference" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19_smt", - "name": "statement", - "parts": [ - { - "id": "si-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Remove the following elements of personally identifiable information from datasets: {{ insert: param, si-19_odp.01 }} ; and" - }, - { - "id": "si-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Evaluate {{ insert: param, si-19_odp.02 }} for effectiveness of de-identification." - } - ] - }, - { - "id": "si-19_gdn", - "name": "guidance", - "prose": "De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary, including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time support the management of this residual risk." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-19_odp.01 }} are removed from datasets;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19b.", - "class": "sp800-53A" - } - ], - "prose": "the effectiveness of de-identification is evaluated {{ insert: param, si-19_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\ndatasets with personally identifiable information removed\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for identifying unnecessary identifiers\n\norganizational personnel responsible for removing personally identifiable information from datasets\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements" - } - ] - } - ], - "controls": [ - { - "id": "si-19.1", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-19(01)" - }, - { - "name": "sort-id", - "value": "si-19.01" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.1_smt", - "name": "statement", - "prose": "De-identify the dataset upon collection by not collecting personally identifiable information." - }, - { - "id": "si-19.1_gdn", - "name": "guidance", - "prose": "If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified when it is created by not collecting the data elements that contain the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(01)", - "class": "sp800-53A" - } - ], - "prose": "the dataset is de-identified upon collection by not collecting personally identifiable information." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nprocedures for minimizing the collection of personally identifiable information\n\nsystem configuration\n\ndata collection mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing the collection of personally identifiable information" - } - ] - } - ] - }, - { - "id": "si-19.2", - "class": "SP800-53-enhancement", - "title": "Archiving", - "props": [ - { - "name": "label", - "value": "SI-19(02)" - }, - { - "name": "sort-id", - "value": "si-19.02" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.2_smt", - "name": "statement", - "prose": "Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "id": "si-19.2_gdn", - "name": "guidance", - "prose": "Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified, and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(02)", - "class": "sp800-53A" - } - ], - "prose": "the archiving of personally identifiable information elements is prohibited if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration documentation\n\ndata archiving mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with dataset archival responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms prohibiting the archival of personally identifiable information elements" - } - ] - } - ] - }, - { - "id": "si-19.3", - "class": "SP800-53-enhancement", - "title": "Release", - "props": [ - { - "name": "label", - "value": "SI-19(03)" - }, - { - "name": "sort-id", - "value": "si-19.03" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.3_smt", - "name": "statement", - "prose": "Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "id": "si-19.3_gdn", - "name": "guidance", - "prose": "Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(03)", - "class": "sp800-53A" - } - ], - "prose": "personally identifiable information elements are removed from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nprocedures for minimizing the release of personally identifiable information\n\nsystem configuration\n\ndata release mechanisms\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal of personally identifiable information elements from a dataset" - } - ] - } - ] - }, - { - "id": "si-19.4", - "class": "SP800-53-enhancement", - "title": "Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers", - "props": [ - { - "name": "label", - "value": "SI-19(04)" - }, - { - "name": "sort-id", - "value": "si-19.04" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.4_smt", - "name": "statement", - "prose": "Remove, mask, encrypt, hash, or replace direct identifiers in a dataset." - }, - { - "id": "si-19.4_gdn", - "name": "guidance", - "prose": "There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, such as XXXXXX or 999999. Identifiers can be encrypted or hashed so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming \"George Washington\" to \"PATIENT\" or replacing it with a surrogate value, such as transforming \"George Washington\" to \"Abraham Polk.\" " - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(04)", - "class": "sp800-53A" - } - ], - "prose": "direct identifiers in a dataset are removed, masked, encrypted, hashed, or replaced." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\ndocumentation of de-identified datasets\n\ntools for the removal, masking, encryption, hashing or replacement of direct identifiers\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the removal, masking, encryption, hashing or replacement of direct identifiers" - } - ] - } - ] - }, - { - "id": "si-19.5", - "class": "SP800-53-enhancement", - "title": "Statistical Disclosure Control", - "props": [ - { - "name": "label", - "value": "SI-19(05)" - }, - { - "name": "sort-id", - "value": "si-19.05" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.5_smt", - "name": "statement", - "prose": "Manipulate numerical data, contingency tables, and statistical findings so that no individual or organization is identifiable in the results of the analysis." - }, - { - "id": "si-19.5_gdn", - "name": "guidance", - "prose": "Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school that publishes a monthly table with the number of minority students enrolled, reports that it has 10-19 such students in January, and subsequently reports that it has 20-29 such students in March, then it can be inferred that the student who enrolled in February was a minority." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[01]", - "class": "sp800-53A" - } - ], - "prose": "numerical data is manipulated so that no individual or organization is identifiable in the results of the analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[02]", - "class": "sp800-53A" - } - ], - "prose": "contingency tables are manipulated so that no individual or organization is identifiable in the results of the analysis;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(05)[03]", - "class": "sp800-53A" - } - ], - "prose": "statistical findings are manipulated so that no individual or organization is identifiable in the results of the analysis." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(05)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\nstatistical analysis report\n\ntools for the control of statistical disclosure\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(05)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(05)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the control of statistical disclosure" - } - ] - } - ] - }, - { - "id": "si-19.6", - "class": "SP800-53-enhancement", - "title": "Differential Privacy", - "props": [ - { - "name": "label", - "value": "SI-19(06)" - }, - { - "name": "sort-id", - "value": "si-19.06" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.6_smt", - "name": "statement", - "prose": "Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "id": "si-19.6_gdn", - "name": "guidance", - "prose": "The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small, random values to the results of mathematical operations in dataset analysis." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(06)", - "class": "sp800-53A" - } - ], - "prose": "the disclosure of personally identifiable information is prevented by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(06)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\ndifferential privacy tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(06)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(06)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Online query systems\n\nautomated mechanisms supporting and/or implementing differential privacy" - } - ] - } - ] - }, - { - "id": "si-19.7", - "class": "SP800-53-enhancement", - "title": "Validated Algorithms and Software", - "props": [ - { - "name": "label", - "value": "SI-19(07)" - }, - { - "name": "sort-id", - "value": "si-19.07" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.7_smt", - "name": "statement", - "prose": "Perform de-identification using validated algorithms and software that is validated to implement the algorithms." - }, - { - "id": "si-19.7_gdn", - "name": "guidance", - "prose": "Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that is re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or implement a different algorithm. Software may de-identify one type of data, such as integers, but not de-identify another type of data, such as floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)[01]", - "class": "sp800-53A" - } - ], - "prose": "de-identification is performed using validated algorithms;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(07)[02]", - "class": "sp800-53A" - } - ], - "prose": "de-identification is performed using software that is validated to implement the algorithms." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(07)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nde-identified datasets\n\nalgorithm and software validation tools\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(07)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(07)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Validated algorithms and software" - } - ] - } - ] - }, - { - "id": "si-19.8", - "class": "SP800-53-enhancement", - "title": "Motivated Intruder", - "props": [ - { - "name": "label", - "value": "SI-19(08)" - }, - { - "name": "sort-id", - "value": "si-19.08" - } - ], - "links": [ - { - "href": "#si-19", - "rel": "required" - } - ], - "parts": [ - { - "id": "si-19.8_smt", - "name": "statement", - "prose": "Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "id": "si-19.8_gdn", - "name": "guidance", - "prose": "A motivated intruder test is a test in which an individual or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders possess to conduct the tests. A motivated intruder test can determine if the de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-19(08)", - "class": "sp800-53A" - } - ], - "prose": "a motivated intruder test is performed on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-19(08)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nde-identification procedures\n\nsystem configuration\n\nmotivated intruder test procedures\n\nde-identified datasets\n\nsystem security plan\n\nprivacy plan\n\nprivacy impact assessment\n\nprivacy risk assessment documentation\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-19(08)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for de-identifying the dataset\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-19(08)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Motivated intruder test" - } - ] - } - ] - } - ] - }, - { - "id": "si-20", - "class": "SP800-53", - "title": "Tainting", - "params": [ - { - "id": "si-20_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "si-20_prm_1" - }, - { - "name": "label", - "value": "SI-20_ODP" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "the systems or system components with data or capabilities to be embedded are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-20" - }, - { - "name": "sort-id", - "value": "si-20" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-20_smt", - "name": "statement", - "prose": "Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: {{ insert: param, si-20_odp }}." - }, - { - "id": "si-20_gdn", - "name": "guidance", - "prose": "Many cyber-attacks target organizational information, or information that the organization holds on behalf of other entities (e.g., personally identifiable information), and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system that is in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity, so any packets it includes potentially contain malicious code, and that the unauthorized entity may have potentially obtained a copy of the database. Another tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open-source analysis. Finally, an active tainting approach can include embedding software in the data that is able to \"call home,\" thereby alerting the organization to its \"capture,\" and possibly its location, and the path by which it was exfiltrated or removed." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-20", - "class": "sp800-53A" - } - ], - "prose": "data or capabilities are embedded in {{ insert: param, si-20_odp }} to determine if organizational data has been exfiltrated or improperly removed from the organization." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-20-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\npolicy and procedures addressing the systems security engineering technique of deception\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-20-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for detecting tainted data\n\norganizational personnel with systems security engineering responsibilities\n\norganizational personnel with information security and privacy responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-20-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for post-breach detection\n\ndecoys, traps, lures, and methods for deceiving adversaries\n\ndetection and notification mechanisms" - } - ] - } - ] - }, - { - "id": "si-21", - "class": "SP800-53", - "title": "Information Refresh", - "params": [ - { - "id": "si-21_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-21_prm_1" - }, - { - "name": "label", - "value": "SI-21_ODP[01]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be refreshed is defined;" - } - ] - }, - { - "id": "si-21_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-21_prm_2" - }, - { - "name": "label", - "value": "SI-21_ODP[02]" - } - ], - "label": "frequencies", - "guidelines": [ - { - "prose": "the frequencies at which to refresh information are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-21" - }, - { - "name": "sort-id", - "value": "si-21" - } - ], - "links": [ - { - "href": "#27847491-5ce1-4f6a-a1e4-9e483782f0ef", - "rel": "reference" - }, - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-21_smt", - "name": "statement", - "prose": "Refresh {{ insert: param, si-21_odp.01 }} at {{ insert: param, si-21_odp.02 }} or generate the information on demand and delete the information when no longer needed." - }, - { - "id": "si-21_gdn", - "name": "guidance", - "prose": "Retaining information for longer than it is needed makes it an increasingly valuable and enticing target for adversaries. Keeping information available for the minimum period of time needed to support organizational missions or business functions reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-21", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, si-21_odp.01 }} is refreshed {{ insert: param, si-21_odp.02 }} or is generated on demand and deleted when no longer needed." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-21-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\ninformation refresh procedures\n\nlist of information to be refreshed\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-21-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for refreshing information\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-21-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms for information refresh\n\norganizational processes for information refresh" - } - ] - } - ] - }, - { - "id": "si-22", - "class": "SP800-53", - "title": "Information Diversity", - "params": [ - { - "id": "si-22_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_2" - }, - { - "name": "label", - "value": "SI-22_ODP[01]" - } - ], - "label": "alternative information sources", - "guidelines": [ - { - "prose": "alternative information sources for essential functions and services are defined;" - } - ] - }, - { - "id": "si-22_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_1" - }, - { - "name": "label", - "value": "SI-22_ODP[02]" - } - ], - "label": "essential functions and services", - "guidelines": [ - { - "prose": "essential functions and services that require alternative sources of information are defined;" - } - ] - }, - { - "id": "si-22_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-22_prm_3" - }, - { - "name": "label", - "value": "SI-22_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that require an alternative information source for the execution of essential functions or services are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-22" - }, - { - "name": "sort-id", - "value": "si-22" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-22_smt", - "name": "statement", - "parts": [ - { - "id": "si-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the following alternative sources of information for {{ insert: param, si-22_odp.02 }}: {{ insert: param, si-22_odp.01 }} ; and" - }, - { - "id": "si-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Use an alternative information source for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "id": "si-22_gdn", - "name": "guidance", - "prose": "Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22a.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, si-22_odp.01 }} for {{ insert: param, si-22_odp.02 }} are identified;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-22b.", - "class": "sp800-53A" - } - ], - "prose": "an alternative information source is used for the execution of essential functions or services on {{ insert: param, si-22_odp.03 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-22-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nlist of information sources\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-22-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-22-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated methods and mechanisms to convert information from an analog to digital medium" - } - ] - } - ] - }, - { - "id": "si-23", - "class": "SP800-53", - "title": "Information Fragmentation", - "params": [ - { - "id": "si-23_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_1" - }, - { - "name": "label", - "value": "SI-23_ODP[01]" - } - ], - "label": "circumstances", - "guidelines": [ - { - "prose": "circumstances that require information fragmentation are defined;" - } - ] - }, - { - "id": "si-23_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_2" - }, - { - "name": "label", - "value": "SI-23_ODP[02]" - } - ], - "label": "information", - "guidelines": [ - { - "prose": "the information to be fragmented is defined;" - } - ] - }, - { - "id": "si-23_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "si-23_prm_3" - }, - { - "name": "label", - "value": "SI-23_ODP[03]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components across which the fragmented information is to be distributed are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SI-23" - }, - { - "name": "sort-id", - "value": "si-23" - } - ], - "links": [ - { - "href": "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-23_smt", - "name": "statement", - "prose": "Based on {{ insert: param, si-23_odp.01 }}:", - "parts": [ - { - "id": "si-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Fragment the following information: {{ insert: param, si-23_odp.02 }} ; and" - }, - { - "id": "si-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the fragmented information across the following systems or system components: {{ insert: param, si-23_odp.03 }}." - } - ] - }, - { - "id": "si-23_gdn", - "name": "guidance", - "prose": "One objective of the advanced persistent threat is to exfiltrate valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider dividing the information into disparate elements and distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary’s work factor to capture and exfiltrate the desired information and, in so doing, increase the probability of detection. The fragmentation of information impacts the organization’s ability to access the information in a timely manner. The extent of the fragmentation is dictated by the impact or classification level (and value) of the information, threat intelligence information received, and whether data tainting is used (i.e., data tainting-derived information about the exfiltration of some information could result in the fragmentation of the remaining information)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23a.", - "class": "sp800-53A" - } - ], - "prose": "under {{ insert: param, si-23_odp.01 }}, {{ insert: param, si-23_odp.02 }} is fragmented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SI-23b.", - "class": "sp800-53A" - } - ], - "prose": "under {{ insert: param, si-23_odp.01 }} , the fragmented information is distributed across {{ insert: param, si-23_odp.03 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-23-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\n\nsystem and information integrity procedures\n\npersonally identifiable information processing policy\n\nprocedures addressing software and information integrity\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nprocedures to identify information for fragmentation and distribution across systems/system components\n\nlist of distributed and fragmented information\n\nlist of circumstances requiring information fragmentation\n\nenterprise architecture\n\nsystem security architecture\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-23-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and privacy responsibilities\n\norganizational personnel with systems security engineering responsibilities\n\nsystem developers\n\nsecurity architects" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-23-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes to identify information for fragmentation and distribution across systems/system components\n\nautomated mechanisms supporting and/or implementing information fragmentation and distribution across systems/system components" - } - ] - } - ] - } - ] - }, - { - "id": "sr", - "class": "family", - "title": "Supply Chain Risk Management", - "controls": [ - { - "id": "sr-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sr-1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-01_odp.01" - } - ], - "label": "organization-defined personnel or roles" - }, - { - "id": "sr-01_odp.01", - "props": [ - { - "name": "label", - "value": "SR-01_ODP[01]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom supply chain risk management policy is to be disseminated to is/are defined;" - } - ] - }, - { - "id": "sr-01_odp.02", - "props": [ - { - "name": "label", - "value": "SR-01_ODP[02]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom supply chain risk management procedures are disseminated to is/are defined;" - } - ] - }, - { - "id": "sr-01_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_2" - }, - { - "name": "label", - "value": "SR-01_ODP[03]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sr-01_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_3" - }, - { - "name": "label", - "value": "SR-01_ODP[04]" - } - ], - "label": "official", - "guidelines": [ - { - "prose": "an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined;" - } - ] - }, - { - "id": "sr-01_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_4" - }, - { - "name": "label", - "value": "SR-01_ODP[05]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current supply chain risk management policy is reviewed and updated is defined;" - } - ] - }, - { - "id": "sr-01_odp.06", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_5" - }, - { - "name": "label", - "value": "SR-01_ODP[06]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require the current supply chain risk management policy to be reviewed and updated are defined;" - } - ] - }, - { - "id": "sr-01_odp.07", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_6" - }, - { - "name": "label", - "value": "SR-01_ODP[07]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which the current supply chain risk management procedure is reviewed and updated is defined;" - } - ] - }, - { - "id": "sr-01_odp.08", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-1_prm_7" - }, - { - "name": "label", - "value": "SR-01_ODP[08]" - } - ], - "label": "events", - "guidelines": [ - { - "prose": "events that require the supply chain risk management procedures to be reviewed and updated are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-01" - }, - { - "name": "sort-id", - "value": "sr-01" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-1_smt", - "name": "statement", - "parts": [ - { - "id": "sr-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}:", - "parts": [ - { - "id": "sr-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "{{ insert: param, sr-01_odp.03 }} supply chain risk management policy that:", - "parts": [ - { - "id": "sr-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sr-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sr-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;" - } - ] - }, - { - "id": "sr-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sr-01_odp.04 }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and" - }, - { - "id": "sr-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current supply chain risk management:", - "parts": [ - { - "id": "sr-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "01." - } - ], - "prose": "Policy {{ insert: param, sr-01_odp.05 }} and following {{ insert: param, sr-01_odp.06 }} ; and" - }, - { - "id": "sr-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "02." - } - ], - "prose": "Procedures {{ insert: param, sr-01_odp.07 }} and following {{ insert: param, sr-01_odp.08 }}." - } - ] - } - ] - }, - { - "id": "sr-1_gdn", - "name": "guidance", - "prose": "Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a supply chain risk management policy is developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management policy is disseminated to {{ insert: param, sr-01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[03]", - "class": "sp800-53A" - } - ], - "prose": "supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management procedures are disseminated to {{ insert: param, sr-01_odp.02 }}." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[01]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses purpose;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[02]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses scope;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[03]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses roles;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[04]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses responsibilities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[05]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses management commitment;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[06]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses coordination among organizational entities;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(a)[07]", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses compliance." - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01a.01(b)", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;" - } - ] - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01b.", - "class": "sp800-53A" - } - ], - "prose": "the {{ insert: param, sr-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01[01]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management policy is reviewed and updated {{ insert: param, sr-01_odp.05 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.01[02]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management policy is reviewed and updated following {{ insert: param, sr-01_odp.06 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02[01]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management procedures are reviewed and updated {{ insert: param, sr-01_odp.07 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-01c.02[02]", - "class": "sp800-53A" - } - ], - "prose": "the current supply chain risk management procedures are reviewed and updated following {{ insert: param, sr-01_odp.08 }}." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-01-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-01-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with supply chain risk management responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with enterprise risk management responsibilities" - } - ] - } - ] - }, - { - "id": "sr-2", - "class": "SP800-53", - "title": "Supply Chain Risk Management Plan", - "params": [ - { - "id": "sr-02_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2_prm_1" - }, - { - "name": "label", - "value": "SR-02_ODP[01]" - } - ], - "label": "systems, system components, or system services", - "guidelines": [ - { - "prose": "systems, system components, or system services for which a supply chain risk management plan is developed are defined;" - } - ] - }, - { - "id": "sr-02_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2_prm_2" - }, - { - "name": "label", - "value": "SR-02_ODP[02]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to review and update the supply chain risk management plan is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-02" - }, - { - "name": "sort-id", - "value": "sr-02" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#031cc4b7-9adf-4835-98f1-f1ca493519cf", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#cec037f3-8aba-4c97-84b4-4082f9e515d2", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-2_smt", - "name": "statement", - "parts": [ - { - "id": "sr-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: {{ insert: param, sr-02_odp.01 }};" - }, - { - "id": "sr-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the supply chain risk management plan {{ insert: param, sr-02_odp.02 }} or as required, to address threat, organizational or environmental changes; and" - }, - { - "id": "sr-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect the supply chain risk management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "sr-2_gdn", - "name": "guidance", - "prose": "The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions.\n\nBecause supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see [SA-8](#sa-8))." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a plan for managing supply chain risks is developed;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the research and development of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the design of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the manufacturing of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[05]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the acquisition of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[06]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the delivery of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[07]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the integration of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[08]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the operation of {{ insert: param, sr-02_odp.01 }};\n\nthe supply chain risk management plan addresses risks associated with the maintenance of {{ insert: param, sr-02_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02a.[09]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan addresses risks associated with the disposal of {{ insert: param, sr-02_odp.01 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02b.", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is reviewed and updated {{ insert: param, sr-02_odp.02 }} or as required to address threat, organizational, or environmental changes;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.[01]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is protected from unauthorized disclosure;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02c.[02]", - "class": "sp800-53A" - } - ], - "prose": "the supply chain risk management plan is protected from unauthorized modification." - } - ] - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-02-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nprocedures for protecting the supply chain risk management plan from unauthorized disclosure and modification\n\nsystem development life cycle procedures\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nlist of supply chain threats\n\nlist of safeguards to be taken against supply chain threats\n\nsystem life cycle documentation\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nprivacy plan\n\nprivacy program plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-02-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-02-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the system development life cycle (SDLC)\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational processes for integrating supply chain risk management into the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ], - "controls": [ - { - "id": "sr-2.1", - "class": "SP800-53-enhancement", - "title": "Establish Scrm Team", - "params": [ - { - "id": "sr-02.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2.1_prm_1" - }, - { - "name": "label", - "value": "SR-02(01)_ODP[01]" - } - ], - "label": "personnel, roles and responsibilities", - "guidelines": [ - { - "prose": "the personnel, roles, and responsibilities of the supply chain risk management team are defined;" - } - ] - }, - { - "id": "sr-02.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-2.1_prm_2" - }, - { - "name": "label", - "value": "SR-02(01)_ODP[02]" - } - ], - "label": "supply chain risk management activities", - "guidelines": [ - { - "prose": "supply chain risk management activities are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-02(01)" - }, - { - "name": "sort-id", - "value": "sr-02.01" - } - ], - "links": [ - { - "href": "#sr-2", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-2.1_smt", - "name": "statement", - "prose": "Establish a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} to lead and support the following SCRM activities: {{ insert: param, sr-02.01_odp.02 }}." - }, - { - "id": "sr-2.1_gdn", - "name": "guidance", - "prose": "To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-02(01)", - "class": "sp800-53A" - } - ], - "prose": "a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} is established to lead and support {{ insert: param, sr-02.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-02(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management team charter documentation\n\nsupply chain risk management strategy\n\nsupply chain risk management implementation plan\n\nprocedures addressing supply chain protection\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-02(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with enterprise risk management responsibilities\n\nlegal counsel\n\norganizational personnel with business continuity responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "sr-3", - "class": "SP800-53", - "title": "Supply Chain Controls and Processes", - "params": [ - { - "id": "sr-03_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_1" - }, - { - "name": "label", - "value": "SR-03_ODP[01]" - } - ], - "label": "system or system component", - "guidelines": [ - { - "prose": "the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined;" - } - ] - }, - { - "id": "sr-03_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_2" - }, - { - "name": "label", - "value": "SR-03_ODP[02]" - } - ], - "label": "supply chain personnel", - "guidelines": [ - { - "prose": "supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined;" - } - ] - }, - { - "id": "sr-03_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_3" - }, - { - "name": "label", - "value": "SR-03_ODP[03]" - } - ], - "label": "supply chain controls", - "guidelines": [ - { - "prose": "supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined;" - } - ] - }, - { - "id": "sr-03_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_4" - }, - { - "name": "label", - "value": "SR-03_ODP[04]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "security and privacy plans", - "supply chain risk management plan", - " {{ insert: param, sr-03_odp.05 }} " - ] - } - }, - { - "id": "sr-03_odp.05", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3_prm_5" - }, - { - "name": "label", - "value": "SR-03_ODP[05]" - } - ], - "label": "document", - "guidelines": [ - { - "prose": "the document identifying the selected and implemented supply chain processes and controls is defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03" - }, - { - "name": "sort-id", - "value": "sr-03" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3_smt", - "name": "statement", - "parts": [ - { - "id": "sr-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} in coordination with {{ insert: param, sr-03_odp.02 }};" - }, - { - "id": "sr-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, sr-03_odp.03 }} ; and" - }, - { - "id": "sr-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document the selected and implemented supply chain processes and controls in {{ insert: param, sr-03_odp.04 }}." - } - ] - }, - { - "id": "sr-3_gdn", - "name": "guidance", - "prose": "Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.[01]", - "class": "sp800-53A" - } - ], - "prose": "a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03a.[02]", - "class": "sp800-53A" - } - ], - "prose": "the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} is/are coordinated with {{ insert: param, sr-03_odp.02 }};" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03b.", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-03_odp.03 }} are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03c.", - "class": "sp800-53A" - } - ], - "prose": "the selected and implemented supply chain processes and controls are documented in {{ insert: param, sr-03_odp.04 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\nsystems and critical system components inventory documentation\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation (including purchase orders)\n\nservice level agreements\n\nacquisition contracts for systems or services\n\nrisk register documentation\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying and addressing supply chain element and process deficiencies" - } - ] - } - ], - "controls": [ - { - "id": "sr-3.1", - "class": "SP800-53-enhancement", - "title": "Diverse Supply Base", - "params": [ - { - "id": "sr-3.1_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-03.01_odp.01" - } - ], - "label": "organization-defined system components and services" - }, - { - "id": "sr-03.01_odp.01", - "props": [ - { - "name": "label", - "value": "SR-03(01)_ODP[01]" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components with a diverse set of sources are defined;" - } - ] - }, - { - "id": "sr-03.01_odp.02", - "props": [ - { - "name": "label", - "value": "SR-03(01)_ODP[02]" - } - ], - "label": "services", - "guidelines": [ - { - "prose": "services with a diverse set of sources are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03(01)" - }, - { - "name": "sort-id", - "value": "sr-03.01" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-3.1_smt", - "name": "statement", - "prose": "Employ a diverse set of sources for the following system components and services: {{ insert: param, sr-3.1_prm_1 }}." - }, - { - "id": "sr-3.1_gdn", - "name": "guidance", - "prose": "Diversifying the supply of systems, system components, and services can reduce the probability that adversaries will successfully identify and target the supply chain and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable. Employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diverse materials and components." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.01 }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "a diverse set of sources is employed for {{ insert: param, sr-03.01_odp.02 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsystem and services acquisition policy\n\nplanning policy\n\nprocedures addressing supply chain protection\n\nphysical inventory of critical systems and system components\n\ninventory of critical suppliers, service providers, developers, and contracts\n\ninventory records of critical system components\n\nlist of security safeguards ensuring an adequate supply of critical system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical system components\n\nprocesses to identify critical suppliers\n\nautomated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical system components" - } - ] - } - ] - }, - { - "id": "sr-3.2", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "params": [ - { - "id": "sr-03.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-3.2_prm_1" - }, - { - "name": "label", - "value": "SR-03(02)_ODP" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to limit harm from potential supply chain adversaries are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-03(02)" - }, - { - "name": "sort-id", - "value": "sr-03.02" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - } - ], - "parts": [ - { - "id": "sr-3.2_smt", - "name": "statement", - "prose": "Employ the following controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: {{ insert: param, sr-03.02_odp }}." - }, - { - "id": "sr-3.2_gdn", - "name": "guidance", - "prose": "Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations, employing approved vendor lists with standing reputations in industry, following pre-agreed maintenance schedules and update and patch delivery mechanisms, maintaining a contingency plan in case of a supply chain event, using procurement carve-outs that provide exclusions to commitments or obligations, using diverse delivery routes, and minimizing the time between purchase decisions and delivery." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(02)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-03.02_odp }} are employed to limit harm from potential adversaries identifying and targeting the organizational supply chain." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nconfiguration management policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nprocedures addressing the baseline configuration of the system\n\nconfiguration management plan\n\nsystem design documentation\n\nsystem architecture and associated configuration documentation\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nthreat assessments\n\nvulnerability assessments\n\nlist of security safeguards to be taken to protect the organizational supply chain against potential supply chain threats\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain\n\nautomated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain" - } - ] - } - ] - }, - { - "id": "sr-3.3", - "class": "SP800-53-enhancement", - "title": "Sub-tier Flow Down", - "props": [ - { - "name": "label", - "value": "SR-03(03)" - }, - { - "name": "sort-id", - "value": "sr-03.03" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "required" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3.3_smt", - "name": "statement", - "prose": "Ensure that the controls included in the contracts of prime contractors are also included in the contracts of subcontractors." - }, - { - "id": "sr-3.3_gdn", - "name": "guidance", - "prose": "To manage supply chain risk effectively and holistically, it is important that organizations ensure that supply chain risk management controls are included at all tiers in the supply chain. This includes ensuring that Tier 1 (prime) contractors have implemented processes to facilitate the \"flow down\" of supply chain risk management controls to sub-tier contractors. The controls subject to flow down are identified in [SR-3b](#sr-3_smt.b)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-03(03)", - "class": "sp800-53A" - } - ], - "prose": "the controls included in the contracts of prime contractors are also included in the contracts of subcontractors." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-03(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-03(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-03(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities" - } - ] - } - ] - } - ] - }, - { - "id": "sr-4", - "class": "SP800-53", - "title": "Provenance", - "params": [ - { - "id": "sr-04_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4_prm_1" - }, - { - "name": "label", - "value": "SR-04_ODP" - } - ], - "label": "systems, system components, and associated data", - "guidelines": [ - { - "prose": "systems, system components, and associated data that require valid provenance are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04" - }, - { - "name": "sort-id", - "value": "sr-04" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#e3cc0520-a366-4fc9-abc2-5272db7e3564", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#a2590922-82f3-4277-83c0-ca5bee06dba4", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4_smt", - "name": "statement", - "prose": "Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: {{ insert: param, sr-04_odp }}." - }, - { - "id": "sr-4_gdn", - "name": "guidance", - "prose": "Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see [SR-1](#sr-1) ) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations have methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. These actions help track, assess, and document any changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records. Provenance considerations are addressed throughout the system development life cycle and incorporated into contracts and other arrangements, as appropriate." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[01]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is documented for {{ insert: param, sr-04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[02]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is monitored for {{ insert: param, sr-04_odp }};" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04[03]", - "class": "sp800-53A" - } - ], - "prose": "valid provenance is maintained for {{ insert: param, sr-04_odp }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\ndocumentation of critical systems, critical system components, and associated data\n\ndocumentation showing the history of ownership, custody, and location of and changes to critical systems or critical system components\n\nsystem architecture\n\ninter-organizational agreements and procedures\n\ncontracts\n\nsystem security plan\n\nprivacy plan\n\npersonally identifiable information processing policy\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying the provenance of critical systems and critical system components\n\nautomated mechanisms used to document, monitor, or maintain provenance" - } - ] - } - ], - "controls": [ - { - "id": "sr-4.1", - "class": "SP800-53-enhancement", - "title": "Identity", - "params": [ - { - "id": "sr-04.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.1_prm_1" - }, - { - "name": "label", - "value": "SR-04(01)_ODP" - } - ], - "label": "supply chain elements, processes, and personnel", - "guidelines": [ - { - "prose": "supply chain elements, processes, and personnel associated with systems and critical system components that require unique identification are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(01)" - }, - { - "name": "sort-id", - "value": "sr-04.01" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.1_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: {{ insert: param, sr-04.01_odp }}." - }, - { - "id": "sr-4.1_gdn", - "name": "guidance", - "prose": "Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk and reduce their susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "unique identification of {{ insert: param, sr-04.01_odp }} is established;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "unique identification of {{ insert: param, sr-04.01_odp }} is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities\n\norganizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors" - } - ] - } - ] - }, - { - "id": "sr-4.2", - "class": "SP800-53-enhancement", - "title": "Track and Trace", - "params": [ - { - "id": "sr-04.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.2_prm_1" - }, - { - "name": "label", - "value": "SR-04(02)_ODP" - } - ], - "label": "systems and critical system components", - "guidelines": [ - { - "prose": "systems and critical system components that require unique identification for tracking through the supply chain are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(02)" - }, - { - "name": "sort-id", - "value": "sr-04.02" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.2_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: {{ insert: param, sr-04.02_odp }}." - }, - { - "id": "sr-4.2_gdn", - "name": "guidance", - "prose": "Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of {{ insert: param, sr-04.02_odp }} is established for tracking through the supply chain;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the unique identification of {{ insert: param, sr-04.02_odp }} is maintained for tracking through the supply chain." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsupply chain risk management plan\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques, and/or configurations\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities\n\norganizational personnel with responsibilities for establishing and retaining the unique identification of supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors" - } - ] - } - ] - }, - { - "id": "sr-4.3", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "params": [ - { - "id": "sr-4.3_prm_1", - "props": [ - { - "name": "aggregates", - "value": "sr-04.03_odp.01" - } - ], - "label": "organization-defined controls" - }, - { - "id": "sr-04.03_odp.01", - "props": [ - { - "name": "label", - "value": "SR-04(03)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to validate that the system or system component received is genuine are defined;" - } - ] - }, - { - "id": "sr-04.03_odp.02", - "props": [ - { - "name": "label", - "value": "SR-04(03)_ODP[02]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to validate that the system or system component received has not been altered are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(03)" - }, - { - "name": "sort-id", - "value": "sr-04.03" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.3_smt", - "name": "statement", - "prose": "Employ the following controls to validate that the system or system component received is genuine and has not been altered: {{ insert: param, sr-4.3_prm_1 }}." - }, - { - "id": "sr-4.3_gdn", - "name": "guidance", - "prose": "For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging, physically unclonable functions, side-channel analysis, cryptographic hash verifications or digital signatures, and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, such as inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.03_odp.01 }} are employed to validate that the system or system component received is genuine;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(03)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.03_odp.02 }} are employed to validate that the system or system component received has not been altered." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the security design principle of trusted components used in the specification, design, development, implementation, and modification of the system\n\nsystem design documentation\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nevidentiary documentation (including applicable configurations) indicating that the system or system component is genuine and has not been altered\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing validation safeguards\n\nautomated mechanisms supporting and/or implementing the definition and employment of validation safeguards\n\nautomated mechanisms supporting the application of the security design principle of trusted components in system specification, design, development, implementation, and modification" - } - ] - } - ] - }, - { - "id": "sr-4.4", - "class": "SP800-53-enhancement", - "title": "Supply Chain Integrity — Pedigree", - "params": [ - { - "id": "sr-04.04_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.4_prm_1" - }, - { - "name": "label", - "value": "SR-04(04)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls employed to ensure that the integrity of the system and system component are defined;" - } - ] - }, - { - "id": "sr-04.04_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-4.4_prm_2" - }, - { - "name": "label", - "value": "SR-04(04)_ODP[02]" - } - ], - "label": "analysis method", - "guidelines": [ - { - "prose": "an analysis method to be conducted to validate the internal composition and provenance of critical or mission-essential technologies, products, and services to ensure the integrity of the system and system component is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-04(04)" - }, - { - "name": "sort-id", - "value": "sr-04.04" - } - ], - "links": [ - { - "href": "#sr-4", - "rel": "required" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.4_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-04.04_odp.01 }} and conduct {{ insert: param, sr-04.04_odp.02 }} to ensure the integrity of the system and system components by validating the internal composition and provenance of critical or mission-essential technologies, products, and services." - }, - { - "id": "sr-4.4_gdn", - "name": "guidance", - "prose": "Authoritative information regarding the internal composition of system components and the provenance of technology, products, and services provides a strong basis for trust. The validation of the internal composition and provenance of technologies, products, and services is referred to as the pedigree. For microelectronics, this includes material composition of components. For software this includes the composition of open-source and proprietary code, including the version of the component at a given point in time. Pedigrees increase the assurance that the claims suppliers assert about the internal composition and provenance of the products, services, and technologies they provide are valid. The validation of the internal composition and provenance can be achieved by various evidentiary artifacts or records that manufacturers and suppliers produce during the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of technology, products, and services. Evidentiary artifacts include, but are not limited to, software identification (SWID) tags, software component inventory, the manufacturers’ declarations of platform attributes (e.g., serial numbers, hardware component inventory), and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)[01]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.04_odp.01 }} are employed to ensure the integrity of the system and system components;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-04(04)[02]", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-04.04_odp.02 }} is conducted to ensure the integrity of the system and system components." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-04(04)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nbill of materials for critical systems or system components\n\nacquisition documentation\n\nsoftware identification tags\n\nmanufacturer declarations of platform attributes (e.g., serial numbers, hardware component inventory) and measurements (e.g., firmware hashes) that are tightly bound to the hardware itself\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-04(04)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-04(04)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying pedigree information\n\norganizational processes to determine and validate the integrity of the internal composition of critical systems and critical system components\n\nautomated mechanisms to determine and validate the integrity of the internal composition of critical systems and critical system components" - } - ] - } - ] - } - ] - }, - { - "id": "sr-5", - "class": "SP800-53", - "title": "Acquisition Strategies, Tools, and Methods", - "params": [ - { - "id": "sr-05_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5_prm_1" - }, - { - "name": "label", - "value": "SR-05_ODP" - } - ], - "label": "strategies, tools, and methods", - "guidelines": [ - { - "prose": "acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-05" - }, - { - "name": "sort-id", - "value": "sr-05" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5_smt", - "name": "statement", - "prose": "Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, sr-05_odp }}." - }, - { - "id": "sr-5_gdn", - "name": "guidance", - "prose": "The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-05_odp }} are employed to protect against supply chain risks;\n\n{{ insert: param, sr-05_odp }} are employed to identify supply chain risks;\n\n{{ insert: param, sr-05_odp }} are employed to mitigate supply chain risks." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy\n\nsupply chain risk management procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security and privacy requirements into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation (including purchase orders)\n\nservice level agreements\n\nacquisition contracts for systems, system components, or services\n\ndocumentation of training, education, and awareness programs for personnel regarding supply chain risk\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\n\nautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods" - } - ] - } - ], - "controls": [ - { - "id": "sr-5.1", - "class": "SP800-53-enhancement", - "title": "Adequate Supply", - "params": [ - { - "id": "sr-05.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5.1_prm_2" - }, - { - "name": "label", - "value": "SR-05(01)_ODP[01]" - } - ], - "label": "controls", - "guidelines": [ - { - "prose": "controls to ensure an adequate supply of critical system components are defined;" - } - ] - }, - { - "id": "sr-05.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-5.1_prm_1" - }, - { - "name": "label", - "value": "SR-05(01)_ODP[02]" - } - ], - "label": "critical system components", - "guidelines": [ - { - "prose": "critical system components of which an adequate supply is required are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-05(01)" - }, - { - "name": "sort-id", - "value": "sr-05.01" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "required" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.1_smt", - "name": "statement", - "prose": "Employ the following controls to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}: {{ insert: param, sr-05.01_odp.01 }}." - }, - { - "id": "sr-5.1_gdn", - "name": "guidance", - "prose": "Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components, stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally identical or similar components that may be used, if necessary." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-05.01_odp.01 }} are employed to ensure an adequate supply of {{ insert: param, sr-05.01_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\ncontingency planning documents\n\ninventory of critical systems and system components\n\ndetermination of adequate supply\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nprocedures addressing the integration of acquisition strategies, contract tools, and procurement methods into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for systems or services\n\npurchase orders/requisitions for the system, system component, or system service from suppliers\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\n\nautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods" - } - ] - } - ] - }, - { - "id": "sr-5.2", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection, Acceptance, Modification, or Update", - "props": [ - { - "name": "label", - "value": "SR-05(02)" - }, - { - "name": "sort-id", - "value": "sr-05.02" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.2_smt", - "name": "statement", - "prose": "Assess the system, system component, or system service prior to selection, acceptance, modification, or update." - }, - { - "id": "sr-5.2_gdn", - "name": "guidance", - "prose": "Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see [SR-6(1)](#sr-6.1) ). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to selection;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to acceptance;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[03]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to modification;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-05(02)[04]", - "class": "sp800-53A" - } - ], - "prose": "the system, system component, or system service is assessed prior to update." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-05(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System security plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nsecurity test and evaluation results\n\nvulnerability assessment results\n\npenetration testing results\n\norganizational risk assessment results\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-05(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-05(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting assessments prior to selection, acceptance, or update\n\nautomated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update" - } - ] - } - ] - } - ] - }, - { - "id": "sr-6", - "class": "SP800-53", - "title": "Supplier Assessments and Reviews", - "params": [ - { - "id": "sr-06_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6_prm_1" - }, - { - "name": "label", - "value": "SR-06_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-06" - }, - { - "name": "sort-id", - "value": "sr-06" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#678e3d6c-150b-4393-aec5-6e3481eb1e00", - "rel": "reference" - }, - { - "href": "#eea3c092-42ed-4382-a6f4-1adadef01b9d", - "rel": "reference" - }, - { - "href": "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "rel": "reference" - }, - { - "href": "#a295ca19-8c75-4b4c-8800-98024732e181", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#38ff38f0-1366-4f50-a4c9-26a39aacee16", - "rel": "reference" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6_smt", - "name": "statement", - "prose": "Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-06_odp }}." - }, - { - "id": "sr-6_gdn", - "name": "guidance", - "prose": "An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-06", - "class": "sp800-53A" - } - ], - "prose": "the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed {{ insert: param, sr-06_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-06-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management strategy\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into the acquisition process\n\nrecords of supplier due diligence reviews\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-06-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-06-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting supplier reviews\n\nautomated mechanisms supporting and/or implementing supplier reviews" - } - ] - } - ], - "controls": [ - { - "id": "sr-6.1", - "class": "SP800-53-enhancement", - "title": "Testing and Analysis", - "params": [ - { - "id": "sr-06.01_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6.1_prm_1" - }, - { - "name": "label", - "value": "SR-06(01)_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "organizational analysis", - "independent third-party analysis", - "organizational testing", - "independent third-party testing" - ] - } - }, - { - "id": "sr-06.01_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-6.1_prm_2" - }, - { - "name": "label", - "value": "SR-06(01)_ODP[02]" - } - ], - "label": "supply chain elements, processes, and actors", - "guidelines": [ - { - "prose": "supply chain elements, processes, and actors to be analyzed and tested are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-06(01)" - }, - { - "name": "sort-id", - "value": "sr-06.01" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "required" - }, - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-06.01_odp.01 }} of the following supply chain elements, processes, and actors associated with the system, system component, or system service: {{ insert: param, sr-06.01_odp.02 }}." - }, - { - "id": "sr-6.1_gdn", - "name": "guidance", - "prose": "Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools that are used for the research and development, design, manufacturing, acquisition, delivery, integration, operations, maintenance, and disposal of systems, system components, or system services. Supply chain processes include supply chain risk management programs; SCRM strategies and implementation plans; personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-06(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-06.01_odp.01 }} is/are employed on {{ insert: param, sr-06.01_odp.02 }} associated with the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-06(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nevidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing\n\nlist of supply chain elements, processes, and actors (associated with the system, system component, or system service) subject to analysis and/or testing\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-06(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-06(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors\n\nautomated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors" - } - ] - } - ] - } - ] - }, - { - "id": "sr-7", - "class": "SP800-53", - "title": "Supply Chain Operations Security", - "params": [ - { - "id": "sr-07_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-7_prm_1" - }, - { - "name": "label", - "value": "SR-07_ODP" - } - ], - "label": "OPSEC controls", - "guidelines": [ - { - "prose": "Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-07" - }, - { - "name": "sort-id", - "value": "sr-07" - } - ], - "links": [ - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-7_smt", - "name": "statement", - "prose": "Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: {{ insert: param, sr-07_odp }}." - }, - { - "id": "sr-7_gdn", - "name": "guidance", - "prose": "Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information, analyzing friendly actions related to operations and other activities to identify actions that can be observed by potential adversaries, determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations, implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and risk to an acceptable level, and considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use or users of systems, system components, or system services." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-07", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-07_odp }} are employed to protect supply chain-related information for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-07-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management plan\n\nsupply chain risk management procedures\n\nsystem and services acquisition policy\n\nsystem and services acquisition procedures\n\nprocedures addressing supply chain protection\n\nlist of OPSEC controls to be employed\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the system, system component, or system service\n\nrecords of all-source intelligence analyses\n\nsystem security plan\n\nprivacy plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-07-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition responsibilities\n\norganizational personnel with information security and privacy responsibilities\n\norganizational personnel with OPSEC responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-07-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing OPSEC safeguards\n\nautomated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards" - } - ] - } - ] - }, - { - "id": "sr-8", - "class": "SP800-53", - "title": "Notification Agreements", - "params": [ - { - "id": "sr-08_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-8_prm_1" - }, - { - "name": "label", - "value": "SR-08_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "notification of supply chain compromises", - " {{ insert: param, sr-08_odp.02 }} " - ] - } - }, - { - "id": "sr-08_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-8_prm_2" - }, - { - "name": "label", - "value": "SR-08_ODP[02]" - } - ], - "label": "results of assessments or audits", - "guidelines": [ - { - "prose": "information for which agreements and procedures are to be established are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-08" - }, - { - "name": "sort-id", - "value": "sr-08" - } - ], - "links": [ - { - "href": "#4ff10ed3-d8fe-4246-99e3-443045e27482", - "rel": "reference" - }, - { - "href": "#0f963c17-ab5a-432a-a867-91eac550309b", - "rel": "reference" - }, - { - "href": "#21caa535-1154-4369-ba7b-32c309fee0f7", - "rel": "reference" - }, - { - "href": "#863caf2a-978a-4260-9e8d-4a8929bce40c", - "rel": "reference" - }, - { - "href": "#08b07465-dbdc-48d6-8a0b-37279602ac16", - "rel": "reference" - }, - { - "href": "#e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "rel": "reference" - }, - { - "href": "#e24b06cc-9129-4998-a76a-65c3d7a576ba", - "rel": "reference" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-8_smt", - "name": "statement", - "prose": "Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, sr-08_odp.01 }}." - }, - { - "id": "sr-8_gdn", - "name": "guidance", - "prose": "The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-08", - "class": "sp800-53A" - } - ], - "prose": "agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for {{ insert: param, sr-08_odp.01 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-08-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-08-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-08-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities" - } - ] - } - ] - }, - { - "id": "sr-9", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SR-09" - }, - { - "name": "sort-id", - "value": "sr-09" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9_smt", - "name": "statement", - "prose": "Implement a tamper protection program for the system, system component, or system service." - }, - { - "id": "sr-9_gdn", - "name": "guidance", - "prose": "Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09", - "class": "sp800-53A" - } - ], - "prose": "a tamper protection program is implemented for the system, system component, or system service." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-09-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing tamper resistance and detection\n\ntamper protection program documentation\n\ntamper protection tools and techniques documentation\n\ntamper resistance and detection tools and techniques documentation\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-09-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with tamper protection program responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-09-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for the implementation of the tamper protection program\n\nautomated mechanisms supporting and/or implementing the tamper protection program" - } - ] - } - ], - "controls": [ - { - "id": "sr-9.1", - "class": "SP800-53-enhancement", - "title": "Multiple Stages of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SR-09(01)" - }, - { - "name": "sort-id", - "value": "sr-09.01" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "required" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9.1_smt", - "name": "statement", - "prose": "Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle." - }, - { - "id": "sr-9.1_gdn", - "name": "guidance", - "prose": "The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[01]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper technologies are employed throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[02]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper tools are employed throughout the system development life cycle;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-09(01)[03]", - "class": "sp800-53A" - } - ], - "prose": "anti-tamper techniques are employed throughout the system development life cycle." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-09(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nprocedures addressing tamper resistance and detection\n\ntamper protection program documentation\n\ntamper protection tools and techniques documentation\n\ntamper resistance and detection tools (technologies) and techniques documentation\n\nsystem development life cycle documentation\n\nprocedures addressing supply chain protection\n\nsystem development life cycle procedures\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-09(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with SDLC responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-09(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing anti-tamper technologies\n\nautomated mechanisms supporting and/or implementing anti-tamper technologies" - } - ] - } - ] - } - ] - }, - { - "id": "sr-10", - "class": "SP800-53", - "title": "Inspection of Systems or Components", - "params": [ - { - "id": "sr-10_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_4" - }, - { - "name": "label", - "value": "SR-10_ODP[01]" - } - ], - "label": "systems or system components", - "guidelines": [ - { - "prose": "systems or system components that require inspection are defined;" - } - ] - }, - { - "id": "sr-10_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_1" - }, - { - "name": "label", - "value": "SR-10_ODP[02]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "at random", - "at{{ insert: param, sr-10_odp.03 }} ", - "upon{{ insert: param, sr-10_odp.04 }} " - ] - } - }, - { - "id": "sr-10_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_2" - }, - { - "name": "label", - "value": "SR-10_ODP[03]" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "frequency at which to inspect systems or system components is defined (if selected);" - } - ] - }, - { - "id": "sr-10_odp.04", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-10_prm_3" - }, - { - "name": "label", - "value": "SR-10_ODP[04]" - } - ], - "label": "indications of need for inspection", - "guidelines": [ - { - "prose": "indications of the need for an inspection of systems or system components are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-10" - }, - { - "name": "sort-id", - "value": "sr-10" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-10_smt", - "name": "statement", - "prose": "Inspect the following systems or system components {{ insert: param, sr-10_odp.02 }} to detect tampering: {{ insert: param, sr-10_odp.01 }}." - }, - { - "id": "sr-10_gdn", - "name": "guidance", - "prose": "The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-10", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param, sr-10_odp.02 }} to detect tampering." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-10-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nrecords of random inspections\n\ninspection reports/results\n\nassessment reports/results\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-10-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-10-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities\n\norganizational processes to inspect for tampering" - } - ] - } - ] - }, - { - "id": "sr-11", - "class": "SP800-53", - "title": "Component Authenticity", - "params": [ - { - "id": "sr-11_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_1" - }, - { - "name": "label", - "value": "SR-11_ODP[01]" - } - ], - "select": { - "how-many": "one-or-more", - "choice": [ - "source of counterfeit component", - " {{ insert: param, sr-11_odp.02 }} ", - " {{ insert: param, sr-11_odp.03 }} " - ] - } - }, - { - "id": "sr-11_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_2" - }, - { - "name": "label", - "value": "SR-11_ODP[02]" - } - ], - "label": "external reporting organizations", - "guidelines": [ - { - "prose": "external reporting organizations to whom counterfeit system components are to be reported is/are defined (if selected);" - } - ] - }, - { - "id": "sr-11_odp.03", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11_prm_3" - }, - { - "name": "label", - "value": "SR-11_ODP[03]" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles to whom counterfeit system components are to be reported is/are defined (if selected);" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11" - }, - { - "name": "sort-id", - "value": "sr-11" - } - ], - "links": [ - { - "href": "#15a95e24-65b6-4686-bc18-90855a10457d", - "rel": "reference" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11_smt", - "name": "statement", - "parts": [ - { - "id": "sr-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and" - }, - { - "id": "sr-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report counterfeit system components to {{ insert: param, sr-11_odp.01 }}." - } - ] - }, - { - "id": "sr-11_gdn", - "name": "guidance", - "prose": "Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[01]", - "class": "sp800-53A" - } - ], - "prose": "an anti-counterfeit policy is developed and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[02]", - "class": "sp800-53A" - } - ], - "prose": "anti-counterfeit procedures are developed and implemented;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[03]", - "class": "sp800-53A" - } - ], - "prose": "the anti-counterfeit procedures include the means to detect counterfeit components entering the system;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11a.[04]", - "class": "sp800-53A" - } - ], - "prose": "the anti-counterfeit procedures include the means to prevent counterfeit components from entering the system;" - } - ] - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11b.", - "class": "sp800-53A" - } - ], - "prose": "counterfeit system components are reported to {{ insert: param, sr-11_odp.01 }}." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nanti-counterfeit plan\n\nanti-counterfeit policy and procedures\n\nmedia disposal policy\n\nmedia protection policy\n\nincident response policy\n\nreports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system, system component, or system service\n\ninter-organizational agreements and procedures\n\nrecords of reported counterfeit system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and service acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for counterfeit prevention, detection, and reporting\n\nautomated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting" - } - ] - } - ], - "controls": [ - { - "id": "sr-11.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "params": [ - { - "id": "sr-11.01_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.1_prm_1" - }, - { - "name": "label", - "value": "SR-11(01)_ODP" - } - ], - "label": "personnel or roles", - "guidelines": [ - { - "prose": "personnel or roles requiring training to detect counterfeit system components (including hardware, software, and firmware) is/are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(01)" - }, - { - "name": "sort-id", - "value": "sr-11.01" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.1_smt", - "name": "statement", - "prose": "Train {{ insert: param, sr-11.01_odp }} to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "id": "sr-11.1_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(01)", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-11.01_odp }} are trained to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(01)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nsystem and services acquisition policy\n\nanti-counterfeit plan\n\nanti-counterfeit policy and procedures\n\nmedia disposal policy\n\nmedia protection policy\n\nincident response policy\n\ntraining materials addressing counterfeit system components\n\ntraining records on the detection and prevention of counterfeit components entering the system\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(01)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies, procedures, and training" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(01)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for anti-counterfeit training" - } - ] - } - ] - }, - { - "id": "sr-11.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "params": [ - { - "id": "sr-11.02_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.2_prm_1" - }, - { - "name": "label", - "value": "SR-11(02)_ODP" - } - ], - "label": "system components", - "guidelines": [ - { - "prose": "system components requiring configuration control are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(02)" - }, - { - "name": "sort-id", - "value": "sr-11.02" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.2_smt", - "name": "statement", - "prose": "Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, sr-11.02_odp }}." - }, - { - "id": "sr-11.2_gdn", - "name": "guidance", - "prose": "None." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)[01]", - "class": "sp800-53A" - } - ], - "prose": "configuration control over {{ insert: param, sr-11.02_odp }} awaiting service or repair is maintained;" - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(02)[02]", - "class": "sp800-53A" - } - ], - "prose": "configuration control over serviced or repaired {{ insert: param, sr-11.02_odp }} awaiting return to service is maintained." - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(02)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nconfiguration control procedures\n\nacquisition documentation\n\nservice level agreements\n\nacquisition contracts for the system component\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(02)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(02)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities\n\norganizational configuration control processes" - } - ] - } - ] - }, - { - "id": "sr-11.3", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "params": [ - { - "id": "sr-11.03_odp", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-11.3_prm_1" - }, - { - "name": "label", - "value": "SR-11(03)_ODP" - } - ], - "label": "frequency", - "guidelines": [ - { - "prose": "the frequency at which to scan for counterfeit system components is defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(03)" - }, - { - "name": "sort-id", - "value": "sr-11.03" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "required" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.3_smt", - "name": "statement", - "prose": "Scan for counterfeit system components {{ insert: param, sr-11.03_odp }}." - }, - { - "id": "sr-11.3_gdn", - "name": "guidance", - "prose": "The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application)." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-11(03)", - "class": "sp800-53A" - } - ], - "prose": "scanning for counterfeit system components is conducted {{ insert: param, sr-11.03_odp }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-11(03)-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\nanti-counterfeit policy and procedures\n\nsystem design documentation\n\nsystem configuration settings and associated documentation\n\nscanning tools and associated documentation\n\nscanning results\n\nprocedures addressing supply chain protection\n\nacquisition documentation\n\ninter-organizational agreements and procedures\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-11(03)-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain risk management responsibilities\n\norganizational personnel with responsibilities for anti-counterfeit policies and procedures\n\norganizational personnel with responsibility for anti-counterfeit scanning" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-11(03)-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scanning for counterfeit system components\n\nautomated mechanisms supporting and/or implementing anti-counterfeit scanning" - } - ] - } - ] - } - ] - }, - { - "id": "sr-12", - "class": "SP800-53", - "title": "Component Disposal", - "params": [ - { - "id": "sr-12_odp.01", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-12_prm_1" - }, - { - "name": "label", - "value": "SR-12_ODP[01]" - } - ], - "label": "data, documentation, tools, or system components", - "guidelines": [ - { - "prose": "data, documentation, tools, or system components to be disposed of are defined;" - } - ] - }, - { - "id": "sr-12_odp.02", - "props": [ - { - "name": "legacy-identifier", - "value": "sr-12_prm_2" - }, - { - "name": "label", - "value": "SR-12_ODP[02]" - } - ], - "label": "techniques and methods", - "guidelines": [ - { - "prose": "techniques and methods for disposing of data, documentation, tools, or system components are defined;" - } - ] - } - ], - "props": [ - { - "name": "label", - "value": "SR-12" - }, - { - "name": "sort-id", - "value": "sr-12" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-12_smt", - "name": "statement", - "prose": "Dispose of {{ insert: param, sr-12_odp.01 }} using the following techniques and methods: {{ insert: param, sr-12_odp.02 }}." - }, - { - "id": "sr-12_gdn", - "name": "guidance", - "prose": "Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market." - }, - { - "name": "objective", - "props": [ - { - "name": "label", - "value": "SR-12", - "class": "sp800-53A" - } - ], - "prose": "{{ insert: param, sr-12_odp.01 }} are disposed of using {{ insert: param, sr-12_odp.02 }}." - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SR-12-Examine", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Supply chain risk management policy and procedures\n\nsupply chain risk management plan\n\ndisposal procedures addressing supply chain protection\n\nmedia disposal policy\n\nmedia protection policy\n\ndisposal records for system components\n\ndocumentation of the system components identified for disposal\n\ndocumentation of the disposal techniques and methods employed for system components\n\nsystem security plan\n\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SR-12-Interview", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system component disposal responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "props": [ - { - "name": "method", - "value": "TEST" - }, - { - "name": "label", - "value": "SR-12-Test", - "class": "sp800-53A" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational techniques and methods for system component disposal\n\nautomated mechanisms supporting and/or implementing system component disposal" - } - ] - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "91f992fb-f668-4c91-a50f-0f05b95ccee3", - "title": "32 CFR 2002", - "citation": { - "text": "Code of Federal Regulations, Title 32, *Controlled Unclassified Information* (32 C.F.R. 2002)." - }, - "rlinks": [ - { - "href": "https://www.federalregister.gov/documents/2016/09/14/2016-21665/controlled-unclassified-information" - } - ] - }, - { - "uuid": "0f963c17-ab5a-432a-a867-91eac550309b", - "title": "41 CFR 201", - "citation": { - "text": " \"Federal Acquisition Supply Chain Security Act; Rule,\" 85 Federal Register 54263 (September 1, 2020), pp 54263-54271." - }, - "rlinks": [ - { - "href": "https://www.federalregister.gov/d/2020-18939" - } - ] - }, - { - "uuid": "a5ef5e56-5c1a-4911-b419-37dddc1b3581", - "title": "5 CFR 731", - "citation": { - "text": "Code of Federal Regulations, Title 5, *Administrative Personnel* , Section 731.106, *Designation of Public Trust Positions and Investigative Requirements* (5 C.F.R. 731.106)." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/CFR-2012-title5-vol2/pdf/CFR-2012-title5-vol2-sec731-106.pdf" - } - ] - }, - { - "uuid": "d3b71d4d-27c1-40f7-ad7f-1c1fe6d8bde8", - "title": "ATOM54", - "citation": { - "text": "Atomic Energy Act (P.L. 83-703), August 1954." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/STATUTE-68/pdf/STATUTE-68-Pg919.pdf" - } - ] - }, - { - "uuid": "94c64e1a-456c-457f-86da-83ac0dfc85ac", - "title": "CMPPA", - "citation": { - "text": "Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), October 1988." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/STATUTE-102/pdf/STATUTE-102-Pg2507.pdf" - } - ] - }, - { - "uuid": "031cc4b7-9adf-4835-98f1-f1ca493519cf", - "title": "CNSSD 505", - "citation": { - "text": "Committee on National Security Systems Directive No. 505, *Supply Chain Risk Management (SCRM)* , August 2017." - }, - "rlinks": [ - { - "href": "https://www.cnss.gov/CNSS/issuances/Directives.cfm" - } - ] - }, - { - "uuid": "4e4fbc93-333d-45e6-a875-de36b878b6b9", - "title": "CNSSI 1253", - "citation": { - "text": "Committee on National Security Systems Instruction No. 1253, *Security Categorization and Control Selection for National Security Systems* , March 2014." - 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(U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.140-3" - } - ] - }, - { - "uuid": "eea3c092-42ed-4382-a6f4-1adadef01b9d", - "title": "FIPS 180-4", - "citation": { - "text": "National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.180-4" - } - ] - }, - { - "uuid": "7c37a38d-21d7-40d8-bc3d-b5e27eac17e1", - "title": "FIPS 186-4", - "citation": { - "text": "National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.186-4" - } - ] - }, - { - "uuid": "736d6310-e403-4b57-a79d-9967970c66d7", - "title": "FIPS 197", - "citation": { - "text": "National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.197" - } - ] - }, - { - "uuid": "628d22a1-6a11-4784-bc59-5cd9497b5445", - "title": "FIPS 199", - "citation": { - "text": "National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.199" - } - ] - }, - { - "uuid": "599fb53d-5041-444e-a7fe-640d6d30ad05", - "title": "FIPS 200", - "citation": { - "text": "National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.200" - } - ] - }, - { - "uuid": "7ba1d91c-3934-4d5a-8532-b32f864ad34c", - "title": "FIPS 201-2", - "citation": { - "text": "National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.201-2" - } - ] - }, - { - "uuid": "a295ca19-8c75-4b4c-8800-98024732e181", - "title": "FIPS 202", - "citation": { - "text": "National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.202" - } - ] - }, - { - "uuid": "d68867c0-2f21-4193-bef8-300f3270db56", - "title": "FISMA IMP", - "citation": { - "text": "Federal Information Security Modernization Act (FISMA) Implementation Project." - }, - "rlinks": [ - { - "href": "https://nist.gov/RMF" - } - ] - }, - { - "uuid": "0c67b2a9-bede-43d2-b86d-5f35b8be36e9", - "title": "FISMA", - "citation": { - "text": "Federal Information Security Modernization Act (P.L. 113-283), December 2014." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf" - } - ] - }, - { - "uuid": "d9b1262c-9ee6-4c3e-846f-3a15f9d7eaa6", - "title": "FOIA96", - "citation": { - "text": "Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf" - } - ] - }, - { - "uuid": "f16e438e-7114-4144-bfe2-2dfcad8cb2d0", - "title": "HSPD 12", - "citation": { - "text": "Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-12" - } - ] - }, - { - "uuid": "488d6934-00b2-4252-bf23-1b3c2d71eb13", - "title": "HSPD 7", - "citation": { - "text": "Homeland Security Presidential Directive 7, *Critical Infrastructure Identification, Prioritization, and Protection* , December 2003." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-7" - } - ] - }, - { - "uuid": "7623635e-1a92-4250-a829-4a5c8a4da2bc", - "title": "IETF 4949", - "citation": { - "text": "Internet Engineering Task Force (IETF), Request for Comments: 4949, *Internet Security Glossary, Version 2* , August 2007." - }, - "rlinks": [ - { - "href": "https://tools.ietf.org/html/rfc4949" - } - ] - }, - { - "uuid": "e4d37285-1e79-4029-8b6a-42df39cace30", - "title": "IETF 5905", - "citation": { - "text": "Internet Engineering Task Force (IETF), Request for Comments: 5905, *Network Time Protocol Version 4: Protocol and Algorithms Specification* , June 2010." - }, - "rlinks": [ - { - "href": "https://tools.ietf.org/pdf/rfc5905.pdf" - } - ] - }, - { - "uuid": "15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c", - "title": "IR 7539", - "citation": { - "text": "Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7539" - } - ] - }, - { - "uuid": "2be7b163-e50a-435c-8906-f1162f2a457a", - "title": "IR 7559", - "citation": { - "text": "Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7559" - } - ] - }, - { - "uuid": "e24b06cc-9129-4998-a76a-65c3d7a576ba", - "title": "IR 7622", - "citation": { - "text": "Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7622" - } - ] - }, - { - "uuid": "4b38e961-1125-4a5b-aa35-1d6c02846dad", - "title": "IR 7676", - "citation": { - "text": "Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7676" - } - ] - }, - { - "uuid": "aa5d04e0-6090-4e17-84d4-b9963d55fc2c", - "title": "IR 7788", - "citation": { - "text": "Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7788" - } - ] - }, - { - "uuid": "91701292-8bcd-4d2e-a5bd-59ab61e34b3c", - "title": "IR 7817", - "citation": { - "text": "Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7817" - } - ] - }, - { - "uuid": "4f5f51ac-2b8d-4b90-a3c7-46f56e967617", - "title": "IR 7849", - "citation": { - "text": "Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7849" - } - ] - }, - { - "uuid": "604774da-9e1d-48eb-9c62-4e959dc80737", - "title": "IR 7870", - "citation": { - "text": "Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7870" - } - ] - }, - { - "uuid": "7f473f21-fdbf-4a6c-81a1-0ab95919609d", - "title": "IR 7874", - "citation": { - "text": "Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7874" - } - ] - }, - { - "uuid": "849b2358-683f-4d97-b111-1cc3d522ded5", - "title": "IR 7956", - "citation": { - "text": "Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7956" - } - ] - }, - { - "uuid": "3915a084-b87b-4f02-83d4-c369e746292f", - "title": "IR 7966", - "citation": { - "text": "Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7966" - } - ] - }, - { - "uuid": "bbac9fc2-df5b-4f2d-bf99-90d0ade45349", - "title": "IR 8011-1", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-1" - } - ] - }, - { - "uuid": "70402863-5078-43af-9a6c-e11b0f3ec370", - "title": "IR 8011-2", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 2: Hardware Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-2" - } - ] - }, - { - "uuid": "996241f8-f692-42d5-91f1-ce8b752e39e6", - "title": "IR 8011-3", - "citation": { - "text": "Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for Security Control Assessments: Volume 3: Software Asset Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-3" - } - ] - }, - { - "uuid": "d2ebec9b-f868-4ee1-a2bd-0b2282aed248", - "title": "IR 8011-4", - "citation": { - "text": "Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support for Security Control Assessments: Volume 4: Software Vulnerability Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-4" - } - ] - }, - { - "uuid": "4c501da5-9d79-4cb6-ba80-97260e1ce327", - "title": "IR 8023", - "citation": { - "text": "Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8023" - } - ] - }, - { - "uuid": "81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5", - "title": "IR 8040", - "citation": { - "text": "Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8040" - } - ] - }, - { - "uuid": "98d415ca-7281-4064-9931-0c366637e324", - "title": "IR 8062", - "citation": { - "text": "Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8062" - } - ] - }, - { - "uuid": "a2590922-82f3-4277-83c0-ca5bee06dba4", - "title": "IR 8112", - "citation": { - "text": "Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute Metadata: A Proposed Schema for Evaluating Federated Attributes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8112." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8112" - } - ] - }, - { - "uuid": "d4296805-2dca-4c63-a95f-eeccaa826aec", - "title": "IR 8179", - "citation": { - "text": "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8179" - } - ] - }, - { - "uuid": "38ff38f0-1366-4f50-a4c9-26a39aacee16", - "title": "IR 8272", - "citation": { - "text": "Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis Tool for Interdependent Cyber Supply Chain Risks. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8272." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8272" - } - ] - }, - { - "uuid": "0c559766-0df1-468f-a499-3577bb6dfa46", - "title": "ISO 15026-1", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15026-1:2019, *Systems and software engineering — Systems and software assurance — Part 1: Concepts and vocabulary* , March 2019." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/73567.html" - } - ] - }, - { - "uuid": "7d8ec7b7-dba0-4a17-981c-c959dbcc6c68", - "title": "ISO 15288", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, *Systems and software engineering —Systems life cycle processes* , May 2015." - 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[https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf](https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf) " - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf" - } - ] - }, - { - "uuid": "047b041a-b4b0-4537-ab2d-2b36283eeda0", - "title": "OMB M-08-05", - "citation": { - "text": "Office of Management and Budget Memorandum M-08-05, *Implementation of Trusted Internet Connections (TIC)* , November 2007." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-05.pdf" - } - ] - }, - { - "uuid": "206a3284-6a7e-423c-8ea9-25b22542541d", - "title": "OMB M-17-06", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-06, *Policies for Federal Agency Public Websites and Digital Services* , November 2016." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-06.pdf" - } - ] - }, - { - "uuid": "5f4705ac-8d17-438c-b23a-ac7f12362ae4", - "title": "OMB M-17-12", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-12, *Preparing for and Responding to a Breach of Personally Identifiable Information* , January 2017." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/sites/default/files/omb/memoranda/2017/m-17-12_0.pdf" - } - ] - }, - { - "uuid": "81c44706-0227-4258-a920-620a4d259990", - "title": "OMB M-17-25", - "citation": { - "text": "Office of Management and Budget Memorandum M-17-25, *Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure* , May 2017." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/M-17-25.pdf" - } - ] - }, - { - "uuid": "c5e11048-1d38-4af3-b00b-0d88dc26860c", - "title": "OMB M-19-03", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-03, *Strengthening the Cybersecurity of Federal Agencies by Enhancing the High Value Asset Program* , December 2018." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2018/12/M-19-03.pdf" - } - ] - }, - { - "uuid": "227063d4-431e-435f-9e8f-009b6dbc20f4", - "title": "OMB M-19-15", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-15, *Improving Implementation of the Information Quality Act* , April 2019." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2019/04/M-19-15.pdf" - } - ] - }, - { - "uuid": "d886c141-c832-4ad7-ac6d-4b94f4b550d3", - "title": "OMB M-19-23", - "citation": { - "text": "Office of Management and Budget Memorandum M-19-23, *Phase 1 Implementation of the Foundations for Evidence-Based Policymaking Act of 2018: Learning Agendas, Personnel, and Planning Guidance* , July 2019." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/wp-content/uploads/2019/07/M-19-23.pdf" - } - ] - }, - { - "uuid": "79453f84-26a4-4995-8257-d32d37aefea3", - "title": "POPEK74", - "citation": { - "text": "G. 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(National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-100" - } - ] - }, - { - "uuid": "10cf2fad-a216-41f9-bb1a-531b7e3119e3", - "title": "SP 800-101", - "citation": { - "text": "Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-101r1" - } - ] - }, - { - "uuid": "22f2d4f0-4365-4e88-a30d-275c1f5473ea", - "title": "SP 800-111", - "citation": { - "text": "Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-111" - } - ] - }, - { - "uuid": "6bc4d137-aece-42a8-8081-9ecb1ebe9fb4", - "title": "SP 800-113", - "citation": { - "text": "Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-113" - } - ] - }, - { - "uuid": "42e37e51-7cc0-4ffa-81c9-0ac942da7e99", - "title": "SP 800-114", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-114r1" - } - ] - }, - { - "uuid": "122177fa-c4ed-485d-8345-3082c0fb9a06", - "title": "SP 800-115", - "citation": { - "text": "Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-115" - } - ] - }, - { - "uuid": "2100332a-16a5-4598-bacf-7261baea9711", - "title": "SP 800-116", - "citation": { - "text": "Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-116r1" - } - ] - }, - { - "uuid": "d17ebd7a-ffab-499d-bfff-e705bbb01fa6", - "title": "SP 800-121", - "citation": { - "text": "Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-121r2" - } - ] - }, - { - "uuid": "0f66be67-85e7-4ca6-bd19-39453e9f4394", - "title": "SP 800-124", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-124r1" - } - ] - }, - { - "uuid": "88660532-2dcf-442e-845c-03340ce48999", - "title": "SP 800-125B", - "citation": { - "text": "Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-125B" - } - ] - }, - { - "uuid": "8016d2ed-d30f-4416-9c45-0f42c7aa3232", - "title": "SP 800-126", - "citation": { - "text": "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-126r3" - } - ] - }, - { - "uuid": "20db4e66-e257-450c-b2e4-2bb9a62a2c88", - "title": "SP 800-128", - "citation": { - "text": "Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128, Includes updates as of October 10, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-128" - } - ] - }, - { - "uuid": "c7ac44e8-10db-4b64-b2b9-9e32ec1efed0", - "title": "SP 800-12", - "citation": { - "text": "Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-12r1" - } - ] - }, - { - "uuid": "3653e316-8923-430e-8943-b3b2b2562fc6", - "title": "SP 800-130", - "citation": { - "text": "Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-130" - } - ] - }, - { - "uuid": "62ea77ca-e450-4323-b210-e0d75390e785", - "title": "SP 800-137A", - "citation": { - "text": "Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs: Developing an ISCM Program Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137A" - } - ] - }, - { - "uuid": "067223d8-1ec7-45c5-b21b-c848da6de8fb", - "title": "SP 800-137", - "citation": { - "text": "Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137" - } - ] - }, - { - "uuid": "e47ee630-9cbc-4133-880e-e013f83ccd51", - "title": "SP 800-147", - "citation": { - "text": "Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-147" - } - ] - }, - { - "uuid": "9ef4b43c-42a4-4316-87dc-ffaf528bc05c", - "title": "SP 800-150", - "citation": { - "text": "Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-150" - } - ] - }, - { - "uuid": "2494df28-9049-4196-b233-540e7440993f", - "title": "SP 800-152", - "citation": { - "text": "Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-152" - } - ] - }, - { - "uuid": "708b94e1-3d5e-4b22-ab43-1c69f3a97e37", - "title": "SP 800-154", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-154/draft" - } - ] - }, - { - "uuid": "d9e036ba-6eec-46a6-9340-b0bf1fea23b4", - "title": "SP 800-156", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-156" - } - ] - }, - { - "uuid": "e3cc0520-a366-4fc9-abc2-5272db7e3564", - "title": "SP 800-160-1", - "citation": { - "text": "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v1" - } - ] - }, - { - "uuid": "61ccf0f4-d3e7-42db-9796-ce6cb1c85989", - "title": "SP 800-160-2", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v2" - } - ] - }, - { - "uuid": "e8e84963-14fc-4c3a-be05-b412a5d37cd2", - "title": "SP 800-161", - "citation": { - "text": "Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-161" - } - ] - }, - { - "uuid": "2956e175-f674-43f4-b1b9-e074ad9fc39c", - "title": "SP 800-162", - "citation": { - "text": "Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of August 2, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-162" - } - ] - }, - { - "uuid": "e8552d48-cf41-40aa-8b06-f45f7fb4706c", - "title": "SP 800-166", - "citation": { - "text": "Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-166" - } - ] - }, - { - "uuid": "38f39739-1ebd-43b1-8b8c-00f591d89ebd", - "title": "SP 800-167", - "citation": { - "text": "Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-167" - } - ] - }, - { - "uuid": "7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849", - "title": "SP 800-171", - "citation": { - "text": "Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-171r2" - } - ] - }, - { - "uuid": "f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e", - "title": "SP 800-172", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified Information: A Supplement to NIST Special Publication 800-171 (Final Public Draft). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-172." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-172-draft" - } - ] - }, - { - "uuid": "1c71b420-2bd9-4e52-9fc8-390f58b85b59", - "title": "SP 800-177", - "citation": { - "text": "Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-177r1" - } - ] - }, - { - "uuid": "388a3aa2-5d85-4bad-b8a3-77db80d63c4f", - "title": "SP 800-178", - "citation": { - "text": "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-178" - } - ] - }, - { - "uuid": "276bd50a-7e58-48e5-a405-8c8cb91d7a5f", - "title": "SP 800-181", - "citation": { - "text": "Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce Framework for Cybersecurity (NICE Framework). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-181r1" - } - ] - }, - { - "uuid": "31ae65ab-3f26-46b7-9d64-f25a4dac5778", - "title": "SP 800-184", - "citation": { - "text": "Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-184" - } - ] - }, - { - "uuid": "c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2", - "title": "SP 800-188", - "citation": { - "text": "Garfinkel S (2016) De-Identifying Government Datasets. (National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-188/draft" - } - ] - }, - { - "uuid": "f5edfe51-d1f2-422e-9b27-5d0e90b49c72", - "title": "SP 800-189", - "citation": { - "text": "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-189" - } - ] - }, - { - "uuid": "30eb758a-2707-4bca-90ad-949a74d4eb16", - "title": "SP 800-18", - "citation": { - "text": "Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-18r1" - } - ] - }, - { - "uuid": "53df282b-8b3f-483a-bad1-6a8b8ac00114", - "title": "SP 800-192", - "citation": { - "text": "Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-192" - } - ] - }, - { - "uuid": "f641309f-a3ad-48be-8c67-2b318648b2f5", - "title": "SP 800-28", - "citation": { - "text": "Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-28ver2" - } - ] - }, - { - "uuid": "08b07465-dbdc-48d6-8a0b-37279602ac16", - "title": "SP 800-30", - "citation": { - "text": "Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-30r1" - } - ] - }, - { - "uuid": "8cb338a4-e493-4177-818f-3af18983ddc5", - "title": "SP 800-32", - "citation": { - "text": "Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-32" - } - ] - }, - { - "uuid": "bc39f179-c735-4da2-b7a7-b2b622119755", - "title": "SP 800-34", - "citation": { - "text": "Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-34r1" - } - ] - }, - { - "uuid": "77faf0bc-c394-44ad-9154-bbac3b79c8ad", - "title": "SP 800-35", - "citation": { - "text": "Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-35" - } - ] - }, - { - "uuid": "482e4c99-9dc4-41ad-bba8-0f3f0032c1f8", - "title": "SP 800-37", - "citation": { - "text": "Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-37r2" - } - ] - }, - { - "uuid": "cec037f3-8aba-4c97-84b4-4082f9e515d2", - "title": "SP 800-39", - "citation": { - "text": "Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-39" - } - ] - }, - { - "uuid": "155f941a-cba9-4afd-9ca6-5d040d697ba9", - "title": "SP 800-40", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-40r3" - } - ] - }, - { - "uuid": "a7f0e897-29a3-45c4-bd88-40dfef0e034a", - "title": "SP 800-41", - "citation": { - "text": "Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-41r1" - } - ] - }, - { - "uuid": "314e33cb-3681-4b50-a2a2-3fae9604accd", - "title": "SP 800-45", - "citation": { - "text": "Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-45ver2" - } - ] - }, - { - "uuid": "83b9d63b-66b1-467c-9f3b-3a0b108771e9", - "title": "SP 800-46", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-46r2" - } - ] - }, - { - "uuid": "c3a76872-e160-4267-99e8-6952de967d04", - "title": "SP 800-47", - "citation": { - "text": "Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-47" - } - ] - }, - { - "uuid": "511f6832-23ca-49a3-8c0f-ce493373cab8", - "title": "SP 800-50", - "citation": { - "text": "Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-50" - } - ] - }, - { - "uuid": "7537638e-2837-407d-844b-40fb3fafdd99", - "title": "SP 800-52", - "citation": { - "text": "McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-52r2" - } - ] - }, - { - "uuid": "4e0d3c99-0f4e-496f-8951-d4f57c122fc2", - "title": "SP 800-53 RES", - "citation": { - "text": "NIST Special Publication 800-53, Revision 5 Resource Center." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final" - } - ] - }, - { - "uuid": "a21aef46-7330-48a0-b2e1-c5bb8b2dd11d", - "title": "SP 800-53A", - "citation": { - "text": "Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53Ar4" - } - ] - }, - { - "uuid": "46d9e201-840e-440e-987c-2c773333c752", - "title": "SP 800-53B", - "citation": { - "text": "Joint Task Force (2020) Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53B" - } - ] - }, - { - "uuid": "7798067b-4ed0-4adc-a505-79dad4741693", - "title": "SP 800-55", - "citation": { - "text": "Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-55r1" - } - ] - }, - { - "uuid": "20957dbb-6a1e-40a2-b38a-66f67d33ac2e", - "title": "SP 800-56A", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Ar3" - } - ] - }, - { - "uuid": "0d083d8a-5cc6-46f1-8d79-3081d42bcb75", - "title": "SP 800-56B", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Br2" - } - ] - }, - { - "uuid": "eef62b16-c796-4554-955c-505824135b8a", - "title": "SP 800-56C", - "citation": { - "text": "Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Cr2" - } - ] - }, - { - "uuid": "110e26af-4765-49e1-8740-6750f83fcda1", - "title": "SP 800-57-1", - "citation": { - "text": "Barker EB (2020) Recommendation for Key Management: Part 1 – General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 5." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt1r5" - } - ] - }, - { - "uuid": "e7942589-e267-4a5a-a3d9-f39a7aae81f0", - "title": "SP 800-57-2", - "citation": { - "text": "Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt2r1" - } - ] - }, - { - "uuid": "8306620b-1920-4d73-8b21-12008528595f", - "title": "SP 800-57-3", - "citation": { - "text": "Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt3r1" - } - ] - }, - { - "uuid": "e72fde0b-6fc2-497e-a9db-d8fce5a11b8a", - "title": "SP 800-60-1", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v1r1" - } - ] - }, - { - "uuid": "9be5d661-421f-41ad-854e-86f98b811891", - "title": "SP 800-60-2", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v2r1" - } - ] - }, - { - "uuid": "49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb", - "title": "SP 800-61", - "citation": { - "text": "Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-61r2" - } - ] - }, - { - "uuid": "737513fa-6758-403f-831d-5ddab5e23cb3", - "title": "SP 800-63-3", - "citation": { - "text": "Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63-3" - } - ] - }, - { - "uuid": "9099ed2c-922a-493d-bcb4-d896192243ff", - "title": "SP 800-63A", - "citation": { - "text": "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63a" - } - ] - }, - { - "uuid": "e59c5a7c-8b1f-49ca-8de0-6ee0882180ce", - "title": "SP 800-63B", - "citation": { - "text": "Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Authentication and Lifecycle Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63B, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63b" - } - ] - }, - { - "uuid": "4895b4cd-34c5-4667-bf8a-27d443c12047", - "title": "SP 800-70", - "citation": { - "text": "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-70r4" - } - ] - }, - { - "uuid": "858705be-3c1f-48aa-a328-0ce398d95ef0", - "title": "SP 800-73-4", - "citation": { - "text": "Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-73-4" - } - ] - }, - { - "uuid": "7af2e6ec-9f7e-4232-ad3f-09888eb0793a", - "title": "SP 800-76-2", - "citation": { - "text": "Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-76-2" - } - ] - }, - { - "uuid": "d4d7c760-2907-403b-8b2a-767ca5370ecd", - "title": "SP 800-77", - "citation": { - "text": "Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-77r1" - } - ] - }, - { - "uuid": "828856bd-d7c4-427b-8b51-815517ec382d", - "title": "SP 800-78-4", - "citation": { - "text": "Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-78-4" - } - ] - }, - { - "uuid": "10963761-58fc-4b20-b3d6-b44a54daba03", - "title": "SP 800-79-2", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-79-2" - } - ] - }, - { - "uuid": "fe209006-bfd4-4033-a79a-9fee1adaf372", - "title": "SP 800-81-2", - "citation": { - "text": "Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-81-2" - } - ] - }, - { - "uuid": "6264c85d-19f5-408a-aa44-d737daaf311e", - "title": "SP 800-82", - "citation": { - "text": "Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-82r2" - } - ] - }, - { - "uuid": "3dd249b0-f57d-44ba-a03e-c3eab1b835ff", - "title": "SP 800-83", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-83r1" - } - ] - }, - { - "uuid": "53be2fcf-cfd1-4bcb-896b-9a3b65c22098", - "title": "SP 800-84", - "citation": { - "text": "Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-84" - } - ] - }, - { - "uuid": "cfdb1858-c473-46b3-89f9-a700308d0be2", - "title": "SP 800-86", - "citation": { - "text": "Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-86" - } - ] - }, - { - "uuid": "a5b1d18d-e670-4586-9e6d-4a88b7ba3df6", - "title": "SP 800-88", - "citation": { - "text": "Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-88r1" - } - ] - }, - { - "uuid": "5eee45d8-3313-4fdc-8d54-1742092bbdd6", - "title": "SP 800-92", - "citation": { - "text": "Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-92" - } - ] - }, - { - "uuid": "25e3e57b-dc2f-4934-af9b-050b020c6f0e", - "title": "SP 800-94", - "citation": { - "text": "Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). 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"ir-8", - "ir-8.1", - "mp-1", - "mp-6", - "pl-1", - "pl-2", - "pl-4", - "pl-4.1", - "pl-8", - "pl-9", - "pm-3", - "pm-4", - "pm-5.1", - "pm-6", - "pm-7", - "pm-8", - "pm-9", - "pm-10", - "pm-11", - "pm-13", - "pm-14", - "pm-18", - "pm-19", - "pm-20", - "pm-21", - "pm-22", - "pm-24", - "pm-25", - "pm-26", - "pm-27", - "pm-31", - "pm-33", - "pt-1", - "pt-2", - "pt-3", - "pt-4", - "pt-5", - "pt-6", - "pt-6.2", - "pt-7", - "pt-7.1", - "pt-7.2", - "pt-8", - "pt-8.1", - "pt-8.2", - "pt-9", - "ra-1", - "ra-3", - "ra-7", - "ra-8", - "sa-1", - "sa-4", - "sa-9", - "sa-11", - "si-1", - "si-12", - "si-12.1", - "si-12.2", - "si-12.3", - "si-18", - "si-18.4", - "si-19" - ] - } - ] - } - ], - "merge": { - "as-is": true - } - } -} diff --git a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog-min.json b/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog-min.json deleted file mode 100644 index 94f96123..00000000 --- a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog-min.json +++ /dev/null @@ -1,70972 +0,0 @@ -{ - "catalog": { - "uuid": "3774332f-a28d-4e61-8c3e-31171abbe07c", - "metadata": { - "title": "NIST Special Publication 800-53: Security and Privacy Controls for Federal Information Systems and Organizations, Revision 5 Final Public Draft", - "last-modified": "2021-06-08T13:57:30.880464-04:00", - "version": "Revision 5", - "oscal-version": "1.0.0", - "props": [ - { - "name": "keywords", - "value": "assurance, availability, computer security, confidentiality, control, cybersecurity, FISMA, information security, information system, integrity, personally identifiable information, Privacy Act, privacy controls, privacy functions, privacy requirements, Risk Management Framework, security controls, security functions, security requirements, system, system security" - } - ], - "links": [ - { - "href": "#90ec1671-8dcf-4bcf-8efe-ac6d06a806f0", - "rel": "alternate" - }, - { - "href": "#abe434a3-7630-4138-8699-2ab8c7a9aa6c", - "rel": "canonical" - } - ], - "roles": [ - { - "id": "creator", - "title": "Document creator" - }, - { - "id": "contact", - "title": "Contact" - } - ], - "parties": [ - { - "uuid": "d2cd65bd-2123-4dd9-afb2-c7564f3251c2", - "type": "organization", - "name": "Joint Task Force, Interagency Working Group", - "email-addresses": [ - "sec-cert@nist.gov" - ], - "addresses": [ - { - "addr-lines": [ - "National Institute of Standards and Technology", - "Attn: Computer Security Division", - "Information Technology Laboratory", - "100 Bureau Drive (Mail Stop 8930)" - ], - "city": "Gaithersburg", - "state": "MD", - "postal-code": "20899-8930" - } - ] - } - ], - "responsible-parties": [ - { - "role-id": "creator", - "party-uuids": [ - "4ae7292e-6d8e-4735-86ea-11047c575e87" - ] - }, - { - "role-id": "contact", - "party-uuids": [ - "4ae7292e-6d8e-4735-86ea-11047c575e87" - ] - } - ] - }, - "groups": [ - { - "id": "ac", - "class": "family", - "title": "Access Control", - "controls": [ - { - "id": "ac-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ac-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ac-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ac-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ac-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-1" - }, - { - "name": "sort-id", - "value": "AC-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-1_smt", - "name": "statement", - "parts": [ - { - "id": "ac-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ac-1_prm_1 }}:", - "parts": [ - { - "id": "ac-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ac-1_prm_2 }} access control policy that:", - "parts": [ - { - "id": "ac-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and the associated access controls;" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ac-1_prm_3 }} to manage the development, documentation, and dissemination of the access control policy and procedures; and" - }, - { - "id": "ac-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current access control:", - "parts": [ - { - "id": "ac-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ac-1_prm_4 }}; and" - }, - { - "id": "ac-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ac-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "params": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined attributes (as required)" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined policy, procedures, and conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_5", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_6", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_7", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_8", - "label": "organization-defined attributes (as required)" - }, - { - "id": "ac-2_prm_9", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "AC-02" - } - ], - "links": [ - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#06d3c11a-4a00-42d9-ad75-e6a777ffae5e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define and document the types of accounts allowed for use within the system;" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign account managers;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish conditions for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specify:", - "parts": [ - { - "id": "ac-2_smt.d.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Authorized users of the system;" - }, - { - "id": "ac-2_smt.d.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Group and role membership; and" - }, - { - "id": "ac-2_smt.d.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Access authorizations (i.e., privileges) and {{ insert: param, ac-2_prm_1 }} for each account;" - } - ] - }, - { - "id": "ac-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Require approvals by {{ insert: param, ac-2_prm_2 }} for requests to create accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitor the use of accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notify account managers and {{ insert: param, ac-2_prm_4 }} within:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ac-2_prm_5 }} when accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, ac-2_prm_6 }} when users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "{{ insert: param, ac-2_prm_7 }} when system usage or need-to-know changes for an individual;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorize access to the system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "{{ insert: param, ac-2_prm_8 }};" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Review accounts for compliance with account management requirements {{ insert: param, ac-2_prm_9 }};" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "props": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establish and implement a process for changing shared or group account credentials (if deployed) when individuals are removed from the group; and" - }, - { - "id": "ac-2_smt.l", - "name": "item", - "props": [ - { - "name": "label", - "value": "l." - } - ], - "prose": "Align account management processes with personnel termination and transfer processes." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. External system accounts are not included in the scope of this control. Organizations address external system accounts through organizational policy. Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy on establishing the specific conditions for group and role membership; specifying for each account, authorized users, group and role membership, and access authorizations; and creating, adjusting, or removing system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors triggering the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-of-origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required; and when individuals are transferred or terminated. Changing shared/group account credentials when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training." - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "params": [ - { - "id": "ac-2.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(1)" - }, - { - "name": "sort-id", - "value": "AC-02(01)" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "Support the management of system accounts using {{ insert: param, ac-2.1_prm_1 }}." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include using email or text messaging to automatically notify account managers when users are terminated or transferred; using the system to monitor account usage; and using telephonic notification to report atypical system account usage." - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Temporary and Emergency Account Management", - "params": [ - { - "id": "ac-2.2_prm_1", - "select": { - "choice": [ - "remove", - "disable" - ] - } - }, - { - "id": "ac-2.2_prm_2", - "label": "organization-defined time-period for each type of account" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(2)" - }, - { - "name": "sort-id", - "value": "AC-02(02)" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, ac-2.2_prm_1 }} temporary and emergency accounts after {{ insert: param, ac-2.2_prm_2 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time-period, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation." - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Accounts", - "params": [ - { - "id": "ac-2.3_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(3)" - }, - { - "name": "sort-id", - "value": "AC-02(03)" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "Disable accounts when the accounts:", - "parts": [ - { - "id": "ac-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have expired;" - }, - { - "id": "ac-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Are no longer associated with a user or individual;" - }, - { - "id": "ac-2.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are in violation of organizational policy; or" - }, - { - "id": "ac-2.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Have been inactive for {{ insert: param, ac-2.3_prm_1 }}." - } - ] - }, - { - "id": "ac-2.3_gdn", - "name": "guidance", - "prose": "Disabling expired, inactive, or otherwise anomalous accounts supports the concept of least privilege and least functionality which reduces the attack surface of the system." - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "props": [ - { - "name": "label", - "value": "AC-2(4)" - }, - { - "name": "sort-id", - "value": "AC-02(04)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "Automatically audit account creation, modification, enabling, disabling, and removal actions." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "prose": "Account management audit records are defined in accordance with AU-2 and reviewed, analyzed, and reported in accordance with AU-6." - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "params": [ - { - "id": "ac-2.5_prm_1", - "label": "organization-defined time-period of expected inactivity or description of when to log out" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(5)" - }, - { - "name": "sort-id", - "value": "AC-02(05)" - } - ], - "links": [ - { - "href": "#ac-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "Require that users log out when {{ insert: param, ac-2.5_prm_1 }}." - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "prose": "Inactivity logout is behavior or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of this control enhancement is addressed by AC-11." - } - ] - }, - { - "id": "ac-2.6", - "class": "SP800-53-enhancement", - "title": "Dynamic Privilege Management", - "params": [ - { - "id": "ac-2.6_prm_1", - "label": "organization-defined dynamic privilege management capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(6)" - }, - { - "name": "sort-id", - "value": "AC-02(06)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.6_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-2.6_prm_1 }}." - }, - { - "id": "ac-2.6_gdn", - "name": "guidance", - "prose": "In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications." - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Privileged User Accounts", - "params": [ - { - "id": "ac-2.7_prm_1", - "select": { - "choice": [ - "a role-based access scheme", - "an attribute-based access scheme" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(7)" - }, - { - "name": "sort-id", - "value": "AC-02(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish and administer privileged user accounts in accordance with {{ insert: param, ac-2.7_prm_1 }};" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor privileged role or attribute assignments;" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Monitor changes to roles or attributes; and" - }, - { - "id": "ac-2.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Revoke access when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes." - } - ] - }, - { - "id": "ac-2.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Account Management", - "params": [ - { - "id": "ac-2.8_prm_1", - "label": "organization-defined system accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(8)" - }, - { - "name": "sort-id", - "value": "AC-02(08)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.8_smt", - "name": "statement", - "prose": "Create, activate, manage, and deactivate {{ insert: param, ac-2.8_prm_1 }} dynamically." - }, - { - "id": "ac-2.8_gdn", - "name": "guidance", - "prose": "Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges." - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions on Use of Shared and Group Accounts", - "params": [ - { - "id": "ac-2.9_prm_1", - "label": "organization-defined conditions for establishing shared and group accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(9)" - }, - { - "name": "sort-id", - "value": "AC-02(09)" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "Only permit the use of shared and group accounts that meet {{ insert: param, ac-2.9_prm_1 }}." - }, - { - "id": "ac-2.9_gdn", - "name": "guidance", - "prose": "Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts." - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared and Group Account Credential Change", - "props": [ - { - "name": "label", - "value": "AC-2(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-02(10)" - } - ], - "links": [ - { - "href": "#ac-2_smt.k", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-2.11", - "class": "SP800-53-enhancement", - "title": "Usage Conditions", - "params": [ - { - "id": "ac-2.11_prm_1", - "label": "organization-defined circumstances and/or usage conditions" - }, - { - "id": "ac-2.11_prm_2", - "label": "organization-defined system accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(11)" - }, - { - "name": "sort-id", - "value": "AC-02(11)" - } - ], - "parts": [ - { - "id": "ac-2.11_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-2.11_prm_1 }} for {{ insert: param, ac-2.11_prm_2 }}." - }, - { - "id": "ac-2.11_gdn", - "name": "guidance", - "prose": "Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time." - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring for Atypical Usage", - "params": [ - { - "id": "ac-2.12_prm_1", - "label": "organization-defined atypical usage" - }, - { - "id": "ac-2.12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(12)" - }, - { - "name": "sort-id", - "value": "AC-02(12)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitor system accounts for {{ insert: param, ac-2.12_prm_1 }}; and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Report atypical usage of system accounts to {{ insert: param, ac-2.12_prm_2 }}." - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - } - ] - }, - { - "id": "ac-2.13", - "class": "SP800-53-enhancement", - "title": "Disable Accounts for High-risk Individuals", - "params": [ - { - "id": "ac-2.13_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ac-2.13_prm_2", - "label": "organization-defined significant risks" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(13)" - }, - { - "name": "sort-id", - "value": "AC-02(13)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.13_smt", - "name": "statement", - "prose": "Disable accounts of users within {{ insert: param, ac-2.13_prm_1 }} of discovery of {{ insert: param, ac-2.13_prm_2 }}." - }, - { - "id": "ac-2.13_gdn", - "name": "guidance", - "prose": "Users posing a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential for execution of this control enhancement." - } - ] - }, - { - "id": "ac-2.14", - "class": "SP800-53-enhancement", - "title": "Prohibit Specific Account Types", - "params": [ - { - "id": "ac-2.14_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "shared", - "guest", - "anonymous", - "temporary", - "emergency" - ] - } - }, - { - "id": "ac-2.14_prm_2", - "label": "organization-defined information types" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(14)" - }, - { - "name": "sort-id", - "value": "AC-02(14)" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.14_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-2.14_prm_1 }} accounts for access to {{ insert: param, ac-2.14_prm_2 }}." - }, - { - "id": "ac-2.14_gdn", - "name": "guidance", - "prose": "Organizations determine what types of accounts are prohibited based on the security and privacy risk." - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "props": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "AC-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of missions and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family." - } - ], - "controls": [ - { - "id": "ac-3.1", - "class": "SP800-53-enhancement", - "title": "Restricted Access to Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-3(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-03(01)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.2", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "ac-3.2_prm_1", - "label": "organization-defined privileged commands and/or other organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(2)" - }, - { - "name": "sort-id", - "value": "AC-03(02)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.2_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, ac-3.2_prm_1 }}." - }, - { - "id": "ac-3.2_gdn", - "name": "guidance", - "prose": "Dual authorization, also known as two-person control, reduces risk related to insider threat. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - } - ] - }, - { - "id": "ac-3.3", - "class": "SP800-53-enhancement", - "title": "Mandatory Access Control", - "params": [ - { - "id": "ac-3.3_prm_1", - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.3_prm_2", - "label": "organization-defined subjects" - }, - { - "id": "ac-3.3_prm_3", - "label": "organization-defined privileges" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(3)" - }, - { - "name": "sort-id", - "value": "AC-03(03)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy:", - "parts": [ - { - "id": "ac-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Is uniformly enforced across the covered subjects and objects within the system;" - }, - { - "id": "ac-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Specifies that a subject that has been granted access to information is constrained from doing any of the following;", - "parts": [ - { - "id": "ac-3.3_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Passing the information to unauthorized subjects or objects;" - }, - { - "id": "ac-3.3_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Granting its privileges to other subjects;" - }, - { - "id": "ac-3.3_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(3)" - } - ], - "prose": "Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;" - }, - { - "id": "ac-3.3_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(4)" - } - ], - "prose": "Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and" - }, - { - "id": "ac-3.3_smt.b.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "(5)" - } - ], - "prose": "Changing the rules governing access control; and" - } - ] - }, - { - "id": "ac-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Specifies that {{ insert: param, ac-3.3_prm_2 }} may explicitly be granted {{ insert: param, ac-3.3_prm_3 }} such that they are not limited by any defined subset (or all) of the above constraints." - } - ] - }, - { - "id": "ac-3.3_gdn", - "name": "guidance", - "prose": "Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control; otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in AC-3(4). A subject constrained in its operation by policies governed by this control can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject with the same sensitivity level as the subject. Examples of mandatory access control policies include the Bell-La Padula policy to protect confidentiality of information and the Biba policy to protect the integrity of information." - } - ] - }, - { - "id": "ac-3.4", - "class": "SP800-53-enhancement", - "title": "Discretionary Access Control", - "params": [ - { - "id": "ac-3.4_prm_1", - "label": "organization-defined discretionary access control policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(4)" - }, - { - "name": "sort-id", - "value": "AC-03(04)" - } - ], - "parts": [ - { - "id": "ac-3.4_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:", - "parts": [ - { - "id": "ac-3.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Pass the information to any other subjects or objects;" - }, - { - "id": "ac-3.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Grant its privileges to other subjects;" - }, - { - "id": "ac-3.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change security attributes on subjects, objects, the system, or the system\u2019s components;" - }, - { - "id": "ac-3.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Choose the security attributes to be associated with newly created or revised objects; or" - }, - { - "id": "ac-3.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Change the rules governing access control." - } - ] - }, - { - "id": "ac-3.4_gdn", - "name": "guidance", - "prose": "When discretionary access control policies are implemented, subjects are not constrained regarding what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in AC-3(3) and AC-3(15). A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while AC-3(3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control." - } - ] - }, - { - "id": "ac-3.5", - "class": "SP800-53-enhancement", - "title": "Security-relevant Information", - "params": [ - { - "id": "ac-3.5_prm_1", - "label": "organization-defined security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(5)" - }, - { - "name": "sort-id", - "value": "AC-03(05)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.5_smt", - "name": "statement", - "prose": "Prevent access to {{ insert: param, ac-3.5_prm_1 }} except during secure, non-operable system states." - }, - { - "id": "ac-3.5_gdn", - "name": "guidance", - "prose": "Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing such as when the system is off-line for maintenance, boot-up, troubleshooting, or shut down." - } - ] - }, - { - "id": "ac-3.6", - "class": "SP800-53-enhancement", - "title": "Protection of User and System Information", - "props": [ - { - "name": "label", - "value": "AC-3(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-03(06)" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "incorporated-into" - }, - { - "href": "#sc-28", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.7", - "class": "SP800-53-enhancement", - "title": "Role-based Access Control", - "params": [ - { - "id": "ac-3.7_prm_1", - "label": "organization-defined roles and users authorized to assume such roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(7)" - }, - { - "name": "sort-id", - "value": "AC-03(07)" - } - ], - "parts": [ - { - "id": "ac-3.7_smt", - "name": "statement", - "prose": "Enforce a role-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.7_prm_1 }}." - }, - { - "id": "ac-3.7_gdn", - "name": "guidance", - "prose": "Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to the specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for because privileges are not assigned directly to every user (which can potentially be a large number of individuals) but are instead acquired through role assignments. RBAC can be implemented as a mandatory or discretionary form of access control. For those organizations implementing RBAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy." - } - ] - }, - { - "id": "ac-3.8", - "class": "SP800-53-enhancement", - "title": "Revocation of Access Authorizations", - "params": [ - { - "id": "ac-3.8_prm_1", - "label": "organization-defined rules governing the timing of revocations of access authorizations" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(8)" - }, - { - "name": "sort-id", - "value": "AC-03(08)" - } - ], - "parts": [ - { - "id": "ac-3.8_smt", - "name": "statement", - "prose": "Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on {{ insert: param, ac-3.8_prm_1 }}." - }, - { - "id": "ac-3.8_gdn", - "name": "guidance", - "prose": "Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary." - } - ] - }, - { - "id": "ac-3.9", - "class": "SP800-53-enhancement", - "title": "Controlled Release", - "params": [ - { - "id": "ac-3.9_prm_1", - "label": "organization-defined system or system component" - }, - { - "id": "ac-3.9_prm_2", - "label": "organization-defined controls" - }, - { - "id": "ac-3.9_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(9)" - }, - { - "name": "sort-id", - "value": "AC-03(09)" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.9_smt", - "name": "statement", - "prose": "Release information outside of the system only if:", - "parts": [ - { - "id": "ac-3.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "The receiving {{ insert: param, ac-3.9_prm_1 }} provides {{ insert: param, ac-3.9_prm_2 }}; and" - }, - { - "id": "ac-3.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-3.9_prm_3 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "id": "ac-3.9_gdn", - "name": "guidance", - "prose": "Systems can only protect organizational information within the confines of established system boundaries. Additional controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests); establishing agreements between the organization and its counterpart organizations; or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals\u2019 privacy. Controlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer." - } - ] - }, - { - "id": "ac-3.10", - "class": "SP800-53-enhancement", - "title": "Audited Override of Access Control Mechanisms", - "params": [ - { - "id": "ac-3.10_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "ac-3.10_prm_2", - "label": "organization-defined roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(10)" - }, - { - "name": "sort-id", - "value": "AC-03(10)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.10_smt", - "name": "statement", - "prose": "Employ an audited override of automated access control mechanisms under {{ insert: param, ac-3.10_prm_1 }} by {{ insert: param, ac-3.10_prm_2 }}." - }, - { - "id": "ac-3.10_gdn", - "name": "guidance", - "prose": "In certain situations, for example, where there is a threat to human life or an event that threatens the organization\u2019s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and are used only in those limited circumstances. Audit events are defined in AU-2. Audit records are generated in AU-12." - } - ] - }, - { - "id": "ac-3.11", - "class": "SP800-53-enhancement", - "title": "Restrict Access to Specific Information Types", - "params": [ - { - "id": "ac-3.11_prm_1", - "label": "organization-defined information types" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(11)" - }, - { - "name": "sort-id", - "value": "AC-03(11)" - } - ], - "parts": [ - { - "id": "ac-3.11_smt", - "name": "statement", - "prose": "Restrict access to data repositories containing {{ insert: param, ac-3.11_prm_1 }}." - }, - { - "id": "ac-3.11_gdn", - "name": "guidance", - "prose": "Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information." - } - ] - }, - { - "id": "ac-3.12", - "class": "SP800-53-enhancement", - "title": "Assert and Enforce Application Access", - "params": [ - { - "id": "ac-3.12_prm_1", - "label": "organization-defined system applications and functions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(12)" - }, - { - "name": "sort-id", - "value": "AC-03(12)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: {{ insert: param, ac-3.12_prm_1 }};" - }, - { - "id": "ac-3.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide an enforcement mechanism to prevent unauthorized access; and" - }, - { - "id": "ac-3.12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Approve access changes after initial installation of the application." - } - ] - }, - { - "id": "ac-3.12_gdn", - "name": "guidance", - "prose": "Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning system, camera, keyboard, microphone, network, phones, or other files." - } - ] - }, - { - "id": "ac-3.13", - "class": "SP800-53-enhancement", - "title": "Attribute-based Access Control", - "params": [ - { - "id": "ac-3.13_prm_1", - "label": "organization-defined attributes to assume access permissions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(13)" - }, - { - "name": "sort-id", - "value": "AC-03(13)" - } - ], - "parts": [ - { - "id": "ac-3.13_smt", - "name": "statement", - "prose": "Enforce attribute-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.13_prm_1 }}." - }, - { - "id": "ac-3.13_gdn", - "name": "guidance", - "prose": "Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity); action attributes (e.g., read, write, delete); environmental attributes (e.g., time of day, location); and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource upon access. Attribute-based access control can be implemented as a mandatory or discretionary form of access control. For attribute-based access control implemented with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy." - } - ] - }, - { - "id": "ac-3.14", - "class": "SP800-53-enhancement", - "title": "Individual Access", - "params": [ - { - "id": "ac-3.14_prm_1", - "label": "organization-defined mechanisms" - }, - { - "id": "ac-3.14_prm_2", - "label": "organization-defined elements" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(14)" - }, - { - "name": "sort-id", - "value": "AC-03(14)" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.14_smt", - "name": "statement", - "prose": "Provide {{ insert: param, ac-3.14_prm_1 }} to enable individuals to have access to the following elements of their personally identifiable information: {{ insert: param, ac-3.14_prm_2 }}." - }, - { - "id": "ac-3.14_gdn", - "name": "guidance", - "prose": "Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. Access to certain types of records may not be appropriate or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations." - } - ] - }, - { - "id": "ac-3.15", - "class": "SP800-53-enhancement", - "title": "Discretionary and Mandatory Access Control", - "params": [ - { - "id": "ac-3.15_prm_1", - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.15_prm_2", - "label": "organization-defined discretionary access control policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(15)" - }, - { - "name": "sort-id", - "value": "AC-03(15)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.15_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_1 }} over the set of covered subjects and objects specified in the policy; and" - }, - { - "id": "ac-3.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_2 }} over the set of covered subjects and objects specified in the policy." - } - ] - }, - { - "id": "ac-3.15_gdn", - "name": "guidance", - "prose": "Implementing a mandatory access control policy and a discretionary access control policy simultaneously can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system." - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "params": [ - { - "id": "ac-4_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4" - }, - { - "name": "sort-id", - "value": "AC-04" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-4_prm_1 }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization; keeping export-controlled information from being transmitted in the clear to the Internet; restricting web requests that are not from the internal web proxy server; and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only); verifying write permissions before accepting information from another security or privacy domain or connected system; employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and security or privacy labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. This control also applies to control plane traffic (e.g., routing and DNS)." - } - ], - "controls": [ - { - "id": "ac-4.1", - "class": "SP800-53-enhancement", - "title": "Object Security and Privacy Attributes", - "params": [ - { - "id": "ac-4.1_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-4.1_prm_2", - "label": "organization-defined information, source, and destination objects" - }, - { - "id": "ac-4.1_prm_3", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(1)" - }, - { - "name": "sort-id", - "value": "AC-04(01)" - } - ], - "parts": [ - { - "id": "ac-4.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param, ac-4.1_prm_3 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.1_gdn", - "name": "guidance", - "prose": "Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets, and therefore, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information." - } - ] - }, - { - "id": "ac-4.2", - "class": "SP800-53-enhancement", - "title": "Processing Domains", - "params": [ - { - "id": "ac-4.2_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(2)" - }, - { - "name": "sort-id", - "value": "AC-04(02)" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.2_smt", - "name": "statement", - "prose": "Use protected processing domains to enforce {{ insert: param, ac-4.2_prm_1 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.2_gdn", - "name": "guidance", - "prose": "Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains." - } - ] - }, - { - "id": "ac-4.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Information Flow Control", - "params": [ - { - "id": "ac-4.3_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(3)" - }, - { - "name": "sort-id", - "value": "AC-04(03)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-4.3_prm_1 }}." - }, - { - "id": "ac-4.3_gdn", - "name": "guidance", - "prose": "Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events." - } - ] - }, - { - "id": "ac-4.4", - "class": "SP800-53-enhancement", - "title": "Flow Control of Encrypted Information", - "params": [ - { - "id": "ac-4.4_prm_1", - "label": "organization-defined information flow control mechanisms" - }, - { - "id": "ac-4.4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "decrypting the information", - "blocking the flow of the encrypted information", - "terminating communications sessions attempting to pass encrypted information", - " {{ insert: param, ac-4.4_prm_3 }} " - ] - } - }, - { - "id": "ac-4.4_prm_3", - "depends-on": "ac-4.4_prm_2", - "label": "organization-defined procedure or method" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(4)" - }, - { - "name": "sort-id", - "value": "AC-04(04)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.4_smt", - "name": "statement", - "prose": "Prevent encrypted information from bypassing {{ insert: param, ac-4.4_prm_1 }} by {{ insert: param, ac-4.4_prm_2 }}." - }, - { - "id": "ac-4.4_gdn", - "name": "guidance", - "prose": "Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms." - } - ] - }, - { - "id": "ac-4.5", - "class": "SP800-53-enhancement", - "title": "Embedded Data Types", - "params": [ - { - "id": "ac-4.5_prm_1", - "label": "organization-defined limitations" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(5)" - }, - { - "name": "sort-id", - "value": "AC-04(05)" - } - ], - "parts": [ - { - "id": "ac-4.5_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-4.5_prm_1 }} on embedding data types within other data types." - }, - { - "id": "ac-4.5_gdn", - "name": "guidance", - "prose": "Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools." - } - ] - }, - { - "id": "ac-4.6", - "class": "SP800-53-enhancement", - "title": "Metadata", - "params": [ - { - "id": "ac-4.6_prm_1", - "label": "organization-defined metadata" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(6)" - }, - { - "name": "sort-id", - "value": "AC-04(06)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.6_smt", - "name": "statement", - "prose": "Enforce information flow control based on {{ insert: param, ac-4.6_prm_1 }}." - }, - { - "id": "ac-4.6_gdn", - "name": "guidance", - "prose": "Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance)." - } - ] - }, - { - "id": "ac-4.7", - "class": "SP800-53-enhancement", - "title": "One-way Flow Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-4(7)" - }, - { - "name": "sort-id", - "value": "AC-04(07)" - } - ], - "parts": [ - { - "id": "ac-4.7_smt", - "name": "statement", - "prose": "Enforce one-way information flows through hardware-based flow control mechanisms." - }, - { - "id": "ac-4.7_gdn", - "name": "guidance", - "prose": "One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system, while permitting data from a lower impact or unclassified domain or system to be imported." - } - ] - }, - { - "id": "ac-4.8", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Policy Filters", - "params": [ - { - "id": "ac-4.8_prm_1", - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.8_prm_2", - "label": "organization-defined information flows" - }, - { - "id": "ac-4.8_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "block", - "strip", - "modify", - "quarantine" - ] - } - }, - { - "id": "ac-4.8_prm_4", - "label": "organization-defined security or privacy policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(8)" - }, - { - "name": "sort-id", - "value": "AC-04(08)" - } - ], - "parts": [ - { - "id": "ac-4.8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-4.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce information flow control using {{ insert: param, ac-4.8_prm_1 }} as a basis for flow control decisions for {{ insert: param, ac-4.8_prm_2 }}; and" - }, - { - "id": "ac-4.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-4.8_prm_3 }} data after a filter processing failure in accordance with {{ insert: param, ac-4.8_prm_4 }}." - } - ] - }, - { - "id": "ac-4.8_gdn", - "name": "guidance", - "prose": "Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives." - } - ] - }, - { - "id": "ac-4.9", - "class": "SP800-53-enhancement", - "title": "Human Reviews", - "params": [ - { - "id": "ac-4.9_prm_1", - "label": "organization-defined information flows" - }, - { - "id": "ac-4.9_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(9)" - }, - { - "name": "sort-id", - "value": "AC-04(09)" - } - ], - "parts": [ - { - "id": "ac-4.9_smt", - "name": "statement", - "prose": "Enforce the use of human reviews for {{ insert: param, ac-4.9_prm_1 }} under the following conditions: {{ insert: param, ac-4.9_prm_2 }}." - }, - { - "id": "ac-4.9_gdn", - "name": "guidance", - "prose": "Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations." - } - ] - }, - { - "id": "ac-4.10", - "class": "SP800-53-enhancement", - "title": "Enable and Disable Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.10_prm_1", - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.10_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(10)" - }, - { - "name": "sort-id", - "value": "AC-04(10)" - } - ], - "parts": [ - { - "id": "ac-4.10_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to enable and disable {{ insert: param, ac-4.10_prm_1 }} under the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - }, - { - "id": "ac-4.10_gdn", - "name": "guidance", - "prose": "For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security or privacy domains, and other security or privacy relevant features, as needed." - } - ] - }, - { - "id": "ac-4.11", - "class": "SP800-53-enhancement", - "title": "Configuration of Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.11_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(11)" - }, - { - "name": "sort-id", - "value": "AC-04(11)" - } - ], - "parts": [ - { - "id": "ac-4.11_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to configure {{ insert: param, ac-4.11_prm_1 }} to support different security or privacy policies." - }, - { - "id": "ac-4.11_gdn", - "name": "guidance", - "prose": "Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of \u201cdirty words\u201d that security or privacy policy mechanisms check in accordance with the definitions provided by organizations." - } - ] - }, - { - "id": "ac-4.12", - "class": "SP800-53-enhancement", - "title": "Data Type Identifiers", - "params": [ - { - "id": "ac-4.12_prm_1", - "label": "organization-defined data type identifiers" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(12)" - }, - { - "name": "sort-id", - "value": "AC-04(12)" - } - ], - "parts": [ - { - "id": "ac-4.12_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, use {{ insert: param, ac-4.12_prm_1 }} to validate data essential for information flow decisions." - }, - { - "id": "ac-4.12_gdn", - "name": "guidance", - "prose": "Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems allow transfer of data only if compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure it is the proper data type." - } - ] - }, - { - "id": "ac-4.13", - "class": "SP800-53-enhancement", - "title": "Decomposition into Policy-relevant Subcomponents", - "params": [ - { - "id": "ac-4.13_prm_1", - "label": "organization-defined policy-relevant subcomponents" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(13)" - }, - { - "name": "sort-id", - "value": "AC-04(13)" - } - ], - "parts": [ - { - "id": "ac-4.13_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, decompose information into {{ insert: param, ac-4.13_prm_1 }} for submission to policy enforcement mechanisms." - }, - { - "id": "ac-4.13_gdn", - "name": "guidance", - "prose": "Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security or privacy domains." - } - ] - }, - { - "id": "ac-4.14", - "class": "SP800-53-enhancement", - "title": "Security or Privacy Policy Filter Constraints", - "params": [ - { - "id": "ac-4.14_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(14)" - }, - { - "name": "sort-id", - "value": "AC-04(14)" - } - ], - "parts": [ - { - "id": "ac-4.14_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring fully enumerated formats that restrict data structure and content." - }, - { - "id": "ac-4.14_gdn", - "name": "guidance", - "prose": "Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures." - } - ] - }, - { - "id": "ac-4.15", - "class": "SP800-53-enhancement", - "title": "Detection of Unsanctioned Information", - "params": [ - { - "id": "ac-4.15_prm_1", - "label": "organization-defined unsanctioned information" - }, - { - "id": "ac-4.15_prm_2", - "label": "organization-defined security or privacy policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(15)" - }, - { - "name": "sort-id", - "value": "AC-04(15)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.15_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, examine the information for the presence of {{ insert: param, ac-4.15_prm_1 }} and prohibit the transfer of such information in accordance with the {{ insert: param, ac-4.15_prm_2 }}." - }, - { - "id": "ac-4.15_gdn", - "name": "guidance", - "prose": "Unsanctioned information includes malicious code, dirty words, sensitive information inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network." - } - ] - }, - { - "id": "ac-4.16", - "class": "SP800-53-enhancement", - "title": "Information Transfers on Interconnected Systems", - "props": [ - { - "name": "label", - "value": "AC-4(16)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-04(16)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.17", - "class": "SP800-53-enhancement", - "title": "Domain Authentication", - "params": [ - { - "id": "ac-4.17_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization", - "system", - "application", - "service", - "individual" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(17)" - }, - { - "name": "sort-id", - "value": "AC-04(17)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.17_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate source and destination points by {{ insert: param, ac-4.17_prm_1 }} for information transfer." - }, - { - "id": "ac-4.17_gdn", - "name": "guidance", - "prose": "Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems, allows the forensic reconstruction of events, and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals." - } - ] - }, - { - "id": "ac-4.18", - "class": "SP800-53-enhancement", - "title": "Security Attribute Binding", - "props": [ - { - "name": "label", - "value": "AC-4(18)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-04(18)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.19", - "class": "SP800-53-enhancement", - "title": "Validation of Metadata", - "params": [ - { - "id": "ac-4.19_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(19)" - }, - { - "name": "sort-id", - "value": "AC-04(19)" - } - ], - "parts": [ - { - "id": "ac-4.19_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata." - }, - { - "id": "ac-4.19_gdn", - "name": "guidance", - "prose": "All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload." - } - ] - }, - { - "id": "ac-4.20", - "class": "SP800-53-enhancement", - "title": "Approved Solutions", - "params": [ - { - "id": "ac-4.20_prm_1", - "label": "organization-defined solutions in approved configurations" - }, - { - "id": "ac-4.20_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(20)" - }, - { - "name": "sort-id", - "value": "AC-04(20)" - } - ], - "parts": [ - { - "id": "ac-4.20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-4.20_prm_1 }} to control the flow of {{ insert: param, ac-4.20_prm_2 }} across security or privacy domains." - }, - { - "id": "ac-4.20_gdn", - "name": "guidance", - "prose": "Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The NSA National Cross Domain Strategy and Management Office provides a baseline listing of approved cross-domain solutions." - } - ] - }, - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Separation of Information Flows", - "params": [ - { - "id": "ac-4.21_prm_1", - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-4.21_prm_2", - "label": "organization-defined required separations by types of information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(21)" - }, - { - "name": "sort-id", - "value": "AC-04(21)" - } - ], - "links": [ - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-4.21_prm_2 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security categories." - } - ] - }, - { - "id": "ac-4.22", - "class": "SP800-53-enhancement", - "title": "Access Only", - "props": [ - { - "name": "label", - "value": "AC-4(22)" - }, - { - "name": "sort-id", - "value": "AC-04(22)" - } - ], - "parts": [ - { - "id": "ac-4.22_smt", - "name": "statement", - "prose": "Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing any information flow between the different security domains." - }, - { - "id": "ac-4.22_gdn", - "name": "guidance", - "prose": "The system provides a capability for users to access each connected security domain without providing any mechanisms to allow transfer of data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate." - } - ] - }, - { - "id": "ac-4.23", - "class": "SP800-53-enhancement", - "title": "Modify Non-releasable Information", - "params": [ - { - "id": "ac-4.23_prm_1", - "label": "organization-defined modification action" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(23)" - }, - { - "name": "sort-id", - "value": "AC-04(23)" - } - ], - "parts": [ - { - "id": "ac-4.23_smt", - "name": "statement", - "prose": "When transferring information between different security domains, modify non-releasable information by implementing {{ insert: param, ac-4.23_prm_1 }}." - }, - { - "id": "ac-4.23_gdn", - "name": "guidance", - "prose": "Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction." - } - ] - }, - { - "id": "ac-4.24", - "class": "SP800-53-enhancement", - "title": "Internal Normalized Format", - "props": [ - { - "name": "label", - "value": "AC-4(24)" - }, - { - "name": "sort-id", - "value": "AC-04(24)" - } - ], - "parts": [ - { - "id": "ac-4.24_smt", - "name": "statement", - "prose": "When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification." - }, - { - "id": "ac-4.24_gdn", - "name": "guidance", - "prose": "Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration." - } - ] - }, - { - "id": "ac-4.25", - "class": "SP800-53-enhancement", - "title": "Data Sanitization", - "params": [ - { - "id": "ac-4.25_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "delivery of malicious content, command and control of malicious code, malicious code augmentation, and steganography encoded data", - "spillage of sensitive information" - ] - } - }, - { - "id": "ac-4.25_prm_2", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(25)" - }, - { - "name": "sort-id", - "value": "AC-04(25)" - } - ], - "parts": [ - { - "id": "ac-4.25_smt", - "name": "statement", - "prose": "When transferring information between different security domains, sanitize data to minimize {{ insert: param, ac-4.25_prm_1 }} in accordance with {{ insert: param, ac-4.25_prm_2 }}]." - }, - { - "id": "ac-4.25_gdn", - "name": "guidance", - "prose": "Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/SSDs, mobile devices, CDs, and DVDs) or in hard copy form." - } - ] - }, - { - "id": "ac-4.26", - "class": "SP800-53-enhancement", - "title": "Audit Filtering Actions", - "props": [ - { - "name": "label", - "value": "AC-4(26)" - }, - { - "name": "sort-id", - "value": "AC-04(26)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.26_smt", - "name": "statement", - "prose": "When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered." - }, - { - "id": "ac-4.26_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Content filtering actions and results of filtering actions are recorded for individual messages to ensure the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in AU-2. Audit records are generated in AU-12." - } - ] - }, - { - "id": "ac-4.27", - "class": "SP800-53-enhancement", - "title": "Redundant/independent Filtering Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-4(27)" - }, - { - "name": "sort-id", - "value": "AC-04(27)" - } - ], - "parts": [ - { - "id": "ac-4.27_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type." - }, - { - "id": "ac-4.27_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors\u2019 JPEG libraries) and multiple, independent system processes." - } - ] - }, - { - "id": "ac-4.28", - "class": "SP800-53-enhancement", - "title": "Linear Filter Pipelines", - "props": [ - { - "name": "label", - "value": "AC-4(28)" - }, - { - "name": "sort-id", - "value": "AC-04(28)" - } - ], - "parts": [ - { - "id": "ac-4.28_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls." - }, - { - "id": "ac-4.28_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces by-pass and non-invocation issues." - } - ] - }, - { - "id": "ac-4.29", - "class": "SP800-53-enhancement", - "title": "Filter Orchestration Engines", - "params": [ - { - "id": "ac-4.29_prm_1", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(29)" - }, - { - "name": "sort-id", - "value": "AC-04(29)" - } - ], - "parts": [ - { - "id": "ac-4.29_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, employ content filter orchestration engines to ensure that:", - "parts": [ - { - "id": "ac-4.29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Content filtering mechanisms successfully complete execution without errors; and" - }, - { - "id": "ac-4.29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Content filtering actions occur in the correct order and comply with {{ insert: param, ac-4.29_prm_1 }}." - } - ] - }, - { - "id": "ac-4.29_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due non-compliance with policy. Content filter reports are a commonly used mechanism to ensure expected filtering actions are completed successfully." - } - ] - }, - { - "id": "ac-4.30", - "class": "SP800-53-enhancement", - "title": "Filter Mechanisms Using Multiple Processes", - "props": [ - { - "name": "label", - "value": "AC-4(30)" - }, - { - "name": "sort-id", - "value": "AC-04(30)" - } - ], - "parts": [ - { - "id": "ac-4.30_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement content filtering mechanisms using multiple processes." - }, - { - "id": "ac-4.30_gdn", - "name": "guidance", - "prose": "The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure." - } - ] - }, - { - "id": "ac-4.31", - "class": "SP800-53-enhancement", - "title": "Failed Content Transfer Prevention", - "props": [ - { - "name": "label", - "value": "AC-4(31)" - }, - { - "name": "sort-id", - "value": "AC-04(31)" - } - ], - "parts": [ - { - "id": "ac-4.31_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, prevent the transfer of failed content to the receiving domain." - }, - { - "id": "ac-4.31_gdn", - "name": "guidance", - "prose": "Content that failed filtering checks, can corrupt the system if transferred to the receiving domain." - } - ] - }, - { - "id": "ac-4.32", - "class": "SP800-53-enhancement", - "title": "Process Requirements for Information Transfer", - "props": [ - { - "name": "label", - "value": "AC-4(32)" - }, - { - "name": "sort-id", - "value": "AC-04(32)" - } - ], - "parts": [ - { - "id": "ac-4.32_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, the process that transfers information between filter pipelines:", - "parts": [ - { - "id": "ac-4.32_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Does not filter message content;" - }, - { - "id": "ac-4.32_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Validates filtering metadata;" - }, - { - "id": "ac-4.32_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Ensures the content associated with the filtering metadata has successfully completed filtering; and" - }, - { - "id": "ac-4.32_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Transfers the content to the destination filter pipeline." - } - ] - }, - { - "id": "ac-4.32_gdn", - "name": "guidance", - "prose": "The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly." - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "params": [ - { - "id": "ac-5_prm_1", - "label": "organization-defined duties of individuals requiring separation" - } - ], - "props": [ - { - "name": "label", - "value": "AC-5" - }, - { - "name": "sort-id", - "value": "AC-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document {{ insert: param, ac-5_prm_1 }}; and" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define system access authorizations to support separation of duties." - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. This control is enforced through the account management activities in AC-2 and access control mechanisms in AC-3." - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "props": [ - { - "name": "label", - "value": "AC-6" - }, - { - "name": "sort-id", - "value": "AC-06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary, to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems." - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "params": [ - { - "id": "ac-6.1_prm_1", - "label": "organization-defined individuals or roles" - }, - { - "id": "ac-6.1_prm_2", - "label": "organization-defined security functions (deployed in hardware, software, and firmware)" - }, - { - "id": "ac-6.1_prm_3", - "label": "organization-defined security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(1)" - }, - { - "name": "sort-id", - "value": "AC-06(01)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "Explicitly authorize access for {{ insert: param, ac-6.1_prm_1 }} to:", - "parts": [ - { - "id": "ac-6.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_2 }}; and" - }, - { - "id": "ac-6.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_3 }}." - } - ] - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include establishing system accounts; configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Explicitly authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users." - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "params": [ - { - "id": "ac-6.2_prm_1", - "label": "organization-defined security functions or security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(2)" - }, - { - "name": "sort-id", - "value": "AC-06(02)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "Require that users of system accounts (or roles) with access to {{ insert: param, ac-6.2_prm_1 }}, use non-privileged accounts or roles, when accessing nonsecurity functions." - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "Requiring use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account." - } - ] - }, - { - "id": "ac-6.3", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Commands", - "params": [ - { - "id": "ac-6.3_prm_1", - "label": "organization-defined privileged commands" - }, - { - "id": "ac-6.3_prm_2", - "label": "organization-defined compelling operational needs" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(3)" - }, - { - "name": "sort-id", - "value": "AC-06(03)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.3_smt", - "name": "statement", - "prose": "Authorize network access to {{ insert: param, ac-6.3_prm_1 }} only for {{ insert: param, ac-6.3_prm_2 }} and document the rationale for such access in the security plan for the system." - }, - { - "id": "ac-6.3_gdn", - "name": "guidance", - "prose": "Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device)." - } - ] - }, - { - "id": "ac-6.4", - "class": "SP800-53-enhancement", - "title": "Separate Processing Domains", - "props": [ - { - "name": "label", - "value": "AC-6(4)" - }, - { - "name": "sort-id", - "value": "AC-06(04)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.4_smt", - "name": "statement", - "prose": "Provide separate processing domains to enable finer-grained allocation of user privileges." - }, - { - "id": "ac-6.4_gdn", - "name": "guidance", - "prose": "Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine; implementing separate physical domains, and employing hardware or software domain separation mechanisms." - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "params": [ - { - "id": "ac-6.5_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(5)" - }, - { - "name": "sort-id", - "value": "AC-06(05)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "Restrict privileged accounts on the system to {{ insert: param, ac-6.5_prm_1 }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk." - } - ] - }, - { - "id": "ac-6.6", - "class": "SP800-53-enhancement", - "title": "Privileged Access by Non-organizational Users", - "props": [ - { - "name": "label", - "value": "AC-6(6)" - }, - { - "name": "sort-id", - "value": "AC-06(06)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.6_smt", - "name": "statement", - "prose": "Prohibit privileged access to the system by non-organizational users." - }, - { - "id": "ac-6.6_gdn", - "name": "guidance", - "prose": "An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policy and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization." - } - ] - }, - { - "id": "ac-6.7", - "class": "SP800-53-enhancement", - "title": "Review of User Privileges", - "params": [ - { - "id": "ac-6.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ac-6.7_prm_2", - "label": "organization-defined roles or classes of users" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(7)" - }, - { - "name": "sort-id", - "value": "AC-06(07)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-6.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review {{ insert: param, ac-6.7_prm_1 }} the privileges assigned to {{ insert: param, ac-6.7_prm_2 }} to validate the need for such privileges; and" - }, - { - "id": "ac-6.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "id": "ac-6.7_gdn", - "name": "guidance", - "prose": "The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions." - } - ] - }, - { - "id": "ac-6.8", - "class": "SP800-53-enhancement", - "title": "Privilege Levels for Code Execution", - "params": [ - { - "id": "ac-6.8_prm_1", - "label": "organization-defined software" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(8)" - }, - { - "name": "sort-id", - "value": "AC-06(08)" - } - ], - "parts": [ - { - "id": "ac-6.8_smt", - "name": "statement", - "prose": "Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-6.8_prm_1 }}." - }, - { - "id": "ac-6.8_gdn", - "name": "guidance", - "prose": "In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned." - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Log Use of Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-6(9)" - }, - { - "name": "sort-id", - "value": "AC-06(09)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "Audit the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "The misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Capturing the use of privileged functions in audit logs is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat." - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-6(10)" - }, - { - "name": "sort-id", - "value": "AC-06(10)" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "Prevent non-privileged users from executing privileged functions." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include disabling, circumventing, or altering implemented security or privacy controls; establishing system accounts; performing system integrity checks; and administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. This control enhancement is enforced by AC-3." - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "params": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number" - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "ac-7_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "lock the account or node for an {{ insert: param, ac-7_prm_4 }} ", - "lock the account or node until released by an administrator", - "delay next logon prompt per {{ insert: param, ac-7_prm_5 }} ", - "notify system administrator", - "take other {{ insert: param, ac-7_prm_6 }} " - ] - } - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time-period" - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - }, - { - "id": "ac-7_prm_6", - "depends-on": "ac-7_prm_3", - "label": "organization-defined action" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "AC-07" - } - ], - "links": [ - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-7_prm_1 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ insert: param, ac-7_prm_3 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password; invoking a lockdown mode with limited user capabilities (instead of full lockout); or comparing the IP address to a list of known IP addresses for the user and then allowing additional logon attempts if the attempts are from a known IP address. Techniques to help prevent brute force attacks in lieu of an automatic system lockout or the execution of delay algorithms support the objective of availability while still protecting against such attacks. Techniques that are effective when used in combination include prompting the user to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded; allowing users to logon only from specified IP addresses; requiring a CAPTCHA to prevent automated attacks; or applying user profiles such as location, time of day, IP address, device, or MAC address. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need." - } - ], - "controls": [ - { - "id": "ac-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Account Lock", - "props": [ - { - "name": "label", - "value": "AC-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-07(01)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-7.2", - "class": "SP800-53-enhancement", - "title": "Purge or Wipe Mobile Device", - "params": [ - { - "id": "ac-7.2_prm_1", - "label": "organization-defined mobile devices" - }, - { - "id": "ac-7.2_prm_2", - "label": "organization-defined purging or wiping requirements and techniques" - }, - { - "id": "ac-7.2_prm_3", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(2)" - }, - { - "name": "sort-id", - "value": "AC-07(02)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.2_smt", - "name": "statement", - "prose": "Purge or wipe information from {{ insert: param, ac-7.2_prm_1 }} based on {{ insert: param, ac-7.2_prm_2 }} after {{ insert: param, ac-7.2_prm_3 }} consecutive, unsuccessful device logon attempts." - }, - { - "id": "ac-7.2_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms." - } - ] - }, - { - "id": "ac-7.3", - "class": "SP800-53-enhancement", - "title": "Biometric Attempt Limiting", - "params": [ - { - "id": "ac-7.3_prm_1", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(3)" - }, - { - "name": "sort-id", - "value": "AC-07(03)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.3_smt", - "name": "statement", - "prose": "Limit the number of unsuccessful biometric logon attempts to {{ insert: param, ac-7.3_prm_1 }}." - }, - { - "id": "ac-7.3_gdn", - "name": "guidance", - "prose": "Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on organizationally-defined factors." - } - ] - }, - { - "id": "ac-7.4", - "class": "SP800-53-enhancement", - "title": "Use of Alternate Factor", - "params": [ - { - "id": "ac-7.4_prm_1", - "label": "organization-defined authentication factors" - }, - { - "id": "ac-7.4_prm_2", - "label": "organization-defined number" - }, - { - "id": "ac-7.4_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(4)" - }, - { - "name": "sort-id", - "value": "AC-07(04)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allow the use of {{ insert: param, ac-7.4_prm_1 }} that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and" - }, - { - "id": "ac-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-7.4_prm_2 }} consecutive invalid logon attempts through use of the alternative factors by a user during a {{ insert: param, ac-7.4_prm_3 }}." - } - ] - }, - { - "id": "ac-7.4_gdn", - "name": "guidance", - "prose": "The use of alternate authentication factors supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout." - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "params": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner" - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "AC-08" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Display {{ insert: param, ac-8_prm_1 }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Display system use information {{ insert: param, ac-8_prm_2 }}, before granting further access to the publicly accessible system;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Include a description of the authorized uses of the system." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content." - } - ] - }, - { - "id": "ac-9", - "class": "SP800-53", - "title": "Previous Logon Notification", - "props": [ - { - "name": "label", - "value": "AC-9" - }, - { - "name": "sort-id", - "value": "AC-09" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-9_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon to the system, of the date and time of the last logon." - }, - { - "id": "ac-9_gdn", - "name": "guidance", - "prose": "Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user\u2019s last access." - } - ], - "controls": [ - { - "id": "ac-9.1", - "class": "SP800-53-enhancement", - "title": "Unsuccessful Logons", - "props": [ - { - "name": "label", - "value": "AC-9(1)" - }, - { - "name": "sort-id", - "value": "AC-09(01)" - } - ], - "parts": [ - { - "id": "ac-9.1_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "id": "ac-9.1_gdn", - "name": "guidance", - "prose": "Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user\u2019s actual logon attempts." - } - ] - }, - { - "id": "ac-9.2", - "class": "SP800-53-enhancement", - "title": "Successful and Unsuccessful Logons", - "params": [ - { - "id": "ac-9.2_prm_1", - "select": { - "choice": [ - "successful logons", - "unsuccessful logon attempts", - "both" - ] - } - }, - { - "id": "ac-9.2_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(2)" - }, - { - "name": "sort-id", - "value": "AC-09(02)" - } - ], - "parts": [ - { - "id": "ac-9.2_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of {{ insert: param, ac-9.2_prm_1 }} during {{ insert: param, ac-9.2_prm_2 }}." - }, - { - "id": "ac-9.2_gdn", - "name": "guidance", - "prose": "Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts is consistent with the user\u2019s actual logon attempts." - } - ] - }, - { - "id": "ac-9.3", - "class": "SP800-53-enhancement", - "title": "Notification of Account Changes", - "params": [ - { - "id": "ac-9.3_prm_1", - "label": "organization-defined security-related characteristics or parameters of the user\u2019s account" - }, - { - "id": "ac-9.3_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(3)" - }, - { - "name": "sort-id", - "value": "AC-09(03)" - } - ], - "parts": [ - { - "id": "ac-9.3_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of changes to {{ insert: param, ac-9.3_prm_1 }} during {{ insert: param, ac-9.3_prm_2 }}." - }, - { - "id": "ac-9.3_gdn", - "name": "guidance", - "prose": "Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge." - } - ] - }, - { - "id": "ac-9.4", - "class": "SP800-53-enhancement", - "title": "Additional Logon Information", - "params": [ - { - "id": "ac-9.4_prm_1", - "label": "organization-defined additional information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(4)" - }, - { - "name": "sort-id", - "value": "AC-09(04)" - } - ], - "parts": [ - { - "id": "ac-9.4_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the following additional information: {{ insert: param, ac-9.4_prm_1 }}." - }, - { - "id": "ac-9.4_gdn", - "name": "guidance", - "prose": "Organizations can specify additional information to be provided to users upon logon, including the location of last logon. User location is defined as that information which can be determined by systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers." - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "params": [ - { - "id": "ac-10_prm_1", - "label": "organization-defined account and/or account type" - }, - { - "id": "ac-10_prm_2", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "AC-10" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "Limit the number of concurrent sessions for each {{ insert: param, ac-10_prm_1 }} to {{ insert: param, ac-10_prm_2 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts." - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Device Lock", - "params": [ - { - "id": "ac-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "initiating a device lock after {{ insert: param, ac-11_prm_2 }} of inactivity", - "requiring the user to initiate a device lock before leaving the system unattended" - ] - } - }, - { - "id": "ac-11_prm_2", - "depends-on": "ac-11_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "AC-11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevent further access to the system by {{ insert: param, ac-11_prm_1 }}; and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the device lock until the user reestablishes access using established identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User initiated device locking is behavior or policy-based and as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays." - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "props": [ - { - "name": "label", - "value": "AC-11(1)" - }, - { - "name": "sort-id", - "value": "AC-11(01)" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "Conceal, via the device lock, information previously visible on the display with a publicly viewable image." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "The pattern-hiding display can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the caveat that controlled unclassified information is not displayed." - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "params": [ - { - "id": "ac-12_prm_1", - "label": "organization-defined conditions or trigger events requiring session disconnect" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "AC-12" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "Automatically terminate a user session after {{ insert: param, ac-12_prm_1 }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "Session termination addresses the termination of user-initiated logical sessions (in contrast to SC-10, which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user\u2019s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use." - } - ], - "controls": [ - { - "id": "ac-12.1", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts", - "params": [ - { - "id": "ac-12.1_prm_1", - "label": "organization-defined information resources" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(1)" - }, - { - "name": "sort-id", - "value": "AC-12(01)" - } - ], - "parts": [ - { - "id": "ac-12.1_smt", - "name": "statement", - "prose": "Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.1_prm_1 }}." - }, - { - "id": "ac-12.1_gdn", - "name": "guidance", - "prose": "Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services." - } - ] - }, - { - "id": "ac-12.2", - "class": "SP800-53-enhancement", - "title": "Termination Message", - "props": [ - { - "name": "label", - "value": "AC-12(2)" - }, - { - "name": "sort-id", - "value": "AC-12(02)" - } - ], - "parts": [ - { - "id": "ac-12.2_smt", - "name": "statement", - "prose": "Display an explicit logout message to users indicating the termination of authenticated communications sessions." - }, - { - "id": "ac-12.2_gdn", - "name": "guidance", - "prose": "Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions." - } - ] - }, - { - "id": "ac-12.3", - "class": "SP800-53-enhancement", - "title": "Timeout Warning Message", - "params": [ - { - "id": "ac-12.3_prm_1", - "label": "organization-defined time until end of session" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(3)" - }, - { - "name": "sort-id", - "value": "AC-12(03)" - } - ], - "parts": [ - { - "id": "ac-12.3_smt", - "name": "statement", - "prose": "Display an explicit message to users indicating that the session will end in {{ insert: param, ac-12.3_prm_1 }}." - }, - { - "id": "ac-12.3_gdn", - "name": "guidance", - "prose": "To increase usability, notify users of pending session termination and prompt users to continue the session." - } - ] - } - ] - }, - { - "id": "ac-13", - "class": "SP800-53", - "title": "Supervision and Review \u2014 Access Control", - "props": [ - { - "name": "label", - "value": "AC-13" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-13" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "params": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "AC-14" - } - ], - "links": [ - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify {{ insert: param, ac-14_prm_1 }} that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication is not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems; when individuals use mobile phones to receive calls; or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication and therefore, the value for the assignment can be none." - } - ], - "controls": [ - { - "id": "ac-14.1", - "class": "SP800-53-enhancement", - "title": "Necessary Uses", - "props": [ - { - "name": "label", - "value": "AC-14(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-14(01)" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ac-15", - "class": "SP800-53", - "title": "Automated Marking", - "props": [ - { - "name": "label", - "value": "AC-15" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-15" - } - ], - "links": [ - { - "href": "#mp-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-16", - "class": "SP800-53", - "title": "Security and Privacy Attributes", - "params": [ - { - "id": "ac-16_prm_1", - "label": "organization-defined types of security and privacy attributes" - }, - { - "id": "ac-16_prm_2", - "label": "organization-defined security and privacy attribute values" - }, - { - "id": "ac-16_prm_3", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_4", - "label": "organization-defined systems" - }, - { - "id": "ac-16_prm_5", - "label": "organization-defined values or ranges" - }, - { - "id": "ac-16_prm_6", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_7", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16" - }, - { - "name": "sort-id", - "value": "AC-16" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16_smt", - "name": "statement", - "parts": [ - { - "id": "ac-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the means to associate {{ insert: param, ac-16_prm_1 }} having {{ insert: param, ac-16_prm_2 }} with information in storage, in process, and/or in transmission;" - }, - { - "id": "ac-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the attribute associations are made and retained with the information;" - }, - { - "id": "ac-16_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish the permitted {{ insert: param, ac-16_prm_3 }} for {{ insert: param, ac-16_prm_4 }};" - }, - { - "id": "ac-16_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determine the permitted {{ insert: param, ac-16_prm_5 }} for each of the established attributes;" - }, - { - "id": "ac-16_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Audit changes to attributes; and" - }, - { - "id": "ac-16_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Review {{ insert: param, ac-16_prm_6 }} for applicability {{ insert: param, ac-16_prm_7 }}." - } - ] - }, - { - "id": "ac-16_gdn", - "name": "guidance", - "prose": "Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. Release markings include US only, NATO (North Atlantic Treaty Organization), or NOFORN (not releasable to foreign nationals). By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements; access authorizations; nationality; data life cycle protection (i.e., encryption and data expiration); personally identifiable information processing permissions; individual consent to personally identifiable information processing; and affiliation as a contractor. Conversely, marking refers to the association of attributes with objects in a human-readable form. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret." - } - ], - "controls": [ - { - "id": "ac-16.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Attribute Association", - "params": [ - { - "id": "ac-16.1_prm_1", - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.1_prm_2", - "label": "organization-defined security and privacy policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(1)" - }, - { - "name": "sort-id", - "value": "AC-16(01)" - } - ], - "parts": [ - { - "id": "ac-16.1_smt", - "name": "statement", - "prose": "Dynamically associate security and privacy attributes with {{ insert: param, ac-16.1_prm_1 }} in accordance with the following security and privacy policies as information is created and combined: {{ insert: param, ac-16.1_prm_2 }}." - }, - { - "id": "ac-16.1_gdn", - "name": "guidance", - "prose": "Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements); changes in individual access authorizations (i.e., privileges); changes in the security category of information; or changes in security or privacy policies. Attributes may also change situationally." - } - ] - }, - { - "id": "ac-16.2", - "class": "SP800-53-enhancement", - "title": "Attribute Value Changes by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(2)" - }, - { - "name": "sort-id", - "value": "AC-16(02)" - } - ], - "parts": [ - { - "id": "ac-16.2_smt", - "name": "statement", - "prose": "Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes." - }, - { - "id": "ac-16.2_gdn", - "name": "guidance", - "prose": "The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals." - } - ] - }, - { - "id": "ac-16.3", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Associations by System", - "params": [ - { - "id": "ac-16.3_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.3_prm_2", - "label": "organization-defined subjects and objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(3)" - }, - { - "name": "sort-id", - "value": "AC-16(03)" - } - ], - "parts": [ - { - "id": "ac-16.3_smt", - "name": "statement", - "prose": "Maintain the association and integrity of {{ insert: param, ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - }, - { - "id": "ac-16.3_gdn", - "name": "guidance", - "prose": "Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from \u201cknown good\u201d baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions." - } - ] - }, - { - "id": "ac-16.4", - "class": "SP800-53-enhancement", - "title": "Association of Attributes by Authorized Individuals", - "params": [ - { - "id": "ac-16.4_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.4_prm_2", - "label": "organization-defined subjects and objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(4)" - }, - { - "name": "sort-id", - "value": "AC-16(04)" - } - ], - "parts": [ - { - "id": "ac-16.4_smt", - "name": "statement", - "prose": "Provide the capability to associate {{ insert: param, ac-16.4_prm_1 }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals (or processes acting on behalf of individuals)." - }, - { - "id": "ac-16.4_gdn", - "name": "guidance", - "prose": "Systems in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects; employing automated mechanisms to categorize information with attributes based on defined policies; or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events." - } - ] - }, - { - "id": "ac-16.5", - "class": "SP800-53-enhancement", - "title": "Attribute Displays for Output Devices", - "params": [ - { - "id": "ac-16.5_prm_1", - "label": "organization-defined special dissemination, handling, or distribution instructions" - }, - { - "id": "ac-16.5_prm_2", - "label": "organization-defined human-readable, standard naming conventions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(5)" - }, - { - "name": "sort-id", - "value": "AC-16(05)" - } - ], - "parts": [ - { - "id": "ac-16.5_smt", - "name": "statement", - "prose": "Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.5_prm_1 }} using {{ insert: param, ac-16.5_prm_2 }}." - }, - { - "id": "ac-16.5_gdn", - "name": "guidance", - "prose": "System outputs include printed pages, screens, or equivalent. System output devices include printers, notebook computers, video displays, tablets, and smartphones. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber." - } - ] - }, - { - "id": "ac-16.6", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Association by Organization", - "params": [ - { - "id": "ac-16.6_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.6_prm_2", - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.6_prm_3", - "label": "organization-defined security and privacy policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(6)" - }, - { - "name": "sort-id", - "value": "AC-16(06)" - } - ], - "parts": [ - { - "id": "ac-16.6_smt", - "name": "statement", - "prose": "Require personnel to associate and maintain the association of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param, ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3 }}." - }, - { - "id": "ac-16.6_gdn", - "name": "guidance", - "prose": "This control enhancement requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects." - } - ] - }, - { - "id": "ac-16.7", - "class": "SP800-53-enhancement", - "title": "Consistent Attribute Interpretation", - "props": [ - { - "name": "label", - "value": "AC-16(7)" - }, - { - "name": "sort-id", - "value": "AC-16(07)" - } - ], - "parts": [ - { - "id": "ac-16.7_smt", - "name": "statement", - "prose": "Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components." - }, - { - "id": "ac-16.7_gdn", - "name": "guidance", - "prose": "To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions." - } - ] - }, - { - "id": "ac-16.8", - "class": "SP800-53-enhancement", - "title": "Association Techniques and Technologies", - "params": [ - { - "id": "ac-16.8_prm_1", - "label": "organization-defined techniques and technologies" - }, - { - "id": "ac-16.8_prm_2", - "label": "organization-defined level of assurance" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(8)" - }, - { - "name": "sort-id", - "value": "AC-16(08)" - } - ], - "parts": [ - { - "id": "ac-16.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-16.8_prm_1 }} with {{ insert: param, ac-16.8_prm_2 }} in associating security and privacy attributes to information." - }, - { - "id": "ac-16.8_gdn", - "name": "guidance", - "prose": "The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can bind attributes to information cryptographically using digital signatures supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust)." - } - ] - }, - { - "id": "ac-16.9", - "class": "SP800-53-enhancement", - "title": "Attribute Reassignment \u2014 Regrading Mechanisms", - "params": [ - { - "id": "ac-16.9_prm_1", - "label": "organization-defined techniques or procedures" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(9)" - }, - { - "name": "sort-id", - "value": "AC-16(09)" - } - ], - "parts": [ - { - "id": "ac-16.9_smt", - "name": "statement", - "prose": "Change security and privacy attributes associated with information only via regrading mechanisms validated using {{ insert: param, ac-16.9_prm_1 }}." - }, - { - "id": "ac-16.9_gdn", - "name": "guidance", - "prose": "A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation." - } - ] - }, - { - "id": "ac-16.10", - "class": "SP800-53-enhancement", - "title": "Attribute Configuration by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(10)" - }, - { - "name": "sort-id", - "value": "AC-16(10)" - } - ], - "parts": [ - { - "id": "ac-16.10_smt", - "name": "statement", - "prose": "Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects." - }, - { - "id": "ac-16.10_gdn", - "name": "guidance", - "prose": "The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only." - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "props": [ - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "AC-17" - } - ], - "links": [ - { - "href": "#7768c184-088d-4ee8-a316-f9286b52df7f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "rel": "reference" - }, - { - "href": "#60b24979-65b8-4ca5-a442-11b74339fab5", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of remote access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote access is addressed via AC-3." - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Monitoring and Control", - "props": [ - { - "name": "label", - "value": "AC-17(1)" - }, - { - "name": "sort-id", - "value": "AC-17(01)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to monitor and control remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by AU-2. Audit events are defined in AU-2a." - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality and Integrity Using Encryption", - "props": [ - { - "name": "label", - "value": "AC-17(2)" - }, - { - "name": "sort-id", - "value": "AC-17(02)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions." - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "props": [ - { - "name": "label", - "value": "AC-17(3)" - }, - { - "name": "sort-id", - "value": "AC-17(03)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "Route remote accesses through authorized and managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Organizations consider the Trusted Internet Connections initiative [DHS TIC] requirements for external network connections since limiting the number of access control points for remote accesses reduces attack surface." - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands and Access", - "params": [ - { - "id": "ac-17.4_prm_1", - "label": "organization-defined needs" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(4)" - }, - { - "name": "sort-id", - "value": "AC-17(04)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }}; and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document the rationale for remote access in the security plan for the system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "prose": "Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability." - } - ] - }, - { - "id": "ac-17.5", - "class": "SP800-53-enhancement", - "title": "Monitoring for Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-17(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(05)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.6", - "class": "SP800-53-enhancement", - "title": "Protection of Mechanism Information", - "props": [ - { - "name": "label", - "value": "AC-17(6)" - }, - { - "name": "sort-id", - "value": "AC-17(06)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.6_smt", - "name": "statement", - "prose": "Protect information about remote access mechanisms from unauthorized use and disclosure." - }, - { - "id": "ac-17.6_gdn", - "name": "guidance", - "prose": "Remote access to organizational information by nonorganizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see PL-4) and access agreements (see PS-6)." - } - ] - }, - { - "id": "ac-17.7", - "class": "SP800-53-enhancement", - "title": "Additional Protection for Security Function Access", - "props": [ - { - "name": "label", - "value": "AC-17(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(07)" - } - ], - "links": [ - { - "href": "#ac-3.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.8", - "class": "SP800-53-enhancement", - "title": "Disable Nonsecure Network Protocols", - "props": [ - { - "name": "label", - "value": "AC-17(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(08)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect or Disable Access", - "params": [ - { - "id": "ac-17.9_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(9)" - }, - { - "name": "sort-id", - "value": "AC-17(09)" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "Provide the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.9_prm_1 }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems." - } - ] - }, - { - "id": "ac-17.10", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "ac-17.10_prm_1", - "label": "organization-defined controls" - }, - { - "id": "ac-17.10_prm_2", - "label": "organization-defined remote commands" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(10)" - }, - { - "name": "sort-id", - "value": "AC-17(10)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.10_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-17.10_prm_1 }} to authenticate {{ insert: param, ac-17.10_prm_2 }}." - }, - { - "id": "ac-17.10_gdn", - "name": "guidance", - "prose": "Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The capability to authenticate remote commands is important for remote systems whose loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, including injury or death; property damage; loss of high value assets; failure of missions or business functions; or compromise of classified or controlled unclassified information. Authentication controls for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands." - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "props": [ - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "AC-18" - } - ], - "links": [ - { - "href": "#41e2e2c6-2260-4258-85c8-09db17c43103", - "rel": "reference" - }, - { - "href": "#6bed1550-cd5d-4e80-8d83-4e597c1514fe", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of wireless access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide credential protection and mutual authentication." - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "params": [ - { - "id": "ac-18.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "users", - "devices" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-18(1)" - }, - { - "name": "sort-id", - "value": "AC-18(01)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "Protect wireless access to the system using authentication of {{ insert: param, ac-18.1_prm_1 }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices with encryption can reduce susceptibility to threats by adversaries involving wireless technologies." - } - ] - }, - { - "id": "ac-18.2", - "class": "SP800-53-enhancement", - "title": "Monitoring Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-18(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-18(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-18.3", - "class": "SP800-53-enhancement", - "title": "Disable Wireless Networking", - "props": [ - { - "name": "label", - "value": "AC-18(3)" - }, - { - "name": "sort-id", - "value": "AC-18(03)" - } - ], - "parts": [ - { - "id": "ac-18.3_smt", - "name": "statement", - "prose": "Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment." - }, - { - "id": "ac-18.3_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies." - } - ] - }, - { - "id": "ac-18.4", - "class": "SP800-53-enhancement", - "title": "Restrict Configurations by Users", - "props": [ - { - "name": "label", - "value": "AC-18(4)" - }, - { - "name": "sort-id", - "value": "AC-18(04)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.4_smt", - "name": "statement", - "prose": "Identify and explicitly authorize users allowed to independently configure wireless networking capabilities." - }, - { - "id": "ac-18.4_gdn", - "name": "guidance", - "prose": "Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems." - } - ] - }, - { - "id": "ac-18.5", - "class": "SP800-53-enhancement", - "title": "Antennas and Transmission Power Levels", - "props": [ - { - "name": "label", - "value": "AC-18(5)" - }, - { - "name": "sort-id", - "value": "AC-18(05)" - } - ], - "links": [ - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.5_smt", - "name": "statement", - "prose": "Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - }, - { - "id": "ac-18.5_gdn", - "name": "guidance", - "prose": "Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area." - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "props": [ - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "AC-19" - } - ], - "links": [ - { - "href": "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize the connection of mobile devices to organizational systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending upon the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems. Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many controls for mobile devices are reflected in other controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled." - } - ], - "controls": [ - { - "id": "ac-19.1", - "class": "SP800-53-enhancement", - "title": "Use of Writable and Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(01)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.2", - "class": "SP800-53-enhancement", - "title": "Use of Personally Owned Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(02)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.3", - "class": "SP800-53-enhancement", - "title": "Use of Portable Storage Devices with No Identifiable Owner", - "props": [ - { - "name": "label", - "value": "AC-19(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(03)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.4", - "class": "SP800-53-enhancement", - "title": "Restrictions for Classified Information", - "params": [ - { - "id": "ac-19.4_prm_1", - "label": "organization-defined security officials" - }, - { - "id": "ac-19.4_prm_2", - "label": "organization-defined security policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(4)" - }, - { - "name": "sort-id", - "value": "AC-19(04)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and" - }, - { - "id": "ac-19.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:", - "parts": [ - { - "id": "ac-19.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Connection of unclassified mobile devices to classified systems is prohibited;" - }, - { - "id": "ac-19.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;" - }, - { - "id": "ac-19.4_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(3)" - } - ], - "prose": "Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and" - }, - { - "id": "ac-19.4_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(4)" - } - ], - "prose": "Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by {{ insert: param, ac-19.4_prm_1 }}, and if classified information is found, the incident handling policy is followed." - } - ] - }, - { - "id": "ac-19.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Restrict the connection of classified mobile devices to classified systems in accordance with {{ insert: param, ac-19.4_prm_2 }}." - } - ] - }, - { - "id": "ac-19.4_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device and Container-based Encryption", - "params": [ - { - "id": "ac-19.5_prm_1", - "select": { - "choice": [ - "full-device encryption", - "container-based encryption" - ] - } - }, - { - "id": "ac-19.5_prm_2", - "label": "organization-defined mobile devices" - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(5)" - }, - { - "name": "sort-id", - "value": "AC-19(05)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-19.5_prm_1 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.5_prm_2 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields." - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Systems", - "params": [ - { - "id": "ac-20_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ac-20_prm_2 }} ", - " {{ insert: param, ac-20_prm_3 }} " - ] - } - }, - { - "id": "ac-20_prm_2", - "depends-on": "ac-20_prm_1", - "label": "organization-defined terms and conditions" - }, - { - "id": "ac-20_prm_3", - "depends-on": "ac-20_prm_1", - "label": "organization-defined controls asserted to be implemented on external systems" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "AC-20" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "Establish {{ insert: param, ac-20_prm_1 }}, consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the system from external systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External systems are systems that are used by, but not a part of, organizational systems and for which the organization has no direct control over the implementation of required security and privacy controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. External systems also include systems owned or operated by other components within the same organization, and systems within the organization with different authorization boundaries. For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components, or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems." - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits on Authorized Use", - "props": [ - { - "name": "label", - "value": "AC-20(1)" - }, - { - "name": "sort-id", - "value": "AC-20(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verification of the implementation of controls on the external system as specified in the organization\u2019s security and privacy policies and security and privacy plans; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retention of approved system connection or processing agreements with the organizational entity hosting the external system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "Limits on authorized use recognizes the circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations." - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices \u2014 Restricted Use", - "params": [ - { - "id": "ac-20.2_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(2)" - }, - { - "name": "sort-id", - "value": "AC-20(02)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.2_prm_1 }}." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used." - } - ] - }, - { - "id": "ac-20.3", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems \u2014 Restricted Use", - "params": [ - { - "id": "ac-20.3_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(3)" - }, - { - "name": "sort-id", - "value": "AC-20(03)" - } - ], - "parts": [ - { - "id": "ac-20.3_smt", - "name": "statement", - "prose": "Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using {{ insert: param, ac-20.3_prm_1 }}." - }, - { - "id": "ac-20.3_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use (see AC-20(6)). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident." - } - ] - }, - { - "id": "ac-20.4", - "class": "SP800-53-enhancement", - "title": "Network Accessible Storage Devices", - "params": [ - { - "id": "ac-20.4_prm_1", - "label": "organization-defined network accessible storage devices" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(4)" - }, - { - "name": "sort-id", - "value": "AC-20(04)" - } - ], - "parts": [ - { - "id": "ac-20.4_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-20.4_prm_1 }} in external systems." - }, - { - "id": "ac-20.4_gdn", - "name": "guidance", - "prose": "Network accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems." - } - ] - }, - { - "id": "ac-20.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices \u2014 Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(5)" - }, - { - "name": "sort-id", - "value": "AC-20(05)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.5_smt", - "name": "statement", - "prose": "Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems." - }, - { - "id": "ac-20.5_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices." - } - ] - }, - { - "id": "ac-20.6", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems \u2014 Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(6)" - }, - { - "name": "sort-id", - "value": "AC-20(06)" - } - ], - "parts": [ - { - "id": "ac-20.6_smt", - "name": "statement", - "prose": "Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information." - }, - { - "id": "ac-20.6_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way (see AC-20(4))." - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "params": [ - { - "id": "ac-21_prm_1", - "label": "organization-defined information sharing circumstances where user discretion is required" - }, - { - "id": "ac-21_prm_2", - "label": "organization-defined automated mechanisms or manual processes" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "AC-21" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information\u2019s access and use restrictions for {{ insert: param, ac-21_prm_1 }}; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ {{ insert: param, ac-21_prm_2 }} to assist users in making information sharing and collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA)." - } - ], - "controls": [ - { - "id": "ac-21.1", - "class": "SP800-53-enhancement", - "title": "Automated Decision Support", - "params": [ - { - "id": "ac-21.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(1)" - }, - { - "name": "sort-id", - "value": "AC-21(01)" - } - ], - "parts": [ - { - "id": "ac-21.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-21.1_prm_1 }} to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "id": "ac-21.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms are used to enforce information sharing decisions." - } - ] - }, - { - "id": "ac-21.2", - "class": "SP800-53-enhancement", - "title": "Information Search and Retrieval", - "params": [ - { - "id": "ac-21.2_prm_1", - "label": "organization-defined information sharing restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(2)" - }, - { - "name": "sort-id", - "value": "AC-21(02)" - } - ], - "parts": [ - { - "id": "ac-21.2_smt", - "name": "statement", - "prose": "Implement information search and retrieval services that enforce {{ insert: param, ac-21.2_prm_1 }}." - }, - { - "id": "ac-21.2_gdn", - "name": "guidance", - "prose": "Information search and retrieval services identify information system resources relevant to an information need." - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "params": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "AC-22" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designate individuals authorized to make information publicly accessible;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the content on the publicly accessible system for nonpublic information {{ insert: param, ac-22_prm_1 }} and remove such information, if discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT] and proprietary information. This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, this control addresses the management of the individuals who make such information publicly accessible." - } - ] - }, - { - "id": "ac-23", - "class": "SP800-53", - "title": "Data Mining Protection", - "params": [ - { - "id": "ac-23_prm_1", - "label": "organization-defined data mining prevention and detection techniques" - }, - { - "id": "ac-23_prm_2", - "label": "organization-defined data storage objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-23" - }, - { - "name": "sort-id", - "value": "AC-23" - } - ], - "links": [ - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-23_prm_1 }} for {{ insert: param, ac-23_prm_2 }} to detect and protect against unauthorized data mining." - }, - { - "id": "ac-23_gdn", - "name": "guidance", - "prose": "Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. Data mining prevention and detection techniques include limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; limiting types of responses provided to database queries; applying differential privacy techniques or homomorphic encryption; and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open source information residing on external sites, for example, through social networking or social media websites. [EO 13587] requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. This control requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining, which can be used by an insider to collect organizational information for the purpose of exfiltration." - } - ] - }, - { - "id": "ac-24", - "class": "SP800-53", - "title": "Access Control Decisions", - "params": [ - { - "id": "ac-24_prm_1", - "select": { - "choice": [ - "Establish procedures", - "Implement mechanisms" - ] - } - }, - { - "id": "ac-24_prm_2", - "label": "organization-defined access control decisions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24" - }, - { - "name": "sort-id", - "value": "AC-24" - } - ], - "links": [ - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24_smt", - "name": "statement", - "prose": "{{ insert: param, ac-24_prm_1 }} to ensure {{ insert: param, ac-24_prm_2 }} are applied to each access request prior to access enforcement." - }, - { - "id": "ac-24_gdn", - "name": "guidance", - "prose": "Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may perform access control decisions and access enforcement." - } - ], - "controls": [ - { - "id": "ac-24.1", - "class": "SP800-53-enhancement", - "title": "Transmit Access Authorization Information", - "params": [ - { - "id": "ac-24.1_prm_1", - "label": "organization-defined access authorization information" - }, - { - "id": "ac-24.1_prm_2", - "label": "organization-defined controls" - }, - { - "id": "ac-24.1_prm_3", - "label": "organization-defined systems" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(1)" - }, - { - "name": "sort-id", - "value": "AC-24(01)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24.1_smt", - "name": "statement", - "prose": "Transmit {{ insert: param, ac-24.1_prm_1 }} using {{ insert: param, ac-24.1_prm_2 }} to {{ insert: param, ac-24.1_prm_3 }} that enforce access control decisions." - }, - { - "id": "ac-24.1_gdn", - "name": "guidance", - "prose": "Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission." - } - ] - }, - { - "id": "ac-24.2", - "class": "SP800-53-enhancement", - "title": "No User or Process Identity", - "params": [ - { - "id": "ac-24.2_prm_1", - "label": "organization-defined security or privacy attributes" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(2)" - }, - { - "name": "sort-id", - "value": "AC-24(02)" - } - ], - "parts": [ - { - "id": "ac-24.2_smt", - "name": "statement", - "prose": "Enforce access control decisions based on {{ insert: param, ac-24.2_prm_1 }} that do not include the identity of the user or process acting on behalf of the user." - }, - { - "id": "ac-24.2_gdn", - "name": "guidance", - "prose": "In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute." - } - ] - } - ] - }, - { - "id": "ac-25", - "class": "SP800-53", - "title": "Reference Monitor", - "params": [ - { - "id": "ac-25_prm_1", - "label": "organization-defined access control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-25" - }, - { - "name": "sort-id", - "value": "AC-25" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-25_smt", - "name": "statement", - "prose": "Implement a reference monitor for {{ insert: param, ac-25_prm_1 }} that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "id": "ac-25_gdn", - "name": "guidance", - "prose": "A reference monitor is a set of design requirements on a reference validation mechanism that as key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked (i.e., complete mediation); tamperproof; and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents determined adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy." - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "at-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "at-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "at-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "AT-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, at-1_prm_2 }} awareness and training policy that:", - "parts": [ - { - "id": "at-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "at-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, at-1_prm_3 }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and" - }, - { - "id": "at-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current awareness and training:", - "parts": [ - { - "id": "at-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, at-1_prm_4 }}; and" - }, - { - "id": "at-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, at-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Awareness Training", - "params": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "at-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "AT-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide security and privacy awareness training to system users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "As part of initial training for new users and {{ insert: param, at-2_prm_1 }} thereafter; and" - }, - { - "id": "at-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required by system changes; and" - } - ] - }, - { - "id": "at-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update awareness training {{ insert: param, at-2_prm_2 }}." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations provide foundational and advanced levels of awareness training to system users, including measures to test the knowledge level of users. Organizations determine the content of awareness training based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy and actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information. Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Awareness training after the initial training described in AT-2a.1, is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent awareness training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes; changes to organizational security and privacy policies; revised security and privacy expectations; or a subset of topics from the initial training. Updating awareness training on a regular basis helps to ensure the content remains relevant and effective." - } - ], - "controls": [ - { - "id": "at-2.1", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-2(1)" - }, - { - "name": "sort-id", - "value": "AT-02(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.1_smt", - "name": "statement", - "prose": "Provide practical exercises in awareness training that simulate events and incidents." - }, - { - "id": "at-2.1_gdn", - "name": "guidance", - "prose": "Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments; or invoking, via spear phishing attacks, malicious web links." - } - ] - }, - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "props": [ - { - "name": "label", - "value": "AT-2(2)" - }, - { - "name": "sort-id", - "value": "AT-02(02)" - } - ], - "links": [ - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing and reporting potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or sexual harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Awareness training includes how to communicate concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in behavior of team members, while training for employees may be focused on more general observations." - } - ] - }, - { - "id": "at-2.3", - "class": "SP800-53-enhancement", - "title": "Social Engineering and Mining", - "props": [ - { - "name": "label", - "value": "AT-2(3)" - }, - { - "name": "sort-id", - "value": "AT-02(03)" - } - ], - "parts": [ - { - "id": "at-2.3_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing and reporting potential and actual instances of social engineering and social mining." - }, - { - "id": "at-2.3_gdn", - "name": "guidance", - "prose": "Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Awareness training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures." - } - ] - }, - { - "id": "at-2.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "params": [ - { - "id": "at-2.4_prm_1", - "label": "organization-defined indicators of malicious code" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2(4)" - }, - { - "name": "sort-id", - "value": "AT-02(04)" - } - ], - "parts": [ - { - "id": "at-2.4_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-2.4_prm_1 }}." - }, - { - "id": "at-2.4_gdn", - "name": "guidance", - "prose": "A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations." - } - ] - }, - { - "id": "at-2.5", - "class": "SP800-53-enhancement", - "title": "Breach", - "props": [ - { - "name": "label", - "value": "AT-2(5)" - }, - { - "name": "sort-id", - "value": "AT-02(05)" - } - ], - "links": [ - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.5_smt", - "name": "statement", - "prose": "Provide awareness training on how to identify and respond to a breach, including the organization\u2019s process for reporting a breach." - }, - { - "id": "at-2.5_gdn", - "name": "guidance", - "prose": "A breach is a type of incident that involves personally identifiable information. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The awareness training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Awareness training includes tabletop exercises that simulate a breach." - } - ] - }, - { - "id": "at-2.6", - "class": "SP800-53-enhancement", - "title": "Advanced Persistent Threat", - "props": [ - { - "name": "label", - "value": "AT-2(6)" - }, - { - "name": "sort-id", - "value": "AT-02(06)" - } - ], - "parts": [ - { - "id": "at-2.6_smt", - "name": "statement", - "prose": "Provide awareness training on the advanced persistent threat." - }, - { - "id": "at-2.6_gdn", - "name": "guidance", - "prose": "An effective way to detect advanced persistent threats (APT) and to preclude success attacks is to provide specific awareness training for individuals. Threat awareness training includes educating individuals on the various ways APTs can infiltrate into the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home." - } - ] - }, - { - "id": "at-2.7", - "class": "SP800-53-enhancement", - "title": "Cyber Threat Environment", - "props": [ - { - "name": "label", - "value": "AT-2(7)" - }, - { - "name": "sort-id", - "value": "AT-02(07)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "at-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide awareness training on the cyber threat environment; and" - }, - { - "id": "at-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reflect current cyber threat information in system operations." - } - ] - }, - { - "id": "at-2.7_gdn", - "name": "guidance", - "prose": "Since threats continue to change over time, the threat awareness training by the organization is dynamic. Moreover, threat awareness training is not performed in isolation from the system operations that support organizational missions and business functions." - } - ] - }, - { - "id": "at-2.8", - "class": "SP800-53-enhancement", - "title": "Training Feedback", - "params": [ - { - "id": "at-2.8_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "at-2.8_prm_2", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2(8)" - }, - { - "name": "sort-id", - "value": "AT-02(08)" - } - ], - "parts": [ - { - "id": "at-2.8_smt", - "name": "statement", - "prose": "Provide feedback on organizational training results to the following personnel {{ insert: param, at-2.8_prm_1 }}: {{ insert: param, at-2.8_prm_2 }}." - }, - { - "id": "at-2.8_gdn", - "name": "guidance", - "prose": "Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the assessment and update of organization training described in AT-2b." - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Training", - "params": [ - { - "id": "at-3_prm_1", - "label": "organization-defined roles and responsibilities" - }, - { - "id": "at-3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "at-3_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "AT-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ir-10", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, at-3_prm_1 }}:", - "parts": [ - { - "id": "at-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, at-3_prm_2 }} thereafter; and" - }, - { - "id": "at-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required by system changes; and" - } - ] - }, - { - "id": "at-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update role-based training {{ insert: param, at-3_prm_3 }}." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the content of training based on the assigned roles and responsibilities of individuals and the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational security and privacy programs. Role-based training also applies to contractors providing services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure the content remains relevant and effective." - } - ], - "controls": [ - { - "id": "at-3.1", - "class": "SP800-53-enhancement", - "title": "Environmental Controls", - "params": [ - { - "id": "at-3.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(1)" - }, - { - "name": "sort-id", - "value": "AT-03(01)" - } - ], - "links": [ - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.1_prm_1 }} with initial and {{ insert: param, at-3.1_prm_2 }} training in the employment and operation of environmental controls." - }, - { - "id": "at-3.1_gdn", - "name": "guidance", - "prose": "Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, and air conditioning, and power within the facility." - } - ] - }, - { - "id": "at-3.2", - "class": "SP800-53-enhancement", - "title": "Physical Security Controls", - "params": [ - { - "id": "at-3.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(2)" - }, - { - "name": "sort-id", - "value": "AT-03(02)" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.2_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.2_prm_1 }} with initial and {{ insert: param, at-3.2_prm_2 }} training in the employment and operation of physical security controls." - }, - { - "id": "at-3.2_gdn", - "name": "guidance", - "prose": "Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment." - } - ] - }, - { - "id": "at-3.3", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-3(3)" - }, - { - "name": "sort-id", - "value": "AT-03(03)" - } - ], - "parts": [ - { - "id": "at-3.3_smt", - "name": "statement", - "prose": "Provide practical exercises in security and privacy training that reinforce training objectives." - }, - { - "id": "at-3.3_gdn", - "name": "guidance", - "prose": "Practical exercises for security include training for software developers that addresses simulated attacks exploiting common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on handling personally identifiable information in various scenarios, or scenarios on conducting privacy impact assessments." - } - ] - }, - { - "id": "at-3.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "props": [ - { - "name": "label", - "value": "AT-3(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AT-03(04)" - } - ], - "links": [ - { - "href": "#at-2.4", - "rel": "moved-to" - } - ] - }, - { - "id": "at-3.5", - "class": "SP800-53-enhancement", - "title": "Accessing Personally Identifiable Information", - "params": [ - { - "id": "at-3.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.5_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(5)" - }, - { - "name": "sort-id", - "value": "AT-03(05)" - } - ], - "parts": [ - { - "id": "at-3.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.5_prm_1 }} with initial and {{ insert: param, at-3.5_prm_2 }} training on:", - "parts": [ - { - "id": "at-3.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Organizational authority for collecting personally identifiable information;" - }, - { - "id": "at-3.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Authorized uses of personally identifiable information;" - }, - { - "id": "at-3.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identifying, reporting, and responding to a suspected or confirmed breach;" - }, - { - "id": "at-3.5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Content of system of records notices, computer matching agreements, and privacy impact assessments;" - }, - { - "id": "at-3.5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Authorized sharing of personally identifiable information with external parties; and" - }, - { - "id": "at-3.5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Rules of behavior and the consequences for unauthorized collection, use, or sharing of personally identifiable information." - } - ] - }, - { - "id": "at-3.5_gdn", - "name": "guidance", - "prose": "Role-based training addresses the responsibility of individuals when accessing personally identifiable information; the organization\u2019s established rules of behavior when accessing personally identifiable information; the consequences for violating the rules of behavior; and how to respond to a breach. Role-based training helps ensure personnel comply with applicable privacy requirements and is necessary to manage privacy risks." - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Training Records", - "params": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "AT-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain individual training records for {{ insert: param, at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies." - } - ] - }, - { - "id": "at-5", - "class": "SP800-53", - "title": "Contacts with Security Groups and Associations", - "props": [ - { - "name": "label", - "value": "AT-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AT-05" - } - ], - "links": [ - { - "href": "#pm-15", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "au-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "au-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "au-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "AU-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, au-1_prm_2 }} audit and accountability policy that:", - "parts": [ - { - "id": "au-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "au-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, au-1_prm_3 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and" - }, - { - "id": "au-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current audit and accountability:", - "parts": [ - { - "id": "au-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, au-1_prm_4 }}; and" - }, - { - "id": "au-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, au-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AU family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Event Logging", - "params": [ - { - "id": "au-2_prm_1", - "label": "organization-defined event types that the system is capable of logging" - }, - { - "id": "au-2_prm_2", - "label": "organization-defined event types (subset of the event types defined in AU-2 a.) along with the frequency of (or situation requiring) logging for each identified event type" - }, - { - "id": "au-2_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "AU-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#02d8ec60-6197-43f8-9f47-18732127963e", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Specify the following event types for logging within the system: {{ insert: param, au-2_prm_2 }};" - }, - { - "id": "au-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and" - }, - { - "id": "au-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Review and update the event types selected for logging {{ insert: param, au-2_prm_3 }}." - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes; failed logons or failed accesses related to systems; security or privacy attribute changes; administrative privilege usage; PIV credential usage; data action changes; query parameters; or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. To balance monitoring and auditing requirements with other system needs, this control also requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the logging event is based on patterns or time of usage. Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include AC-2(4), AC-3(10), AC-6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PE-3, PM-21, PT-8, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. Organizations consider in the definition of event types, the logging necessary to cover related event types such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures." - } - ], - "controls": [ - { - "id": "au-2.1", - "class": "SP800-53-enhancement", - "title": "Compilation of Audit Records from Multiple Sources", - "props": [ - { - "name": "label", - "value": "AU-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(01)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.2", - "class": "SP800-53-enhancement", - "title": "Selection of Audit Events by Component", - "props": [ - { - "name": "label", - "value": "AU-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(02)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "AU-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(03)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.4", - "class": "SP800-53-enhancement", - "title": "Privileged Functions", - "props": [ - { - "name": "label", - "value": "AU-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(04)" - } - ], - "links": [ - { - "href": "#ac-6.9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "props": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "AU-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "Ensure that audit records contain information that establishes the following:", - "parts": [ - { - "id": "au-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "What type of event occurred;" - }, - { - "id": "au-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When the event occurred;" - }, - { - "id": "au-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Where the event occurred;" - }, - { - "id": "au-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Source of the event;" - }, - { - "id": "au-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Outcome of the event; and" - }, - { - "id": "au-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to support the auditing function includes, but is not limited to, event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the trail records inputs or is based on patterns or time of usage." - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "params": [ - { - "id": "au-3.1_prm_1", - "label": "organization-defined additional information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(1)" - }, - { - "name": "sort-id", - "value": "AU-03(01)" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "Generate audit records containing the following additional information: {{ insert: param, au-3.1_prm_1 }}." - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading or that could make it more difficult to locate information of interest." - } - ] - }, - { - "id": "au-3.2", - "class": "SP800-53-enhancement", - "title": "Centralized Management of Planned Audit Record Content", - "params": [ - { - "id": "au-3.2_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(2)" - }, - { - "name": "sort-id", - "value": "AU-03(02)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.2_smt", - "name": "statement", - "prose": "Provide centralized management and configuration of the content to be captured in audit records generated by {{ insert: param, au-3.2_prm_1 }}." - }, - { - "id": "au-3.2_gdn", - "name": "guidance", - "prose": "Centralized management of planned audit record content requires that the content to be captured in audit records be configured from a central location (necessitating an automated capability). Organizations coordinate the selection of the required audit record content to support the centralized management and configuration capability provided by the system." - } - ] - }, - { - "id": "au-3.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "au-3.3_prm_1", - "label": "organization-defined elements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(3)" - }, - { - "name": "sort-id", - "value": "AU-03(03)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: {{ insert: param, au-3.3_prm_1 }}." - }, - { - "id": "au-3.3_gdn", - "name": "guidance", - "prose": "Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Log Storage Capacity", - "params": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit log retention requirements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "AU-04" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "Allocate audit log storage capacity to accommodate {{ insert: param, au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability." - } - ], - "controls": [ - { - "id": "au-4.1", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage", - "params": [ - { - "id": "au-4.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-4(1)" - }, - { - "name": "sort-id", - "value": "AU-04(01)" - } - ], - "parts": [ - { - "id": "au-4.1_smt", - "name": "statement", - "prose": "Transfer audit logs {{ insert: param, au-4.1_prm_1 }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "id": "au-4.1_gdn", - "name": "guidance", - "prose": "Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. This control enhancement is similar to AU-9(2) in that audit logs are transferred to a different entity. However, the primary purpose of selecting AU-9(2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the dual benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs." - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Logging Process Failures", - "params": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "au-5_prm_3", - "label": "organization-defined additional actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "AU-05" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alert {{ insert: param, au-5_prm_1 }} within {{ insert: param, au-5_prm_2 }} in the event of an audit logging process failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-5_prm_3 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit logging process failures include, for example, software and hardware errors; reaching or exceeding audit log storage capacity; and failures in audit log capturing mechanisms. Organization-defined actions include overwriting oldest audit records; shutting down the system; and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored); the system on which the audit logs reside; the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel." - } - ], - "controls": [ - { - "id": "au-5.1", - "class": "SP800-53-enhancement", - "title": "Storage Capacity Warning", - "params": [ - { - "id": "au-5.1_prm_1", - "label": "organization-defined personnel, roles, and/or locations" - }, - { - "id": "au-5.1_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "au-5.1_prm_3", - "label": "organization-defined percentage" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(1)" - }, - { - "name": "sort-id", - "value": "AU-05(01)" - } - ], - "parts": [ - { - "id": "au-5.1_smt", - "name": "statement", - "prose": "Provide a warning to {{ insert: param, au-5.1_prm_1 }} within {{ insert: param, au-5.1_prm_2 }} when allocated audit log storage volume reaches {{ insert: param, au-5.1_prm_3 }} of repository maximum audit log storage capacity." - }, - { - "id": "au-5.1_gdn", - "name": "guidance", - "prose": "Organizations may have multiple audit log storage repositories distributed across multiple system components, with each repository having different storage volume capacities." - } - ] - }, - { - "id": "au-5.2", - "class": "SP800-53-enhancement", - "title": "Real-time Alerts", - "params": [ - { - "id": "au-5.2_prm_1", - "label": "organization-defined real-time-period" - }, - { - "id": "au-5.2_prm_2", - "label": "organization-defined personnel, roles, and/or locations" - }, - { - "id": "au-5.2_prm_3", - "label": "organization-defined audit logging failure events requiring real-time alerts" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(2)" - }, - { - "name": "sort-id", - "value": "AU-05(02)" - } - ], - "parts": [ - { - "id": "au-5.2_smt", - "name": "statement", - "prose": "Provide an alert within {{ insert: param, au-5.2_prm_1 }} to {{ insert: param, au-5.2_prm_2 }} when the following audit failure events occur: {{ insert: param, au-5.2_prm_3 }}." - }, - { - "id": "au-5.2_gdn", - "name": "guidance", - "prose": "Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less)." - } - ] - }, - { - "id": "au-5.3", - "class": "SP800-53-enhancement", - "title": "Configurable Traffic Volume Thresholds", - "params": [ - { - "id": "au-5.3_prm_1", - "select": { - "choice": [ - "reject", - "delay" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(3)" - }, - { - "name": "sort-id", - "value": "AU-05(03)" - } - ], - "parts": [ - { - "id": "au-5.3_smt", - "name": "statement", - "prose": "Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and {{ insert: param, au-5.3_prm_1 }} network traffic above those thresholds." - }, - { - "id": "au-5.3_gdn", - "name": "guidance", - "prose": "Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity." - } - ] - }, - { - "id": "au-5.4", - "class": "SP800-53-enhancement", - "title": "Shutdown on Failure", - "params": [ - { - "id": "au-5.4_prm_1", - "select": { - "choice": [ - "full system shutdown", - "partial system shutdown", - "degraded operational mode with limited mission or business functionality available" - ] - } - }, - { - "id": "au-5.4_prm_2", - "label": "organization-defined audit logging failures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(4)" - }, - { - "name": "sort-id", - "value": "AU-05(04)" - } - ], - "links": [ - { - "href": "#au-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.4_smt", - "name": "statement", - "prose": "Invoke a {{ insert: param, au-5.4_prm_1 }} in the event of {{ insert: param, au-5.4_prm_2 }}, unless an alternate audit logging capability exists." - }, - { - "id": "au-5.4_gdn", - "name": "guidance", - "prose": "Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives." - } - ] - }, - { - "id": "au-5.5", - "class": "SP800-53-enhancement", - "title": "Alternate Audit Logging Capability", - "params": [ - { - "id": "au-5.5_prm_1", - "label": "organization-defined alternate audit logging functionality" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(5)" - }, - { - "name": "sort-id", - "value": "AU-05(05)" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.5_smt", - "name": "statement", - "prose": "Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements {{ insert: param, au-5.5_prm_1 }}." - }, - { - "id": "au-5.5_gdn", - "name": "guidance", - "prose": "Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure." - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Record Review, Analysis, and Reporting", - "params": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "AU-06" - } - ], - "links": [ - { - "href": "#35dfd59f-eef2-4f71-bdb5-6d878267456a", - "rel": "reference" - }, - { - "href": "#1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and analyze system audit records {{ insert: param, au-6_prm_1 }} for indications of {{ insert: param, au-6_prm_2 }};" - }, - { - "id": "au-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report findings to {{ insert: param, au-6_prm_3 }}; and" - }, - { - "id": "au-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received." - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Process Integration", - "params": [ - { - "id": "au-6.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(1)" - }, - { - "name": "sort-id", - "value": "AU-06(01)" - } - ], - "links": [ - { - "href": "#pm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-6.1_prm_1 }}." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes benefiting from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits." - } - ] - }, - { - "id": "au-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Security Alerts", - "props": [ - { - "name": "label", - "value": "AU-6(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-06(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Record Repositories", - "props": [ - { - "name": "label", - "value": "AU-6(3)" - }, - { - "name": "sort-id", - "value": "AU-06(03)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "Analyze and correlate audit records across different repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness." - } - ] - }, - { - "id": "au-6.4", - "class": "SP800-53-enhancement", - "title": "Central Review and Analysis", - "props": [ - { - "name": "label", - "value": "AU-6(4)" - }, - { - "name": "sort-id", - "value": "AU-06(04)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.4_smt", - "name": "statement", - "prose": "Provide and implement the capability to centrally review and analyze audit records from multiple components within the system." - }, - { - "id": "au-6.4_gdn", - "name": "guidance", - "prose": "Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products." - } - ] - }, - { - "id": "au-6.5", - "class": "SP800-53-enhancement", - "title": "Integrated Analysis of Audit Records", - "params": [ - { - "id": "au-6.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-6.5_prm_2 }} " - ] - } - }, - { - "id": "au-6.5_prm_2", - "depends-on": "au-6.5_prm_1", - "label": "organization-defined data/information collected from other sources" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(5)" - }, - { - "name": "sort-id", - "value": "AU-06(05)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.5_smt", - "name": "statement", - "prose": "Integrate analysis of audit records with analysis of {{ insert: param, au-6.5_prm_1 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "id": "au-6.5_gdn", - "name": "guidance", - "prose": "Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial of service attacks or other types of attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations." - } - ] - }, - { - "id": "au-6.6", - "class": "SP800-53-enhancement", - "title": "Correlation with Physical Monitoring", - "props": [ - { - "name": "label", - "value": "AU-6(6)" - }, - { - "name": "sort-id", - "value": "AU-06(06)" - } - ], - "parts": [ - { - "id": "au-6.6_smt", - "name": "statement", - "prose": "Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "id": "au-6.6_gdn", - "name": "guidance", - "prose": "The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual\u2019s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations." - } - ] - }, - { - "id": "au-6.7", - "class": "SP800-53-enhancement", - "title": "Permitted Actions", - "params": [ - { - "id": "au-6.7_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "system process", - "role", - "user" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(7)" - }, - { - "name": "sort-id", - "value": "AU-06(07)" - } - ], - "parts": [ - { - "id": "au-6.7_smt", - "name": "statement", - "prose": "Specify the permitted actions for each {{ insert: param, au-6.7_prm_1 }} associated with the review, analysis, and reporting of audit record information." - }, - { - "id": "au-6.7_gdn", - "name": "guidance", - "prose": "Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete." - } - ] - }, - { - "id": "au-6.8", - "class": "SP800-53-enhancement", - "title": "Full Text Analysis of Privileged Commands", - "props": [ - { - "name": "label", - "value": "AU-6(8)" - }, - { - "name": "sort-id", - "value": "AU-06(08)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.8_smt", - "name": "statement", - "prose": "Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis." - }, - { - "id": "au-6.8_gdn", - "name": "guidance", - "prose": "Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics." - } - ] - }, - { - "id": "au-6.9", - "class": "SP800-53-enhancement", - "title": "Correlation with Information from Nontechnical Sources", - "props": [ - { - "name": "label", - "value": "AU-6(9)" - }, - { - "name": "sort-id", - "value": "AU-06(09)" - } - ], - "links": [ - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.9_smt", - "name": "statement", - "prose": "Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness." - }, - { - "id": "au-6.9_gdn", - "name": "guidance", - "prose": "Nontechnical sources include records documenting organizational policy violations related to sexual harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, the correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions." - } - ] - }, - { - "id": "au-6.10", - "class": "SP800-53-enhancement", - "title": "Audit Level Adjustment", - "props": [ - { - "name": "label", - "value": "AU-6(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-06(10)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Record Reduction and Report Generation", - "props": [ - { - "name": "label", - "value": "AU-7" - }, - { - "name": "sort-id", - "value": "AU-07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "Provide and implement an audit record reduction and report generation capability that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit record reduction is a process that manipulates collected audit log information and organizes such information in a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities conducting audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient." - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "params": [ - { - "id": "au-7.1_prm_1", - "label": "organization-defined fields within audit records" - } - ], - "props": [ - { - "name": "label", - "value": "AU-7(1)" - }, - { - "name": "sort-id", - "value": "AU-07(01)" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-7.1_prm_1 }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of audit records including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, for example, locations selectable by a general networking location or by specific system component." - } - ] - }, - { - "id": "au-7.2", - "class": "SP800-53-enhancement", - "title": "Automatic Sort and Search", - "props": [ - { - "name": "label", - "value": "AU-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-07(02)" - } - ], - "links": [ - { - "href": "#au-7.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "params": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement" - } - ], - "props": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "AU-08" - } - ], - "links": [ - { - "href": "#17ca9481-ea11-4ef2-81c1-885fd37d4be5", - "rel": "reference" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Record time stamps for audit records that meet {{ insert: param, au-8_prm_1 }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities." - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "params": [ - { - "id": "au-8.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-8.1_prm_2", - "label": "organization-defined authoritative time source" - }, - { - "id": "au-8.1_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AU-8(1)" - }, - { - "name": "sort-id", - "value": "AU-08(01)" - } - ], - "parts": [ - { - "id": "au-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compare the internal system clocks {{ insert: param, au-8.1_prm_1 }} with {{ insert: param, au-8.1_prm_2 }}; and" - }, - { - "id": "au-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, au-8.1_prm_3 }}." - } - ] - }, - { - "id": "au-8.1_gdn", - "name": "guidance", - "prose": "Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network." - } - ] - }, - { - "id": "au-8.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-8(2)" - }, - { - "name": "sort-id", - "value": "AU-08(02)" - } - ], - "parts": [ - { - "id": "au-8.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-8.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and" - }, - { - "id": "au-8.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "id": "au-8.2_gdn", - "name": "guidance", - "prose": "It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region." - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "props": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "AU-09" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#au-15", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "Protect audit information and audit logging tools from unauthorized access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information, for example, audit records, audit log settings, audit reports, and personally identifiable information, needed to successfully audit system activity. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls." - } - ], - "controls": [ - { - "id": "au-9.1", - "class": "SP800-53-enhancement", - "title": "Hardware Write-once Media", - "props": [ - { - "name": "label", - "value": "AU-9(1)" - }, - { - "name": "sort-id", - "value": "AU-09(01)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.1_smt", - "name": "statement", - "prose": "Write audit trails to hardware-enforced, write-once media." - }, - { - "id": "au-9.1_gdn", - "name": "guidance", - "prose": "Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media." - } - ] - }, - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Store on Separate Physical Systems or Components", - "params": [ - { - "id": "au-9.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(2)" - }, - { - "name": "sort-id", - "value": "AU-09(02)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "Store audit records {{ insert: param, au-9.2_prm_1 }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records." - } - ] - }, - { - "id": "au-9.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "AU-9(3)" - }, - { - "name": "sort-id", - "value": "AU-09(03)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the integrity of audit information and audit tools." - }, - { - "id": "au-9.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash." - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "params": [ - { - "id": "au-9.4_prm_1", - "label": "organization-defined subset of privileged users or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(4)" - }, - { - "name": "sort-id", - "value": "AU-09(04)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "Authorize access to management of audit logging functionality to only {{ insert: param, au-9.4_prm_1 }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals or roles with privileged access to a system and who are also the subject of an audit by that system, may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges, limits the number of users or roles with audit-related privileges." - } - ] - }, - { - "id": "au-9.5", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "au-9.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "movement", - "deletion" - ] - } - }, - { - "id": "au-9.5_prm_2", - "label": "organization-defined audit information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(5)" - }, - { - "name": "sort-id", - "value": "AU-09(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.5_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, au-9.5_prm_1 }} of {{ insert: param, au-9.5_prm_2 }}." - }, - { - "id": "au-9.5_gdn", - "name": "guidance", - "prose": "Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - } - ] - }, - { - "id": "au-9.6", - "class": "SP800-53-enhancement", - "title": "Read-only Access", - "params": [ - { - "id": "au-9.6_prm_1", - "label": "organization-defined subset of privileged users or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(6)" - }, - { - "name": "sort-id", - "value": "AU-09(06)" - } - ], - "parts": [ - { - "id": "au-9.6_smt", - "name": "statement", - "prose": "Authorize read-only access to audit information to {{ insert: param, au-9.6_prm_1 }}." - }, - { - "id": "au-9.6_gdn", - "name": "guidance", - "prose": "Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, for example, deleting audit records to cover up malicious activity." - } - ] - }, - { - "id": "au-9.7", - "class": "SP800-53-enhancement", - "title": "Store on Component with Different Operating System", - "props": [ - { - "name": "label", - "value": "AU-9(7)" - }, - { - "name": "sort-id", - "value": "AU-09(07)" - } - ], - "parts": [ - { - "id": "au-9.7_smt", - "name": "statement", - "prose": "Store audit information on a component running a different operating system than the system or component being audited." - }, - { - "id": "au-9.7_gdn", - "name": "guidance", - "prose": "Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system resulting in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11, SC-29." - } - ] - } - ] - }, - { - "id": "au-10", - "class": "SP800-53", - "title": "Non-repudiation", - "params": [ - { - "id": "au-10_prm_1", - "label": "organization-defined actions to be covered by non-repudiation" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10" - }, - { - "name": "sort-id", - "value": "AU-10" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10_smt", - "name": "statement", - "prose": "Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_prm_1 }}." - }, - { - "id": "au-10_gdn", - "name": "guidance", - "prose": "Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, or approving a procurement request, or received specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts." - } - ], - "controls": [ - { - "id": "au-10.1", - "class": "SP800-53-enhancement", - "title": "Association of Identities", - "params": [ - { - "id": "au-10.1_prm_1", - "label": "organization-defined strength of binding" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(1)" - }, - { - "name": "sort-id", - "value": "AU-10(01)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Bind the identity of the information producer with the information to {{ insert: param, au-10.1_prm_1 }}; and" - }, - { - "id": "au-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide the means for authorized individuals to determine the identity of the producer of the information." - } - ] - }, - { - "id": "au-10.1_gdn", - "name": "guidance", - "prose": "Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors." - } - ] - }, - { - "id": "au-10.2", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Producer Identity", - "params": [ - { - "id": "au-10.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-10.2_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(2)" - }, - { - "name": "sort-id", - "value": "AU-10(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information producer identity to the information at {{ insert: param, au-10.2_prm_1 }}; and" - }, - { - "id": "au-10.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.2_prm_2 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.2_gdn", - "name": "guidance", - "prose": "Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - } - ] - }, - { - "id": "au-10.3", - "class": "SP800-53-enhancement", - "title": "Chain of Custody", - "props": [ - { - "name": "label", - "value": "AU-10(3)" - }, - { - "name": "sort-id", - "value": "AU-10(03)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.3_smt", - "name": "statement", - "prose": "Maintain reviewer or releaser identity and credentials within the established chain of custody for information reviewed or released." - }, - { - "id": "au-10.3_gdn", - "name": "guidance", - "prose": "Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the identity and credentials of reviewers or releasers provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used." - } - ] - }, - { - "id": "au-10.4", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Reviewer Identity", - "params": [ - { - "id": "au-10.4_prm_1", - "label": "organization-defined security domains" - }, - { - "id": "au-10.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(4)" - }, - { - "name": "sort-id", - "value": "AU-10(04)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.4_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.4_prm_1 }}; and" - }, - { - "id": "au-10.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.4_prm_2 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.4_gdn", - "name": "guidance", - "prose": "Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - } - ] - }, - { - "id": "au-10.5", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "AU-10(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-10(05)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "params": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time-period consistent with records retention policy" - } - ], - "props": [ - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "AU-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "Retain audit records for {{ insert: param, au-11_prm_1 }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention." - } - ], - "controls": [ - { - "id": "au-11.1", - "class": "SP800-53-enhancement", - "title": "Long-term Retrieval Capability", - "params": [ - { - "id": "au-11.1_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-11(1)" - }, - { - "name": "sort-id", - "value": "AU-11(01)" - } - ], - "parts": [ - { - "id": "au-11.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-11.1_prm_1 }} to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "id": "au-11.1_gdn", - "name": "guidance", - "prose": "Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help personnel understand how to interpret the records." - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Record Generation", - "params": [ - { - "id": "au-12_prm_1", - "label": "organization-defined system components" - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "AU-12" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on {{ insert: param, au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow {{ insert: param, au-12_prm_2 }} to select the event types that are to be logged by specific components of the system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records." - } - ], - "controls": [ - { - "id": "au-12.1", - "class": "SP800-53-enhancement", - "title": "System-wide and Time-correlated Audit Trail", - "params": [ - { - "id": "au-12.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "au-12.1_prm_2", - "label": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(1)" - }, - { - "name": "sort-id", - "value": "AU-12(01)" - } - ], - "links": [ - { - "href": "#au-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.1_smt", - "name": "statement", - "prose": "Compile audit records from {{ insert: param, au-12.1_prm_1 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.1_prm_2 }}." - }, - { - "id": "au-12.1_gdn", - "name": "guidance", - "prose": "Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances." - } - ] - }, - { - "id": "au-12.2", - "class": "SP800-53-enhancement", - "title": "Standardized Formats", - "props": [ - { - "name": "label", - "value": "AU-12(2)" - }, - { - "name": "sort-id", - "value": "AU-12(02)" - } - ], - "parts": [ - { - "id": "au-12.2_smt", - "name": "statement", - "prose": "Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format." - }, - { - "id": "au-12.2_gdn", - "name": "guidance", - "prose": "Audit records that follow common standards promote interoperability and information exchange between devices and systems. This facilitates the production of event information that can be readily analyzed and correlated. Standard formats for audit records include records that are compliant with Common Event Expressions. If logging mechanisms within systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails." - } - ] - }, - { - "id": "au-12.3", - "class": "SP800-53-enhancement", - "title": "Changes by Authorized Individuals", - "params": [ - { - "id": "au-12.3_prm_1", - "label": "organization-defined individuals or roles" - }, - { - "id": "au-12.3_prm_2", - "label": "organization-defined system components" - }, - { - "id": "au-12.3_prm_3", - "label": "organization-defined selectable event criteria" - }, - { - "id": "au-12.3_prm_4", - "label": "organization-defined time thresholds" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(3)" - }, - { - "name": "sort-id", - "value": "AU-12(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for {{ insert: param, au-12.3_prm_1 }} to change the logging to be performed on {{ insert: param, au-12.3_prm_2 }} based on {{ insert: param, au-12.3_prm_3 }} within {{ insert: param, au-12.3_prm_4 }}." - }, - { - "id": "au-12.3_gdn", - "name": "guidance", - "prose": "Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed, for example, near real-time, within minutes, or within hours." - } - ] - }, - { - "id": "au-12.4", - "class": "SP800-53-enhancement", - "title": "Query Parameter Audits of Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "AU-12(4)" - }, - { - "name": "sort-id", - "value": "AU-12(04)" - } - ], - "parts": [ - { - "id": "au-12.4_smt", - "name": "statement", - "prose": "Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information." - }, - { - "id": "au-12.4_gdn", - "name": "guidance", - "prose": "Query parameters are explicit criteria that an individual or an automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel." - } - ] - } - ] - }, - { - "id": "au-13", - "class": "SP800-53", - "title": "Monitoring for Information Disclosure", - "params": [ - { - "id": "au-13_prm_1", - "label": "organization-defined open source information and/or information sites" - }, - { - "id": "au-13_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "au-13_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-13_prm_4", - "label": "organization-defined additional actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13" - }, - { - "name": "sort-id", - "value": "AU-13" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-13_smt", - "name": "statement", - "parts": [ - { - "id": "au-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor {{ insert: param, au-13_prm_1 }} {{ insert: param, au-13_prm_2 }} for evidence of unauthorized disclosure of organizational information; and" - }, - { - "id": "au-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "If an information disclosure is discovered:", - "parts": [ - { - "id": "au-13_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Notify {{ insert: param, au-13_prm_3 }}; and" - }, - { - "id": "au-13_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-13_prm_4 }}." - } - ] - } - ] - }, - { - "id": "au-13_gdn", - "name": "guidance", - "prose": "Unauthorized disclosure of information is a form of data leakage. Open source information includes social networking sites and code sharing platforms and repositories. Organizational information can include personally identifiable information retained by the organization." - } - ], - "controls": [ - { - "id": "au-13.1", - "class": "SP800-53-enhancement", - "title": "Use of Automated Tools", - "params": [ - { - "id": "au-13.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(1)" - }, - { - "name": "sort-id", - "value": "AU-13(01)" - } - ], - "parts": [ - { - "id": "au-13.1_smt", - "name": "statement", - "prose": "Monitor open source information and information sites using {{ insert: param, au-13.1_prm_1 }}." - }, - { - "id": "au-13.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include commercial services providing notifications and alerts to organizations and automated scripts to monitor new posts on websites." - } - ] - }, - { - "id": "au-13.2", - "class": "SP800-53-enhancement", - "title": "Review of Monitored Sites", - "params": [ - { - "id": "au-13.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(2)" - }, - { - "name": "sort-id", - "value": "AU-13(02)" - } - ], - "parts": [ - { - "id": "au-13.2_smt", - "name": "statement", - "prose": "Review the list of open source information sites being monitored {{ insert: param, au-13.2_prm_1 }}." - }, - { - "id": "au-13.2_gdn", - "name": "guidance", - "prose": "Reviewing on a regular basis, the current list of open source information sites being monitored, helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information." - } - ] - }, - { - "id": "au-13.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Replication of Information", - "props": [ - { - "name": "label", - "value": "AU-13(3)" - }, - { - "name": "sort-id", - "value": "AU-13(03)" - } - ], - "parts": [ - { - "id": "au-13.3_smt", - "name": "statement", - "prose": "Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "id": "au-13.3_gdn", - "name": "guidance", - "prose": "The unauthorized use or replication of organizational information by external entities can cause adverse impact on organizational operations and assets including damage to reputation. Such activity can include, for example, the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize unauthorized use of organizational information." - } - ] - } - ] - }, - { - "id": "au-14", - "class": "SP800-53", - "title": "Session Audit", - "params": [ - { - "id": "au-14_prm_1", - "label": "organization-defined users or roles" - }, - { - "id": "au-14_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "record", - "view", - "hear", - "log" - ] - } - }, - { - "id": "au-14_prm_3", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "AU-14" - }, - { - "name": "sort-id", - "value": "AU-14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14_smt", - "name": "statement", - "parts": [ - { - "id": "au-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide and implement the capability for {{ insert: param, au-14_prm_1 }} to {{ insert: param, au-14_prm_2 }} the content of a user session under {{ insert: param, au-14_prm_3 }}; and" - }, - { - "id": "au-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "au-14_gdn", - "name": "guidance", - "prose": "Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk and how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including use of personally identifiable information, are appropriately addressed." - } - ], - "controls": [ - { - "id": "au-14.1", - "class": "SP800-53-enhancement", - "title": "System Start-up", - "props": [ - { - "name": "label", - "value": "AU-14(1)" - }, - { - "name": "sort-id", - "value": "AU-14(01)" - } - ], - "parts": [ - { - "id": "au-14.1_smt", - "name": "statement", - "prose": "Initiate session audits automatically at system start-up." - }, - { - "id": "au-14.1_gdn", - "name": "guidance", - "prose": "The initiation of session audits automatically at startup helps to ensure the information being captured on selected individuals is complete and is not subject to compromise through tampering by malicious threat actors." - } - ] - }, - { - "id": "au-14.2", - "class": "SP800-53-enhancement", - "title": "Capture and Record Content", - "props": [ - { - "name": "label", - "value": "AU-14(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-14(02)" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-14.3", - "class": "SP800-53-enhancement", - "title": "Remote Viewing and Listening", - "props": [ - { - "name": "label", - "value": "AU-14(3)" - }, - { - "name": "sort-id", - "value": "AU-14(03)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time." - }, - { - "id": "au-14.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "au-15", - "class": "SP800-53", - "title": "Alternate Audit Logging Capability", - "props": [ - { - "name": "label", - "value": "AU-15" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-15" - } - ], - "links": [ - { - "href": "#au-5.5", - "rel": "moved-to" - } - ] - }, - { - "id": "au-16", - "class": "SP800-53", - "title": "Cross-organizational Audit Logging", - "params": [ - { - "id": "au-16_prm_1", - "label": "organization-defined methods" - }, - { - "id": "au-16_prm_2", - "label": "organization-defined audit information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16" - }, - { - "name": "sort-id", - "value": "AU-16" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-16_prm_1 }} for coordinating {{ insert: param, au-16_prm_2 }} among external organizations when audit information is transmitted across organizational boundaries." - }, - { - "id": "au-16_gdn", - "name": "guidance", - "prose": "When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals that requested specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements." - } - ], - "controls": [ - { - "id": "au-16.1", - "class": "SP800-53-enhancement", - "title": "Identity Preservation", - "props": [ - { - "name": "label", - "value": "AU-16(1)" - }, - { - "name": "sort-id", - "value": "AU-16(01)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.1_smt", - "name": "statement", - "prose": "Preserve the identity of individuals in cross-organizational audit trails." - }, - { - "id": "au-16.1_gdn", - "name": "guidance", - "prose": "Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual." - } - ] - }, - { - "id": "au-16.2", - "class": "SP800-53-enhancement", - "title": "Sharing of Audit Information", - "params": [ - { - "id": "au-16.2_prm_1", - "label": "organization-defined organizations" - }, - { - "id": "au-16.2_prm_2", - "label": "organization-defined cross-organizational sharing agreements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(2)" - }, - { - "name": "sort-id", - "value": "AU-16(02)" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.2_smt", - "name": "statement", - "prose": "Provide cross-organizational audit information to {{ insert: param, au-16.2_prm_1 }} based on {{ insert: param, au-16.2_prm_2 }}." - }, - { - "id": "au-16.2_gdn", - "name": "guidance", - "prose": "Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals\u2019 home organizations have appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations." - } - ] - }, - { - "id": "au-16.3", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "au-16.3_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(3)" - }, - { - "name": "sort-id", - "value": "AU-16(03)" - } - ], - "parts": [ - { - "id": "au-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, au-16.3_prm_1 }} to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "id": "au-16.3_gdn", - "name": "guidance", - "prose": "Preserving identities in audit trails could have privacy ramifications such as enabling the tracking and profiling of individuals but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Using privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability." - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Assessment, Authorization, and Monitoring", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ca-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ca-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "CA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ca-1_prm_2 }} assessment, authorization, and monitoring policy that:", - "parts": [ - { - "id": "ca-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ca-1_prm_3 }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and" - }, - { - "id": "ca-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current assessment, authorization, and monitoring:", - "parts": [ - { - "id": "ca-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ca-1_prm_4 }}; and" - }, - { - "id": "ca-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ca-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Control Assessments", - "params": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "CA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a control assessment plan that describes the scope of the assessment including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine control effectiveness; and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the controls in the system and its environment of operation {{ insert: param, ca-2_prm_1 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Produce a control assessment report that document the results of the assessment; and" - }, - { - "id": "ca-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide the results of the control assessment to {{ insert: param, ca-2_prm_2 }}." - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations; continuous monitoring; FISMA annual assessments; system design and development; systems security engineering; and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the system design and development process; provide essential information needed to make risk-based decisions as part of authorization processes; and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. For example, the design for the controls can be assessed as RFPs are developed and responses assessed, and as design reviews are conducted. If design to implement controls and subsequent implementation in accordance with the design is assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes. Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside the scope of this control." - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "props": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "CA-02(01)" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to conduct control assessments." - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination also includes whether contracted assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, the analogy to independent assessors is having independent SMEs involved in design reviews. When organizations that own the systems are small or the structures of the organizations require that assessments are conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions, are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments." - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "params": [ - { - "id": "ca-2.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-2.2_prm_2", - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - }, - { - "id": "ca-2.2_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "in-depth monitoring", - "security instrumentation", - "automated security test cases", - "vulnerability scanning", - "malicious user testing", - "insider threat assessment", - "performance and load testing", - "data leakage or data loss assessment {{ insert: param, ca-2.2_prm_4 }} " - ] - } - }, - { - "id": "ca-2.2_prm_4", - "depends-on": "ca-2.2_prm_3", - "label": "organization-defined other forms of assessment" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2(2)" - }, - { - "name": "sort-id", - "value": "CA-02(02)" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "Include as part of control assessments, {{ insert: param, ca-2.2_prm_1 }}, {{ insert: param, ca-2.2_prm_2 }}, {{ insert: param, ca-2.2_prm_3 }}." - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle, for example, during design, development, and unit testing." - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "External Organizations", - "params": [ - { - "id": "ca-2.3_prm_1", - "label": "organization-defined external organization" - }, - { - "id": "ca-2.3_prm_2", - "label": "organization-defined system" - }, - { - "id": "ca-2.3_prm_3", - "label": "organization-defined requirements" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2(3)" - }, - { - "name": "sort-id", - "value": "CA-02(03)" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "Leverage the results of control assessments performed by {{ insert: param, ca-2.3_prm_1 }} on {{ insert: param, ca-2.3_prm_2 }} when the assessment meets {{ insert: param, ca-2.3_prm_3 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization\u2019s past experience with the organization that conducted the assessment; the reputation of the assessment organization; the level of detail of supporting assessment evidence provided; and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories supporting the Common Criteria Program [ISO 15408-1], the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage." - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "Information Exchange", - "params": [ - { - "id": "ca-3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "interconnection security agreements", - "information exchange security agreements", - "memoranda of understanding or agreement", - "service level agreements", - "user agreements", - "nondisclosure agreements", - " {{ insert: param, ca-3_prm_2 }} " - ] - } - }, - { - "id": "ca-3_prm_2", - "depends-on": "ca-3_prm_1", - "label": "organization-defined type of agreement" - }, - { - "id": "ca-3_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "CA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#2e66c31a-190e-49ad-8e00-f306f8a0df17", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and manage the exchange of information between the system and other systems using {{ insert: param, ca-3_prm_1 }};" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the agreements {{ insert: param, ca-3_prm_3 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges associated with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization to organization communications. Organizations consider the risk related to new or increased threats, that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information as described in CA-6(1) or CA-6(2) may help to communicate and reduce risk. Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The type of agreement selected is based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged; how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements, or they can provide the same information that would be provided in the appropriate agreement type from CA-3a in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems sharing the same networks." - } - ], - "controls": [ - { - "id": "ca-3.1", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(01)" - } - ], - "links": [ - { - "href": "#sc-7.25", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.2", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(02)" - } - ], - "links": [ - { - "href": "#sc-7.26", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(03)" - } - ], - "links": [ - { - "href": "#sc-7.27", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.4", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "props": [ - { - "name": "label", - "value": "CA-3(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(04)" - } - ], - "links": [ - { - "href": "#sc-7.28", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions on External System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(05)" - } - ], - "links": [ - { - "href": "#sc-7.5", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.6", - "class": "SP800-53-enhancement", - "title": "Transfer Authorizations", - "props": [ - { - "name": "label", - "value": "CA-3(6)" - }, - { - "name": "sort-id", - "value": "CA-03(06)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.6_smt", - "name": "statement", - "prose": "Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "id": "ca-3.6_gdn", - "name": "guidance", - "prose": "To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies via independent means, whether the individual or system attempting to transfer information is authorized to do so. This control enhancement also applies to control plane traffic (e.g., routing and DNS) and services such as authenticated SMTP relays." - } - ] - }, - { - "id": "ca-3.7", - "class": "SP800-53-enhancement", - "title": "Transitive Information Exchanges", - "props": [ - { - "name": "label", - "value": "CA-3(7)" - }, - { - "name": "sort-id", - "value": "CA-03(07)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.7_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify transitive (downstream) information exchanges with other systems through the systems identified in CA-3a; and" - }, - { - "id": "ca-3.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "id": "ca-3.7_gdn", - "name": "guidance", - "prose": "Transitive or \u201cdownstream\u201d information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential in understanding the security and privacy risks resulting from those interconnections. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges which can make the organizational systems more susceptible to threats, hazards, and adverse impacts." - } - ] - } - ] - }, - { - "id": "ca-4", - "class": "SP800-53", - "title": "Security Certification", - "props": [ - { - "name": "label", - "value": "CA-4" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-04" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "params": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "CA-05" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update existing plan of action and milestones {{ insert: param, ca-5_prm_1 }} based on the findings from control assessments, audits, and continuous monitoring activities." - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and are subject to federal reporting requirements established by OMB." - } - ], - "controls": [ - { - "id": "ca-5.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "ca-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CA-5(1)" - }, - { - "name": "sort-id", - "value": "CA-05(01)" - } - ], - "parts": [ - { - "id": "ca-5.1_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using {{ insert: param, ca-5.1_prm_1 }}." - }, - { - "id": "ca-5.1_gdn", - "name": "guidance", - "prose": "Using automated tools helps to maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing helps to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner." - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Authorization", - "params": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "CA-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a senior official as the authorizing official for the system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure that the authorizing official for the system, before commencing operations:", - "parts": [ - { - "id": "ca-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accepts the use of common controls inherited by the system; and" - }, - { - "id": "ca-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Authorizes the system to operate;" - } - ] - }, - { - "id": "ca-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the authorizations {{ insert: param, ca-6_prm_1 }}." - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Authorizations are official management decisions by senior officials to authorize operation of systems, to authorize the use of common controls for inheritance by organizational systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and for common controls or assume responsibility for the mission and business operations supported by those systems or common controls. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities. Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., the security and privacy plans, assessment reports, and plans of action and milestones), is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions." - } - ], - "controls": [ - { - "id": "ca-6.1", - "class": "SP800-53-enhancement", - "title": "Joint Authorization \u2014 Intra-organization", - "props": [ - { - "name": "label", - "value": "CA-6(1)" - }, - { - "name": "sort-id", - "value": "CA-06(01)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.1_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization." - }, - { - "id": "ca-6.1_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners." - } - ] - }, - { - "id": "ca-6.2", - "class": "SP800-53-enhancement", - "title": "Joint Authorization \u2014 Inter-organization", - "props": [ - { - "name": "label", - "value": "CA-6(2)" - }, - { - "name": "sort-id", - "value": "CA-06(02)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.2_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - }, - { - "id": "ca-6.2_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization owning or hosting the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization." - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "params": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined system-level metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "CA-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#851b5ba4-6aa0-4583-857c-4c360cbdf2a0", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-31", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following system-level metrics to be monitored: {{ insert: param, ca-7_prm_1 }};" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, ca-7_prm_2 }} for monitoring and {{ insert: param, ca-7_prm_3 }} for assessment of control effectiveness;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}." - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4." - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "props": [ - { - "name": "label", - "value": "CA-7(1)" - }, - { - "name": "sort-id", - "value": "CA-07(01)" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services." - } - ] - }, - { - "id": "ca-7.2", - "class": "SP800-53-enhancement", - "title": "Types of Assessments", - "props": [ - { - "name": "label", - "value": "CA-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-07(02)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-7.3", - "class": "SP800-53-enhancement", - "title": "Trend Analyses", - "props": [ - { - "name": "label", - "value": "CA-7(3)" - }, - { - "name": "sort-id", - "value": "CA-07(03)" - } - ], - "parts": [ - { - "id": "ca-7.3_smt", - "name": "statement", - "prose": "Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data." - }, - { - "id": "ca-7.3_gdn", - "name": "guidance", - "prose": "Trend analyses include examining recent threat information addressing the types of threat events that have occurred within the organization or the federal government; success rates of certain types of attacks; emerging vulnerabilities in technologies; evolving social engineering techniques; the effectiveness of configuration settings; results from multiple control assessments; and findings from Inspectors General or auditors." - } - ] - }, - { - "id": "ca-7.4", - "class": "SP800-53-enhancement", - "title": "Risk Monitoring", - "props": [ - { - "name": "label", - "value": "CA-7(4)" - }, - { - "name": "sort-id", - "value": "CA-07(04)" - } - ], - "parts": [ - { - "id": "ca-7.4_smt", - "name": "statement", - "prose": "Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:", - "parts": [ - { - "id": "ca-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Effectiveness monitoring;" - }, - { - "id": "ca-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Compliance monitoring; and" - }, - { - "id": "ca-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change monitoring." - } - ] - }, - { - "id": "ca-7.4_gdn", - "name": "guidance", - "prose": "Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk." - } - ] - }, - { - "id": "ca-7.5", - "class": "SP800-53-enhancement", - "title": "Consistency Analysis", - "params": [ - { - "id": "ca-7.5_prm_1", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "CA-7(5)" - }, - { - "name": "sort-id", - "value": "CA-07(05)" - } - ], - "parts": [ - { - "id": "ca-7.5_smt", - "name": "statement", - "prose": "Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: {{ insert: param, ca-7.5_prm_1 }}." - }, - { - "id": "ca-7.5_gdn", - "name": "guidance", - "prose": "Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). Or in other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate through testing, monitoring, and analysis that the implemented controls are operating in a consistent, coordinated, non-interfering manner." - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "params": [ - { - "id": "ca-8_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-8_prm_2", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "CA-8" - }, - { - "name": "sort-id", - "value": "CA-08" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "Conduct penetration testing {{ insert: param, ca-8_prm_1 }} on {{ insert: param, ca-8_prm_2 }}." - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes pretest analysis based on full knowledge of the system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing." - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Testing Agent or Team", - "props": [ - { - "name": "label", - "value": "CA-8(1)" - }, - { - "name": "sort-id", - "value": "CA-08(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "Employ an independent penetration testing agent or team to perform penetration testing on the system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. CA-2(1) provides additional information on independent assessments that can be applied to penetration testing." - } - ] - }, - { - "id": "ca-8.2", - "class": "SP800-53-enhancement", - "title": "Red Team Exercises", - "params": [ - { - "id": "ca-8.2_prm_1", - "label": "organization-defined red team exercises" - } - ], - "props": [ - { - "name": "label", - "value": "CA-8(2)" - }, - { - "name": "sort-id", - "value": "CA-08(02)" - } - ], - "parts": [ - { - "id": "ca-8.2_smt", - "name": "statement", - "prose": "Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-8.2_prm_1 }}." - }, - { - "id": "ca-8.2_gdn", - "name": "guidance", - "prose": "Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise missions and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness." - } - ] - }, - { - "id": "ca-8.3", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "params": [ - { - "id": "ca-8.3_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-8.3_prm_2", - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CA-8(3)" - }, - { - "name": "sort-id", - "value": "CA-08(03)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.3_smt", - "name": "statement", - "prose": "Employ a penetration testing process that includes {{ insert: param, ca-8.3_prm_1 }} {{ insert: param, ca-8.3_prm_2 }} attempts to bypass or circumvent controls associated with physical access points to the facility." - }, - { - "id": "ca-8.3_gdn", - "name": "guidance", - "prose": "Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems." - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "params": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined system components or classes of components" - }, - { - "id": "ca-9_prm_2", - "label": "organization-defined conditions" - }, - { - "id": "ca-9_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "CA-09" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize internal connections of {{ insert: param, ca-9_prm_1 }} to the system;" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;" - }, - { - "id": "ca-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Terminate internal system connections after {{ insert: param, ca-9_prm_2 }}; and" - }, - { - "id": "ca-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review {{ insert: param, ca-9_prm_3 }} the continued need for each internal connection." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system). Intra-system connections include connections with mobile devices, notebook and desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability; or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions." - } - ], - "controls": [ - { - "id": "ca-9.1", - "class": "SP800-53-enhancement", - "title": "Compliance Checks", - "props": [ - { - "name": "label", - "value": "CA-9(1)" - }, - { - "name": "sort-id", - "value": "CA-09(01)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9.1_smt", - "name": "statement", - "prose": "Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection." - }, - { - "id": "ca-9.1_gdn", - "name": "guidance", - "prose": "Compliance checks include verification of the relevant baseline configuration." - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "cm-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "cm-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "CM-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cm-1_prm_2 }} configuration management policy that:", - "parts": [ - { - "id": "cm-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cm-1_prm_3 }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and" - }, - { - "id": "cm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current configuration management:", - "parts": [ - { - "id": "cm-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, cm-1_prm_4 }}; and" - }, - { - "id": "cm-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, cm-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CM family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "params": [ - { - "id": "cm-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-2_prm_2", - "label": "Assignment organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "CM-02" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and maintain under configuration control, a current baseline configuration of the system; and" - }, - { - "id": "cm-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the baseline configuration of the system:", - "parts": [ - { - "id": "cm-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cm-2_prm_1 }};" - }, - { - "id": "cm-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required due to {{ insert: param, cm-2_prm_2 }}; and" - }, - { - "id": "cm-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When system components are installed or upgraded." - } - ] - } - ] - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture." - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "CM-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(01)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "cm-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(2)" - }, - { - "name": "sort-id", - "value": "CM-02(02)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-2.2_prm_1 }}." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, and firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission/business process level or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of CM-8(2) for organizations that combine system component inventory and baseline configuration activities." - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "params": [ - { - "id": "cm-2.3_prm_1", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(3)" - }, - { - "name": "sort-id", - "value": "CM-02(03)" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "Retain {{ insert: param, cm-2.3_prm_1 }} of previous versions of baseline configurations of the system to support rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, and configuration records." - } - ] - }, - { - "id": "cm-2.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software", - "props": [ - { - "name": "label", - "value": "CM-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(04)" - } - ], - "links": [ - { - "href": "#cm-7.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software", - "props": [ - { - "name": "label", - "value": "CM-2(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(05)" - } - ], - "links": [ - { - "href": "#cm-7.5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.6", - "class": "SP800-53-enhancement", - "title": "Development and Test Environments", - "props": [ - { - "name": "label", - "value": "CM-2(6)" - }, - { - "name": "sort-id", - "value": "CM-02(06)" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.6_smt", - "name": "statement", - "prose": "Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration." - }, - { - "id": "cm-2.6_gdn", - "name": "guidance", - "prose": "Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations does not necessarily require separate physical environments." - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems and Components for High-risk Areas", - "params": [ - { - "id": "cm-2.7_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "cm-2.7_prm_2", - "label": "organization-defined configurations" - }, - { - "id": "cm-2.7_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(7)" - }, - { - "name": "sort-id", - "value": "CM-02(07)" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issue {{ insert: param, cm-2.7_prm_1 }} with {{ insert: param, cm-2.7_prm_2 }} to individuals traveling to locations that the organization deems to be of significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-2.7_prm_3 }}." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the MP (Media Protection) family." - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "params": [ - { - "id": "cm-3_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "cm-3_prm_2", - "label": "organization-defined configuration change control element" - }, - { - "id": "cm-3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-3_prm_4 }} ", - "when {{ insert: param, cm-3_prm_5 }} " - ] - } - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "label": "organization-defined configuration change conditions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3" - }, - { - "name": "sort-id", - "value": "CM-03" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the types of changes to the system that are configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document configuration change decisions associated with the system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement approved configuration-controlled changes to the system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain records of configuration-controlled changes to the system for {{ insert: param, cm-3_prm_1 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Monitor and review activities associated with configuration-controlled changes to the system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-3_prm_2 }} that convenes {{ insert: param, cm-3_prm_3 }}." - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations and configuration items of systems; changes to operational procedures; changes to configuration settings for system components; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes impacting privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also SA-10." - } - ], - "controls": [ - { - "id": "cm-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Documentation, Notification, and Prohibition of Changes", - "params": [ - { - "id": "cm-3.1_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-3.1_prm_2", - "label": "organization-defined approval authorities" - }, - { - "id": "cm-3.1_prm_3", - "label": "organization-defined time-period" - }, - { - "id": "cm-3.1_prm_4", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(1)" - }, - { - "name": "sort-id", - "value": "CM-03(01)" - } - ], - "parts": [ - { - "id": "cm-3.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, cm-3.1_prm_1 }} to:", - "parts": [ - { - "id": "cm-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Document proposed changes to the system;" - }, - { - "id": "cm-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify {{ insert: param, cm-3.1_prm_2 }} of proposed changes to the system and request change approval;" - }, - { - "id": "cm-3.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-3.1_prm_3 }};" - }, - { - "id": "cm-3.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Prohibit changes to the system until designated approvals are received;" - }, - { - "id": "cm-3.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Document all changes to the system; and" - }, - { - "id": "cm-3.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Notify {{ insert: param, cm-3.1_prm_4 }} when approved changes to the system are completed." - } - ] - }, - { - "id": "cm-3.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "cm-3.2", - "class": "SP800-53-enhancement", - "title": "Testing, Validation, and Documentation of Changes", - "props": [ - { - "name": "label", - "value": "CM-3(2)" - }, - { - "name": "sort-id", - "value": "CM-03(02)" - } - ], - "parts": [ - { - "id": "cm-3.2_smt", - "name": "statement", - "prose": "Test, validate, and document changes to the system before finalizing the implementation of the changes." - }, - { - "id": "cm-3.2_gdn", - "name": "guidance", - "prose": "Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations supporting organizational missions and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls." - } - ] - }, - { - "id": "cm-3.3", - "class": "SP800-53-enhancement", - "title": "Automated Change Implementation", - "params": [ - { - "id": "cm-3.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(3)" - }, - { - "name": "sort-id", - "value": "CM-03(03)" - } - ], - "parts": [ - { - "id": "cm-3.3_smt", - "name": "statement", - "prose": "Implement changes to the current system baseline and deploy the updated baseline across the installed base using {{ insert: param, cm-3.3_prm_1 }}." - }, - { - "id": "cm-3.3_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., Security Information and Event Management tools) can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization." - } - ] - }, - { - "id": "cm-3.4", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "cm-3.4_prm_1", - "label": "organization-defined security and privacy representatives" - }, - { - "id": "cm-3.4_prm_2", - "label": "organization-defined configuration change control element" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(4)" - }, - { - "name": "sort-id", - "value": "CM-03(04)" - } - ], - "parts": [ - { - "id": "cm-3.4_smt", - "name": "statement", - "prose": "Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-3.4_prm_2 }}." - }, - { - "id": "cm-3.4_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3." - } - ] - }, - { - "id": "cm-3.5", - "class": "SP800-53-enhancement", - "title": "Automated Security Response", - "params": [ - { - "id": "cm-3.5_prm_1", - "label": "organization-defined security responses" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(5)" - }, - { - "name": "sort-id", - "value": "CM-03(05)" - } - ], - "parts": [ - { - "id": "cm-3.5_smt", - "name": "statement", - "prose": "Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: {{ insert: param, cm-3.5_prm_1 }}." - }, - { - "id": "cm-3.5_gdn", - "name": "guidance", - "prose": "Automated security responses include halting selected system functions, halting system processing, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item." - } - ] - }, - { - "id": "cm-3.6", - "class": "SP800-53-enhancement", - "title": "Cryptography Management", - "params": [ - { - "id": "cm-3.6_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(6)" - }, - { - "name": "sort-id", - "value": "CM-03(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.6_smt", - "name": "statement", - "prose": "Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-3.6_prm_1 }}." - }, - { - "id": "cm-3.6_gdn", - "name": "guidance", - "prose": "The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates." - } - ] - }, - { - "id": "cm-3.7", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "params": [ - { - "id": "cm-3.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-3.7_prm_2", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(7)" - }, - { - "name": "sort-id", - "value": "CM-03(07)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.7_smt", - "name": "statement", - "prose": "Review changes to the system {{ insert: param, cm-3.7_prm_1 }} or when {{ insert: param, cm-3.7_prm_2 }} to determine whether unauthorized changes have occurred." - }, - { - "id": "cm-3.7_gdn", - "name": "guidance", - "prose": "Indications that warrant review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process." - } - ] - }, - { - "id": "cm-3.8", - "class": "SP800-53-enhancement", - "title": "Prevent or Restrict Configuration Changes", - "params": [ - { - "id": "cm-3.8_prm_1", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(8)" - }, - { - "name": "sort-id", - "value": "CM-03(08)" - } - ], - "parts": [ - { - "id": "cm-3.8_smt", - "name": "statement", - "prose": "Prevent or restrict changes to the configuration of the system under the following circumstances: {{ insert: param, cm-3.8_prm_1 }}." - }, - { - "id": "cm-3.8_gdn", - "name": "guidance", - "prose": "System configuration changes made in an ad hoc manner or in uncontrolled environments can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms." - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Impact Analyses", - "props": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "CM-04" - } - ], - "links": [ - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "Analyze changes to the system to determine potential security and privacy impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing with stakeholders the impact of changes on organizational supply chain partners; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and to determine if additional controls are required." - } - ], - "controls": [ - { - "id": "cm-4.1", - "class": "SP800-53-enhancement", - "title": "Separate Test Environments", - "props": [ - { - "name": "label", - "value": "CM-4(1)" - }, - { - "name": "sort-id", - "value": "CM-04(01)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.1_smt", - "name": "statement", - "prose": "Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice." - }, - { - "id": "cm-4.1_gdn", - "name": "guidance", - "prose": "A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation." - } - ] - }, - { - "id": "cm-4.2", - "class": "SP800-53-enhancement", - "title": "Verification of Controls", - "props": [ - { - "name": "label", - "value": "CM-4(2)" - }, - { - "name": "sort-id", - "value": "CM-04(02)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.2_smt", - "name": "statement", - "prose": "After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system." - }, - { - "id": "cm-4.2_gdn", - "name": "guidance", - "prose": "Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls." - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "props": [ - { - "name": "label", - "value": "CM-5" - }, - { - "name": "sort-id", - "value": "CM-05" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system, can potentially have significant effects on the security of the systems or individual privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times)." - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement and Audit Records", - "params": [ - { - "id": "cm-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(1)" - }, - { - "name": "sort-id", - "value": "CM-05(01)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce access restrictions using {{ insert: param, cm-5.1_prm_1 }}; and" - }, - { - "id": "cm-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Automatically generate audit records of the enforcement actions." - } - ] - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "prose": "Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes." - } - ] - }, - { - "id": "cm-5.2", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "props": [ - { - "name": "label", - "value": "CM-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-05(02)" - } - ], - "links": [ - { - "href": "#cm-3.7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "params": [ - { - "id": "cm-5.3_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(3)" - }, - { - "name": "sort-id", - "value": "CM-05(03)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.3_smt", - "name": "statement", - "prose": "Prevent the installation of {{ insert: param, cm-5.3_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization." - }, - { - "id": "cm-5.3_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication." - } - ] - }, - { - "id": "cm-5.4", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cm-5.4_prm_1", - "label": "organization-defined system components and system-level information" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(4)" - }, - { - "name": "sort-id", - "value": "CM-05(04)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.4_smt", - "name": "statement", - "prose": "Enforce dual authorization for implementing changes to {{ insert: param, cm-5.4_prm_1 }}." - }, - { - "id": "cm-5.4_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures." - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Privilege Limitation for Production and Operation", - "params": [ - { - "id": "cm-5.5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(5)" - }, - { - "name": "sort-id", - "value": "CM-05(05)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit privileges to change system components and system-related information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, systems support multiple missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are in some cases, unknown to developers. System-related information includes operational procedures." - } - ] - }, - { - "id": "cm-5.6", - "class": "SP800-53-enhancement", - "title": "Limit Library Privileges", - "props": [ - { - "name": "label", - "value": "CM-5(6)" - }, - { - "name": "sort-id", - "value": "CM-05(06)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.6_smt", - "name": "statement", - "prose": "Limit privileges to change software resident within software libraries." - }, - { - "id": "cm-5.6_gdn", - "name": "guidance", - "prose": "Software libraries include privileged programs." - } - ] - }, - { - "id": "cm-5.7", - "class": "SP800-53-enhancement", - "title": "Automatic Implementation of Security Safeguards", - "props": [ - { - "name": "label", - "value": "CM-5(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-05(07)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "params": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined common secure configurations" - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "CM-06" - } - ], - "links": [ - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#06842bea-64c9-4e20-807a-b8fc003fa737", - "rel": "reference" - }, - { - "href": "#5cc04a1c-5489-4751-a493-746a9639067b", - "rel": "reference" - }, - { - "href": "#294eed19-7471-4517-9480-2ec73e7c6a78", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document configuration settings for components employed within the system using {{ insert: param, cm-6_prm_1 }} that reflect the most restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify, document, and approve any deviations from established configuration settings for {{ insert: param, cm-6_prm_2 }} based on {{ insert: param, cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor and control changes to the configuration settings in accordance with organizational policies and procedures." - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Security parameters are parameters impacting the security posture of systems, including the parameters required to satisfy other security control requirements. Security parameters include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system. Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors. Implementation of a common secure configuration may be mandated at the organization level, mission/business process level, or system level, or may be mandated at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB] and security technical implementation guides (STIGs), which affect the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings." - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Management, Application, and Verification", - "params": [ - { - "id": "cm-6.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "cm-6.1_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6(1)" - }, - { - "name": "sort-id", - "value": "CM-06(01)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "Centrally manage, apply, and verify configuration settings for {{ insert: param, cm-6.1_prm_1 }} using {{ insert: param, cm-6.1_prm_2 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., security information and event management tools or enterprise security monitoring tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization." - } - ] - }, - { - "id": "cm-6.2", - "class": "SP800-53-enhancement", - "title": "Respond to Unauthorized Changes", - "params": [ - { - "id": "cm-6.2_prm_1", - "label": "organization-defined configuration settings" - }, - { - "id": "cm-6.2_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6(2)" - }, - { - "name": "sort-id", - "value": "CM-06(02)" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.2_smt", - "name": "statement", - "prose": "Take the following actions in response to unauthorized changes to {{ insert: param, cm-6.2_prm_1 }}: {{ insert: param, cm-6.2_prm_2 }}." - }, - { - "id": "cm-6.2_gdn", - "name": "guidance", - "prose": "Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing." - } - ] - }, - { - "id": "cm-6.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Change Detection", - "props": [ - { - "name": "label", - "value": "CM-6(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-06(03)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-6.4", - "class": "SP800-53-enhancement", - "title": "Conformance Demonstration", - "props": [ - { - "name": "label", - "value": "CM-6(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-06(04)" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "params": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined mission essential capabilities" - }, - { - "id": "cm-7_prm_2", - "label": "organization-defined prohibited or restricted functions, ports, protocols, software, and/or services" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "CM-07" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#893d1736-324c-41d6-a5f4-d526b5ca981a", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configure the system to provide only {{ insert: param, cm-7_prm_1 }}; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}." - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3)." - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "params": [ - { - "id": "cm-7.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-7.1_prm_2", - "label": "organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(1)" - }, - { - "name": "sort-id", - "value": "CM-07(01)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review the system {{ insert: param, cm-7.1_prm_1 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking." - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "params": [ - { - "id": "cm-7.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-7.2_prm_2 }} ", - "rules authorizing the terms and conditions of software program usage" - ] - } - }, - { - "id": "cm-7.2_prm_2", - "depends-on": "cm-7.2_prm_1", - "label": "organization-defined policies, rules of behavior, and/or access agreements regarding software program usage and restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(2)" - }, - { - "name": "sort-id", - "value": "CM-07(02)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "Prevent program execution in accordance with {{ insert: param, cm-7.2_prm_1 }}." - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "prose": "Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements restricting software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features; restricting roles allowed to approve program execution; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time." - } - ] - }, - { - "id": "cm-7.3", - "class": "SP800-53-enhancement", - "title": "Registration Compliance", - "params": [ - { - "id": "cm-7.3_prm_1", - "label": "organization-defined registration requirements for functions, ports, protocols, and services" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(3)" - }, - { - "name": "sort-id", - "value": "CM-07(03)" - } - ], - "parts": [ - { - "id": "cm-7.3_smt", - "name": "statement", - "prose": "Ensure compliance with {{ insert: param, cm-7.3_prm_1 }}." - }, - { - "id": "cm-7.3_gdn", - "name": "guidance", - "prose": "Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services." - } - ] - }, - { - "id": "cm-7.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software \u2014 Blacklisting", - "params": [ - { - "id": "cm-7.4_prm_1", - "label": "organization-defined software programs not authorized to execute on the system" - }, - { - "id": "cm-7.4_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(4)" - }, - { - "name": "sort-id", - "value": "CM-07(04)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-7.4_prm_1 }};" - }, - { - "id": "cm-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and" - }, - { - "id": "cm-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of unauthorized software programs {{ insert: param, cm-7.4_prm_2 }}." - } - ] - }, - { - "id": "cm-7.4_gdn", - "name": "guidance", - "prose": "The process used to identify software programs or categories of software programs that are not authorized to execute on organizational systems is commonly referred to as blacklisting. Software programs identified can be limited to specific versions or from a specific source. The concept of blacklisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses." - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software \u2014 Whitelisting", - "params": [ - { - "id": "cm-7.5_prm_1", - "label": "organization-defined software programs authorized to execute on the system" - }, - { - "id": "cm-7.5_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(5)" - }, - { - "name": "sort-id", - "value": "CM-07(05)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-7.5_prm_1 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized software programs {{ insert: param, cm-7.5_prm_2 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "The process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. Software programs identified can be limited to specific versions or from a specific source. To facilitate comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at different levels of detail. Software program levels of detail include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. Organizations consider verifying the integrity of white-listed software programs using, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Whitelisting of URLs for websites is addressed in CA-3(5) and SC-7." - } - ] - }, - { - "id": "cm-7.6", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "params": [ - { - "id": "cm-7.6_prm_1", - "label": "organization-defined user-installed software" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(6)" - }, - { - "name": "sort-id", - "value": "CM-07(06)" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.6_smt", - "name": "statement", - "prose": "Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: {{ insert: param, cm-7.6_prm_1 }}." - }, - { - "id": "cm-7.6_gdn", - "name": "guidance", - "prose": "Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed." - } - ] - }, - { - "id": "cm-7.7", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "params": [ - { - "id": "cm-7.7_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(7)" - }, - { - "name": "sort-id", - "value": "CM-07(07)" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.7_smt", - "name": "statement", - "prose": "Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of {{ insert: param, cm-7.7_prm_1 }} when such code is:", - "parts": [ - { - "id": "cm-7.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Obtained from sources with limited or no warranty; and/or" - }, - { - "id": "cm-7.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Without the provision of source code." - } - ] - }, - { - "id": "cm-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software." - } - ] - }, - { - "id": "cm-7.8", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "CM-7(8)" - }, - { - "name": "sort-id", - "value": "CM-07(08)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and" - }, - { - "id": "cm-7.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official." - } - ] - }, - { - "id": "cm-7.8_gdn", - "name": "guidance", - "prose": "This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open source software is used, the assessments address the fact that there is no warranty, the open source software could contain back doors or malware, and there may be no support available." - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "System Component Inventory", - "params": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "CM-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document an inventory of system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting; and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes the following information to achieve system component accountability: {{ insert: param, cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the system component inventory {{ insert: param, cm-8_prm_2 }}." - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location." - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installation and Removal", - "props": [ - { - "name": "label", - "value": "CM-8(1)" - }, - { - "name": "sort-id", - "value": "CM-08(01)" - } - ], - "links": [ - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "Update the inventory of system components as part of component installations, removals, and system updates." - }, - { - "id": "cm-8.1_gdn", - "name": "guidance", - "prose": "Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated routinely as part of component installations or removals, or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components." - } - ] - }, - { - "id": "cm-8.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance", - "params": [ - { - "id": "cm-8.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(2)" - }, - { - "name": "sort-id", - "value": "CM-08(02)" - } - ], - "parts": [ - { - "id": "cm-8.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}." - }, - { - "id": "cm-8.2_gdn", - "name": "guidance", - "prose": "Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of CM-2(2) for organizations that combine system component inventory and baseline configuration activities." - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "params": [ - { - "id": "cm-8.3_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-8.3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "cm-8.3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "disable network access by such components", - "isolate the components", - "notify {{ insert: param, cm-8.3_prm_4 }} " - ] - } - }, - { - "id": "cm-8.3_prm_4", - "depends-on": "cm-8.3_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(3)" - }, - { - "name": "sort-id", - "value": "CM-08(03)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-8.3_prm_2 }}; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions when unauthorized components are detected: {{ insert: param, cm-8.3_prm_3 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices). Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as sandboxing." - } - ] - }, - { - "id": "cm-8.4", - "class": "SP800-53-enhancement", - "title": "Accountability Information", - "params": [ - { - "id": "cm-8.4_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "name", - "position", - "role" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(4)" - }, - { - "name": "sort-id", - "value": "CM-08(04)" - } - ], - "parts": [ - { - "id": "cm-8.4_smt", - "name": "statement", - "prose": "Include in the system component inventory information, a means for identifying by {{ insert: param, cm-8.4_prm_1 }}, individuals responsible and accountable for administering those components." - }, - { - "id": "cm-8.4_gdn", - "name": "guidance", - "prose": "Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated." - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "props": [ - { - "name": "label", - "value": "CM-8(5)" - }, - { - "name": "sort-id", - "value": "CM-08(05)" - } - ], - "parts": [ - { - "id": "cm-8.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verify that all components within the system are not duplicated in other system component inventories; or" - }, - { - "id": "cm-8.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "If a centralized component inventory is used, verify components are not assigned to multiple systems." - } - ] - }, - { - "id": "cm-8.5_gdn", - "name": "guidance", - "prose": "Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of CM-8(7) can help to eliminate duplicate accounting of components." - } - ] - }, - { - "id": "cm-8.6", - "class": "SP800-53-enhancement", - "title": "Assessed Configurations and Approved Deviations", - "props": [ - { - "name": "label", - "value": "CM-8(6)" - }, - { - "name": "sort-id", - "value": "CM-08(06)" - } - ], - "parts": [ - { - "id": "cm-8.6_smt", - "name": "statement", - "prose": "Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory." - }, - { - "id": "cm-8.6_gdn", - "name": "guidance", - "prose": "Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings." - } - ] - }, - { - "id": "cm-8.7", - "class": "SP800-53-enhancement", - "title": "Centralized Repository", - "props": [ - { - "name": "label", - "value": "CM-8(7)" - }, - { - "name": "sort-id", - "value": "CM-08(07)" - } - ], - "parts": [ - { - "id": "cm-8.7_smt", - "name": "statement", - "prose": "Provide a centralized repository for the inventory of system components." - }, - { - "id": "cm-8.7_gdn", - "name": "guidance", - "prose": "Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability." - } - ] - }, - { - "id": "cm-8.8", - "class": "SP800-53-enhancement", - "title": "Automated Location Tracking", - "params": [ - { - "id": "cm-8.8_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(8)" - }, - { - "name": "sort-id", - "value": "CM-08(08)" - } - ], - "parts": [ - { - "id": "cm-8.8_smt", - "name": "statement", - "prose": "Support the tracking of system components by geographic location using {{ insert: param, cm-8.8_prm_1 }}." - }, - { - "id": "cm-8.8_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications affecting individual privacy." - } - ] - }, - { - "id": "cm-8.9", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "params": [ - { - "id": "cm-8.9_prm_1", - "label": "organization-defined acquired system components" - }, - { - "id": "cm-8.9_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(9)" - }, - { - "name": "sort-id", - "value": "CM-08(09)" - } - ], - "parts": [ - { - "id": "cm-8.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assign {{ insert: param, cm-8.9_prm_1 }} to a system; and" - }, - { - "id": "cm-8.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Receive an acknowledgement from {{ insert: param, cm-8.9_prm_2 }} of this assignment." - } - ] - }, - { - "id": "cm-8.9_gdn", - "name": "guidance", - "prose": "Acquired system components that are not assigned to a specific system may be unmanaged, lack the required protection, and thus, become an organizational vulnerability. Organizations determine the types of system components that are subject to this control enhancement." - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "params": [ - { - "id": "cm-9_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-9" - }, - { - "name": "sort-id", - "value": "CM-09" - } - ], - "links": [ - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "Develop, document, and implement a configuration management plan for the system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the system and places the configuration items under configuration management;" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cm-9_prm_1 }}; and" - }, - { - "id": "cm-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes, how to update configuration settings and baselines, how to maintain component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Templates can represent a master configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, for example, the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control." - } - ], - "controls": [ - { - "id": "cm-9.1", - "class": "SP800-53-enhancement", - "title": "Assignment of Responsibility", - "props": [ - { - "name": "label", - "value": "CM-9(1)" - }, - { - "name": "sort-id", - "value": "CM-09(01)" - } - ], - "parts": [ - { - "id": "cm-9.1_smt", - "name": "statement", - "prose": "Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development." - }, - { - "id": "cm-9.1_gdn", - "name": "guidance", - "prose": "In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight." - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "CM-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use software and associated documentation in accordance with contract agreements and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual or automated methods depending on organizational needs. A non-disclosure agreement is an example of a contract agreement." - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open Source Software", - "params": [ - { - "id": "cm-10.1_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-10(1)" - }, - { - "name": "sort-id", - "value": "CM-10(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "Establish the following restrictions on the use of open source software: {{ insert: param, cm-10.1_prm_1 }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, remediating vulnerabilities in open source software may be problematic. There may also be licensing issues associated with open source software, including the constraints on derivative use of such software. Open source software that is available only in binary form may increase the level of risk in using such software." - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "params": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "CM-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, cm-11_prm_1 }} governing the installation of software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforce software installation policies through the following methods: {{ insert: param, cm-11_prm_2 }}; and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitor policy compliance {{ insert: param, cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved \u201capp stores.\u201d Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods." - } - ], - "controls": [ - { - "id": "cm-11.1", - "class": "SP800-53-enhancement", - "title": "Alerts for Unauthorized Installations", - "props": [ - { - "name": "label", - "value": "CM-11(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-11(01)" - } - ], - "links": [ - { - "href": "#cm-8.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-11.2", - "class": "SP800-53-enhancement", - "title": "Software Installation with Privileged Status", - "props": [ - { - "name": "label", - "value": "CM-11(2)" - }, - { - "name": "sort-id", - "value": "CM-11(02)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11.2_smt", - "name": "statement", - "prose": "Allow user installation of software only with explicit privileged status." - }, - { - "id": "cm-11.2_gdn", - "name": "guidance", - "prose": "Privileged status can be obtained, for example, by serving in the role of system administrator." - } - ] - } - ] - }, - { - "id": "cm-12", - "class": "SP800-53", - "title": "Information Location", - "params": [ - { - "id": "cm-12_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "CM-12" - }, - { - "name": "sort-id", - "value": "CM-12" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-23", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-12_smt", - "name": "statement", - "parts": [ - { - "id": "cm-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the location of {{ insert: param, cm-12_prm_1 }} and the specific system components on which the information is processed and stored;" - }, - { - "id": "cm-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify and document the users who have access to the system and system components where the information is processed and stored; and" - }, - { - "id": "cm-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document changes to the location (i.e., system or system components) where the information is processed and stored." - } - ] - }, - { - "id": "cm-12_gdn", - "name": "guidance", - "prose": "Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and associated information reside in the system components; and how information is being processed so that information flow can be understood, and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see FIPS 199). The location of the information and system components is also a factor in the architecture and design of the system (see SA-4, SA-8, SA-17)." - } - ], - "controls": [ - { - "id": "cm-12.1", - "class": "SP800-53-enhancement", - "title": "Automated Tools to Support Information Location", - "params": [ - { - "id": "cm-12.1_prm_1", - "label": "organization-defined information by information type" - }, - { - "id": "cm-12.1_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "CM-12(1)" - }, - { - "name": "sort-id", - "value": "CM-12(01)" - } - ], - "parts": [ - { - "id": "cm-12.1_smt", - "name": "statement", - "prose": "Use automated tools to identify {{ insert: param, cm-12.1_prm_1 }} on {{ insert: param, cm-12.1_prm_2 }} to ensure controls are in place to protect organizational information and individual privacy." - }, - { - "id": "cm-12.1_gdn", - "name": "guidance", - "prose": "The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information organization-wide. The output of automated information location tools can be used to guide and inform system architecture and design decisions." - } - ] - } - ] - }, - { - "id": "cm-13", - "class": "SP800-53", - "title": "Data Action Mapping", - "props": [ - { - "name": "label", - "value": "CM-13" - }, - { - "name": "sort-id", - "value": "CM-13" - } - ], - "links": [ - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-13_smt", - "name": "statement", - "prose": "Develop and document a map of system data actions." - }, - { - "id": "cm-13_gdn", - "name": "guidance", - "prose": "Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, components of the system involved in the data actions, and the owners or operators of the components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed on the backend of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system." - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "cp-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "cp-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "CP-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cp-1_prm_2 }} contingency planning policy that:", - "parts": [ - { - "id": "cp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cp-1_prm_3 }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and" - }, - { - "id": "cp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current contingency planning:", - "parts": [ - { - "id": "cp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, cp-1_prm_4 }}; and" - }, - { - "id": "cp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, cp-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "params": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" - } - ], - "props": [ - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "CP-02" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a contingency plan for the system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the contingency plan to {{ insert: param, cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the contingency plan for the system {{ insert: param, cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicate contingency plan changes to {{ insert: param, cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protect the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational missions and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. In addition to availability, contingency plans address other security-related events resulting in a reduction in mission effectiveness including malicious attacks that compromise the integrity of systems or the confidentiality of information. Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system as specified in IR-4(5). Incident response planning is part of contingency planning for organizations and is addressed in the IR (Incident Response) family." - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-2(1)" - }, - { - "name": "sort-id", - "value": "CP-02(01)" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan development with organizational elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Cyber Incident Response Plans, and Occupant Emergency Plans." - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "props": [ - { - "name": "label", - "value": "CP-2(2)" - }, - { - "name": "sort-id", - "value": "CP-02(02)" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential missions and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance." - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Missions and Business Functions", - "params": [ - { - "id": "cp-2.3_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - }, - { - "id": "cp-2.3_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(3)" - }, - { - "name": "sort-id", - "value": "CP-02(03)" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "Plan for the resumption of {{ insert: param, cp-2.3_prm_1 }} missions and business functions within {{ insert: param, cp-2.3_prm_2 }} of contingency plan activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities to resume missions and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of missions and business functions. The time-period for the resumption of missions and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure." - } - ] - }, - { - "id": "cp-2.4", - "class": "SP800-53-enhancement", - "title": "Resume All Missions and Business Functions", - "props": [ - { - "name": "label", - "value": "CP-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-02(04)" - } - ], - "links": [ - { - "href": "#cp-2.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-2.5", - "class": "SP800-53-enhancement", - "title": "Continue Missions and Business Functions", - "params": [ - { - "id": "cp-2.5_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(5)" - }, - { - "name": "sort-id", - "value": "CP-02(05)" - } - ], - "parts": [ - { - "id": "cp-2.5_smt", - "name": "statement", - "prose": "Plan for the continuance of {{ insert: param, cp-2.5_prm_1 }} missions and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites." - }, - { - "id": "cp-2.5_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities to continue missions and business functions as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - } - ] - }, - { - "id": "cp-2.6", - "class": "SP800-53-enhancement", - "title": "Alternate Processing and Storage Sites", - "params": [ - { - "id": "cp-2.6_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(6)" - }, - { - "name": "sort-id", - "value": "CP-02(06)" - } - ], - "parts": [ - { - "id": "cp-2.6_smt", - "name": "statement", - "prose": "Plan for the transfer of {{ insert: param, cp-2.6_prm_1 }} missions and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites." - }, - { - "id": "cp-2.6_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities for alternate processing and storage sites as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - } - ] - }, - { - "id": "cp-2.7", - "class": "SP800-53-enhancement", - "title": "Coordinate with External Service Providers", - "props": [ - { - "name": "label", - "value": "CP-2(7)" - }, - { - "name": "sort-id", - "value": "CP-02(07)" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.7_smt", - "name": "statement", - "prose": "Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "id": "cp-2.7_gdn", - "name": "guidance", - "prose": "When the capability of an organization to carry out its missions and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When missions and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization." - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "params": [ - { - "id": "cp-2.8_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(8)" - }, - { - "name": "sort-id", - "value": "CP-02(08)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "Identify critical system assets supporting {{ insert: param, cp-2.8_prm_1 }} missions and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational missions and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (manually executed operations) and personnel (individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing CP-2(7) as a control enhancement." - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "params": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "CP-03" - } - ], - "links": [ - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "Provide contingency training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ insert: param, cp-3_prm_1 }} of assuming a contingency role or responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "{{ insert: param, cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan." - } - ], - "controls": [ - { - "id": "cp-3.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "CP-3(1)" - }, - { - "name": "sort-id", - "value": "CP-03(01)" - } - ], - "parts": [ - { - "id": "cp-3.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "id": "cp-3.1_gdn", - "name": "guidance", - "prose": "The use of simulated events creates an environment for personnel to experience actual threat events including cyber-attacks that disable web sites, ransom-ware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures." - } - ] - }, - { - "id": "cp-3.2", - "class": "SP800-53-enhancement", - "title": "Mechanisms Used in Training Environments", - "props": [ - { - "name": "label", - "value": "CP-3(2)" - }, - { - "name": "sort-id", - "value": "CP-03(02)" - } - ], - "parts": [ - { - "id": "cp-3.2_smt", - "name": "statement", - "prose": "Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment." - }, - { - "id": "cp-3.2_gdn", - "name": "guidance", - "prose": "Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission/business processes, systems, and/or facilities may be used to generate simulated events and/or to enhance the realism of simulated events during contingency training." - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "params": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests" - } - ], - "props": [ - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "CP-04" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#20bf433b-074c-47a0-8fca-cd591772ccd6", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Test the contingency plan for the system {{ insert: param, cp-4_prm_1 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, cp-4_prm_2 }}." - }, - { - "id": "cp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiate corrective actions, if needed." - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions." - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-4(1)" - }, - { - "name": "sort-id", - "value": "CP-04(01)" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan testing with organizational elements responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations coordinate with those elements." - } - ] - }, - { - "id": "cp-4.2", - "class": "SP800-53-enhancement", - "title": "Alternate Processing Site", - "props": [ - { - "name": "label", - "value": "CP-4(2)" - }, - { - "name": "sort-id", - "value": "CP-04(02)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.2_smt", - "name": "statement", - "prose": "Test the contingency plan at the alternate processing site:", - "parts": [ - { - "id": "cp-4.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "To familiarize contingency personnel with the facility and available resources; and" - }, - { - "id": "cp-4.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "To evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "id": "cp-4.2_gdn", - "name": "guidance", - "prose": "Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience, firsthand, the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational missions and functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing." - } - ] - }, - { - "id": "cp-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "cp-4.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CP-4(3)" - }, - { - "name": "sort-id", - "value": "CP-04(03)" - } - ], - "parts": [ - { - "id": "cp-4.3_smt", - "name": "statement", - "prose": "Test the contingency plan using {{ insert: param, cp-4.3_prm_1 }}." - }, - { - "id": "cp-4.3_gdn", - "name": "guidance", - "prose": "Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations." - } - ] - }, - { - "id": "cp-4.4", - "class": "SP800-53-enhancement", - "title": "Full Recovery and Reconstitution", - "props": [ - { - "name": "label", - "value": "CP-4(4)" - }, - { - "name": "sort-id", - "value": "CP-04(04)" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.4_smt", - "name": "statement", - "prose": "Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing." - }, - { - "id": "cp-4.4_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes." - } - ] - } - ] - }, - { - "id": "cp-5", - "class": "SP800-53", - "title": "Contingency Plan Update", - "props": [ - { - "name": "label", - "value": "CP-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-05" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "props": [ - { - "name": "label", - "value": "CP-6" - }, - { - "name": "sort-id", - "value": "CP-06" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are sites that are geographically distinct from primary storage sites and that maintain duplicate copies of information and data if the primary storage site is not available. In contrast to alternate storage sites, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may also be considered as alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems." - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-6(1)" - }, - { - "name": "sort-id", - "value": "CP-06(01)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - } - ] - }, - { - "id": "cp-6.2", - "class": "SP800-53-enhancement", - "title": "Recovery Time and Recovery Point Objectives", - "props": [ - { - "name": "label", - "value": "CP-6(2)" - }, - { - "name": "sort-id", - "value": "CP-06(02)" - } - ], - "parts": [ - { - "id": "cp-6.2_smt", - "name": "statement", - "prose": "Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives." - }, - { - "id": "cp-6.2_gdn", - "name": "guidance", - "prose": "Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations ensuring accessibility and correct execution." - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-6(3)" - }, - { - "name": "sort-id", - "value": "CP-06(03)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted." - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "params": [ - { - "id": "cp-7_prm_1", - "label": "organization-defined system operations" - }, - { - "id": "cp-7_prm_2", - "label": "organization-defined time-period consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-7" - }, - { - "name": "sort-id", - "value": "CP-07" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-7_prm_1 }} for essential missions and business functions within {{ insert: param, cp-7_prm_2 }} when the primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provide controls at the alternate processing site that are equivalent to those at the primary site." - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are sites that are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives such as failover to a cloud-based service provider or other internally- or externally-provided processing service. Geographically distributed architectures that support contingency requirements may also be considered as alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems." - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-7(1)" - }, - { - "name": "sort-id", - "value": "CP-07(01)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats." - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-7(2)" - }, - { - "name": "sort-id", - "value": "CP-07(02)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk." - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "props": [ - { - "name": "label", - "value": "CP-7(3)" - }, - { - "name": "sort-id", - "value": "CP-07(03)" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning." - } - ] - }, - { - "id": "cp-7.4", - "class": "SP800-53-enhancement", - "title": "Preparation for Use", - "props": [ - { - "name": "label", - "value": "CP-7(4)" - }, - { - "name": "sort-id", - "value": "CP-07(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.4_smt", - "name": "statement", - "prose": "Prepare the alternate processing site so that the site can serve as the operational site supporting essential missions and business functions." - }, - { - "id": "cp-7.4_gdn", - "name": "guidance", - "prose": "Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place." - } - ] - }, - { - "id": "cp-7.5", - "class": "SP800-53-enhancement", - "title": "Equivalent Information Security Safeguards", - "props": [ - { - "name": "label", - "value": "CP-7(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-07(05)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-7.6", - "class": "SP800-53-enhancement", - "title": "Inability to Return to Primary Site", - "props": [ - { - "name": "label", - "value": "CP-7(6)" - }, - { - "name": "sort-id", - "value": "CP-07(06)" - } - ], - "parts": [ - { - "id": "cp-7.6_smt", - "name": "statement", - "prose": "Plan and prepare for circumstances that preclude returning to the primary processing site." - }, - { - "id": "cp-7.6_gdn", - "name": "guidance", - "prose": "There may be situations that preclude an organization from returning to the primary processing site. This can occur, for example, if a natural disaster such as a flood or a hurricane damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent." - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "params": [ - { - "id": "cp-8_prm_1", - "label": "organization-defined system operations" - }, - { - "id": "cp-8_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8" - }, - { - "name": "sort-id", - "value": "CP-08" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-8_prm_1 }} for essential missions and business functions within {{ insert: param, cp-8_prm_2 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "This control applies to telecommunications services (for data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions and business functions despite the loss of primary telecommunications services. Organizations may specify different time-periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines or the use of satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements." - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "props": [ - { - "name": "label", - "value": "CP-8(1)" - }, - { - "name": "sort-id", - "value": "CP-08(01)" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program and the Department of Homeland Security, manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program." - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "props": [ - { - "name": "label", - "value": "CP-8(2)" - }, - { - "name": "sort-id", - "value": "CP-08(02)" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services." - }, - { - "id": "cp-8.2_gdn", - "name": "guidance", - "prose": "In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services." - } - ] - }, - { - "id": "cp-8.3", - "class": "SP800-53-enhancement", - "title": "Separation of Primary and Alternate Providers", - "props": [ - { - "name": "label", - "value": "CP-8(3)" - }, - { - "name": "sort-id", - "value": "CP-08(03)" - } - ], - "parts": [ - { - "id": "cp-8.3_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats." - }, - { - "id": "cp-8.3_gdn", - "name": "guidance", - "prose": "Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment." - } - ] - }, - { - "id": "cp-8.4", - "class": "SP800-53-enhancement", - "title": "Provider Contingency Plan", - "params": [ - { - "id": "cp-8.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8(4)" - }, - { - "name": "sort-id", - "value": "CP-08(04)" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require primary and alternate telecommunications service providers to have contingency plans;" - }, - { - "id": "cp-8.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and" - }, - { - "id": "cp-8.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}." - } - ] - }, - { - "id": "cp-8.4_gdn", - "name": "guidance", - "prose": "Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training." - } - ] - }, - { - "id": "cp-8.5", - "class": "SP800-53-enhancement", - "title": "Alternate Telecommunication Service Testing", - "params": [ - { - "id": "cp-8.5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8(5)" - }, - { - "name": "sort-id", - "value": "CP-08(05)" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.5_smt", - "name": "statement", - "prose": "Test alternate telecommunication services {{ insert: param, cp-8.5_prm_1 }}." - }, - { - "id": "cp-8.5_gdn", - "name": "guidance", - "prose": "Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure there is no degradation in organizational missions or functions." - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "System Backup", - "params": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined system components" - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-9_prm_4", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "CP-09" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#ae412317-c2b4-47bb-b47b-c329ce0d7a0b", - "rel": "reference" - }, - { - "href": "#38dbdf55-9a14-446f-b563-c48e4e3d37fb", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct backups of user-level information contained in {{ insert: param, cp-9_prm_1 }} {{ insert: param, cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct backups of system-level information contained in the system {{ insert: param, cp-9_prm_3 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct backups of system documentation, including security and privacy-related documentation {{ insert: param, cp-9_prm_4 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the confidentiality, integrity, and availability of backup information." - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of backup information while in transit is outside the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability and Integrity", - "params": [ - { - "id": "cp-9.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(1)" - }, - { - "name": "sort-id", - "value": "CP-09(01)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "prose": "Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance." - } - ] - }, - { - "id": "cp-9.2", - "class": "SP800-53-enhancement", - "title": "Test Restoration Using Sampling", - "props": [ - { - "name": "label", - "value": "CP-9(2)" - }, - { - "name": "sort-id", - "value": "CP-09(02)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.2_smt", - "name": "statement", - "prose": "Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing." - }, - { - "id": "cp-9.2_gdn", - "name": "guidance", - "prose": "Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is used to determine if the functions operate as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed." - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "params": [ - { - "id": "cp-9.3_prm_1", - "label": "organization-defined critical system software and other security-related information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(3)" - }, - { - "name": "sort-id", - "value": "CP-09(03)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "Store backup copies of {{ insert: param, cp-9.3_prm_1 }} in a separate facility or in a fire-rated container that is not collocated with the operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire-rated containers." - } - ] - }, - { - "id": "cp-9.4", - "class": "SP800-53-enhancement", - "title": "Protection from Unauthorized Modification", - "props": [ - { - "name": "label", - "value": "CP-9(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-09(04)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-9.5", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage Site", - "params": [ - { - "id": "cp-9.5_prm_1", - "label": "organization-defined time-period and transfer rate consistent with the recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(5)" - }, - { - "name": "sort-id", - "value": "CP-09(05)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.5_smt", - "name": "statement", - "prose": "Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}." - }, - { - "id": "cp-9.5_gdn", - "name": "guidance", - "prose": "System backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media." - } - ] - }, - { - "id": "cp-9.6", - "class": "SP800-53-enhancement", - "title": "Redundant Secondary System", - "props": [ - { - "name": "label", - "value": "CP-9(6)" - }, - { - "name": "sort-id", - "value": "CP-09(06)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.6_smt", - "name": "statement", - "prose": "Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations." - }, - { - "id": "cp-9.6_gdn", - "name": "guidance", - "prose": "The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site." - } - ] - }, - { - "id": "cp-9.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cp-9.7_prm_1", - "label": "organization-defined backup information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(7)" - }, - { - "name": "sort-id", - "value": "CP-09(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the deletion or destruction of {{ insert: param, cp-9.7_prm_1 }}." - }, - { - "id": "cp-9.7_gdn", - "name": "guidance", - "prose": "Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - } - ] - }, - { - "id": "cp-9.8", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "cp-9.8_prm_1", - "label": "organization-defined backup information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(8)" - }, - { - "name": "sort-id", - "value": "CP-09(08)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.8_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-9.8_prm_1 }}." - }, - { - "id": "cp-9.8_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions." - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "System Recovery and Reconstitution", - "params": [ - { - "id": "cp-10_prm_1", - "label": "organization-defined time-period consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "CP-10" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, cp-10_prm_1 }} after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point, recovery time, and reconstitution objectives, and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning." - } - ], - "controls": [ - { - "id": "cp-10.1", - "class": "SP800-53-enhancement", - "title": "Contingency Plan Testing", - "props": [ - { - "name": "label", - "value": "CP-10(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(01)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "props": [ - { - "name": "label", - "value": "CP-10(2)" - }, - { - "name": "sort-id", - "value": "CP-10(02)" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "Implement transaction recovery for systems that are transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling." - } - ] - }, - { - "id": "cp-10.3", - "class": "SP800-53-enhancement", - "title": "Compensating Security Controls", - "props": [ - { - "name": "label", - "value": "CP-10(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(03)" - } - ], - "parts": [ - { - "id": "cp-10.3_smt", - "name": "statement", - "prose": "*Addressed through tailoring procedures.* " - } - ] - }, - { - "id": "cp-10.4", - "class": "SP800-53-enhancement", - "title": "Restore Within Time-period", - "params": [ - { - "id": "cp-10.4_prm_1", - "label": "organization-defined restoration time-periods" - } - ], - "props": [ - { - "name": "label", - "value": "CP-10(4)" - }, - { - "name": "sort-id", - "value": "CP-10(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.4_smt", - "name": "statement", - "prose": "Provide the capability to restore system components within {{ insert: param, cp-10.4_prm_1 }} from configuration-controlled and integrity-protected information representing a known, operational state for the components." - }, - { - "id": "cp-10.4_gdn", - "name": "guidance", - "prose": "Restoration of system components includes reimaging which restores the components to known, operational states." - } - ] - }, - { - "id": "cp-10.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "props": [ - { - "name": "label", - "value": "CP-10(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(05)" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.6", - "class": "SP800-53-enhancement", - "title": "Component Protection", - "props": [ - { - "name": "label", - "value": "CP-10(6)" - }, - { - "name": "sort-id", - "value": "CP-10(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.6_smt", - "name": "statement", - "prose": "Protect system components used for recovery and reconstitution." - }, - { - "id": "cp-10.6_gdn", - "name": "guidance", - "prose": "Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software." - } - ] - } - ] - }, - { - "id": "cp-11", - "class": "SP800-53", - "title": "Alternate Communications Protocols", - "params": [ - { - "id": "cp-11_prm_1", - "label": "organization-defined alternative communications protocols" - } - ], - "props": [ - { - "name": "label", - "value": "CP-11" - }, - { - "name": "sort-id", - "value": "CP-11" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-11_smt", - "name": "statement", - "prose": "Provide the capability to employ {{ insert: param, cp-11_prm_1 }} in support of maintaining continuity of operations." - }, - { - "id": "cp-11_gdn", - "name": "guidance", - "prose": "Contingency plans and the contingency training or testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation." - } - ] - }, - { - "id": "cp-12", - "class": "SP800-53", - "title": "Safe Mode", - "params": [ - { - "id": "cp-12_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "cp-12_prm_2", - "label": "organization-defined restrictions of safe mode of operation" - } - ], - "props": [ - { - "name": "label", - "value": "CP-12" - }, - { - "name": "sort-id", - "value": "CP-12" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#si-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-12_smt", - "name": "statement", - "prose": "When {{ insert: param, cp-12_prm_1 }} are detected, enter a safe mode of operation with {{ insert: param, cp-12_prm_2 }}." - }, - { - "id": "cp-12_gdn", - "name": "guidance", - "prose": "For systems supporting critical missions and business functions, including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth." - } - ] - }, - { - "id": "cp-13", - "class": "SP800-53", - "title": "Alternative Security Mechanisms", - "params": [ - { - "id": "cp-13_prm_1", - "label": "organization-defined alternative or supplemental security mechanisms" - }, - { - "id": "cp-13_prm_2", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "CP-13" - }, - { - "name": "sort-id", - "value": "CP-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-13_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-13_prm_1 }} for satisfying {{ insert: param, cp-13_prm_2 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "id": "cp-13_gdn", - "name": "guidance", - "prose": "Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised." - } - ] - }, - { - "id": "cp-14", - "class": "SP800-53", - "title": "Self-challenge", - "params": [ - { - "id": "cp-14_prm_1", - "label": "organization-defined autonomous service" - }, - { - "id": "cp-14_prm_2", - "label": "organization-defined system or system components" - } - ], - "props": [ - { - "name": "label", - "value": "CP-14" - }, - { - "name": "sort-id", - "value": "CP-14" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "cp-14_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-14_prm_1 }} to {{ insert: param, cp-14_prm_2 }} to affect the system or system components in an adverse manner." - }, - { - "id": "cp-14_gdn", - "name": "guidance", - "prose": "Often the best means of assessing the effectiveness of the controls implemented within a system and the system resilience is to disrupt it in some manner. The autonomous service selected and implemented by the organization could disrupt system services in many ways, including terminating or disabling key system components, changing the configuration of system elements, altering privileges, or degrading critical functionality (e.g., restricting network bandwidth). Such automated, on-going, simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack." - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ia-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ia-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "IA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ia-1_prm_2 }} identification and authentication policy that:", - "parts": [ - { - "id": "ia-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ia-1_prm_3 }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and" - }, - { - "id": "ia-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current identification and authentication:", - "parts": [ - { - "id": "ia-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ia-1_prm_4 }}; and" - }, - { - "id": "ia-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ia-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the IA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "IA-02" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa", - "rel": "reference" - }, - { - "href": "#a8f55663-86c5-415b-aabe-d2a126981d65", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#daf69edb-a0ef-4447-9880-8c4bf553181f", - "rel": "reference" - }, - { - "href": "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "rel": "reference" - }, - { - "href": "#972c10bd-aedf-485f-b0db-f46a402127e2", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12]. Organizational users include employees or individuals that organizations consider having equivalent status of employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8." - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Multifactor Authentication to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "IA-02(01)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "Implement multifactor authentication for access to privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "prose": "Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Multifactor Authentication to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(2)" - }, - { - "name": "sort-id", - "value": "IA-02(02)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "Implement multifactor authentication for access to non-privileged accounts." - }, - { - "id": "ia-2.2_gdn", - "name": "guidance", - "prose": "Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access, privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(03)" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.4", - "class": "SP800-53-enhancement", - "title": "Local Access to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(04)" - } - ], - "links": [ - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Individual Authentication with Group Authentication", - "props": [ - { - "name": "label", - "value": "IA-2(5)" - }, - { - "name": "sort-id", - "value": "IA-02(05)" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Individual authentication prior to shared group authentication helps to mitigate the risk of using group accounts or authenticators." - } - ] - }, - { - "id": "ia-2.6", - "class": "SP800-53-enhancement", - "title": "Access to Accounts \u2014 Separate Device", - "params": [ - { - "id": "ia-2.6_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "network", - "remote" - ] - } - }, - { - "id": "ia-2.6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - }, - { - "id": "ia-2.6_prm_3", - "label": "organization-defined strength of mechanism requirements" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(6)" - }, - { - "name": "sort-id", - "value": "IA-02(06)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.6_smt", - "name": "statement", - "prose": "Implement multifactor authentication for {{ insert: param, ia-2.6_prm_1 }} access to {{ insert: param, ia-2.6_prm_2 }} such that:", - "parts": [ - { - "id": "ia-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "One of the factors is provided by a device separate from the system gaining access; and" - }, - { - "id": "ia-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "The device meets {{ insert: param, ia-2.6_prm_3 }}." - } - ] - }, - { - "id": "ia-2.6_gdn", - "name": "guidance", - "prose": "The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. Adversaries may be able to compromise credentials stored on the system and subsequently impersonate authorized users. Implementing one of the factors in multifactor authentication (e.g., a hardware token) on a separate device, provides a greater strength of mechanism and an increased level of assurance in the authentication process." - } - ] - }, - { - "id": "ia-2.7", - "class": "SP800-53-enhancement", - "title": "Access to Non-privileged Accounts \u2014 Separate Device", - "props": [ - { - "name": "label", - "value": "IA-2(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(07)" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Access to Accounts \u2014 Replay Resistant", - "params": [ - { - "id": "ia-2.8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(8)" - }, - { - "name": "sort-id", - "value": "IA-02(08)" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "Implement replay-resistant authentication mechanisms for access to {{ insert: param, ia-2.8_prm_1 }}." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators." - } - ] - }, - { - "id": "ia-2.9", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts \u2014 Replay Resistant", - "props": [ - { - "name": "label", - "value": "IA-2(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(09)" - } - ], - "links": [ - { - "href": "#ia-2.8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.10", - "class": "SP800-53-enhancement", - "title": "Single Sign-on", - "params": [ - { - "id": "ia-2.10_prm_1", - "label": "organization-defined system accounts and services" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(10)" - }, - { - "name": "sort-id", - "value": "IA-02(10)" - } - ], - "parts": [ - { - "id": "ia-2.10_smt", - "name": "statement", - "prose": "Provide a single sign-on capability for {{ insert: param, ia-2.10_prm_1 }}." - }, - { - "id": "ia-2.10_gdn", - "name": "guidance", - "prose": "Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications and systems (existing and new) that may not be able to natively support multifactor authentication." - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access \u2014 Separate Device", - "props": [ - { - "name": "label", - "value": "IA-2(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(11)" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "props": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "IA-02(12)" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials." - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2]. Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166]. The DOD Common Access Card (CAC) is an example of a PIV credential." - } - ] - }, - { - "id": "ia-2.13", - "class": "SP800-53-enhancement", - "title": "Out-of-band Authentication", - "params": [ - { - "id": "ia-2.13_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "ia-2.13_prm_2", - "label": "organization-defined out-of-band authentication" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(13)" - }, - { - "name": "sort-id", - "value": "IA-02(13)" - } - ], - "links": [ - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.13_smt", - "name": "statement", - "prose": "Implement the following out-of-band authentication mechanisms under {{ insert: param, ia-2.13_prm_1 }}: {{ insert: param, ia-2.13_prm_2 }}." - }, - { - "id": "ia-2.13_gdn", - "name": "guidance", - "prose": "Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user\u2019s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected man-in the-middle attacks. The conditions or criteria for activation can include suspicious activities, new threat indicators or elevated threat levels, or the impact or classification level of information in requested transactions." - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "params": [ - { - "id": "ia-3_prm_1", - "label": "organization-defined devices and/or types of devices" - }, - { - "id": "ia-3_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-3" - }, - { - "name": "sort-id", - "value": "IA-03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-3_prm_1 }} before establishing a {{ insert: param, ia-3_prm_2 }} connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Devices that require unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types can include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on need." - } - ], - "controls": [ - { - "id": "ia-3.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Authentication", - "params": [ - { - "id": "ia-3.1_prm_1", - "label": "organization-defined devices and/or types of devices" - }, - { - "id": "ia-3.1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(1)" - }, - { - "name": "sort-id", - "value": "IA-03(01)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.1_smt", - "name": "statement", - "prose": "Authenticate {{ insert: param, ia-3.1_prm_1 }} before establishing {{ insert: param, ia-3.1_prm_2 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "id": "ia-3.1_gdn", - "name": "guidance", - "prose": "A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk." - } - ] - }, - { - "id": "ia-3.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Network Authentication", - "props": [ - { - "name": "label", - "value": "IA-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-03(02)" - } - ], - "links": [ - { - "href": "#ia-3.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Address Allocation", - "params": [ - { - "id": "ia-3.3_prm_1", - "label": "organization-defined lease information and lease duration" - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(3)" - }, - { - "name": "sort-id", - "value": "IA-03(03)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.3_smt", - "name": "statement", - "parts": [ - { - "id": "ia-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with {{ insert: param, ia-3.3_prm_1 }}; and" - }, - { - "id": "ia-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit lease information when assigned to a device." - } - ] - }, - { - "id": "ia-3.3_gdn", - "name": "guidance", - "prose": "The Dynamic Host Configuration (DHCP) protocol is an example of a means by which clients can dynamically receive network address assignments." - } - ] - }, - { - "id": "ia-3.4", - "class": "SP800-53-enhancement", - "title": "Device Attestation", - "params": [ - { - "id": "ia-3.4_prm_1", - "label": "organization-defined configuration management process" - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(4)" - }, - { - "name": "sort-id", - "value": "IA-03(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.4_smt", - "name": "statement", - "prose": "Handle device identification and authentication based on attestation by {{ insert: param, ia-3.4_prm_1 }}." - }, - { - "id": "ia-3.4_gdn", - "name": "guidance", - "prose": "Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices." - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "params": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "IA-04" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "Manage system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ insert: param, ia-4_prm_1 }} to assign an individual, group, role, service, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, service, or device; and" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ insert: param, ia-4_prm_2 }}." - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include media access control (MAC), Internet Protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices." - } - ], - "controls": [ - { - "id": "ia-4.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Account Identifiers as Public Identifiers", - "props": [ - { - "name": "label", - "value": "IA-4(1)" - }, - { - "name": "sort-id", - "value": "IA-04(01)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.1_smt", - "name": "statement", - "prose": "Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts." - }, - { - "id": "ia-4.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to any publicly disclosed account identifier used for communication including, for example, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and attributes to protect the account." - } - ] - }, - { - "id": "ia-4.2", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-4(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(02)" - } - ], - "links": [ - { - "href": "#ia-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.3", - "class": "SP800-53-enhancement", - "title": "Multiple Forms of Certification", - "props": [ - { - "name": "label", - "value": "IA-4(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(03)" - } - ], - "links": [ - { - "href": "#ia-12.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "params": [ - { - "id": "ia-4.4_prm_1", - "label": "organization-defined characteristic identifying individual status" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(4)" - }, - { - "name": "sort-id", - "value": "IA-04(04)" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-4.4_prm_1 }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics identifying the status of individuals include contractors and foreign nationals. Identifying the status of individuals by characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor." - } - ] - }, - { - "id": "ia-4.5", - "class": "SP800-53-enhancement", - "title": "Dynamic Management", - "params": [ - { - "id": "ia-4.5_prm_1", - "label": "organization-defined dynamic identifier policy" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(5)" - }, - { - "name": "sort-id", - "value": "IA-04(05)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.5_smt", - "name": "statement", - "prose": "Manage individual identifiers dynamically in accordance with {{ insert: param, ia-4.5_prm_1 }}." - }, - { - "id": "ia-4.5_gdn", - "name": "guidance", - "prose": "In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - } - ] - }, - { - "id": "ia-4.6", - "class": "SP800-53-enhancement", - "title": "Cross-organization Management", - "params": [ - { - "id": "ia-4.6_prm_1", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(6)" - }, - { - "name": "sort-id", - "value": "IA-04(06)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.6_smt", - "name": "statement", - "prose": "Coordinate with the following external organizations for cross-organization management of identifiers: {{ insert: param, ia-4.6_prm_1 }}." - }, - { - "id": "ia-4.6_gdn", - "name": "guidance", - "prose": "Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - } - ] - }, - { - "id": "ia-4.7", - "class": "SP800-53-enhancement", - "title": "In-person Registration", - "props": [ - { - "name": "label", - "value": "IA-4(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(07)" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.8", - "class": "SP800-53-enhancement", - "title": "Pairwise Pseudonymous Identifiers", - "props": [ - { - "name": "label", - "value": "IA-4(8)" - }, - { - "name": "sort-id", - "value": "IA-04(08)" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.8_smt", - "name": "statement", - "prose": "Generate pairwise pseudonymous identifiers." - }, - { - "id": "ia-4.8_gdn", - "name": "guidance", - "prose": "A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identify provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner." - } - ] - }, - { - "id": "ia-4.9", - "class": "SP800-53-enhancement", - "title": "Attribute Maintenance and Protection", - "params": [ - { - "id": "ia-4.9_prm_1", - "label": "organization-defined protected central storage" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(9)" - }, - { - "name": "sort-id", - "value": "IA-04(09)" - } - ], - "parts": [ - { - "id": "ia-4.9_smt", - "name": "statement", - "prose": "Maintain the attributes for each uniquely identified individual, device, or service in {{ insert: param, ia-4.9_prm_1 }}." - }, - { - "id": "ia-4.9_gdn", - "name": "guidance", - "prose": "For each of the entities covered in IA-2, IA-3, IA-8, and IA-9, it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store." - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "params": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time-period by authenticator type" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "IA-05" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "rel": "reference" - }, - { - "href": "#972c10bd-aedf-485f-b0db-f46a402127e2", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#24738ee6-b3f3-4e37-825b-58775846bdbc", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "Manage system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for any authenticators issued by the organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Changing default authenticators prior to first use;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing or refreshing authenticators {{ insert: param, ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Authenticators include passwords, cryptographic devices, one-time password devices, and key cards. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements about authenticator content contain specific characteristics or criteria (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators; not sharing authenticators with others; and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed." - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "params": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined composition and complexity rules" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "IA-05(01)" - } - ], - "links": [ - { - "href": "#ia-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "For password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, ia-5.1_prm_1 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Transmit only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Store passwords using an approved hash algorithm and salt, preferably using a keyed hash;" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Require immediate selection of a new password upon account recovery;" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allow user selection of long passwords and passphrases, including spaces and all printable characters;" - }, - { - "id": "ia-5.1_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Employ automated tools to assist the user in selecting strong password authenticators; and" - }, - { - "id": "ia-5.1_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Enforce the following composition and complexity rules: {{ insert: param, ia-5.1_prm_2 }}." - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "Password-based authentication applies to passwords regardless of whether they are used in single-factor or multifactor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly-used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context specific words, for example, the name of the service, username, and derivatives thereof." - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Implement a local cache of revocation data to support path discovery and validation.", - "props": [ - { - "name": "label", - "value": "IA-5(2)" - }, - { - "name": "sort-id", - "value": "IA-05(02)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "prose": "Discussion: Public key cryptography is a valid authentication mechanism for individuals and machines or devices. When PKI is implemented, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network." - }, - { - "id": "ia-5.2_gdn", - "name": "guidance" - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Registration", - "props": [ - { - "name": "label", - "value": "IA-5(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(03)" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "props": [ - { - "name": "label", - "value": "IA-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(04)" - } - ], - "links": [ - { - "href": "#ia-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.5", - "class": "SP800-53-enhancement", - "title": "Change Authenticators Prior to Delivery", - "props": [ - { - "name": "label", - "value": "IA-5(5)" - }, - { - "name": "sort-id", - "value": "IA-05(05)" - } - ], - "parts": [ - { - "id": "ia-5.5_smt", - "name": "statement", - "prose": "Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "id": "ia-5.5_gdn", - "name": "guidance", - "prose": "Changing authenticators prior to delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components." - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(6)" - }, - { - "name": "sort-id", - "value": "IA-05(06)" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process." - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(7)" - }, - { - "name": "sort-id", - "value": "IA-05(07)" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators." - } - ] - }, - { - "id": "ia-5.8", - "class": "SP800-53-enhancement", - "title": "Multiple System Accounts", - "params": [ - { - "id": "ia-5.8_prm_1", - "label": "organization-defined security controls" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(8)" - }, - { - "name": "sort-id", - "value": "IA-05(08)" - } - ], - "parts": [ - { - "id": "ia-5.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ia-5.8_prm_1 }} to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "id": "ia-5.8_gdn", - "name": "guidance", - "prose": "When individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Alternatives include having different authenticators on all systems; employing a single sign-on mechanism; or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see PL-4) and access agreements (see PS-6) to mitigate the risk of multiple system accounts." - } - ] - }, - { - "id": "ia-5.9", - "class": "SP800-53-enhancement", - "title": "Federated Credential Management", - "params": [ - { - "id": "ia-5.9_prm_1", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(9)" - }, - { - "name": "sort-id", - "value": "IA-05(09)" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.9_smt", - "name": "statement", - "prose": "Use the following external organizations to federate authenticators: {{ insert: param, ia-5.9_prm_1 }}." - }, - { - "id": "ia-5.9_gdn", - "name": "guidance", - "prose": "Federation provides the capability for organizations to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - } - ] - }, - { - "id": "ia-5.10", - "class": "SP800-53-enhancement", - "title": "Dynamic Credential Binding", - "params": [ - { - "id": "ia-5.10_prm_1", - "label": "organization-defined binding rules" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(10)" - }, - { - "name": "sort-id", - "value": "IA-05(10)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.10_smt", - "name": "statement", - "prose": "Bind identities and authenticators dynamically using the following rules: {{ insert: param, ia-5.10_prm_1 }}." - }, - { - "id": "ia-5.10_gdn", - "name": "guidance", - "prose": "Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(11)" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - }, - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.12", - "class": "SP800-53-enhancement", - "title": "Biometric Authentication Performance", - "params": [ - { - "id": "ia-5.12_prm_1", - "label": "organization-defined biometric quality requirements" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(12)" - }, - { - "name": "sort-id", - "value": "IA-05(12)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.12_smt", - "name": "statement", - "prose": "For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements {{ insert: param, ia-5.12_prm_1 }}." - }, - { - "id": "ia-5.12_gdn", - "name": "guidance", - "prose": "Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis of comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate as this rate reflects the accuracy of the biometric matching algorithm used by a system." - } - ] - }, - { - "id": "ia-5.13", - "class": "SP800-53-enhancement", - "title": "Expiration of Cached Authenticators", - "params": [ - { - "id": "ia-5.13_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(13)" - }, - { - "name": "sort-id", - "value": "IA-05(13)" - } - ], - "parts": [ - { - "id": "ia-5.13_smt", - "name": "statement", - "prose": "Prohibit the use of cached authenticators after {{ insert: param, ia-5.13_prm_1 }}." - }, - { - "id": "ia-5.13_gdn", - "name": "guidance", - "prose": "If cached authentication information is out-of-date, the validity of the authentication information may be questionable." - } - ] - }, - { - "id": "ia-5.14", - "class": "SP800-53-enhancement", - "title": "Managing Content of PKI Trust Stores", - "props": [ - { - "name": "label", - "value": "IA-5(14)" - }, - { - "name": "sort-id", - "value": "IA-05(14)" - } - ], - "parts": [ - { - "id": "ia-5.14_smt", - "name": "statement", - "prose": "For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications." - }, - { - "id": "ia-5.14_gdn", - "name": "guidance", - "prose": "An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization." - } - ] - }, - { - "id": "ia-5.15", - "class": "SP800-53-enhancement", - "title": "Gsa-approved Products and Services", - "props": [ - { - "name": "label", - "value": "IA-5(15)" - }, - { - "name": "sort-id", - "value": "IA-05(15)" - } - ], - "parts": [ - { - "id": "ia-5.15_smt", - "name": "statement", - "prose": "Use only General Services Administration-approved and validated products and services for identity, credential, and access management." - }, - { - "id": "ia-5.15_gdn", - "name": "guidance", - "prose": "General Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns." - } - ] - }, - { - "id": "ia-5.16", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Authenticator Issuance", - "params": [ - { - "id": "ia-5.16_prm_1", - "label": "organization-defined types of and/or specific authenticators" - }, - { - "id": "ia-5.16_prm_2", - "select": { - "choice": [ - "in person", - "by a trusted external party" - ] - } - }, - { - "id": "ia-5.16_prm_3", - "label": "organization-defined registration authority" - }, - { - "id": "ia-5.16_prm_4", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(16)" - }, - { - "name": "sort-id", - "value": "IA-05(16)" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.16_smt", - "name": "statement", - "prose": "Require that the issuance of {{ insert: param, ia-5.16_prm_1 }} be conducted {{ insert: param, ia-5.16_prm_2 }} before {{ insert: param, ia-5.16_prm_3 }} with authorization by {{ insert: param, ia-5.16_prm_4 }}." - }, - { - "id": "ia-5.16_gdn", - "name": "guidance", - "prose": "Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process." - } - ] - }, - { - "id": "ia-5.17", - "class": "SP800-53-enhancement", - "title": "Presentation Attack Detection for Biometric Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(17)" - }, - { - "name": "sort-id", - "value": "IA-05(17)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.17_smt", - "name": "statement", - "prose": "Employ presentation attack detection mechanisms for biometric-based authentication." - }, - { - "id": "ia-5.17_gdn", - "name": "guidance", - "prose": "Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor." - } - ] - }, - { - "id": "ia-5.18", - "class": "SP800-53-enhancement", - "title": "Password Managers", - "params": [ - { - "id": "ia-5.18_prm_1", - "label": "organization-defined password managers" - }, - { - "id": "ia-5.18_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(18)" - }, - { - "name": "sort-id", - "value": "IA-05(18)" - } - ], - "parts": [ - { - "id": "ia-5.18_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ {{ insert: param, ia-5.18_prm_1 }} to generate and manage passwords; and" - }, - { - "id": "ia-5.18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect the passwords using {{ insert: param, ia-5.18_prm_2 }}." - } - ] - }, - { - "id": "ia-5.18_gdn", - "name": "guidance", - "prose": "For those systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for the various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see IA-5(1)d.) and storing the collection off-line in a token." - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "props": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "IA-06" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "Authenticator feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, for example, desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, for example, mobile devices with small displays, the threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before obscuring it." - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "props": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "IA-07" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role." - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "IA-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include system users other than organizational users explicitly covered by IA-2. Non-organizational users are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors, including security, privacy, scalability, and practicality in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk." - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "props": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "IA-08(01)" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2]." - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of External Credentials", - "props": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "IA-08(02)" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "Accept only external credentials that are NIST-compliant." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "Acceptance of only NIST-compliant external credentials applies to organizational systems that are accessible to the public (e.g., public-facing websites). External credentials are those credentials issued by nonfederal government entities. External credentials are certified as compliant with [SP 800-63-3] by an approved accreditation authority. Approved external credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding federal requirements allows federal government relying parties to trust external credentials at their approved assurance levels." - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "props": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-08(03)" - } - ], - "links": [ - { - "href": "#ia-8.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Nist-issued Profiles", - "props": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "IA-08(04)" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "Conform to NIST-issued profiles for identity management." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "Conformance with NIST-issued profiles for identity management addresses open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols." - } - ] - }, - { - "id": "ia-8.5", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV-I Credentials", - "params": [ - { - "id": "ia-8.5_prm_1", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "IA-8(5)" - }, - { - "name": "sort-id", - "value": "IA-08(05)" - } - ], - "parts": [ - { - "id": "ia-8.5_smt", - "name": "statement", - "prose": "Accept and verify federated or PKI credentials that meet {{ insert: param, ia-8.5_prm_1 }}." - }, - { - "id": "ia-8.5_gdn", - "name": "guidance", - "prose": "This control enhancement can be implemented by PIV , PIV-I, and other commercial or external identity providers. Acceptance and verification of Personal Identity Verification (PIV)-I-compliant credentials applies to both logical and physical access control systems. Acceptance and verification of PIV-I credentials addresses nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy." - } - ] - }, - { - "id": "ia-8.6", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "ia-8.6_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "IA-8(6)" - }, - { - "name": "sort-id", - "value": "IA-08(06)" - } - ], - "parts": [ - { - "id": "ia-8.6_smt", - "name": "statement", - "prose": "Implement the following measures to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties: {{ insert: param, ia-8.6_prm_1 }}." - }, - { - "id": "ia-8.6_gdn", - "name": "guidance", - "prose": "Federated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks." - } - ] - } - ] - }, - { - "id": "ia-9", - "class": "SP800-53", - "title": "Service Identification and Authentication", - "params": [ - { - "id": "ia-9_prm_1", - "label": "organization-defined system services and applications" - } - ], - "props": [ - { - "name": "label", - "value": "IA-9" - }, - { - "name": "sort-id", - "value": "IA-09" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-9_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-9_prm_1 }} before establishing communications with devices, users, or other services or applications." - }, - { - "id": "ia-9_gdn", - "name": "guidance", - "prose": "Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services/applications include information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services. Decisions regarding the validation of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authenticators) are provided to the services that need to act on those decisions." - } - ], - "controls": [ - { - "id": "ia-9.1", - "class": "SP800-53-enhancement", - "title": "Information Exchange", - "props": [ - { - "name": "label", - "value": "IA-9(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-09(01)" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-9.2", - "class": "SP800-53-enhancement", - "title": "Transmission of Decisions", - "props": [ - { - "name": "label", - "value": "IA-9(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-09(02)" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ia-10", - "class": "SP800-53", - "title": "Adaptive Authentication", - "params": [ - { - "id": "ia-10_prm_1", - "label": "organization-defined supplemental authentication techniques or mechanisms" - }, - { - "id": "ia-10_prm_2", - "label": "organization-defined circumstances or situations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-10" - }, - { - "name": "sort-id", - "value": "IA-10" - } - ], - "links": [ - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-10_smt", - "name": "statement", - "prose": "Require individuals accessing the system to employ {{ insert: param, ia-10_prm_1 }} under specific {{ insert: param, ia-10_prm_2 }}." - }, - { - "id": "ia-10_gdn", - "name": "guidance", - "prose": "Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multifactor authentication mechanisms but can augment implementations of these controls." - } - ] - }, - { - "id": "ia-11", - "class": "SP800-53", - "title": "Re-authentication", - "params": [ - { - "id": "ia-11_prm_1", - "label": "organization-defined circumstances or situations requiring re-authentication" - } - ], - "props": [ - { - "name": "label", - "value": "IA-11" - }, - { - "name": "sort-id", - "value": "IA-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-11_smt", - "name": "statement", - "prose": "Require users to re-authenticate when {{ insert: param, ia-11_prm_1 }}." - }, - { - "id": "ia-11_gdn", - "name": "guidance", - "prose": "In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically." - } - ] - }, - { - "id": "ia-12", - "class": "SP800-53", - "title": "Identity Proofing", - "props": [ - { - "name": "label", - "value": "IA-12" - }, - { - "name": "sort-id", - "value": "IA-12" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3c50fa31-7f4d-4d30-91d7-27ee87cd5f75", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12_smt", - "name": "statement", - "parts": [ - { - "id": "ia-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;" - }, - { - "id": "ia-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Resolve user identities to a unique individual; and" - }, - { - "id": "ia-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Collect, validate, and verify identity evidence." - } - ] - }, - { - "id": "ia-12_gdn", - "name": "guidance", - "prose": "Identity proofing is the process of collecting, validating, and verifying user\u2019s identity information for the purposes of issuing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3] and [SP 800-63A]." - } - ], - "controls": [ - { - "id": "ia-12.1", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-12(1)" - }, - { - "name": "sort-id", - "value": "IA-12(01)" - } - ], - "parts": [ - { - "id": "ia-12.1_smt", - "name": "statement", - "prose": "Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "id": "ia-12.1_gdn", - "name": "guidance", - "prose": "Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user\u2019s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user\u2019s privileges are appropriate for the anticipated responsibilities and authorities within the organization." - } - ] - }, - { - "id": "ia-12.2", - "class": "SP800-53-enhancement", - "title": "Identity Evidence", - "props": [ - { - "name": "label", - "value": "IA-12(2)" - }, - { - "name": "sort-id", - "value": "IA-12(02)" - } - ], - "parts": [ - { - "id": "ia-12.2_smt", - "name": "statement", - "prose": "Require evidence of individual identification be presented to the registration authority." - }, - { - "id": "ia-12.2_gdn", - "name": "guidance", - "prose": "Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risk to the systems, roles, and privileges associated with the user\u2019s account." - } - ] - }, - { - "id": "ia-12.3", - "class": "SP800-53-enhancement", - "title": "Identity Evidence Validation and Verification", - "params": [ - { - "id": "ia-12.3_prm_1", - "label": "organizational defined methods of validation and verification" - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(3)" - }, - { - "name": "sort-id", - "value": "IA-12(03)" - } - ], - "parts": [ - { - "id": "ia-12.3_smt", - "name": "statement", - "prose": "Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.3_prm_1 }}." - }, - { - "id": "ia-12.3_gdn", - "name": "guidance", - "prose": "Validating and verifying identity evidence increases the assurance that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an actual person or individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account" - } - ] - }, - { - "id": "ia-12.4", - "class": "SP800-53-enhancement", - "title": "In-person Validation and Verification", - "props": [ - { - "name": "label", - "value": "IA-12(4)" - }, - { - "name": "sort-id", - "value": "IA-12(04)" - } - ], - "parts": [ - { - "id": "ia-12.4_smt", - "name": "statement", - "prose": "Require that the validation and verification of identity evidence be conducted in person before a designated registration authority." - }, - { - "id": "ia-12.4_gdn", - "name": "guidance", - "prose": "In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities." - } - ] - }, - { - "id": "ia-12.5", - "class": "SP800-53-enhancement", - "title": "Address Confirmation", - "params": [ - { - "id": "ia-12.5_prm_1", - "select": { - "choice": [ - "registration code", - "notice of proofing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(5)" - }, - { - "name": "sort-id", - "value": "IA-12(05)" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.5_smt", - "name": "statement", - "prose": "Require that a {{ insert: param, ia-12.5_prm_1 }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record." - }, - { - "id": "ia-12.5_gdn", - "name": "guidance", - "prose": "To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record is the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses." - } - ] - }, - { - "id": "ia-12.6", - "class": "SP800-53-enhancement", - "title": "Accept Externally-proofed Identities", - "params": [ - { - "id": "ia-12.6_prm_1", - "label": "organization-defined identity assurance level" - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(6)" - }, - { - "name": "sort-id", - "value": "IA-12(06)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.6_smt", - "name": "statement", - "prose": "Accept externally-proofed identities at {{ insert: param, ia-12.6_prm_1 }}." - }, - { - "id": "ia-12.6_gdn", - "name": "guidance", - "prose": "To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations." - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ir-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ir-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "IR-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ir-1_prm_2 }} incident response policy that:", - "parts": [ - { - "id": "ir-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ir-1_prm_3 }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and" - }, - { - "id": "ir-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current incident response:", - "parts": [ - { - "id": "ir-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ir-1_prm_4 }}; and" - }, - { - "id": "ir-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ir-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the IR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "params": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "IR-02" - } - ], - "links": [ - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "Provide incident response training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ insert: param, ir-2_prm_1 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "{{ insert: param, ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training is associated with assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and finally, incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of AT-2 or AT-3." - } - ], - "controls": [ - { - "id": "ir-2.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "IR-2(1)" - }, - { - "name": "sort-id", - "value": "IR-02(01)" - } - ], - "parts": [ - { - "id": "ir-2.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "id": "ir-2.1_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations." - } - ] - }, - { - "id": "ir-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Training Environments", - "params": [ - { - "id": "ir-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-2(2)" - }, - { - "name": "sort-id", - "value": "IR-02(02)" - } - ], - "parts": [ - { - "id": "ir-2.2_smt", - "name": "statement", - "prose": "Provide an incident response training environment using {{ insert: param, ir-2.2_prm_1 }}." - }, - { - "id": "ir-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic training scenarios and training environments; and by stressing the response capability." - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "params": [ - { - "id": "ir-3_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ir-3_prm_2", - "label": "organization-defined tests" - } - ], - "props": [ - { - "name": "label", - "value": "IR-3" - }, - { - "name": "sort-id", - "value": "IR-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#20bf433b-074c-47a0-8fca-cd591772ccd6", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "Test the effectiveness of the incident response capability for the system {{ insert: param, ir-3_prm_1 }} using the following tests: {{ insert: param, ir-3_prm_2 }}." - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine the effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes." - } - ], - "controls": [ - { - "id": "ir-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "ir-3.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-3(1)" - }, - { - "name": "sort-id", - "value": "IR-03(01)" - } - ], - "parts": [ - { - "id": "ir-3.1_smt", - "name": "statement", - "prose": "Test the incident response capability using {{ insert: param, ir-3.1_prm_1 }}." - }, - { - "id": "ir-3.1_gdn", - "name": "guidance", - "prose": "Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability." - } - ] - }, - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "props": [ - { - "name": "label", - "value": "IR-3(2)" - }, - { - "name": "sort-id", - "value": "IR-03(02)" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "Coordinate incident response testing with organizational elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Contingency Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans." - } - ] - }, - { - "id": "ir-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "IR-3(3)" - }, - { - "name": "sort-id", - "value": "IR-03(03)" - } - ], - "parts": [ - { - "id": "ir-3.3_smt", - "name": "statement", - "prose": "Use qualitative and quantitative data from testing to:", - "parts": [ - { - "id": "ir-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine the effectiveness of incident response processes;" - }, - { - "id": "ir-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Continuously improve incident response processes; and" - }, - { - "id": "ir-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format." - } - ] - }, - { - "id": "ir-3.3_gdn", - "name": "guidance", - "prose": "To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents." - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "props": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "IR-04" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#35dfd59f-eef2-4f71-bdb5-6d878267456a", - "rel": "reference" - }, - { - "href": "#1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "rel": "reference" - }, - { - "href": "#ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#08f518f7-f9b9-4bee-8986-860214f46b16", - "rel": "reference" - }, - { - "href": "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-10", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and" - }, - { - "id": "ir-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization." - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the capabilities of organizational systems and the mission/business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission/business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive (function), operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. Suspected privacy incidents include a breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk." - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "params": [ - { - "id": "ir-4.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(1)" - }, - { - "name": "sort-id", - "value": "IR-04(01)" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "Support the incident handling process using {{ insert: param, ir-4.1_prm_1 }}." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms supporting incident handling processes include online incident management systems; and tools that support the collection of live response data, full network packet capture, and forensic analysis." - } - ] - }, - { - "id": "ir-4.2", - "class": "SP800-53-enhancement", - "title": "Dynamic Reconfiguration", - "params": [ - { - "id": "ir-4.2_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ir-4.2_prm_2", - "label": "organization-defined types of dynamic reconfiguration" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(2)" - }, - { - "name": "sort-id", - "value": "IR-04(02)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.2_smt", - "name": "statement", - "prose": "Include the following types of dynamic reconfiguration for {{ insert: param, ir-4.2_prm_1 }} as part of the incident response capability: {{ insert: param, ir-4.2_prm_2 }}." - }, - { - "id": "ir-4.2_gdn", - "name": "guidance", - "prose": "Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations perform dynamic reconfiguration of systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats." - } - ] - }, - { - "id": "ir-4.3", - "class": "SP800-53-enhancement", - "title": "Continuity of Operations", - "params": [ - { - "id": "ir-4.3_prm_1", - "label": "organization-defined classes of incidents" - }, - { - "id": "ir-4.3_prm_2", - "label": "organization-defined actions to take in response to classes of incidents" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(3)" - }, - { - "name": "sort-id", - "value": "IR-04(03)" - } - ], - "parts": [ - { - "id": "ir-4.3_smt", - "name": "statement", - "prose": "Identify {{ insert: param, ir-4.3_prm_1 }} and take the following actions in response to those incidents to ensure continuation of organizational missions and business functions: {{ insert: param, ir-4.3_prm_2 }}." - }, - { - "id": "ir-4.3_gdn", - "name": "guidance", - "prose": "Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5)." - } - ] - }, - { - "id": "ir-4.4", - "class": "SP800-53-enhancement", - "title": "Information Correlation", - "props": [ - { - "name": "label", - "value": "IR-4(4)" - }, - { - "name": "sort-id", - "value": "IR-04(04)" - } - ], - "parts": [ - { - "id": "ir-4.4_smt", - "name": "statement", - "prose": "Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response." - }, - { - "id": "ir-4.4_gdn", - "name": "guidance", - "prose": "Sometimes a threat event, for example, a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations." - } - ] - }, - { - "id": "ir-4.5", - "class": "SP800-53-enhancement", - "title": "Automatic Disabling of System", - "params": [ - { - "id": "ir-4.5_prm_1", - "label": "organization-defined security violations" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(5)" - }, - { - "name": "sort-id", - "value": "IR-04(05)" - } - ], - "parts": [ - { - "id": "ir-4.5_smt", - "name": "statement", - "prose": "Implement a configurable capability to automatically disable the system if {{ insert: param, ir-4.5_prm_1 }} are detected." - }, - { - "id": "ir-4.5_gdn", - "name": "guidance", - "prose": "Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of CP-2 or IR-4(3). Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information; serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals." - } - ] - }, - { - "id": "ir-4.6", - "class": "SP800-53-enhancement", - "title": "Insider Threats \u2014 Specific Capabilities", - "props": [ - { - "name": "label", - "value": "IR-4(6)" - }, - { - "name": "sort-id", - "value": "IR-04(06)" - } - ], - "parts": [ - { - "id": "ir-4.6_smt", - "name": "statement", - "prose": "Implement an incident handling capability for incidents involving insider threats." - }, - { - "id": "ir-4.6_gdn", - "name": "guidance", - "prose": "While many organizations address insider threat incidents as part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses." - } - ] - }, - { - "id": "ir-4.7", - "class": "SP800-53-enhancement", - "title": "Insider Threats \u2014 Intra-organization Coordination", - "params": [ - { - "id": "ir-4.7_prm_1", - "label": "organization-defined entities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(7)" - }, - { - "name": "sort-id", - "value": "IR-04(07)" - } - ], - "parts": [ - { - "id": "ir-4.7_smt", - "name": "statement", - "prose": "Coordinate an incident handling capability for insider threats that includes the following organizational entities {{ insert: param, ir-4.7_prm_1 }}." - }, - { - "id": "ir-4.7_gdn", - "name": "guidance", - "prose": "Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies." - } - ] - }, - { - "id": "ir-4.8", - "class": "SP800-53-enhancement", - "title": "Correlation with External Organizations", - "params": [ - { - "id": "ir-4.8_prm_1", - "label": "organization-defined external organizations" - }, - { - "id": "ir-4.8_prm_2", - "label": "organization-defined incident information" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(8)" - }, - { - "name": "sort-id", - "value": "IR-04(08)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.8_smt", - "name": "statement", - "prose": "Coordinate with {{ insert: param, ir-4.8_prm_1 }} to correlate and share {{ insert: param, ir-4.8_prm_2 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "id": "ir-4.8_gdn", - "name": "guidance", - "prose": "The coordination of incident information with external organizations, including mission or business partners, military or coalition partners, customers, and developers, can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization\u2019s operations, assets, and individuals." - } - ] - }, - { - "id": "ir-4.9", - "class": "SP800-53-enhancement", - "title": "Dynamic Response Capability", - "params": [ - { - "id": "ir-4.9_prm_1", - "label": "organization-defined dynamic response capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(9)" - }, - { - "name": "sort-id", - "value": "IR-04(09)" - } - ], - "parts": [ - { - "id": "ir-4.9_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ir-4.9_prm_1 }} to respond to incidents." - }, - { - "id": "ir-4.9_gdn", - "name": "guidance", - "prose": "Dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level." - } - ] - }, - { - "id": "ir-4.10", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-4(10)" - }, - { - "name": "sort-id", - "value": "IR-04(10)" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.10_smt", - "name": "statement", - "prose": "Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain." - }, - { - "id": "ir-4.10_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements." - } - ] - }, - { - "id": "ir-4.11", - "class": "SP800-53-enhancement", - "title": "Integrated Incident Response Team", - "params": [ - { - "id": "ir-4.11_prm_1", - "label": "organization-defined time period" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(11)" - }, - { - "name": "sort-id", - "value": "IR-04(11)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.11_smt", - "name": "statement", - "prose": "Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-4.11_prm_1 }}." - }, - { - "id": "ir-4.11_gdn", - "name": "guidance", - "prose": "An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and can implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations the incident response team can be a cross organizational entity. An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators), to leverage team knowledge of the threat and to implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Incident response teams can be distributed within organizations to make the capability resilient." - } - ] - }, - { - "id": "ir-4.12", - "class": "SP800-53-enhancement", - "title": "Malicious Code and Forensic Analysis", - "params": [ - { - "id": "ir-4.12_prm_1", - "label": "organization-defined residual artifacts" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(12)" - }, - { - "name": "sort-id", - "value": "IR-04(12)" - } - ], - "parts": [ - { - "id": "ir-4.12_smt", - "name": "statement", - "prose": "Analyze [Selection (one or more): malicious code; {{ insert: param, ir-4.12_prm_1 }} remaining in the system after the incident." - }, - { - "id": "ir-4.12_gdn", - "name": "guidance", - "prose": "Analysis of malicious code and other residual artifacts of a security or privacy incident can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. Malicious code analysis can also help the organization develop responses to future incidents." - } - ] - }, - { - "id": "ir-4.13", - "class": "SP800-53-enhancement", - "title": "Behavior Analysis", - "params": [ - { - "id": "ir-4.13_prm_1", - "label": "organization-defined environments or resources" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(13)" - }, - { - "name": "sort-id", - "value": "IR-04(13)" - } - ], - "parts": [ - { - "id": "ir-4.13_smt", - "name": "statement", - "prose": "Analyze anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-4.13_prm_1 }}." - }, - { - "id": "ir-4.13_gdn", - "name": "guidance", - "prose": "If the organization maintains a deception environment, analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight." - } - ] - }, - { - "id": "ir-4.14", - "class": "SP800-53-enhancement", - "title": "Security Operations Center", - "props": [ - { - "name": "label", - "value": "IR-4(14)" - }, - { - "name": "sort-id", - "value": "IR-04(14)" - } - ], - "parts": [ - { - "id": "ir-4.14_smt", - "name": "statement", - "prose": "Establish and maintain a security operations center." - }, - { - "id": "ir-4.14_gdn", - "name": "guidance", - "prose": "A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization\u2019s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such capability." - } - ] - }, - { - "id": "ir-4.15", - "class": "SP800-53-enhancement", - "title": "Publication Relations and Reputation Repair", - "props": [ - { - "name": "label", - "value": "IR-4(15)" - }, - { - "name": "sort-id", - "value": "IR-04(15)" - } - ], - "parts": [ - { - "id": "ir-4.15_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Manage public relations associated with an incident; and" - }, - { - "id": "ir-4.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ measures to repair the reputation of the organization." - } - ] - }, - { - "id": "ir-4.15_gdn", - "name": "guidance", - "prose": "It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public and that have cast the organization in a negative light or affected the organization\u2019s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and effect its ability to effectively carry out its missions and business functions. Taking proactive steps to repair the organization\u2019s reputation is an essential aspect of reestablishing trust and confidence of its constituents." - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "props": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "IR-05" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "Track and document security, privacy, and supply chain incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring; incident reports; incident response teams; user complaints; supply chain partners; audit monitoring; physical access monitoring; and user and administrator reports." - } - ], - "controls": [ - { - "id": "ir-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Tracking, Data Collection, and Analysis", - "params": [ - { - "id": "ir-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-5(1)" - }, - { - "name": "sort-id", - "value": "IR-05(01)" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5.1_smt", - "name": "statement", - "prose": "Track security and privacy incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}." - }, - { - "id": "ir-5.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms for tracking incidents and for collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices." - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "params": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "IR-06" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require personnel to report suspected security, privacy, and supply chain incidents to the organizational incident response capability within {{ insert: param, ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report security, privacy, and supply chain incident information to {{ insert: param, ir-6_prm_2 }}." - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "params": [ - { - "id": "ir-6.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6(1)" - }, - { - "name": "sort-id", - "value": "IR-06(01)" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "Report incidents using {{ insert: param, ir-6.1_prm_1 }}." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "prose": "Reporting recipients are as specified in IR-6b. Automated reporting mechanisms include email, posting on web sites, and automated incident response tools and programs." - } - ] - }, - { - "id": "ir-6.2", - "class": "SP800-53-enhancement", - "title": "Vulnerabilities Related to Incidents", - "params": [ - { - "id": "ir-6.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6(2)" - }, - { - "name": "sort-id", - "value": "IR-06(02)" - } - ], - "parts": [ - { - "id": "ir-6.2_smt", - "name": "statement", - "prose": "Report system vulnerabilities associated with reported incidents to {{ insert: param, ir-6.2_prm_1 }}." - }, - { - "id": "ir-6.2_gdn", - "name": "guidance", - "prose": "Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners; mission/business owners; senior agency information security officers; senior agency officials for privacy; authorizing officials; and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability." - } - ] - }, - { - "id": "ir-6.3", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-6(3)" - }, - { - "name": "sort-id", - "value": "IR-06(03)" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.3_smt", - "name": "statement", - "prose": "Provide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident." - }, - { - "id": "ir-6.3_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents including the ability to improve processes or to identify the root cause of an incident." - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "props": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "IR-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of security, privacy, and supply chain incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required." - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information and Support", - "params": [ - { - "id": "ir-7.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-7(1)" - }, - { - "name": "sort-id", - "value": "IR-07(01)" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "Increase the availability of incident response information and support using {{ insert: param, ir-7.1_prm_1 }}." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support." - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "props": [ - { - "name": "label", - "value": "IR-7(2)" - }, - { - "name": "sort-id", - "value": "IR-07(02)" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identify organizational incident response team members to the external providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs." - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "params": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined entities, personnel, or roles" - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "ir-8_prm_5", - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - } - ], - "props": [ - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "IR-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#389fe193-866e-46b1-bf1d-38904b56aa7b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, ir-8_prm_1 }} {{ insert: param, ir-8_prm_2 }}; and" - }, - { - "id": "ir-8_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Explicitly designates responsibility for incident response to {{ insert: param, ir-8_prm_3 }}." - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the incident response plan to {{ insert: param, ir-8_prm_4 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Communicate incident response plan changes to {{ insert: param, ir-8_prm_5 }}; and" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the incident response plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions and business functions help determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly." - } - ], - "controls": [ - { - "id": "ir-8.1", - "class": "SP800-53-enhancement", - "title": "Privacy Breaches", - "props": [ - { - "name": "label", - "value": "IR-8(1)" - }, - { - "name": "sort-id", - "value": "IR-08(01)" - } - ], - "links": [ - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8.1_smt", - "name": "statement", - "prose": "Include the following in the Incident Response Plan for breaches involving personally identifiable information:", - "parts": [ - { - "id": "ir-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "id": "ir-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and" - }, - { - "id": "ir-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identification of applicable privacy requirements." - } - ] - }, - { - "id": "ir-8.1_gdn", - "name": "guidance", - "prose": "Organizations may be required by law, regulation, or policy to follow specific procedures relating to privacy breaches, including notice to individuals, affected organizations, and oversight bodies, standards of harm, and mitigation or other specific requirements." - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "params": [ - { - "id": "ir-9_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_3", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9" - }, - { - "name": "sort-id", - "value": "IR-09" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "Respond to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigning {{ insert: param, ir-9_prm_1 }} with responsibility for responding to information spills;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifying the specific information involved in the system contamination;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alerting {{ insert: param, ir-9_prm_2 }} of the information spill using a method of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Isolating the contaminated system or system component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Eradicating the information from the contaminated system or component;" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identifying other systems or system components that may have been subsequently contaminated; and" - }, - { - "id": "ir-9_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Performing the following additional actions: {{ insert: param, ir-9_prm_3 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of higher classification or impact level. At that point, corrective action is required. The nature of the response is based upon the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated." - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "props": [ - { - "name": "label", - "value": "IR-9(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IR-09(01)" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "params": [ - { - "id": "ir-9.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(2)" - }, - { - "name": "sort-id", - "value": "IR-09(02)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "Provide information spillage response training {{ insert: param, ir-9.2_prm_1 }}." - }, - { - "id": "ir-9.2_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur." - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "params": [ - { - "id": "ir-9.3_prm_1", - "label": "organization-defined procedures" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(3)" - }, - { - "name": "sort-id", - "value": "IR-09(03)" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-9.3_prm_1 }}." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Correction actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business." - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "params": [ - { - "id": "ir-9.4_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(4)" - }, - { - "name": "sort-id", - "value": "IR-09(04)" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-9.4_prm_1 }}." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information." - } - ] - } - ] - }, - { - "id": "ir-10", - "class": "SP800-53", - "title": "Incident Analysis", - "props": [ - { - "name": "label", - "value": "IR-10" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IR-10" - } - ], - "links": [ - { - "href": "#ir-4.11", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ma-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ma-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "MA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ma-1_prm_2 }} maintenance policy that:", - "parts": [ - { - "id": "ma-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ma-1_prm_3 }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and" - }, - { - "id": "ma-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current maintenance:", - "parts": [ - { - "id": "ma-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ma-1_prm_4 }}; and" - }, - { - "id": "ma-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ma-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the MA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "params": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined information" - }, - { - "id": "ma-2_prm_3", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "MA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require that {{ insert: param, ma-2_prm_1 }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, ma-2_prm_2 }};" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Include the following information in organizational maintenance records: {{ insert: param, ma-2_prm_3 }}." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or equipment removed or replaced. Organizations consider supply chain issues associated with replacement components for systems." - } - ], - "controls": [ - { - "id": "ma-2.1", - "class": "SP800-53-enhancement", - "title": "Record Content", - "props": [ - { - "name": "label", - "value": "MA-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MA-02(01)" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance Activities", - "params": [ - { - "id": "ma-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-2(2)" - }, - { - "name": "sort-id", - "value": "MA-02(02)" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2.2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }}; and" - }, - { - "id": "ma-2.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed." - } - ] - }, - { - "id": "ma-2.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records." - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "params": [ - { - "id": "ma-3_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MA-3" - }, - { - "name": "sort-id", - "value": "MA-03" - } - ], - "links": [ - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve, control, and monitor the use of system maintenance tools; and" - }, - { - "id": "ma-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review previously approved system maintenance tools {{ insert: param, ma-3_prm_1 }}." - } - ] - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "Approving, controlling, monitoring, and reviewing maintenance tools are intended to address security-related issues associated with maintenance tools that are not within system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Such tools can be vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support system maintenance and are a part of the system, including the software implementing \u201cping,\u201d \u201cls,\u201d \u201cipconfig,\u201d or the hardware and software implementing the monitoring port of an Ethernet switch, are not addressed by maintenance tools." - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "props": [ - { - "name": "label", - "value": "MA-3(1)" - }, - { - "name": "sort-id", - "value": "MA-03(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "Maintenance tools can be brought into a facility directly by maintenance personnel or downloaded from a vendor\u2019s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling." - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "props": [ - { - "name": "label", - "value": "MA-3(2)" - }, - { - "name": "sort-id", - "value": "MA-03(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "Check media containing diagnostic and test programs for malicious code before the media are used in the system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures." - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "params": [ - { - "id": "ma-3.3_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MA-3(3)" - }, - { - "name": "sort-id", - "value": "MA-03(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "Prevent the removal of maintenance equipment containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ insert: param, ma-3.3_prm_1 }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards." - } - ] - }, - { - "id": "ma-3.4", - "class": "SP800-53-enhancement", - "title": "Restricted Tool Use", - "props": [ - { - "name": "label", - "value": "MA-3(4)" - }, - { - "name": "sort-id", - "value": "MA-03(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.4_smt", - "name": "statement", - "prose": "Restrict the use of maintenance tools to authorized personnel only." - }, - { - "id": "ma-3.4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to systems that are used to carry out maintenance functions." - } - ] - }, - { - "id": "ma-3.5", - "class": "SP800-53-enhancement", - "title": "Execution with Privilege", - "props": [ - { - "name": "label", - "value": "MA-3(5)" - }, - { - "name": "sort-id", - "value": "MA-03(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.5_smt", - "name": "statement", - "prose": "Monitor the use of maintenance tools that execute with increased privilege." - }, - { - "id": "ma-3.5_gdn", - "name": "guidance", - "prose": "Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible." - } - ] - }, - { - "id": "ma-3.6", - "class": "SP800-53-enhancement", - "title": "Software Updates and Patches", - "props": [ - { - "name": "label", - "value": "MA-3(6)" - }, - { - "name": "sort-id", - "value": "MA-03(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.6_smt", - "name": "statement", - "prose": "Inspect maintenance tools to ensure the latest software updates and patches are installed." - }, - { - "id": "ma-3.6_gdn", - "name": "guidance", - "prose": "Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations." - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "MA-04" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#bbc7085f-b383-444e-af74-722a55cccc0f", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and monitor nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintain records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminate session and network connections when nonlocal maintenance is completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls." - } - ], - "controls": [ - { - "id": "ma-4.1", - "class": "SP800-53-enhancement", - "title": "Logging and Review", - "params": [ - { - "id": "ma-4.1_prm_1", - "label": "organization-defined audit events" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(1)" - }, - { - "name": "sort-id", - "value": "MA-04(01)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance and diagnostic sessions; and" - }, - { - "id": "ma-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review the audit records of the maintenance and diagnostic sessions." - } - ] - }, - { - "id": "ma-4.1_gdn", - "name": "guidance", - "prose": "Audit logging for nonlocal maintenance is enforced by AU-2. Audit events are defined in AU-2a. The review of audit records of maintenance and diagnostic sessions is to detect anomalous behavior." - } - ] - }, - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Logically separated communications paths.", - "props": [ - { - "name": "label", - "value": "MA-4(2)" - }, - { - "name": "sort-id", - "value": "MA-04(02)" - } - ], - "parts": [ - { - "id": "ma-4.2_smt", - "name": "statement", - "prose": "Discussion: Communications paths can be logically separated using encryption." - }, - { - "id": "ma-4.2_gdn", - "name": "guidance" - } - ] - }, - { - "id": "ma-4.3", - "class": "SP800-53-enhancement", - "title": "Comparable Security and Sanitization", - "props": [ - { - "name": "label", - "value": "MA-4(3)" - }, - { - "name": "sort-id", - "value": "MA-04(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - }, - { - "id": "ma-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system." - } - ] - }, - { - "id": "ma-4.3_gdn", - "name": "guidance", - "prose": "Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced." - } - ] - }, - { - "id": "ma-4.4", - "class": "SP800-53-enhancement", - "title": "Authentication and Separation of Maintenance Sessions", - "params": [ - { - "id": "ma-4.4_prm_1", - "label": "organization-defined authenticators that are replay resistant" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(4)" - }, - { - "name": "sort-id", - "value": "MA-04(04)" - } - ], - "parts": [ - { - "id": "ma-4.4_smt", - "name": "statement", - "prose": "Protect nonlocal maintenance sessions by:", - "parts": [ - { - "id": "ma-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employing {{ insert: param, ma-4.4_prm_1 }}; and" - }, - { - "id": "ma-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Separating the maintenance sessions from other network sessions with the system by either:", - "parts": [ - { - "id": "ma-4.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Physically separated communications paths; or" - } - ] - } - ] - } - ] - }, - { - "id": "ma-4.5", - "class": "SP800-53-enhancement", - "title": "Approvals and Notifications", - "params": [ - { - "id": "ma-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-4.5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(5)" - }, - { - "name": "sort-id", - "value": "MA-04(05)" - } - ], - "parts": [ - { - "id": "ma-4.5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require the approval of each nonlocal maintenance session by {{ insert: param, ma-4.5_prm_1 }}; and" - }, - { - "id": "ma-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify the following personnel or roles of the date and time of planned nonlocal maintenance: {{ insert: param, ma-4.5_prm_2 }}." - } - ] - }, - { - "id": "ma-4.5_gdn", - "name": "guidance", - "prose": "Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance." - } - ] - }, - { - "id": "ma-4.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "ma-4.6_prm_1", - "label": "organization-defined cryptographic mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(6)" - }, - { - "name": "sort-id", - "value": "MA-04(06)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.6_smt", - "name": "statement", - "prose": "Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: {{ insert: param, ma-4.6_prm_1 }}." - }, - { - "id": "ma-4.6_gdn", - "name": "guidance", - "prose": "Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to sensitive organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission capability." - } - ] - }, - { - "id": "ma-4.7", - "class": "SP800-53-enhancement", - "title": "Disconnect Verification", - "props": [ - { - "name": "label", - "value": "MA-4(7)" - }, - { - "name": "sort-id", - "value": "MA-04(07)" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.7_smt", - "name": "statement", - "prose": "Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions." - }, - { - "id": "ma-4.7_gdn", - "name": "guidance", - "prose": "This control enhancement ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use." - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "props": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "MA-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "Maintenance personnel refers to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time-periods." - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "params": [ - { - "id": "ma-5.1_prm_1", - "label": "organization-defined alternate controls" - } - ], - "props": [ - { - "name": "label", - "value": "MA-5(1)" - }, - { - "name": "sort-id", - "value": "MA-05(01)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop and implement {{ insert: param, ma-5.1_prm_1 }} in the event a system component cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems." - } - ] - }, - { - "id": "ma-5.2", - "class": "SP800-53-enhancement", - "title": "Security Clearances for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-5(2)" - }, - { - "name": "sort-id", - "value": "MA-05(02)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.2_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system." - }, - { - "id": "ma-5.2_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - } - ] - }, - { - "id": "ma-5.3", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-5(3)" - }, - { - "name": "sort-id", - "value": "MA-05(03)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.3_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "id": "ma-5.3_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U. S. citizens, the same restriction is applied to personnel performing maintenance on those systems." - } - ] - }, - { - "id": "ma-5.4", - "class": "SP800-53-enhancement", - "title": "Foreign Nationals", - "props": [ - { - "name": "label", - "value": "MA-5(4)" - }, - { - "name": "sort-id", - "value": "MA-05(04)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.4_smt", - "name": "statement", - "prose": "Verify that:", - "parts": [ - { - "id": "ma-5.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and" - }, - { - "id": "ma-5.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements." - } - ] - }, - { - "id": "ma-5.4_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - } - ] - }, - { - "id": "ma-5.5", - "class": "SP800-53-enhancement", - "title": "Non-system Maintenance", - "props": [ - { - "name": "label", - "value": "MA-5(5)" - }, - { - "name": "sort-id", - "value": "MA-05(05)" - } - ], - "parts": [ - { - "id": "ma-5.5_smt", - "name": "statement", - "prose": "Verify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations." - }, - { - "id": "ma-5.5_gdn", - "name": "guidance", - "prose": "Personnel performing maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel." - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "params": [ - { - "id": "ma-6_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6" - }, - { - "name": "sort-id", - "value": "MA-06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "Obtain maintenance support and/or spare parts for {{ insert: param, ma-6_prm_1 }} within {{ insert: param, ma-6_prm_2 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place." - } - ], - "controls": [ - { - "id": "ma-6.1", - "class": "SP800-53-enhancement", - "title": "Preventive Maintenance", - "params": [ - { - "id": "ma-6.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6.1_prm_2", - "label": "organization-defined time intervals" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(1)" - }, - { - "name": "sort-id", - "value": "MA-06(01)" - } - ], - "parts": [ - { - "id": "ma-6.1_smt", - "name": "statement", - "prose": "Perform preventive maintenance on {{ insert: param, ma-6.1_prm_1 }} at {{ insert: param, ma-6.1_prm_2 }}." - }, - { - "id": "ma-6.1_gdn", - "name": "guidance", - "prose": "Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications." - } - ] - }, - { - "id": "ma-6.2", - "class": "SP800-53-enhancement", - "title": "Predictive Maintenance", - "params": [ - { - "id": "ma-6.2_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6.2_prm_2", - "label": "organization-defined time intervals" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(2)" - }, - { - "name": "sort-id", - "value": "MA-06(02)" - } - ], - "parts": [ - { - "id": "ma-6.2_smt", - "name": "statement", - "prose": "Perform predictive maintenance on {{ insert: param, ma-6.2_prm_1 }} at {{ insert: param, ma-6.2_prm_2 }}." - }, - { - "id": "ma-6.2_gdn", - "name": "guidance", - "prose": "Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus, minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability." - } - ] - }, - { - "id": "ma-6.3", - "class": "SP800-53-enhancement", - "title": "Automated Support for Predictive Maintenance", - "params": [ - { - "id": "ma-6.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(3)" - }, - { - "name": "sort-id", - "value": "MA-06(03)" - } - ], - "parts": [ - { - "id": "ma-6.3_smt", - "name": "statement", - "prose": "Transfer predictive maintenance data to a maintenance management system using {{ insert: param, ma-6.3_prm_1 }}." - }, - { - "id": "ma-6.3_gdn", - "name": "guidance", - "prose": "A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting." - } - ] - } - ] - }, - { - "id": "ma-7", - "class": "SP800-53", - "title": "Field Maintenance", - "params": [ - { - "id": "ma-7_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "ma-7_prm_2", - "label": "organization-defined trusted maintenance facilities" - } - ], - "props": [ - { - "name": "label", - "value": "MA-7" - }, - { - "name": "sort-id", - "value": "MA-07" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-7_smt", - "name": "statement", - "prose": "Restrict or prohibit field maintenance on {{ insert: param, ma-7_prm_1 }} to {{ insert: param, ma-7_prm_2 }}." - }, - { - "id": "ma-7_gdn", - "name": "guidance", - "prose": "Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls." - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "mp-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "mp-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "MP-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, mp-1_prm_2 }} media protection policy that:", - "parts": [ - { - "id": "mp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, mp-1_prm_3 }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and" - }, - { - "id": "mp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current media protection:", - "parts": [ - { - "id": "mp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, mp-1_prm_4 }}; and" - }, - { - "id": "mp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, mp-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the MP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "params": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "MP-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert: param, mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact disks in the media library to individuals on the system development team is an example of restricting access to digital media." - } - ], - "controls": [ - { - "id": "mp-2.1", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "props": [ - { - "name": "label", - "value": "MP-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-02(01)" - } - ], - "links": [ - { - "href": "#mp-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-2.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-02(02)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "params": [ - { - "id": "mp-3_prm_1", - "label": "organization-defined types of system media" - }, - { - "id": "mp-3_prm_2", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "MP-3" - }, - { - "name": "sort-id", - "value": "MP-03" - } - ], - "links": [ - { - "href": "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempt {{ insert: param, mp-3_prm_1 }} from marking if the media remain within {{ insert: param, mp-3_prm_2 }}." - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes digital and non-digital media. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), flash drives, compact disks, and digital video disks. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002]. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "params": [ - { - "id": "mp-4_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-4_prm_2", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "MP-4" - }, - { - "name": "sort-id", - "value": "MP-04" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }}; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures." - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. For media containing information determined to be in the public domain, to be publicly releasable, or to have limited adverse impact on organizations, operations, or individuals if accessed by other than authorized personnel, fewer controls may be needed. In these situations, physical access controls provide adequate protection." - } - ], - "controls": [ - { - "id": "mp-4.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-4(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-04(01)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "params": [ - { - "id": "mp-4.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MP-4(2)" - }, - { - "name": "sort-id", - "value": "MP-04(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4.2_smt", - "name": "statement", - "prose": "Restrict access to media storage areas, log access attempts, and access granted using {{ insert: param, mp-4.2_prm_1 }}." - }, - { - "id": "mp-4.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms include keypads or card readers on the external entries to media storage areas." - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "params": [ - { - "id": "mp-5_prm_1", - "label": "organization-defined types of system media" - }, - { - "id": "mp-5_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "MP-5" - }, - { - "name": "sort-id", - "value": "MP-05" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect and control {{ insert: param, mp-5_prm_1 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain accountability for system media during transport outside of controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document activities associated with the transport of system media; and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restrict the activities associated with the transport of system media to authorized personnel." - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state and magnetic), compact disks, and digital video disks. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel, and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records." - } - ], - "controls": [ - { - "id": "mp-5.1", - "class": "SP800-53-enhancement", - "title": "Protection Outside of Controlled Areas", - "props": [ - { - "name": "label", - "value": "MP-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(01)" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.2", - "class": "SP800-53-enhancement", - "title": "Documentation of Activities", - "props": [ - { - "name": "label", - "value": "MP-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(02)" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.3", - "class": "SP800-53-enhancement", - "title": "Custodians", - "props": [ - { - "name": "label", - "value": "MP-5(3)" - }, - { - "name": "sort-id", - "value": "MP-05(03)" - } - ], - "parts": [ - { - "id": "mp-5.3_smt", - "name": "statement", - "prose": "Employ an identified custodian during transport of system media outside of controlled areas." - }, - { - "id": "mp-5.3_gdn", - "name": "guidance", - "prose": "Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified." - } - ] - }, - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(04)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "params": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "MP-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#a52271dc-11b5-423a-8b6f-14867bd94259", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, mp-6_prm_2 }}; and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media such as paper and microfilm. The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policies controls the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information." - } - ], - "controls": [ - { - "id": "mp-6.1", - "class": "SP800-53-enhancement", - "title": "Review, Approve, Track, Document, and Verify", - "props": [ - { - "name": "label", - "value": "MP-6(1)" - }, - { - "name": "sort-id", - "value": "MP-06(01)" - } - ], - "parts": [ - { - "id": "mp-6.1_smt", - "name": "statement", - "prose": "Review, approve, track, document, and verify media sanitization and disposal actions." - }, - { - "id": "mp-6.1_gdn", - "name": "guidance", - "prose": "Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions; types of media sanitized; files stored on the media; sanitization methods used; date and time of the sanitization actions; personnel who performed the sanitization; verification actions taken and personnel who performed the verification; and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal." - } - ] - }, - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-6.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(2)" - }, - { - "name": "sort-id", - "value": "MP-06(02)" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to verify that the intended sanitization is being achieved." - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers." - } - ] - }, - { - "id": "mp-6.3", - "class": "SP800-53-enhancement", - "title": "Nondestructive Techniques", - "params": [ - { - "id": "mp-6.3_prm_1", - "label": "organization-defined circumstances requiring sanitization of portable storage devices" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(3)" - }, - { - "name": "sort-id", - "value": "MP-06(03)" - } - ], - "parts": [ - { - "id": "mp-6.3_smt", - "name": "statement", - "prose": "Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-6.3_prm_1 }}." - }, - { - "id": "mp-6.3_gdn", - "name": "guidance", - "prose": "Portable storage devices include external or removable hard disk drives (solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and can contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices." - } - ] - }, - { - "id": "mp-6.4", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-6(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(04)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.5", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-6(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(05)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.6", - "class": "SP800-53-enhancement", - "title": "Media Destruction", - "props": [ - { - "name": "label", - "value": "MP-6(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(06)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "mp-6.7_prm_1", - "label": "organization-defined system media" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(7)" - }, - { - "name": "sort-id", - "value": "MP-06(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the sanitization of {{ insert: param, mp-6.7_prm_1 }}." - }, - { - "id": "mp-6.7_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - } - ] - }, - { - "id": "mp-6.8", - "class": "SP800-53-enhancement", - "title": "Remote Purging or Wiping of Information", - "params": [ - { - "id": "mp-6.8_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "mp-6.8_prm_2", - "select": { - "choice": [ - "remotely", - "under the following conditions: {{ insert: param, mp-6.8_prm_3 }} " - ] - } - }, - { - "id": "mp-6.8_prm_3", - "depends-on": "mp-6.8_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(8)" - }, - { - "name": "sort-id", - "value": "MP-06(08)" - } - ], - "parts": [ - { - "id": "mp-6.8_smt", - "name": "statement", - "prose": "Provide the capability to purge or wipe information from {{ insert: param, mp-6.8_prm_1 }} {{ insert: param, mp-6.8_prm_2 }}." - }, - { - "id": "mp-6.8_gdn", - "name": "guidance", - "prose": "Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data." - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "params": [ - { - "id": "mp-7_prm_1", - "select": { - "choice": [ - "Restrict", - "Prohibit" - ] - } - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "MP-07" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "parts": [ - { - "id": "mp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, mp-7_prm_1 }} the use of {{ insert: param, mp-7_prm_2 }} on {{ insert: param, mp-7_prm_3 }} using {{ insert: param, mp-7_prm_4 }}; and" - }, - { - "id": "mp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner." - } - ] - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact disks, digital video disks, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capability. In contrast to MP-2, which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling or removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices." - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "props": [ - { - "name": "label", - "value": "MP-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-07(01)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-7.2", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Sanitization-resistant Media", - "props": [ - { - "name": "label", - "value": "MP-7(2)" - }, - { - "name": "sort-id", - "value": "MP-07(02)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7.2_smt", - "name": "statement", - "prose": "Prohibit the use of sanitization-resistant media in organizational systems." - }, - { - "id": "mp-7.2_gdn", - "name": "guidance", - "prose": "Sanitization-resistance refers to non-destructive sanitization techniques and applies to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include compact flash, embedded flash on boards and devices, solid state drives, and USB removable media." - } - ] - } - ] - }, - { - "id": "mp-8", - "class": "SP800-53", - "title": "Media Downgrading", - "params": [ - { - "id": "mp-8_prm_1", - "label": "organization-defined system media downgrading process" - }, - { - "id": "mp-8_prm_2", - "label": "organization-defined system media requiring downgrading" - } - ], - "props": [ - { - "name": "label", - "value": "MP-8" - }, - { - "name": "sort-id", - "value": "MP-08" - } - ], - "parts": [ - { - "id": "mp-8_smt", - "name": "statement", - "parts": [ - { - "id": "mp-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, mp-8_prm_1 }} that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - }, - { - "id": "mp-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;" - }, - { - "id": "mp-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify {{ insert: param, mp-8_prm_2 }}; and" - }, - { - "id": "mp-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Downgrade the identified system media using the established process." - } - ] - }, - { - "id": "mp-8_gdn", - "name": "guidance", - "prose": "Media downgrading applies to digital and non-digital media, subject to release outside the organization, whether the media is considered removable or not removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading also ensures that empty space on the media is devoid of information." - } - ], - "controls": [ - { - "id": "mp-8.1", - "class": "SP800-53-enhancement", - "title": "Documentation of Process", - "props": [ - { - "name": "label", - "value": "MP-8(1)" - }, - { - "name": "sort-id", - "value": "MP-08(01)" - } - ], - "parts": [ - { - "id": "mp-8.1_smt", - "name": "statement", - "prose": "Document system media downgrading actions." - }, - { - "id": "mp-8.1_gdn", - "name": "guidance", - "prose": "Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action." - } - ] - }, - { - "id": "mp-8.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-8.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-8(2)" - }, - { - "name": "sort-id", - "value": "MP-08(02)" - } - ], - "parts": [ - { - "id": "mp-8.2_smt", - "name": "statement", - "prose": "Test downgrading equipment and procedures {{ insert: param, mp-8.2_prm_1 }} to verify that downgrading actions are being achieved." - }, - { - "id": "mp-8.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "mp-8.3", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-8(3)" - }, - { - "name": "sort-id", - "value": "MP-08(03)" - } - ], - "parts": [ - { - "id": "mp-8.3_smt", - "name": "statement", - "prose": "Downgrade system media containing controlled unclassified information prior to public release." - }, - { - "id": "mp-8.3_gdn", - "name": "guidance", - "prose": "Downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures." - } - ] - }, - { - "id": "mp-8.4", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-8(4)" - }, - { - "name": "sort-id", - "value": "MP-08(04)" - } - ], - "parts": [ - { - "id": "mp-8.4_smt", - "name": "statement", - "prose": "Downgrade system media containing classified information prior to release to individuals without required access authorizations." - }, - { - "id": "mp-8.4_gdn", - "name": "guidance", - "prose": "Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media." - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pe-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pe-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "PE-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pe-1_prm_2 }} physical and environmental protection policy that:", - "parts": [ - { - "id": "pe-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pe-1_prm_3 }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and" - }, - { - "id": "pe-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current physical and environmental protection:", - "parts": [ - { - "id": "pe-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pe-1_prm_4 }}; and" - }, - { - "id": "pe-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pe-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PE family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "params": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "PE-02" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issue authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the access list detailing authorized facility access by individuals {{ insert: param, pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remove individuals from the facility access list when access is no longer required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include biometrics, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations are not necessary to access areas within facilities that are designated as publicly accessible." - } - ], - "controls": [ - { - "id": "pe-2.1", - "class": "SP800-53-enhancement", - "title": "Access by Position or Role", - "props": [ - { - "name": "label", - "value": "PE-2(1)" - }, - { - "name": "sort-id", - "value": "PE-02(01)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.1_smt", - "name": "statement", - "prose": "Authorize physical access to the facility where the system resides based on position or role." - }, - { - "id": "pe-2.1_gdn", - "name": "guidance", - "prose": "Role-based facility access includes permanent maintenance personnel, duty officers, or emergency medical staff." - } - ] - }, - { - "id": "pe-2.2", - "class": "SP800-53-enhancement", - "title": "Two Forms of Identification", - "params": [ - { - "id": "pe-2.2_prm_1", - "label": "organization-defined list of acceptable forms of identification" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2(2)" - }, - { - "name": "sort-id", - "value": "PE-02(02)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.2_smt", - "name": "statement", - "prose": "Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: {{ insert: param, pe-2.2_prm_1 }}." - }, - { - "id": "pe-2.2_gdn", - "name": "guidance", - "prose": "Acceptable forms of identification include passports, REAL ID-compliant drivers\u2019 licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics." - } - ] - }, - { - "id": "pe-2.3", - "class": "SP800-53-enhancement", - "title": "Restrict Unescorted Access", - "params": [ - { - "id": "pe-2.3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "security clearances for all information contained within the system", - "formal access authorizations for all information contained within the system", - "need for access to all information contained within the system", - " {{ insert: param, pe-2.3_prm_2 }} " - ] - } - }, - { - "id": "pe-2.3_prm_2", - "depends-on": "pe-2.3_prm_1", - "label": "organization-defined credentials" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2(3)" - }, - { - "name": "sort-id", - "value": "PE-02(03)" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.3_smt", - "name": "statement", - "prose": "Restrict unescorted access to the facility where the system resides to personnel with {{ insert: param, pe-2.3_prm_1 }}." - }, - { - "id": "pe-2.3_gdn", - "name": "guidance", - "prose": "Individuals without required security clearances, access approvals, or need to know, are escorted by individuals with appropriate credentials to ensure that information is not exposed or otherwise compromised." - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "params": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry and exit points to the facility where the system resides" - }, - { - "id": "pe-3_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pe-3_prm_3 }} ", - "guards" - ] - } - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems or devices" - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry or exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined controls" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and monitoring" - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency" - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "PE-03" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce physical access authorizations at {{ insert: param, pe-3_prm_1 }} by:", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress and egress to the facility using {{ insert: param, pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain physical access audit logs for {{ insert: param, pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, pe-3_prm_5 }};" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escort visitors and monitor visitor activity {{ insert: param, pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secure keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventory {{ insert: param, pe-3_prm_7 }} every {{ insert: param, pe-3_prm_8 }}; and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Change combinations and keys {{ insert: param, pe-3_prm_9 }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "Physical access control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components." - } - ], - "controls": [ - { - "id": "pe-3.1", - "class": "SP800-53-enhancement", - "title": "System Access", - "params": [ - { - "id": "pe-3.1_prm_1", - "label": "organization-defined physical spaces containing one or more components of the system" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(1)" - }, - { - "name": "sort-id", - "value": "PE-03(01)" - } - ], - "parts": [ - { - "id": "pe-3.1_smt", - "name": "statement", - "prose": "Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-3.1_prm_1 }}." - }, - { - "id": "pe-3.1_gdn", - "name": "guidance", - "prose": "Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components." - } - ] - }, - { - "id": "pe-3.2", - "class": "SP800-53-enhancement", - "title": "Facility and Systems", - "params": [ - { - "id": "pe-3.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(2)" - }, - { - "name": "sort-id", - "value": "PE-03(02)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.2_smt", - "name": "statement", - "prose": "Perform security checks {{ insert: param, pe-3.2_prm_1 }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "id": "pe-3.2_gdn", - "name": "guidance", - "prose": "Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration." - } - ] - }, - { - "id": "pe-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Guards", - "params": [ - { - "id": "pe-3.3_prm_1", - "label": "organization-defined physical access points" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(3)" - }, - { - "name": "sort-id", - "value": "PE-03(03)" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.3_smt", - "name": "statement", - "prose": "Employ guards to control {{ insert: param, pe-3.3_prm_1 }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "id": "pe-3.3_gdn", - "name": "guidance", - "prose": "Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance." - } - ] - }, - { - "id": "pe-3.4", - "class": "SP800-53-enhancement", - "title": "Lockable Casings", - "params": [ - { - "id": "pe-3.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(4)" - }, - { - "name": "sort-id", - "value": "PE-03(04)" - } - ], - "parts": [ - { - "id": "pe-3.4_smt", - "name": "statement", - "prose": "Use lockable physical casings to protect {{ insert: param, pe-3.4_prm_1 }} from unauthorized physical access." - }, - { - "id": "pe-3.4_gdn", - "name": "guidance", - "prose": "The greatest risk from the use of portable devices such as notebook computers, tablets, and smart phones is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment." - } - ] - }, - { - "id": "pe-3.5", - "class": "SP800-53-enhancement", - "title": "Tamper Protection", - "params": [ - { - "id": "pe-3.5_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pe-3.5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "detect", - "prevent" - ] - } - }, - { - "id": "pe-3.5_prm_3", - "label": "organization-defined hardware components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(5)" - }, - { - "name": "sort-id", - "value": "PE-03(05)" - } - ], - "links": [ - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-3.5_prm_1 }} to {{ insert: param, pe-3.5_prm_2 }} physical tampering or alteration of {{ insert: param, pe-3.5_prm_3 }} within the system." - }, - { - "id": "pe-3.5_gdn", - "name": "guidance", - "prose": "Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks." - } - ] - }, - { - "id": "pe-3.6", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "props": [ - { - "name": "label", - "value": "PE-3(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-03(06)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-3.7", - "class": "SP800-53-enhancement", - "title": "Physical Barriers", - "props": [ - { - "name": "label", - "value": "PE-3(7)" - }, - { - "name": "sort-id", - "value": "PE-03(07)" - } - ], - "parts": [ - { - "id": "pe-3.7_smt", - "name": "statement", - "prose": "Limit access using physical barriers." - }, - { - "id": "pe-3.7_gdn", - "name": "guidance", - "prose": "Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers." - } - ] - }, - { - "id": "pe-3.8", - "class": "SP800-53-enhancement", - "title": "Access Control Vestibules", - "params": [ - { - "id": "pe-3.8_prm_1", - "label": "organization-defined locations within the facility" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(8)" - }, - { - "name": "sort-id", - "value": "PE-03(08)" - } - ], - "parts": [ - { - "id": "pe-3.8_smt", - "name": "statement", - "prose": "Employ access control vestibules at {{ insert: param, pe-3.8_prm_1 }}." - }, - { - "id": "pe-3.8_gdn", - "name": "guidance", - "prose": "An access control vestibule, or mantrap, is part of a physical access control system that typically provides a space between two sets of interlocking doors. Mantraps are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Mantraps can also be used to limit the number of individuals entering controlled access points and to provide containment areas to verify credentials. Mantraps can be fully automated, controlling the opening and closing of the interlocking doors, or partially automated using security guards to control the number of individuals entering the mantrap." - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission", - "params": [ - { - "id": "pe-4_prm_1", - "label": "organization-defined system distribution and transmission lines" - }, - { - "id": "pe-4_prm_2", - "label": "organization-defined security controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-4" - }, - { - "name": "sort-id", - "value": "PE-04" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "Control physical access to {{ insert: param, pe-4_prm_1 }} within organizational facilities using {{ insert: param, pe-4_prm_2 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors." - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "params": [ - { - "id": "pe-5_prm_1", - "label": "organization-defined output devices" - } - ], - "props": [ - { - "name": "label", - "value": "PE-5" - }, - { - "name": "sort-id", - "value": "PE-05" - } - ], - "links": [ - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "Control physical access to output from {{ insert: param, pe-5_prm_1 }} to prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only; placing output devices in locations that can be monitored by personnel; installing monitor or screen filters; and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers." - } - ], - "controls": [ - { - "id": "pe-5.1", - "class": "SP800-53-enhancement", - "title": "Access to Output by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "PE-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-05(01)" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-5.2", - "class": "SP800-53-enhancement", - "title": "Link to Individual Identity", - "props": [ - { - "name": "label", - "value": "PE-5(2)" - }, - { - "name": "sort-id", - "value": "PE-05(02)" - } - ], - "parts": [ - { - "id": "pe-5.2_smt", - "name": "statement", - "prose": "Link individual identity to receipt of output from output devices." - }, - { - "id": "pe-5.2_gdn", - "name": "guidance", - "prose": "Methods to link individual identity to receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals." - } - ] - }, - { - "id": "pe-5.3", - "class": "SP800-53-enhancement", - "title": "Marking Output Devices", - "params": [ - { - "id": "pe-5.3_prm_1", - "label": "organization-defined system output devices" - } - ], - "props": [ - { - "name": "label", - "value": "PE-5(3)" - }, - { - "name": "sort-id", - "value": "PE-05(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5.3_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-5.3_prm_1 }} indicating the security marking of the types of information output from the device." - }, - { - "id": "pe-5.3_gdn", - "name": "guidance", - "prose": "Permissions controlling the output to outputs devices are addressed in AC-3 or AC-4. Outputs devices include printers, monitors, facsimile machines, scanners, copiers, and audio devices." - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "params": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "PE-06" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review physical access logs {{ insert: param, pe-6_prm_1 }} and upon occurrence of {{ insert: param, pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate results of reviews and investigations with the organizational incident response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Physical access monitoring includes publicly accessible areas within organizational facilities. Physical access monitoring can be accomplished, for example, by the employment of guards, video surveillance equipment (i.e., cameras), or sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls such as AU-2 if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses." - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms and Surveillance Equipment", - "props": [ - { - "name": "label", - "value": "PE-6(1)" - }, - { - "name": "sort-id", - "value": "PE-06(01)" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment." - }, - { - "id": "pe-6.1_gdn", - "name": "guidance", - "prose": "Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards, triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, for example, motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility." - } - ] - }, - { - "id": "pe-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Intrusion Recognition and Responses", - "params": [ - { - "id": "pe-6.2_prm_1", - "label": "organization-defined classes or types of intrusions" - }, - { - "id": "pe-6.2_prm_2", - "label": "organization-defined response actions" - }, - { - "id": "pe-6.2_prm_3", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(2)" - }, - { - "name": "sort-id", - "value": "PE-06(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6.2_smt", - "name": "statement", - "prose": "Recognize {{ insert: param, pe-6.2_prm_1 }} and initiate {{ insert: param, pe-6.2_prm_2 }} using {{ insert: param, pe-6.2_prm_3 }}." - }, - { - "id": "pe-6.2_gdn", - "name": "guidance", - "prose": "Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization." - } - ] - }, - { - "id": "pe-6.3", - "class": "SP800-53-enhancement", - "title": "Video Surveillance", - "params": [ - { - "id": "pe-6.3_prm_1", - "label": "organization-defined operational areas" - }, - { - "id": "pe-6.3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pe-6.3_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(3)" - }, - { - "name": "sort-id", - "value": "PE-06(03)" - } - ], - "parts": [ - { - "id": "pe-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ video surveillance of {{ insert: param, pe-6.3_prm_1 }};" - }, - { - "id": "pe-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review video recordings {{ insert: param, pe-6.3_prm_2 }}; and" - }, - { - "id": "pe-6.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retain video recordings for {{ insert: param, pe-6.3_prm_3 }}." - } - ] - }, - { - "id": "pe-6.3_gdn", - "name": "guidance", - "prose": "Video surveillance focuses on recording activity in specified areas for purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location." - } - ] - }, - { - "id": "pe-6.4", - "class": "SP800-53-enhancement", - "title": "Monitoring Physical Access to Systems", - "params": [ - { - "id": "pe-6.4_prm_1", - "label": "organization-defined physical spaces containing one or more components of the system" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(4)" - }, - { - "name": "sort-id", - "value": "PE-06(04)" - } - ], - "parts": [ - { - "id": "pe-6.4_smt", - "name": "statement", - "prose": "Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-6.4_prm_1 }}." - }, - { - "id": "pe-6.4_gdn", - "name": "guidance", - "prose": "Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization." - } - ] - } - ] - }, - { - "id": "pe-7", - "class": "SP800-53", - "title": "Visitor Control", - "props": [ - { - "name": "label", - "value": "PE-7" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-07" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - }, - { - "href": "#pe-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "params": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pe-8_prm_3", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "PE-08" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain visitor access records to the facility where the system resides for {{ insert: param, pe-8_prm_1 }};" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review visitor access records {{ insert: param, pe-8_prm_2 }}; and" - }, - { - "id": "pe-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Report anomalies in visitor access records to {{ insert: param, pe-8_prm_3 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Reviews of access records determines if access authorizations are current and still required to support organizational missions and business functions. Access records are not required for publicly accessible areas." - } - ], - "controls": [ - { - "id": "pe-8.1", - "class": "SP800-53-enhancement", - "title": "Automated Records Maintenance and Review", - "params": [ - { - "id": "pe-8.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-8(1)" - }, - { - "name": "sort-id", - "value": "PE-08(01)" - } - ], - "parts": [ - { - "id": "pe-8.1_smt", - "name": "statement", - "prose": "Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}." - }, - { - "id": "pe-8.1_gdn", - "name": "guidance", - "prose": "Visitor access records can be stored and maintained, for example, in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on regular basis to determine if access authorizations are current and still required to support organizational missions and business functions." - } - ] - }, - { - "id": "pe-8.2", - "class": "SP800-53-enhancement", - "title": "Physical Access Records", - "props": [ - { - "name": "label", - "value": "PE-8(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-08(02)" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "props": [ - { - "name": "label", - "value": "PE-9" - }, - { - "name": "sort-id", - "value": "PE-09" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "Protect power equipment and power cabling for the system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. Power equipment and cabling includes generators and power cabling outside of buildings; internal cabling and uninterruptable power sources in offices or data centers; and power sources for self-contained components such as satellites, vehicles, and other deployable systems." - } - ], - "controls": [ - { - "id": "pe-9.1", - "class": "SP800-53-enhancement", - "title": "Redundant Cabling", - "params": [ - { - "id": "pe-9.1_prm_1", - "label": "organization-defined distance" - } - ], - "props": [ - { - "name": "label", - "value": "PE-9(1)" - }, - { - "name": "sort-id", - "value": "PE-09(01)" - } - ], - "parts": [ - { - "id": "pe-9.1_smt", - "name": "statement", - "prose": "Employ redundant power cabling paths that are physically separated by {{ insert: param, pe-9.1_prm_1 }}." - }, - { - "id": "pe-9.1_gdn", - "name": "guidance", - "prose": "Physically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged." - } - ] - }, - { - "id": "pe-9.2", - "class": "SP800-53-enhancement", - "title": "Automatic Voltage Controls", - "params": [ - { - "id": "pe-9.2_prm_1", - "label": "organization-defined critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-9(2)" - }, - { - "name": "sort-id", - "value": "PE-09(02)" - } - ], - "parts": [ - { - "id": "pe-9.2_smt", - "name": "statement", - "prose": "Employ automatic voltage controls for {{ insert: param, pe-9.2_prm_1 }}." - }, - { - "id": "pe-9.2_gdn", - "name": "guidance", - "prose": "Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers." - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "params": [ - { - "id": "pe-10_prm_1", - "label": "organization-defined system or individual system components" - }, - { - "id": "pe-10_prm_2", - "label": "organization-defined location by system or system component" - } - ], - "props": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "PE-10" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the capability of shutting off power to {{ insert: param, pe-10_prm_1 }} in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Place emergency shutoff switches or devices in {{ insert: param, pe-10_prm_2 }} to facilitate access for authorized personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "Emergency power shutoff applies primarily to organizational facilities containing concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery." - } - ], - "controls": [ - { - "id": "pe-10.1", - "class": "SP800-53-enhancement", - "title": "Accidental and Unauthorized Activation", - "props": [ - { - "name": "label", - "value": "PE-10(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-10(01)" - } - ], - "links": [ - { - "href": "#pe-10", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "params": [ - { - "id": "pe-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "an orderly shutdown of the system", - "transition of the system to long-term alternate power" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "PE-11" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_prm_1 }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "prose": "An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of most UPS is relatively short but provides sufficient time to start a standby power source such as a backup generator or properly shut down the system." - } - ], - "controls": [ - { - "id": "pe-11.1", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply \u2014 Minimal Operational Capability", - "params": [ - { - "id": "pe-11.1_prm_1", - "select": { - "choice": [ - "manually", - "automatically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(1)" - }, - { - "name": "sort-id", - "value": "PE-11(01)" - } - ], - "parts": [ - { - "id": "pe-11.1_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.1_prm_1 }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source." - }, - { - "id": "pe-11.1_gdn", - "name": "guidance", - "prose": "Provision of an alternate power supply with minimal operating capability can be satisfied, for example, by accessing a secondary commercial power supply or other external power supply." - } - ] - }, - { - "id": "pe-11.2", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply \u2014 Self-contained", - "params": [ - { - "id": "pe-11.2_prm_1", - "select": { - "choice": [ - "manually", - "automatically" - ] - } - }, - { - "id": "pe-11.2_prm_2", - "select": { - "choice": [ - "minimally required operational capability", - "full operational capability" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(2)" - }, - { - "name": "sort-id", - "value": "PE-11(02)" - } - ], - "parts": [ - { - "id": "pe-11.2_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.2_prm_1 }} and that is:", - "parts": [ - { - "id": "pe-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Self-contained;" - }, - { - "id": "pe-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Not reliant on external power generation; and" - }, - { - "id": "pe-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Capable of maintaining {{ insert: param, pe-11.2_prm_2 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "id": "pe-11.2_gdn", - "name": "guidance", - "prose": "The provision of a long-term, self-contained power supply, can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization." - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "props": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "PE-12" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "The provision of emergency lighting applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system cannot be provided or fails, organizations consider alternate processing sites." - } - ], - "controls": [ - { - "id": "pe-12.1", - "class": "SP800-53-enhancement", - "title": "Essential Missions and Business Functions", - "props": [ - { - "name": "label", - "value": "PE-12(1)" - }, - { - "name": "sort-id", - "value": "PE-12(01)" - } - ], - "parts": [ - { - "id": "pe-12.1_smt", - "name": "statement", - "prose": "Provide emergency lighting for all areas within the facility supporting essential missions and business functions." - }, - { - "id": "pe-12.1_gdn", - "name": "guidance", - "prose": "Organizations define their essential missions and functions." - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "props": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "PE-13" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "Employ and maintain fire detection and suppression systems that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "The provision of fire detection and suppression systems applies to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems, fixed fire hoses, and smoke detectors." - } - ], - "controls": [ - { - "id": "pe-13.1", - "class": "SP800-53-enhancement", - "title": "Detection Systems \u2013 Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.1_prm_2", - "label": "organization-defined emergency responders" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(1)" - }, - { - "name": "sort-id", - "value": "PE-13(01)" - } - ], - "parts": [ - { - "id": "pe-13.1_smt", - "name": "statement", - "prose": "Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.1_prm_1 }} and {{ insert: param, pe-13.1_prm_2 }} in the event of a fire." - }, - { - "id": "pe-13.1_gdn", - "name": "guidance", - "prose": "Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances, for example, to enter to facilities where access is restricted due to the classification or impact level of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire." - } - ] - }, - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Systems \u2013 Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.2_prm_2", - "label": "organization-defined emergency responders" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(2)" - }, - { - "name": "sort-id", - "value": "PE-13(02)" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-13.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.2_prm_1 }} and {{ insert: param, pe-13.2_prm_2 }}; and" - }, - { - "id": "pe-13.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis." - } - ] - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to enter to facilities where access is restricted due to the impact level or classification of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire." - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "props": [ - { - "name": "label", - "value": "PE-13(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-13(03)" - } - ], - "links": [ - { - "href": "#pe-13.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-13.4", - "class": "SP800-53-enhancement", - "title": "Inspections", - "params": [ - { - "id": "pe-13.4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pe-13.4_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(4)" - }, - { - "name": "sort-id", - "value": "PE-13(04)" - } - ], - "parts": [ - { - "id": "pe-13.4_smt", - "name": "statement", - "prose": "Ensure that the facility undergoes {{ insert: param, pe-13.4_prm_1 }} fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within {{ insert: param, pe-13.4_prm_2 }}." - }, - { - "id": "pe-13.4_gdn", - "name": "guidance", - "prose": "Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information." - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Environmental Controls", - "params": [ - { - "id": "pe-14_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "temperature", - "humidity", - "pressure", - "radiation", - " {{ insert: param, pe-14_prm_2 }} " - ] - } - }, - { - "id": "pe-14_prm_2", - "depends-on": "pe-14_prm_1", - "label": "organization-defined environmental control" - }, - { - "id": "pe-14_prm_3", - "label": "organization-defined acceptable levels" - }, - { - "id": "pe-14_prm_4", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "PE-14" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain {{ insert: param, pe-14_prm_1 }} levels within the facility where the system resides at {{ insert: param, pe-14_prm_3 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitor environmental control levels {{ insert: param, pe-14_prm_4 }}." - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "The provision of environmental controls applies primarily to organizational facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms. Insufficient controls, especially in harsh environments, can have a significant adverse impact on the systems and system components that are needed to support organizational missions and business functions. Environmental controls, such as electromagnetic pulse (EMP) protection described in PE-21, are especially significant for systems and applications that are part of the U.S. critical infrastructure." - } - ], - "controls": [ - { - "id": "pe-14.1", - "class": "SP800-53-enhancement", - "title": "Automatic Controls", - "params": [ - { - "id": "pe-14.1_prm_1", - "label": "organization-defined automatic environmental controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(1)" - }, - { - "name": "sort-id", - "value": "PE-14(01)" - } - ], - "parts": [ - { - "id": "pe-14.1_smt", - "name": "statement", - "prose": "Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: {{ insert: param, pe-14.1_prm_1 }}." - }, - { - "id": "pe-14.1_gdn", - "name": "guidance", - "prose": "The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components." - } - ] - }, - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms and Notifications", - "params": [ - { - "id": "pe-14.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(2)" - }, - { - "name": "sort-id", - "value": "PE-14(02)" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.2_prm_1 }}." - }, - { - "id": "pe-14.2_gdn", - "name": "guidance", - "prose": "The alarm or notification may be, for example, an audible alarm or a message in real time to personnel or roles defined by the organization. Such alarms and/or notifications can help to minimize harm to individuals and damage to organizational assets by facilitating a timely incident response." - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "props": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "PE-15" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "The provision of water damage protection applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations." - } - ], - "controls": [ - { - "id": "pe-15.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "pe-15.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-15.1_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-15(1)" - }, - { - "name": "sort-id", - "value": "PE-15(01)" - } - ], - "parts": [ - { - "id": "pe-15.1_smt", - "name": "statement", - "prose": "Detect the presence of water near the system and alert {{ insert: param, pe-15.1_prm_1 }} using {{ insert: param, pe-15.1_prm_2 }}." - }, - { - "id": "pe-15.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include notification systems, water detection sensors, and alarms." - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "params": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "PE-16" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "parts": [ - { - "id": "pe-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize and control {{ insert: param, pe-16_prm_1 }} entering and exiting the facility; and" - }, - { - "id": "pe-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain records of the system components." - } - ] - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries." - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "params": [ - { - "id": "pe-17_prm_1", - "label": "organization-defined alternate work sites" - }, - { - "id": "pe-17_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "PE-17" - } - ], - "links": [ - { - "href": "#7768c184-088d-4ee8-a316-f9286b52df7f", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pe-17_prm_1 }} allowed for use by employees;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls at alternate work sites: {{ insert: param, pe-17_prm_2 }};" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the effectiveness of controls at alternate work sites; and" - }, - { - "id": "pe-17_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a means for employees to communicate with information security and privacy personnel in case of incidents." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations." - } - ] - }, - { - "id": "pe-18", - "class": "SP800-53", - "title": "Location of System Components", - "params": [ - { - "id": "pe-18_prm_1", - "label": "organization-defined physical and environmental hazards" - } - ], - "props": [ - { - "name": "label", - "value": "PE-18" - }, - { - "name": "sort-id", - "value": "PE-18" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-18_smt", - "name": "statement", - "prose": "Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_prm_1 }} and to minimize the opportunity for unauthorized access." - }, - { - "id": "pe-18_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including using wireless sniffers or microphones." - } - ], - "controls": [ - { - "id": "pe-18.1", - "class": "SP800-53-enhancement", - "title": "Facility Site", - "props": [ - { - "name": "label", - "value": "PE-18(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-18(01)" - } - ], - "links": [ - { - "href": "#pe-23", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "pe-19", - "class": "SP800-53", - "title": "Information Leakage", - "props": [ - { - "name": "label", - "value": "PE-19" - }, - { - "name": "sort-id", - "value": "PE-19" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-19_smt", - "name": "statement", - "prose": "Protect the system from information leakage due to electromagnetic signals emanations." - }, - { - "id": "pe-19_gdn", - "name": "guidance", - "prose": "Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations." - } - ], - "controls": [ - { - "id": "pe-19.1", - "class": "SP800-53-enhancement", - "title": "National Emissions and Tempest Policies and Procedures", - "props": [ - { - "name": "label", - "value": "PE-19(1)" - }, - { - "name": "sort-id", - "value": "PE-19(01)" - } - ], - "parts": [ - { - "id": "pe-19.1_smt", - "name": "statement", - "prose": "Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information." - }, - { - "id": "pe-19.1_gdn", - "name": "guidance", - "prose": "Emissions Security (EMSEC) policies include the former TEMPEST policies." - } - ] - } - ] - }, - { - "id": "pe-20", - "class": "SP800-53", - "title": "Asset Monitoring and Tracking", - "params": [ - { - "id": "pe-20_prm_1", - "label": "organization-defined asset location technologies" - }, - { - "id": "pe-20_prm_2", - "label": "organization-defined assets" - }, - { - "id": "pe-20_prm_3", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "PE-20" - }, - { - "name": "sort-id", - "value": "PE-20" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-20_prm_1 }} to track and monitor the location and movement of {{ insert: param, pe-20_prm_2 }} within {{ insert: param, pe-20_prm_3 }}." - }, - { - "id": "pe-20_gdn", - "name": "guidance", - "prose": "Asset location technologies can help ensure that critical assets, including vehicles, equipment, or system components remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns." - } - ] - }, - { - "id": "pe-21", - "class": "SP800-53", - "title": "Electromagnetic Pulse Protection", - "params": [ - { - "id": "pe-21_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pe-21_prm_2", - "label": "organization-defined systems and system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-21" - }, - { - "name": "sort-id", - "value": "PE-21" - } - ], - "links": [ - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-21_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-21_prm_1 }} against electromagnetic pulse damage for {{ insert: param, pe-21_prm_2 }}." - }, - { - "id": "pe-21_gdn", - "name": "guidance", - "prose": "An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding." - } - ] - }, - { - "id": "pe-22", - "class": "SP800-53", - "title": "Component Marking", - "params": [ - { - "id": "pe-22_prm_1", - "label": "organization-defined system hardware components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-22" - }, - { - "name": "sort-id", - "value": "PE-22" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-22_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-22_prm_1 }} indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "id": "pe-22_gdn", - "name": "guidance", - "prose": "Hardware components that require marking include input devices marked to indicate the classification of the network to which the devices are connected or a multifunction printer or copier residing in a classified area. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards." - } - ] - }, - { - "id": "pe-23", - "class": "SP800-53", - "title": "Facility Location", - "props": [ - { - "name": "label", - "value": "PE-23" - }, - { - "name": "sort-id", - "value": "PE-23" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-23_smt", - "name": "statement", - "parts": [ - { - "id": "pe-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Plan the location or site of the facility where the system resides considering physical and environmental hazards; and" - }, - { - "id": "pe-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy." - } - ] - }, - { - "id": "pe-23_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in PE-18." - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pl-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pl-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "PL-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pl-1_prm_2 }} planning policy that:", - "parts": [ - { - "id": "pl-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the planning policy and the associated planning controls;" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pl-1_prm_3 }} to manage the development, documentation, and dissemination of the planning policy and procedures; and" - }, - { - "id": "pl-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current planning:", - "parts": [ - { - "id": "pl-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pl-1_prm_4 }}; and" - }, - { - "id": "pl-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pl-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security and Privacy Plans", - "params": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined individuals or groups" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "PL-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy plans for the system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are consistent with the organization\u2019s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly define the constituent system components;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describe the operational context of the system in terms of missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provide the security categorization of the system, including supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describe any specific threats to the system that are of concern to the organization;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provide the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Describe the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Provide an overview of the security and privacy requirements for the system;" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Identify any relevant control baselines or overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;" - }, - { - "id": "pl-2_smt.a.11", - "name": "item", - "props": [ - { - "name": "label", - "value": "11." - } - ], - "prose": "Include risk determinations for security and privacy architecture and design decisions;" - }, - { - "id": "pl-2_smt.a.12", - "name": "item", - "props": [ - { - "name": "label", - "value": "12." - } - ], - "prose": "Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-2_prm_1 }}; and" - }, - { - "id": "pl-2_smt.a.13", - "name": "item", - "props": [ - { - "name": "label", - "value": "13." - } - ], - "prose": "Are reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the plans {{ insert: param, pl-2_prm_3 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the plans from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "System security and privacy plans contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle, for example, during capability determination, analysis of alternatives, requests for proposal, and design reviews. Section 2.1 describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls. Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements, but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment statements explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented. Organizations can also apply the tailoring guidance to the control baselines in [SP 800-53B] to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation. Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps to reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but instead can provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans. Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include: assessments, audits, and inspections; hardware and software maintenance; patch management; and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included other documents, as appropriate." - } - ], - "controls": [ - { - "id": "pl-2.1", - "class": "SP800-53-enhancement", - "title": "Concept of Operations", - "props": [ - { - "name": "label", - "value": "PL-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(01)" - } - ], - "links": [ - { - "href": "#pl-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.2", - "class": "SP800-53-enhancement", - "title": "Functional Architecture", - "props": [ - { - "name": "label", - "value": "PL-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(02)" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan and Coordinate with Other Organizational Entities", - "props": [ - { - "name": "label", - "value": "PL-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(03)" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pl-3", - "class": "SP800-53", - "title": "System Security Plan Update", - "props": [ - { - "name": "label", - "value": "PL-3" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-03" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "params": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pl-4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pl-4_prm_3 }} ", - "when the rules are revised or updated" - ] - } - }, - { - "id": "pl-4_prm_3", - "depends-on": "pl-4_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "PL-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the rules of behavior {{ insert: param, pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-4_prm_2 }}." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6). Organizations consider rules of behavior based on individual user roles and responsibilities, and differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who simply receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8. The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the awareness training and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures; and electronic agreement check boxes or radio buttons." - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and External Site/application Usage Restrictions", - "props": [ - { - "name": "label", - "value": "PL-4(1)" - }, - { - "name": "sort-id", - "value": "PL-04(01)" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "Include in the rules of behavior, restrictions on:", - "parts": [ - { - "id": "pl-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Use of social media, social networking sites, and external sites/applications;" - }, - { - "id": "pl-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Posting organizational information on public websites; and" - }, - { - "id": "pl-4.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use of organization-provided credentials (i.e., email addresses) for creating accounts on external sites/applications." - } - ] - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of these sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Non-public information includes, for example, personally identifiable information and system account information." - } - ] - } - ] - }, - { - "id": "pl-5", - "class": "SP800-53", - "title": "Privacy Impact Assessment", - "props": [ - { - "name": "label", - "value": "PL-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-05" - } - ], - "links": [ - { - "href": "#ra-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-6", - "class": "SP800-53", - "title": "Security-related Activity Planning", - "props": [ - { - "name": "label", - "value": "PL-6" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-06" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-7", - "class": "SP800-53", - "title": "Concept of Operations", - "params": [ - { - "id": "pl-7_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-7" - }, - { - "name": "sort-id", - "value": "PL-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-7_smt", - "name": "statement", - "parts": [ - { - "id": "pl-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and" - }, - { - "id": "pl-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the CONOPS {{ insert: param, pl-7_prm_1 }}." - } - ] - }, - { - "id": "pl-7_gdn", - "name": "guidance", - "prose": "The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other appropriate organizational documents, for example, procurement specifications, system development life cycle documents, and systems engineering documents." - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Security and Privacy Architectures", - "params": [ - { - "id": "pl-8_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8" - }, - { - "name": "sort-id", - "value": "PL-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy architectures for the system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describe how the architectures are integrated into and support the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Describe any assumptions about, and dependencies on, external systems and services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the architectures {{ insert: param, pl-8_prm_1 }} to reflect changes in the enterprise architecture; and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reflect planned architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), organizational procedures, and procurements and acquisitions." - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "The system-level security and privacy architectures are consistent with organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, for example, user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; restoration priorities of information and system services; and other protection needs. [SP 800-160 v1] provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03] requires the use of the systems security engineering concepts described in [SP 800-160 v1] for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle from analysis of alternatives through review of the proposed architecture in the RFP responses, to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews). In today\u2019s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that controls needed to support security and privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations to ensure that architectures are developed for the system, and moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, SA-17 is primarily directed at the external information technology product and system developers and integrators. SA-17, which is complementary to PL-8, is selected when organizations outsource the development of systems or components to external entities, and when there is a need to demonstrate consistency with the organization\u2019s enterprise architecture and security and privacy architectures." - } - ], - "controls": [ - { - "id": "pl-8.1", - "class": "SP800-53-enhancement", - "title": "Defense-in-depth", - "params": [ - { - "id": "pl-8.1_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pl-8.1_prm_2", - "label": "organization-defined locations and architectural layers" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8(1)" - }, - { - "name": "sort-id", - "value": "PL-08(01)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.1_smt", - "name": "statement", - "prose": "Design the security and privacy architectures for the system using a defense-in-depth approach that:", - "parts": [ - { - "id": "pl-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allocates {{ insert: param, pl-8.1_prm_1 }} to {{ insert: param, pl-8.1_prm_2 }}; and" - }, - { - "id": "pl-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - }, - { - "id": "pl-8.1_gdn", - "name": "guidance", - "prose": "Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; and increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity requiring thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see SA-8(3)); separation of system and user functionality (see SC-2); and security function isolation (see SC-3)." - } - ] - }, - { - "id": "pl-8.2", - "class": "SP800-53-enhancement", - "title": "Supplier Diversity", - "params": [ - { - "id": "pl-8.2_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pl-8.2_prm_2", - "label": "organization-defined locations and architectural layers" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8(2)" - }, - { - "name": "sort-id", - "value": "PL-08(02)" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.2_smt", - "name": "statement", - "prose": "Require that {{ insert: param, pl-8.2_prm_1 }} allocated to {{ insert: param, pl-8.2_prm_2 }} are obtained from different suppliers." - }, - { - "id": "pl-8.2_gdn", - "name": "guidance", - "prose": "Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried." - } - ] - } - ] - }, - { - "id": "pl-9", - "class": "SP800-53", - "title": "Central Management", - "params": [ - { - "id": "pl-9_prm_1", - "label": "organization-defined controls and related processes" - } - ], - "props": [ - { - "name": "label", - "value": "PL-9" - }, - { - "name": "sort-id", - "value": "PL-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-9_smt", - "name": "statement", - "prose": "Centrally manage {{ insert: param, pl-9_prm_1 }}." - }, - { - "id": "pl-9_gdn", - "name": "guidance", - "prose": "Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. As part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-17(1), AC-17(2), AC-17(3), AC-17(9), AC-18(1), AC-18(3), AC-18(4), AC-18(5), AC-19(4), AC-22, AC-23, AT-2(1), AT-2(2), AT-3(1), AT-3(2), AT-3(3), AT-4, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-6(9), AU-7(1), AU-7(2), AU-11, AU-13, AU-16, CA-2(1), CA-2(2), CA-2(3), CA-3(1), CA-3(2), CA-3(3), CA-7(1), CA-9, CM-2(2), CM-3(1), CM-3(4), CM-4, CM-6(1), CM-7(4), CM-7(5), CM-8(all), CM-9(1), CM-10, CM-11, CP-7(all), CP-8(all), SC-43, SI-2, SI-3, SI-7, SI-8." - } - ] - }, - { - "id": "pl-10", - "class": "SP800-53", - "title": "Baseline Selection", - "props": [ - { - "name": "label", - "value": "PL-10" - }, - { - "name": "sort-id", - "value": "PL-10" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#31f3c9de-c57c-4281-929b-f9951f9640f1", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ee96f130-3f91-46ed-a4d8-57e5f220a623", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-10_smt", - "name": "statement", - "prose": "Select a control baseline for the system." - }, - { - "id": "pl-10_gdn", - "name": "guidance", - "prose": "Control baselines are pre-defined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines either to satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, or guidelines; or to address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals\u2019 privacy, information, and information systems, with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see PL-11). Federal control baselines are provided in [SP 800-53B]. The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements and as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B] are based on the requirements from [FISMA] and [PRIVACT]. The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization\u2019s operations and assets, individuals, other organizations or the Nation; and considering the results from system and organizational risk assessments." - } - ] - }, - { - "id": "pl-11", - "class": "SP800-53", - "title": "Baseline Tailoring", - "props": [ - { - "name": "label", - "value": "PL-11" - }, - { - "name": "sort-id", - "value": "PL-11" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#31f3c9de-c57c-4281-929b-f9951f9640f1", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ee96f130-3f91-46ed-a4d8-57e5f220a623", - "rel": "reference" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-11_smt", - "name": "statement", - "prose": "Tailor the selected control baseline by applying specified tailoring actions." - }, - { - "id": "pl-11_gdn", - "name": "guidance", - "prose": "The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B]. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in [SP 800-53B] can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B] in accordance with the security and privacy requirements from [FISMA] and [PRIVACT]. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B] to specialize or customize the controls that represent the specific needs and concerns of those entities." - } - ] - } - ] - }, - { - "id": "pm", - "class": "family", - "title": "Program Management", - "controls": [ - { - "id": "pm-1", - "class": "SP800-53", - "title": "Information Security Program Plan", - "params": [ - { - "id": "pm-1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-1" - }, - { - "name": "sort-id", - "value": "PM-01" - } - ], - "links": [ - { - "href": "#14958422-54f6-471f-a345-802dca594dd8", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-1_smt", - "name": "statement", - "parts": [ - { - "id": "pm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide information security program plan that:", - "parts": [ - { - "id": "pm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;" - }, - { - "id": "pm-1_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Reflects the coordination among organizational entities responsible for information security; and" - }, - { - "id": "pm-1_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "id": "pm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the organization-wide information security program plan {{ insert: param, pm-1_prm_1 }};" - }, - { - "id": "pm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and" - }, - { - "id": "pm-1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the information security program plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pm-1_gdn", - "name": "guidance", - "prose": "An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. Information security program plans can be represented in single documents or compilations of documents. Information security program plans document the program management and common controls. The plans provide sufficient information about the controls (including specification of parameters for assignment and selection statements explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. Program management controls are generally implemented at the organization level and are essential for managing the organization\u2019s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The individual system security plans and the organization-wide information security program plan together, provide complete coverage for the security controls employed within the organization. Common controls are documented in an appendix to the organization\u2019s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls." - } - ] - }, - { - "id": "pm-2", - "class": "SP800-53", - "title": "Information Security Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-2" - }, - { - "name": "sort-id", - "value": "PM-02" - } - ], - "links": [ - { - "href": "#ed5c66ba-0ed8-4aef-abb7-dc9f529d9af3", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-2_smt", - "name": "statement", - "prose": "Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program." - }, - { - "id": "pm-2_gdn", - "name": "guidance", - "prose": "The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer." - } - ] - }, - { - "id": "pm-3", - "class": "SP800-53", - "title": "Information Security and Privacy Resources", - "props": [ - { - "name": "label", - "value": "PM-3" - }, - { - "name": "sort-id", - "value": "PM-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-3_smt", - "name": "statement", - "parts": [ - { - "id": "pm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;" - }, - { - "id": "pm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and" - }, - { - "id": "pm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make available for expenditure, the planned information security and privacy resources." - } - ] - }, - { - "id": "pm-3_gdn", - "name": "guidance", - "prose": "Organizations consider establishing champions for information security and privacy and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process." - } - ] - }, - { - "id": "pm-4", - "class": "SP800-53", - "title": "Plan of Action and Milestones Process", - "props": [ - { - "name": "label", - "value": "PM-4" - }, - { - "name": "sort-id", - "value": "PM-04" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-4_smt", - "name": "statement", - "parts": [ - { - "id": "pm-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process to ensure that plans of action and milestones for the information security and privacy programs and associated organizational systems:", - "parts": [ - { - "id": "pm-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are developed and maintained;" - }, - { - "id": "pm-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Document the remedial information security and privacy actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-4_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Are reported in accordance with established reporting requirements." - } - ] - }, - { - "id": "pm-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-4_gdn", - "name": "guidance", - "prose": "The plan of action and milestones is a key document in the information security and privacy programs of organizations and is subject to reporting requirements established by the Office of Management and Budget. Organizations view plans of action and milestones from an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple levels of plan of action and milestones documents corresponding to the information system level, mission/business process level, and organizational/governance level. While the plan of action and milestones is required for federal organizations, any type of organization can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones for organizational systems in described in CA-5." - } - ] - }, - { - "id": "pm-5", - "class": "SP800-53", - "title": "System Inventory", - "params": [ - { - "id": "pm-5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-5" - }, - { - "name": "sort-id", - "value": "PM-05" - } - ], - "links": [ - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-5_smt", - "name": "statement", - "prose": "Develop and update {{ insert: param, pm-5_prm_1 }} an inventory of organizational systems." - }, - { - "id": "pm-5_gdn", - "name": "guidance", - "prose": "[OMB A-130] provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8." - } - ], - "controls": [ - { - "id": "pm-5.1", - "class": "SP800-53-enhancement", - "title": "Inventory of Personally Identifiable Information", - "params": [ - { - "id": "pm-5.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-5(1)" - }, - { - "name": "sort-id", - "value": "PM-05(01)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-5.1_smt", - "name": "statement", - "prose": "Establish, maintain, and update {{ insert: param, pm-5.1_prm_1 }} an inventory of all systems, applications, and projects that process personally identifiable information." - }, - { - "id": "pm-5.1_gdn", - "name": "guidance", - "prose": "An inventory of systems, applications, and projects that process personally identifiable information supports mapping of data actions, providing individuals with privacy notices, maintaining accurate personally identifiable information, and limiting the processing of personally identifiable information when such information is not needed for operational purposes. Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein." - } - ] - } - ] - }, - { - "id": "pm-6", - "class": "SP800-53", - "title": "Measures of Performance", - "props": [ - { - "name": "label", - "value": "PM-6" - }, - { - "name": "sort-id", - "value": "PM-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8ba0d54e-fa16-4f5d-baa1-763ec3e33e26", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-6_smt", - "name": "statement", - "prose": "Develop, monitor, and report on the results of information security and privacy measures of performance." - }, - { - "id": "pm-6_gdn", - "name": "guidance", - "prose": "Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program." - } - ] - }, - { - "id": "pm-7", - "class": "SP800-53", - "title": "Enterprise Architecture", - "props": [ - { - "name": "label", - "value": "PM-7" - }, - { - "name": "sort-id", - "value": "PM-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7_smt", - "name": "statement", - "prose": "Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - }, - { - "id": "pm-7_gdn", - "name": "guidance", - "prose": "The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization\u2019s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture, the organization\u2019s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8, the security and privacy architectures are developed at a level representing an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37] and supporting security standards and guidelines." - } - ], - "controls": [ - { - "id": "pm-7.1", - "class": "SP800-53-enhancement", - "title": "Offloading", - "params": [ - { - "id": "pm-7.1_prm_1", - "label": "organization-defined non-essential functions or services" - } - ], - "props": [ - { - "name": "label", - "value": "PM-7(1)" - }, - { - "name": "sort-id", - "value": "PM-07(01)" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7.1_smt", - "name": "statement", - "prose": "Offload {{ insert: param, pm-7.1_prm_1 }} to other systems, system components, or an external provider." - }, - { - "id": "pm-7.1_gdn", - "name": "guidance", - "prose": "Not every function or service a system provides is essential to an organization\u2019s missions or business operations. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services supporting essential missions or business operations. Maintaining such functions on the same system or system component increases the attack surface of the organization\u2019s mission essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services." - } - ] - } - ] - }, - { - "id": "pm-8", - "class": "SP800-53", - "title": "Critical Infrastructure Plan", - "props": [ - { - "name": "label", - "value": "PM-8" - }, - { - "name": "sort-id", - "value": "PM-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#cde25174-38e0-4a00-8919-8ee3674b8088", - "rel": "reference" - }, - { - "href": "#24b7b1ec-6430-41de-9353-29fdb1b488fc", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-8_smt", - "name": "statement", - "prose": "Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan." - }, - { - "id": "pm-8_gdn", - "name": "guidance", - "prose": "Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "pm-9", - "class": "SP800-53", - "title": "Risk Management Strategy", - "params": [ - { - "id": "pm-9_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-9" - }, - { - "name": "sort-id", - "value": "PM-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-9_smt", - "name": "statement", - "parts": [ - { - "id": "pm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a comprehensive strategy to manage:", - "parts": [ - { - "id": "pm-9_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and" - }, - { - "id": "pm-9_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "id": "pm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the risk management strategy consistently across the organization; and" - }, - { - "id": "pm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the risk management strategy {{ insert: param, pm-9_prm_1 }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-9_gdn", - "name": "guidance", - "prose": "An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization; security and privacy risk mitigation strategies; acceptable risk assessment methodologies; a process for evaluating security and privacy risk across the organization with respect to the organization\u2019s risk tolerance; and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure the strategy is broad-based and comprehensive." - } - ] - }, - { - "id": "pm-10", - "class": "SP800-53", - "title": "Authorization Process", - "props": [ - { - "name": "label", - "value": "PM-10" - }, - { - "name": "sort-id", - "value": "PM-10" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-10_smt", - "name": "statement", - "parts": [ - { - "id": "pm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;" - }, - { - "id": "pm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and" - }, - { - "id": "pm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Integrate the authorization processes into an organization-wide risk management program." - } - ] - }, - { - "id": "pm-10_gdn", - "name": "guidance", - "prose": "Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation." - } - ] - }, - { - "id": "pm-11", - "class": "SP800-53", - "title": "Mission and Business Process Definition", - "params": [ - { - "id": "pm-11_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-11" - }, - { - "name": "sort-id", - "value": "PM-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-11_smt", - "name": "statement", - "parts": [ - { - "id": "pm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and" - }, - { - "id": "pm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and revise the mission and business processes {{ insert: param, pm-11_prm_1 }}." - } - ] - }, - { - "id": "pm-11_gdn", - "name": "guidance", - "prose": "Protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent in defining protection and personally identifiable information processing needs, is an understanding of adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures." - } - ] - }, - { - "id": "pm-12", - "class": "SP800-53", - "title": "Insider Threat Program", - "props": [ - { - "name": "label", - "value": "PM-12" - }, - { - "name": "sort-id", - "value": "PM-12" - } - ], - "links": [ - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#286d42a1-efbe-49a2-9ce1-4c9bf68feb3b", - "rel": "reference" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-12_smt", - "name": "statement", - "prose": "Implement an insider threat program that includes a cross-discipline insider threat incident handling team." - }, - { - "id": "pm-12_gdn", - "name": "guidance", - "prose": "Organizations handling classified information are required, under Executive Order 13587 [EO 13587] and the National Insider Threat Policy [ODNI NITP], to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans; conduct host-based user monitoring of individual employee activities on government-owned classified computers; provide insider threat awareness training to employees; receive access to information from offices in the department or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "pm-13", - "class": "SP800-53", - "title": "Security and Privacy Workforce", - "props": [ - { - "name": "label", - "value": "PM-13" - }, - { - "name": "sort-id", - "value": "PM-13" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#f4c3f657-de83-47ae-9aec-e144de8268d1", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-13_smt", - "name": "statement", - "prose": "Establish a security and privacy workforce development and improvement program." - }, - { - "id": "pm-13_gdn", - "name": "guidance", - "prose": "Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals." - } - ] - }, - { - "id": "pm-14", - "class": "SP800-53", - "title": "Testing, Training, and Monitoring", - "props": [ - { - "name": "label", - "value": "PM-14" - }, - { - "name": "sort-id", - "value": "PM-14" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-14_smt", - "name": "statement", - "parts": [ - { - "id": "pm-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:", - "parts": [ - { - "id": "pm-14_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are developed and maintained; and" - }, - { - "id": "pm-14_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Continue to be executed; and" - } - ] - }, - { - "id": "pm-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-14_gdn", - "name": "guidance", - "prose": "This control ensures that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments." - } - ] - }, - { - "id": "pm-15", - "class": "SP800-53", - "title": "Security and Privacy Groups and Associations", - "props": [ - { - "name": "label", - "value": "PM-15" - }, - { - "name": "sort-id", - "value": "PM-15" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-15_smt", - "name": "statement", - "prose": "Establish and institutionalize contact with selected groups and associations within the security and privacy communities:", - "parts": [ - { - "id": "pm-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "To facilitate ongoing security and privacy education and training for organizational personnel;" - }, - { - "id": "pm-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "To maintain currency with recommended security and privacy practices, techniques, and technologies; and" - }, - { - "id": "pm-15_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "To share current security and privacy information, including threats, vulnerabilities, and incidents." - } - ] - }, - { - "id": "pm-15_gdn", - "name": "guidance", - "prose": "Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users\u2019 groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on missions and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "pm-16", - "class": "SP800-53", - "title": "Threat Awareness Program", - "props": [ - { - "name": "label", - "value": "PM-16" - }, - { - "name": "sort-id", - "value": "PM-16" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-16_smt", - "name": "statement", - "prose": "Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence." - }, - { - "id": "pm-16_gdn", - "name": "guidance", - "prose": "Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced; mitigations that organizations have found are effective against certain types of threats; and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared." - } - ], - "controls": [ - { - "id": "pm-16.1", - "class": "SP800-53-enhancement", - "title": "Automated Means for Sharing Threat Intelligence", - "props": [ - { - "name": "label", - "value": "PM-16(1)" - }, - { - "name": "sort-id", - "value": "PM-16(01)" - } - ], - "parts": [ - { - "id": "pm-16.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information." - }, - { - "id": "pm-16.1_gdn", - "name": "guidance", - "prose": "To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures." - } - ] - } - ] - }, - { - "id": "pm-17", - "class": "SP800-53", - "title": "Protecting Controlled Unclassified Information on External Systems", - "params": [ - { - "id": "pm-17_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-17" - }, - { - "name": "sort-id", - "value": "PM-17" - } - ], - "links": [ - { - "href": "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#dd87fdf0-840d-4392-9de4-220b2327e340", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-17_smt", - "name": "statement", - "parts": [ - { - "id": "pm-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards." - }, - { - "id": "pm-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the policy and procedures {{ insert: param, pm-17_prm_1 }}." - } - ] - }, - { - "id": "pm-17_gdn", - "name": "guidance", - "prose": "Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002] and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes." - } - ] - }, - { - "id": "pm-18", - "class": "SP800-53", - "title": "Privacy Program Plan", - "props": [ - { - "name": "label", - "value": "PM-18" - }, - { - "name": "sort-id", - "value": "PM-18" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-18_smt", - "name": "statement", - "parts": [ - { - "id": "pm-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency\u2019s privacy program, and:", - "parts": [ - { - "id": "pm-18_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;" - }, - { - "id": "pm-18_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-18_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;" - }, - { - "id": "pm-18_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;" - }, - { - "id": "pm-18_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Reflects coordination among organizational entities responsible for the different aspects of privacy; and" - }, - { - "id": "pm-18_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and" - } - ] - }, - { - "id": "pm-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments." - } - ] - }, - { - "id": "pm-18_gdn", - "name": "guidance", - "prose": "A privacy program plan is a formal document that provides an overview of an organization\u2019s privacy program, including a description of the structure of the privacy program; the resources dedicated to the privacy program; the role of the senior agency official for privacy and other privacy officials and staff; the strategic goals and objectives of the privacy program; and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents. The senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection statements explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended. Program management controls are generally implemented at the organization level and are essential for managing the organization\u2019s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The privacy plans for individual systems and the organization-wide privacy program plan together, provide complete coverage for the privacy controls employed within the organization. Common controls are documented in an appendix to the organization\u2019s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls." - } - ] - }, - { - "id": "pm-19", - "class": "SP800-53", - "title": "Privacy Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-19" - }, - { - "name": "sort-id", - "value": "PM-19" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-19_smt", - "name": "statement", - "prose": "Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program." - }, - { - "id": "pm-19_gdn", - "name": "guidance", - "prose": "The privacy officer is an organizational official. For federal agencies, as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has a role in the data management board (see PM-23) and the data integrity board (see PM-24)." - } - ] - }, - { - "id": "pm-20", - "class": "SP800-53", - "title": "Dissemination of Privacy Program Information", - "props": [ - { - "name": "label", - "value": "PM-20" - }, - { - "name": "sort-id", - "value": "PM-20" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#f7d3617a-9a4f-4f1a-a688-845081b70390", - "rel": "reference" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-20_smt", - "name": "statement", - "prose": "Maintain a central resource webpage on the organization\u2019s principal public website that serves as a central source of information about the organization\u2019s privacy program and that:", - "parts": [ - { - "id": "pm-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;" - }, - { - "id": "pm-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that organizational privacy practices and reports are publicly available; and" - }, - { - "id": "pm-20_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "id": "pm-20_gdn", - "name": "guidance", - "prose": "Organizations maintain a central resource webpage on their principal public website for their privacy program. For federal agencies, this page is located at www.[agency].gov/privacy. Organizations should use the webpage to inform the public about privacy policies and practices, including privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT] exemption and implementation rules, instructions for individuals making an access or amendment request, privacy reports, privacy policies, email addresses for questions/complaints, blogs, and periodic publications." - } - ] - }, - { - "id": "pm-21", - "class": "SP800-53", - "title": "Accounting of Disclosures", - "props": [ - { - "name": "label", - "value": "PM-21" - }, - { - "name": "sort-id", - "value": "PM-21" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-21_smt", - "name": "statement", - "parts": [ - { - "id": "pm-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:", - "parts": [ - { - "id": "pm-21_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Date, nature, and purpose of each disclosure; and" - }, - { - "id": "pm-21_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Name and address, or other contact information of the person or organization to which the disclosure was made;" - } - ] - }, - { - "id": "pm-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and" - }, - { - "id": "pm-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "id": "pm-21_gdn", - "name": "guidance", - "prose": "The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed; to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions." - } - ] - }, - { - "id": "pm-22", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Management", - "props": [ - { - "name": "label", - "value": "PM-22" - }, - { - "name": "sort-id", - "value": "PM-22" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-22_smt", - "name": "statement", - "prose": "Develop and document policies and procedures for:", - "parts": [ - { - "id": "pm-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;" - }, - { - "id": "pm-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "id": "pm-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and" - }, - { - "id": "pm-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Appeals of adverse decisions on correction or deletion requests." - } - ] - }, - { - "id": "pm-22_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality management include steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information. The senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations. Organizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to complexity of data flows and storage, other entities may need to be informed of correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem." - } - ] - }, - { - "id": "pm-23", - "class": "SP800-53", - "title": "Data Governance Body", - "params": [ - { - "id": "pm-23_prm_1", - "label": "organization-defined roles" - }, - { - "id": "pm-23_prm_2", - "label": "organization-defined responsibilities" - } - ], - "props": [ - { - "name": "label", - "value": "PM-23" - }, - { - "name": "sort-id", - "value": "PM-23" - } - ], - "links": [ - { - "href": "#43facb7b-0afb-480f-8191-34790d5b444b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#d843e915-eeb6-4bbe-8cab-ccc802088703", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-23_smt", - "name": "statement", - "prose": "Establish a Data Governance Body consisting of {{ insert: param, pm-23_prm_1 }} with {{ insert: param, pm-23_prm_2 }}." - }, - { - "id": "pm-23_gdn", - "name": "guidance", - "prose": "A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines supporting data modeling, quality, integrity, and de-identification needs of personally identifiable information across the information life cycle and reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT] and policies set forth under [OMB M-19-23]." - } - ] - }, - { - "id": "pm-24", - "class": "SP800-53", - "title": "Data Integrity Board", - "props": [ - { - "name": "label", - "value": "PM-24" - }, - { - "name": "sort-id", - "value": "PM-24" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-24_smt", - "name": "statement", - "prose": "Establish a Data Integrity Board to:", - "parts": [ - { - "id": "pm-24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review proposals to conduct or participate in a matching program; and" - }, - { - "id": "pm-24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "id": "pm-24_gdn", - "name": "guidance", - "prose": "A Data Integrity Board is the board of senior officials designated by the head of a federal agency that is responsible for, among other things, reviewing the agency\u2019s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy." - } - ] - }, - { - "id": "pm-25", - "class": "SP800-53", - "title": "Minimization of Pii Used in Testing, Training, and Research", - "params": [ - { - "id": "pm-25_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-25" - }, - { - "name": "sort-id", - "value": "PM-25" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-25_smt", - "name": "statement", - "parts": [ - { - "id": "pm-25_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;" - }, - { - "id": "pm-25_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;" - }, - { - "id": "pm-25_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and" - }, - { - "id": "pm-25_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review and update policies and procedures {{ insert: param, pm-25_prm_1 }}." - } - ] - }, - { - "id": "pm-25_gdn", - "name": "guidance", - "prose": "The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research. The use of live data for testing, training, and research is also addressed in SA-3(2)." - } - ] - }, - { - "id": "pm-26", - "class": "SP800-53", - "title": "Complaint Management", - "params": [ - { - "id": "pm-26_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "pm-26_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "pm-26_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PM-26" - }, - { - "name": "sort-id", - "value": "PM-26" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-26_smt", - "name": "statement", - "prose": "Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:", - "parts": [ - { - "id": "pm-26_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mechanisms that are easy to use and readily accessible by the public;" - }, - { - "id": "pm-26_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "All information necessary for successfully filing complaints;" - }, - { - "id": "pm-26_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};" - }, - { - "id": "pm-26_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_2 }}; and" - }, - { - "id": "pm-26_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_3 }}." - } - ] - }, - { - "id": "pm-26_gdn", - "name": "guidance", - "prose": "Complaints, concerns, and questions from individuals can serve as a valuable source of input to organizations that ultimately improves operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information." - } - ] - }, - { - "id": "pm-27", - "class": "SP800-53", - "title": "Privacy Reporting", - "params": [ - { - "id": "pm-27_prm_1", - "label": "organization-defined privacy reports" - }, - { - "id": "pm-27_prm_2", - "label": "organization-defined officials" - }, - { - "id": "pm-27_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-27" - }, - { - "name": "sort-id", - "value": "PM-27" - } - ], - "links": [ - { - "href": "#14958422-54f6-471f-a345-802dca594dd8", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-27_smt", - "name": "statement", - "parts": [ - { - "id": "pm-27_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop {{ insert: param, pm-27_prm_1 }} and disseminate to:", - "parts": [ - { - "id": "pm-27_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "OMB, Congress, and other oversight bodies to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and" - }, - { - "id": "pm-27_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, pm-27_prm_2 }} and other personnel with responsibility for monitoring privacy program compliance; and" - } - ] - }, - { - "id": "pm-27_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update privacy reports {{ insert: param, pm-27_prm_3 }}." - } - ] - }, - { - "id": "pm-27_gdn", - "name": "guidance", - "prose": "Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. Privacy reports include annual senior agency official for privacy reports to OMB; reports to Congress required by Implementing Regulations of the 9/11 Commission Act; and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements." - } - ] - }, - { - "id": "pm-28", - "class": "SP800-53", - "title": "Risk Framing", - "params": [ - { - "id": "pm-28_prm_1", - "label": "organization-defined personnel" - }, - { - "id": "pm-28_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-28" - }, - { - "name": "sort-id", - "value": "PM-28" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-28_smt", - "name": "statement", - "parts": [ - { - "id": "pm-28_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document:", - "parts": [ - { - "id": "pm-28_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Assumptions affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Constraints affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Priorities and trade-offs considered by the organization for managing risk; and" - }, - { - "id": "pm-28_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Organizational risk tolerance; and" - } - ] - }, - { - "id": "pm-28_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the results of risk framing activities to {{ insert: param, pm-28_prm_1 }};" - }, - { - "id": "pm-28_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update risk framing considerations {{ insert: param, pm-28_prm_2 }}." - } - ] - }, - { - "id": "pm-28_gdn", - "name": "guidance", - "prose": "Risk framing is most effective when conducted at the organization level. The assumptions, constraints, risk tolerance, priorities, and tradeoffs identified as part of the risk framing process, inform the risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel including mission/business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management." - } - ] - }, - { - "id": "pm-29", - "class": "SP800-53", - "title": "Risk Management Program Leadership Roles", - "props": [ - { - "name": "label", - "value": "PM-29" - }, - { - "name": "sort-id", - "value": "PM-29" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-29_smt", - "name": "statement", - "parts": [ - { - "id": "pm-29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and" - }, - { - "id": "pm-29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization." - } - ] - }, - { - "id": "pm-29_gdn", - "name": "guidance", - "prose": "The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities." - } - ] - }, - { - "id": "pm-30", - "class": "SP800-53", - "title": "Supply Chain Risk Management Strategy", - "params": [ - { - "id": "pm-30_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-30" - }, - { - "name": "sort-id", - "value": "PM-30" - } - ], - "links": [ - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30_smt", - "name": "statement", - "parts": [ - { - "id": "pm-30_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;" - }, - { - "id": "pm-30_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management strategy consistently across the organization; and" - }, - { - "id": "pm-30_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management strategy on {{ insert: param, pm-30_prm_1 }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-30_gdn", - "name": "guidance", - "prose": "An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of both security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization\u2019s overarching risk management strategy and can guide and inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organizational level, whereas the supply chain risk management plan (see SR-2) is applied at the system-level." - } - ] - }, - { - "id": "pm-31", - "class": "SP800-53", - "title": "Continuous Monitoring Strategy", - "params": [ - { - "id": "pm-31_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "pm-31_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "pm-31_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "pm-31_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "pm-31_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-31" - }, - { - "name": "sort-id", - "value": "PM-31" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-31_smt", - "name": "statement", - "prose": "Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:", - "parts": [ - { - "id": "pm-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following organization-wide metrics to be monitored: {{ insert: param, pm-31_prm_1 }};" - }, - { - "id": "pm-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, pm-31_prm_2 }} for monitoring and {{ insert: param, pm-31_prm_3 }} for assessment of control effectiveness;" - }, - { - "id": "pm-31_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "pm-31_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "pm-31_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "pm-31_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Reporting the security and privacy status of organizational systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param, pm-31_prm_5 }}." - } - ] - }, - { - "id": "pm-31_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective and timely risk management decisions, including ongoing authorization decisions. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CA-7, CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PS-7e, SA-9c, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4." - } - ] - }, - { - "id": "pm-32", - "class": "SP800-53", - "title": "Purposing", - "params": [ - { - "id": "pm-32_prm_1", - "label": "organization-defined systems or systems components" - } - ], - "props": [ - { - "name": "label", - "value": "PM-32" - }, - { - "name": "sort-id", - "value": "PM-32" - } - ], - "links": [ - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-32_smt", - "name": "statement", - "prose": "Analyze {{ insert: param, pm-32_prm_1 }} supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose." - }, - { - "id": "pm-32_gdn", - "name": "guidance", - "prose": "Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are in turn more vulnerable to compromise, and can ultimately impact the services and functions for which they were intended. This is especially impactful for mission essential services and functions. By analyzing resource use, organizations can identify such potential exposures." - } - ] - }, - { - "id": "pm-33", - "class": "SP800-53", - "title": "Privacy Policies on Websites, Applications, and Digital Services", - "props": [ - { - "name": "label", - "value": "PM-33" - }, - { - "name": "sort-id", - "value": "PM-33" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-33_smt", - "name": "statement", - "prose": "Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:", - "parts": [ - { - "id": "pm-33_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Are written in plain language and organized in a way that is easy to understand and navigate;" - }, - { - "id": "pm-33_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide useful information that the public would need to make an informed decision about whether and how to interact with the organization; and" - }, - { - "id": "pm-33_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes." - } - ] - }, - { - "id": "pm-33_gdn", - "name": "guidance", - "prose": "Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations should post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations should provide a link to the privacy policy on any webpage that collects personally identifiable information." - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ps-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ps-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "PS-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ps-1_prm_2 }} personnel security policy that:", - "parts": [ - { - "id": "ps-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ps-1_prm_3 }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and" - }, - { - "id": "ps-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personnel security:", - "parts": [ - { - "id": "ps-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ps-1_prm_4 }}; and" - }, - { - "id": "ps-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ps-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PS family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "params": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "PS-02" - } - ], - "links": [ - { - "href": "#2383ccfd-d8a0-4e3a-bf40-21288ae1e07a", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update position risk designations {{ insert: param, ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service from misconduct of an incumbent of a position. This establishes the risk level of that position. This assessment also determines if a position\u2019s duties and responsibilities present the potential for position incumbents to bring about a material adverse effect on the national security, and the degree of that potential effect, which establishes the sensitivity level of a position. The results of this assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions." - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "params": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "PS-03" - } - ], - "links": [ - { - "href": "#52a8b0c6-0c6b-424b-928d-41c50ba87838", - "rel": "reference" - }, - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screen individuals prior to authorizing access to the system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreen individuals in accordance with {{ insert: param, ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems." - } - ], - "controls": [ - { - "id": "ps-3.1", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "PS-3(1)" - }, - { - "name": "sort-id", - "value": "PS-03(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.1_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system." - }, - { - "id": "ps-3.1_gdn", - "name": "guidance", - "prose": "Classified information is the most sensitive information the federal government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see AC-3) and flow controls (see AC-4)." - } - ] - }, - { - "id": "ps-3.2", - "class": "SP800-53-enhancement", - "title": "Formal Indoctrination", - "props": [ - { - "name": "label", - "value": "PS-3(2)" - }, - { - "name": "sort-id", - "value": "PS-03(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.2_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system." - }, - { - "id": "ps-3.2_gdn", - "name": "guidance", - "prose": "Types of classified information requiring formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI)." - } - ] - }, - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information with Special Protective Measures", - "params": [ - { - "id": "ps-3.3_prm_1", - "label": "organization-defined additional personnel screening criteria" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3(3)" - }, - { - "name": "sort-id", - "value": "PS-03(03)" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ insert: param, ps-3.3_prm_1 }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information requiring special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements." - } - ] - }, - { - "id": "ps-3.4", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements", - "params": [ - { - "id": "ps-3.4_prm_1", - "label": "organization-defined information types" - }, - { - "id": "ps-3.4_prm_2", - "label": "organization-defined citizenship requirements" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3(4)" - }, - { - "name": "sort-id", - "value": "PS-03(04)" - } - ], - "parts": [ - { - "id": "ps-3.4_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-3.4_prm_1 }} meet {{ insert: param, ps-3.4_prm_2 }}." - }, - { - "id": "ps-3.4_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "params": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - } - ], - "props": [ - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "PS-04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "Upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disable system access within {{ insert: param, ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminate or revoke any authenticators and credentials associated with the individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct exit interviews that include a discussion of {{ insert: param, ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieve all security-related organizational system-related property; and" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain access to organizational information and systems formerly controlled by terminated individual." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals including in cases related to unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling system accounts of individuals that are being terminated prior to the individuals being notified." - } - ], - "controls": [ - { - "id": "ps-4.1", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-4(1)" - }, - { - "name": "sort-id", - "value": "PS-04(01)" - } - ], - "parts": [ - { - "id": "ps-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and" - }, - { - "id": "ps-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "id": "ps-4.1_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - } - ] - }, - { - "id": "ps-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Notification", - "params": [ - { - "id": "ps-4.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4.2_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PS-4(2)" - }, - { - "name": "sort-id", - "value": "PS-04(02)" - } - ], - "parts": [ - { - "id": "ps-4.2_smt", - "name": "statement", - "prose": "Notify {{ insert: param, ps-4.2_prm_1 }} of individual termination actions using {{ insert: param, ps-4.2_prm_2 }}." - }, - { - "id": "ps-4.2_gdn", - "name": "guidance", - "prose": "In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications\u2014or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including telephonically, via electronic mail, via text message, or via websites." - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "params": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time-period following the formal transfer action" - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "PS-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiate {{ insert: param, ps-5_prm_1 }} within {{ insert: param, ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notify {{ insert: param, ps-5_prm_3 }} within {{ insert: param, ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts." - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "params": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "PS-06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document access agreements for organizational systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the access agreements {{ insert: param, ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that individuals requiring access to organizational information and systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy." - } - ], - "controls": [ - { - "id": "ps-6.1", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-6(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PS-06(01)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ps-6.2", - "class": "SP800-53-enhancement", - "title": "Classified Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-6(2)" - }, - { - "name": "sort-id", - "value": "PS-06(02)" - } - ], - "parts": [ - { - "id": "ps-6.2_smt", - "name": "statement", - "prose": "Verify that access to classified information requiring special protection is granted only to individuals who:", - "parts": [ - { - "id": "ps-6.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "id": "ps-6.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy associated personnel security criteria; and" - }, - { - "id": "ps-6.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Have read, understood, and signed a nondisclosure agreement." - } - ] - }, - { - "id": "ps-6.2_gdn", - "name": "guidance", - "prose": "Classified information requiring special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "ps-6.3", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-6(3)" - }, - { - "name": "sort-id", - "value": "PS-06(03)" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and" - }, - { - "id": "ps-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information." - } - ] - }, - { - "id": "ps-6.3_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "External Personnel Security", - "params": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "PS-07" - } - ], - "links": [ - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish personnel security requirements, including security roles and responsibilities for external providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Require external providers to comply with personnel security policies and procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require external providers to notify {{ insert: param, ps-7_prm_1 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitor provider compliance with personnel security requirements." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations providing system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and nature of credentials or privileges associated with individuals transferred or terminated." - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "params": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "PS-08" - } - ], - "links": [ - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notify {{ insert: param, ps-8_prm_1 }} within {{ insert: param, ps-8_prm_2 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions." - } - ] - } - ] - }, - { - "id": "pt", - "class": "family", - "title": "Personally Identifiable Information Processing and Transparency", - "controls": [ - { - "id": "pt-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pt-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pt-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pt-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pt-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pt-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-1" - }, - { - "name": "sort-id", - "value": "PT-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pt-1_smt", - "name": "statement", - "parts": [ - { - "id": "pt-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pt-1_prm_1 }}:", - "parts": [ - { - "id": "pt-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pt-1_prm_2 }} personally identifiable information processing and transparency policy that:", - "parts": [ - { - "id": "pt-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pt-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pt-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;" - } - ] - }, - { - "id": "pt-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pt-1_prm_3 }} to manage the development, documentation, and dissemination of the incident personally identifiable information processing and transparency policy and procedures; and" - }, - { - "id": "pt-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personally identifiable information processing and transparency:", - "parts": [ - { - "id": "pt-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pt-1_prm_4 }}; and" - }, - { - "id": "pt-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pt-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pt-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pt-2", - "class": "SP800-53", - "title": "Authority to Process Personally Identifiable Information", - "params": [ - { - "id": "pt-2_prm_1", - "label": "organization-defined authority" - }, - { - "id": "pt-2_prm_2", - "label": "organization-defined processing" - }, - { - "id": "pt-2_prm_3", - "label": "organization-defined processing" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2" - }, - { - "name": "sort-id", - "value": "PT-02" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2_smt", - "name": "statement", - "parts": [ - { - "id": "pt-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pt-2_prm_1 }} that permits the {{ insert: param, pt-2_prm_2 }} of personally identifiable information; and" - }, - { - "id": "pt-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Restrict the {{ insert: param, pt-2_prm_3 }} of personally identifiable information to only that which is authorized." - } - ] - }, - { - "id": "pt-2_gdn", - "name": "guidance", - "prose": "Processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes, but is not limited to, creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining. Organizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization\u2019s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organizations\u2019 policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise from its processing. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks. Organizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT] statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and/or other documentation. Organizations take steps to ensure that personally identifiable information is processed only for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information." - } - ], - "controls": [ - { - "id": "pt-2.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-2.1_prm_1", - "label": "organization-defined permissible processing" - }, - { - "id": "pt-2.1_prm_2", - "label": "organization-defined elements of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2(1)" - }, - { - "name": "sort-id", - "value": "PT-02(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.1_smt", - "name": "statement", - "prose": "Attach data tags containing {{ insert: param, pt-2.1_prm_1 }} to {{ insert: param, pt-2.1_prm_2 }}." - }, - { - "id": "pt-2.1_gdn", - "name": "guidance", - "prose": "Data tags support tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools." - } - ] - }, - { - "id": "pt-2.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2(2)" - }, - { - "name": "sort-id", - "value": "PT-02(02)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.2_smt", - "name": "statement", - "prose": "Manage enforcement of the authorized processing of personally identifiable information using {{ insert: param, pt-2.2_prm_1 }}." - }, - { - "id": "pt-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment verification that only authorized processing is occurring." - } - ] - } - ] - }, - { - "id": "pt-3", - "class": "SP800-53", - "title": "Personally Identifiable Information Processing Purposes", - "params": [ - { - "id": "pt-3_prm_1", - "label": "Assignment organization-defined purpose(s)" - }, - { - "id": "pt-3_prm_2", - "label": "organization-defined processing" - }, - { - "id": "pt-3_prm_3", - "label": "organization-defined mechanisms" - }, - { - "id": "pt-3_prm_4", - "label": "organization-defined requirements" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3" - }, - { - "name": "sort-id", - "value": "PT-03" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3_smt", - "name": "statement", - "parts": [ - { - "id": "pt-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the {{ insert: param, pt-3_prm_1 }} for processing personally identifiable information;" - }, - { - "id": "pt-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Describe the purpose(s) in the public privacy notices and policies of the organization;" - }, - { - "id": "pt-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Restrict the {{ insert: param, pt-3_prm_2 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and" - }, - { - "id": "pt-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-3_prm_3 }} to ensure that any changes are made in accordance with {{ insert: param, pt-3_prm_4 }}." - } - ] - }, - { - "id": "pt-3_gdn", - "name": "guidance", - "prose": "Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term process includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system, and individuals whose information is processed by the system, to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations, and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization\u2019s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT] statements, computer matching notices, and other applicable Federal Register notices. Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information. Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes arising from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks arising from changes in personally identifiable information processing purposes." - } - ], - "controls": [ - { - "id": "pt-3.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-3.1_prm_1", - "label": "organization-defined elements of personally identifiable information" - }, - { - "id": "pt-3.1_prm_2", - "label": "organization-defined processing purposes" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3(1)" - }, - { - "name": "sort-id", - "value": "PT-03(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.1_smt", - "name": "statement", - "prose": "Attach data tags containing the following purposes to {{ insert: param, pt-3.1_prm_1 }}: {{ insert: param, pt-3.1_prm_2 }}." - }, - { - "id": "pt-3.1_gdn", - "name": "guidance", - "prose": "Data tags support tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools." - } - ] - }, - { - "id": "pt-3.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-3.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3(2)" - }, - { - "name": "sort-id", - "value": "PT-03(02)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.2_smt", - "name": "statement", - "prose": "Track processing purposes of personally identifiable information using {{ insert: param, pt-3.2_prm_1 }}." - }, - { - "id": "pt-3.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment tracking of the processing purposes." - } - ] - } - ] - }, - { - "id": "pt-4", - "class": "SP800-53", - "title": "Minimization", - "params": [ - { - "id": "pt-4_prm_1", - "label": "organization-defined processes" - } - ], - "props": [ - { - "name": "label", - "value": "PT-4" - }, - { - "name": "sort-id", - "value": "PT-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4_smt", - "name": "statement", - "prose": "Implement the privacy principle of minimization using {{ insert: param, pt-4_prm_1 }}." - }, - { - "id": "pt-4_gdn", - "name": "guidance", - "prose": "The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose, and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization." - } - ] - }, - { - "id": "pt-5", - "class": "SP800-53", - "title": "Consent", - "params": [ - { - "id": "pt-5_prm_1", - "label": "organization-defined tools or mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5" - }, - { - "name": "sort-id", - "value": "PT-05" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-5_prm_1 }} for individuals to consent to the processing of their personally identifiable information prior to its collection that:", - "parts": [ - { - "id": "pt-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Facilitate individuals\u2019 informed decision-making; and" - }, - { - "id": "pt-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide a means for individuals to decline consent." - } - ] - }, - { - "id": "pt-5_gdn", - "name": "guidance", - "prose": "Consent allows individuals to participate in the decision-making about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting this control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks arising from their authorization. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the data actions carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon." - } - ], - "controls": [ - { - "id": "pt-5.1", - "class": "SP800-53-enhancement", - "title": "Tailored Consent", - "params": [ - { - "id": "pt-5.1_prm_1", - "label": "organization-defined mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5(1)" - }, - { - "name": "sort-id", - "value": "PT-05(01)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, pt-5.1_prm_1 }} to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "id": "pt-5.1_gdn", - "name": "guidance", - "prose": "While some processing may be necessary for the basic functionality of the product or service, other processing may not be necessary for the functionality of the product or service. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors such as abandonment of the product or service." - } - ] - }, - { - "id": "pt-5.2", - "class": "SP800-53-enhancement", - "title": "Just-in-time Consent", - "params": [ - { - "id": "pt-5.2_prm_1", - "label": "organization-defined consent mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5(2)" - }, - { - "name": "sort-id", - "value": "PT-05(02)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.2_smt", - "name": "statement", - "prose": "Present {{ insert: param, pt-5.2_prm_1 }} to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action." - }, - { - "id": "pt-5.2_gdn", - "name": "guidance", - "prose": "Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the individual last gave consent or the particular circumstances under which consent was given have changed. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals\u2019 privacy interests and concerns." - } - ] - } - ] - }, - { - "id": "pt-6", - "class": "SP800-53", - "title": "Privacy Notice", - "params": [ - { - "id": "pt-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pt-6_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "PT-6" - }, - { - "name": "sort-id", - "value": "PT-06" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6_smt", - "name": "statement", - "prose": "Provide notice to individuals about the processing of personally identifiable information that:", - "parts": [ - { - "id": "pt-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is available to individuals upon first interacting with an organization, and subsequently at {{ insert: param, pt-6_prm_1 }};" - }, - { - "id": "pt-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;" - }, - { - "id": "pt-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies the authority that authorizes the processing of personally identifiable information;" - }, - { - "id": "pt-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Identifies the purposes for which personally identifiable information is to be processed; and" - }, - { - "id": "pt-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Includes {{ insert: param, pt-6_prm_2 }}." - } - ] - }, - { - "id": "pt-6_gdn", - "name": "guidance", - "prose": "Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and, other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices. Privacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon." - } - ], - "controls": [ - { - "id": "pt-6.1", - "class": "SP800-53-enhancement", - "title": "Just-in-time Notice", - "params": [ - { - "id": "pt-6.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-6(1)" - }, - { - "name": "sort-id", - "value": "PT-06(01)" - } - ], - "links": [ - { - "href": "#pm-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6.1_smt", - "name": "statement", - "prose": "Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or {{ insert: param, pt-6.1_prm_1 }}." - }, - { - "id": "pt-6.1_gdn", - "name": "guidance", - "prose": "Just-in-time notice enables individuals to be informed of how organizations process their personally identifiable information at a time when such notice may be most useful to the individual. Individual assumption about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. Just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. Just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users\u2019 privacy interests and concerns." - } - ] - }, - { - "id": "pt-6.2", - "class": "SP800-53-enhancement", - "title": "Privacy Act Statements", - "props": [ - { - "name": "label", - "value": "PT-6(2)" - }, - { - "name": "sort-id", - "value": "PT-06(02)" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6.2_smt", - "name": "statement", - "prose": "Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals." - }, - { - "id": "pt-6.2_gdn", - "name": "guidance", - "prose": "If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT] statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT] statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond. [PRIVACT] statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT]." - } - ] - } - ] - }, - { - "id": "pt-7", - "class": "SP800-53", - "title": "System of Records Notice", - "props": [ - { - "name": "label", - "value": "PT-7" - }, - { - "name": "sort-id", - "value": "PT-07" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7_smt", - "name": "statement", - "prose": "For systems that process information that will be maintained in a Privacy Act system of records:", - "parts": [ - { - "id": "pt-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;" - }, - { - "id": "pt-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Publish system of records notices in the Federal Register; and" - }, - { - "id": "pt-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Keep system of records notices accurate, up-to-date, and scoped in accordance with policy." - } - ] - }, - { - "id": "pt-7_gdn", - "name": "guidance", - "prose": "The [PRIVACT] requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT] system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system, and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108]." - } - ], - "controls": [ - { - "id": "pt-7.1", - "class": "SP800-53-enhancement", - "title": "Routine Uses", - "params": [ - { - "id": "pt-7.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-7(1)" - }, - { - "name": "sort-id", - "value": "PT-07(01)" - } - ], - "parts": [ - { - "id": "pt-7.1_smt", - "name": "statement", - "prose": "Review all routine uses published in the system of records notice at {{ insert: param, pt-7.1_prm_1 }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "id": "pt-7.1_gdn", - "name": "guidance", - "prose": "A [PRIVACT] routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT] prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT] requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice." - } - ] - }, - { - "id": "pt-7.2", - "class": "SP800-53-enhancement", - "title": "Exemption Rules", - "params": [ - { - "id": "pt-7.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-7(2)" - }, - { - "name": "sort-id", - "value": "PT-07(02)" - } - ], - "parts": [ - { - "id": "pt-7.2_smt", - "name": "statement", - "prose": "Review all Privacy Act exemptions claimed for the system of records at {{ insert: param, pt-7.2_prm_1 }} to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice." - }, - { - "id": "pt-7.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT] includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. These provisions allow agencies in certain circumstances to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT]. At a minimum, organizations\u2019 [PRIVACT] exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT] from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate." - } - ] - } - ] - }, - { - "id": "pt-8", - "class": "SP800-53", - "title": "Specific Categories of Personally Identifiable Information", - "params": [ - { - "id": "pt-8_prm_1", - "label": "organization-defined processing conditions" - } - ], - "props": [ - { - "name": "label", - "value": "PT-8" - }, - { - "name": "sort-id", - "value": "PT-08" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-8_smt", - "name": "statement", - "prose": "Apply {{ insert: param, pt-8_prm_1 }} for specific categories of personally identifiable information." - }, - { - "id": "pt-8_gdn", - "name": "guidance", - "prose": "Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from organizational policies and determinations when an organization has determined that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary." - } - ], - "controls": [ - { - "id": "pt-8.1", - "class": "SP800-53-enhancement", - "title": "Social Security Numbers", - "props": [ - { - "name": "label", - "value": "PT-8(1)" - }, - { - "name": "sort-id", - "value": "PT-08(01)" - } - ], - "parts": [ - { - "id": "pt-8.1_smt", - "name": "statement", - "prose": "When a system processes Social Security numbers:", - "parts": [ - { - "id": "pt-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;" - }, - { - "id": "pt-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Do not deny any individual any right, benefit, or privilege provided by law because of such individual\u2019s refusal to disclose his or her Social Security number; and" - }, - { - "id": "pt-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it." - } - ] - }, - { - "id": "pt-8.1_gdn", - "name": "guidance", - "prose": "Federal law and policy establish specific requirements for organizations\u2019 processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information, and observe any particular requirements that apply." - } - ] - }, - { - "id": "pt-8.2", - "class": "SP800-53-enhancement", - "title": "First Amendment Information", - "props": [ - { - "name": "label", - "value": "PT-8(2)" - }, - { - "name": "sort-id", - "value": "PT-08(02)" - } - ], - "parts": [ - { - "id": "pt-8.2_smt", - "name": "statement", - "prose": "Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "id": "pt-8.2_gdn", - "name": "guidance", - "prose": "None. Related Controls: The [PRIVACT] limits agencies\u2019 ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements." - } - ] - } - ] - }, - { - "id": "pt-9", - "class": "SP800-53", - "title": "Computer Matching Requirements", - "props": [ - { - "name": "label", - "value": "PT-9" - }, - { - "name": "sort-id", - "value": "PT-09" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-9_smt", - "name": "statement", - "prose": "When a system or organization processes information for the purpose of conducting a matching program:", - "parts": [ - { - "id": "pt-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain approval from the Data Integrity Board to conduct the matching program;" - }, - { - "id": "pt-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop and enter into a computer matching agreement;" - }, - { - "id": "pt-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Publish a matching notice in the Federal Register;" - }, - { - "id": "pt-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and" - }, - { - "id": "pt-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual." - } - ] - }, - { - "id": "pt-9_gdn", - "name": "guidance", - "prose": "The [PRIVACT] establishes a set of requirements for federal and non-federal agencies when they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. A Federal benefit match is performed for purposes of determining or verifying eligibility for payments under Federal benefit programs, or recouping payments or delinquent debts under Federal benefit programs. A matching program involves not just the matching activity itself, but also the investigative follow-up and ultimate action, if any." - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ra-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ra-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "RA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ra-1_prm_2 }} risk assessment policy that:", - "parts": [ - { - "id": "ra-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ra-1_prm_3 }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and" - }, - { - "id": "ra-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current risk assessment:", - "parts": [ - { - "id": "ra-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ra-1_prm_4 }}; and" - }, - { - "id": "ra-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ra-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the RA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "props": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "RA-02" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorize the system and information it processes, stores, and transmits;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document the security categorization results, including supporting rationale, in the security plan for the system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined system boundaries are a prerequisite for security categorization decisions. Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are comprised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT] and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure the security categories remain accurate and relevant." - } - ], - "controls": [ - { - "id": "ra-2.1", - "class": "SP800-53-enhancement", - "title": "Impact-level Prioritization", - "props": [ - { - "name": "label", - "value": "RA-2(1)" - }, - { - "name": "sort-id", - "value": "RA-02(01)" - } - ], - "parts": [ - { - "id": "ra-2.1_smt", - "name": "statement", - "prose": "Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels." - }, - { - "id": "ra-2.1_gdn", - "name": "guidance", - "prose": "Organizations apply the \u201chigh water mark\u201d concept to each system categorized in accordance with [FIPS 199] resulting in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and interconnections. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems." - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "params": [ - { - "id": "ra-3_prm_1", - "select": { - "choice": [ - "security and privacy plans", - "risk assessment report", - " {{ insert: param, ra-3_prm_2 }} " - ] - } - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document" - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "RA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct a risk assessment, including:", - "parts": [ - { - "id": "ra-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "The likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and" - }, - { - "id": "ra-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "The likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "id": "ra-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document risk assessment results in {{ insert: param, ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review risk assessment results {{ insert: param, ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disseminate risk assessment results to {{ insert: param, ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Update the risk assessment {{ insert: param, ra-3_prm_5 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also consider risk from external parties, including individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities. Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, control selection, control implementation, control assessment, system authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle. In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system, including system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. Assessments of risk can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination." - } - ], - "controls": [ - { - "id": "ra-3.1", - "class": "SP800-53-enhancement", - "title": "Supply Chain Risk Assessment", - "params": [ - { - "id": "ra-3.1_prm_1", - "label": "organization-defined systems, system components, and system services" - }, - { - "id": "ra-3.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(1)" - }, - { - "name": "sort-id", - "value": "RA-03(01)" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#pm-17", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assess supply chain risks associated with {{ insert: param, ra-3.1_prm_1 }}; and" - }, - { - "id": "ra-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Update the supply chain risk assessment {{ insert: param, ra-3.1_prm_2 }}, when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "id": "ra-3.1_gdn", - "name": "guidance", - "prose": "Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - } - ] - }, - { - "id": "ra-3.2", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "RA-3(2)" - }, - { - "name": "sort-id", - "value": "RA-03(02)" - } - ], - "parts": [ - { - "id": "ra-3.2_smt", - "name": "statement", - "prose": "Use all-source intelligence to assist in the analysis of risk." - }, - { - "id": "ra-3.2_gdn", - "name": "guidance", - "prose": "Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information; measurement and signature intelligence; human intelligence; signals intelligence; and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate." - } - ] - }, - { - "id": "ra-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Threat Awareness", - "params": [ - { - "id": "ra-3.3_prm_1", - "label": "organization-defined means" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(3)" - }, - { - "name": "sort-id", - "value": "RA-03(03)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.3_smt", - "name": "statement", - "prose": "Determine the current cyber threat environment on an ongoing basis using {{ insert: param, ra-3.3_prm_1 }}." - }, - { - "id": "ra-3.3_gdn", - "name": "guidance", - "prose": "The threat awareness information that is gathered feeds into the organization\u2019s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations." - } - ] - }, - { - "id": "ra-3.4", - "class": "SP800-53-enhancement", - "title": "Predictive Cyber Analytics", - "params": [ - { - "id": "ra-3.4_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "ra-3.4_prm_2", - "label": "organization-defined advanced automation and analytics capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(4)" - }, - { - "name": "sort-id", - "value": "RA-03(04)" - } - ], - "parts": [ - { - "id": "ra-3.4_smt", - "name": "statement", - "prose": "Employ the following advanced automation and analytics capabilities to predict and identify risks to {{ insert: param, ra-3.4_prm_1 }}: {{ insert: param, ra-3.4_prm_2 }}." - }, - { - "id": "ra-3.4_gdn", - "name": "guidance", - "prose": "A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts including, machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), Automated Workflow Operations, and Machine Assisted Decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure sophisticated adversaries are not able to conceal their activity." - } - ] - } - ] - }, - { - "id": "ra-4", - "class": "SP800-53", - "title": "Risk Assessment Update", - "props": [ - { - "name": "label", - "value": "RA-4" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-04" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Monitoring and Scanning", - "params": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with organization-defined process" - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times" - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "RA-05" - } - ], - "links": [ - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "rel": "reference" - }, - { - "href": "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyze vulnerability scan reports and results from vulnerability monitoring;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediate legitimate vulnerabilities {{ insert: param, ra-5_prm_2 }} in accordance with an organizational assessment of risk;" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, ra-5_prm_3 }} to help eliminate similar vulnerabilities in other systems; and" - }, - { - "id": "ra-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned." - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities such as infrastructure components (e.g., switches, routers, sensors), networked printers, scanners, and copiers are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced, and as new scanning methods are developed, helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers. Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Vulnerability monitoring also includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization, and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation. Organizations may also employ the use of financial incentives (also known as \u201cbug bounties\u201d) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization\u2019s needs. Bounties can be operated indefinitely or over a defined period of time, and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously, and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points." - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "props": [ - { - "name": "label", - "value": "RA-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(01)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update System Vulnerabilities", - "params": [ - { - "id": "ra-5.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-5.2_prm_2 }} ", - "prior to a new scan", - "when new vulnerabilities are identified and reported" - ] - } - }, - { - "id": "ra-5.2_prm_2", - "depends-on": "ra-5.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(2)" - }, - { - "name": "sort-id", - "value": "RA-05(02)" - } - ], - "links": [ - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "Update the system vulnerabilities to be scanned {{ insert: param, ra-5.2_prm_1 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "prose": "Due to the complexity of modern software and systems and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner." - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth and Depth of Coverage", - "props": [ - { - "name": "label", - "value": "RA-5(3)" - }, - { - "name": "sort-id", - "value": "RA-05(03)" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "Define the breadth and depth of vulnerability scanning coverage." - }, - { - "id": "ra-5.3_gdn", - "name": "guidance", - "prose": "The breadth of vulnerability scanning coverage can be expressed, for example, as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design the organization intends to monitor (e.g., component, module, subsystem). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. [SP 800-53A] provides additional information on the breadth and depth of coverage." - } - ] - }, - { - "id": "ra-5.4", - "class": "SP800-53-enhancement", - "title": "Discoverable Information", - "params": [ - { - "id": "ra-5.4_prm_1", - "label": "organization-defined corrective actions" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(4)" - }, - { - "name": "sort-id", - "value": "RA-05(04)" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.4_smt", - "name": "statement", - "prose": "Determine information about the system that is discoverable and take {{ insert: param, ra-5.4_prm_1 }}." - }, - { - "id": "ra-5.4_gdn", - "name": "guidance", - "prose": "Discoverable information includes information that adversaries could obtain without compromising or breaching the system, for example, by collecting information the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization." - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "params": [ - { - "id": "ra-5.5_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ra-5.5_prm_2", - "label": "organization-defined vulnerability scanning activities" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(5)" - }, - { - "name": "sort-id", - "value": "RA-05(05)" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "Implement privileged access authorization to {{ insert: param, ra-5.5_prm_1 }} for {{ insert: param, ra-5.5_prm_2 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning." - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "params": [ - { - "id": "ra-5.6_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(6)" - }, - { - "name": "sort-id", - "value": "RA-05(06)" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "Compare the results of multiple vulnerability scans using {{ insert: param, ra-5.6_prm_1 }}." - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to analyze multiple vulnerability scans over time can help to determine trends in system vulnerabilities." - } - ] - }, - { - "id": "ra-5.7", - "class": "SP800-53-enhancement", - "title": "Automated Detection and Notification of Unauthorized Components", - "props": [ - { - "name": "label", - "value": "RA-5(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(07)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "params": [ - { - "id": "ra-5.8_prm_1", - "label": "organization-defined system" - }, - { - "id": "ra-5.8_prm_2", - "label": "organization-defined time period" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(8)" - }, - { - "name": "sort-id", - "value": "RA-05(08)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-5.8_prm_1 }} has been previously exploited within an {{ insert: param, ra-5.8_prm_2 }}." - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "prose": "Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack." - } - ] - }, - { - "id": "ra-5.9", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analyses", - "props": [ - { - "name": "label", - "value": "RA-5(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(09)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.10", - "class": "SP800-53-enhancement", - "title": "Correlate Scanning Information", - "props": [ - { - "name": "label", - "value": "RA-5(10)" - }, - { - "name": "sort-id", - "value": "RA-05(10)" - } - ], - "parts": [ - { - "id": "ra-5.10_smt", - "name": "statement", - "prose": "Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "id": "ra-5.10_gdn", - "name": "guidance", - "prose": "An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation." - } - ] - }, - { - "id": "ra-5.11", - "class": "SP800-53-enhancement", - "title": "Public Disclosure Program", - "params": [ - { - "id": "ra-5.11_prm_1", - "label": "organization-defined public reporting channel" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(11)" - }, - { - "name": "sort-id", - "value": "RA-05(11)" - } - ], - "parts": [ - { - "id": "ra-5.11_smt", - "name": "statement", - "prose": "Establish an {{ insert: param, ra-5.11_prm_1 }} for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "id": "ra-5.11_gdn", - "name": "guidance", - "prose": "The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity, but may request a specific time period to properly remediate the vulnerability." - } - ] - } - ] - }, - { - "id": "ra-6", - "class": "SP800-53", - "title": "Technical Surveillance Countermeasures Survey", - "params": [ - { - "id": "ra-6_prm_1", - "label": "organization-defined locations" - }, - { - "id": "ra-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-6_prm_3 }} ", - " {{ insert: param, ra-6_prm_4 }} " - ] - } - }, - { - "id": "ra-6_prm_3", - "depends-on": "ra-6_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ra-6_prm_4", - "depends-on": "ra-6_prm_2", - "label": "organization-defined events or indicators occur" - } - ], - "props": [ - { - "name": "label", - "value": "RA-6" - }, - { - "name": "sort-id", - "value": "RA-06" - } - ], - "parts": [ - { - "id": "ra-6_smt", - "name": "statement", - "prose": "Employ a technical surveillance countermeasures survey at {{ insert: param, ra-6_prm_1 }} {{ insert: param, ra-6_prm_2 }}." - }, - { - "id": "ra-6_gdn", - "name": "guidance", - "prose": "A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries." - } - ] - }, - { - "id": "ra-7", - "class": "SP800-53", - "title": "Risk Response", - "props": [ - { - "name": "label", - "value": "RA-7" - }, - { - "name": "sort-id", - "value": "RA-07" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-7_smt", - "name": "statement", - "prose": "Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance." - }, - { - "id": "ra-7_gdn", - "name": "guidance", - "prose": "Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls; accepting risk with appropriate justification or rationale; sharing or transferring risk; or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated." - } - ] - }, - { - "id": "ra-8", - "class": "SP800-53", - "title": "Privacy Impact Assessments", - "props": [ - { - "name": "label", - "value": "RA-8" - }, - { - "name": "sort-id", - "value": "RA-08" - } - ], - "links": [ - { - "href": "#bc2bf069-c3a5-48a4-a274-684d997be0c2", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-8_smt", - "name": "statement", - "prose": "Conduct privacy impact assessments for systems, programs, or other activities before:", - "parts": [ - { - "id": "ra-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Developing or procuring information technology that processes personally identifiable information; and" - }, - { - "id": "ra-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiating a new collection of personally identifiable information that:", - "parts": [ - { - "id": "ra-8_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Will be processed using information technology; and" - }, - { - "id": "ra-8_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes personally identifiable information permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "id": "ra-8_gdn", - "name": "guidance", - "prose": "A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document detailing the process and the outcome of the analysis. Organizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization\u2019s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization\u2019s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization\u2019s practices, or other factors alter the privacy risks associated with the use of such information technology. To conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes which may have different labels, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization\u2019s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision." - } - ] - }, - { - "id": "ra-9", - "class": "SP800-53", - "title": "Criticality Analysis", - "params": [ - { - "id": "ra-9_prm_1", - "label": "organization-defined systems, system components, or system services" - }, - { - "id": "ra-9_prm_2", - "label": "organization-defined decision points in the system development life cycle" - } - ], - "props": [ - { - "name": "label", - "value": "RA-9" - }, - { - "name": "sort-id", - "value": "RA-09" - } - ], - "links": [ - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-9_smt", - "name": "statement", - "prose": "Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-9_prm_1 }} at {{ insert: param, ra-9_prm_2 }}." - }, - { - "id": "ra-9_gdn", - "name": "guidance", - "prose": "Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders regulations, directives, policies, and standards; system functionality requirements; system and component interfaces; and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system; decomposition into the specific functions to perform those missions; and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system. The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system containing the components and functions. Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, for example, by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in RA-2." - } - ] - }, - { - "id": "ra-10", - "class": "SP800-53", - "title": "Threat Hunting", - "params": [ - { - "id": "ra-10_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-10" - }, - { - "name": "sort-id", - "value": "RA-10" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-10_smt", - "name": "statement", - "parts": [ - { - "id": "ra-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and maintain a cyber threat hunting capability to:", - "parts": [ - { - "id": "ra-10_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Search for indicators of compromise in organizational systems; and" - }, - { - "id": "ra-10_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Detect, track, and disrupt threats that evade existing controls; and" - } - ] - }, - { - "id": "ra-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the threat hunting capability {{ insert: param, ra-10_prm_1 }}." - } - ] - }, - { - "id": "ra-10_gdn", - "name": "guidance", - "prose": "Threat hunting is an active means of cyber defense in contrast to the traditional protection measures such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies." - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sa-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sa-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "SA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sa-1_prm_2 }} system and services acquisition policy that:", - "parts": [ - { - "id": "sa-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sa-1_prm_3 }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and" - }, - { - "id": "sa-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and services acquisition:", - "parts": [ - { - "id": "sa-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sa-1_prm_4 }}; and" - }, - { - "id": "sa-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sa-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "props": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "SA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain concerns throughout the system development life cycle." - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "params": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "props": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "SA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Acquire, develop, and manage the system using {{ insert: param, sa-3_prm_1 }} that incorporates information security and privacy considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document information security and privacy roles and responsibilities throughout the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify individuals having information security and privacy roles and responsibilities; and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrate the organizational information security and privacy risk management process into system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include in system development life cycle processes, qualified personnel, including senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, and service providers), acquisition and supply chain risk management functions and controls play a significant role in the effective management of the system during the life cycle." - } - ], - "controls": [ - { - "id": "sa-3.1", - "class": "SP800-53-enhancement", - "title": "Manage Preproduction Environment", - "props": [ - { - "name": "label", - "value": "SA-3(1)" - }, - { - "name": "sort-id", - "value": "SA-03(01)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.1_smt", - "name": "statement", - "prose": "Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "id": "sa-3.1_gdn", - "name": "guidance", - "prose": "The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense is an example of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribution to a more secure system development environment." - } - ] - }, - { - "id": "sa-3.2", - "class": "SP800-53-enhancement", - "title": "Use of Live or Operational Data", - "props": [ - { - "name": "label", - "value": "SA-3(2)" - }, - { - "name": "sort-id", - "value": "SA-03(02)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and" - }, - { - "id": "sa-3.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments." - } - ] - }, - { - "id": "sa-3.2_gdn", - "name": "guidance", - "prose": "Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risk to organizations. In addition, the use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Thus, it is important for the organization to manage any additional risks that may result from use of live or operational data. Organizations can minimize such risk by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable." - } - ] - }, - { - "id": "sa-3.3", - "class": "SP800-53-enhancement", - "title": "Technology Refresh", - "props": [ - { - "name": "label", - "value": "SA-3(3)" - }, - { - "name": "sort-id", - "value": "SA-03(03)" - } - ], - "parts": [ - { - "id": "sa-3.3_smt", - "name": "statement", - "prose": "Plan for and implement a technology refresh schedule for the system throughout the system development life cycle." - }, - { - "id": "sa-3.3_gdn", - "name": "guidance", - "prose": "Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle." - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "params": [ - { - "id": "sa-4_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "standardized contract language", - " {{ insert: param, sa-4_prm_2 }} " - ] - } - }, - { - "id": "sa-4_prm_2", - "depends-on": "sa-4_prm_1", - "label": "organization-defined contract language" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "SA-04" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#6ddb507b-6ddb-4e15-a8d4-0854e704446e", - "rel": "reference" - }, - { - "href": "#18abb755-c10f-407d-b0ef-4f99e5ec4a49", - "rel": "reference" - }, - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#daf69edb-a0ef-4447-9880-8c4bf553181f", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#5dac2312-1d0d-416f-aebb-400fa9775b74", - "rel": "reference" - }, - { - "href": "#634dec27-df88-4c30-b1a4-b57cdfd24f20", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-4_prm_1 }} in the acquisition contract for the system, system component, or system service:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security and privacy functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Strength of mechanism requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security and privacy assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Controls needed to satisfy the security and privacy requirements." - }, - { - "id": "sa-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Security and privacy documentation requirements;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Requirements for protecting security and privacy documentation;" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Description of the system development environment and environment in which the system is intended to operate;" - }, - { - "id": "sa-4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and" - }, - { - "id": "sa-4_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Acceptance criteria." - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in SA-2. The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160 v1] describes the process of requirements engineering as part of the system development life cycle. Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical aspects, administrative aspects, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle. Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement." - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Controls", - "props": [ - { - "name": "label", - "value": "SA-4(1)" - }, - { - "name": "sort-id", - "value": "SA-04(01)" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls." - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design and Implementation Information for Controls", - "params": [ - { - "id": "sa-4.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "security-relevant external system interfaces", - "high-level design", - "low-level design", - "source code or hardware schematics", - " {{ insert: param, sa-4.2_prm_2 }} " - ] - } - }, - { - "id": "sa-4.2_prm_2", - "depends-on": "sa-4.2_prm_1", - "label": "organization-defined design and implementation information" - }, - { - "id": "sa-4.2_prm_3", - "label": "organization-defined level of detail" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(2)" - }, - { - "name": "sort-id", - "value": "SA-04(02)" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-4.2_prm_1 }} at {{ insert: param, sa-4.2_prm_3 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in the documentation for the design and implementation for controls in organizational systems, system components, or system services based on mission and business requirements; requirements for resiliency and trustworthiness; and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system." - } - ] - }, - { - "id": "sa-4.3", - "class": "SP800-53-enhancement", - "title": "Development Methods, Techniques, and Practices", - "params": [ - { - "id": "sa-4.3_prm_1", - "label": "organization-defined systems engineering methods" - }, - { - "id": "sa-4.3_prm_2", - "label": "organization-defined Selection (one or more): systems security; privacy" - }, - { - "id": "sa-4.3_prm_3", - "label": "organization-defined software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(3)" - }, - { - "name": "sort-id", - "value": "SA-04(03)" - } - ], - "parts": [ - { - "id": "sa-4.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:", - "parts": [ - { - "id": "sa-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_1 }};" - }, - { - "id": "sa-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_2 }} engineering methods];" - }, - { - "id": "sa-4.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_3 }}." - } - ] - }, - { - "id": "sa-4.3_gdn", - "name": "guidance", - "prose": "Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of the latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provide an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired." - } - ] - }, - { - "id": "sa-4.4", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "props": [ - { - "name": "label", - "value": "SA-4(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-04(04)" - } - ], - "links": [ - { - "href": "#cm-8.9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-4.5", - "class": "SP800-53-enhancement", - "title": "System, Component, and Service Configurations", - "params": [ - { - "id": "sa-4.5_prm_1", - "label": "organization-defined security configurations" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(5)" - }, - { - "name": "sort-id", - "value": "SA-04(05)" - } - ], - "parts": [ - { - "id": "sa-4.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Deliver the system, component, or service with {{ insert: param, sa-4.5_prm_1 }} implemented; and" - }, - { - "id": "sa-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "id": "sa-4.5_gdn", - "name": "guidance", - "prose": "Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed." - } - ] - }, - { - "id": "sa-4.6", - "class": "SP800-53-enhancement", - "title": "Use of Information Assurance Products", - "props": [ - { - "name": "label", - "value": "SA-4(6)" - }, - { - "name": "sort-id", - "value": "SA-04(06)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.6_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and" - }, - { - "id": "sa-4.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "id": "sa-4.6_gdn", - "name": "guidance", - "prose": "Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC]." - } - ] - }, - { - "id": "sa-4.7", - "class": "SP800-53-enhancement", - "title": "Niap-approved Protection Profiles", - "props": [ - { - "name": "label", - "value": "SA-4(7)" - }, - { - "name": "sort-id", - "value": "SA-04(07)" - } - ], - "links": [ - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and" - }, - { - "id": "sa-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved." - } - ] - }, - { - "id": "sa-4.7_gdn", - "name": "guidance", - "prose": "See [NIAP CCEVS] for additional information on NIAP. See [NIST CMVP] for additional information on FIPS-validated cryptographic modules." - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan for Controls", - "params": [ - { - "id": "sa-4.8_prm_1", - "label": "organization-defined level of detail" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(8)" - }, - { - "name": "sort-id", - "value": "SA-04(08)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that contains the following level of detail: {{ insert: param, sa-4.8_prm_1 }}." - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring strategies and programs implemented by organizations. Continuous monitoring plans can include the frequency of control monitoring, types of control assessment and monitoring activities planned, and actions to be taken when controls fail or become ineffective." - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions, Ports, Protocols, and Services in Use", - "props": [ - { - "name": "label", - "value": "SA-4(9)" - }, - { - "name": "sort-id", - "value": "SA-04(09)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design stages, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or when requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources." - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "props": [ - { - "name": "label", - "value": "SA-4(10)" - }, - { - "name": "sort-id", - "value": "SA-04(10)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "prose": "Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multifactor authentication in systems and organizations." - } - ] - }, - { - "id": "sa-4.11", - "class": "SP800-53-enhancement", - "title": "System of Records", - "params": [ - { - "id": "sa-4.11_prm_1", - "label": "organization-defined Privacy Act requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(11)" - }, - { - "name": "sort-id", - "value": "SA-04(11)" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.11_smt", - "name": "statement", - "prose": "Include {{ insert: param, sa-4.11_prm_1 }} in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "id": "sa-4.11_gdn", - "name": "guidance", - "prose": "When an organization provides by a contract for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT] to be applied to the system of records." - } - ] - }, - { - "id": "sa-4.12", - "class": "SP800-53-enhancement", - "title": "Data Ownership", - "params": [ - { - "id": "sa-4.12_prm_1", - "label": "organization-defined timeframe" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(12)" - }, - { - "name": "sort-id", - "value": "SA-04(12)" - } - ], - "parts": [ - { - "id": "sa-4.12_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Include organizational data ownership requirements in the acquisition contract; and" - }, - { - "id": "sa-4.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require all data to be removed from the contractor\u2019s system and returned to the organization within {{ insert: param, sa-4.12_prm_1 }}." - } - ] - }, - { - "id": "sa-4.12_gdn", - "name": "guidance", - "prose": "Contractors operating a system that contains data owned by an organization initiating the contract, have policies and procedures in place to remove the data from their systems and/or return the data in a timeframe defined by the contract." - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "System Documentation", - "params": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "SA-05" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain administrator documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security and privacy functions and mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative or privileged functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtain user documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes {{ insert: param, sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect documentation as required, in accordance with the organizational risk management strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distribute documentation to {{ insert: param, sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "System documentation helps personnel understand the implementation and the operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation." - } - ], - "controls": [ - { - "id": "sa-5.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "props": [ - { - "name": "label", - "value": "SA-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(01)" - } - ], - "links": [ - { - "href": "#sa-4.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant External System Interfaces", - "props": [ - { - "name": "label", - "value": "SA-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(02)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.3", - "class": "SP800-53-enhancement", - "title": "High-level Design", - "props": [ - { - "name": "label", - "value": "SA-5(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(03)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.4", - "class": "SP800-53-enhancement", - "title": "Low-level Design", - "props": [ - { - "name": "label", - "value": "SA-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(04)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.5", - "class": "SP800-53-enhancement", - "title": "Source Code", - "props": [ - { - "name": "label", - "value": "SA-5(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(05)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-6", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "SA-6" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-06" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-7", - "class": "SP800-53", - "title": "User-installed Software", - "props": [ - { - "name": "label", - "value": "SA-7" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-07" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security and Privacy Engineering Principles", - "params": [ - { - "id": "sa-8_prm_1", - "label": "organization-defined systems security and privacy engineering principles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8" - }, - { - "name": "sort-id", - "value": "SA-08" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, sa-8_prm_1 }}." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Systems security and privacy engineering principles are closely related to and are implemented throughout the system development life cycle (see SA-3). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering principles help organizations develop trustworthy, secure, and resilient systems and reduce the susceptibility to disruptions, hazards, threats, and creating privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks including incorporating tamper-resistant hardware into a design." - } - ], - "controls": [ - { - "id": "sa-8.1", - "class": "SP800-53-enhancement", - "title": "Clear Abstractions", - "props": [ - { - "name": "label", - "value": "SA-8(1)" - }, - { - "name": "sort-id", - "value": "SA-08(01)" - } - ], - "parts": [ - { - "id": "sa-8.1_smt", - "name": "statement", - "prose": "Implement the security design principle of clear abstractions." - }, - { - "id": "sa-8.1_gdn", - "name": "guidance", - "prose": "The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how it is managed. The elegance (e.g., clarity, simplicity, necessity, and sufficiency) of the system interfaces, combined with a precise definition of their functional behavior promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples reflecting application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters (e.g., not using a single function to provide different functionality, depending on how it is used). Information hiding, also known as representation-independent programming, is a design discipline to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally." - } - ] - }, - { - "id": "sa-8.2", - "class": "SP800-53-enhancement", - "title": "Least Common Mechanism", - "params": [ - { - "id": "sa-8.2_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(2)" - }, - { - "name": "sort-id", - "value": "SA-08(02)" - } - ], - "parts": [ - { - "id": "sa-8.2_smt", - "name": "statement", - "prose": "Implement the security design principle of least common mechanism in {{ insert: param, sa-8.2_prm_1 }}." - }, - { - "id": "sa-8.2_gdn", - "name": "guidance", - "prose": "The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74]. Minimization of mechanism implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with great care to be sure it does not unintentionally compromise security [SALTZER75]. Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing system state among different programs. A single program corrupting a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73]." - } - ] - }, - { - "id": "sa-8.3", - "class": "SP800-53-enhancement", - "title": "Modularity and Layering", - "params": [ - { - "id": "sa-8.3_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(3)" - }, - { - "name": "sort-id", - "value": "SA-08(03)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.3_smt", - "name": "statement", - "prose": "Implement the security design principles of modularity and layering in {{ insert: param, sa-8.3_prm_1 }}." - }, - { - "id": "sa-8.3_gdn", - "name": "guidance", - "prose": "The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity, by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood, so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the following: allocation of policies to systems in a network; separation of system applications into processes with distinct address spaces; allocation of system policies to layers; and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains." - } - ] - }, - { - "id": "sa-8.4", - "class": "SP800-53-enhancement", - "title": "Partially Ordered Dependencies", - "params": [ - { - "id": "sa-8.4_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(4)" - }, - { - "name": "sort-id", - "value": "SA-08(04)" - } - ], - "parts": [ - { - "id": "sa-8.4_smt", - "name": "statement", - "prose": "Implement the security design principle of partially ordered dependencies in {{ insert: param, sa-8.4_prm_1 }}." - }, - { - "id": "sa-8.4_gdn", - "name": "guidance", - "prose": "The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent upon lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and the coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis." - } - ] - }, - { - "id": "sa-8.5", - "class": "SP800-53-enhancement", - "title": "Efficiently Mediated Access", - "params": [ - { - "id": "sa-8.5_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(5)" - }, - { - "name": "sort-id", - "value": "SA-08(05)" - } - ], - "parts": [ - { - "id": "sa-8.5_smt", - "name": "statement", - "prose": "Implement the security design principle of efficiently mediated access in {{ insert: param, sa-8.5_prm_1 }}." - }, - { - "id": "sa-8.5_gdn", - "name": "guidance", - "prose": "The principle of efficiently mediated access states that policy-enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur." - } - ] - }, - { - "id": "sa-8.6", - "class": "SP800-53-enhancement", - "title": "Minimized Sharing", - "params": [ - { - "id": "sa-8.6_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(6)" - }, - { - "name": "sort-id", - "value": "SA-08(06)" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.6_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized sharing in {{ insert: param, sa-8.6_prm_1 }}." - }, - { - "id": "sa-8.6_gdn", - "name": "guidance", - "prose": "The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case internal entities, or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage- and timing-channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities." - } - ] - }, - { - "id": "sa-8.7", - "class": "SP800-53-enhancement", - "title": "Reduced Complexity", - "params": [ - { - "id": "sa-8.7_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(7)" - }, - { - "name": "sort-id", - "value": "SA-08(07)" - } - ], - "parts": [ - { - "id": "sa-8.7_smt", - "name": "statement", - "prose": "Implement the security design principle of reduced complexity in {{ insert: param, sa-8.7_prm_1 }}." - }, - { - "id": "sa-8.7_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain\u2014that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition." - } - ] - }, - { - "id": "sa-8.8", - "class": "SP800-53-enhancement", - "title": "Secure Evolvability", - "params": [ - { - "id": "sa-8.8_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(8)" - }, - { - "name": "sort-id", - "value": "SA-08(08)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.8_smt", - "name": "statement", - "prose": "Implement the security design principle of secure evolvability in {{ insert: param, sa-8.8_prm_1 }}." - }, - { - "id": "sa-8.8_gdn", - "name": "guidance", - "prose": "The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system\u2019s structure, interfaces, interconnections (i.e., system architecture), functionality, or its configuration (i.e., security policy enforcement). Changes include a new, an enhanced, or an upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction; anticipated changes in the threat environment; and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life-cycle costs; reduced cost of ownership; improved system security; more effective management of security risk; and less risk uncertainty." - } - ] - }, - { - "id": "sa-8.9", - "class": "SP800-53-enhancement", - "title": "Trusted Components", - "params": [ - { - "id": "sa-8.9_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(9)" - }, - { - "name": "sort-id", - "value": "SA-08(09)" - } - ], - "parts": [ - { - "id": "sa-8.9_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted components in {{ insert: param, sa-8.9_prm_1 }}." - }, - { - "id": "sa-8.9_gdn", - "name": "guidance", - "prose": "The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and where consequently the trust is not misplaced. Ultimately this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships. The principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption; however, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives, and relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component, or replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component." - } - ] - }, - { - "id": "sa-8.10", - "class": "SP800-53-enhancement", - "title": "Hierarchical Trust", - "params": [ - { - "id": "sa-8.10_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(10)" - }, - { - "name": "sort-id", - "value": "SA-08(10)" - } - ], - "parts": [ - { - "id": "sa-8.10_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical trust in {{ insert: param, sa-8.10_prm_1 }}." - }, - { - "id": "sa-8.10_gdn", - "name": "guidance", - "prose": "The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or providing an assurance case or argument when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend upon a less trustworthy component in a higher layer, this would in effect, put the components in the same \u201cless trustworthy\u201d equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness, where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system." - } - ] - }, - { - "id": "sa-8.11", - "class": "SP800-53-enhancement", - "title": "Inverse Modification Threshold", - "params": [ - { - "id": "sa-8.11_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(11)" - }, - { - "name": "sort-id", - "value": "SA-08(11)" - } - ], - "parts": [ - { - "id": "sa-8.11_smt", - "name": "statement", - "prose": "Implement the security design principle of inverse modification threshold in {{ insert: param, sa-8.11_prm_1 }}." - }, - { - "id": "sa-8.11_gdn", - "name": "guidance", - "prose": "The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust, and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component\u2019s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation)." - } - ] - }, - { - "id": "sa-8.12", - "class": "SP800-53-enhancement", - "title": "Hierarchical Protection", - "params": [ - { - "id": "sa-8.12_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(12)" - }, - { - "name": "sort-id", - "value": "SA-08(12)" - } - ], - "parts": [ - { - "id": "sa-8.12_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical protection in {{ insert: param, sa-8.12_prm_1 }}." - }, - { - "id": "sa-8.12_gdn", - "name": "guidance", - "prose": "The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in \u201csystem high\u201d environments where users are highly trustworthy and where other protections are put in place to bound and protect the \u201csystem high\u201d execution environment." - } - ] - }, - { - "id": "sa-8.13", - "class": "SP800-53-enhancement", - "title": "Minimized Security Elements", - "params": [ - { - "id": "sa-8.13_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(13)" - }, - { - "name": "sort-id", - "value": "SA-08(13)" - } - ], - "parts": [ - { - "id": "sa-8.13_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized security elements in {{ insert: param, sa-8.13_prm_1 }}." - }, - { - "id": "sa-8.13_gdn", - "name": "guidance", - "prose": "The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to increased rigor of development processes. Trusted components also require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system." - } - ] - }, - { - "id": "sa-8.14", - "class": "SP800-53-enhancement", - "title": "Least Privilege", - "params": [ - { - "id": "sa-8.14_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(14)" - }, - { - "name": "sort-id", - "value": "SA-08(14)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.14_smt", - "name": "statement", - "prose": "Implement the security design principle of least privilege in {{ insert: param, sa-8.14_prm_1 }}." - }, - { - "id": "sa-8.14_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions, but no more. Applying the principle of least privilege limits the scope of the component\u2019s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact; and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module\u2019s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes for the elements (e.g., read, write) are minimal." - } - ] - }, - { - "id": "sa-8.15", - "class": "SP800-53-enhancement", - "title": "Predicate Permission", - "params": [ - { - "id": "sa-8.15_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(15)" - }, - { - "name": "sort-id", - "value": "SA-08(15)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.15_smt", - "name": "statement", - "prose": "Implement the security design principle of predicate permission in {{ insert: param, sa-8.15_prm_1 }}." - }, - { - "id": "sa-8.15_gdn", - "name": "guidance", - "prose": "The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75] originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action." - } - ] - }, - { - "id": "sa-8.16", - "class": "SP800-53-enhancement", - "title": "Self-reliant Trustworthiness", - "params": [ - { - "id": "sa-8.16_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(16)" - }, - { - "name": "sort-id", - "value": "SA-08(16)" - } - ], - "parts": [ - { - "id": "sa-8.16_smt", - "name": "statement", - "prose": "Implement the security design principle of self-reliant trustworthiness in {{ insert: param, sa-8.16_prm_1 }}." - }, - { - "id": "sa-8.16_gdn", - "name": "guidance", - "prose": "The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default with any connection to an external entity used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that result in loss or degradation of that connection. The benefit to the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them." - } - ] - }, - { - "id": "sa-8.17", - "class": "SP800-53-enhancement", - "title": "Secure Distributed Composition", - "params": [ - { - "id": "sa-8.17_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(17)" - }, - { - "name": "sort-id", - "value": "SA-08(17)" - } - ], - "parts": [ - { - "id": "sa-8.17_smt", - "name": "statement", - "prose": "Implement the security design principle of secure distributed composition in {{ insert: param, sa-8.17_prm_1 }}." - }, - { - "id": "sa-8.17_gdn", - "name": "guidance", - "prose": "The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed." - } - ] - }, - { - "id": "sa-8.18", - "class": "SP800-53-enhancement", - "title": "Trusted Communications Channels", - "params": [ - { - "id": "sa-8.18_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(18)" - }, - { - "name": "sort-id", - "value": "SA-08(18)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.18_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted communications channels in {{ insert: param, sa-8.18_prm_1 }}." - }, - { - "id": "sa-8.18_gdn", - "name": "guidance", - "prose": "The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception, modification, and to further increase the assurance of proper end-to-end communication)." - } - ] - }, - { - "id": "sa-8.19", - "class": "SP800-53-enhancement", - "title": "Continuous Protection", - "params": [ - { - "id": "sa-8.19_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(19)" - }, - { - "name": "sort-id", - "value": "SA-08(19)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.19_smt", - "name": "statement", - "prose": "Implement the security design principle of continuous protection in {{ insert: param, sa-8.19_prm_1 }}." - }, - { - "id": "sa-8.19_gdn", - "name": "guidance", - "prose": "The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor, the reference monitor is able to protect itself from tampering, and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing), and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes). Continuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic, and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements." - } - ] - }, - { - "id": "sa-8.20", - "class": "SP800-53-enhancement", - "title": "Secure Metadata Management", - "params": [ - { - "id": "sa-8.20_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(20)" - }, - { - "name": "sort-id", - "value": "SA-08(20)" - } - ], - "parts": [ - { - "id": "sa-8.20_smt", - "name": "statement", - "prose": "Implement the security design principle of secure metadata management in {{ insert: param, sa-8.20_prm_1 }}." - }, - { - "id": "sa-8.20_gdn", - "name": "guidance", - "prose": "The principle of secure metadata management states that metadata are \u201cfirst class\u201d objects with respect to security policy when the policy requires complete protection of information or it requires that the security subsystem to be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies upon for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the sensitivity level of a file name), to include self-referential metadata. The apparent secondary nature of metadata can lead to a neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessment for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data." - } - ] - }, - { - "id": "sa-8.21", - "class": "SP800-53-enhancement", - "title": "Self-analysis", - "params": [ - { - "id": "sa-8.21_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(21)" - }, - { - "name": "sort-id", - "value": "SA-08(21)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.21_smt", - "name": "statement", - "prose": "Implement the security design principle of self-analysis in {{ insert: param, sa-8.21_prm_1 }}." - }, - { - "id": "sa-8.21_gdn", - "name": "guidance", - "prose": "The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component attesting to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, or internal malfunction or transient errors. By following this principle, some simple errors or malfunctions can be detected without allowing the effects of the error or malfunction to propagate outside the component. Further, the self-test can also be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration." - } - ] - }, - { - "id": "sa-8.22", - "class": "SP800-53-enhancement", - "title": "Accountability and Traceability", - "params": [ - { - "id": "sa-8.22_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(22)" - }, - { - "name": "sort-id", - "value": "SA-08(22)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.22_smt", - "name": "statement", - "prose": "Implement the security design principle of accountability and traceability in {{ insert: param, sa-8.22_prm_1 }}." - }, - { - "id": "sa-8.22_gdn", - "name": "guidance", - "prose": "The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires the audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provides non-repudiation, because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy, and the actions of individuals associated with the violation of security policy." - } - ] - }, - { - "id": "sa-8.23", - "class": "SP800-53-enhancement", - "title": "Secure Defaults", - "params": [ - { - "id": "sa-8.23_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(23)" - }, - { - "name": "sort-id", - "value": "SA-08(23)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.23_smt", - "name": "statement", - "prose": "Implement the security design principle of secure defaults in {{ insert: param, sa-8.23_prm_1 }}." - }, - { - "id": "sa-8.23_gdn", - "name": "guidance", - "prose": "The principle of secure defaults states that the default configuration of a system (to include its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a \u201cdeny unless explicitly authorized\u201d strategy. The initial configuration aspect of this principle requires that any \u201cas shipped\u201d configuration of a system, subsystem, or system component does not aid in the violation of the security policy, and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user. Restrictive defaults mean that the system will operate \u201cas-shipped\u201d with adequate self-protection, and is able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the \u201cas-shipped\u201d product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure. The security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is by default denied are often far more compact and complete than those that would need to be checked in order to deny a request that is by default granted." - } - ] - }, - { - "id": "sa-8.24", - "class": "SP800-53-enhancement", - "title": "Secure Failure and Recovery", - "params": [ - { - "id": "sa-8.24_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(24)" - }, - { - "name": "sort-id", - "value": "SA-08(24)" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.24_smt", - "name": "statement", - "prose": "Implement the security design principle of secure failure and recovery in {{ insert: param, sa-8.24_prm_1 }}." - }, - { - "id": "sa-8.24_gdn", - "name": "guidance", - "prose": "The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operation while ensuring that a secure state is maintained such that security policies are not violated. Failure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component, while maintaining security, and provide all or part of the functionality of the original system, or completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration. Another technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operation may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally \u201catomic\u201d operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection. Failure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms, whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context." - } - ] - }, - { - "id": "sa-8.25", - "class": "SP800-53-enhancement", - "title": "Economic Security", - "params": [ - { - "id": "sa-8.25_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(25)" - }, - { - "name": "sort-id", - "value": "SA-08(25)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.25_smt", - "name": "statement", - "prose": "Implement the security design principle of economic security in {{ insert: param, sa-8.25_prm_1 }}." - }, - { - "id": "sa-8.25_gdn", - "name": "guidance", - "prose": "The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence, and to perform the analyses necessary to assess and draw trustworthiness and risk conclusions from the evidence." - } - ] - }, - { - "id": "sa-8.26", - "class": "SP800-53-enhancement", - "title": "Performance Security", - "params": [ - { - "id": "sa-8.26_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(26)" - }, - { - "name": "sort-id", - "value": "SA-08(26)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.26_smt", - "name": "statement", - "prose": "Implement the security design principle of performance security in {{ insert: param, sa-8.26_prm_1 }}." - }, - { - "id": "sa-8.26_gdn", - "name": "guidance", - "prose": "The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to be providing an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements as well as performance-critical overhead issues (e.g., cryptographic key management) and an assessment of the capability of the threat. The principle of performance security leads to the incorporation of features that help in the enforcement of security policy, but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up, and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms." - } - ] - }, - { - "id": "sa-8.27", - "class": "SP800-53-enhancement", - "title": "Human Factored Security", - "params": [ - { - "id": "sa-8.27_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(27)" - }, - { - "name": "sort-id", - "value": "SA-08(27)" - } - ], - "parts": [ - { - "id": "sa-8.27_smt", - "name": "statement", - "prose": "Implement the security design principle of human factored security in {{ insert: param, sa-8.27_prm_1 }}." - }, - { - "id": "sa-8.27_gdn", - "name": "guidance", - "prose": "The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. The personnel with system administrative and operation responsibility are able to configure systems before start-up and administer them during runtime, in both cases with confidence that their intent is correctly mapped to the system\u2019s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessitated for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable or avoid them, or use the mechanisms in ways inconsistent with the security requirements and protection needs the mechanisms were designed to satisfy." - } - ] - }, - { - "id": "sa-8.28", - "class": "SP800-53-enhancement", - "title": "Acceptable Security", - "params": [ - { - "id": "sa-8.28_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(28)" - }, - { - "name": "sort-id", - "value": "SA-08(28)" - } - ], - "parts": [ - { - "id": "sa-8.28_smt", - "name": "statement", - "prose": "Implement the security design principle of acceptable security in {{ insert: param, sa-8.28_prm_1 }}." - }, - { - "id": "sa-8.28_gdn", - "name": "guidance", - "prose": "The principle of acceptable security requires that the level of privacy and performance the system provides is consistent with the users\u2019 expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces, or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure." - } - ] - }, - { - "id": "sa-8.29", - "class": "SP800-53-enhancement", - "title": "Repeatable and Documented Procedures", - "params": [ - { - "id": "sa-8.29_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(29)" - }, - { - "name": "sort-id", - "value": "SA-08(29)" - } - ], - "links": [ - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.29_smt", - "name": "statement", - "prose": "Implement the security design principle of repeatable and documented procedures in {{ insert: param, sa-8.29_prm_1 }}." - }, - { - "id": "sa-8.29_gdn", - "name": "guidance", - "prose": "The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permits the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier that may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and can contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review; procedures for configuration management of development tools and system artifacts; and procedures for system delivery." - } - ] - }, - { - "id": "sa-8.30", - "class": "SP800-53-enhancement", - "title": "Procedural Rigor", - "params": [ - { - "id": "sa-8.30_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(30)" - }, - { - "name": "sort-id", - "value": "SA-08(30)" - } - ], - "parts": [ - { - "id": "sa-8.30_smt", - "name": "statement", - "prose": "Implement the security design principle of procedural rigor in {{ insert: param, sa-8.30_prm_1 }}." - }, - { - "id": "sa-8.30_gdn", - "name": "guidance", - "prose": "The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented. Second, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built, rather than trusting that the component as implemented, is the authoritative (and potentially misleading) specification. Finally, modifications to an existing system component are easier when there are detailed specifications describing its current design, instead of studying source code or schematics to try to understand how it works. Procedural rigor helps to ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited." - } - ] - }, - { - "id": "sa-8.31", - "class": "SP800-53-enhancement", - "title": "Secure System Modification", - "params": [ - { - "id": "sa-8.31_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(31)" - }, - { - "name": "sort-id", - "value": "SA-08(31)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.31_smt", - "name": "statement", - "prose": "Implement the security design principle of secure system modification in {{ insert: param, sa-8.31_prm_1 }}." - }, - { - "id": "sa-8.31_gdn", - "name": "guidance", - "prose": "The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that, if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability." - } - ] - }, - { - "id": "sa-8.32", - "class": "SP800-53-enhancement", - "title": "Sufficient Documentation", - "params": [ - { - "id": "sa-8.32_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(32)" - }, - { - "name": "sort-id", - "value": "SA-08(32)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.32_smt", - "name": "statement", - "prose": "Implement the security design principle of sufficient documentation in {{ insert: param, sa-8.32_prm_1 }}." - }, - { - "id": "sa-8.32_gdn", - "name": "guidance", - "prose": "The principle of sufficient documentation states that organizational personnel with responsibility to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms is not always intuitively obvious. Neither are the ramifications of the misuse or misconfiguration of security mechanisms. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities." - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External System Services", - "params": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined controls" - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "SA-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, sa-9_prm_1 }};" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document organizational oversight and user roles and responsibilities with regard to external system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, sa-9_prm_2 }}." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External system services are services that are provided by an external provider and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance." - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments and Organizational Approvals", - "params": [ - { - "id": "sa-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(1)" - }, - { - "name": "sort-id", - "value": "SA-09(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-9.1_prm_1 }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring, analysis, and response. Risks assessed can include system, mission or business, privacy, or supply chain risks." - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions, Ports, Protocols, and Services", - "params": [ - { - "id": "sa-9.2_prm_1", - "label": "organization-defined external system services" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(2)" - }, - { - "name": "sort-id", - "value": "SA-09(02)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-9.2_prm_1 }}." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols." - } - ] - }, - { - "id": "sa-9.3", - "class": "SP800-53-enhancement", - "title": "Establish and Maintain Trust Relationship with Providers", - "params": [ - { - "id": "sa-9.3_prm_1", - "label": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(3)" - }, - { - "name": "sort-id", - "value": "SA-09(03)" - } - ], - "links": [ - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.3_smt", - "name": "statement", - "prose": "Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1 }}." - }, - { - "id": "sa-9.3_gdn", - "name": "guidance", - "prose": "The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements." - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "params": [ - { - "id": "sa-9.4_prm_1", - "label": "organization-defined external service providers" - }, - { - "id": "sa-9.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(4)" - }, - { - "name": "sort-id", - "value": "SA-09(04)" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "Take the following actions to verify that the interests of {{ insert: param, sa-9.4_prm_1 }} are consistent with and reflect organizational interests: {{ insert: param, sa-9.4_prm_2 }}." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities." - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "params": [ - { - "id": "sa-9.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "information processing", - "information or data", - "system services" - ] - } - }, - { - "id": "sa-9.5_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sa-9.5_prm_3", - "label": "organization-defined requirements or conditions" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(5)" - }, - { - "name": "sort-id", - "value": "SA-09(05)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "Restrict the location of {{ insert: param, sa-9.5_prm_1 }} to {{ insert: param, sa-9.5_prm_2 }} based on {{ insert: param, sa-9.5_prm_3 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Incident response activities including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate." - } - ] - }, - { - "id": "sa-9.6", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Cryptographic Keys", - "props": [ - { - "name": "label", - "value": "SA-9(6)" - }, - { - "name": "sort-id", - "value": "SA-09(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.6_smt", - "name": "statement", - "prose": "Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system." - }, - { - "id": "sa-9.6_gdn", - "name": "guidance", - "prose": "Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system, but allows exclusive organizational access to the encryption keys." - } - ] - }, - { - "id": "sa-9.7", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Integrity Checking", - "props": [ - { - "name": "label", - "value": "SA-9(7)" - }, - { - "name": "sort-id", - "value": "SA-09(07)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.7_smt", - "name": "statement", - "prose": "Provide the capability to check the integrity of information while it resides in the external system." - }, - { - "id": "sa-9.7_gdn", - "name": "guidance", - "prose": "Storage of organizational information in an external system could limit visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility." - } - ] - }, - { - "id": "sa-9.8", - "class": "SP800-53-enhancement", - "title": "Processing and Storage Location \u2014 U.s. Jurisdiction", - "props": [ - { - "name": "label", - "value": "SA-9(8)" - }, - { - "name": "sort-id", - "value": "SA-09(08)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.8_smt", - "name": "statement", - "prose": "Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States." - }, - { - "id": "sa-9.8_gdn", - "name": "guidance", - "prose": "The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their core missions and business functions. High impact information and systems, if compromised or breached, can have a severe or catastrophic adverse impact on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage." - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "params": [ - { - "id": "sa-10_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "design", - "development", - "implementation", - "operation", - "disposal" - ] - } - }, - { - "id": "sa-10_prm_2", - "label": "organization-defined configuration items under configuration management" - }, - { - "id": "sa-10_prm_3", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "SA-10" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ insert: param, sa-10_prm_1 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ insert: param, sa-10_prm_2 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_prm_3 }}." - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle." - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software and Firmware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(1)" - }, - { - "name": "sort-id", - "value": "SA-10(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components." - } - ] - }, - { - "id": "sa-10.2", - "class": "SP800-53-enhancement", - "title": "Alternative Configuration Management", - "props": [ - { - "name": "label", - "value": "SA-10(2)" - }, - { - "name": "sort-id", - "value": "SA-10(02)" - } - ], - "parts": [ - { - "id": "sa-10.2_smt", - "name": "statement", - "prose": "Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "id": "sa-10.2_gdn", - "name": "guidance", - "prose": "Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services." - } - ] - }, - { - "id": "sa-10.3", - "class": "SP800-53-enhancement", - "title": "Hardware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(3)" - }, - { - "name": "sort-id", - "value": "SA-10(03)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of hardware components." - }, - { - "id": "sa-10.3_gdn", - "name": "guidance", - "prose": "Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components." - } - ] - }, - { - "id": "sa-10.4", - "class": "SP800-53-enhancement", - "title": "Trusted Generation", - "props": [ - { - "name": "label", - "value": "SA-10(4)" - }, - { - "name": "sort-id", - "value": "SA-10(04)" - } - ], - "parts": [ - { - "id": "sa-10.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions." - }, - { - "id": "sa-10.4_gdn", - "name": "guidance", - "prose": "Trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers." - } - ] - }, - { - "id": "sa-10.5", - "class": "SP800-53-enhancement", - "title": "Mapping Integrity for Version Control", - "props": [ - { - "name": "label", - "value": "SA-10(5)" - }, - { - "name": "sort-id", - "value": "SA-10(05)" - } - ], - "parts": [ - { - "id": "sa-10.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "id": "sa-10.5_gdn", - "name": "guidance", - "prose": "Mapping integrity for version control addresses changes to hardware, software, and firmware components during initial development and during system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies in operational environments is essential to ensure the availability of organizational systems supporting critical missions and business functions." - } - ] - }, - { - "id": "sa-10.6", - "class": "SP800-53-enhancement", - "title": "Trusted Distribution", - "props": [ - { - "name": "label", - "value": "SA-10(6)" - }, - { - "name": "sort-id", - "value": "SA-10(06)" - } - ], - "parts": [ - { - "id": "sa-10.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "id": "sa-10.6_gdn", - "name": "guidance", - "prose": "The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution." - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Testing and Evaluation", - "params": [ - { - "id": "sa-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "unit", - "integration", - "system", - "regression" - ] - } - }, - { - "id": "sa-11_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "sa-11_prm_3", - "label": "organization-defined depth and coverage" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "SA-11" - } - ], - "links": [ - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#fd0f14f5-8910-45c4-b60a-0c8936e00daa", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement a plan for ongoing security and privacy assessments;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ insert: param, sa-11_prm_1 }} testing/evaluation {{ insert: param, sa-11_prm_2 }} at {{ insert: param, sa-11_prm_3 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during testing and evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes, including upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review; security architecture review; penetration testing; and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, the frequency of the ongoing testing and evaluation, and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation." - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(1)" - }, - { - "name": "sort-id", - "value": "SA-11(01)" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and to enforce secure coding practices and Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static code analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis include aggregate defect density for critical defect types; evidence that defects were inspected by developers or security professionals; and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources." - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analyses", - "params": [ - { - "id": "sa-11.2_prm_1", - "label": "organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels" - }, - { - "id": "sa-11.2_prm_2", - "label": "organization-defined tools and methods" - }, - { - "id": "sa-11.2_prm_3", - "label": "organization-defined breadth and depth of modeling and analyses" - }, - { - "id": "sa-11.2_prm_4", - "label": "organization-defined acceptance criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(2)" - }, - { - "name": "sort-id", - "value": "SA-11(02)" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:", - "parts": [ - { - "id": "sa-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Uses the following contextual information: {{ insert: param, sa-11.2_prm_1 }};" - }, - { - "id": "sa-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs the following tools and methods: {{ insert: param, sa-11.2_prm_2 }};" - }, - { - "id": "sa-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }}; and" - }, - { - "id": "sa-11.2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}." - } - ] - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated. Related controls: PM-15, RA-3, RA-5." - } - ] - }, - { - "id": "sa-11.3", - "class": "SP800-53-enhancement", - "title": "Independent Verification of Assessment Plans and Evidence", - "params": [ - { - "id": "sa-11.3_prm_1", - "label": "organization-defined independence criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(3)" - }, - { - "name": "sort-id", - "value": "SA-11(03)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-11.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require an independent agent satisfying {{ insert: param, sa-11.3_prm_1 }} to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and" - }, - { - "id": "sa-11.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "id": "sa-11.3_gdn", - "name": "guidance", - "prose": "Independent agents have the qualifications, including the expertise, skills, training, certifications, and experience to verify the correct implementation of developer security and privacy assessment plans." - } - ] - }, - { - "id": "sa-11.4", - "class": "SP800-53-enhancement", - "title": "Manual Code Reviews", - "params": [ - { - "id": "sa-11.4_prm_1", - "label": "organization-defined specific code" - }, - { - "id": "sa-11.4_prm_2", - "label": "organization-defined processes, procedures, and/or techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(4)" - }, - { - "name": "sort-id", - "value": "SA-11(04)" - } - ], - "parts": [ - { - "id": "sa-11.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a manual code review of {{ insert: param, sa-11.4_prm_1 }} using the following processes, procedures, and/or techniques: {{ insert: param, sa-11.4_prm_2 }}." - }, - { - "id": "sa-11.4_gdn", - "name": "guidance", - "prose": "Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective in identifying weaknesses that require knowledge of the application\u2019s requirements or context which in most cases, are unavailable to automated analytic tools and techniques, for example, static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls." - } - ] - }, - { - "id": "sa-11.5", - "class": "SP800-53-enhancement", - "title": "Penetration Testing", - "params": [ - { - "id": "sa-11.5_prm_1", - "label": "organization-defined breadth and depth of testing" - }, - { - "id": "sa-11.5_prm_2", - "label": "organization-defined constraints" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(5)" - }, - { - "name": "sort-id", - "value": "SA-11(05)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform penetration testing:", - "parts": [ - { - "id": "sa-11.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-11.5_prm_1 }}; and" - }, - { - "id": "sa-11.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Under the following constraints: {{ insert: param, sa-11.5_prm_2 }}." - } - ] - }, - { - "id": "sa-11.5_gdn", - "name": "guidance", - "prose": "Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy." - } - ] - }, - { - "id": "sa-11.6", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reviews", - "props": [ - { - "name": "label", - "value": "SA-11(6)" - }, - { - "name": "sort-id", - "value": "SA-11(06)" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform attack surface reviews." - }, - { - "id": "sa-11.6_gdn", - "name": "guidance", - "prose": "Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes deprecation of unsafe functions." - } - ] - }, - { - "id": "sa-11.7", - "class": "SP800-53-enhancement", - "title": "Verify Scope of Testing and Evaluation", - "params": [ - { - "id": "sa-11.7_prm_1", - "label": "organization-defined breadth and depth of testing and evaluation" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(7)" - }, - { - "name": "sort-id", - "value": "SA-11(07)" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - }, - { - "id": "sa-11.7_gdn", - "name": "guidance", - "prose": "Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases." - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(8)" - }, - { - "name": "sort-id", - "value": "SA-11(08)" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to ensure that security functionality performs in the way it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the associated functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms)." - } - ] - }, - { - "id": "sa-11.9", - "class": "SP800-53-enhancement", - "title": "Interactive Application Security Testing", - "props": [ - { - "name": "label", - "value": "SA-11(9)" - }, - { - "name": "sort-id", - "value": "SA-11(09)" - } - ], - "parts": [ - { - "id": "sa-11.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results." - }, - { - "id": "sa-11.9_gdn", - "name": "guidance", - "prose": "Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications, and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to measure control effectiveness directly. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle." - } - ] - } - ] - }, - { - "id": "sa-12", - "class": "SP800-53", - "title": "Supply Chain Protection", - "props": [ - { - "name": "label", - "value": "SA-12" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12" - } - ], - "links": [ - { - "href": "#sr", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-12.1", - "class": "SP800-53-enhancement", - "title": "Acquisition Strategies / Tools / Methods", - "props": [ - { - "name": "label", - "value": "SA-12(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(01)" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.2", - "class": "SP800-53-enhancement", - "title": "Supplier Reviews", - "props": [ - { - "name": "label", - "value": "SA-12(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(02)" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.3", - "class": "SP800-53-enhancement", - "title": "Trusted Shipping and Warehousing", - "props": [ - { - "name": "label", - "value": "SA-12(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(03)" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.4", - "class": "SP800-53-enhancement", - "title": "Diversity of Suppliers", - "props": [ - { - "name": "label", - "value": "SA-12(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(04)" - } - ], - "links": [ - { - "href": "#sr-3.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.5", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "props": [ - { - "name": "label", - "value": "SA-12(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(05)" - } - ], - "links": [ - { - "href": "#sr-3.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.6", - "class": "SP800-53-enhancement", - "title": "Minimizing Procurement Time", - "props": [ - { - "name": "label", - "value": "SA-12(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(06)" - } - ], - "links": [ - { - "href": "#sr-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.7", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection / Acceptance / Update", - "props": [ - { - "name": "label", - "value": "SA-12(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(07)" - } - ], - "links": [ - { - "href": "#sr-5.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.8", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "SA-12(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(08)" - } - ], - "links": [ - { - "href": "#ra-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.9", - "class": "SP800-53-enhancement", - "title": "Operations Security", - "props": [ - { - "name": "label", - "value": "SA-12(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(09)" - } - ], - "links": [ - { - "href": "#sr-7", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.10", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "props": [ - { - "name": "label", - "value": "SA-12(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(10)" - } - ], - "links": [ - { - "href": "#sr-4.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.11", - "class": "SP800-53-enhancement", - "title": "Penetration Testing / Analysis of Elements, Processes, and Actors", - "props": [ - { - "name": "label", - "value": "SA-12(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(11)" - } - ], - "links": [ - { - "href": "#sr-6.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.12", - "class": "SP800-53-enhancement", - "title": "Inter-organizational Agreements", - "props": [ - { - "name": "label", - "value": "SA-12(12)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(12)" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.13", - "class": "SP800-53-enhancement", - "title": "Critical Information System Components", - "props": [ - { - "name": "label", - "value": "SA-12(13)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(13)" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "incorporated-into" - }, - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.14", - "class": "SP800-53-enhancement", - "title": "Identity and Traceability", - "props": [ - { - "name": "label", - "value": "SA-12(14)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(14)" - } - ], - "links": [ - { - "href": "#sr-4.1", - "rel": "moved-to" - }, - { - "href": "#sr-4.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.15", - "class": "SP800-53-enhancement", - "title": "Processes to Address Weaknesses or Deficiencies", - "props": [ - { - "name": "label", - "value": "SA-12(15)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(15)" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-13", - "class": "SP800-53", - "title": "Trustworthiness", - "props": [ - { - "name": "label", - "value": "SA-13" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-13" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-14", - "class": "SP800-53", - "title": "Criticality Analysis", - "props": [ - { - "name": "label", - "value": "SA-14" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-14" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-14.1", - "class": "SP800-53-enhancement", - "title": "Critical Components with No Viable Alternative Sourcing", - "props": [ - { - "name": "label", - "value": "SA-14(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-14(01)" - } - ], - "links": [ - { - "href": "#sa-20", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-15", - "class": "SP800-53", - "title": "Development Process, Standards, and Tools", - "params": [ - { - "id": "sa-15_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15_prm_2", - "label": "organization-defined security and privacy requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15" - }, - { - "name": "sort-id", - "value": "SA-15" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15_smt", - "name": "statement", - "parts": [ - { - "id": "sa-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require the developer of the system, system component, or system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Explicitly addresses security and privacy requirements;" - }, - { - "id": "sa-15_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Documents the specific tool options and tool configurations used in the development process; and" - }, - { - "id": "sa-15_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and" - } - ] - }, - { - "id": "sa-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_prm_1 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}." - } - ] - }, - { - "id": "sa-15_gdn", - "name": "guidance", - "prose": "Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes." - } - ], - "controls": [ - { - "id": "sa-15.1", - "class": "SP800-53-enhancement", - "title": "Quality Metrics", - "params": [ - { - "id": "sa-15.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-15.1_prm_2 }} ", - " {{ insert: param, sa-15.1_prm_3 }} ", - "upon delivery" - ] - } - }, - { - "id": "sa-15.1_prm_2", - "depends-on": "sa-15.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15.1_prm_3", - "depends-on": "sa-15.1_prm_1", - "label": "organization-defined program review milestones" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(1)" - }, - { - "name": "sort-id", - "value": "SA-15(01)" - } - ], - "parts": [ - { - "id": "sa-15.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-15.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define quality metrics at the beginning of the development process; and" - }, - { - "id": "sa-15.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide evidence of meeting the quality metrics {{ insert: param, sa-15.1_prm_1 }}." - } - ] - }, - { - "id": "sa-15.1_gdn", - "name": "guidance", - "prose": "Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High." - } - ] - }, - { - "id": "sa-15.2", - "class": "SP800-53-enhancement", - "title": "Security Tracking Tools", - "props": [ - { - "name": "label", - "value": "SA-15(2)" - }, - { - "name": "sort-id", - "value": "SA-15(02)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process." - }, - { - "id": "sa-15.2_gdn", - "name": "guidance", - "prose": "System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes." - } - ] - }, - { - "id": "sa-15.3", - "class": "SP800-53-enhancement", - "title": "Criticality Analysis", - "params": [ - { - "id": "sa-15.3_prm_1", - "label": "organization-defined decision points in the system development life cycle" - }, - { - "id": "sa-15.3_prm_2", - "label": "organization-defined breadth and depth of criticality analysis" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(3)" - }, - { - "name": "sort-id", - "value": "SA-15(03)" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a criticality analysis:", - "parts": [ - { - "id": "sa-15.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following decision points in the system development life cycle: {{ insert: param, sa-15.3_prm_1 }}; and" - }, - { - "id": "sa-15.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}." - } - ] - }, - { - "id": "sa-15.3_gdn", - "name": "guidance", - "prose": "Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses." - } - ] - }, - { - "id": "sa-15.4", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analysis", - "props": [ - { - "name": "label", - "value": "SA-15(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-15(04)" - } - ], - "links": [ - { - "href": "#sa-11.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.5", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reduction", - "params": [ - { - "id": "sa-15.5_prm_1", - "label": "organization-defined thresholds" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(5)" - }, - { - "name": "sort-id", - "value": "SA-15(05)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to reduce attack surfaces to {{ insert: param, sa-15.5_prm_1 }}." - }, - { - "id": "sa-15.5_gdn", - "name": "guidance", - "prose": "Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses; applying the principles of least privilege and least functionality; applying secure software development practices; deprecating unsafe functions; reducing entry points available to unauthorized users; reducing the amount of code executing; and eliminating application programming interfaces (APIs) that are vulnerable to attacks." - } - ] - }, - { - "id": "sa-15.6", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "SA-15(6)" - }, - { - "name": "sort-id", - "value": "SA-15(06)" - } - ], - "parts": [ - { - "id": "sa-15.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process." - }, - { - "id": "sa-15.6_gdn", - "name": "guidance", - "prose": "Developers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments." - } - ] - }, - { - "id": "sa-15.7", - "class": "SP800-53-enhancement", - "title": "Automated Vulnerability Analysis", - "params": [ - { - "id": "sa-15.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15.7_prm_2", - "label": "organization-defined tools" - }, - { - "id": "sa-15.7_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(7)" - }, - { - "name": "sort-id", - "value": "SA-15(07)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service {{ insert: param, sa-15.7_prm_1 }} to:", - "parts": [ - { - "id": "sa-15.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Perform an automated vulnerability analysis using {{ insert: param, sa-15.7_prm_2 }};" - }, - { - "id": "sa-15.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Determine the exploitation potential for discovered vulnerabilities;" - }, - { - "id": "sa-15.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Determine potential risk mitigations for delivered vulnerabilities; and" - }, - { - "id": "sa-15.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Deliver the outputs of the tools and results of the analysis to {{ insert: param, sa-15.7_prm_3 }}." - } - ] - }, - { - "id": "sa-15.7_gdn", - "name": "guidance", - "prose": "Automated tools can be more effective in analyzing exploitable weaknesses or deficiencies in large and complex systems; prioritizing vulnerabilities by severity; and providing recommendations for risk mitigations." - } - ] - }, - { - "id": "sa-15.8", - "class": "SP800-53-enhancement", - "title": "Reuse of Threat and Vulnerability Information", - "props": [ - { - "name": "label", - "value": "SA-15(8)" - }, - { - "name": "sort-id", - "value": "SA-15(08)" - } - ], - "parts": [ - { - "id": "sa-15.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process." - }, - { - "id": "sa-15.8_gdn", - "name": "guidance", - "prose": "Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database." - } - ] - }, - { - "id": "sa-15.9", - "class": "SP800-53-enhancement", - "title": "Use of Live Data", - "props": [ - { - "name": "label", - "value": "SA-15(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-15(09)" - } - ], - "links": [ - { - "href": "#sa-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.10", - "class": "SP800-53-enhancement", - "title": "Incident Response Plan", - "props": [ - { - "name": "label", - "value": "SA-15(10)" - }, - { - "name": "sort-id", - "value": "SA-15(10)" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan." - }, - { - "id": "sa-15.10_gdn", - "name": "guidance", - "prose": "The incident response plan provided by developers may be incorporated into organizational incident response plans. Developer incident response information provides information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products." - } - ] - }, - { - "id": "sa-15.11", - "class": "SP800-53-enhancement", - "title": "Archive System or Component", - "props": [ - { - "name": "label", - "value": "SA-15(11)" - }, - { - "name": "sort-id", - "value": "SA-15(11)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.11_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "id": "sa-15.11_gdn", - "name": "guidance", - "prose": "Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications." - } - ] - }, - { - "id": "sa-15.12", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "SA-15(12)" - }, - { - "name": "sort-id", - "value": "SA-15(12)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.12_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments." - }, - { - "id": "sa-15.12_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual\u2019s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system." - } - ] - } - ] - }, - { - "id": "sa-16", - "class": "SP800-53", - "title": "Developer-provided Training", - "params": [ - { - "id": "sa-16_prm_1", - "label": "organization-defined training" - } - ], - "props": [ - { - "name": "label", - "value": "SA-16" - }, - { - "name": "sort-id", - "value": "SA-16" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-16_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - }, - { - "id": "sa-16_gdn", - "name": "guidance", - "prose": "Developer-provided training applies to external and internal (in-house) developers. Training of personnel is an essential element to help ensure the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training; classroom-style training; and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms." - } - ] - }, - { - "id": "sa-17", - "class": "SP800-53", - "title": "Developer Security Architecture and Design", - "props": [ - { - "name": "label", - "value": "SA-17" - }, - { - "name": "sort-id", - "value": "SA-17" - } - ], - "links": [ - { - "href": "#18abb755-c10f-407d-b0ef-4f99e5ec4a49", - "rel": "reference" - }, - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a design specification and security architecture that:", - "parts": [ - { - "id": "sa-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is consistent with the organization\u2019s security architecture that is an integral part the organization\u2019s enterprise architecture;" - }, - { - "id": "sa-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Accurately and completely describes the required security functionality, and the allocation of controls among physical and logical components; and" - }, - { - "id": "sa-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection." - } - ] - }, - { - "id": "sa-17_gdn", - "name": "guidance", - "prose": "Developer security architecture and design is directed at external developers, although it could also be applied to internal (in-house) development. In contrast, PL-8 is directed at internal developers to ensure that organizations develop a security architecture and that the architecture is integrated with the enterprise architecture. The distinction between SA-17 and PL-8 is especially important when organizations outsource the development of systems, system components, or system services, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. [ISO 15408-2], [ISO 15408-3], and [SP 800-160 v1] provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing." - } - ], - "controls": [ - { - "id": "sa-17.1", - "class": "SP800-53-enhancement", - "title": "Formal Policy Model", - "params": [ - { - "id": "sa-17.1_prm_1", - "label": "organization-defined elements of organizational security policy" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(1)" - }, - { - "name": "sort-id", - "value": "SA-17(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal policy model describing the {{ insert: param, sa-17.1_prm_1 }} to be enforced; and" - }, - { - "id": "sa-17.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented." - } - ] - }, - { - "id": "sa-17.1_gdn", - "name": "guidance", - "prose": "Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Formal modeling tools include Gypsy and Zed." - } - ] - }, - { - "id": "sa-17.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant Components", - "props": [ - { - "name": "label", - "value": "SA-17(2)" - }, - { - "name": "sort-id", - "value": "SA-17(02)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "id": "sa-17.2_gdn", - "name": "guidance", - "prose": "The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties." - } - ] - }, - { - "id": "sa-17.3", - "class": "SP800-53-enhancement", - "title": "Formal Correspondence", - "props": [ - { - "name": "label", - "value": "SA-17(3)" - }, - { - "name": "sort-id", - "value": "SA-17(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.3_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output." - } - ] - }, - { - "id": "sa-17.4", - "class": "SP800-53-enhancement", - "title": "Informal Correspondence", - "params": [ - { - "id": "sa-17.4_prm_1", - "select": { - "choice": [ - "informal demonstration", - "convincing argument with formal methods as feasible" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(4)" - }, - { - "name": "sort-id", - "value": "SA-17(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via {{ insert: param, sa-17.4_prm_1 }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.4_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output." - } - ] - }, - { - "id": "sa-17.5", - "class": "SP800-53-enhancement", - "title": "Conceptually Simple Design", - "props": [ - { - "name": "label", - "value": "SA-17(5)" - }, - { - "name": "sort-id", - "value": "SA-17(05)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and" - }, - { - "id": "sa-17.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "id": "sa-17.5_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible (see SA-8(7)). A small and simple design is easier to understand and analyze, and is also less prone to error (see AC-25, SA-8(13)). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain\u2014that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex." - } - ] - }, - { - "id": "sa-17.6", - "class": "SP800-53-enhancement", - "title": "Structure for Testing", - "props": [ - { - "name": "label", - "value": "SA-17(6)" - }, - { - "name": "sort-id", - "value": "SA-17(06)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "id": "sa-17.6_gdn", - "name": "guidance", - "prose": "Applying the security design principles in [SP 800-160 v1] promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service." - } - ] - }, - { - "id": "sa-17.7", - "class": "SP800-53-enhancement", - "title": "Structure for Least Privilege", - "props": [ - { - "name": "label", - "value": "SA-17(7)" - }, - { - "name": "sort-id", - "value": "SA-17(07)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "id": "sa-17.7_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions, but no more (see SA-8(14)). Applying the principle of least privilege limits the scope of the component\u2019s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module\u2019s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes to the elements (e.g., read, write) are minimal." - } - ] - }, - { - "id": "sa-17.8", - "class": "SP800-53-enhancement", - "title": "Orchestration", - "params": [ - { - "id": "sa-17.8_prm_1", - "label": "organization-defined critical systems or system components" - }, - { - "id": "sa-17.8_prm_2", - "label": "organization-defined capabilities, by system or component" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(8)" - }, - { - "name": "sort-id", - "value": "SA-17(08)" - } - ], - "parts": [ - { - "id": "sa-17.8_smt", - "name": "statement", - "prose": "Design {{ insert: param, sa-17.8_prm_1 }} with coordinated behavior to implement the following capabilities: {{ insert: param, sa-17.8_prm_2 }}." - }, - { - "id": "sa-17.8_gdn", - "name": "guidance", - "prose": "Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions." - } - ] - }, - { - "id": "sa-17.9", - "class": "SP800-53-enhancement", - "title": "Design Diversity", - "params": [ - { - "id": "sa-17.9_prm_1", - "label": "organization-defined critical systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(9)" - }, - { - "name": "sort-id", - "value": "SA-17(09)" - } - ], - "parts": [ - { - "id": "sa-17.9_smt", - "name": "statement", - "prose": "Use different designs for {{ insert: param, sa-17.9_prm_1 }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "id": "sa-17.9_gdn", - "name": "guidance", - "prose": "Design diversity is achieved by supplying the same requirements specification to multiple developers, each of which is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task, and determining how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what to convert to digital form; transmitting the same information at different times; and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance." - } - ] - } - ] - }, - { - "id": "sa-18", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SA-18" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-18.1", - "class": "SP800-53-enhancement", - "title": "Multiple Phases of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SA-18(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18(01)" - } - ], - "links": [ - { - "href": "#sr-9.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-18.2", - "class": "SP800-53-enhancement", - "title": "Inspection of Systems or Components", - "props": [ - { - "name": "label", - "value": "SA-18(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18(02)" - } - ], - "links": [ - { - "href": "#sr-10", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-19", - "class": "SP800-53", - "title": "Component Authenticity", - "props": [ - { - "name": "label", - "value": "SA-19" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-19.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "props": [ - { - "name": "label", - "value": "SA-19(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(01)" - } - ], - "links": [ - { - "href": "#sr-11.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "props": [ - { - "name": "label", - "value": "SA-19(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(02)" - } - ], - "links": [ - { - "href": "#sr-11.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "props": [ - { - "name": "label", - "value": "SA-19(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(03)" - } - ], - "links": [ - { - "href": "#sr-11.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "props": [ - { - "name": "label", - "value": "SA-19(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(04)" - } - ], - "links": [ - { - "href": "#sr-11.4", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-20", - "class": "SP800-53", - "title": "Customized Development of Critical Components", - "params": [ - { - "id": "sa-20_prm_1", - "label": "organization-defined critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-20" - }, - { - "name": "sort-id", - "value": "SA-20" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-20_smt", - "name": "statement", - "prose": "Re-implement or custom develop the following critical system components: {{ insert: param, sa-20_prm_1 }}." - }, - { - "id": "sa-20_gdn", - "name": "guidance", - "prose": "Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files." - } - ] - }, - { - "id": "sa-21", - "class": "SP800-53", - "title": "Developer Screening", - "params": [ - { - "id": "sa-21_prm_1", - "label": "organization-defined system, system component, or system service" - }, - { - "id": "sa-21_prm_2", - "label": "organization-defined official government duties" - }, - { - "id": "sa-21_prm_3", - "label": "organization-defined additional personnel screening criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-21" - }, - { - "name": "sort-id", - "value": "SA-21" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-21_smt", - "name": "statement", - "prose": "Require that the developer of {{ insert: param, sa-21_prm_1 }}:", - "parts": [ - { - "id": "sa-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_prm_2 }};" - }, - { - "id": "sa-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_prm_3 }}; and" - }, - { - "id": "sa-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides information that the access authorizations and screening criteria are satisfied." - } - ] - }, - { - "id": "sa-21_gdn", - "name": "guidance", - "prose": "Developer screening is directed at external developers. Internal developer screening is addressed by PS-3. Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals accessing the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships the company has with entities potentially affecting the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements." - } - ], - "controls": [ - { - "id": "sa-21.1", - "class": "SP800-53-enhancement", - "title": "Validation of Screening", - "props": [ - { - "name": "label", - "value": "SA-21(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-21(01)" - } - ], - "links": [ - { - "href": "#sa-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-22", - "class": "SP800-53", - "title": "Unsupported System Components", - "params": [ - { - "id": "sa-22_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "in-house support", - " {{ insert: param, sa-22_prm_2 }} " - ] - } - }, - { - "id": "sa-22_prm_2", - "depends-on": "sa-22_prm_1", - "label": "organization-defined support from external providers" - } - ], - "props": [ - { - "name": "label", - "value": "SA-22" - }, - { - "name": "sort-id", - "value": "SA-22" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-22_smt", - "name": "statement", - "parts": [ - { - "id": "sa-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or" - }, - { - "id": "sa-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, sa-22_prm_1 }}." - } - ] - }, - { - "id": "sa-22_gdn", - "name": "guidance", - "prose": "Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. If necessary, organizations can establish in-house support by developing customized patches for critical software components or alternatively, obtain the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include Open Source Software value-added vendors." - } - ], - "controls": [ - { - "id": "sa-22.1", - "class": "SP800-53-enhancement", - "title": "Alternative Sources for Continued Support", - "props": [ - { - "name": "label", - "value": "SA-22(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-22(01)" - } - ], - "links": [ - { - "href": "#sa-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-23", - "class": "SP800-53", - "title": "Specialization", - "params": [ - { - "id": "sa-23_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "design modification", - "augmentation", - "reconfiguration" - ] - } - }, - { - "id": "sa-23_prm_2", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-23" - }, - { - "name": "sort-id", - "value": "SA-23" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sa-23_prm_1 }} on {{ insert: param, sa-23_prm_2 }} supporting mission essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "id": "sa-23_gdn", - "name": "guidance", - "prose": "It is often necessary for a system or system component that supports mission essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend upon the organization-defined resources." - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sc-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sc-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "SC-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sc-1_prm_2 }} system and communications protection policy that:", - "parts": [ - { - "id": "sc-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sc-1_prm_3 }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and" - }, - { - "id": "sc-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and communications protection:", - "parts": [ - { - "id": "sc-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sc-1_prm_4 }}; and" - }, - { - "id": "sc-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sc-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Separation of System and User Functionality", - "props": [ - { - "name": "label", - "value": "SC-2" - }, - { - "name": "sort-id", - "value": "SC-02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "Separate user functionality, including user interface services, from system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations implement separation of system management functions from user functions, for example, by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18)." - } - ], - "controls": [ - { - "id": "sc-2.1", - "class": "SP800-53-enhancement", - "title": "Interfaces for Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SC-2(1)" - }, - { - "name": "sort-id", - "value": "SC-02(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2.1_smt", - "name": "statement", - "prose": "Prevent the presentation of system management functionality at interfaces to non-privileged users." - }, - { - "id": "sc-2.1_gdn", - "name": "guidance", - "prose": "Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges." - } - ] - }, - { - "id": "sc-2.2", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "props": [ - { - "name": "label", - "value": "SC-2(2)" - }, - { - "name": "sort-id", - "value": "SC-02(02)" - } - ], - "parts": [ - { - "id": "sc-2.2_smt", - "name": "statement", - "prose": "Store state information from applications and software separately." - }, - { - "id": "sc-2.2_gdn", - "name": "guidance", - "prose": "If a system is compromised, storing applications and software separately from state information about users\u2019 interactions with an application, may better protect individuals\u2019 privacy." - } - ] - } - ] - }, - { - "id": "sc-3", - "class": "SP800-53", - "title": "Security Function Isolation", - "props": [ - { - "name": "label", - "value": "SC-3" - }, - { - "name": "sort-id", - "value": "SC-03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-3_smt", - "name": "statement", - "prose": "Isolate security functions from nonsecurity functions." - }, - { - "id": "sc-3_gdn", - "name": "guidance", - "prose": "Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Systems implement code separation in many ways, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18)." - } - ], - "controls": [ - { - "id": "sc-3.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-3(1)" - }, - { - "name": "sort-id", - "value": "SC-03(01)" - } - ], - "parts": [ - { - "id": "sc-3.1_smt", - "name": "statement", - "prose": "Employ hardware separation mechanisms to implement security function isolation." - }, - { - "id": "sc-3.1_gdn", - "name": "guidance", - "prose": "Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable)." - } - ] - }, - { - "id": "sc-3.2", - "class": "SP800-53-enhancement", - "title": "Access and Flow Control Functions", - "props": [ - { - "name": "label", - "value": "SC-3(2)" - }, - { - "name": "sort-id", - "value": "SC-03(02)" - } - ], - "parts": [ - { - "id": "sc-3.2_smt", - "name": "statement", - "prose": "Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions." - }, - { - "id": "sc-3.2_gdn", - "name": "guidance", - "prose": "Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions." - } - ] - }, - { - "id": "sc-3.3", - "class": "SP800-53-enhancement", - "title": "Minimize Nonsecurity Functionality", - "props": [ - { - "name": "label", - "value": "SC-3(3)" - }, - { - "name": "sort-id", - "value": "SC-03(03)" - } - ], - "parts": [ - { - "id": "sc-3.3_smt", - "name": "statement", - "prose": "Minimize the number of nonsecurity functions included within the isolation boundary containing security functions." - }, - { - "id": "sc-3.3_gdn", - "name": "guidance", - "prose": "Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software, can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems providing information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability." - } - ] - }, - { - "id": "sc-3.4", - "class": "SP800-53-enhancement", - "title": "Module Coupling and Cohesiveness", - "props": [ - { - "name": "label", - "value": "SC-3(4)" - }, - { - "name": "sort-id", - "value": "SC-03(04)" - } - ], - "parts": [ - { - "id": "sc-3.4_smt", - "name": "statement", - "prose": "Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules." - }, - { - "id": "sc-3.4_gdn", - "name": "guidance", - "prose": "The reduction in inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled." - } - ] - }, - { - "id": "sc-3.5", - "class": "SP800-53-enhancement", - "title": "Layered Structures", - "props": [ - { - "name": "label", - "value": "SC-3(5)" - }, - { - "name": "sort-id", - "value": "SC-03(05)" - } - ], - "parts": [ - { - "id": "sc-3.5_smt", - "name": "statement", - "prose": "Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "id": "sc-3.5_gdn", - "name": "guidance", - "prose": "The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity." - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared System Resources", - "props": [ - { - "name": "label", - "value": "SC-4" - }, - { - "name": "sort-id", - "value": "SC-04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "Prevent unauthorized and unintended information transfer via shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. This control also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. This control does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles." - } - ], - "controls": [ - { - "id": "sc-4.1", - "class": "SP800-53-enhancement", - "title": "Security Levels", - "props": [ - { - "name": "label", - "value": "SC-4(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-04(01)" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-4.2", - "class": "SP800-53-enhancement", - "title": "Multilevel or Periods Processing", - "params": [ - { - "id": "sc-4.2_prm_1", - "label": "organization-defined procedures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-4(2)" - }, - { - "name": "sort-id", - "value": "SC-04(02)" - } - ], - "parts": [ - { - "id": "sc-4.2_smt", - "name": "statement", - "prose": "Prevent unauthorized information transfer via shared resources in accordance with {{ insert: param, sc-4.2_prm_1 }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "id": "sc-4.2_gdn", - "name": "guidance", - "prose": "Changes in processing levels during system operations can occur, for example, during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include the approved sanitization processes for electronically stored information." - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "params": [ - { - "id": "sc-5_prm_1", - "select": { - "choice": [ - "protect against", - "limit" - ] - } - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined types of denial of service events" - }, - { - "id": "sc-5_prm_3", - "label": "organization-defined controls by type of denial of service event" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "SC-05" - } - ], - "links": [ - { - "href": "#3862cd94-ff25-4631-9a9a-b92c21a0a923", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, sc-5_prm_1 }} the effects of the following types of denial of service events: {{ insert: param, sc-5_prm_2 }}; and" - }, - { - "id": "sc-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to achieve the denial of service objective: {{ insert: param, sc-5_prm_3 }}." - } - ] - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "Denial of service events may occur due to a variety of internal and external causes such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a variety of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial of service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by, or the source of, denial of service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial of service events." - } - ], - "controls": [ - { - "id": "sc-5.1", - "class": "SP800-53-enhancement", - "title": "Restrict Ability to Attack Other Systems", - "params": [ - { - "id": "sc-5.1_prm_1", - "label": "organization-defined denial of service attacks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5(1)" - }, - { - "name": "sort-id", - "value": "SC-05(01)" - } - ], - "parts": [ - { - "id": "sc-5.1_smt", - "name": "statement", - "prose": "Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: {{ insert: param, sc-5.1_prm_1 }}." - }, - { - "id": "sc-5.1_gdn", - "name": "guidance", - "prose": "Restricting the ability of individuals to launch denial of service attacks requires the mechanisms commonly used for such attacks are unavailable. Individuals of concern include hostile insiders or external adversaries that have breached or compromised the system and are using the system to launch a denial of service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific systems or on boundary devices prohibiting egress to potential target systems." - } - ] - }, - { - "id": "sc-5.2", - "class": "SP800-53-enhancement", - "title": "Capacity, Bandwidth, and Redundancy", - "props": [ - { - "name": "label", - "value": "SC-5(2)" - }, - { - "name": "sort-id", - "value": "SC-05(02)" - } - ], - "parts": [ - { - "id": "sc-5.2_smt", - "name": "statement", - "prose": "Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks." - }, - { - "id": "sc-5.2_gdn", - "name": "guidance", - "prose": "Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing." - } - ] - }, - { - "id": "sc-5.3", - "class": "SP800-53-enhancement", - "title": "Detection and Monitoring", - "params": [ - { - "id": "sc-5.3_prm_1", - "label": "organization-defined monitoring tools" - }, - { - "id": "sc-5.3_prm_2", - "label": "organization-defined system resources" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5(3)" - }, - { - "name": "sort-id", - "value": "SC-05(03)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following monitoring tools to detect indicators of denial of service attacks against, or launched from, the system: {{ insert: param, sc-5.3_prm_1 }}; and" - }, - { - "id": "sc-5.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor the following system resources to determine if sufficient resources exist to prevent effective denial of service attacks: {{ insert: param, sc-5.3_prm_2 }}." - } - ] - }, - { - "id": "sc-5.3_gdn", - "name": "guidance", - "prose": "Organizations consider utilization and capacity of system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. System resources sensitive to denial of service include physical disk storage, memory, and CPU cycles. Controls used to prevent denial of service attacks related to storage utilization and capacity include instituting disk quotas; configuring systems to automatically alert administrators when specific storage capacity thresholds are reached; using file compression technologies to maximize available storage space; and imposing separate partitions for system and user data." - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "params": [ - { - "id": "sc-6_prm_1", - "label": "organization-defined resources" - }, - { - "id": "sc-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "priority", - "quota", - " {{ insert: param, sc-6_prm_3 }} " - ] - } - }, - { - "id": "sc-6_prm_3", - "depends-on": "sc-6_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-6" - }, - { - "name": "sort-id", - "value": "SC-06" - } - ], - "links": [ - { - "href": "#36f101d0-0efd-4169-8d62-25a2ef414a1d", - "rel": "reference" - }, - { - "href": "#2ee29e9a-6855-4160-a811-b5c7c50bd127", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "Protect the availability of resources by allocating {{ insert: param, sc-6_prm_1 }} by {{ insert: param, sc-6_prm_2 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection prevents lower-priority processes from delaying or interfering with the system servicing higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to system components for which there are only single users or roles." - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "params": [ - { - "id": "sc-7_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "SC-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#db7877cf-1013-4fb1-b943-ca9361d16370", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#3862cd94-ff25-4631-9a9a-b92c21a0a923", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and control communications at the external interfaces to the system and at key internal interfaces within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement subnetworks for publicly accessible system components that are {{ insert: param, sc-7_prm_1 }} separated from internal organizational networks; and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions." - } - ], - "controls": [ - { - "id": "sc-7.1", - "class": "SP800-53-enhancement", - "title": "Physically Separated Subnetworks", - "props": [ - { - "name": "label", - "value": "SC-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(01)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.2", - "class": "SP800-53-enhancement", - "title": "Public Access", - "props": [ - { - "name": "label", - "value": "SC-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(02)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "props": [ - { - "name": "label", - "value": "SC-7(3)" - }, - { - "name": "sort-id", - "value": "SC-07(03)" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "Limit the number of external network connections to the system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC] initiative is an example of a federal guideline requiring limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system." - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "params": [ - { - "id": "sc-7.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(4)" - }, - { - "name": "sort-id", - "value": "SC-07(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protect the confidentiality and integrity of the information being transmitted across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Review exceptions to the traffic flow policy {{ insert: param, sc-7.4_prm_1 }} and remove exceptions that are no longer supported by an explicit mission or business need;" - }, - { - "id": "sc-7.4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Prevent unauthorized exchange of control plane traffic with external networks;" - }, - { - "id": "sc-7.4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and" - }, - { - "id": "sc-7.4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Filter unauthorized control plane traffic from external networks." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "prose": "External commercial telecommunications services may provide data or voice communications services. Examples of control plane traffic include routing, domain name system (DNS), and management. Unauthorized control plane traffic can occur for example, through a technique known as \u201cspoofing.\u201d" - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default \u2014 Allow by Exception", - "params": [ - { - "id": "sc-7.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "at managed interfaces", - "for {{ insert: param, sc-7.5_prm_2 }} " - ] - } - }, - { - "id": "sc-7.5_prm_2", - "depends-on": "sc-7.5_prm_1", - "label": "organization-defined systems" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(5)" - }, - { - "name": "sort-id", - "value": "SC-07(05)" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-7.5_prm_1 }}." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system." - } - ] - }, - { - "id": "sc-7.6", - "class": "SP800-53-enhancement", - "title": "Response to Recognized Failures", - "props": [ - { - "name": "label", - "value": "SC-7(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(06)" - } - ], - "links": [ - { - "href": "#sc-7.18", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Prevent Split Tunneling for Remote Devices", - "props": [ - { - "name": "label", - "value": "SC-7(7)" - }, - { - "name": "sort-id", - "value": "SC-07(07)" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "Prevent a remote device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "Prevention of split tunneling is implemented in remote devices through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being configurable by users. Prevention of split tunneling is implemented within the system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local system resources such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information." - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "params": [ - { - "id": "sc-7.8_prm_1", - "label": "organization-defined internal communications traffic" - }, - { - "id": "sc-7.8_prm_2", - "label": "organization-defined external networks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(8)" - }, - { - "name": "sort-id", - "value": "SC-07(08)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "Route {{ insert: param, sc-7.8_prm_1 }} to {{ insert: param, sc-7.8_prm_2 }} through authenticated proxy servers at managed interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers can support logging of Transmission Control Protocol sessions and blocking specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for \u201cman-in-the-middle\u201d attacks (depending on the implementation)." - } - ] - }, - { - "id": "sc-7.9", - "class": "SP800-53-enhancement", - "title": "Restrict Threatening Outgoing Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-7(9)" - }, - { - "name": "sort-id", - "value": "SC-07(09)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect and deny outgoing communications traffic posing a threat to external systems; and" - }, - { - "id": "sc-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit the identity of internal users associated with denied communications." - } - ] - }, - { - "id": "sc-7.9_gdn", - "name": "guidance", - "prose": "Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out at system boundaries as part of managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial of service attacks, traffic with spoofed source addresses, and traffic containing malicious code." - } - ] - }, - { - "id": "sc-7.10", - "class": "SP800-53-enhancement", - "title": "Prevent Exfiltration", - "params": [ - { - "id": "sc-7.10_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(10)" - }, - { - "name": "sort-id", - "value": "SC-07(10)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.10_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prevent the exfiltration of information; and" - }, - { - "id": "sc-7.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Conduct exfiltration tests {{ insert: param, sc-7.10_prm_1 }}." - } - ] - }, - { - "id": "sc-7.10_gdn", - "name": "guidance", - "prose": "This control applies to intentional and unintentional exfiltration of information. Controls to prevent exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats; monitoring for beaconing activity from systems; disconnecting external network interfaces except when explicitly needed; employing traffic profile analysis to detect deviations from the volume and types of traffic expected or call backs to command and control centers; monitoring for steganography; disassembling and reassembling packet headers; and employing data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and XML gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. Prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards enforcing information flow requirements." - } - ] - }, - { - "id": "sc-7.11", - "class": "SP800-53-enhancement", - "title": "Restrict Incoming Communications Traffic", - "params": [ - { - "id": "sc-7.11_prm_1", - "label": "organization-defined authorized sources" - }, - { - "id": "sc-7.11_prm_2", - "label": "organization-defined authorized destinations" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(11)" - }, - { - "name": "sort-id", - "value": "SC-07(11)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.11_smt", - "name": "statement", - "prose": "Only allow incoming communications from {{ insert: param, sc-7.11_prm_1 }} to be routed to {{ insert: param, sc-7.11_prm_2 }}." - }, - { - "id": "sc-7.11_gdn", - "name": "guidance", - "prose": "General source address validation techniques should be applied to restrict the use of illegal and unallocated source addresses and source addresses that should only be used inside the system boundary. Restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications; the absence of such address pairs in lists of unauthorized or disallowed pairs; or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules." - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "params": [ - { - "id": "sc-7.12_prm_1", - "label": "organization-defined host-based boundary protection mechanisms" - }, - { - "id": "sc-7.12_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(12)" - }, - { - "name": "sort-id", - "value": "SC-07(12)" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-7.12_prm_1 }} at {{ insert: param, sc-7.12_prm_2 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include host-based firewalls. System components employing host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices." - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools, Mechanisms, and Support Components", - "params": [ - { - "id": "sc-7.13_prm_1", - "label": "organization-defined information security tools, mechanisms, and support components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(13)" - }, - { - "name": "sort-id", - "value": "SC-07(13)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "Isolate {{ insert: param, sc-7.13_prm_1 }} from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations." - } - ] - }, - { - "id": "sc-7.14", - "class": "SP800-53-enhancement", - "title": "Protect Against Unauthorized Physical Connections", - "params": [ - { - "id": "sc-7.14_prm_1", - "label": "organization-defined managed interfaces" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(14)" - }, - { - "name": "sort-id", - "value": "SC-07(14)" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.14_smt", - "name": "statement", - "prose": "Protect against unauthorized physical connections at {{ insert: param, sc-7.14_prm_1 }}." - }, - { - "id": "sc-7.14_gdn", - "name": "guidance", - "prose": "Systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items." - } - ] - }, - { - "id": "sc-7.15", - "class": "SP800-53-enhancement", - "title": "Networked Privileged Accesses", - "props": [ - { - "name": "label", - "value": "SC-7(15)" - }, - { - "name": "sort-id", - "value": "SC-07(15)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.15_smt", - "name": "statement", - "prose": "Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing." - }, - { - "id": "sc-7.15_gdn", - "name": "guidance", - "prose": "Privileged access provides greater accessibility to system functions, including security functions. Adversaries typically attempt to gain privileged access to systems through remote access to cause adverse mission or business impact, for example, by exfiltrating sensitive information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface can facilitate strong access controls (including strong authentication) and a comprehensive auditing capability." - } - ] - }, - { - "id": "sc-7.16", - "class": "SP800-53-enhancement", - "title": "Prevent Discovery of Components and Devices", - "props": [ - { - "name": "label", - "value": "SC-7(16)" - }, - { - "name": "sort-id", - "value": "SC-07(16)" - } - ], - "parts": [ - { - "id": "sc-7.16_smt", - "name": "statement", - "prose": "Prevent the discovery of specific system components that represent a managed interface." - }, - { - "id": "sc-7.16_gdn", - "name": "guidance", - "prose": "This control enhancement protects network addresses of system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery, requiring prior knowledge for access. Preventing discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses." - } - ] - }, - { - "id": "sc-7.17", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement of Protocol Formats", - "props": [ - { - "name": "label", - "value": "SC-7(17)" - }, - { - "name": "sort-id", - "value": "SC-07(17)" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.17_smt", - "name": "statement", - "prose": "Enforce adherence to protocol formats." - }, - { - "id": "sc-7.17_gdn", - "name": "guidance", - "prose": "System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers." - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "props": [ - { - "name": "label", - "value": "SC-7(18)" - }, - { - "name": "sort-id", - "value": "SC-07(18)" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases." - } - ] - }, - { - "id": "sc-7.19", - "class": "SP800-53-enhancement", - "title": "Block Communication from Non-organizationally Configured Hosts", - "params": [ - { - "id": "sc-7.19_prm_1", - "label": "organization-defined communication clients" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(19)" - }, - { - "name": "sort-id", - "value": "SC-07(19)" - } - ], - "parts": [ - { - "id": "sc-7.19_smt", - "name": "statement", - "prose": "Block inbound and outbound communications traffic between {{ insert: param, sc-7.19_prm_1 }} that are independently configured by end users and external service providers." - }, - { - "id": "sc-7.19_gdn", - "name": "guidance", - "prose": "Communication clients independently configured by end users and external service providers include instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions." - } - ] - }, - { - "id": "sc-7.20", - "class": "SP800-53-enhancement", - "title": "Dynamic Isolation and Segregation", - "params": [ - { - "id": "sc-7.20_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(20)" - }, - { - "name": "sort-id", - "value": "SC-07(20)" - } - ], - "parts": [ - { - "id": "sc-7.20_smt", - "name": "statement", - "prose": "Provide the capability to dynamically isolate {{ insert: param, sc-7.20_prm_1 }} from other system components." - }, - { - "id": "sc-7.20_gdn", - "name": "guidance", - "prose": "The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur." - } - ] - }, - { - "id": "sc-7.21", - "class": "SP800-53-enhancement", - "title": "Isolation of System Components", - "params": [ - { - "id": "sc-7.21_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-7.21_prm_2", - "label": "organization-defined missions and/or business functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(21)" - }, - { - "name": "sort-id", - "value": "SC-07(21)" - } - ], - "links": [ - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.21_smt", - "name": "statement", - "prose": "Employ boundary protection mechanisms to isolate {{ insert: param, sc-7.21_prm_1 }} supporting {{ insert: param, sc-7.21_prm_2 }}." - }, - { - "id": "sc-7.21_gdn", - "name": "guidance", - "prose": "Organizations can isolate system components performing different missions or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls separating system components into physically separate networks or subnetworks; virtualization techniques; cross-domain devices separating subnetworks; and encrypting information flows among system components using distinct encryption keys." - } - ] - }, - { - "id": "sc-7.22", - "class": "SP800-53-enhancement", - "title": "Separate Subnets for Connecting to Different Security Domains", - "props": [ - { - "name": "label", - "value": "SC-7(22)" - }, - { - "name": "sort-id", - "value": "SC-07(22)" - } - ], - "parts": [ - { - "id": "sc-7.22_smt", - "name": "statement", - "prose": "Implement separate network addresses to connect to systems in different security domains." - }, - { - "id": "sc-7.22_gdn", - "name": "guidance", - "prose": "The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels." - } - ] - }, - { - "id": "sc-7.23", - "class": "SP800-53-enhancement", - "title": "Disable Sender Feedback on Protocol Validation Failure", - "props": [ - { - "name": "label", - "value": "SC-7(23)" - }, - { - "name": "sort-id", - "value": "SC-07(23)" - } - ], - "parts": [ - { - "id": "sc-7.23_smt", - "name": "statement", - "prose": "Disable feedback to senders on protocol format validation failure." - }, - { - "id": "sc-7.23_gdn", - "name": "guidance", - "prose": "Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable." - } - ] - }, - { - "id": "sc-7.24", - "class": "SP800-53-enhancement", - "title": "Personally Identifiable Information", - "params": [ - { - "id": "sc-7.24_prm_1", - "label": "organization-defined processing rules" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(24)" - }, - { - "name": "sort-id", - "value": "SC-07(24)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.24_smt", - "name": "statement", - "prose": "For systems that process personally identifiable information:", - "parts": [ - { - "id": "sc-7.24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Apply the following processing rules to data elements of personally identifiable information: {{ insert: param, sc-7.24_prm_1 }};" - }, - { - "id": "sc-7.24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;" - }, - { - "id": "sc-7.24_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Document each processing exception; and" - }, - { - "id": "sc-7.24_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Review and remove exceptions that are no longer supported." - } - ] - }, - { - "id": "sc-7.24_gdn", - "name": "guidance", - "prose": "Managing the processing of personally identifiable information is an important aspect of protecting an individual\u2019s privacy. Applying, monitoring for and documenting exceptions to processing rules ensures that personally identifiable information is processed only in accordance with established privacy requirements." - } - ] - }, - { - "id": "sc-7.25", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "params": [ - { - "id": "sc-7.25_prm_1", - "label": "organization-defined unclassified, national security system" - }, - { - "id": "sc-7.25_prm_2", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(25)" - }, - { - "name": "sort-id", - "value": "SC-07(25)" - } - ], - "parts": [ - { - "id": "sc-7.25_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.25_prm_1 }} to an external network without the use of {{ insert: param, sc-7.25_prm_2 }}." - }, - { - "id": "sc-7.25_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified national security systems and external networks." - } - ] - }, - { - "id": "sc-7.26", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "params": [ - { - "id": "sc-7.26_prm_1", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(26)" - }, - { - "name": "sort-id", - "value": "SC-07(26)" - } - ], - "parts": [ - { - "id": "sc-7.26_smt", - "name": "statement", - "prose": "Prohibit the direct connection of a classified, national security system to an external network without the use of {{ insert: param, sc-7.26_prm_1 }}." - }, - { - "id": "sc-7.26_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks." - } - ] - }, - { - "id": "sc-7.27", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "params": [ - { - "id": "sc-7.27_prm_1", - "label": "organization-defined unclassified, non-national security system" - }, - { - "id": "sc-7.27_prm_2", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(27)" - }, - { - "name": "sort-id", - "value": "SC-07(27)" - } - ], - "parts": [ - { - "id": "sc-7.27_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.27_prm_1 }} to an external network without the use of {{ insert: param, sc-7.27_prm_2 }}." - }, - { - "id": "sc-7.27_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified non-national security systems and external networks." - } - ] - }, - { - "id": "sc-7.28", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "params": [ - { - "id": "sc-7.28_prm_1", - "label": "organization-defined system" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(28)" - }, - { - "name": "sort-id", - "value": "SC-07(28)" - } - ], - "parts": [ - { - "id": "sc-7.28_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.28_prm_1 }} to a public network." - }, - { - "id": "sc-7.28_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access." - } - ] - }, - { - "id": "sc-7.29", - "class": "SP800-53-enhancement", - "title": "Separate Subnets to Isolate Functions", - "params": [ - { - "id": "sc-7.29_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-7.29_prm_2", - "label": "organization-defined critical system components and functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(29)" - }, - { - "name": "sort-id", - "value": "SC-07(29)" - } - ], - "parts": [ - { - "id": "sc-7.29_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-7.29_prm_1 }} separate subnetworks to isolate the following critical system components and functions: {{ insert: param, sc-7.29_prm_2 }}." - }, - { - "id": "sc-7.29_gdn", - "name": "guidance", - "prose": "Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce the susceptibility to a catastrophic or debilitating breach or compromise resulting in system failure. For example, physically separating the command and control function from the entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions." - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "params": [ - { - "id": "sc-8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8" - }, - { - "name": "sort-id", - "value": "SC-08" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#bbc7085f-b383-444e-af74-722a55cccc0f", - "rel": "reference" - }, - { - "href": "#286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-8_prm_1 }} of transmitted information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "Protecting the confidentiality and integrity of transmitted information applies to internal and external networks, and any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical means or by logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a term for wireline or fiber-optics telecommunication system that includes terminals and adequate acoustical, electrical, electromagnetic, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques. Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services, may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunication service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls." - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-8.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(1)" - }, - { - "name": "sort-id", - "value": "SC-08(01)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to {{ insert: param, sc-8.1_prm_1 }} during transmission." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have application in digital signatures, checksums, and message authentication codes. SC-13 is used to specify the specific protocols, algorithms, and algorithm parameters to be implemented on each transmission path." - } - ] - }, - { - "id": "sc-8.2", - "class": "SP800-53-enhancement", - "title": "Pre- and Post-transmission Handling", - "params": [ - { - "id": "sc-8.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(2)" - }, - { - "name": "sort-id", - "value": "SC-08(02)" - } - ], - "parts": [ - { - "id": "sc-8.2_smt", - "name": "statement", - "prose": "Maintain the {{ insert: param, sc-8.2_prm_1 }} of information during preparation for transmission and during reception." - }, - { - "id": "sc-8.2_gdn", - "name": "guidance", - "prose": "Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information." - } - ] - }, - { - "id": "sc-8.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection for Message Externals", - "params": [ - { - "id": "sc-8.3_prm_1", - "label": "organization-defined alternative physical controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(3)" - }, - { - "name": "sort-id", - "value": "SC-08(03)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect message externals unless otherwise protected by {{ insert: param, sc-8.3_prm_1 }}." - }, - { - "id": "sc-8.3_gdn", - "name": "guidance", - "prose": "Cryptographic protection for message externals addresses protection from unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems." - } - ] - }, - { - "id": "sc-8.4", - "class": "SP800-53-enhancement", - "title": "Conceal or Randomize Communications", - "params": [ - { - "id": "sc-8.4_prm_1", - "label": "organization-defined alternative physical controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(4)" - }, - { - "name": "sort-id", - "value": "SC-08(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-8.4_prm_1 }}." - }, - { - "id": "sc-8.4_gdn", - "name": "guidance", - "prose": "Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to the missions and business functions of the organization. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems." - } - ] - }, - { - "id": "sc-8.5", - "class": "SP800-53-enhancement", - "title": "Protected Distribution System", - "params": [ - { - "id": "sc-8.5_prm_1", - "label": "organization-defined protected distribution system" - }, - { - "id": "sc-8.5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(5)" - }, - { - "name": "sort-id", - "value": "SC-08(05)" - } - ], - "parts": [ - { - "id": "sc-8.5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-8.5_prm_1 }} to {{ insert: param, sc-8.5_prm_2 }} during transmission." - }, - { - "id": "sc-8.5_gdn", - "name": "guidance", - "prose": "The purpose of a protected distribution system is to deter, detect and/or make difficult physical access to the communication lines carrying national security information." - } - ] - } - ] - }, - { - "id": "sc-9", - "class": "SP800-53", - "title": "Transmission Confidentiality", - "props": [ - { - "name": "label", - "value": "SC-9" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-09" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "params": [ - { - "id": "sc-10_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "SC-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_prm_1 }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time-periods by type of network access or for specific network accesses." - } - ] - }, - { - "id": "sc-11", - "class": "SP800-53", - "title": "Trusted Path", - "params": [ - { - "id": "sc-11_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-11_prm_2", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-11" - }, - { - "name": "sort-id", - "value": "SC-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-11_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide a {{ insert: param, sc-11_prm_1 }} isolated trusted communications path for communications between the user and the trusted components of the system; and" - }, - { - "id": "sc-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: {{ insert: param, sc-11_prm_2 }}." - } - ] - }, - { - "id": "sc-11_gdn", - "name": "guidance", - "prose": "Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of systems with the requisite assurance to support security policies. These mechanisms can be activated only by users or the security functions of organizational systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted path employed an out-of-band signal to initiate the path, for example using the key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used, for example, the + + keys. Note, however, that any such key combinations are platform-specific and may not provide a trusted path implementation in every case. Enforcement of trusted communications paths is typically provided by a specific implementation that meets the reference monitor concept." - } - ], - "controls": [ - { - "id": "sc-11.1", - "class": "SP800-53-enhancement", - "title": "Irrefutable Communications Path", - "params": [ - { - "id": "sc-11.1_prm_1", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-11(1)" - }, - { - "name": "sort-id", - "value": "SC-11(01)" - } - ], - "parts": [ - { - "id": "sc-11.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and" - }, - { - "id": "sc-11.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Initiate the trusted communications path for communications between the {{ insert: param, sc-11.1_prm_1 }} of the system and the user." - } - ] - }, - { - "id": "sc-11.1_gdn", - "name": "guidance", - "prose": "An irrefutable communications path permits the system to initiate a trusted path which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed." - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "params": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage, access, and destruction" - } - ], - "props": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "SC-12" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#f437b52f-7f26-42aa-8e8f-999e7d67b2fe", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, sc-12_prm_1 }}." - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, specifying appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP] and [NIST CAVP] provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment." - } - ], - "controls": [ - { - "id": "sc-12.1", - "class": "SP800-53-enhancement", - "title": "Availability", - "props": [ - { - "name": "label", - "value": "SC-12(1)" - }, - { - "name": "sort-id", - "value": "SC-12(01)" - } - ], - "parts": [ - { - "id": "sc-12.1_smt", - "name": "statement", - "prose": "Maintain availability of information in the event of the loss of cryptographic keys by users." - }, - { - "id": "sc-12.1_gdn", - "name": "guidance", - "prose": "Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. A forgotten passphrase is an example of losing a cryptographic key." - } - ] - }, - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "params": [ - { - "id": "sc-12.2_prm_1", - "select": { - "choice": [ - "NIST FIPS-validated", - "NSA-approved" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(2)" - }, - { - "name": "sort-id", - "value": "SC-12(02)" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "Produce, control, and distribute symmetric cryptographic keys using {{ insert: param, sc-12.2_prm_1 }} key management technology and processes." - }, - { - "id": "sc-12.2_gdn", - "name": "guidance", - "prose": "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management." - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "params": [ - { - "id": "sc-12.3_prm_1", - "select": { - "choice": [ - "NSA-approved key management technology and processes", - "prepositioned keying material", - "DoD-approved or DoD-issued Medium Assurance PKI certificates", - "DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates and hardware security tokens that protect the user\u2019s private key", - "certificates issued in accordance with organization-defined requirements" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(3)" - }, - { - "name": "sort-id", - "value": "SC-12(03)" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "Produce, control, and distribute asymmetric cryptographic keys using {{ insert: param, sc-12.3_prm_1 }}." - }, - { - "id": "sc-12.3_gdn", - "name": "guidance", - "prose": "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management." - } - ] - }, - { - "id": "sc-12.4", - "class": "SP800-53-enhancement", - "title": "PKI Certificates", - "props": [ - { - "name": "label", - "value": "SC-12(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-12(04)" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.5", - "class": "SP800-53-enhancement", - "title": "PKI Certificates / Hardware Tokens", - "props": [ - { - "name": "label", - "value": "SC-12(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-12(05)" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.6", - "class": "SP800-53-enhancement", - "title": "Physical Control of Keys", - "props": [ - { - "name": "label", - "value": "SC-12(6)" - }, - { - "name": "sort-id", - "value": "SC-12(06)" - } - ], - "parts": [ - { - "id": "sc-12.6_smt", - "name": "statement", - "prose": "Maintain physical control of cryptographic keys when stored information is encrypted by external service providers." - }, - { - "id": "sc-12.6_gdn", - "name": "guidance", - "prose": "For organizations using external service providers, for example, cloud service providers or data center providers, physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification." - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses" - }, - { - "id": "sc-13_prm_2", - "label": "organization-defined types of cryptography for each specified cryptographic use" - } - ], - "props": [ - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "SC-13" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "parts": [ - { - "id": "sc-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the {{ insert: param, sc-13_prm_1 }}; and" - }, - { - "id": "sc-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, sc-13_prm_2 }}." - } - ] - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including, the protection of classified information and controlled unclassified information; the provision and implementation of digital signatures; and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "sc-13.1", - "class": "SP800-53-enhancement", - "title": "Fips-validated Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(01)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.2", - "class": "SP800-53-enhancement", - "title": "Nsa-approved Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(02)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.3", - "class": "SP800-53-enhancement", - "title": "Individuals Without Formal Access Approvals", - "props": [ - { - "name": "label", - "value": "SC-13(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(03)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.4", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "SC-13(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(04)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-14", - "class": "SP800-53", - "title": "Public Access Protections", - "props": [ - { - "name": "label", - "value": "SC-14" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-14" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - }, - { - "href": "#si-3", - "rel": "incorporated-into" - }, - { - "href": "#si-4", - "rel": "incorporated-into" - }, - { - "href": "#si-5", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - }, - { - "href": "#si-10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices and Applications", - "params": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "SC-15" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of use to users physically present at the devices." - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. Explicit indication of use includes signals to users when collaborative computing devices and applications are activated." - } - ], - "controls": [ - { - "id": "sc-15.1", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Disconnect", - "params": [ - { - "id": "sc-15.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "physical", - "logical" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(1)" - }, - { - "name": "sort-id", - "value": "SC-15(01)" - } - ], - "parts": [ - { - "id": "sc-15.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, sc-15.1_prm_1 }} disconnect of collaborative computing devices in a manner that supports ease of use." - }, - { - "id": "sc-15.1_gdn", - "name": "guidance", - "prose": "Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures." - } - ] - }, - { - "id": "sc-15.2", - "class": "SP800-53-enhancement", - "title": "Blocking Inbound and Outbound Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-15(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-15(02)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15.3", - "class": "SP800-53-enhancement", - "title": "Disabling and Removal in Secure Work Areas", - "params": [ - { - "id": "sc-15.3_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "sc-15.3_prm_2", - "label": "organization-defined secure work areas" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(3)" - }, - { - "name": "sort-id", - "value": "SC-15(03)" - } - ], - "parts": [ - { - "id": "sc-15.3_smt", - "name": "statement", - "prose": "Disable or remove collaborative computing devices and applications from {{ insert: param, sc-15.3_prm_1 }} in {{ insert: param, sc-15.3_prm_2 }}." - }, - { - "id": "sc-15.3_gdn", - "name": "guidance", - "prose": "Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A secure work area includes a sensitive compartmented information facility (SCIF)." - } - ] - }, - { - "id": "sc-15.4", - "class": "SP800-53-enhancement", - "title": "Explicitly Indicate Current Participants", - "params": [ - { - "id": "sc-15.4_prm_1", - "label": "organization-defined online meetings and teleconferences" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(4)" - }, - { - "name": "sort-id", - "value": "SC-15(04)" - } - ], - "parts": [ - { - "id": "sc-15.4_smt", - "name": "statement", - "prose": "Provide an explicit indication of current participants in {{ insert: param, sc-15.4_prm_1 }}." - }, - { - "id": "sc-15.4_gdn", - "name": "guidance", - "prose": "Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants." - } - ] - } - ] - }, - { - "id": "sc-16", - "class": "SP800-53", - "title": "Transmission of Security and Privacy Attributes", - "params": [ - { - "id": "sc-16_prm_1", - "label": "organization-defined security and privacy attributes" - } - ], - "props": [ - { - "name": "label", - "value": "SC-16" - }, - { - "name": "sort-id", - "value": "SC-16" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16_smt", - "name": "statement", - "prose": "Associate {{ insert: param, sc-16_prm_1 }} with information exchanged between systems and between system components." - }, - { - "id": "sc-16_gdn", - "name": "guidance", - "prose": "Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are an abstraction representing the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently, or in conjunction with security attributes." - } - ], - "controls": [ - { - "id": "sc-16.1", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "props": [ - { - "name": "label", - "value": "SC-16(1)" - }, - { - "name": "sort-id", - "value": "SC-16(01)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.1_smt", - "name": "statement", - "prose": "Verify the integrity of transmitted security and privacy attributes." - }, - { - "id": "sc-16.1_gdn", - "name": "guidance", - "prose": "A part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information, have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information." - } - ] - }, - { - "id": "sc-16.2", - "class": "SP800-53-enhancement", - "title": "Anti-spoofing Mechanisms", - "props": [ - { - "name": "label", - "value": "SC-16(2)" - }, - { - "name": "sort-id", - "value": "SC-16(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.2_smt", - "name": "statement", - "prose": "Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "id": "sc-16.2_gdn", - "name": "guidance", - "prose": "Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented." - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "params": [ - { - "id": "sc-17_prm_1", - "label": "organization-defined certificate policy" - } - ], - "props": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "SC-17" - } - ], - "links": [ - { - "href": "#b7140427-d4c4-467a-97a1-5ca9f7c6584a", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "parts": [ - { - "id": "sc-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Issue public key certificates under an {{ insert: param, sc-17_prm_1 }} or obtain public key certificates from an approved service provider; and" - }, - { - "id": "sc-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Include only approved trust anchors in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "This control addresses certificates with visibility external to organizational systems and certificates related to internal operations of systems, for example, application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates." - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "props": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "SC-18" - } - ], - "links": [ - { - "href": "#8e334d74-fc06-47a9-bbb1-804fdfae0e44", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define acceptable and unacceptable mobile code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of mobile code within the system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java, JavaScript, Flash animations, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source." - } - ], - "controls": [ - { - "id": "sc-18.1", - "class": "SP800-53-enhancement", - "title": "Identify Unacceptable Code and Take Corrective Actions", - "params": [ - { - "id": "sc-18.1_prm_1", - "label": "organization-defined unacceptable mobile code" - }, - { - "id": "sc-18.1_prm_2", - "label": "organization-defined corrective actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(1)" - }, - { - "name": "sort-id", - "value": "SC-18(01)" - } - ], - "parts": [ - { - "id": "sc-18.1_smt", - "name": "statement", - "prose": "Identify {{ insert: param, sc-18.1_prm_1 }} and take {{ insert: param, sc-18.1_prm_2 }}." - }, - { - "id": "sc-18.1_gdn", - "name": "guidance", - "prose": "Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code." - } - ] - }, - { - "id": "sc-18.2", - "class": "SP800-53-enhancement", - "title": "Acquisition, Development, and Use", - "params": [ - { - "id": "sc-18.2_prm_1", - "label": "organization-defined mobile code requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(2)" - }, - { - "name": "sort-id", - "value": "SC-18(02)" - } - ], - "parts": [ - { - "id": "sc-18.2_smt", - "name": "statement", - "prose": "Verify that the acquisition, development, and use of mobile code to be deployed in the system meets {{ insert: param, sc-18.2_prm_1 }}." - }, - { - "id": "sc-18.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-18.3", - "class": "SP800-53-enhancement", - "title": "Prevent Downloading and Execution", - "params": [ - { - "id": "sc-18.3_prm_1", - "label": "organization-defined unacceptable mobile code" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(3)" - }, - { - "name": "sort-id", - "value": "SC-18(03)" - } - ], - "parts": [ - { - "id": "sc-18.3_smt", - "name": "statement", - "prose": "Prevent the download and execution of {{ insert: param, sc-18.3_prm_1 }}." - }, - { - "id": "sc-18.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-18.4", - "class": "SP800-53-enhancement", - "title": "Prevent Automatic Execution", - "params": [ - { - "id": "sc-18.4_prm_1", - "label": "organization-defined software applications" - }, - { - "id": "sc-18.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(4)" - }, - { - "name": "sort-id", - "value": "SC-18(04)" - } - ], - "parts": [ - { - "id": "sc-18.4_smt", - "name": "statement", - "prose": "Prevent the automatic execution of mobile code in {{ insert: param, sc-18.4_prm_1 }} and enforce {{ insert: param, sc-18.4_prm_2 }} prior to executing the code." - }, - { - "id": "sc-18.4_gdn", - "name": "guidance", - "prose": "Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing automatic execution of mobile code includes disabling auto execute features on system components employing portable storage devices such as Compact Disks (CDs), Digital Versatile Disks (DVDs), and Universal Serial Bus (USB) devices." - } - ] - }, - { - "id": "sc-18.5", - "class": "SP800-53-enhancement", - "title": "Allow Execution Only in Confined Environments", - "props": [ - { - "name": "label", - "value": "SC-18(5)" - }, - { - "name": "sort-id", - "value": "SC-18(05)" - } - ], - "links": [ - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18.5_smt", - "name": "statement", - "prose": "Allow execution of permitted mobile code only in confined virtual machine environments." - }, - { - "id": "sc-18.5_gdn", - "name": "guidance", - "prose": "Permitting execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components." - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "props": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-19" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "*Technology-specific; addressed by other controls for protocols.* " - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (authoritative Source)", - "props": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "SC-20" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security (DNSSEC) digital signatures and cryptographic keys. Authoritative data include DNS resource records. The means to indicate the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data." - } - ], - "controls": [ - { - "id": "sc-20.1", - "class": "SP800-53-enhancement", - "title": "Child Subspaces", - "props": [ - { - "name": "label", - "value": "SC-20(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-20(01)" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-20.2", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-20(2)" - }, - { - "name": "sort-id", - "value": "SC-20(02)" - } - ], - "parts": [ - { - "id": "sc-20.2_smt", - "name": "statement", - "prose": "Provide data origin and integrity protection artifacts for internal name/address resolution queries." - }, - { - "id": "sc-20.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (recursive or Caching Resolver)", - "props": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "SC-21" - } - ], - "links": [ - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host/service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data." - } - ], - "controls": [ - { - "id": "sc-21.1", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-21(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-21(01)" - } - ], - "links": [ - { - "href": "#sc-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name/address Resolution Service", - "props": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "SC-22" - } - ], - "links": [ - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers; one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles, for example, by address ranges and explicit lists." - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "props": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "SC-23" - } - ], - "links": [ - { - "href": "#286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#1d91d984-0cb6-4f96-a01d-c39a3eee7d43", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "Protect the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "Protecting session authenticity addresses communications protection at the session, level; not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of information transmitted. Authenticity protection includes protecting against man-in-the-middle attacks and session hijacking, and the insertion of false information into sessions." - } - ], - "controls": [ - { - "id": "sc-23.1", - "class": "SP800-53-enhancement", - "title": "Invalidate Session Identifiers at Logout", - "props": [ - { - "name": "label", - "value": "SC-23(1)" - }, - { - "name": "sort-id", - "value": "SC-23(01)" - } - ], - "parts": [ - { - "id": "sc-23.1_smt", - "name": "statement", - "prose": "Invalidate session identifiers upon user logout or other session termination." - }, - { - "id": "sc-23.1_gdn", - "name": "guidance", - "prose": "Invalidating session identifiers at logout curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs." - } - ] - }, - { - "id": "sc-23.2", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts and Message Displays", - "props": [ - { - "name": "label", - "value": "SC-23(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-23(02)" - } - ], - "links": [ - { - "href": "#ac-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.3", - "class": "SP800-53-enhancement", - "title": "Unique System-generated Session Identifiers", - "params": [ - { - "id": "sc-23.3_prm_1", - "label": "organization-defined randomness requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(3)" - }, - { - "name": "sort-id", - "value": "SC-23(03)" - } - ], - "links": [ - { - "href": "#ac-10", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.3_smt", - "name": "statement", - "prose": "Generate a unique session identifier for each session with {{ insert: param, sc-23.3_prm_1 }} and recognize only session identifiers that are system-generated." - }, - { - "id": "sc-23.3_gdn", - "name": "guidance", - "prose": "Generating unique session identifiers curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers." - } - ] - }, - { - "id": "sc-23.4", - "class": "SP800-53-enhancement", - "title": "Unique Session Identifiers with Randomization", - "props": [ - { - "name": "label", - "value": "SC-23(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-23(04)" - } - ], - "links": [ - { - "href": "#sc-23.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.5", - "class": "SP800-53-enhancement", - "title": "Allowed Certificate Authorities", - "params": [ - { - "id": "sc-23.5_prm_1", - "label": "organization-defined certificate authorities" - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(5)" - }, - { - "name": "sort-id", - "value": "SC-23(05)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.5_smt", - "name": "statement", - "prose": "Only allow the use of {{ insert: param, sc-23.5_prm_1 }} for verification of the establishment of protected sessions." - }, - { - "id": "sc-23.5_gdn", - "name": "guidance", - "prose": "Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers." - } - ] - } - ] - }, - { - "id": "sc-24", - "class": "SP800-53", - "title": "Fail in Known State", - "params": [ - { - "id": "sc-24_prm_1", - "label": "organization-defined known system state" - }, - { - "id": "sc-24_prm_2", - "label": "organization-defined system state information" - }, - { - "id": "sc-24_prm_3", - "label": "list of organization-defined types of system failures on organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-24" - }, - { - "name": "sort-id", - "value": "SC-24" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-24_smt", - "name": "statement", - "prose": "Fail to a {{ insert: param, sc-24_prm_1 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_prm_2 }} in failure: {{ insert: param, sc-24_prm_3 }}." - }, - { - "id": "sc-24_gdn", - "name": "guidance", - "prose": "Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes." - } - ] - }, - { - "id": "sc-25", - "class": "SP800-53", - "title": "Thin Nodes", - "params": [ - { - "id": "sc-25_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-25" - }, - { - "name": "sort-id", - "value": "SC-25" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-25_smt", - "name": "statement", - "prose": "Employ minimal functionality and information storage on the following system components: {{ insert: param, sc-25_prm_1 }}." - }, - { - "id": "sc-25_gdn", - "name": "guidance", - "prose": "The deployment of system components with minimal functionality reduces the need to secure every endpoint, and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies." - } - ] - }, - { - "id": "sc-26", - "class": "SP800-53", - "title": "Decoys", - "props": [ - { - "name": "label", - "value": "SC-26" - }, - { - "name": "sort-id", - "value": "SC-26" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-26_smt", - "name": "statement", - "prose": "Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks." - }, - { - "id": "sc-26_gdn", - "name": "guidance", - "prose": "Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and to deflect attacks away from the operational systems supporting organizational missions and business functions. Depending upon the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed." - } - ], - "controls": [ - { - "id": "sc-26.1", - "class": "SP800-53-enhancement", - "title": "Detection of Malicious Code", - "props": [ - { - "name": "label", - "value": "SC-26(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-26(01)" - } - ], - "links": [ - { - "href": "#sc-35", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-27", - "class": "SP800-53", - "title": "Platform-independent Applications", - "params": [ - { - "id": "sc-27_prm_1", - "label": "organization-defined platform-independent applications" - } - ], - "props": [ - { - "name": "label", - "value": "SC-27" - }, - { - "name": "sort-id", - "value": "SC-27" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-27_smt", - "name": "statement", - "prose": "Include within organizational systems, the following platform independent applications: {{ insert: param, sc-27_prm_1 }}." - }, - { - "id": "sc-27_gdn", - "name": "guidance", - "prose": "Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems; the underlying computer architectures; or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increases the availability of mission essential functions within organizations in situations where systems with specific operating systems are under attack." - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "params": [ - { - "id": "sc-28_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - }, - { - "id": "sc-28_prm_2", - "label": "organization-defined information at rest" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "SC-28" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-28_prm_1 }} of the following information at rest: {{ insert: param, sc-28_prm_2 }}." - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information requiring protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure off-line storage in lieu of online storage." - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-28.1_prm_1", - "label": "organization-defined system components or media" - }, - { - "id": "sc-28.1_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(1)" - }, - { - "name": "sort-id", - "value": "SC-28(01)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, sc-28.1_prm_1 }}: {{ insert: param, sc-28.1_prm_2 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields. Organizations using cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "sc-28.2", - "class": "SP800-53-enhancement", - "title": "Off-line Storage", - "params": [ - { - "id": "sc-28.2_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(2)" - }, - { - "name": "sort-id", - "value": "SC-28(02)" - } - ], - "parts": [ - { - "id": "sc-28.2_smt", - "name": "statement", - "prose": "Remove the following information from online storage and store off-line in a secure location: {{ insert: param, sc-28.2_prm_1 }}." - }, - { - "id": "sc-28.2_gdn", - "name": "guidance", - "prose": "Removing organizational information from online storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage." - } - ] - }, - { - "id": "sc-28.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Keys", - "params": [ - { - "id": "sc-28.3_prm_1", - "select": { - "choice": [ - " {{ insert: param, sc-28.3_prm_2 }} ", - "hardware-protected key store" - ] - } - }, - { - "id": "sc-28.3_prm_2", - "depends-on": "sc-28.3_prm_1", - "label": "organization-defined safeguards" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(3)" - }, - { - "name": "sort-id", - "value": "SC-28(03)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.3_smt", - "name": "statement", - "prose": "Provide protected storage for cryptographic keys {{ insert: param, sc-28.3_prm_1 }}." - }, - { - "id": "sc-28.3_gdn", - "name": "guidance", - "prose": "A Trusted Platform Module (TPM) is an example of a hardware-projected data store that can be used to protect cryptographic keys. ." - } - ] - } - ] - }, - { - "id": "sc-29", - "class": "SP800-53", - "title": "Heterogeneity", - "params": [ - { - "id": "sc-29_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-29" - }, - { - "name": "sort-id", - "value": "SC-29" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-27", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-29_smt", - "name": "statement", - "prose": "Employ a diverse set of information technologies for the following system components in the implementation of the system: {{ insert: param, sc-29_prm_1 }}." - }, - { - "id": "sc-29_gdn", - "name": "guidance", - "prose": "Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations." - } - ], - "controls": [ - { - "id": "sc-29.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "params": [ - { - "id": "sc-29.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-29(1)" - }, - { - "name": "sort-id", - "value": "SC-29(01)" - } - ], - "parts": [ - { - "id": "sc-29.1_smt", - "name": "statement", - "prose": "Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed {{ insert: param, sc-29.1_prm_1 }}." - }, - { - "id": "sc-29.1_gdn", - "name": "guidance", - "prose": "While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments." - } - ] - } - ] - }, - { - "id": "sc-30", - "class": "SP800-53", - "title": "Concealment and Misdirection", - "params": [ - { - "id": "sc-30_prm_1", - "label": "organization-defined systems" - }, - { - "id": "sc-30_prm_2", - "label": "organization-defined time-periods" - }, - { - "id": "sc-30_prm_3", - "label": "organization-defined concealment and misdirection techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30" - }, - { - "name": "sort-id", - "value": "SC-30" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30_smt", - "name": "statement", - "prose": "Employ the following concealment and misdirection techniques for {{ insert: param, sc-30_prm_1 }} at {{ insert: param, sc-30_prm_2 }} to confuse and mislead adversaries: {{ insert: param, sc-30_prm_3 }}." - }, - { - "id": "sc-30_gdn", - "name": "guidance", - "prose": "Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods, including randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core missions and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system." - } - ], - "controls": [ - { - "id": "sc-30.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "props": [ - { - "name": "label", - "value": "SC-30(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-30(01)" - } - ], - "links": [ - { - "href": "#sc-29.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-30.2", - "class": "SP800-53-enhancement", - "title": "Randomness", - "params": [ - { - "id": "sc-30.2_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(2)" - }, - { - "name": "sort-id", - "value": "SC-30(02)" - } - ], - "parts": [ - { - "id": "sc-30.2_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-30.2_prm_1 }} to introduce randomness into organizational operations and assets." - }, - { - "id": "sc-30.2_gdn", - "name": "guidance", - "prose": "Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating attacks or continuing the attacks. Misdirection techniques involving randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel." - } - ] - }, - { - "id": "sc-30.3", - "class": "SP800-53-enhancement", - "title": "Change Processing and Storage Locations", - "params": [ - { - "id": "sc-30.3_prm_1", - "label": "organization-defined processing and/or storage" - }, - { - "id": "sc-30.3_prm_2", - "select": { - "choice": [ - " {{ insert: param, sc-30.3_prm_3 }} ", - "at random time intervals" - ] - } - }, - { - "id": "sc-30.3_prm_3", - "depends-on": "sc-30.3_prm_2", - "label": "organization-defined time frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(3)" - }, - { - "name": "sort-id", - "value": "SC-30(03)" - } - ], - "parts": [ - { - "id": "sc-30.3_smt", - "name": "statement", - "prose": "Change the location of {{ insert: param, sc-30.3_prm_1 }} {{ insert: param, sc-30.3_prm_2 }}]." - }, - { - "id": "sc-30.3_gdn", - "name": "guidance", - "prose": "Adversaries target critical missions and business functions and the systems supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries, make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing and/or storage) supporting critical missions and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities by adversaries. The targeting uncertainty increases the work factor of adversaries making compromises or breaches to organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources." - } - ] - }, - { - "id": "sc-30.4", - "class": "SP800-53-enhancement", - "title": "Misleading Information", - "params": [ - { - "id": "sc-30.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(4)" - }, - { - "name": "sort-id", - "value": "SC-30(04)" - } - ], - "links": [ - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30.4_smt", - "name": "statement", - "prose": "Employ realistic, but misleading information in {{ insert: param, sc-30.4_prm_1 }} about its security state or posture." - }, - { - "id": "sc-30.4_gdn", - "name": "guidance", - "prose": "This control enhancement is intended to mislead potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective, attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations." - } - ] - }, - { - "id": "sc-30.5", - "class": "SP800-53-enhancement", - "title": "Concealment of System Components", - "params": [ - { - "id": "sc-30.5_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-30.5_prm_2", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(5)" - }, - { - "name": "sort-id", - "value": "SC-30(05)" - } - ], - "parts": [ - { - "id": "sc-30.5_smt", - "name": "statement", - "prose": "Employ the following techniques to hide or conceal {{ insert: param, sc-30.5_prm_1 }}: {{ insert: param, sc-30.5_prm_2 }}." - }, - { - "id": "sc-30.5_gdn", - "name": "guidance", - "prose": "By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include configuration of routers or the use of encryption or virtualization techniques." - } - ] - } - ] - }, - { - "id": "sc-31", - "class": "SP800-53", - "title": "Covert Channel Analysis", - "params": [ - { - "id": "sc-31_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-31" - }, - { - "name": "sort-id", - "value": "SC-31" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-31_smt", - "name": "statement", - "parts": [ - { - "id": "sc-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_prm_1 }} channels; and" - }, - { - "id": "sc-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Estimate the maximum bandwidth of those channels." - } - ] - }, - { - "id": "sc-31_gdn", - "name": "guidance", - "prose": "Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of systems containing export-controlled information and having connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems." - } - ], - "controls": [ - { - "id": "sc-31.1", - "class": "SP800-53-enhancement", - "title": "Test Covert Channels for Exploitability", - "props": [ - { - "name": "label", - "value": "SC-31(1)" - }, - { - "name": "sort-id", - "value": "SC-31(01)" - } - ], - "parts": [ - { - "id": "sc-31.1_smt", - "name": "statement", - "prose": "Test a subset of the identified covert channels to determine the channels that are exploitable." - }, - { - "id": "sc-31.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-31.2", - "class": "SP800-53-enhancement", - "title": "Maximum Bandwidth", - "params": [ - { - "id": "sc-31.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - }, - { - "id": "sc-31.2_prm_2", - "label": "organization-defined values" - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(2)" - }, - { - "name": "sort-id", - "value": "SC-31(02)" - } - ], - "parts": [ - { - "id": "sc-31.2_smt", - "name": "statement", - "prose": "Reduce the maximum bandwidth for identified covert {{ insert: param, sc-31.2_prm_1 }} channels to {{ insert: param, sc-31.2_prm_2 }}." - }, - { - "id": "sc-31.2_gdn", - "name": "guidance", - "prose": "The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts." - } - ] - }, - { - "id": "sc-31.3", - "class": "SP800-53-enhancement", - "title": "Measure Bandwidth in Operational Environments", - "params": [ - { - "id": "sc-31.3_prm_1", - "label": "organization-defined subset of identified covert channels" - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(3)" - }, - { - "name": "sort-id", - "value": "SC-31(03)" - } - ], - "parts": [ - { - "id": "sc-31.3_smt", - "name": "statement", - "prose": "Measure the bandwidth of {{ insert: param, sc-31.3_prm_1 }} in the operational environment of the system." - }, - { - "id": "sc-31.3_gdn", - "name": "guidance", - "prose": "Measuring covert channel bandwidth in specified operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects missions or business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the specific environments of operation, including laboratories or system development environments." - } - ] - } - ] - }, - { - "id": "sc-32", - "class": "SP800-53", - "title": "System Partitioning", - "params": [ - { - "id": "sc-32_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-32_prm_2", - "select": { - "choice": [ - "physical", - "logical" - ] - } - }, - { - "id": "sc-32_prm_3", - "label": "organization-defined circumstances for physical or logical separation of components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-32" - }, - { - "name": "sort-id", - "value": "SC-32" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-32_smt", - "name": "statement", - "prose": "Partition the system into {{ insert: param, sc-32_prm_1 }} residing in separate {{ insert: param, sc-32_prm_2 }} domains or environments based on {{ insert: param, sc-32_prm_3 }}." - }, - { - "id": "sc-32_gdn", - "name": "guidance", - "prose": "System partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include: physically distinct components in separate racks in the same room; critical components in separate rooms; and geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components." - } - ], - "controls": [ - { - "id": "sc-32.1", - "class": "SP800-53-enhancement", - "title": "Separate Physical Domains for Privileged Functions", - "props": [ - { - "name": "label", - "value": "SC-32(1)" - }, - { - "name": "sort-id", - "value": "SC-32(01)" - } - ], - "parts": [ - { - "id": "sc-32.1_smt", - "name": "statement", - "prose": "Partition privileged functions into separate physical domains." - }, - { - "id": "sc-32.1_gdn", - "name": "guidance", - "prose": "Privileged functions operating in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service." - } - ] - } - ] - }, - { - "id": "sc-33", - "class": "SP800-53", - "title": "Transmission Preparation Integrity", - "props": [ - { - "name": "label", - "value": "SC-33" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-33" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-34", - "class": "SP800-53", - "title": "Non-modifiable Executable Programs", - "params": [ - { - "id": "sc-34_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-34_prm_2", - "label": "organization-defined applications" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34" - }, - { - "name": "sort-id", - "value": "SC-34" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34_smt", - "name": "statement", - "prose": "For {{ insert: param, sc-34_prm_1 }}, load and execute:", - "parts": [ - { - "id": "sc-34_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "The operating environment from hardware-enforced, read-only media; and" - }, - { - "id": "sc-34_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "The following applications from hardware-enforced, read-only media: {{ insert: param, sc-34_prm_2 }}." - } - ] - }, - { - "id": "sc-34_gdn", - "name": "guidance", - "prose": "The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. Use of reprogrammable read-only memory can be accepted as read-only media provided integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system; and there are reliable hardware protections against reprogramming the memory while installed in organizational systems." - } - ], - "controls": [ - { - "id": "sc-34.1", - "class": "SP800-53-enhancement", - "title": "No Writable Storage", - "params": [ - { - "id": "sc-34.1_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(1)" - }, - { - "name": "sort-id", - "value": "SC-34(01)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-34.1_prm_1 }} with no writeable storage that is persistent across component restart or power on/off." - }, - { - "id": "sc-34.1_gdn", - "name": "guidance", - "prose": "Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices." - } - ] - }, - { - "id": "sc-34.2", - "class": "SP800-53-enhancement", - "title": "Integrity Protection on Read-only Media", - "props": [ - { - "name": "label", - "value": "SC-34(2)" - }, - { - "name": "sort-id", - "value": "SC-34(02)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.2_smt", - "name": "statement", - "prose": "Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media." - }, - { - "id": "sc-34.2_gdn", - "name": "guidance", - "prose": "Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response." - } - ] - }, - { - "id": "sc-34.3", - "class": "SP800-53-enhancement", - "title": "Hardware-based Protection", - "params": [ - { - "id": "sc-34.3_prm_1", - "label": "organization-defined system firmware components" - }, - { - "id": "sc-34.3_prm_2", - "label": "organization-defined authorized individuals" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(3)" - }, - { - "name": "sort-id", - "value": "SC-34(03)" - } - ], - "parts": [ - { - "id": "sc-34.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-34.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ hardware-based, write-protect for {{ insert: param, sc-34.3_prm_1 }}; and" - }, - { - "id": "sc-34.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Implement specific procedures for {{ insert: param, sc-34.3_prm_2 }} to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode." - } - ] - }, - { - "id": "sc-34.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-35", - "class": "SP800-53", - "title": "External Malicious Code Identification", - "props": [ - { - "name": "label", - "value": "SC-35" - }, - { - "name": "sort-id", - "value": "SC-35" - } - ], - "links": [ - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-35_smt", - "name": "statement", - "prose": "Include system components that proactively seek to identify network-based malicious code or malicious websites." - }, - { - "id": "sc-35_gdn", - "name": "guidance", - "prose": "External malicious code identification differs from decoys in SC-26 in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation." - } - ] - }, - { - "id": "sc-36", - "class": "SP800-53", - "title": "Distributed Processing and Storage", - "params": [ - { - "id": "sc-36_prm_1", - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_prm_2", - "label": "organization-defined processing and storage components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36" - }, - { - "name": "sort-id", - "value": "SC-36" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36_smt", - "name": "statement", - "prose": "Distribute the following processing and storage components across multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2 }}." - }, - { - "id": "sc-36_gdn", - "name": "guidance", - "prose": "Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage." - } - ], - "controls": [ - { - "id": "sc-36.1", - "class": "SP800-53-enhancement", - "title": "Polling Techniques", - "params": [ - { - "id": "sc-36.1_prm_1", - "label": "organization-defined distributed processing and storage components" - }, - { - "id": "sc-36.1_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(1)" - }, - { - "name": "sort-id", - "value": "SC-36(01)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-36.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: {{ insert: param, sc-36.1_prm_1 }}; and" - }, - { - "id": "sc-36.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions in response to identified faults, errors, or compromises: {{ insert: param, sc-36.1_prm_2 }}." - } - ] - }, - { - "id": "sc-36.1_gdn", - "name": "guidance", - "prose": "Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components. Polling techniques may also be applied to processing and storage components that are not physically distributed." - } - ] - }, - { - "id": "sc-36.2", - "class": "SP800-53-enhancement", - "title": "Synchronization", - "params": [ - { - "id": "sc-36.2_prm_1", - "label": "organization-defined duplicate systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(2)" - }, - { - "name": "sort-id", - "value": "SC-36(02)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.2_smt", - "name": "statement", - "prose": "Synchronize the following duplicate systems or system components: {{ insert: param, sc-36.2_prm_1 }}." - }, - { - "id": "sc-36.2_gdn", - "name": "guidance", - "prose": "SC-36 and CP-9(6) require the duplication of systems or system components in distributed locations. Synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the missions or business functions of organizations, as needed." - } - ] - } - ] - }, - { - "id": "sc-37", - "class": "SP800-53", - "title": "Out-of-band Channels", - "params": [ - { - "id": "sc-37_prm_1", - "label": "organization-defined information, system components, or devices" - }, - { - "id": "sc-37_prm_2", - "label": "organization-defined individuals or systems" - }, - { - "id": "sc-37_prm_3", - "label": "organization-defined out-of-band channels" - } - ], - "props": [ - { - "name": "label", - "value": "SC-37" - }, - { - "name": "sort-id", - "value": "SC-37" - } - ], - "links": [ - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-37_smt", - "name": "statement", - "prose": "Employ the following out-of-band channels for the physical delivery or electronic transmission of {{ insert: param, sc-37_prm_1 }} to {{ insert: param, sc-37_prm_2 }}: {{ insert: param, sc-37_prm_3 }}." - }, - { - "id": "sc-37_gdn", - "name": "guidance", - "prose": "Out-of-band channels include local nonnetwork accesses to systems; network paths physically separate from network paths used for operational traffic; or nonelectronic paths such as the US Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or the transmission of organizational items, including identifiers and authenticators; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates." - } - ], - "controls": [ - { - "id": "sc-37.1", - "class": "SP800-53-enhancement", - "title": "Ensure Delivery and Transmission", - "params": [ - { - "id": "sc-37.1_prm_1", - "label": "organization-defined controls" - }, - { - "id": "sc-37.1_prm_2", - "label": "organization-defined individuals or systems" - }, - { - "id": "sc-37.1_prm_3", - "label": "organization-defined information, system components, or devices" - } - ], - "props": [ - { - "name": "label", - "value": "SC-37(1)" - }, - { - "name": "sort-id", - "value": "SC-37(01)" - } - ], - "parts": [ - { - "id": "sc-37.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-37.1_prm_1 }} to ensure that only {{ insert: param, sc-37.1_prm_2 }} receive the following information, system components, or devices: {{ insert: param, sc-37.1_prm_3 }}." - }, - { - "id": "sc-37.1_gdn", - "name": "guidance", - "prose": "Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include, sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt." - } - ] - } - ] - }, - { - "id": "sc-38", - "class": "SP800-53", - "title": "Operations Security", - "params": [ - { - "id": "sc-38_prm_1", - "label": "organization-defined operations security controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-38" - }, - { - "name": "sort-id", - "value": "SC-38" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-38_smt", - "name": "statement", - "prose": "Employ the following operations security controls to protect key organizational information throughout the system development life cycle: {{ insert: param, sc-38_prm_1 }}." - }, - { - "id": "sc-38_gdn", - "name": "guidance", - "prose": "Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information; analysis of threats; analysis of vulnerabilities; assessment of risks; and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers and potential suppliers of system components and services, and with other non-organizational elements and individuals. Information critical to organizational missions and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details." - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "props": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "SC-39" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each executing system process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies." - } - ], - "controls": [ - { - "id": "sc-39.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-39(1)" - }, - { - "name": "sort-id", - "value": "SC-39(01)" - } - ], - "parts": [ - { - "id": "sc-39.1_smt", - "name": "statement", - "prose": "Implement hardware separation mechanisms to facilitate process isolation." - }, - { - "id": "sc-39.1_gdn", - "name": "guidance", - "prose": "Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management." - } - ] - }, - { - "id": "sc-39.2", - "class": "SP800-53-enhancement", - "title": "Separate Execution Domain Per Thread", - "params": [ - { - "id": "sc-39.2_prm_1", - "label": "organization-defined multi-threaded processing" - } - ], - "props": [ - { - "name": "label", - "value": "SC-39(2)" - }, - { - "name": "sort-id", - "value": "SC-39(02)" - } - ], - "parts": [ - { - "id": "sc-39.2_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each thread in {{ insert: param, sc-39.2_prm_1 }}." - }, - { - "id": "sc-39.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-40", - "class": "SP800-53", - "title": "Wireless Link Protection", - "params": [ - { - "id": "sc-40_prm_1", - "label": "organization-defined wireless links" - }, - { - "id": "sc-40_prm_2", - "label": "organization-defined types of signal parameter attacks or references to sources for such attacks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40" - }, - { - "name": "sort-id", - "value": "SC-40" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40_smt", - "name": "statement", - "prose": "Protect external and internal {{ insert: param, sc-40_prm_1 }} from the following signal parameter attacks: {{ insert: param, sc-40_prm_2 }}." - }, - { - "id": "sc-40_gdn", - "name": "guidance", - "prose": "Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control." - } - ], - "controls": [ - { - "id": "sc-40.1", - "class": "SP800-53-enhancement", - "title": "Electromagnetic Interference", - "params": [ - { - "id": "sc-40.1_prm_1", - "label": "organization-defined level of protection" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(1)" - }, - { - "name": "sort-id", - "value": "SC-40(01)" - } - ], - "links": [ - { - "href": "#pe-21", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms that achieve {{ insert: param, sc-40.1_prm_1 }} against the effects of intentional electromagnetic interference." - }, - { - "id": "sc-40.1_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms for electromagnetic interference protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, or performance." - } - ] - }, - { - "id": "sc-40.2", - "class": "SP800-53-enhancement", - "title": "Reduce Detection Potential", - "params": [ - { - "id": "sc-40.2_prm_1", - "label": "organization-defined level of reduction" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(2)" - }, - { - "name": "sort-id", - "value": "SC-40(02)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.2_prm_1 }}." - }, - { - "id": "sc-40.2_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable." - } - ] - }, - { - "id": "sc-40.3", - "class": "SP800-53-enhancement", - "title": "Imitative or Manipulative Communications Deception", - "props": [ - { - "name": "label", - "value": "SC-40(3)" - }, - { - "name": "sort-id", - "value": "SC-40(03)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "id": "sc-40.3_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone." - } - ] - }, - { - "id": "sc-40.4", - "class": "SP800-53-enhancement", - "title": "Signal Parameter Identification", - "params": [ - { - "id": "sc-40.4_prm_1", - "label": "organization-defined wireless transmitters" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(4)" - }, - { - "name": "sort-id", - "value": "SC-40(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent the identification of {{ insert: param, sc-40.4_prm_1 }} by using the transmitter signal parameters." - }, - { - "id": "sc-40.4_gdn", - "name": "guidance", - "prose": "Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification. Implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required." - } - ] - } - ] - }, - { - "id": "sc-41", - "class": "SP800-53", - "title": "Port and I/O Device Access", - "params": [ - { - "id": "sc-41_prm_1", - "select": { - "choice": [ - "Physically", - "Logically" - ] - } - }, - { - "id": "sc-41_prm_2", - "label": "organization-defined connection ports or input/output devices" - }, - { - "id": "sc-41_prm_3", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-41" - }, - { - "name": "sort-id", - "value": "SC-41" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-41_smt", - "name": "statement", - "prose": "{{ insert: param, sc-41_prm_1 }} disable or remove {{ insert: param, sc-41_prm_2 }} on the following systems or system components: {{ insert: param, sc-41_prm_3 }}." - }, - { - "id": "sc-41_gdn", - "name": "guidance", - "prose": "Connection ports include Universal Serial Bus (USB), Thunderbolt, Firewire (IEEE 1394). Input/output (I/O) devices include Compact Disk (CD) and Digital Versatile Disk (DVD) drives. Disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from systems and the introduction of malicious code into systems from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action." - } - ] - }, - { - "id": "sc-42", - "class": "SP800-53", - "title": "Sensor Capability and Data", - "params": [ - { - "id": "sc-42_prm_1", - "label": "organization-defined exceptions where remote activation of sensors is allowed" - }, - { - "id": "sc-42_prm_2", - "label": "organization-defined class of users" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42" - }, - { - "name": "sort-id", - "value": "SC-42" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42_smt", - "name": "statement", - "parts": [ - { - "id": "sc-42_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions: {{ insert: param, sc-42_prm_1 }}; and" - }, - { - "id": "sc-42_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of sensor use to {{ insert: param, sc-42_prm_2 }}." - } - ] - }, - { - "id": "sc-42_gdn", - "name": "guidance", - "prose": "Sensor capability and data applies to types of systems or system components characterized as mobile devices, for example, smart phones and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual." - } - ], - "controls": [ - { - "id": "sc-42.1", - "class": "SP800-53-enhancement", - "title": "Reporting to Authorized Individuals or Roles", - "params": [ - { - "id": "sc-42.1_prm_1", - "label": "organization-defined sensors" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(1)" - }, - { - "name": "sort-id", - "value": "SC-42(01)" - } - ], - "parts": [ - { - "id": "sc-42.1_smt", - "name": "statement", - "prose": "Verify that the system is configured so that data or information collected by the {{ insert: param, sc-42.1_prm_1 }} is only reported to authorized individuals or roles." - }, - { - "id": "sc-42.1_gdn", - "name": "guidance", - "prose": "In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities." - } - ] - }, - { - "id": "sc-42.2", - "class": "SP800-53-enhancement", - "title": "Authorized Use", - "params": [ - { - "id": "sc-42.2_prm_1", - "label": "organization-defined sensors" - }, - { - "id": "sc-42.2_prm_2", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(2)" - }, - { - "name": "sort-id", - "value": "SC-42(02)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.2_smt", - "name": "statement", - "prose": "Employ the following measures so that data or information collected by {{ insert: param, sc-42.2_prm_1 }} is only used for authorized purposes: {{ insert: param, sc-42.2_prm_2 }}." - }, - { - "id": "sc-42.2_gdn", - "name": "guidance", - "prose": "Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include additional training to ensure that authorized individuals do not abuse their authority; and in the case where sensor data or information is maintained by external parties, contractual restrictions on the use of such data or information." - } - ] - }, - { - "id": "sc-42.3", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Devices", - "params": [ - { - "id": "sc-42.3_prm_1", - "label": "organization-defined environmental sensing capabilities" - }, - { - "id": "sc-42.3_prm_2", - "label": "organization-defined facilities, areas, or systems" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(3)" - }, - { - "name": "sort-id", - "value": "SC-42(03)" - } - ], - "parts": [ - { - "id": "sc-42.3_smt", - "name": "statement", - "prose": "Prohibit the use of devices possessing {{ insert: param, sc-42.3_prm_1 }} in {{ insert: param, sc-42.3_prm_2 }}." - }, - { - "id": "sc-42.3_gdn", - "name": "guidance", - "prose": "For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place." - } - ] - }, - { - "id": "sc-42.4", - "class": "SP800-53-enhancement", - "title": "Notice of Collection", - "params": [ - { - "id": "sc-42.4_prm_1", - "label": "organization-defined sensors" - }, - { - "id": "sc-42.4_prm_2", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(4)" - }, - { - "name": "sort-id", - "value": "SC-42(04)" - } - ], - "links": [ - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.4_smt", - "name": "statement", - "prose": "Employ the following measures to facilitate an individual\u2019s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.4_prm_1 }}: {{ insert: param, sc-42.4_prm_2 }}." - }, - { - "id": "sc-42.4_gdn", - "name": "guidance", - "prose": "Awareness that organizational sensors are collecting data enable individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals aware directly or indirectly through other devices that the sensor is collecting information. Usability and efficacy of the notice are important considerations." - } - ] - }, - { - "id": "sc-42.5", - "class": "SP800-53-enhancement", - "title": "Collection Minimization", - "params": [ - { - "id": "sc-42.5_prm_1", - "label": "organization-defined sensors" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(5)" - }, - { - "name": "sort-id", - "value": "SC-42(05)" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-42.5_prm_1 }} that are configured to minimize the collection of information about individuals that is not needed." - }, - { - "id": "sc-42.5_gdn", - "name": "guidance", - "prose": "Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features such as blurring or pixelating flesh tones." - } - ] - } - ] - }, - { - "id": "sc-43", - "class": "SP800-53", - "title": "Usage Restrictions", - "params": [ - { - "id": "sc-43_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-43" - }, - { - "name": "sort-id", - "value": "SC-43" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-43_smt", - "name": "statement", - "parts": [ - { - "id": "sc-43_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish usage restrictions and implementation guidelines for the following system components: {{ insert: param, sc-43_prm_1 }}; and" - }, - { - "id": "sc-43_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of such components within the system." - } - ] - }, - { - "id": "sc-43_gdn", - "name": "guidance", - "prose": "Usage restrictions apply to all system components including, but not limited to, mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs." - } - ] - }, - { - "id": "sc-44", - "class": "SP800-53", - "title": "Detonation Chambers", - "params": [ - { - "id": "sc-44_prm_1", - "label": "organization-defined system, system component, or location" - } - ], - "props": [ - { - "name": "label", - "value": "SC-44" - }, - { - "name": "sort-id", - "value": "SC-44" - } - ], - "links": [ - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-44_smt", - "name": "statement", - "prose": "Employ a detonation chamber capability within {{ insert: param, sc-44_prm_1 }}." - }, - { - "id": "sc-44_gdn", - "name": "guidance", - "prose": "Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, this control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely." - } - ] - }, - { - "id": "sc-45", - "class": "SP800-53", - "title": "System Time Synchronization", - "props": [ - { - "name": "label", - "value": "SC-45" - }, - { - "name": "sort-id", - "value": "SC-45" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-45_smt", - "name": "statement", - "prose": "Synchronize system clocks within and between systems and system components." - }, - { - "id": "sc-45_gdn", - "name": "guidance", - "prose": "Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes involving certificates and time-of-day restrictions as part of access control. Denial-of-service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support the capabilities." - } - ] - }, - { - "id": "sc-46", - "class": "SP800-53", - "title": "Cross Domain Policy Enforcement", - "params": [ - { - "id": "sc-46_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-46" - }, - { - "name": "sort-id", - "value": "SC-46" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-46_smt", - "name": "statement", - "prose": "Implement a policy enforcement mechanism {{ insert: param, sc-46_prm_1 }} between the physical and/or network interfaces for the connecting security domains." - }, - { - "id": "sc-46_gdn", - "name": "guidance", - "prose": "For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security boundary may be needed." - } - ] - }, - { - "id": "sc-47", - "class": "SP800-53", - "title": "Communications Path Diversity", - "params": [ - { - "id": "sc-47_prm_1", - "label": "organization-defined alternate communications paths" - } - ], - "props": [ - { - "name": "label", - "value": "SC-47" - }, - { - "name": "sort-id", - "value": "SC-47" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-47_smt", - "name": "statement", - "prose": "Establish {{ insert: param, sc-47_prm_1 }} for system operations organizational command and control." - }, - { - "id": "sc-47_gdn", - "name": "guidance", - "prose": "An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. The inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements can impact the organization\u2019s ability to respond in a timely manner to such incidents. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization\u2019s ability to continue to operate and take appropriate actions during an incident." - } - ] - }, - { - "id": "sc-48", - "class": "SP800-53", - "title": "Sensor Relocation", - "params": [ - { - "id": "sc-48_prm_1", - "label": "organization-defined sensors and monitoring capabilities" - }, - { - "id": "sc-48_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sc-48_prm_3", - "label": "organization-defined conditions or circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "SC-48" - }, - { - "name": "sort-id", - "value": "SC-48" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-48_smt", - "name": "statement", - "prose": "Relocate {{ insert: param, sc-48_prm_1 }} to {{ insert: param, sc-48_prm_2 }} under the following conditions or circumstances: {{ insert: param, sc-48_prm_3 }}." - }, - { - "id": "sc-48_gdn", - "name": "guidance", - "prose": "Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary\u2019s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging." - } - ], - "controls": [ - { - "id": "sc-48.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Relocation of Sensors or Monitoring Capabilities", - "params": [ - { - "id": "sc-48.1_prm_1", - "label": "organization-defined sensors and monitoring capabilities" - }, - { - "id": "sc-48.1_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sc-48.1_prm_3", - "label": "organization-defined conditions or circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "SC-48(1)" - }, - { - "name": "sort-id", - "value": "SC-48(01)" - } - ], - "parts": [ - { - "id": "sc-48.1_smt", - "name": "statement", - "prose": "Dynamically relocate {{ insert: param, sc-48.1_prm_1 }} to {{ insert: param, sc-48.1_prm_2 }} under the following conditions or circumstances: {{ insert: param, sc-48.1_prm_3 }}." - }, - { - "id": "sc-48.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-49", - "class": "SP800-53", - "title": "Hardware-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-49_prm_1", - "label": "organization-defined security domains" - } - ], - "props": [ - { - "name": "label", - "value": "SC-49" - }, - { - "name": "sort-id", - "value": "SC-49" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-50", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-49_smt", - "name": "statement", - "prose": "Implement hardware-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-49_prm_1 }}." - }, - { - "id": "sc-49_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement." - } - ] - }, - { - "id": "sc-50", - "class": "SP800-53", - "title": "Software-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-50_prm_1", - "label": "organization-defined security domains" - } - ], - "props": [ - { - "name": "label", - "value": "SC-50" - }, - { - "name": "sort-id", - "value": "SC-50" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-50_smt", - "name": "statement", - "prose": "Implement software-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-50_prm_1 }}." - }, - { - "id": "sc-50_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement (e.g., filtering) for specific types of threats and environments of operation." - } - ] - }, - { - "id": "sc-51", - "class": "SP800-53", - "title": "Operational and Internet-based Technologies", - "params": [ - { - "id": "sc-51_prm_1", - "label": "organization-defined Operational Technology (OT), Internet of Things (IoT), and/or Industrial Internet of Things (IIoT) systems, components, or devices" - }, - { - "id": "sc-51_prm_2", - "label": "organization-defined systems or networks" - }, - { - "id": "sc-51_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-51" - }, - { - "name": "sort-id", - "value": "SC-51" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-51_smt", - "name": "statement", - "parts": [ - { - "id": "sc-51_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement the following controls on {{ insert: param, sc-51_prm_1 }} prior to connecting to {{ insert: param, sc-51_prm_2 }}: {{ insert: param, sc-51_prm_3 }}; or" - }, - { - "id": "sc-51_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Isolate the OT, IoT, and IIoT systems, components, or devices from the designated organizational systems or prohibit network connectivity by the systems, components, or devices." - } - ] - }, - { - "id": "sc-51_gdn", - "name": "guidance", - "prose": "Operational Technology (OT) is the hardware, software, and firmware components of a system used to detect or cause changes in physical processes through the direct control and monitoring of physical devices. Examples include distributed control systems (DCS), supervisory control and data acquisition (SCADA) systems, and programmable logic controllers (PLC). The term operational technology is used to demonstrate the differences between industrial control systems (ICS) that are typically found in manufacturing and power plants and the information technology (IT) systems that typically support traditional data processing applications. The term Internet of Things (IoT) is used to describe the network of devices (e.g., vehicles, medical devices, wearables, and home appliances) that contain the hardware, software, firmware, and actuators which allow the devices to connect, interact, and exchange data and information. IoT extends Internet connectivity beyond workstations, notebook computers, smartphones and tablets to physical devices that do not typically have such connectivity. IoT devices can communicate and interact over the Internet, and they can be remotely monitored and controlled. Finally, the term Industrial Internet of Things (IIoT) is used to describe the sensors, instruments, machines, and other devices that are networked together and use Internet connectivity to enhance industrial and manufacturing business processes and applications. The recent convergence of IT and OT, producing cyber-physical systems, increases the attack surface of organizations significantly and provides attack vectors that are challenging to address. Unfortunately, most of the current generation of IoT, OT and IIOT devices are not designed with security as a foundational property. Connections to and from such devices are generally not encrypted, do not provide the necessary authentication, are not monitored, and are not logged. As a result, these devices pose a significant cyber threat. In some instances, gaps in IoT, OT, and IIoT security capabilities may be addressed by employing intermediary devices that can provide encryption, authentication, security scanning, and logging capabilities, and preclude the devices from being accessible from the Internet. But such mitigating options are not always available. The situation is further complicated because some of the IoT/OT/IIoT devices are needed for essential missions and functions. In those instances, it is necessary that such devices are isolated from the Internet to reduce the susceptibility to hostile cyber-attacks." - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "si-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "si-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "si-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "SI-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, si-1_prm_2 }} system and information integrity policy that:", - "parts": [ - { - "id": "si-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "si-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, si-1_prm_3 }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and" - }, - { - "id": "si-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and information integrity:", - "parts": [ - { - "id": "si-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, si-1_prm_4 }}; and" - }, - { - "id": "si-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, si-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SI family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "params": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "SI-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify, report, and correct system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Install security-relevant software and firmware updates within {{ insert: param, si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate flaw remediation into the organizational configuration management process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified. Organization-defined time-periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw); the organizational mission; or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, for example, when implementing simple malicious code signature updates. Organizations consider in testing decisions whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures." - } - ], - "controls": [ - { - "id": "si-2.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-2(1)" - }, - { - "name": "sort-id", - "value": "SI-02(01)" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.1_smt", - "name": "statement", - "prose": "Centrally manage the flaw remediation process." - }, - { - "id": "si-2.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of flaw remediation processes. It includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation controls." - } - ] - }, - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "params": [ - { - "id": "si-2.2_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "si-2.2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(2)" - }, - { - "name": "sort-id", - "value": "SI-02(02)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-2.2_prm_1 }} {{ insert: param, si-2.2_prm_2 }}." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can track and determine the status of known flaws for system components." - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws and Benchmarks for Corrective Actions", - "params": [ - { - "id": "si-2.3_prm_1", - "label": "organization-defined benchmarks" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(3)" - }, - { - "name": "sort-id", - "value": "SI-02(03)" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measure the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish the following benchmarks for taking corrective actions: {{ insert: param, si-2.3_prm_1 }}." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "Organizations determine the time it takes on average to correct system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited." - } - ] - }, - { - "id": "si-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Patch Management Tools", - "params": [ - { - "id": "si-2.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(4)" - }, - { - "name": "sort-id", - "value": "SI-02(04)" - } - ], - "parts": [ - { - "id": "si-2.4_smt", - "name": "statement", - "prose": "Employ automated patch management tools to facilitate flaw remediation to the following system components: {{ insert: param, si-2.4_prm_1 }}." - }, - { - "id": "si-2.4_gdn", - "name": "guidance", - "prose": "Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations." - } - ] - }, - { - "id": "si-2.5", - "class": "SP800-53-enhancement", - "title": "Automatic Software and Firmware Updates", - "params": [ - { - "id": "si-2.5_prm_1", - "label": "organization-defined security-relevant software and firmware updates" - }, - { - "id": "si-2.5_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(5)" - }, - { - "name": "sort-id", - "value": "SI-02(05)" - } - ], - "parts": [ - { - "id": "si-2.5_smt", - "name": "statement", - "prose": "Install {{ insert: param, si-2.5_prm_1 }} automatically to {{ insert: param, si-2.5_prm_2 }}." - }, - { - "id": "si-2.5_gdn", - "name": "guidance", - "prose": "Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose." - } - ] - }, - { - "id": "si-2.6", - "class": "SP800-53-enhancement", - "title": "Removal of Previous Versions of Software and Firmware", - "params": [ - { - "id": "si-2.6_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(6)" - }, - { - "name": "sort-id", - "value": "SI-02(06)" - } - ], - "parts": [ - { - "id": "si-2.6_smt", - "name": "statement", - "prose": "Remove previous versions of {{ insert: param, si-2.6_prm_1 }} after updated versions have been installed." - }, - { - "id": "si-2.6_gdn", - "name": "guidance", - "prose": "Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may remove previous versions of software and firmware automatically from the system." - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "params": [ - { - "id": "si-3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "signature based", - "non-signature based" - ] - } - }, - { - "id": "si-3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "si-3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "endpoint", - "network entry/exit points" - ] - } - }, - { - "id": "si-3_prm_4", - "select": { - "how-many": "one-or-more", - "choice": [ - "block malicious code", - "quarantine malicious code", - "take {{ insert: param, si-3_prm_5 }} " - ] - } - }, - { - "id": "si-3_prm_5", - "depends-on": "si-3_prm_4", - "label": "organization-defined action" - }, - { - "id": "si-3_prm_6", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "SI-03" - } - ], - "links": [ - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#c972a85c-fa75-4596-be25-a338dc7e4e46", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement {{ insert: param, si-3_prm_1 }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configure malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the system {{ insert: param, si-3_prm_2 }} and real-time scans of files from external sources at {{ insert: param, si-3_prm_3 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, si-3_prm_4 }}; and send alert to {{ insert: param, si-3_prm_6 }} in response to malicious code detection." - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files, or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software and in custom-built software and could include logic bombs, back doors, and other types of attacks that could affect organizational missions and business functions. In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, or actions in response to detection of maliciousness when attempting to open or execute files." - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-3(1)" - }, - { - "name": "sort-id", - "value": "SI-03(01)" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.1_smt", - "name": "statement", - "prose": "Centrally manage malicious code protection mechanisms." - }, - { - "id": "si-3.1_gdn", - "name": "guidance", - "prose": "Central management addresses the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw and malicious code protection controls." - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "props": [ - { - "name": "label", - "value": "SI-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.3", - "class": "SP800-53-enhancement", - "title": "Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-3(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(03)" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.4", - "class": "SP800-53-enhancement", - "title": "Updates Only by Privileged Users", - "props": [ - { - "name": "label", - "value": "SI-3(4)" - }, - { - "name": "sort-id", - "value": "SI-03(04)" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.4_smt", - "name": "statement", - "prose": "Update malicious code protection mechanisms only when directed by a privileged user." - }, - { - "id": "si-3.4_gdn", - "name": "guidance", - "prose": "Protection mechanisms for malicious code are typically categorized as security-related software and as such, are only updated by organizational personnel with appropriate access privileges." - } - ] - }, - { - "id": "si-3.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "SI-3(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(05)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.6", - "class": "SP800-53-enhancement", - "title": "Testing and Verification", - "params": [ - { - "id": "si-3.6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(6)" - }, - { - "name": "sort-id", - "value": "SI-03(06)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.6_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Test malicious code protection mechanisms {{ insert: param, si-3.6_prm_1 }} by introducing known benign code into the system; and" - }, - { - "id": "si-3.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the detection of the code and the associated incident reporting occur." - } - ] - }, - { - "id": "si-3.6_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "props": [ - { - "name": "label", - "value": "SI-3(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(07)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.8", - "class": "SP800-53-enhancement", - "title": "Detect Unauthorized Commands", - "params": [ - { - "id": "si-3.8_prm_1", - "label": "organization-defined system hardware components" - }, - { - "id": "si-3.8_prm_2", - "label": "organization-defined unauthorized operating system commands" - }, - { - "id": "si-3.8_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "issue a warning", - "audit the command execution", - "prevent the execution of the command" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(8)" - }, - { - "name": "sort-id", - "value": "SI-03(08)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.8_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the following unauthorized operating system commands through the kernel application programming interface on {{ insert: param, si-3.8_prm_1 }}: {{ insert: param, si-3.8_prm_2 }}; and" - }, - { - "id": "si-3.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-3.8_prm_3 }}." - } - ] - }, - { - "id": "si-3.8_gdn", - "name": "guidance", - "prose": "Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or combination therein. Organizations may select different actions for different types, classes, or instances of malicious commands." - } - ] - }, - { - "id": "si-3.9", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "si-3.9_prm_1", - "label": "organization-defined mechanisms" - }, - { - "id": "si-3.9_prm_2", - "label": "organization-defined remote commands" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(9)" - }, - { - "name": "sort-id", - "value": "SI-03(09)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.9_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-3.9_prm_1 }} to authenticate {{ insert: param, si-3.9_prm_2 }}." - }, - { - "id": "si-3.9_gdn", - "name": "guidance", - "prose": "This control enhancement protects against unauthorized remote commands and the replay of authorized commands. This capability is important for those remote systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences, including, for example, injury or death, property damage, loss of high-value assets, compromise of classified or controlled unclassified information, or failure of missions or business functions. Authentication safeguards for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be employed, for example, to authenticate remote commands." - } - ] - }, - { - "id": "si-3.10", - "class": "SP800-53-enhancement", - "title": "Malicious Code Analysis", - "params": [ - { - "id": "si-3.10_prm_1", - "label": "organization-defined tools and techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(10)" - }, - { - "name": "sort-id", - "value": "SI-03(10)" - } - ], - "parts": [ - { - "id": "si-3.10_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: {{ insert: param, si-3.10_prm_1 }}; and" - }, - { - "id": "si-3.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes." - } - ] - }, - { - "id": "si-3.10_gdn", - "name": "guidance", - "prose": "The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code." - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "System Monitoring", - "params": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5", - "select": { - "how-many": "one-or-more", - "choice": [ - "as needed", - " {{ insert: param, si-4_prm_6 }} " - ] - } - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "SI-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#02d8ec60-6197-43f8-9f47-18732127963e", - "rel": "reference" - }, - { - "href": "#41e2e2c6-2260-4258-85c8-09db17c43103", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor the system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Invoke internal monitoring capabilities or deploy monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the system to collect organization-determined essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtain legal opinion regarding system monitoring activities; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provide {{ insert: param, si-4_prm_3 }} to {{ insert: param, si-4_prm_4 }} {{ insert: param, si-4_prm_5 }}." - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at system boundaries. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capability is achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. Depending on the security architecture implementation, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries, and at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms supporting critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17. The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., AC-2g, AC-2(7), AC-2(12)(a), AC-17(1), AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "props": [ - { - "name": "label", - "value": "SI-4(1)" - }, - { - "name": "sort-id", - "value": "SI-04(01)" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "Connect and configure individual intrusion detection tools into a system-wide intrusion detection system." - }, - { - "id": "si-4.1_gdn", - "name": "guidance", - "prose": "Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capability. The information contained in one intrusion detection tool can be shared widely across the organization making the system-wide detection capability more robust and powerful." - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools and Mechanisms for Real-time Analysis", - "props": [ - { - "name": "label", - "value": "SI-4(2)" - }, - { - "name": "sort-id", - "value": "SI-04(02)" - } - ], - "links": [ - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to support near real-time analysis of events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or Security Information and Event Management technologies that provide real time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - } - ] - }, - { - "id": "si-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Tool and Mechanism Integration", - "props": [ - { - "name": "label", - "value": "SI-4(3)" - }, - { - "name": "sort-id", - "value": "SI-04(03)" - } - ], - "links": [ - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.3_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms." - }, - { - "id": "si-4.3_gdn", - "name": "guidance", - "prose": "Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling reconfiguration of mechanisms in support of attack isolation and elimination." - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "params": [ - { - "id": "si-4.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(4)" - }, - { - "name": "sort-id", - "value": "SI-04(04)" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "prose": "Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for unusual or unauthorized activities or conditions." - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic include internal traffic that indicates the presence of malicious code within organizational systems or propagating among system components; the unauthorized exporting of information; or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components." - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "params": [ - { - "id": "si-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.5_prm_2", - "label": "organization-defined compromise indicators" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(5)" - }, - { - "name": "sort-id", - "value": "SI-04(05)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-4.5_prm_1 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-4.5_prm_2 }}." - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms; intrusion detection or prevention mechanisms; or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. This control enhancement addresses the security alerts generated by the system. Alternatively, alerts generated by organizations in SI-4(12) focus on information sources external to the system such as suspicious activity reports and reports on potential insider threats." - } - ] - }, - { - "id": "si-4.6", - "class": "SP800-53-enhancement", - "title": "Restrict Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-4(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-04(06)" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.7", - "class": "SP800-53-enhancement", - "title": "Automated Response to Suspicious Events", - "params": [ - { - "id": "si-4.7_prm_1", - "label": "organization-defined incident response personnel (identified by name and/or by role)" - }, - { - "id": "si-4.7_prm_2", - "label": "organization-defined least-disruptive actions to terminate suspicious events" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(7)" - }, - { - "name": "sort-id", - "value": "SI-04(07)" - } - ], - "parts": [ - { - "id": "si-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify {{ insert: param, si-4.7_prm_1 }} of detected suspicious events; and" - }, - { - "id": "si-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions upon detection: {{ insert: param, si-4.7_prm_2 }}." - } - ] - }, - { - "id": "si-4.7_gdn", - "name": "guidance", - "prose": "Least-disruptive actions include initiating requests for human responses." - } - ] - }, - { - "id": "si-4.8", - "class": "SP800-53-enhancement", - "title": "Protection of Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-4(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-04(08)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.9", - "class": "SP800-53-enhancement", - "title": "Testing of Monitoring Tools and Mechanisms", - "params": [ - { - "id": "si-4.9_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(9)" - }, - { - "name": "sort-id", - "value": "SI-04(09)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.9_smt", - "name": "statement", - "prose": "Test intrusion-monitoring tools and mechanisms {{ insert: param, si-4.9_prm_1 }}." - }, - { - "id": "si-4.9_gdn", - "name": "guidance", - "prose": "Testing intrusion-monitoring tools and mechanism is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment." - } - ] - }, - { - "id": "si-4.10", - "class": "SP800-53-enhancement", - "title": "Visibility of Encrypted Communications", - "params": [ - { - "id": "si-4.10_prm_1", - "label": "organization-defined encrypted communications traffic" - }, - { - "id": "si-4.10_prm_2", - "label": "organization-defined system monitoring tools and mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(10)" - }, - { - "name": "sort-id", - "value": "SI-04(10)" - } - ], - "parts": [ - { - "id": "si-4.10_smt", - "name": "statement", - "prose": "Make provisions so that {{ insert: param, si-4.10_prm_1 }} is visible to {{ insert: param, si-4.10_prm_2 }}." - }, - { - "id": "si-4.10_gdn", - "name": "guidance", - "prose": "Organizations balance the need for encrypting communications traffic to protect data confidentiality with the need for having visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types." - } - ] - }, - { - "id": "si-4.11", - "class": "SP800-53-enhancement", - "title": "Analyze Communications Traffic Anomalies", - "params": [ - { - "id": "si-4.11_prm_1", - "label": "organization-defined interior points within the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(11)" - }, - { - "name": "sort-id", - "value": "SI-04(11)" - } - ], - "parts": [ - { - "id": "si-4.11_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-4.11_prm_1 }} to discover anomalies." - }, - { - "id": "si-4.11_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g. IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses." - } - ] - }, - { - "id": "si-4.12", - "class": "SP800-53-enhancement", - "title": "Automated Organization-generated Alerts", - "params": [ - { - "id": "si-4.12_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.12_prm_2", - "label": "organization-defined automated mechanisms" - }, - { - "id": "si-4.12_prm_3", - "label": "organization-defined activities that trigger alerts" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(12)" - }, - { - "name": "sort-id", - "value": "SI-04(12)" - } - ], - "parts": [ - { - "id": "si-4.12_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-4.12_prm_1 }} using {{ insert: param, si-4.12_prm_2 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-4.12_prm_3 }}." - }, - { - "id": "si-4.12_gdn", - "name": "guidance", - "prose": "Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by systems in SI-4(5) that focus on information sources that are internal to the systems such as audit records, the sources of information for this enhancement focus on other entities such as suspicious activity reports and reports on potential insider threats." - } - ] - }, - { - "id": "si-4.13", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Event Patterns", - "props": [ - { - "name": "label", - "value": "SI-4(13)" - }, - { - "name": "sort-id", - "value": "SI-04(13)" - } - ], - "parts": [ - { - "id": "si-4.13_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Analyze communications traffic and event patterns for the system;" - }, - { - "id": "si-4.13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop profiles representing common traffic and event patterns; and" - }, - { - "id": "si-4.13_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use the traffic and event profiles in tuning system-monitoring devices." - } - ] - }, - { - "id": "si-4.13_gdn", - "name": "guidance", - "prose": "Identifying and understanding common communications traffic and event patterns helps organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring." - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "props": [ - { - "name": "label", - "value": "SI-4(14)" - }, - { - "name": "sort-id", - "value": "SI-04(14)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems, but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems." - } - ] - }, - { - "id": "si-4.15", - "class": "SP800-53-enhancement", - "title": "Wireless to Wireline Communications", - "props": [ - { - "name": "label", - "value": "SI-4(15)" - }, - { - "name": "sort-id", - "value": "SI-04(15)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.15_smt", - "name": "statement", - "prose": "Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "id": "si-4.15_gdn", - "name": "guidance", - "prose": "Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network." - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-4(16)" - }, - { - "name": "sort-id", - "value": "SI-04(16)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "Correlate information from monitoring tools and mechanisms employed throughout the system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation, including malicious code protection software, host monitoring, and network monitoring, can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the utility of information generated by those tools and mechanisms can help organizations to develop, operate, and maintain effective monitoring programs. Correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols)." - } - ] - }, - { - "id": "si-4.17", - "class": "SP800-53-enhancement", - "title": "Integrated Situational Awareness", - "props": [ - { - "name": "label", - "value": "SI-4(17)" - }, - { - "name": "sort-id", - "value": "SI-04(17)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.17_smt", - "name": "statement", - "prose": "Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness." - }, - { - "id": "si-4.17_gdn", - "name": "guidance", - "prose": "Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4(16) that correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors." - } - ] - }, - { - "id": "si-4.18", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Covert Exfiltration", - "params": [ - { - "id": "si-4.18_prm_1", - "label": "organization-defined interior points within the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(18)" - }, - { - "name": "sort-id", - "value": "SI-04(18)" - } - ], - "parts": [ - { - "id": "si-4.18_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-4.18_prm_1 }}." - }, - { - "id": "si-4.18_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography." - } - ] - }, - { - "id": "si-4.19", - "class": "SP800-53-enhancement", - "title": "Risk for Individuals", - "params": [ - { - "id": "si-4.19_prm_1", - "label": "organization-defined additional monitoring" - }, - { - "id": "si-4.19_prm_2", - "label": "organization-defined sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(19)" - }, - { - "name": "sort-id", - "value": "SI-04(19)" - } - ], - "parts": [ - { - "id": "si-4.19_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-4.19_prm_1 }} of individuals who have been identified by {{ insert: param, si-4.19_prm_2 }} as posing an increased level of risk." - }, - { - "id": "si-4.19_gdn", - "name": "guidance", - "prose": "Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with management, legal, security, privacy and human resource officials conducting such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "si-4.20", - "class": "SP800-53-enhancement", - "title": "Privileged Users", - "params": [ - { - "id": "si-4.20_prm_1", - "label": "organization-defined additional monitoring" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(20)" - }, - { - "name": "sort-id", - "value": "SI-04(20)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.20_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of privileged users: {{ insert: param, si-4.20_prm_1 }}." - }, - { - "id": "si-4.20_gdn", - "name": "guidance", - "prose": "Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions." - } - ] - }, - { - "id": "si-4.21", - "class": "SP800-53-enhancement", - "title": "Probationary Periods", - "params": [ - { - "id": "si-4.21_prm_1", - "label": "organization-defined probationary period" - }, - { - "id": "si-4.21_prm_2", - "label": "organization-defined additional monitoring" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(21)" - }, - { - "name": "sort-id", - "value": "SI-04(21)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.21_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of individuals during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param, si-4.21_prm_2 }}." - }, - { - "id": "si-4.21_gdn", - "name": "guidance", - "prose": "During probationary periods, employees do not have permanent employment status within organizations. Without such status and having access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior." - } - ] - }, - { - "id": "si-4.22", - "class": "SP800-53-enhancement", - "title": "Unauthorized Network Services", - "params": [ - { - "id": "si-4.22_prm_1", - "label": "organization-defined authorization or approval processes" - }, - { - "id": "si-4.22_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "audit", - "alert {{ insert: param, si-4.22_prm_3 }} " - ] - } - }, - { - "id": "si-4.22_prm_3", - "depends-on": "si-4.22_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(22)" - }, - { - "name": "sort-id", - "value": "SI-04(22)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.22_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect network services that have not been authorized or approved by {{ insert: param, si-4.22_prm_1 }}; and" - }, - { - "id": "si-4.22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-4.22_prm_2 }} when detected." - } - ] - }, - { - "id": "si-4.22_gdn", - "name": "guidance", - "prose": "Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services." - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "params": [ - { - "id": "si-4.23_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-4.23_prm_2", - "label": "organization-defined host-based monitoring mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(23)" - }, - { - "name": "sort-id", - "value": "SI-04(23)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "Implement the following host-based monitoring mechanisms at {{ insert: param, si-4.23_prm_1 }}: {{ insert: param, si-4.23_prm_2 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "System components where host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors." - } - ] - }, - { - "id": "si-4.24", - "class": "SP800-53-enhancement", - "title": "Indicators of Compromise", - "params": [ - { - "id": "si-4.24_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.24_prm_2", - "label": "organization-defined sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(24)" - }, - { - "name": "sort-id", - "value": "SI-04(24)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.24_smt", - "name": "statement", - "prose": "Discover, collect, and distribute to {{ insert: param, si-4.24_prm_1 }}, indicators of compromise provided by {{ insert: param, si-4.24_prm_2 }}." - }, - { - "id": "si-4.24_gdn", - "name": "guidance", - "prose": "Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques and procedures, and other indicators of compromise may be available via government and non-government cooperatives including Forum of Incident Response and Security Teams, United States Computer Emergency Readiness Team, Defense Industrial Base Cybersecurity Information Sharing Program, and CERT Coordination Center." - } - ] - }, - { - "id": "si-4.25", - "class": "SP800-53-enhancement", - "title": "Optimize Network Traffic Analysis", - "props": [ - { - "name": "label", - "value": "SI-4(25)" - }, - { - "name": "sort-id", - "value": "SI-04(25)" - } - ], - "parts": [ - { - "id": "si-4.25_smt", - "name": "statement", - "prose": "Provide visibility into network traffic at external and key internal system boundaries to optimize the effectiveness of monitoring devices." - }, - { - "id": "si-4.25_gdn", - "name": "guidance", - "prose": "Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition), may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing and distributing only relevant traffic to monitoring devices can streamline efficiency and use of the devices and optimize traffic analysis." - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "params": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations" - }, - { - "id": "si-5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-5_prm_3 }} ", - " {{ insert: param, si-5_prm_4 }} ", - " {{ insert: param, si-5_prm_5 }} " - ] - } - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "SI-05" - } - ], - "links": [ - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receive system security alerts, advisories, and directives from {{ insert: param, si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generate internal security alerts, advisories, and directives as deemed necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminate security alerts, advisories, and directives to: {{ insert: param, si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations." - } - ], - "controls": [ - { - "id": "si-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Alerts and Advisories", - "params": [ - { - "id": "si-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-5(1)" - }, - { - "name": "sort-id", - "value": "SI-05(01)" - } - ], - "parts": [ - { - "id": "si-5.1_smt", - "name": "statement", - "prose": "Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-5.1_prm_1 }}." - }, - { - "id": "si-5.1_gdn", - "name": "guidance", - "prose": "The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of information security and privacy risk, including the governance level, mission and business process level, and the information system level." - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security and Privacy Function Verification", - "params": [ - { - "id": "si-6_prm_1", - "label": "organization-defined security and privacy functions" - }, - { - "id": "si-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-6_prm_3 }} ", - "upon command by user with appropriate privilege", - " {{ insert: param, si-6_prm_4 }} " - ] - } - }, - { - "id": "si-6_prm_3", - "depends-on": "si-6_prm_2", - "label": "organization-defined system transitional states" - }, - { - "id": "si-6_prm_4", - "depends-on": "si-6_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "si-6_prm_5", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-6_prm_6", - "select": { - "how-many": "one-or-more", - "choice": [ - "Shut the system down", - "Restart the system", - " {{ insert: param, si-6_prm_7 }} " - ] - } - }, - { - "id": "si-6_prm_7", - "depends-on": "si-6_prm_6", - "label": "organization-defined alternative action(s)" - } - ], - "props": [ - { - "name": "label", - "value": "SI-6" - }, - { - "name": "sort-id", - "value": "SI-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verify the correct operation of {{ insert: param, si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform the verification of the functions specified in SI-6a {{ insert: param, si-6_prm_2 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Notify {{ insert: param, si-6_prm_5 }} of failed security and privacy verification tests; and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "{{ insert: param, si-6_prm_6 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy, or that privacy attributes are applied or used as expected." - } - ], - "controls": [ - { - "id": "si-6.1", - "class": "SP800-53-enhancement", - "title": "Notification of Failed Security Tests", - "props": [ - { - "name": "label", - "value": "SI-6(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-06(01)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-6.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Distributed Testing", - "props": [ - { - "name": "label", - "value": "SI-6(2)" - }, - { - "name": "sort-id", - "value": "SI-06(02)" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.2_smt", - "name": "statement", - "prose": "Implement automated mechanisms to support the management of distributed security and privacy function testing." - }, - { - "id": "si-6.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing." - } - ] - }, - { - "id": "si-6.3", - "class": "SP800-53-enhancement", - "title": "Report Verification Results", - "params": [ - { - "id": "si-6.3_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-6(3)" - }, - { - "name": "sort-id", - "value": "SI-06(03)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.3_smt", - "name": "statement", - "prose": "Report the results of security and privacy function verification to {{ insert: param, si-6.3_prm_1 }}." - }, - { - "id": "si-6.3_gdn", - "name": "guidance", - "prose": "Organizational personnel with potential interest in the results of the verification of security and privacy function include systems security officers, senior agency information security officers, and senior agency officials for privacy." - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "params": [ - { - "id": "si-7_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7" - }, - { - "name": "sort-id", - "value": "SI-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#e9224c9b-4fa5-40b7-bfbb-02bff7712d92", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "parts": [ - { - "id": "si-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }}; and" - }, - { - "id": "si-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}." - } - ] - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes the Basic Input Output System (BIOS). Information includes personally identifiable information and metadata containing security and privacy attributes associated with information. Integrity-checking mechanisms, including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools can automatically monitor the integrity of systems and hosted applications." - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "params": [ - { - "id": "si-7.1_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - "at {{ insert: param, si-7.1_prm_3 }} ", - " {{ insert: param, si-7.1_prm_4 }} " - ] - } - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined transitional states or security-relevant events" - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(1)" - }, - { - "name": "sort-id", - "value": "SI-07(01)" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include the identification of a new threat to which organizational systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort." - } - ] - }, - { - "id": "si-7.2", - "class": "SP800-53-enhancement", - "title": "Automated Notifications of Integrity Violations", - "params": [ - { - "id": "si-7.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(2)" - }, - { - "name": "sort-id", - "value": "SI-07(02)" - } - ], - "parts": [ - { - "id": "si-7.2_smt", - "name": "statement", - "prose": "Employ automated tools that provide notification to {{ insert: param, si-7.2_prm_1 }} upon discovering discrepancies during integrity verification." - }, - { - "id": "si-7.2_gdn", - "name": "guidance", - "prose": "The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel having an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, systems administrators, software developers, systems integrators, and information security officers, and privacy officers." - } - ] - }, - { - "id": "si-7.3", - "class": "SP800-53-enhancement", - "title": "Centrally-managed Integrity Tools", - "props": [ - { - "name": "label", - "value": "SI-7(3)" - }, - { - "name": "sort-id", - "value": "SI-07(03)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.3_smt", - "name": "statement", - "prose": "Employ centrally managed integrity verification tools." - }, - { - "id": "si-7.3_gdn", - "name": "guidance", - "prose": "Centrally-managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions." - } - ] - }, - { - "id": "si-7.4", - "class": "SP800-53-enhancement", - "title": "Tamper-evident Packaging", - "props": [ - { - "name": "label", - "value": "SI-7(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(04)" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-7.5", - "class": "SP800-53-enhancement", - "title": "Automated Response to Integrity Violations", - "params": [ - { - "id": "si-7.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "shut the system down", - "restart the system", - "implement {{ insert: param, si-7.5_prm_2 }} " - ] - } - }, - { - "id": "si-7.5_prm_2", - "depends-on": "si-7.5_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(5)" - }, - { - "name": "sort-id", - "value": "SI-07(05)" - } - ], - "parts": [ - { - "id": "si-7.5_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, si-7.5_prm_1 }} when integrity violations are discovered." - }, - { - "id": "si-7.5_gdn", - "name": "guidance", - "prose": "Organizations may define different integrity checking responses by type of information, by specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur." - } - ] - }, - { - "id": "si-7.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "SI-7(6)" - }, - { - "name": "sort-id", - "value": "SI-07(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.6_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information." - }, - { - "id": "si-7.6_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography; protecting the confidentiality of the key used to generate the hash; and using the public key to verify the hash information. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "params": [ - { - "id": "si-7.7_prm_1", - "label": "organization-defined security-relevant changes to the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(7)" - }, - { - "name": "sort-id", - "value": "SI-07(07)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-7.7_prm_1 }}." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended time-period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or unauthorized elevation of system privileges." - } - ] - }, - { - "id": "si-7.8", - "class": "SP800-53-enhancement", - "title": "Auditing Capability for Significant Events", - "params": [ - { - "id": "si-7.8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "generate an audit record", - "alert current user", - "alert {{ insert: param, si-7.8_prm_2 }} ", - " {{ insert: param, si-7.8_prm_3 }} " - ] - } - }, - { - "id": "si-7.8_prm_2", - "depends-on": "si-7.8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-7.8_prm_3", - "depends-on": "si-7.8_prm_1", - "label": "organization-defined other actions" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(8)" - }, - { - "name": "sort-id", - "value": "SI-07(08)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.8_smt", - "name": "statement", - "prose": "Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: {{ insert: param, si-7.8_prm_1 }}." - }, - { - "id": "si-7.8_gdn", - "name": "guidance", - "prose": "Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations." - } - ] - }, - { - "id": "si-7.9", - "class": "SP800-53-enhancement", - "title": "Verify Boot Process", - "params": [ - { - "id": "si-7.9_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(9)" - }, - { - "name": "sort-id", - "value": "SI-07(09)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.9_smt", - "name": "statement", - "prose": "Verify the integrity of the boot process of the following system components: {{ insert: param, si-7.9_prm_1 }}." - }, - { - "id": "si-7.9_gdn", - "name": "guidance", - "prose": "Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes." - } - ] - }, - { - "id": "si-7.10", - "class": "SP800-53-enhancement", - "title": "Protection of Boot Firmware", - "params": [ - { - "id": "si-7.10_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-7.10_prm_2", - "label": "organization-defined mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(10)" - }, - { - "name": "sort-id", - "value": "SI-07(10)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.10_smt", - "name": "statement", - "prose": "Implement the following mechanisms to protect the integrity of boot firmware in {{ insert: param, si-7.10_prm_1 }}: {{ insert: param, si-7.10_prm_2 }}." - }, - { - "id": "si-7.10_gdn", - "name": "guidance", - "prose": "Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur, for example, if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component; and preventing unauthorized processes from modifying the boot firmware." - } - ] - }, - { - "id": "si-7.11", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "props": [ - { - "name": "label", - "value": "SI-7(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(11)" - } - ], - "links": [ - { - "href": "#cm-7.6", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.12", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "params": [ - { - "id": "si-7.12_prm_1", - "label": "organization-defined user-installed software" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(12)" - }, - { - "name": "sort-id", - "value": "SI-07(12)" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.12_smt", - "name": "statement", - "prose": "Require that the integrity of the following user-installed software be verified prior to execution: {{ insert: param, si-7.12_prm_1 }}." - }, - { - "id": "si-7.12_gdn", - "name": "guidance", - "prose": "Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or executing code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including availability of checksums of adequate trustworthiness from software developers or vendors." - } - ] - }, - { - "id": "si-7.13", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "props": [ - { - "name": "label", - "value": "SI-7(13)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(13)" - } - ], - "links": [ - { - "href": "#cm-7.7", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.14", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "SI-7(14)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(14)" - } - ], - "links": [ - { - "href": "#cm-7.8", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.15", - "class": "SP800-53-enhancement", - "title": "Code Authentication", - "params": [ - { - "id": "si-7.15_prm_1", - "label": "organization-defined software or firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(15)" - }, - { - "name": "sort-id", - "value": "SI-07(15)" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.15_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-7.15_prm_1 }}." - }, - { - "id": "si-7.15_gdn", - "name": "guidance", - "prose": "Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "si-7.16", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "params": [ - { - "id": "si-7.16_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(16)" - }, - { - "name": "sort-id", - "value": "SI-07(16)" - } - ], - "parts": [ - { - "id": "si-7.16_smt", - "name": "statement", - "prose": "Prohibit processes from executing without supervision for more than {{ insert: param, si-7.16_prm_1 }}." - }, - { - "id": "si-7.16_gdn", - "name": "guidance", - "prose": "This control enhancement addresses processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, or manual oversight and response when system process anomalies occur." - } - ] - }, - { - "id": "si-7.17", - "class": "SP800-53-enhancement", - "title": "Runtime Application Self-protection", - "params": [ - { - "id": "si-7.17_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(17)" - }, - { - "name": "sort-id", - "value": "SI-07(17)" - } - ], - "links": [ - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.17_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-7.17_prm_1 }} for application self-protection at runtime." - }, - { - "id": "si-7.17_gdn", - "name": "guidance", - "prose": "This control enhancement employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls, that can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs, and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode." - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "props": [ - { - "name": "label", - "value": "SI-8" - }, - { - "name": "sort-id", - "value": "SI-08" - } - ], - "links": [ - { - "href": "#23b0a203-c020-47dd-b86c-9f8c35ecaa4e", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions." - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-8(1)" - }, - { - "name": "sort-id", - "value": "SI-08(01)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8.1_smt", - "name": "statement", - "prose": "Centrally manage spam protection mechanisms." - }, - { - "id": "si-8.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection controls." - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "params": [ - { - "id": "si-8.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-8(2)" - }, - { - "name": "sort-id", - "value": "SI-08(02)" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "Automatically update spam protection mechanisms {{ insert: param, si-8.2_prm_1 }}." - }, - { - "id": "si-8.2_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capability." - } - ] - }, - { - "id": "si-8.3", - "class": "SP800-53-enhancement", - "title": "Continuous Learning Capability", - "props": [ - { - "name": "label", - "value": "SI-8(3)" - }, - { - "name": "sort-id", - "value": "SI-08(03)" - } - ], - "parts": [ - { - "id": "si-8.3_smt", - "name": "statement", - "prose": "Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic." - }, - { - "id": "si-8.3_gdn", - "name": "guidance", - "prose": "Learning mechanisms include Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic." - } - ] - } - ] - }, - { - "id": "si-9", - "class": "SP800-53", - "title": "Information Input Restrictions", - "props": [ - { - "name": "label", - "value": "SI-9" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-09" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "params": [ - { - "id": "si-10_prm_1", - "label": "organization-defined information inputs to the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "SI-10" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "Check the validity of the following information inputs: {{ insert: param, si-10_prm_1 }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of system inputs, including character set, length, numerical range, and acceptable values, verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of 387, abc, or %K% are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks." - } - ], - "controls": [ - { - "id": "si-10.1", - "class": "SP800-53-enhancement", - "title": "Manual Override Capability", - "params": [ - { - "id": "si-10.1_prm_1", - "label": "organization-defined inputs" - }, - { - "id": "si-10.1_prm_2", - "label": "organization-defined authorized individuals" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(1)" - }, - { - "name": "sort-id", - "value": "SI-10(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "si-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a manual override capability for input validation of the following information inputs: {{ insert: param, si-10.1_prm_1 }};" - }, - { - "id": "si-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Restrict the use of the manual override capability to only {{ insert: param, si-10.1_prm_2 }}; and" - }, - { - "id": "si-10.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Audit the use of the manual override capability." - } - ] - }, - { - "id": "si-10.1_gdn", - "name": "guidance", - "prose": "In certain situations, for example, during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization." - } - ] - }, - { - "id": "si-10.2", - "class": "SP800-53-enhancement", - "title": "Review and Resolve Errors", - "params": [ - { - "id": "si-10.2_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(2)" - }, - { - "name": "sort-id", - "value": "SI-10(02)" - } - ], - "parts": [ - { - "id": "si-10.2_smt", - "name": "statement", - "prose": "Review and resolve input validation errors within {{ insert: param, si-10.2_prm_1 }}." - }, - { - "id": "si-10.2_gdn", - "name": "guidance", - "prose": "Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input." - } - ] - }, - { - "id": "si-10.3", - "class": "SP800-53-enhancement", - "title": "Predictable Behavior", - "props": [ - { - "name": "label", - "value": "SI-10(3)" - }, - { - "name": "sort-id", - "value": "SI-10(03)" - } - ], - "parts": [ - { - "id": "si-10.3_smt", - "name": "statement", - "prose": "Verify that the system behaves in a predictable and documented manner when invalid inputs are received." - }, - { - "id": "si-10.3_gdn", - "name": "guidance", - "prose": "A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior when the system receives invalid inputs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those inputs related to the information inputs defined by the organization in the base control." - } - ] - }, - { - "id": "si-10.4", - "class": "SP800-53-enhancement", - "title": "Timing Interactions", - "props": [ - { - "name": "label", - "value": "SI-10(4)" - }, - { - "name": "sort-id", - "value": "SI-10(04)" - } - ], - "parts": [ - { - "id": "si-10.4_smt", - "name": "statement", - "prose": "Account for timing interactions among system components in determining appropriate responses for invalid inputs." - }, - { - "id": "si-10.4_gdn", - "name": "guidance", - "prose": "In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appears to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input." - } - ] - }, - { - "id": "si-10.5", - "class": "SP800-53-enhancement", - "title": "Restrict Inputs to Trusted Sources and Approved Formats", - "params": [ - { - "id": "si-10.5_prm_1", - "label": "organization-defined trusted sources" - }, - { - "id": "si-10.5_prm_2", - "label": "organization-defined formats" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(5)" - }, - { - "name": "sort-id", - "value": "SI-10(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.5_smt", - "name": "statement", - "prose": "Restrict the use of information inputs to {{ insert: param, si-10.5_prm_1 }} and/or {{ insert: param, si-10.5_prm_2 }}." - }, - { - "id": "si-10.5_gdn", - "name": "guidance", - "prose": "This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity." - } - ] - }, - { - "id": "si-10.6", - "class": "SP800-53-enhancement", - "title": "Injection Prevention", - "props": [ - { - "name": "label", - "value": "SI-10(6)" - }, - { - "name": "sort-id", - "value": "SI-10(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.6_smt", - "name": "statement", - "prose": "Prevent untrusted data injections." - }, - { - "id": "si-10.6_gdn", - "name": "guidance", - "prose": "Untrusted data injections may be prevented using, for example, a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so injections of malicious or unintended data cannot change the semantics of the command being sent. Output escaping uses specified characters to inform the interpreter\u2019s parser whether data is trusted." - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "params": [ - { - "id": "si-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "SI-11" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveal error messages only to {{ insert: param, si-11_prm_1 }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations consider the structure and the content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information." - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Management and Retention", - "props": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "SI-12" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention. If organizations have a records management office, consider coordinating with records management personnel." - } - ], - "controls": [ - { - "id": "si-12.1", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "si-12.1_prm_1", - "label": "organization-defined elements of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(1)" - }, - { - "name": "sort-id", - "value": "SI-12(01)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.1_smt", - "name": "statement", - "prose": "Limit personally identifiable information being processed in the information life cycle to the following elements of PII: {{ insert: param, si-12.1_prm_1 }}." - }, - { - "id": "si-12.1_gdn", - "name": "guidance", - "prose": "Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk." - } - ] - }, - { - "id": "si-12.2", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information in Testing, Training, and Research", - "params": [ - { - "id": "si-12.2_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(2)" - }, - { - "name": "sort-id", - "value": "SI-12(02)" - } - ], - "links": [ - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.2_smt", - "name": "statement", - "prose": "Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: {{ insert: param, si-12.2_prm_1 }}." - }, - { - "id": "si-12.2_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual\u2019s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them." - } - ] - }, - { - "id": "si-12.3", - "class": "SP800-53-enhancement", - "title": "Information Disposal", - "params": [ - { - "id": "si-12.3_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(3)" - }, - { - "name": "sort-id", - "value": "SI-12(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.3_smt", - "name": "statement", - "prose": "Use the following techniques to dispose of, destroy, or erase information following the retention period: {{ insert: param, si-12.3_prm_1 }}." - }, - { - "id": "si-12.3_gdn", - "name": "guidance", - "prose": "Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. Disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information." - } - ] - } - ] - }, - { - "id": "si-13", - "class": "SP800-53", - "title": "Predictable Failure Prevention", - "params": [ - { - "id": "si-13_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-13_prm_2", - "label": "organization-defined MTTF substitution criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13" - }, - { - "name": "sort-id", - "value": "SI-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13_smt", - "name": "statement", - "parts": [ - { - "id": "si-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine mean time to failure (MTTF) for the following system components in specific environments of operation: {{ insert: param, si-13_prm_1 }}; and" - }, - { - "id": "si-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: {{ insert: param, si-13_prm_2 }}." - } - ] - }, - { - "id": "si-13_gdn", - "name": "guidance", - "prose": "While MTTF is primarily a reliability issue, this control addresses potential failures of system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define the criteria for substitution of system components based on the MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability. This includes preservation of system state variables. Standby components remain available at all times except for maintenance issues or recovery failures in progress." - } - ], - "controls": [ - { - "id": "si-13.1", - "class": "SP800-53-enhancement", - "title": "Transferring Component Responsibilities", - "params": [ - { - "id": "si-13.1_prm_1", - "label": "organization-defined fraction or percentage" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(1)" - }, - { - "name": "sort-id", - "value": "SI-13(01)" - } - ], - "parts": [ - { - "id": "si-13.1_smt", - "name": "statement", - "prose": "Take system components out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.1_prm_1 }} of mean time to failure." - }, - { - "id": "si-13.1_gdn", - "name": "guidance", - "prose": "Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business operations. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, premature replacement of system components can result in increased cost of system operations." - } - ] - }, - { - "id": "si-13.2", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "props": [ - { - "name": "label", - "value": "SI-13(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-13(02)" - } - ], - "links": [ - { - "href": "#si-7.16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-13.3", - "class": "SP800-53-enhancement", - "title": "Manual Transfer Between Components", - "params": [ - { - "id": "si-13.3_prm_1", - "label": "organization-defined percentage" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(3)" - }, - { - "name": "sort-id", - "value": "SI-13(03)" - } - ], - "parts": [ - { - "id": "si-13.3_smt", - "name": "statement", - "prose": "Manually initiate transfers between active and standby system components when the use of the active component reaches {{ insert: param, si-13.3_prm_1 }} of the mean time to failure." - }, - { - "id": "si-13.3_gdn", - "name": "guidance", - "prose": "For example, if the MTTF for a system component is one hundred days and the organization-defined percentage is ninety percent, the manual transfer would occur after ninety days." - } - ] - }, - { - "id": "si-13.4", - "class": "SP800-53-enhancement", - "title": "Standby Component Installation and Notification", - "params": [ - { - "id": "si-13.4_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "si-13.4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "Activate {{ insert: param, si-13.4_prm_3 }} ", - "Automatically shut down the system", - " {{ insert: param, si-13.4_prm_4 }} " - ] - } - }, - { - "id": "si-13.4_prm_3", - "depends-on": "si-13.4_prm_2", - "label": "organization-defined alarm" - }, - { - "id": "si-13.4_prm_4", - "depends-on": "si-13.4_prm_2", - "label": "organization-defined action" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(4)" - }, - { - "name": "sort-id", - "value": "SI-13(04)" - } - ], - "parts": [ - { - "id": "si-13.4_smt", - "name": "statement", - "prose": "If system component failures are detected:", - "parts": [ - { - "id": "si-13.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Ensure that the standby components are successfully and transparently installed within {{ insert: param, si-13.4_prm_1 }}; and" - }, - { - "id": "si-13.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-13.4_prm_2 }}." - } - ] - }, - { - "id": "si-13.4_gdn", - "name": "guidance", - "prose": "Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures." - } - ] - }, - { - "id": "si-13.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "params": [ - { - "id": "si-13.5_prm_1", - "select": { - "choice": [ - "real-time", - "near real-time" - ] - } - }, - { - "id": "si-13.5_prm_2", - "label": "organization-defined failover capability" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(5)" - }, - { - "name": "sort-id", - "value": "SI-13(05)" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, si-13.5_prm_1 }} {{ insert: param, si-13.5_prm_2 }} for the system." - }, - { - "id": "si-13.5_gdn", - "name": "guidance", - "prose": "Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time-periods of organizations." - } - ] - } - ] - }, - { - "id": "si-14", - "class": "SP800-53", - "title": "Non-persistence", - "params": [ - { - "id": "si-14_prm_1", - "label": "organization-defined system components and services" - }, - { - "id": "si-14_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "upon end of session of use", - "periodically at {{ insert: param, si-14_prm_3 }} " - ] - } - }, - { - "id": "si-14_prm_3", - "depends-on": "si-14_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14" - }, - { - "name": "sort-id", - "value": "SI-14" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14_smt", - "name": "statement", - "prose": "Implement non-persistent {{ insert: param, si-14_prm_1 }} that are initiated in a known state and terminated {{ insert: param, si-14_prm_2 }}." - }, - { - "id": "si-14_gdn", - "name": "guidance", - "prose": "This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a known state computing resource for a specific time-period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems and the environments in which those systems operate. Since the APT is a high-end, sophisticated threat regarding capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational systems. Non-persistence can be achieved by refreshing system components by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities." - } - ], - "controls": [ - { - "id": "si-14.1", - "class": "SP800-53-enhancement", - "title": "Refresh from Trusted Sources", - "params": [ - { - "id": "si-14.1_prm_1", - "label": "organization-defined trusted sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(1)" - }, - { - "name": "sort-id", - "value": "SI-14(01)" - } - ], - "parts": [ - { - "id": "si-14.1_smt", - "name": "statement", - "prose": "Obtain software and data employed during system component and service refreshes from the following trusted sources: {{ insert: param, si-14.1_prm_1 }}." - }, - { - "id": "si-14.1_gdn", - "name": "guidance", - "prose": "Trusted sources include software and data from write-once, read-only media or from selected off-line secure storage facilities." - } - ] - }, - { - "id": "si-14.2", - "class": "SP800-53-enhancement", - "title": "Non-persistent Information", - "params": [ - { - "id": "si-14.2_prm_1", - "select": { - "choice": [ - "refresh {{ insert: param, si-14.2_prm_2 }} {{ insert: param, si-14.2_prm_3 }} ", - "generate {{ insert: param, si-14.2_prm_4 }} on demand" - ] - } - }, - { - "id": "si-14.2_prm_2", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined information" - }, - { - "id": "si-14.2_prm_3", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "si-14.2_prm_4", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(2)" - }, - { - "name": "sort-id", - "value": "SI-14(02)" - } - ], - "parts": [ - { - "id": "si-14.2_smt", - "name": "statement", - "parts": [ - { - "id": "si-14.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, si-14.2_prm_1 }}; and" - }, - { - "id": "si-14.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Delete information when no longer needed." - } - ] - }, - { - "id": "si-14.2_gdn", - "name": "guidance", - "prose": "Retaining information longer than it is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system." - } - ] - }, - { - "id": "si-14.3", - "class": "SP800-53-enhancement", - "title": "Non-persistent Connectivity", - "params": [ - { - "id": "si-14.3_prm_1", - "select": { - "choice": [ - "completion of a request", - "a period of non-use" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(3)" - }, - { - "name": "sort-id", - "value": "SI-14(03)" - } - ], - "links": [ - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14.3_smt", - "name": "statement", - "prose": "Establish connections to the system on demand and terminate connections after {{ insert: param, si-14.3_prm_1 }}." - }, - { - "id": "si-14.3_gdn", - "name": "guidance", - "prose": "Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems, and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary\u2019s ability to move freely organizational systems." - } - ] - } - ] - }, - { - "id": "si-15", - "class": "SP800-53", - "title": "Information Output Filtering", - "params": [ - { - "id": "si-15_prm_1", - "label": "organization-defined software programs and/or applications" - } - ], - "props": [ - { - "name": "label", - "value": "SI-15" - }, - { - "name": "sort-id", - "value": "SI-15" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-15_smt", - "name": "statement", - "prose": "Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: {{ insert: param, si-15_prm_1 }}." - }, - { - "id": "si-15_gdn", - "name": "guidance", - "prose": "Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered." - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "params": [ - { - "id": "si-16_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "SI-16" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_prm_1 }}." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism." - } - ] - }, - { - "id": "si-17", - "class": "SP800-53", - "title": "Fail-safe Procedures", - "params": [ - { - "id": "si-17_prm_1", - "label": "organization-defined list of failure conditions and associated fail-safe procedures" - } - ], - "props": [ - { - "name": "label", - "value": "SI-17" - }, - { - "name": "sort-id", - "value": "SI-17" - } - ], - "links": [ - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-17_smt", - "name": "statement", - "prose": "Implement the indicated fail-safe procedures when the indicated failures occur: {{ insert: param, si-17_prm_1 }}." - }, - { - "id": "si-17_gdn", - "name": "guidance", - "prose": "Failure conditions include loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. These steps include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel." - } - ] - }, - { - "id": "si-18", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Operations", - "params": [ - { - "id": "si-18_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18" - }, - { - "name": "sort-id", - "value": "SI-18" - } - ], - "links": [ - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18_smt", - "name": "statement", - "parts": [ - { - "id": "si-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle {{ insert: param, si-18_prm_1 }}; and" - }, - { - "id": "si-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correct or delete inaccurate or outdated personally identifiable information." - } - ] - }, - { - "id": "si-18_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes." - } - ], - "controls": [ - { - "id": "si-18.1", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "si-18.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(1)" - }, - { - "name": "sort-id", - "value": "SI-18(01)" - } - ], - "links": [ - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.1_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using {{ insert: param, si-18.1_prm_1 }}." - }, - { - "id": "si-18.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors." - } - ] - }, - { - "id": "si-18.2", - "class": "SP800-53-enhancement", - "title": "Data Tags", - "props": [ - { - "name": "label", - "value": "SI-18(2)" - }, - { - "name": "sort-id", - "value": "SI-18(02)" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.2_smt", - "name": "statement", - "prose": "Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "id": "si-18.2_gdn", - "name": "guidance", - "prose": "Data tagging personally identifiable information includes tags noting processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information." - } - ] - }, - { - "id": "si-18.3", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-18(3)" - }, - { - "name": "sort-id", - "value": "SI-18(03)" - } - ], - "parts": [ - { - "id": "si-18.3_smt", - "name": "statement", - "prose": "Collect personally identifiable information directly from the individual." - }, - { - "id": "si-18.3_gdn", - "name": "guidance", - "prose": "Individuals, or their designated representatives, can be a source of correct personally identifiable information about themselves. Organizations consider contextual factors that may incentivize individuals to provide correct data versus providing false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. Measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information." - } - ] - }, - { - "id": "si-18.4", - "class": "SP800-53-enhancement", - "title": "Individual Requests", - "props": [ - { - "name": "label", - "value": "SI-18(4)" - }, - { - "name": "sort-id", - "value": "SI-18(04)" - } - ], - "links": [ - { - "href": "#pm-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.4_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information upon request by individuals or their designated representatives." - }, - { - "id": "si-18.4_gdn", - "name": "guidance", - "prose": "Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion in determining if personally identifiable information is to be corrected or deleted, based on the scope of requests, the changes sought, the impact of the changes, and applicable laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion." - } - ] - }, - { - "id": "si-18.5", - "class": "SP800-53-enhancement", - "title": "Notice of Collection or Deletion", - "params": [ - { - "id": "si-18.5_prm_1", - "label": "organization-defined recipients of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(5)" - }, - { - "name": "sort-id", - "value": "SI-18(05)" - } - ], - "parts": [ - { - "id": "si-18.5_smt", - "name": "statement", - "prose": "Notify {{ insert: param, si-18.5_prm_1 }} and individuals that the personally identifiable information has been corrected or deleted." - }, - { - "id": "si-18.5_gdn", - "name": "guidance", - "prose": "When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with which the information is associated or their designated representative, are informed of the corrected or deleted information." - } - ] - } - ] - }, - { - "id": "si-19", - "class": "SP800-53", - "title": "De-identification", - "params": [ - { - "id": "si-19_prm_1", - "label": "organization-defined elements of personally identifiable information" - }, - { - "id": "si-19_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-19" - }, - { - "name": "sort-id", - "value": "SI-19" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19_smt", - "name": "statement", - "parts": [ - { - "id": "si-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Remove the following elements of personally identifiable information from datasets: {{ insert: param, si-19_prm_1 }}; and" - }, - { - "id": "si-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Evaluate {{ insert: param, si-19_prm_2 }} for effectiveness of de-identification." - } - ] - }, - { - "id": "si-19_gdn", - "name": "guidance", - "prose": "De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual\u2019s identity, such as name, social security number, date and place of birth, mother\u2019s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection, since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time supports management of this residual risk." - } - ], - "controls": [ - { - "id": "si-19.1", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-19(1)" - }, - { - "name": "sort-id", - "value": "SI-19(01)" - } - ], - "parts": [ - { - "id": "si-19.1_smt", - "name": "statement", - "prose": "De-identify the dataset upon collection by not collecting personally identifiable information." - }, - { - "id": "si-19.1_gdn", - "name": "guidance", - "prose": "If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified upon creation by not collecting the data elements containing the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number." - } - ] - }, - { - "id": "si-19.2", - "class": "SP800-53-enhancement", - "title": "Archiving", - "props": [ - { - "name": "label", - "value": "SI-19(2)" - }, - { - "name": "sort-id", - "value": "SI-19(02)" - } - ], - "parts": [ - { - "id": "si-19.2_smt", - "name": "statement", - "prose": "Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "id": "si-19.2_gdn", - "name": "guidance", - "prose": "Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers." - } - ] - }, - { - "id": "si-19.3", - "class": "SP800-53-enhancement", - "title": "Release", - "props": [ - { - "name": "label", - "value": "SI-19(3)" - }, - { - "name": "sort-id", - "value": "SI-19(03)" - } - ], - "parts": [ - { - "id": "si-19.3_smt", - "name": "statement", - "prose": "Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "id": "si-19.3_gdn", - "name": "guidance", - "prose": "Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques." - } - ] - }, - { - "id": "si-19.4", - "class": "SP800-53-enhancement", - "title": "Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers", - "props": [ - { - "name": "label", - "value": "SI-19(4)" - }, - { - "name": "sort-id", - "value": "SI-19(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.4_smt", - "name": "statement", - "prose": "Remove, mask, encrypt, hash, or replace direct identifiers in a dataset." - }, - { - "id": "si-19.4_gdn", - "name": "guidance", - "prose": "There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, for example, XXXXXX or 999999. Identifiers can be encrypted or hashed, so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides for a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming \u201cGeorge Washington\u201d to \u201cPATIENT,\u201d or replaced with a surrogate value, for example, transforming \u201cGeorge Washington\u201d to \u201cAbraham Polk.\u201d" - } - ] - }, - { - "id": "si-19.5", - "class": "SP800-53-enhancement", - "title": "Statistical Disclosure Control", - "props": [ - { - "name": "label", - "value": "SI-19(5)" - }, - { - "name": "sort-id", - "value": "SI-19(05)" - } - ], - "parts": [ - { - "id": "si-19.5_smt", - "name": "statement", - "prose": "Manipulate numerical data, contingency tables, and statistical findings so that no person or organization is identifiable in the results of the analysis." - }, - { - "id": "si-19.5_gdn", - "name": "guidance", - "prose": "Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school publishes a monthly table with the number of minority students, and in January the school reports that it has 10-19 such students, but in March it reports that it has 20-29 students, then it can be inferred that the student who enrolled in February was a minority." - } - ] - }, - { - "id": "si-19.6", - "class": "SP800-53-enhancement", - "title": "Differential Privacy", - "props": [ - { - "name": "label", - "value": "SI-19(6)" - }, - { - "name": "sort-id", - "value": "SI-19(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.6_smt", - "name": "statement", - "prose": "Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "id": "si-19.6_gdn", - "name": "guidance", - "prose": "The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small random values to the results of mathematical operations in dataset analysis." - } - ] - }, - { - "id": "si-19.7", - "class": "SP800-53-enhancement", - "title": "Validated Software", - "props": [ - { - "name": "label", - "value": "SI-19(7)" - }, - { - "name": "sort-id", - "value": "SI-19(07)" - } - ], - "parts": [ - { - "id": "si-19.7_smt", - "name": "statement", - "prose": "Perform de-identification using validated algorithms and software that is validated to implement the algorithms." - }, - { - "id": "si-19.7_gdn", - "name": "guidance", - "prose": "Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that are re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or may implement a different algorithm. Software may de-identify one type of data, for example, integers, but not another type of data, for example, floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated." - } - ] - }, - { - "id": "si-19.8", - "class": "SP800-53-enhancement", - "title": "Motivated Intruder", - "props": [ - { - "name": "label", - "value": "SI-19(8)" - }, - { - "name": "sort-id", - "value": "SI-19(08)" - } - ], - "parts": [ - { - "id": "si-19.8_smt", - "name": "statement", - "prose": "Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "id": "si-19.8_gdn", - "name": "guidance", - "prose": "A motivated intruder test is a test in which a person or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders have at their disposal to conduct the tests. A motivated intruder test can determine if de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient." - } - ] - } - ] - }, - { - "id": "si-20", - "class": "SP800-53", - "title": "Tainting", - "params": [ - { - "id": "si-20_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-20" - }, - { - "name": "sort-id", - "value": "SI-20" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-20_smt", - "name": "statement", - "prose": "Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: {{ insert: param, si-20_prm_1 }}." - }, - { - "id": "si-20_gdn", - "name": "guidance", - "prose": "Many cyber-attacks target organizational information (or sensitive information the organization holds on behalf of other entities (e.g., personally identifiable information) and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity so any packets it includes potentially contain malicious code and that the unauthorized entity potentially has obtained a copy of the database. A less passive tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open source analysis. And finally, an active tainting approach can include embedding software in the data that is able to \u201ccall home\u201d alerting the organization to its \u201ccapture\u201d and possibly its location and the path by which it was exfiltrated or removed." - } - ] - }, - { - "id": "si-21", - "class": "SP800-53", - "title": "Information Refresh", - "params": [ - { - "id": "si-21_prm_1", - "label": "organization-defined information" - }, - { - "id": "si-21_prm_2", - "label": "organization-defined frequencies" - } - ], - "props": [ - { - "name": "label", - "value": "SI-21" - }, - { - "name": "sort-id", - "value": "SI-21" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-21_smt", - "name": "statement", - "prose": "Refresh {{ insert: param, si-21_prm_1 }} at {{ insert: param, si-21_prm_2 }} or generate the information on demand and delete the information when no longer needed." - }, - { - "id": "si-21_gdn", - "name": "guidance", - "prose": "Retaining critical or sensitive information (e.g., classified information or controlled unclassified information) for longer than it is needed makes it an increasing valuable and enticing target for adversaries. Keeping such information available for the minimum period of time needed for mission accomplishment reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information." - } - ] - }, - { - "id": "si-22", - "class": "SP800-53", - "title": "Information Diversity", - "params": [ - { - "id": "si-22_prm_1", - "label": "organization-defined essential functions and services" - }, - { - "id": "si-22_prm_2", - "label": "organization-defined alternative information sources" - }, - { - "id": "si-22_prm_3", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-22" - }, - { - "name": "sort-id", - "value": "SI-22" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-22_smt", - "name": "statement", - "parts": [ - { - "id": "si-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the following alternative sources of information for {{ insert: param, si-22_prm_1 }}: {{ insert: param, si-22_prm_2 }}; and" - }, - { - "id": "si-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Use an alternative information source for the execution of essential functions or services on {{ insert: param, si-22_prm_3 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "id": "si-22_gdn", - "name": "guidance", - "prose": "Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner." - } - ] - }, - { - "id": "si-23", - "class": "SP800-53", - "title": "Information Fragmentation", - "params": [ - { - "id": "si-23_prm_1", - "label": "organization-defined circumstances" - }, - { - "id": "si-23_prm_2", - "label": "organization-defined information" - }, - { - "id": "si-23_prm_3", - "label": "Assignment organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-23" - }, - { - "name": "sort-id", - "value": "SI-23" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-23_smt", - "name": "statement", - "prose": "Based on {{ insert: param, si-23_prm_1 }}:", - "parts": [ - { - "id": "si-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Fragment the following information: {{ insert: param, si-23_prm_2 }}; and" - }, - { - "id": "si-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the fragmented information across the following systems or system components: {{ insert: param, si-23_prm_3 }}." - } - ] - }, - { - "id": "si-23_gdn", - "name": "guidance", - "prose": "One major objective of the advanced persistent threat is to exfiltrate sensitive and valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider taking the information and dividing it into disparate elements and then distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary\u2019s work factor to capture and exfiltrate the desired information and in so doing, increase the probability of detection. The fragmentation of information also impacts the organization\u2019s ability to access the information in a timely manner. The extent of the fragmentation would likely be dictated by the sensitivity (and value) of the information, threat intelligence information received, and if data tainting is used (i.e., data tainting derived information about exfiltration of some information could result in the fragmentation of the remaining information)." - } - ] - } - ] - }, - { - "id": "sr", - "class": "family", - "title": "Supply Chain Risk Management", - "controls": [ - { - "id": "sr-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sr-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sr-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sr-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sr-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sr-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-1" - }, - { - "name": "sort-id", - "value": "SR-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-1_smt", - "name": "statement", - "parts": [ - { - "id": "sr-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}:", - "parts": [ - { - "id": "sr-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sr-1_prm_2 }} supply chain risk management policy that:", - "parts": [ - { - "id": "sr-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sr-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sr-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;" - } - ] - }, - { - "id": "sr-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sr-1_prm_3 }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and" - }, - { - "id": "sr-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current supply chain risk management:", - "parts": [ - { - "id": "sr-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sr-1_prm_4 }}; and" - }, - { - "id": "sr-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sr-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sr-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sr-2", - "class": "SP800-53", - "title": "Supply Chain Risk Management Plan", - "params": [ - { - "id": "sr-2_prm_1", - "label": "organization-defined systems, system components, or system services" - }, - { - "id": "sr-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-2" - }, - { - "name": "sort-id", - "value": "SR-02" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-2_smt", - "name": "statement", - "parts": [ - { - "id": "sr-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations, and disposal of the following systems, system components or system services: {{ insert: param, sr-2_prm_1 }};" - }, - { - "id": "sr-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management plan consistently across the organization; and" - }, - { - "id": "sr-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management plan {{ insert: param, sr-2_prm_2 }} or as required, to address threat, organizational or environmental changes." - } - ] - }, - { - "id": "sr-2_gdn", - "name": "guidance", - "prose": "The growing dependence on products, systems, and services from external providers, along with the nature of the relationships with those providers, present an increasing level of risk to an organization. Specific threat actions that may increase risk include the insertion or use of counterfeits, unauthorized production, tampering, theft, insertion of malicious software and hardware, as well as poor manufacturing and development practices in the supply chain that can create security or privacy risks. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking requiring a coordinated effort across an organization building trust relationships and communicating with both internal and external stakeholders. Supply chain risk management (SCRM) activities involve identifying and assessing risks, determining appropriate mitigating actions, developing SCRM plans to document selected mitigating actions, and monitoring performance against plans. Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a system is fit for purpose; and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations to focus their resources on the most critical missions and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see SA-8)." - } - ], - "controls": [ - { - "id": "sr-2.1", - "class": "SP800-53-enhancement", - "title": "Establish Scrm Team", - "params": [ - { - "id": "sr-2.1_prm_1", - "label": "organization-defined personnel, roles, and responsibilities" - }, - { - "id": "sr-2.1_prm_2", - "label": "organization-defined supply chain risk management activities" - } - ], - "props": [ - { - "name": "label", - "value": "SR-2(1)" - }, - { - "name": "sort-id", - "value": "SR-02(01)" - } - ], - "parts": [ - { - "id": "sr-2.1_smt", - "name": "statement", - "prose": "Establish a supply chain risk management team consisting of {{ insert: param, sr-2.1_prm_1 }} to lead and support the following SCRM activities: {{ insert: param, sr-2.1_prm_2 }}." - }, - { - "id": "sr-2.1_gdn", - "name": "guidance", - "prose": "To implement supply chain risk management plans, organizations establish a coordinated team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, and other relevant functions. Members of the SCRM team are involved in the various aspects of the SDLC and collectively, have an awareness of, and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or can be included as part of a general organizational risk management team." - } - ] - } - ] - }, - { - "id": "sr-3", - "class": "SP800-53", - "title": "Supply Chain Controls and Processes", - "params": [ - { - "id": "sr-3_prm_1", - "label": "organization-defined system or system component" - }, - { - "id": "sr-3_prm_2", - "label": "organization-defined supply chain personnel" - }, - { - "id": "sr-3_prm_3", - "label": "organization-defined supply chain controls" - }, - { - "id": "sr-3_prm_4", - "select": { - "choice": [ - "security and privacy plans", - "supply chain risk management plan", - " {{ insert: param, sr-3_prm_5 }} " - ] - } - }, - { - "id": "sr-3_prm_5", - "depends-on": "sr-3_prm_4", - "label": "organization-defined document" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3" - }, - { - "name": "sort-id", - "value": "SR-03" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3_smt", - "name": "statement", - "parts": [ - { - "id": "sr-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-3_prm_1 }} in coordination with {{ insert: param, sr-3_prm_2 }};" - }, - { - "id": "sr-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following supply chain controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, sr-3_prm_3 }}; and" - }, - { - "id": "sr-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document the selected and implemented supply chain processes and controls in {{ insert: param, sr-3_prm_4 }}." - } - ] - }, - { - "id": "sr-3_gdn", - "name": "guidance", - "prose": "Supply chain elements include organizations, entities, or tools employed for the development, acquisition, delivery, maintenance, sustainment, or disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain." - } - ], - "controls": [ - { - "id": "sr-3.1", - "class": "SP800-53-enhancement", - "title": "Diverse Supply Base", - "params": [ - { - "id": "sr-3.1_prm_1", - "label": "organization-defined system components and services" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3(1)" - }, - { - "name": "sort-id", - "value": "SR-03(01)" - } - ], - "parts": [ - { - "id": "sr-3.1_smt", - "name": "statement", - "prose": "Employ a diverse set of sources for the following system components and services: {{ insert: param, sr-3.1_prm_1 }}." - }, - { - "id": "sr-3.1_gdn", - "name": "guidance", - "prose": "Diversifying the supply of system, system components and services can reduce the probability that adversaries will successfully identify and target the supply chain, and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable; employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diversity of materials and components." - } - ] - }, - { - "id": "sr-3.2", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "params": [ - { - "id": "sr-3.2_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3(2)" - }, - { - "name": "sort-id", - "value": "SR-03(02)" - } - ], - "parts": [ - { - "id": "sr-3.2_smt", - "name": "statement", - "prose": "Employ the following supply chain controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: {{ insert: param, sr-3.2_prm_1 }}." - }, - { - "id": "sr-3.2_gdn", - "name": "guidance", - "prose": "Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations; employing approved vendor lists with standing reputations in industry; following pre-agreed maintenance schedules and update and patch delivery mechanisms; maintaining a contingency plan in case of a supply chain event, and using procurement carve outs that provide exclusions to commitments or obligations, using diverse delivery routes; and minimizing the time between purchase decisions and delivery." - } - ] - } - ] - }, - { - "id": "sr-4", - "class": "SP800-53", - "title": "Provenance", - "params": [ - { - "id": "sr-4_prm_1", - "label": "organization-defined systems, system components, and associated data" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4" - }, - { - "name": "sort-id", - "value": "SR-04" - } - ], - "links": [ - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4_smt", - "name": "statement", - "prose": "Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: {{ insert: param, sr-4_prm_1 }}." - }, - { - "id": "sr-4_gdn", - "name": "guidance", - "prose": "Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see SR-1) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records." - } - ], - "controls": [ - { - "id": "sr-4.1", - "class": "SP800-53-enhancement", - "title": "Identity", - "params": [ - { - "id": "sr-4.1_prm_1", - "label": "organization-defined supply chain elements, processes, and personnel associated with organization-defined systems and critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(1)" - }, - { - "name": "sort-id", - "value": "SR-04(01)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.1_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: {{ insert: param, sr-4.1_prm_1 }}." - }, - { - "id": "sr-4.1_gdn", - "name": "guidance", - "prose": "Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk, and ultimately reduce the susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the development, acquisition, delivery, maintenance and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure development, delivery, maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event." - } - ] - }, - { - "id": "sr-4.2", - "class": "SP800-53-enhancement", - "title": "Track and Trace", - "params": [ - { - "id": "sr-4.2_prm_1", - "label": "organization-defined systems and critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(2)" - }, - { - "name": "sort-id", - "value": "SR-04(02)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.2_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: {{ insert: param, sr-4.2_prm_1 }}." - }, - { - "id": "sr-4.2_gdn", - "name": "guidance", - "prose": "Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event." - } - ] - }, - { - "id": "sr-4.3", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "params": [ - { - "id": "sr-4.3_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(3)" - }, - { - "name": "sort-id", - "value": "SR-04(03)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.3_smt", - "name": "statement", - "prose": "Employ the following controls to validate that the system or system component received is genuine and has not been altered: {{ insert: param, sr-4.3_prm_1 }}." - }, - { - "id": "sr-4.3_gdn", - "name": "guidance", - "prose": "For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; cryptographic hash verifications or digital signatures; and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, including inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries." - } - ] - } - ] - }, - { - "id": "sr-5", - "class": "SP800-53", - "title": "Acquisition Strategies, Tools, and Methods", - "params": [ - { - "id": "sr-5_prm_1", - "label": "organization-defined acquisition strategies, contract tools, and procurement methods" - } - ], - "props": [ - { - "name": "label", - "value": "SR-5" - }, - { - "name": "sort-id", - "value": "SR-05" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5_smt", - "name": "statement", - "prose": "Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, sr-5_prm_1 }}." - }, - { - "id": "sr-5_gdn", - "name": "guidance", - "prose": "The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component; using blind or filtered buys; requiring tamper-evident packaging; or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls; promote transparency into their processes and security and privacy practices; provide contract language that addresses the prohibition of tainted or counterfeit components; and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements." - } - ], - "controls": [ - { - "id": "sr-5.1", - "class": "SP800-53-enhancement", - "title": "Adequate Supply", - "params": [ - { - "id": "sr-5.1_prm_1", - "label": "organization-defined critical system components" - }, - { - "id": "sr-5.1_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-5(1)" - }, - { - "name": "sort-id", - "value": "SR-05(01)" - } - ], - "parts": [ - { - "id": "sr-5.1_smt", - "name": "statement", - "prose": "Employ the following controls to ensure an adequate supply of {{ insert: param, sr-5.1_prm_1 }}: {{ insert: param, sr-5.1_prm_2 }}." - }, - { - "id": "sr-5.1_gdn", - "name": "guidance", - "prose": "Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components that may be used, if necessary." - } - ] - }, - { - "id": "sr-5.2", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection, Acceptance, Modification, or Update", - "props": [ - { - "name": "label", - "value": "SR-5(2)" - }, - { - "name": "sort-id", - "value": "SR-05(02)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.2_smt", - "name": "statement", - "prose": "Assess the system, system component, or system service prior to selection, acceptance, modification, or update." - }, - { - "id": "sr-5.2_gdn", - "name": "guidance", - "prose": "Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see SR-6(1)). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and to inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements." - } - ] - } - ] - }, - { - "id": "sr-6", - "class": "SP800-53", - "title": "Supplier Reviews", - "params": [ - { - "id": "sr-6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-6" - }, - { - "name": "sort-id", - "value": "SR-06" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6_smt", - "name": "statement", - "prose": "Review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-6_prm_1 }}." - }, - { - "id": "sr-6_gdn", - "name": "guidance", - "prose": "A review of supplier risk includes security processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess any subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts." - } - ], - "controls": [ - { - "id": "sr-6.1", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analysis", - "params": [ - { - "id": "sr-6.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "organizational analysis", - "independent third-party analysis", - "organizational penetration testing", - "independent third-party penetration testing" - ] - } - }, - { - "id": "sr-6.1_prm_2", - "label": "organization-defined supply chain elements, processes, and actors" - } - ], - "props": [ - { - "name": "label", - "value": "SR-6(1)" - }, - { - "name": "sort-id", - "value": "SR-06(01)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-6.1_prm_1 }} of the following supply chain elements, processes, and actors associated with the system, system component, or system service: {{ insert: param, sr-6.1_prm_2 }}." - }, - { - "id": "sr-6.1_gdn", - "name": "guidance", - "prose": "Penetration testing and analysis addresses the analysis or testing of the supply chain. Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools use for the development, acquisition, deliver, maintenance and disposal of systems, system components, or system services. Supply chain processes include personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions." - } - ] - } - ] - }, - { - "id": "sr-7", - "class": "SP800-53", - "title": "Supply Chain Operations Security", - "params": [ - { - "id": "sr-7_prm_1", - "label": "organization-defined Operations Security (OPSEC) controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-7" - }, - { - "name": "sort-id", - "value": "SR-07" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-7_smt", - "name": "statement", - "prose": "Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: {{ insert: param, sr-7_prm_1 }}." - }, - { - "id": "sr-7_gdn", - "name": "guidance", - "prose": "Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information; analyzing friendly actions related to operations and other activities to identify those actions that can be observed by potential adversaries; determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and thus risk to an acceptable level; and finally, considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services." - } - ] - }, - { - "id": "sr-8", - "class": "SP800-53", - "title": "Notification Agreements", - "params": [ - { - "id": "sr-8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "notification of supply chain compromises", - "results of assessments or audits", - " {{ insert: param, sr-8_prm_2 }} " - ] - } - }, - { - "id": "sr-8_prm_2", - "depends-on": "sr-8_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SR-8" - }, - { - "name": "sort-id", - "value": "SR-08" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-8_smt", - "name": "statement", - "prose": "Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, sr-8_prm_1 }}." - }, - { - "id": "sr-8_gdn", - "name": "guidance", - "prose": "The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes." - } - ] - }, - { - "id": "sr-9", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SR-9" - }, - { - "name": "sort-id", - "value": "SR-09" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9_smt", - "name": "statement", - "prose": "Implement a tamper protection program for the system, system component, or system service." - }, - { - "id": "sr-9_gdn", - "name": "guidance", - "prose": "Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use." - } - ], - "controls": [ - { - "id": "sr-9.1", - "class": "SP800-53-enhancement", - "title": "Multiple Stages of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SR-9(1)" - }, - { - "name": "sort-id", - "value": "SR-09(01)" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9.1_smt", - "name": "statement", - "prose": "Employ anti-tamper technologies, tools, and techniques during multiple stages in the system development life cycle, including design, development, integration, operations, and maintenance." - }, - { - "id": "sr-9.1_gdn", - "name": "guidance", - "prose": "Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage." - } - ] - } - ] - }, - { - "id": "sr-10", - "class": "SP800-53", - "title": "Inspection of Systems or Components", - "params": [ - { - "id": "sr-10_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "at random", - "at {{ insert: param, sr-10_prm_2 }}, upon {{ insert: param, sr-10_prm_3 }} " - ] - } - }, - { - "id": "sr-10_prm_2", - "depends-on": "sr-10_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sr-10_prm_3", - "depends-on": "sr-10_prm_1", - "label": "organization-defined indications of need for inspection" - }, - { - "id": "sr-10_prm_4", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-10" - }, - { - "name": "sort-id", - "value": "SR-10" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-10_smt", - "name": "statement", - "prose": "Inspect the following systems or system components {{ insert: param, sr-10_prm_1 }} to detect tampering: {{ insert: param, sr-10_prm_4 }}." - }, - { - "id": "sr-10_gdn", - "name": "guidance", - "prose": "Inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components taken out of organization-controlled areas. Indications of a need for inspection include when individuals return from travel to high-risk locations." - } - ] - }, - { - "id": "sr-11", - "class": "SP800-53", - "title": "Component Authenticity", - "params": [ - { - "id": "sr-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "source of counterfeit component", - " {{ insert: param, sr-11_prm_2 }} ", - " {{ insert: param, sr-11_prm_3 }} " - ] - } - }, - { - "id": "sr-11_prm_2", - "depends-on": "sr-11_prm_1", - "label": "organization-defined external reporting organizations" - }, - { - "id": "sr-11_prm_3", - "depends-on": "sr-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11" - }, - { - "name": "sort-id", - "value": "SR-11" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11_smt", - "name": "statement", - "parts": [ - { - "id": "sr-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and" - }, - { - "id": "sr-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report counterfeit system components to {{ insert: param, sr-11_prm_1 }}." - } - ] - }, - { - "id": "sr-11_gdn", - "name": "guidance", - "prose": "Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA." - } - ], - "controls": [ - { - "id": "sr-11.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "params": [ - { - "id": "sr-11.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(1)" - }, - { - "name": "sort-id", - "value": "SR-11(01)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.1_smt", - "name": "statement", - "prose": "Train {{ insert: param, sr-11.1_prm_1 }} to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "id": "sr-11.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sr-11.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "params": [ - { - "id": "sr-11.2_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(2)" - }, - { - "name": "sort-id", - "value": "SR-11(02)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.2_smt", - "name": "statement", - "prose": "Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, sr-11.2_prm_1 }}." - }, - { - "id": "sr-11.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sr-11.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "params": [ - { - "id": "sr-11.3_prm_1", - "label": "organization-defined techniques and methods" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(3)" - }, - { - "name": "sort-id", - "value": "SR-11(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.3_smt", - "name": "statement", - "prose": "Dispose of system components using the following techniques and methods: {{ insert: param, sr-11.3_prm_1 }}." - }, - { - "id": "sr-11.3_gdn", - "name": "guidance", - "prose": "Proper disposal of system components helps to prevent such components from entering the gray market." - } - ] - }, - { - "id": "sr-11.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "params": [ - { - "id": "sr-11.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(4)" - }, - { - "name": "sort-id", - "value": "SR-11(04)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.4_smt", - "name": "statement", - "prose": "Scan for counterfeit system components {{ insert: param, sr-11.4_prm_1 }}." - }, - { - "id": "sr-11.4_gdn", - "name": "guidance", - "prose": "The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application)." - 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"text": "E-Government Act [includes FISMA] (P.L. 107-347), December 2002." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/107/plaws/publ347/PLAW-107publ347.pdf" - } - ] - }, - { - "uuid": "43facb7b-0afb-480f-8191-34790d5b444b", - "title": "[EVIDACT]", - "citation": { - "text": "Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), January 2019." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/115/plaws/publ435/PLAW-115publ435.pdf" - } - ] - }, - { - "uuid": "52a62e17-382f-4429-8820-0211c884ad41", - "title": "[FOIA96]", - "citation": { - "text": "Freedom of Information Act (FOIA), 5 U.S.C. \u00a7 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf" - } - ] - }, - { - "uuid": "7e0c8220-9cd1-442e-8c20-bb2f24324301", - "title": "[USA PATRIOT]", - "citation": { - "text": "USA Patriot Act (P.L. 107-56), October 2001." - 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} - ] - }, - { - "uuid": "2b5e12fb-633f-49e6-8aff-81d75bf53545", - "title": "[EO 13587]", - "citation": { - "text": "Executive Order 13587, *Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information*, October 2011." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net" - } - ] - }, - { - "uuid": "8d594f57-d2da-4677-92d0-31fbafc3b871", - "title": "[EO 13636]", - "citation": { - "text": "Executive Order 13636, *Improving Critical Infrastructure Cybersecurity*, February 2013." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2013/02/12/executive-order-improving-critical-infrastructure-cybersecurity" - } - ] - }, - { - "uuid": "c1235ba8-5785-48e5-ba25-6c365dcc72a8", - "title": "[EO 13800]", - "citation": { - "text": "Executive Order 13800, *Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure*, May 2017." - 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"citation": { - "text": "Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-12" - } - ] - }, - { - "uuid": "0d8c0f0f-6b34-4c67-b555-2aeb093459e5", - "title": "[NITP12]", - "citation": { - "text": "Presidential Memorandum for the Heads of Executive Departments and Agencies, *National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs*, November 2012." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2012/11/21/presidential-memorandum-national-insider-threat-policy-and-minimum-stand" - } - ] - }, - { - "uuid": "2383ccfd-d8a0-4e3a-bf40-21288ae1e07a", - "title": "[5 CFR 731]", - "citation": { - "text": "Code of Federal Regulations, Title 5, *Administrative Personnel*, Section 731.106, *Designation of Public Trust Positions and Investigative Requirements*(5 C.F.R. 731.106)." - 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"title": "[ISO 15288]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, *Systems and software engineering\u2014Systems life cycle processes*, May 2015." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/63711.html" - } - ] - }, - { - "uuid": "55e4488b-cc3e-4543-81d9-174e53684a46", - "title": "[ISO 25237]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 25237:2017, *Health informatics* *\u2014Pseudonymization*, January 2017. ** " - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/63553.html" - } - ] - }, - { - "uuid": "9db406e5-7b96-434a-b516-a4fcf861978a", - "title": "[ISO 28001]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 28001:2007, *Security management systems for the supply chain* *\u2014Best practices for implementing supply chain security, assessments and plans\u2014Requirements and guidance*, October 2007. ** " - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/45654.html" - } - ] - }, - { - "uuid": "2a85a00e-25f9-4018-8730-7d877adda309", - "title": "[ISO 29100]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 29100:2011, *Information technology* *\u2014Security techniques\u2014Privacy framework*, December 2011. ** " - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/45123.html" - } - ] - }, - { - "uuid": "e2de21ad-c8cc-48ed-8d4f-2db3ab0a8f28", - "title": "[ISO 29148]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 29148:2011, *Systems and software engineering\u2014Life cycle processes\u2014Requirements engineering*, December 2011." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/45171.html" - } - ] - }, - { - "uuid": "aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "title": "[FIPS 140-3]", - "citation": { - "text": "National Institute of Standards and Technology (2019) Security Requirements for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.140-3" - } - ] - }, - { - "uuid": "d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "title": "[FIPS 180-4]", - "citation": { - "text": "National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.180-4" - } - ] - }, - { - "uuid": "0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "title": "[FIPS 186-4]", - "citation": { - "text": "National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.186-4" - } - ] - }, - { - "uuid": "bbc7085f-b383-444e-af74-722a55cccc0f", - "title": "[FIPS 197]", - "citation": { - "text": "National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.197" - } - ] - }, - { - "uuid": "b3e26423-0687-47c7-ba9a-a96870d58a27", - "title": "[FIPS 199]", - "citation": { - "text": "National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.199" - } - ] - }, - { - "uuid": "f2163084-3287-45e2-9ee7-95f020415495", - "title": "[FIPS 200]", - "citation": { - "text": "National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.200" - } - ] - }, - { - "uuid": "ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "title": "[FIPS 201-2]", - "citation": { - "text": "National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.201-2" - } - ] - }, - { - "uuid": "11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "title": "[FIPS 202]", - "citation": { - "text": "National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.202" - } - ] - }, - { - "uuid": "12702585-0c72-43c9-9185-a76a59f74233", - "title": "[SP 800-12]", - "citation": { - "text": "Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-12r1" - } - ] - }, - { - "uuid": "ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "title": "[SP 800-18]", - "citation": { - "text": "Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-18r1" - } - ] - }, - { - "uuid": "8e334d74-fc06-47a9-bbb1-804fdfae0e44", - "title": "[SP 800-28]", - "citation": { - "text": "Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-28ver2" - } - ] - }, - { - "uuid": "1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "title": "[SP 800-30]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-30r1" - } - ] - }, - { - "uuid": "b7140427-d4c4-467a-97a1-5ca9f7c6584a", - "title": "[SP 800-32]", - "citation": { - "text": "Kuhn R, Hu VC, Polk T, Chang S-jH (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-32" - } - ] - }, - { - "uuid": "65774382-fcc6-4bbc-89fc-9d35aab19952", - "title": "[SP 800-34]", - "citation": { - "text": "Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-34r1" - } - ] - }, - { - "uuid": "ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "title": "[SP 800-35]", - "citation": { - "text": "Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-35" - } - ] - }, - { - "uuid": "e07d73ea-96b9-4330-aff2-e0215f455343", - "title": "[SP 800-37]", - "citation": { - "text": "Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-37r2" - } - ] - }, - { - "uuid": "451e9636-402e-4c27-b3f5-e0e50f957f27", - "title": "[SP 800-39]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-39" - } - ] - }, - { - "uuid": "1126ec09-2b27-4a21-80b2-fef70b31c49d", - "title": "[SP 800-40]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-40r3" - } - ] - }, - { - "uuid": "db7877cf-1013-4fb1-b943-ca9361d16370", - "title": "[SP 800-41]", - "citation": { - "text": "Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-41r1" - } - ] - }, - { - "uuid": "23b0a203-c020-47dd-b86c-9f8c35ecaa4e", - "title": "[SP 800-45]", - "citation": { - "text": "Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-45ver2" - } - ] - }, - { - "uuid": "7768c184-088d-4ee8-a316-f9286b52df7f", - "title": "[SP 800-46]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-46r2" - } - ] - }, - { - "uuid": "2e66c31a-190e-49ad-8e00-f306f8a0df17", - "title": "[SP 800-47]", - "citation": { - "text": "Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-47" - } - ] - }, - { - "uuid": "2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "title": "[SP 800-50]", - "citation": { - "text": "Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-50" - } - ] - }, - { - "uuid": "286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "title": "[SP 800-52]", - "citation": { - "text": "McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-52r2" - } - ] - }, - { - "uuid": "5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "title": "[SP 800-53A]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53Ar4" - } - ] - }, - { - "uuid": "31f3c9de-c57c-4281-929b-f9951f9640f1", - "title": "[SP 800-53B]", - "citation": { - "text": "National Institute of Standards and Technology Special Publication 800-53B, *Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations*. Projected for publication in 2020." - } - }, - { - "uuid": "8ba0d54e-fa16-4f5d-baa1-763ec3e33e26", - "title": "[SP 800-55]", - "citation": { - "text": "Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-55r1" - } - ] - }, - { - "uuid": "77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "title": "[SP 800-56A]", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Ar3" - } - ] - }, - { - "uuid": "f417e4ec-cadb-47a8-a363-6006b32c28ad", - "title": "[SP 800-56B]", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Br2" - } - ] - }, - { - "uuid": "7c3ba335-62bd-4f03-888f-960790409b11", - "title": "[SP 800-56C]", - "citation": { - "text": "Barker EB, Chen L, Davis R (2018) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Cr1" - } - ] - }, - { - "uuid": "770f9bdc-4023-48ef-8206-c65397f061ea", - "title": "[SP 800-57-1]", - "citation": { - "text": "Barker EB (2016) Recommendation for Key Management, Part 1: General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt1r4" - } - ] - }, - { - "uuid": "69644a9e-438a-47c3-bac9-cf28b5baf848", - "title": "[SP 800-57-2]", - "citation": { - "text": "Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 \u2013 Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt2r1" - } - ] - }, - { - "uuid": "9933c883-e8f3-4a83-9a9a-d1e058038080", - "title": "[SP 800-57-3]", - "citation": { - "text": "Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt3r1" - } - ] - }, - { - "uuid": "c4627621-1d6e-45ce-85d8-8b087c77ec66", - "title": "[SP 800-58]", - "citation": { - "text": "Kuhn R, Walsh TJ, Fries S (2005) Security Considerations for Voice Over IP Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-58." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-58" - } - ] - }, - { - "uuid": "68949f14-9cf5-4116-91d8-e820b9df3ffd", - "title": "[SP 800-60 v1]", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v1r1" - } - ] - }, - { - "uuid": "e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "title": "[SP 800-60 v2]", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v2r1" - } - ] - }, - { - "uuid": "7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "title": "[SP 800-61]", - "citation": { - "text": "Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-61r2" - } - ] - }, - { - "uuid": "549993c0-9bdd-4d49-875c-f56950cc5f30", - "title": "[SP 800-63-3]", - "citation": { - "text": "Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63-3" - } - ] - }, - { - "uuid": "3c50fa31-7f4d-4d30-91d7-27ee87cd5f75", - "title": "[SP 800-63A]", - "citation": { - "text": "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63a" - } - ] - }, - { - "uuid": "14a7d982-9747-48e0-a877-3e8fbf6ae381", - "title": "[SP 800-70]", - "citation": { - "text": "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-70r4" - } - ] - }, - { - "uuid": "3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "title": "[SP 800-73-4]", - "citation": { - "text": "Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-73-4" - } - ] - }, - { - "uuid": "d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "title": "[SP 800-76-2]", - "citation": { - "text": "Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-76-2" - } - ] - }, - { - "uuid": "8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "title": "[SP 800-77]", - "citation": { - "text": "Frankel SE, Kent K, Lewkowski R, Orebaugh AD, Ritchey RW, Sharma SR (2005) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-77" - } - ] - }, - { - "uuid": "013e098f-0680-4856-a130-b768c69dab9c", - "title": "[SP 800-78-4]", - "citation": { - "text": "Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-78-4" - } - ] - }, - { - "uuid": "bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "title": "[SP 800-79-2]", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-79-2" - } - ] - }, - { - "uuid": "93d44344-59f9-4669-845d-6cc2a5852621", - "title": "[SP 800-81-2]", - "citation": { - "text": "Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-81-2" - } - ] - }, - { - "uuid": "90a2ca84-5624-42f0-b446-e69e5ed77e6a", - "title": "[SP 800-82]", - "citation": { - "text": "Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-82r2" - } - ] - }, - { - "uuid": "8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "title": "[SP 800-83]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-83r1" - } - ] - }, - { - "uuid": "20bf433b-074c-47a0-8fca-cd591772ccd6", - "title": "[SP 800-84]", - "citation": { - "text": "Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-84" - } - ] - }, - { - "uuid": "35dfd59f-eef2-4f71-bdb5-6d878267456a", - "title": "[SP 800-86]", - "citation": { - "text": "Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-86" - } - ] - }, - { - "uuid": "fed6a3b5-2b74-499f-9172-46671f7c24c8", - "title": "[SP 800-88]", - "citation": { - "text": "Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-88r1" - } - ] - }, - { - "uuid": "02d8ec60-6197-43f8-9f47-18732127963e", - "title": "[SP 800-92]", - "citation": { - "text": "Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-92" - } - ] - }, - { - "uuid": "41e2e2c6-2260-4258-85c8-09db17c43103", - "title": "[SP 800-94]", - "citation": { - "text": "Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-94" - } - ] - }, - { - "uuid": "1d91d984-0cb6-4f96-a01d-c39a3eee7d43", - "title": "[SP 800-95]", - "citation": { - "text": "Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-95" - } - ] - }, - { - "uuid": "6bed1550-cd5d-4e80-8d83-4e597c1514fe", - "title": "[SP 800-97]", - "citation": { - "text": "Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-97" - } - ] - }, - { - "uuid": "9183bd83-170e-4701-b32c-97e08ef8bedb", - "title": "[SP 800-100]", - "citation": { - "text": "Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-100" - } - ] - }, - { - "uuid": "1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "title": "[SP 800-101]", - "citation": { - "text": "Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-101r1" - } - ] - }, - { - "uuid": "1b14b50f-7154-4226-958c-7dfff8276755", - "title": "[SP 800-111]", - "citation": { - "text": "Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-111" - } - ] - }, - { - "uuid": "36132a58-56fd-4980-9f6c-c010d3faf52b", - "title": "[SP 800-113]", - "citation": { - "text": "Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-113" - } - ] - }, - { - "uuid": "49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "title": "[SP 800-114]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-114r1" - } - ] - }, - { - "uuid": "a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "title": "[SP 800-115]", - "citation": { - "text": "Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-115" - } - ] - }, - { - "uuid": "ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "title": "[SP 800-116]", - "citation": { - "text": "Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-116r1" - } - ] - }, - { - "uuid": "60b24979-65b8-4ca5-a442-11b74339fab5", - "title": "[SP 800-121]", - "citation": { - "text": "Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-121r2" - } - ] - }, - { - "uuid": "18c6942b-95f8-414c-b548-c8e6b8d8a172", - "title": "[SP 800-124]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-124r1" - } - ] - }, - { - "uuid": "c972a85c-fa75-4596-be25-a338dc7e4e46", - "title": "[SP 800-125B]", - "citation": { - "text": "Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-125B" - } - ] - }, - { - "uuid": "0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "title": "[SP 800-126]", - "citation": { - "text": "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-126r3" - } - ] - }, - { - "uuid": "a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "title": "[SP 800-128]", - "citation": { - "text": "Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-128" - } - ] - }, - { - "uuid": "ae412317-c2b4-47bb-b47b-c329ce0d7a0b", - "title": "[SP 800-130]", - "citation": { - "text": "Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-130" - } - ] - }, - { - "uuid": "c3b34083-77b2-4dab-a980-73068f8933bd", - "title": "[SP 800-137]", - "citation": { - "text": "Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137" - } - ] - }, - { - "uuid": "e9224c9b-4fa5-40b7-bfbb-02bff7712d92", - "title": "[SP 800-147]", - "citation": { - "text": "Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-147" - } - ] - }, - { - "uuid": "ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "title": "[SP 800-150]", - "citation": { - "text": "Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-150" - } - ] - }, - { - "uuid": "38dbdf55-9a14-446f-b563-c48e4e3d37fb", - "title": "[SP 800-152]", - "citation": { - "text": "Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-152" - } - ] - }, - { - "uuid": "fd0f14f5-8910-45c4-b60a-0c8936e00daa", - "title": "[SP 800-154]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-154/draft" - } - ] - }, - { - "uuid": "f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa", - "title": "[SP 800-156]", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-156" - } - ] - }, - { - "uuid": "8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "title": "[SP 800-160 v1]", - "citation": { - "text": "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v1" - } - ] - }, - { - "uuid": "8411e6e8-09bd-431d-bbcb-3423d36ad880", - "title": "[SP 800-160 v2]", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v2" - } - ] - }, - { - "uuid": "66476e76-46b4-47fb-be19-d13e6f3840df", - "title": "[SP 800-161]", - "citation": { - "text": "Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-161" - } - ] - }, - { - "uuid": "359f960c-2598-454c-ba3b-a30c553e498f", - "title": "[SP 800-162]", - "citation": { - "text": "Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of February 25, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-162" - } - ] - }, - { - "uuid": "a8f55663-86c5-415b-aabe-d2a126981d65", - "title": "[SP 800-166]", - "citation": { - "text": "Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-166" - } - ] - }, - { - "uuid": "893d1736-324c-41d6-a5f4-d526b5ca981a", - "title": "[SP 800-167]", - "citation": { - "text": "Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-167" - } - ] - }, - { - "uuid": "0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "title": "[SP 800-171]", - "citation": { - "text": "Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-171r2" - } - ] - }, - { - "uuid": "aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "title": "[SP 800-171B]", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2019) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations: Enhanced Security Requirements for Critical Programs and High Value Assets. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171B." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/CSRC/media/Publications/sp/800-171b/draft/documents/sp800-171B-draft-ipd.pdf" - } - ] - }, - { - "uuid": "64e044e4-b2a9-490f-a079-1106407c812f", - "title": "[SP 800-177]", - "citation": { - "text": "Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-177r1" - } - ] - }, - { - "uuid": "223b23a9-baea-4a50-8058-63cf7967b61f", - "title": "[SP 800-178]", - "citation": { - "text": "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-178" - } - ] - }, - { - "uuid": "f4c3f657-de83-47ae-9aec-e144de8268d1", - "title": "[SP 800-181]", - "citation": { - "text": "Newhouse WD, Witte GA, Scribner B, Keith S (2017) National Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce Framework. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-181" - } - ] - }, - { - "uuid": "08f518f7-f9b9-4bee-8986-860214f46b16", - "title": "[SP 800-184]", - "citation": { - "text": "Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-184" - } - ] - }, - { - "uuid": "eadef75e-7e4d-4554-b818-44946c1dde0e", - "title": "[SP 800-188]", - "citation": { - "text": "Garfinkel S (2016) De-Identifying Government Datasets. **(National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-188/draft" - } - ] - }, - { - "uuid": "3862cd94-ff25-4631-9a9a-b92c21a0a923", - "title": "[SP 800-189]", - "citation": { - "text": "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-189" - } - ] - }, - { - "uuid": "06d3c11a-4a00-42d9-ad75-e6a777ffae5e", - "title": "[SP 800-192]", - "citation": { - "text": "Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-192" - } - ] - }, - { - "uuid": "d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "title": "[IR 7539]", - "citation": { - "text": "Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7539" - } - ] - }, - { - "uuid": "09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "title": "[IR 7559]", - "citation": { - "text": "Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7559" - } - ] - }, - { - "uuid": "7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "title": "[IR 7622]", - "citation": { - "text": "Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7622" - } - ] - }, - { - "uuid": "daf69edb-a0ef-4447-9880-8c4bf553181f", - "title": "[IR 7676]", - "citation": { - "text": "Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7676" - } - ] - }, - { - "uuid": "bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "title": "[IR 7788]", - "citation": { - "text": "Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7788" - } - ] - }, - { - "uuid": "a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "title": "[IR 7817]", - "citation": { - "text": "Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7817" - } - ] - }, - { - "uuid": "972c10bd-aedf-485f-b0db-f46a402127e2", - "title": "[IR 7849]", - "citation": { - "text": "Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7849" - } - ] - }, - { - "uuid": "197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "title": "[IR 7870]", - "citation": { - "text": "Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7870" - } - ] - }, - { - "uuid": "bb22d510-54a9-4588-b725-00d37576562b", - "title": "[IR 7874]", - "citation": { - "text": "Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7874" - } - ] - }, - { - "uuid": "f437b52f-7f26-42aa-8e8f-999e7d67b2fe", - "title": "[IR 7956]", - "citation": { - "text": "Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7956" - } - ] - }, - { - "uuid": "30213e10-2aca-47b3-8cdb-61303e0959f5", - "title": "[IR 7966]", - "citation": { - "text": "Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7966" - } - ] - }, - { - "uuid": "851b5ba4-6aa0-4583-857c-4c360cbdf2a0", - "title": "[IR 8011 v1]", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal (IR) 8011, Volume 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-1" - } - ] - }, - { - "uuid": "7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "title": "[IR 8023]", - "citation": { - "text": "Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8023" - } - ] - }, - { - "uuid": "24738ee6-b3f3-4e37-825b-58775846bdbc", - "title": "[IR 8040]", - "citation": { - "text": "Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8040" - } - ] - }, - { - "uuid": "817b4227-5857-494d-9032-915980b32f15", - "title": "[IR 8062]", - "citation": { - "text": "Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8062" - } - ] - }, - { - "uuid": "7a93e915-fd58-4147-be12-e48044c367e6", - "title": "[IR 8179]", - "citation": { - "text": "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8179" - } - ] - }, - { - "uuid": "2ee29e9a-6855-4160-a811-b5c7c50bd127", - "title": "[DHS TIC]", - "citation": { - "text": "Department of Homeland Security, *Trusted Internet Connections (TIC)*." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/trusted-internet-connections" - } - ] - }, - { - "uuid": "4e5415c1-7fc4-4fec-8328-d31319fffc4a", - "title": "[DSB 2017]", - "citation": { - "text": "Department of Defense, Defense Science Board, *Task Force on Cyber Deterrence*, February 2017." - }, - "rlinks": [ - { - "href": "https://www.acq.osd.mil/dsb/reports/2010s/DSB-CyberDeterrenceReport_02-28-17_Final.pdf" - } - ] - }, - { - "uuid": "294eed19-7471-4517-9480-2ec73e7c6a78", - "title": "[DOD STIG]", - "citation": { - "text": "Defense Information Systems Agency, *Security Technical Implementation Guides (STIG)*." - }, - "rlinks": [ - { - "href": "https://iase.disa.mil/stigs/Pages/index.aspx" - } - ] - }, - { - "uuid": "5a0f9c51-a5e9-4ef1-a2f7-446d5e9068ff", - "title": "[DODTERMS]", - "citation": { - "text": "Department of Defense, *Dictionary of Military and Associated Terms*." - }, - "rlinks": [ - { - "href": "http://www.dtic.mil/dtic/tr/fulltext/u2/a485800.pdf" - } - ] - }, - { - "uuid": "17ca9481-ea11-4ef2-81c1-885fd37d4be5", - "title": "[IETF 5905]", - "citation": { - "text": "" - } - }, - { - "uuid": "19067e94-7e15-4a4f-9344-9002a5be9755", - "title": "[LAMPSON73]", - "citation": { - "text": "B. W. Lampson, *A Note on the Confinement Problem*, Communications of the ACM 16, 10, pp. 613-615, October 1973." - } - }, - { - "uuid": "dd87fdf0-840d-4392-9de4-220b2327e340", - "title": "[NARA CUI]", - "citation": { - "text": "National Archives and Records Administration, Controlled Unclassified Information (CUI) Registry." - }, - "rlinks": [ - { - "href": "https://www.archives.gov/cui" - } - ] - }, - { - "uuid": "5dac2312-1d0d-416f-aebb-400fa9775b74", - "title": "[NIAP CCEVS]", - "citation": { - "text": "National Information Assurance Partnership, *Common Criteria Evaluation and Validation Scheme*." - }, - "rlinks": [ - { - "href": "https://www.niap-ccevs.org/" - } - ] - }, - { - "uuid": "22b43fc3-c1a2-4166-8ef1-ab1c31ad094d", - "title": "[NIST CAVP]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *Cryptographic Algorithm Validation Program*. Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program" - } - ] - }, - { - "uuid": "8c3295fe-f40e-4ff0-a6bf-5b31d54c967e", - "title": "[NIST CMVP]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *Cryptographic Module Validation Program*. Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/cryptographic-module-validation-program" - } - ] - }, - { - "uuid": "3c47d111-9f82-4571-ab3d-5aaeb4373a04", - "title": "[NIST CSF]", - "citation": { - "text": "National Institute of Standards and Technology (2018) Framework for Improving Critical Infrastructure Cybersecurity, Version 1.1. (National Institute of Standards and Technology, Gaithersburg, MD)." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.CSWP.04162018" - } - ] - }, - { - "uuid": "5cc04a1c-5489-4751-a493-746a9639067b", - "title": "[NCPR]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *National Checklist Program Repository*. Available at" - }, - "rlinks": [ - { - "href": "https://nvd.nist.gov/ncp/repository" - } - ] - }, - { - "uuid": "6dbf7321-9ab2-47c6-9101-6041735d8136", - "title": "[NVD 800-53]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *National Vulnerability Database: NIST Special Publication 800-53 [database of controls].* Available at" - }, - "rlinks": [ - { - "href": "https://nvd.nist.gov/800-53" - } - ] - }, - { - "uuid": "b0ef4899-9682-4afc-a2dd-0f5f71c78042", - "title": "[NEUM04]", - "citation": { - "text": " *Principled Assuredly Trustworthy Composable Architectures*, P. Neumann, CDRL A001 Final Report, SRI International, December 2004." - }, - "rlinks": [ - { - "href": "http://www.csl.sri.com/users/neumann/chats4.pdf" - } - ] - }, - { - "uuid": "634dec27-df88-4c30-b1a4-b57cdfd24f20", - "title": "[NSA CSFC]", - "citation": { - "text": "National Security Agency, *Commercial Solutions for Classified Program (CSfC)*." - }, - "rlinks": [ - { - "href": "https://www.nsa.gov/resources/everyone/csfc" - } - ] - }, - { - "uuid": "a52271dc-11b5-423a-8b6f-14867bd94259", - "title": "[NSA MEDIA]", - "citation": { - "text": "National Security Agency, *Media Destruction Guidance*." - }, - "rlinks": [ - { - "href": "https://www.nsa.gov/resources/everyone/media-destruction" - } - ] - }, - { - "uuid": "8d64f754-fde9-4e7b-8dea-8fffedef4347", - "title": "[POPEK74]", - "citation": { - "text": "G. Popek, *The Principle of Kernel Design*, in 1974 NCC, AFIPS Cong. Proc., Vol. 43, pp. 977-978." - } - }, - { - "uuid": "3c2331ad-9b35-4679-b9b2-7d70e7be6beb", - "title": "[SALTZER75]", - "citation": { - "text": "J. Saltzer and M. Schroeder, *The Protection of Information in Computer Systems*, in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308." - } - }, - { - "uuid": "06842bea-64c9-4e20-807a-b8fc003fa737", - "title": "[USGCB]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *United States Government Configuration Baseline*. Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/united-states-government-configuration-baseline" - } - ] - }, - { - "uuid": "90ec1671-8dcf-4bcf-8efe-ac6d06a806f0", - "rlinks": [ - { - "href": "https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5-draft.pdf", - "media-type": "application/pdf" - } - ] - }, - { - "uuid": "abe434a3-7630-4138-8699-2ab8c7a9aa6c", - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53r5-draft", - "media-type": "application/pdf" - } - ] - } - ] - } - } -} \ No newline at end of file diff --git a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog.json b/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog.json deleted file mode 100644 index a482fa5c..00000000 --- a/nist.gov/SP800-53/rev5/json/draft/NIST_SP-800-53_rev5-FPD_catalog.json +++ /dev/null @@ -1,70972 +0,0 @@ -{ - "catalog": { - "uuid": "3774332f-a28d-4e61-8c3e-31171abbe07c", - "metadata": { - "title": "NIST Special Publication 800-53: Security and Privacy Controls for Federal Information Systems and Organizations, Revision 5 Final Public Draft", - "last-modified": "2021-06-08T13:57:30.880464-04:00", - "version": "Revision 5", - "oscal-version": "1.0.0", - "props": [ - { - "name": "keywords", - "value": "assurance, availability, computer security, confidentiality, control, cybersecurity, FISMA, information security, information system, integrity, personally identifiable information, Privacy Act, privacy controls, privacy functions, privacy requirements, Risk Management Framework, security controls, security functions, security requirements, system, system security" - } - ], - "links": [ - { - "href": "#90ec1671-8dcf-4bcf-8efe-ac6d06a806f0", - "rel": "alternate" - }, - { - "href": "#abe434a3-7630-4138-8699-2ab8c7a9aa6c", - "rel": "canonical" - } - ], - "roles": [ - { - "id": "creator", - "title": "Document creator" - }, - { - "id": "contact", - "title": "Contact" - } - ], - "parties": [ - { - "uuid": "d2cd65bd-2123-4dd9-afb2-c7564f3251c2", - "type": "organization", - "name": "Joint Task Force, Interagency Working Group", - "email-addresses": [ - "sec-cert@nist.gov" - ], - "addresses": [ - { - "addr-lines": [ - "National Institute of Standards and Technology", - "Attn: Computer Security Division", - "Information Technology Laboratory", - "100 Bureau Drive (Mail Stop 8930)" - ], - "city": "Gaithersburg", - "state": "MD", - "postal-code": "20899-8930" - } - ] - } - ], - "responsible-parties": [ - { - "role-id": "creator", - "party-uuids": [ - "4ae7292e-6d8e-4735-86ea-11047c575e87" - ] - }, - { - "role-id": "contact", - "party-uuids": [ - "4ae7292e-6d8e-4735-86ea-11047c575e87" - ] - } - ] - }, - "groups": [ - { - "id": "ac", - "class": "family", - "title": "Access Control", - "controls": [ - { - "id": "ac-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ac-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ac-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ac-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ac-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-1" - }, - { - "name": "sort-id", - "value": "AC-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-1_smt", - "name": "statement", - "parts": [ - { - "id": "ac-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ac-1_prm_1 }}:", - "parts": [ - { - "id": "ac-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ac-1_prm_2 }} access control policy that:", - "parts": [ - { - "id": "ac-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and the associated access controls;" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ac-1_prm_3 }} to manage the development, documentation, and dissemination of the access control policy and procedures; and" - }, - { - "id": "ac-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current access control:", - "parts": [ - { - "id": "ac-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ac-1_prm_4 }}; and" - }, - { - "id": "ac-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ac-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "params": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined attributes (as required)" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined policy, procedures, and conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_5", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_6", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_7", - "label": "organization-defined time-period" - }, - { - "id": "ac-2_prm_8", - "label": "organization-defined attributes (as required)" - }, - { - "id": "ac-2_prm_9", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "AC-02" - } - ], - "links": [ - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#06d3c11a-4a00-42d9-ad75-e6a777ffae5e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define and document the types of accounts allowed for use within the system;" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign account managers;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish conditions for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specify:", - "parts": [ - { - "id": "ac-2_smt.d.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Authorized users of the system;" - }, - { - "id": "ac-2_smt.d.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Group and role membership; and" - }, - { - "id": "ac-2_smt.d.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Access authorizations (i.e., privileges) and {{ insert: param, ac-2_prm_1 }} for each account;" - } - ] - }, - { - "id": "ac-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Require approvals by {{ insert: param, ac-2_prm_2 }} for requests to create accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitor the use of accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notify account managers and {{ insert: param, ac-2_prm_4 }} within:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ac-2_prm_5 }} when accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, ac-2_prm_6 }} when users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "{{ insert: param, ac-2_prm_7 }} when system usage or need-to-know changes for an individual;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorize access to the system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "{{ insert: param, ac-2_prm_8 }};" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Review accounts for compliance with account management requirements {{ insert: param, ac-2_prm_9 }};" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "props": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establish and implement a process for changing shared or group account credentials (if deployed) when individuals are removed from the group; and" - }, - { - "id": "ac-2_smt.l", - "name": "item", - "props": [ - { - "name": "label", - "value": "l." - } - ], - "prose": "Align account management processes with personnel termination and transfer processes." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. External system accounts are not included in the scope of this control. Organizations address external system accounts through organizational policy. Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy on establishing the specific conditions for group and role membership; specifying for each account, authorized users, group and role membership, and access authorizations; and creating, adjusting, or removing system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors triggering the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-of-origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required; and when individuals are transferred or terminated. Changing shared/group account credentials when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training." - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "params": [ - { - "id": "ac-2.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(1)" - }, - { - "name": "sort-id", - "value": "AC-02(01)" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "Support the management of system accounts using {{ insert: param, ac-2.1_prm_1 }}." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include using email or text messaging to automatically notify account managers when users are terminated or transferred; using the system to monitor account usage; and using telephonic notification to report atypical system account usage." - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Temporary and Emergency Account Management", - "params": [ - { - "id": "ac-2.2_prm_1", - "select": { - "choice": [ - "remove", - "disable" - ] - } - }, - { - "id": "ac-2.2_prm_2", - "label": "organization-defined time-period for each type of account" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(2)" - }, - { - "name": "sort-id", - "value": "AC-02(02)" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, ac-2.2_prm_1 }} temporary and emergency accounts after {{ insert: param, ac-2.2_prm_2 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time-period, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation." - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Accounts", - "params": [ - { - "id": "ac-2.3_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(3)" - }, - { - "name": "sort-id", - "value": "AC-02(03)" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "Disable accounts when the accounts:", - "parts": [ - { - "id": "ac-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have expired;" - }, - { - "id": "ac-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Are no longer associated with a user or individual;" - }, - { - "id": "ac-2.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Are in violation of organizational policy; or" - }, - { - "id": "ac-2.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Have been inactive for {{ insert: param, ac-2.3_prm_1 }}." - } - ] - }, - { - "id": "ac-2.3_gdn", - "name": "guidance", - "prose": "Disabling expired, inactive, or otherwise anomalous accounts supports the concept of least privilege and least functionality which reduces the attack surface of the system." - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "props": [ - { - "name": "label", - "value": "AC-2(4)" - }, - { - "name": "sort-id", - "value": "AC-02(04)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "Automatically audit account creation, modification, enabling, disabling, and removal actions." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "prose": "Account management audit records are defined in accordance with AU-2 and reviewed, analyzed, and reported in accordance with AU-6." - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "params": [ - { - "id": "ac-2.5_prm_1", - "label": "organization-defined time-period of expected inactivity or description of when to log out" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(5)" - }, - { - "name": "sort-id", - "value": "AC-02(05)" - } - ], - "links": [ - { - "href": "#ac-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "Require that users log out when {{ insert: param, ac-2.5_prm_1 }}." - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "prose": "Inactivity logout is behavior or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of this control enhancement is addressed by AC-11." - } - ] - }, - { - "id": "ac-2.6", - "class": "SP800-53-enhancement", - "title": "Dynamic Privilege Management", - "params": [ - { - "id": "ac-2.6_prm_1", - "label": "organization-defined dynamic privilege management capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(6)" - }, - { - "name": "sort-id", - "value": "AC-02(06)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.6_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-2.6_prm_1 }}." - }, - { - "id": "ac-2.6_gdn", - "name": "guidance", - "prose": "In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications." - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Privileged User Accounts", - "params": [ - { - "id": "ac-2.7_prm_1", - "select": { - "choice": [ - "a role-based access scheme", - "an attribute-based access scheme" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(7)" - }, - { - "name": "sort-id", - "value": "AC-02(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish and administer privileged user accounts in accordance with {{ insert: param, ac-2.7_prm_1 }};" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor privileged role or attribute assignments;" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Monitor changes to roles or attributes; and" - }, - { - "id": "ac-2.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Revoke access when privileged role or attribute assignments are no longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes." - } - ] - }, - { - "id": "ac-2.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Account Management", - "params": [ - { - "id": "ac-2.8_prm_1", - "label": "organization-defined system accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(8)" - }, - { - "name": "sort-id", - "value": "AC-02(08)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.8_smt", - "name": "statement", - "prose": "Create, activate, manage, and deactivate {{ insert: param, ac-2.8_prm_1 }} dynamically." - }, - { - "id": "ac-2.8_gdn", - "name": "guidance", - "prose": "Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges." - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions on Use of Shared and Group Accounts", - "params": [ - { - "id": "ac-2.9_prm_1", - "label": "organization-defined conditions for establishing shared and group accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(9)" - }, - { - "name": "sort-id", - "value": "AC-02(09)" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "Only permit the use of shared and group accounts that meet {{ insert: param, ac-2.9_prm_1 }}." - }, - { - "id": "ac-2.9_gdn", - "name": "guidance", - "prose": "Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts." - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared and Group Account Credential Change", - "props": [ - { - "name": "label", - "value": "AC-2(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-02(10)" - } - ], - "links": [ - { - "href": "#ac-2_smt.k", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-2.11", - "class": "SP800-53-enhancement", - "title": "Usage Conditions", - "params": [ - { - "id": "ac-2.11_prm_1", - "label": "organization-defined circumstances and/or usage conditions" - }, - { - "id": "ac-2.11_prm_2", - "label": "organization-defined system accounts" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(11)" - }, - { - "name": "sort-id", - "value": "AC-02(11)" - } - ], - "parts": [ - { - "id": "ac-2.11_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-2.11_prm_1 }} for {{ insert: param, ac-2.11_prm_2 }}." - }, - { - "id": "ac-2.11_gdn", - "name": "guidance", - "prose": "Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time." - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring for Atypical Usage", - "params": [ - { - "id": "ac-2.12_prm_1", - "label": "organization-defined atypical usage" - }, - { - "id": "ac-2.12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(12)" - }, - { - "name": "sort-id", - "value": "AC-02(12)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitor system accounts for {{ insert: param, ac-2.12_prm_1 }}; and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Report atypical usage of system accounts to {{ insert: param, ac-2.12_prm_2 }}." - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - } - ] - }, - { - "id": "ac-2.13", - "class": "SP800-53-enhancement", - "title": "Disable Accounts for High-risk Individuals", - "params": [ - { - "id": "ac-2.13_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ac-2.13_prm_2", - "label": "organization-defined significant risks" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(13)" - }, - { - "name": "sort-id", - "value": "AC-02(13)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.13_smt", - "name": "statement", - "prose": "Disable accounts of users within {{ insert: param, ac-2.13_prm_1 }} of discovery of {{ insert: param, ac-2.13_prm_2 }}." - }, - { - "id": "ac-2.13_gdn", - "name": "guidance", - "prose": "Users posing a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential for execution of this control enhancement." - } - ] - }, - { - "id": "ac-2.14", - "class": "SP800-53-enhancement", - "title": "Prohibit Specific Account Types", - "params": [ - { - "id": "ac-2.14_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "shared", - "guest", - "anonymous", - "temporary", - "emergency" - ] - } - }, - { - "id": "ac-2.14_prm_2", - "label": "organization-defined information types" - } - ], - "props": [ - { - "name": "label", - "value": "AC-2(14)" - }, - { - "name": "sort-id", - "value": "AC-02(14)" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-2.14_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-2.14_prm_1 }} accounts for access to {{ insert: param, ac-2.14_prm_2 }}." - }, - { - "id": "ac-2.14_gdn", - "name": "guidance", - "prose": "Organizations determine what types of accounts are prohibited based on the security and privacy risk." - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "props": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "AC-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#ac-24", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of missions and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family." - } - ], - "controls": [ - { - "id": "ac-3.1", - "class": "SP800-53-enhancement", - "title": "Restricted Access to Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-3(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-03(01)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.2", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "ac-3.2_prm_1", - "label": "organization-defined privileged commands and/or other organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(2)" - }, - { - "name": "sort-id", - "value": "AC-03(02)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.2_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, ac-3.2_prm_1 }}." - }, - { - "id": "ac-3.2_gdn", - "name": "guidance", - "prose": "Dual authorization, also known as two-person control, reduces risk related to insider threat. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - } - ] - }, - { - "id": "ac-3.3", - "class": "SP800-53-enhancement", - "title": "Mandatory Access Control", - "params": [ - { - "id": "ac-3.3_prm_1", - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.3_prm_2", - "label": "organization-defined subjects" - }, - { - "id": "ac-3.3_prm_3", - "label": "organization-defined privileges" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(3)" - }, - { - "name": "sort-id", - "value": "AC-03(03)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy:", - "parts": [ - { - "id": "ac-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Is uniformly enforced across the covered subjects and objects within the system;" - }, - { - "id": "ac-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Specifies that a subject that has been granted access to information is constrained from doing any of the following;", - "parts": [ - { - "id": "ac-3.3_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Passing the information to unauthorized subjects or objects;" - }, - { - "id": "ac-3.3_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Granting its privileges to other subjects;" - }, - { - "id": "ac-3.3_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(3)" - } - ], - "prose": "Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;" - }, - { - "id": "ac-3.3_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(4)" - } - ], - "prose": "Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and" - }, - { - "id": "ac-3.3_smt.b.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "(5)" - } - ], - "prose": "Changing the rules governing access control; and" - } - ] - }, - { - "id": "ac-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Specifies that {{ insert: param, ac-3.3_prm_2 }} may explicitly be granted {{ insert: param, ac-3.3_prm_3 }} such that they are not limited by any defined subset (or all) of the above constraints." - } - ] - }, - { - "id": "ac-3.3_gdn", - "name": "guidance", - "prose": "Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control; otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in AC-3(4). A subject constrained in its operation by policies governed by this control can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject with the same sensitivity level as the subject. Examples of mandatory access control policies include the Bell-La Padula policy to protect confidentiality of information and the Biba policy to protect the integrity of information." - } - ] - }, - { - "id": "ac-3.4", - "class": "SP800-53-enhancement", - "title": "Discretionary Access Control", - "params": [ - { - "id": "ac-3.4_prm_1", - "label": "organization-defined discretionary access control policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(4)" - }, - { - "name": "sort-id", - "value": "AC-03(04)" - } - ], - "parts": [ - { - "id": "ac-3.4_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:", - "parts": [ - { - "id": "ac-3.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Pass the information to any other subjects or objects;" - }, - { - "id": "ac-3.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Grant its privileges to other subjects;" - }, - { - "id": "ac-3.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change security attributes on subjects, objects, the system, or the system’s components;" - }, - { - "id": "ac-3.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Choose the security attributes to be associated with newly created or revised objects; or" - }, - { - "id": "ac-3.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Change the rules governing access control." - } - ] - }, - { - "id": "ac-3.4_gdn", - "name": "guidance", - "prose": "When discretionary access control policies are implemented, subjects are not constrained regarding what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in AC-3(3) and AC-3(15). A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while AC-3(3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control." - } - ] - }, - { - "id": "ac-3.5", - "class": "SP800-53-enhancement", - "title": "Security-relevant Information", - "params": [ - { - "id": "ac-3.5_prm_1", - "label": "organization-defined security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(5)" - }, - { - "name": "sort-id", - "value": "AC-03(05)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.5_smt", - "name": "statement", - "prose": "Prevent access to {{ insert: param, ac-3.5_prm_1 }} except during secure, non-operable system states." - }, - { - "id": "ac-3.5_gdn", - "name": "guidance", - "prose": "Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing such as when the system is off-line for maintenance, boot-up, troubleshooting, or shut down." - } - ] - }, - { - "id": "ac-3.6", - "class": "SP800-53-enhancement", - "title": "Protection of User and System Information", - "props": [ - { - "name": "label", - "value": "AC-3(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-03(06)" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "incorporated-into" - }, - { - "href": "#sc-28", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-3.7", - "class": "SP800-53-enhancement", - "title": "Role-based Access Control", - "params": [ - { - "id": "ac-3.7_prm_1", - "label": "organization-defined roles and users authorized to assume such roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(7)" - }, - { - "name": "sort-id", - "value": "AC-03(07)" - } - ], - "parts": [ - { - "id": "ac-3.7_smt", - "name": "statement", - "prose": "Enforce a role-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.7_prm_1 }}." - }, - { - "id": "ac-3.7_gdn", - "name": "guidance", - "prose": "Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to the specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for because privileges are not assigned directly to every user (which can potentially be a large number of individuals) but are instead acquired through role assignments. RBAC can be implemented as a mandatory or discretionary form of access control. For those organizations implementing RBAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy." - } - ] - }, - { - "id": "ac-3.8", - "class": "SP800-53-enhancement", - "title": "Revocation of Access Authorizations", - "params": [ - { - "id": "ac-3.8_prm_1", - "label": "organization-defined rules governing the timing of revocations of access authorizations" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(8)" - }, - { - "name": "sort-id", - "value": "AC-03(08)" - } - ], - "parts": [ - { - "id": "ac-3.8_smt", - "name": "statement", - "prose": "Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on {{ insert: param, ac-3.8_prm_1 }}." - }, - { - "id": "ac-3.8_gdn", - "name": "guidance", - "prose": "Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary." - } - ] - }, - { - "id": "ac-3.9", - "class": "SP800-53-enhancement", - "title": "Controlled Release", - "params": [ - { - "id": "ac-3.9_prm_1", - "label": "organization-defined system or system component" - }, - { - "id": "ac-3.9_prm_2", - "label": "organization-defined controls" - }, - { - "id": "ac-3.9_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(9)" - }, - { - "name": "sort-id", - "value": "AC-03(09)" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.9_smt", - "name": "statement", - "prose": "Release information outside of the system only if:", - "parts": [ - { - "id": "ac-3.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "The receiving {{ insert: param, ac-3.9_prm_1 }} provides {{ insert: param, ac-3.9_prm_2 }}; and" - }, - { - "id": "ac-3.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-3.9_prm_3 }} are used to validate the appropriateness of the information designated for release." - } - ] - }, - { - "id": "ac-3.9_gdn", - "name": "guidance", - "prose": "Systems can only protect organizational information within the confines of established system boundaries. Additional controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests); establishing agreements between the organization and its counterpart organizations; or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals’ privacy. Controlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer." - } - ] - }, - { - "id": "ac-3.10", - "class": "SP800-53-enhancement", - "title": "Audited Override of Access Control Mechanisms", - "params": [ - { - "id": "ac-3.10_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "ac-3.10_prm_2", - "label": "organization-defined roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(10)" - }, - { - "name": "sort-id", - "value": "AC-03(10)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.10_smt", - "name": "statement", - "prose": "Employ an audited override of automated access control mechanisms under {{ insert: param, ac-3.10_prm_1 }} by {{ insert: param, ac-3.10_prm_2 }}." - }, - { - "id": "ac-3.10_gdn", - "name": "guidance", - "prose": "In certain situations, for example, where there is a threat to human life or an event that threatens the organization’s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and are used only in those limited circumstances. Audit events are defined in AU-2. Audit records are generated in AU-12." - } - ] - }, - { - "id": "ac-3.11", - "class": "SP800-53-enhancement", - "title": "Restrict Access to Specific Information Types", - "params": [ - { - "id": "ac-3.11_prm_1", - "label": "organization-defined information types" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(11)" - }, - { - "name": "sort-id", - "value": "AC-03(11)" - } - ], - "parts": [ - { - "id": "ac-3.11_smt", - "name": "statement", - "prose": "Restrict access to data repositories containing {{ insert: param, ac-3.11_prm_1 }}." - }, - { - "id": "ac-3.11_gdn", - "name": "guidance", - "prose": "Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information." - } - ] - }, - { - "id": "ac-3.12", - "class": "SP800-53-enhancement", - "title": "Assert and Enforce Application Access", - "params": [ - { - "id": "ac-3.12_prm_1", - "label": "organization-defined system applications and functions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(12)" - }, - { - "name": "sort-id", - "value": "AC-03(12)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.12_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: {{ insert: param, ac-3.12_prm_1 }};" - }, - { - "id": "ac-3.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide an enforcement mechanism to prevent unauthorized access; and" - }, - { - "id": "ac-3.12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Approve access changes after initial installation of the application." - } - ] - }, - { - "id": "ac-3.12_gdn", - "name": "guidance", - "prose": "Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning system, camera, keyboard, microphone, network, phones, or other files." - } - ] - }, - { - "id": "ac-3.13", - "class": "SP800-53-enhancement", - "title": "Attribute-based Access Control", - "params": [ - { - "id": "ac-3.13_prm_1", - "label": "organization-defined attributes to assume access permissions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(13)" - }, - { - "name": "sort-id", - "value": "AC-03(13)" - } - ], - "parts": [ - { - "id": "ac-3.13_smt", - "name": "statement", - "prose": "Enforce attribute-based access control policy over defined subjects and objects and control access based upon {{ insert: param, ac-3.13_prm_1 }}." - }, - { - "id": "ac-3.13_gdn", - "name": "guidance", - "prose": "Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity); action attributes (e.g., read, write, delete); environmental attributes (e.g., time of day, location); and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource upon access. Attribute-based access control can be implemented as a mandatory or discretionary form of access control. For attribute-based access control implemented with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy." - } - ] - }, - { - "id": "ac-3.14", - "class": "SP800-53-enhancement", - "title": "Individual Access", - "params": [ - { - "id": "ac-3.14_prm_1", - "label": "organization-defined mechanisms" - }, - { - "id": "ac-3.14_prm_2", - "label": "organization-defined elements" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(14)" - }, - { - "name": "sort-id", - "value": "AC-03(14)" - } - ], - "links": [ - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.14_smt", - "name": "statement", - "prose": "Provide {{ insert: param, ac-3.14_prm_1 }} to enable individuals to have access to the following elements of their personally identifiable information: {{ insert: param, ac-3.14_prm_2 }}." - }, - { - "id": "ac-3.14_gdn", - "name": "guidance", - "prose": "Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. Access to certain types of records may not be appropriate or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations." - } - ] - }, - { - "id": "ac-3.15", - "class": "SP800-53-enhancement", - "title": "Discretionary and Mandatory Access Control", - "params": [ - { - "id": "ac-3.15_prm_1", - "label": "organization-defined mandatory access control policy" - }, - { - "id": "ac-3.15_prm_2", - "label": "organization-defined discretionary access control policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-3(15)" - }, - { - "name": "sort-id", - "value": "AC-03(15)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-3.15_smt", - "name": "statement", - "parts": [ - { - "id": "ac-3.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_1 }} over the set of covered subjects and objects specified in the policy; and" - }, - { - "id": "ac-3.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce {{ insert: param, ac-3.15_prm_2 }} over the set of covered subjects and objects specified in the policy." - } - ] - }, - { - "id": "ac-3.15_gdn", - "name": "guidance", - "prose": "Implementing a mandatory access control policy and a discretionary access control policy simultaneously can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system." - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "params": [ - { - "id": "ac-4_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4" - }, - { - "name": "sort-id", - "value": "AC-04" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-4_prm_1 }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization; keeping export-controlled information from being transmitted in the clear to the Internet; restricting web requests that are not from the internal web proxy server; and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only); verifying write permissions before accepting information from another security or privacy domain or connected system; employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and security or privacy labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. This control also applies to control plane traffic (e.g., routing and DNS)." - } - ], - "controls": [ - { - "id": "ac-4.1", - "class": "SP800-53-enhancement", - "title": "Object Security and Privacy Attributes", - "params": [ - { - "id": "ac-4.1_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-4.1_prm_2", - "label": "organization-defined information, source, and destination objects" - }, - { - "id": "ac-4.1_prm_3", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(1)" - }, - { - "name": "sort-id", - "value": "AC-04(01)" - } - ], - "parts": [ - { - "id": "ac-4.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param, ac-4.1_prm_3 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.1_gdn", - "name": "guidance", - "prose": "Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets, and therefore, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information." - } - ] - }, - { - "id": "ac-4.2", - "class": "SP800-53-enhancement", - "title": "Processing Domains", - "params": [ - { - "id": "ac-4.2_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(2)" - }, - { - "name": "sort-id", - "value": "AC-04(02)" - } - ], - "links": [ - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.2_smt", - "name": "statement", - "prose": "Use protected processing domains to enforce {{ insert: param, ac-4.2_prm_1 }} as a basis for flow control decisions." - }, - { - "id": "ac-4.2_gdn", - "name": "guidance", - "prose": "Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains." - } - ] - }, - { - "id": "ac-4.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Information Flow Control", - "params": [ - { - "id": "ac-4.3_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(3)" - }, - { - "name": "sort-id", - "value": "AC-04(03)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.3_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-4.3_prm_1 }}." - }, - { - "id": "ac-4.3_gdn", - "name": "guidance", - "prose": "Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events." - } - ] - }, - { - "id": "ac-4.4", - "class": "SP800-53-enhancement", - "title": "Flow Control of Encrypted Information", - "params": [ - { - "id": "ac-4.4_prm_1", - "label": "organization-defined information flow control mechanisms" - }, - { - "id": "ac-4.4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "decrypting the information", - "blocking the flow of the encrypted information", - "terminating communications sessions attempting to pass encrypted information", - " {{ insert: param, ac-4.4_prm_3 }} " - ] - } - }, - { - "id": "ac-4.4_prm_3", - "depends-on": "ac-4.4_prm_2", - "label": "organization-defined procedure or method" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(4)" - }, - { - "name": "sort-id", - "value": "AC-04(04)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.4_smt", - "name": "statement", - "prose": "Prevent encrypted information from bypassing {{ insert: param, ac-4.4_prm_1 }} by {{ insert: param, ac-4.4_prm_2 }}." - }, - { - "id": "ac-4.4_gdn", - "name": "guidance", - "prose": "Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms." - } - ] - }, - { - "id": "ac-4.5", - "class": "SP800-53-enhancement", - "title": "Embedded Data Types", - "params": [ - { - "id": "ac-4.5_prm_1", - "label": "organization-defined limitations" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(5)" - }, - { - "name": "sort-id", - "value": "AC-04(05)" - } - ], - "parts": [ - { - "id": "ac-4.5_smt", - "name": "statement", - "prose": "Enforce {{ insert: param, ac-4.5_prm_1 }} on embedding data types within other data types." - }, - { - "id": "ac-4.5_gdn", - "name": "guidance", - "prose": "Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools." - } - ] - }, - { - "id": "ac-4.6", - "class": "SP800-53-enhancement", - "title": "Metadata", - "params": [ - { - "id": "ac-4.6_prm_1", - "label": "organization-defined metadata" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(6)" - }, - { - "name": "sort-id", - "value": "AC-04(06)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.6_smt", - "name": "statement", - "prose": "Enforce information flow control based on {{ insert: param, ac-4.6_prm_1 }}." - }, - { - "id": "ac-4.6_gdn", - "name": "guidance", - "prose": "Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance)." - } - ] - }, - { - "id": "ac-4.7", - "class": "SP800-53-enhancement", - "title": "One-way Flow Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-4(7)" - }, - { - "name": "sort-id", - "value": "AC-04(07)" - } - ], - "parts": [ - { - "id": "ac-4.7_smt", - "name": "statement", - "prose": "Enforce one-way information flows through hardware-based flow control mechanisms." - }, - { - "id": "ac-4.7_gdn", - "name": "guidance", - "prose": "One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system, while permitting data from a lower impact or unclassified domain or system to be imported." - } - ] - }, - { - "id": "ac-4.8", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Policy Filters", - "params": [ - { - "id": "ac-4.8_prm_1", - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.8_prm_2", - "label": "organization-defined information flows" - }, - { - "id": "ac-4.8_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "block", - "strip", - "modify", - "quarantine" - ] - } - }, - { - "id": "ac-4.8_prm_4", - "label": "organization-defined security or privacy policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(8)" - }, - { - "name": "sort-id", - "value": "AC-04(08)" - } - ], - "parts": [ - { - "id": "ac-4.8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-4.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce information flow control using {{ insert: param, ac-4.8_prm_1 }} as a basis for flow control decisions for {{ insert: param, ac-4.8_prm_2 }}; and" - }, - { - "id": "ac-4.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-4.8_prm_3 }} data after a filter processing failure in accordance with {{ insert: param, ac-4.8_prm_4 }}." - } - ] - }, - { - "id": "ac-4.8_gdn", - "name": "guidance", - "prose": "Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives." - } - ] - }, - { - "id": "ac-4.9", - "class": "SP800-53-enhancement", - "title": "Human Reviews", - "params": [ - { - "id": "ac-4.9_prm_1", - "label": "organization-defined information flows" - }, - { - "id": "ac-4.9_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(9)" - }, - { - "name": "sort-id", - "value": "AC-04(09)" - } - ], - "parts": [ - { - "id": "ac-4.9_smt", - "name": "statement", - "prose": "Enforce the use of human reviews for {{ insert: param, ac-4.9_prm_1 }} under the following conditions: {{ insert: param, ac-4.9_prm_2 }}." - }, - { - "id": "ac-4.9_gdn", - "name": "guidance", - "prose": "Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations." - } - ] - }, - { - "id": "ac-4.10", - "class": "SP800-53-enhancement", - "title": "Enable and Disable Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.10_prm_1", - "label": "organization-defined security or privacy policy filters" - }, - { - "id": "ac-4.10_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(10)" - }, - { - "name": "sort-id", - "value": "AC-04(10)" - } - ], - "parts": [ - { - "id": "ac-4.10_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to enable and disable {{ insert: param, ac-4.10_prm_1 }} under the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - }, - { - "id": "ac-4.10_gdn", - "name": "guidance", - "prose": "For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security or privacy domains, and other security or privacy relevant features, as needed." - } - ] - }, - { - "id": "ac-4.11", - "class": "SP800-53-enhancement", - "title": "Configuration of Security or Privacy Policy Filters", - "params": [ - { - "id": "ac-4.11_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(11)" - }, - { - "name": "sort-id", - "value": "AC-04(11)" - } - ], - "parts": [ - { - "id": "ac-4.11_smt", - "name": "statement", - "prose": "Provide the capability for privileged administrators to configure {{ insert: param, ac-4.11_prm_1 }} to support different security or privacy policies." - }, - { - "id": "ac-4.11_gdn", - "name": "guidance", - "prose": "Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of “dirty words” that security or privacy policy mechanisms check in accordance with the definitions provided by organizations." - } - ] - }, - { - "id": "ac-4.12", - "class": "SP800-53-enhancement", - "title": "Data Type Identifiers", - "params": [ - { - "id": "ac-4.12_prm_1", - "label": "organization-defined data type identifiers" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(12)" - }, - { - "name": "sort-id", - "value": "AC-04(12)" - } - ], - "parts": [ - { - "id": "ac-4.12_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, use {{ insert: param, ac-4.12_prm_1 }} to validate data essential for information flow decisions." - }, - { - "id": "ac-4.12_gdn", - "name": "guidance", - "prose": "Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems allow transfer of data only if compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure it is the proper data type." - } - ] - }, - { - "id": "ac-4.13", - "class": "SP800-53-enhancement", - "title": "Decomposition into Policy-relevant Subcomponents", - "params": [ - { - "id": "ac-4.13_prm_1", - "label": "organization-defined policy-relevant subcomponents" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(13)" - }, - { - "name": "sort-id", - "value": "AC-04(13)" - } - ], - "parts": [ - { - "id": "ac-4.13_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, decompose information into {{ insert: param, ac-4.13_prm_1 }} for submission to policy enforcement mechanisms." - }, - { - "id": "ac-4.13_gdn", - "name": "guidance", - "prose": "Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security or privacy domains." - } - ] - }, - { - "id": "ac-4.14", - "class": "SP800-53-enhancement", - "title": "Security or Privacy Policy Filter Constraints", - "params": [ - { - "id": "ac-4.14_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(14)" - }, - { - "name": "sort-id", - "value": "AC-04(14)" - } - ], - "parts": [ - { - "id": "ac-4.14_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring fully enumerated formats that restrict data structure and content." - }, - { - "id": "ac-4.14_gdn", - "name": "guidance", - "prose": "Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures." - } - ] - }, - { - "id": "ac-4.15", - "class": "SP800-53-enhancement", - "title": "Detection of Unsanctioned Information", - "params": [ - { - "id": "ac-4.15_prm_1", - "label": "organization-defined unsanctioned information" - }, - { - "id": "ac-4.15_prm_2", - "label": "organization-defined security or privacy policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(15)" - }, - { - "name": "sort-id", - "value": "AC-04(15)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.15_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, examine the information for the presence of {{ insert: param, ac-4.15_prm_1 }} and prohibit the transfer of such information in accordance with the {{ insert: param, ac-4.15_prm_2 }}." - }, - { - "id": "ac-4.15_gdn", - "name": "guidance", - "prose": "Unsanctioned information includes malicious code, dirty words, sensitive information inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network." - } - ] - }, - { - "id": "ac-4.16", - "class": "SP800-53-enhancement", - "title": "Information Transfers on Interconnected Systems", - "props": [ - { - "name": "label", - "value": "AC-4(16)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-04(16)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.17", - "class": "SP800-53-enhancement", - "title": "Domain Authentication", - "params": [ - { - "id": "ac-4.17_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization", - "system", - "application", - "service", - "individual" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(17)" - }, - { - "name": "sort-id", - "value": "AC-04(17)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.17_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate source and destination points by {{ insert: param, ac-4.17_prm_1 }} for information transfer." - }, - { - "id": "ac-4.17_gdn", - "name": "guidance", - "prose": "Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems, allows the forensic reconstruction of events, and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals." - } - ] - }, - { - "id": "ac-4.18", - "class": "SP800-53-enhancement", - "title": "Security Attribute Binding", - "props": [ - { - "name": "label", - "value": "AC-4(18)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-04(18)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-4.19", - "class": "SP800-53-enhancement", - "title": "Validation of Metadata", - "params": [ - { - "id": "ac-4.19_prm_1", - "label": "organization-defined security or privacy policy filters" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(19)" - }, - { - "name": "sort-id", - "value": "AC-04(19)" - } - ], - "parts": [ - { - "id": "ac-4.19_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata." - }, - { - "id": "ac-4.19_gdn", - "name": "guidance", - "prose": "All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload." - } - ] - }, - { - "id": "ac-4.20", - "class": "SP800-53-enhancement", - "title": "Approved Solutions", - "params": [ - { - "id": "ac-4.20_prm_1", - "label": "organization-defined solutions in approved configurations" - }, - { - "id": "ac-4.20_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(20)" - }, - { - "name": "sort-id", - "value": "AC-04(20)" - } - ], - "parts": [ - { - "id": "ac-4.20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-4.20_prm_1 }} to control the flow of {{ insert: param, ac-4.20_prm_2 }} across security or privacy domains." - }, - { - "id": "ac-4.20_gdn", - "name": "guidance", - "prose": "Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The NSA National Cross Domain Strategy and Management Office provides a baseline listing of approved cross-domain solutions." - } - ] - }, - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Separation of Information Flows", - "params": [ - { - "id": "ac-4.21_prm_1", - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-4.21_prm_2", - "label": "organization-defined required separations by types of information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(21)" - }, - { - "name": "sort-id", - "value": "AC-04(21)" - } - ], - "links": [ - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "Separate information flows logically or physically using {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert: param, ac-4.21_prm_2 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security categories." - } - ] - }, - { - "id": "ac-4.22", - "class": "SP800-53-enhancement", - "title": "Access Only", - "props": [ - { - "name": "label", - "value": "AC-4(22)" - }, - { - "name": "sort-id", - "value": "AC-04(22)" - } - ], - "parts": [ - { - "id": "ac-4.22_smt", - "name": "statement", - "prose": "Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing any information flow between the different security domains." - }, - { - "id": "ac-4.22_gdn", - "name": "guidance", - "prose": "The system provides a capability for users to access each connected security domain without providing any mechanisms to allow transfer of data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate." - } - ] - }, - { - "id": "ac-4.23", - "class": "SP800-53-enhancement", - "title": "Modify Non-releasable Information", - "params": [ - { - "id": "ac-4.23_prm_1", - "label": "organization-defined modification action" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(23)" - }, - { - "name": "sort-id", - "value": "AC-04(23)" - } - ], - "parts": [ - { - "id": "ac-4.23_smt", - "name": "statement", - "prose": "When transferring information between different security domains, modify non-releasable information by implementing {{ insert: param, ac-4.23_prm_1 }}." - }, - { - "id": "ac-4.23_gdn", - "name": "guidance", - "prose": "Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction." - } - ] - }, - { - "id": "ac-4.24", - "class": "SP800-53-enhancement", - "title": "Internal Normalized Format", - "props": [ - { - "name": "label", - "value": "AC-4(24)" - }, - { - "name": "sort-id", - "value": "AC-04(24)" - } - ], - "parts": [ - { - "id": "ac-4.24_smt", - "name": "statement", - "prose": "When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification." - }, - { - "id": "ac-4.24_gdn", - "name": "guidance", - "prose": "Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration." - } - ] - }, - { - "id": "ac-4.25", - "class": "SP800-53-enhancement", - "title": "Data Sanitization", - "params": [ - { - "id": "ac-4.25_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "delivery of malicious content, command and control of malicious code, malicious code augmentation, and steganography encoded data", - "spillage of sensitive information" - ] - } - }, - { - "id": "ac-4.25_prm_2", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(25)" - }, - { - "name": "sort-id", - "value": "AC-04(25)" - } - ], - "parts": [ - { - "id": "ac-4.25_smt", - "name": "statement", - "prose": "When transferring information between different security domains, sanitize data to minimize {{ insert: param, ac-4.25_prm_1 }} in accordance with {{ insert: param, ac-4.25_prm_2 }}]." - }, - { - "id": "ac-4.25_gdn", - "name": "guidance", - "prose": "Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/SSDs, mobile devices, CDs, and DVDs) or in hard copy form." - } - ] - }, - { - "id": "ac-4.26", - "class": "SP800-53-enhancement", - "title": "Audit Filtering Actions", - "props": [ - { - "name": "label", - "value": "AC-4(26)" - }, - { - "name": "sort-id", - "value": "AC-04(26)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-4.26_smt", - "name": "statement", - "prose": "When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered." - }, - { - "id": "ac-4.26_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Content filtering actions and results of filtering actions are recorded for individual messages to ensure the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in AU-2. Audit records are generated in AU-12." - } - ] - }, - { - "id": "ac-4.27", - "class": "SP800-53-enhancement", - "title": "Redundant/independent Filtering Mechanisms", - "props": [ - { - "name": "label", - "value": "AC-4(27)" - }, - { - "name": "sort-id", - "value": "AC-04(27)" - } - ], - "parts": [ - { - "id": "ac-4.27_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type." - }, - { - "id": "ac-4.27_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors’ JPEG libraries) and multiple, independent system processes." - } - ] - }, - { - "id": "ac-4.28", - "class": "SP800-53-enhancement", - "title": "Linear Filter Pipelines", - "props": [ - { - "name": "label", - "value": "AC-4(28)" - }, - { - "name": "sort-id", - "value": "AC-04(28)" - } - ], - "parts": [ - { - "id": "ac-4.28_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls." - }, - { - "id": "ac-4.28_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces by-pass and non-invocation issues." - } - ] - }, - { - "id": "ac-4.29", - "class": "SP800-53-enhancement", - "title": "Filter Orchestration Engines", - "params": [ - { - "id": "ac-4.29_prm_1", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "AC-4(29)" - }, - { - "name": "sort-id", - "value": "AC-04(29)" - } - ], - "parts": [ - { - "id": "ac-4.29_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, employ content filter orchestration engines to ensure that:", - "parts": [ - { - "id": "ac-4.29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Content filtering mechanisms successfully complete execution without errors; and" - }, - { - "id": "ac-4.29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Content filtering actions occur in the correct order and comply with {{ insert: param, ac-4.29_prm_1 }}." - } - ] - }, - { - "id": "ac-4.29_gdn", - "name": "guidance", - "prose": "Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due non-compliance with policy. Content filter reports are a commonly used mechanism to ensure expected filtering actions are completed successfully." - } - ] - }, - { - "id": "ac-4.30", - "class": "SP800-53-enhancement", - "title": "Filter Mechanisms Using Multiple Processes", - "props": [ - { - "name": "label", - "value": "AC-4(30)" - }, - { - "name": "sort-id", - "value": "AC-04(30)" - } - ], - "parts": [ - { - "id": "ac-4.30_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, implement content filtering mechanisms using multiple processes." - }, - { - "id": "ac-4.30_gdn", - "name": "guidance", - "prose": "The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure." - } - ] - }, - { - "id": "ac-4.31", - "class": "SP800-53-enhancement", - "title": "Failed Content Transfer Prevention", - "props": [ - { - "name": "label", - "value": "AC-4(31)" - }, - { - "name": "sort-id", - "value": "AC-04(31)" - } - ], - "parts": [ - { - "id": "ac-4.31_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, prevent the transfer of failed content to the receiving domain." - }, - { - "id": "ac-4.31_gdn", - "name": "guidance", - "prose": "Content that failed filtering checks, can corrupt the system if transferred to the receiving domain." - } - ] - }, - { - "id": "ac-4.32", - "class": "SP800-53-enhancement", - "title": "Process Requirements for Information Transfer", - "props": [ - { - "name": "label", - "value": "AC-4(32)" - }, - { - "name": "sort-id", - "value": "AC-04(32)" - } - ], - "parts": [ - { - "id": "ac-4.32_smt", - "name": "statement", - "prose": "When transferring information between different security or privacy domains, the process that transfers information between filter pipelines:", - "parts": [ - { - "id": "ac-4.32_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Does not filter message content;" - }, - { - "id": "ac-4.32_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Validates filtering metadata;" - }, - { - "id": "ac-4.32_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Ensures the content associated with the filtering metadata has successfully completed filtering; and" - }, - { - "id": "ac-4.32_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Transfers the content to the destination filter pipeline." - } - ] - }, - { - "id": "ac-4.32_gdn", - "name": "guidance", - "prose": "The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly." - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "params": [ - { - "id": "ac-5_prm_1", - "label": "organization-defined duties of individuals requiring separation" - } - ], - "props": [ - { - "name": "label", - "value": "AC-5" - }, - { - "name": "sort-id", - "value": "AC-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document {{ insert: param, ac-5_prm_1 }}; and" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define system access authorizations to support separation of duties." - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. This control is enforced through the account management activities in AC-2 and access control mechanisms in AC-3." - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "props": [ - { - "name": "label", - "value": "AC-6" - }, - { - "name": "sort-id", - "value": "AC-06" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary, to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems." - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "params": [ - { - "id": "ac-6.1_prm_1", - "label": "organization-defined individuals or roles" - }, - { - "id": "ac-6.1_prm_2", - "label": "organization-defined security functions (deployed in hardware, software, and firmware)" - }, - { - "id": "ac-6.1_prm_3", - "label": "organization-defined security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(1)" - }, - { - "name": "sort-id", - "value": "AC-06(01)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "Explicitly authorize access for {{ insert: param, ac-6.1_prm_1 }} to:", - "parts": [ - { - "id": "ac-6.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_2 }}; and" - }, - { - "id": "ac-6.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, ac-6.1_prm_3 }}." - } - ] - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include establishing system accounts; configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Explicitly authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users." - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "params": [ - { - "id": "ac-6.2_prm_1", - "label": "organization-defined security functions or security-relevant information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(2)" - }, - { - "name": "sort-id", - "value": "AC-06(02)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "Require that users of system accounts (or roles) with access to {{ insert: param, ac-6.2_prm_1 }}, use non-privileged accounts or roles, when accessing nonsecurity functions." - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "Requiring use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account." - } - ] - }, - { - "id": "ac-6.3", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Commands", - "params": [ - { - "id": "ac-6.3_prm_1", - "label": "organization-defined privileged commands" - }, - { - "id": "ac-6.3_prm_2", - "label": "organization-defined compelling operational needs" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(3)" - }, - { - "name": "sort-id", - "value": "AC-06(03)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.3_smt", - "name": "statement", - "prose": "Authorize network access to {{ insert: param, ac-6.3_prm_1 }} only for {{ insert: param, ac-6.3_prm_2 }} and document the rationale for such access in the security plan for the system." - }, - { - "id": "ac-6.3_gdn", - "name": "guidance", - "prose": "Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device)." - } - ] - }, - { - "id": "ac-6.4", - "class": "SP800-53-enhancement", - "title": "Separate Processing Domains", - "props": [ - { - "name": "label", - "value": "AC-6(4)" - }, - { - "name": "sort-id", - "value": "AC-06(04)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.4_smt", - "name": "statement", - "prose": "Provide separate processing domains to enable finer-grained allocation of user privileges." - }, - { - "id": "ac-6.4_gdn", - "name": "guidance", - "prose": "Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine; implementing separate physical domains, and employing hardware or software domain separation mechanisms." - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "params": [ - { - "id": "ac-6.5_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(5)" - }, - { - "name": "sort-id", - "value": "AC-06(05)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "Restrict privileged accounts on the system to {{ insert: param, ac-6.5_prm_1 }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk." - } - ] - }, - { - "id": "ac-6.6", - "class": "SP800-53-enhancement", - "title": "Privileged Access by Non-organizational Users", - "props": [ - { - "name": "label", - "value": "AC-6(6)" - }, - { - "name": "sort-id", - "value": "AC-06(06)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.6_smt", - "name": "statement", - "prose": "Prohibit privileged access to the system by non-organizational users." - }, - { - "id": "ac-6.6_gdn", - "name": "guidance", - "prose": "An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policy and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization." - } - ] - }, - { - "id": "ac-6.7", - "class": "SP800-53-enhancement", - "title": "Review of User Privileges", - "params": [ - { - "id": "ac-6.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ac-6.7_prm_2", - "label": "organization-defined roles or classes of users" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(7)" - }, - { - "name": "sort-id", - "value": "AC-06(07)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-6.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review {{ insert: param, ac-6.7_prm_1 }} the privileges assigned to {{ insert: param, ac-6.7_prm_2 }} to validate the need for such privileges; and" - }, - { - "id": "ac-6.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs." - } - ] - }, - { - "id": "ac-6.7_gdn", - "name": "guidance", - "prose": "The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions." - } - ] - }, - { - "id": "ac-6.8", - "class": "SP800-53-enhancement", - "title": "Privilege Levels for Code Execution", - "params": [ - { - "id": "ac-6.8_prm_1", - "label": "organization-defined software" - } - ], - "props": [ - { - "name": "label", - "value": "AC-6(8)" - }, - { - "name": "sort-id", - "value": "AC-06(08)" - } - ], - "parts": [ - { - "id": "ac-6.8_smt", - "name": "statement", - "prose": "Prevent the following software from executing at higher privilege levels than users executing the software: {{ insert: param, ac-6.8_prm_1 }}." - }, - { - "id": "ac-6.8_gdn", - "name": "guidance", - "prose": "In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned." - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Log Use of Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-6(9)" - }, - { - "name": "sort-id", - "value": "AC-06(09)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "Audit the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "The misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Capturing the use of privileged functions in audit logs is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat." - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "props": [ - { - "name": "label", - "value": "AC-6(10)" - }, - { - "name": "sort-id", - "value": "AC-06(10)" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "Prevent non-privileged users from executing privileged functions." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include disabling, circumventing, or altering implemented security or privacy controls; establishing system accounts; performing system integrity checks; and administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. This control enhancement is enforced by AC-3." - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "params": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number" - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "ac-7_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "lock the account or node for an {{ insert: param, ac-7_prm_4 }} ", - "lock the account or node until released by an administrator", - "delay next logon prompt per {{ insert: param, ac-7_prm_5 }} ", - "notify system administrator", - "take other {{ insert: param, ac-7_prm_6 }} " - ] - } - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time-period" - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - }, - { - "id": "ac-7_prm_6", - "depends-on": "ac-7_prm_3", - "label": "organization-defined action" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "AC-07" - } - ], - "links": [ - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-7_prm_1 }} consecutive invalid logon attempts by a user during a {{ insert: param, ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ insert: param, ac-7_prm_3 }} when the maximum number of unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password; invoking a lockdown mode with limited user capabilities (instead of full lockout); or comparing the IP address to a list of known IP addresses for the user and then allowing additional logon attempts if the attempts are from a known IP address. Techniques to help prevent brute force attacks in lieu of an automatic system lockout or the execution of delay algorithms support the objective of availability while still protecting against such attacks. Techniques that are effective when used in combination include prompting the user to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded; allowing users to logon only from specified IP addresses; requiring a CAPTCHA to prevent automated attacks; or applying user profiles such as location, time of day, IP address, device, or MAC address. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need." - } - ], - "controls": [ - { - "id": "ac-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Account Lock", - "props": [ - { - "name": "label", - "value": "AC-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-07(01)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-7.2", - "class": "SP800-53-enhancement", - "title": "Purge or Wipe Mobile Device", - "params": [ - { - "id": "ac-7.2_prm_1", - "label": "organization-defined mobile devices" - }, - { - "id": "ac-7.2_prm_2", - "label": "organization-defined purging or wiping requirements and techniques" - }, - { - "id": "ac-7.2_prm_3", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(2)" - }, - { - "name": "sort-id", - "value": "AC-07(02)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.2_smt", - "name": "statement", - "prose": "Purge or wipe information from {{ insert: param, ac-7.2_prm_1 }} based on {{ insert: param, ac-7.2_prm_2 }} after {{ insert: param, ac-7.2_prm_3 }} consecutive, unsuccessful device logon attempts." - }, - { - "id": "ac-7.2_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms." - } - ] - }, - { - "id": "ac-7.3", - "class": "SP800-53-enhancement", - "title": "Biometric Attempt Limiting", - "params": [ - { - "id": "ac-7.3_prm_1", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(3)" - }, - { - "name": "sort-id", - "value": "AC-07(03)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.3_smt", - "name": "statement", - "prose": "Limit the number of unsuccessful biometric logon attempts to {{ insert: param, ac-7.3_prm_1 }}." - }, - { - "id": "ac-7.3_gdn", - "name": "guidance", - "prose": "Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on organizationally-defined factors." - } - ] - }, - { - "id": "ac-7.4", - "class": "SP800-53-enhancement", - "title": "Use of Alternate Factor", - "params": [ - { - "id": "ac-7.4_prm_1", - "label": "organization-defined authentication factors" - }, - { - "id": "ac-7.4_prm_2", - "label": "organization-defined number" - }, - { - "id": "ac-7.4_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-7(4)" - }, - { - "name": "sort-id", - "value": "AC-07(04)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allow the use of {{ insert: param, ac-7.4_prm_1 }} that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and" - }, - { - "id": "ac-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce a limit of {{ insert: param, ac-7.4_prm_2 }} consecutive invalid logon attempts through use of the alternative factors by a user during a {{ insert: param, ac-7.4_prm_3 }}." - } - ] - }, - { - "id": "ac-7.4_gdn", - "name": "guidance", - "prose": "The use of alternate authentication factors supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout." - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "params": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner" - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "AC-08" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Display {{ insert: param, ac-8_prm_1 }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the system indicates consent to monitoring and recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Display system use information {{ insert: param, ac-8_prm_2 }}, before granting further access to the publicly accessible system;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Include a description of the authorized uses of the system." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content." - } - ] - }, - { - "id": "ac-9", - "class": "SP800-53", - "title": "Previous Logon Notification", - "props": [ - { - "name": "label", - "value": "AC-9" - }, - { - "name": "sort-id", - "value": "AC-09" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-9_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon to the system, of the date and time of the last logon." - }, - { - "id": "ac-9_gdn", - "name": "guidance", - "prose": "Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user’s last access." - } - ], - "controls": [ - { - "id": "ac-9.1", - "class": "SP800-53-enhancement", - "title": "Unsuccessful Logons", - "props": [ - { - "name": "label", - "value": "AC-9(1)" - }, - { - "name": "sort-id", - "value": "AC-09(01)" - } - ], - "parts": [ - { - "id": "ac-9.1_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon." - }, - { - "id": "ac-9.1_gdn", - "name": "guidance", - "prose": "Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user’s actual logon attempts." - } - ] - }, - { - "id": "ac-9.2", - "class": "SP800-53-enhancement", - "title": "Successful and Unsuccessful Logons", - "params": [ - { - "id": "ac-9.2_prm_1", - "select": { - "choice": [ - "successful logons", - "unsuccessful logon attempts", - "both" - ] - } - }, - { - "id": "ac-9.2_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(2)" - }, - { - "name": "sort-id", - "value": "AC-09(02)" - } - ], - "parts": [ - { - "id": "ac-9.2_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the number of {{ insert: param, ac-9.2_prm_1 }} during {{ insert: param, ac-9.2_prm_2 }}." - }, - { - "id": "ac-9.2_gdn", - "name": "guidance", - "prose": "Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts is consistent with the user’s actual logon attempts." - } - ] - }, - { - "id": "ac-9.3", - "class": "SP800-53-enhancement", - "title": "Notification of Account Changes", - "params": [ - { - "id": "ac-9.3_prm_1", - "label": "organization-defined security-related characteristics or parameters of the user’s account" - }, - { - "id": "ac-9.3_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(3)" - }, - { - "name": "sort-id", - "value": "AC-09(03)" - } - ], - "parts": [ - { - "id": "ac-9.3_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of changes to {{ insert: param, ac-9.3_prm_1 }} during {{ insert: param, ac-9.3_prm_2 }}." - }, - { - "id": "ac-9.3_gdn", - "name": "guidance", - "prose": "Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge." - } - ] - }, - { - "id": "ac-9.4", - "class": "SP800-53-enhancement", - "title": "Additional Logon Information", - "params": [ - { - "id": "ac-9.4_prm_1", - "label": "organization-defined additional information" - } - ], - "props": [ - { - "name": "label", - "value": "AC-9(4)" - }, - { - "name": "sort-id", - "value": "AC-09(04)" - } - ], - "parts": [ - { - "id": "ac-9.4_smt", - "name": "statement", - "prose": "Notify the user, upon successful logon, of the following additional information: {{ insert: param, ac-9.4_prm_1 }}." - }, - { - "id": "ac-9.4_gdn", - "name": "guidance", - "prose": "Organizations can specify additional information to be provided to users upon logon, including the location of last logon. User location is defined as that information which can be determined by systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers." - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "params": [ - { - "id": "ac-10_prm_1", - "label": "organization-defined account and/or account type" - }, - { - "id": "ac-10_prm_2", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "AC-10" - } - ], - "links": [ - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "Limit the number of concurrent sessions for each {{ insert: param, ac-10_prm_1 }} to {{ insert: param, ac-10_prm_2 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts." - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Device Lock", - "params": [ - { - "id": "ac-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "initiating a device lock after {{ insert: param, ac-11_prm_2 }} of inactivity", - "requiring the user to initiate a device lock before leaving the system unattended" - ] - } - }, - { - "id": "ac-11_prm_2", - "depends-on": "ac-11_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "AC-11" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevent further access to the system by {{ insert: param, ac-11_prm_1 }}; and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the device lock until the user reestablishes access using established identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User initiated device locking is behavior or policy-based and as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays." - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "props": [ - { - "name": "label", - "value": "AC-11(1)" - }, - { - "name": "sort-id", - "value": "AC-11(01)" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "Conceal, via the device lock, information previously visible on the display with a publicly viewable image." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "The pattern-hiding display can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the caveat that controlled unclassified information is not displayed." - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "params": [ - { - "id": "ac-12_prm_1", - "label": "organization-defined conditions or trigger events requiring session disconnect" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "AC-12" - } - ], - "links": [ - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "Automatically terminate a user session after {{ insert: param, ac-12_prm_1 }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "Session termination addresses the termination of user-initiated logical sessions (in contrast to SC-10, which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use." - } - ], - "controls": [ - { - "id": "ac-12.1", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts", - "params": [ - { - "id": "ac-12.1_prm_1", - "label": "organization-defined information resources" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(1)" - }, - { - "name": "sort-id", - "value": "AC-12(01)" - } - ], - "parts": [ - { - "id": "ac-12.1_smt", - "name": "statement", - "prose": "Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to {{ insert: param, ac-12.1_prm_1 }}." - }, - { - "id": "ac-12.1_gdn", - "name": "guidance", - "prose": "Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services." - } - ] - }, - { - "id": "ac-12.2", - "class": "SP800-53-enhancement", - "title": "Termination Message", - "props": [ - { - "name": "label", - "value": "AC-12(2)" - }, - { - "name": "sort-id", - "value": "AC-12(02)" - } - ], - "parts": [ - { - "id": "ac-12.2_smt", - "name": "statement", - "prose": "Display an explicit logout message to users indicating the termination of authenticated communications sessions." - }, - { - "id": "ac-12.2_gdn", - "name": "guidance", - "prose": "Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions." - } - ] - }, - { - "id": "ac-12.3", - "class": "SP800-53-enhancement", - "title": "Timeout Warning Message", - "params": [ - { - "id": "ac-12.3_prm_1", - "label": "organization-defined time until end of session" - } - ], - "props": [ - { - "name": "label", - "value": "AC-12(3)" - }, - { - "name": "sort-id", - "value": "AC-12(03)" - } - ], - "parts": [ - { - "id": "ac-12.3_smt", - "name": "statement", - "prose": "Display an explicit message to users indicating that the session will end in {{ insert: param, ac-12.3_prm_1 }}." - }, - { - "id": "ac-12.3_gdn", - "name": "guidance", - "prose": "To increase usability, notify users of pending session termination and prompt users to continue the session." - } - ] - } - ] - }, - { - "id": "ac-13", - "class": "SP800-53", - "title": "Supervision and Review — Access Control", - "props": [ - { - "name": "label", - "value": "AC-13" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-13" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "params": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "AC-14" - } - ], - "links": [ - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify {{ insert: param, ac-14_prm_1 }} that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication is not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems; when individuals use mobile phones to receive calls; or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication and therefore, the value for the assignment can be none." - } - ], - "controls": [ - { - "id": "ac-14.1", - "class": "SP800-53-enhancement", - "title": "Necessary Uses", - "props": [ - { - "name": "label", - "value": "AC-14(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-14(01)" - } - ], - "links": [ - { - "href": "#ac-14", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ac-15", - "class": "SP800-53", - "title": "Automated Marking", - "props": [ - { - "name": "label", - "value": "AC-15" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-15" - } - ], - "links": [ - { - "href": "#mp-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-16", - "class": "SP800-53", - "title": "Security and Privacy Attributes", - "params": [ - { - "id": "ac-16_prm_1", - "label": "organization-defined types of security and privacy attributes" - }, - { - "id": "ac-16_prm_2", - "label": "organization-defined security and privacy attribute values" - }, - { - "id": "ac-16_prm_3", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_4", - "label": "organization-defined systems" - }, - { - "id": "ac-16_prm_5", - "label": "organization-defined values or ranges" - }, - { - "id": "ac-16_prm_6", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16_prm_7", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16" - }, - { - "name": "sort-id", - "value": "AC-16" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-16_smt", - "name": "statement", - "parts": [ - { - "id": "ac-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the means to associate {{ insert: param, ac-16_prm_1 }} having {{ insert: param, ac-16_prm_2 }} with information in storage, in process, and/or in transmission;" - }, - { - "id": "ac-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the attribute associations are made and retained with the information;" - }, - { - "id": "ac-16_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish the permitted {{ insert: param, ac-16_prm_3 }} for {{ insert: param, ac-16_prm_4 }};" - }, - { - "id": "ac-16_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determine the permitted {{ insert: param, ac-16_prm_5 }} for each of the established attributes;" - }, - { - "id": "ac-16_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Audit changes to attributes; and" - }, - { - "id": "ac-16_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Review {{ insert: param, ac-16_prm_6 }} for applicability {{ insert: param, ac-16_prm_7 }}." - } - ] - }, - { - "id": "ac-16_gdn", - "name": "guidance", - "prose": "Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. Release markings include US only, NATO (North Atlantic Treaty Organization), or NOFORN (not releasable to foreign nationals). By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements; access authorizations; nationality; data life cycle protection (i.e., encryption and data expiration); personally identifiable information processing permissions; individual consent to personally identifiable information processing; and affiliation as a contractor. Conversely, marking refers to the association of attributes with objects in a human-readable form. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret." - } - ], - "controls": [ - { - "id": "ac-16.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Attribute Association", - "params": [ - { - "id": "ac-16.1_prm_1", - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.1_prm_2", - "label": "organization-defined security and privacy policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(1)" - }, - { - "name": "sort-id", - "value": "AC-16(01)" - } - ], - "parts": [ - { - "id": "ac-16.1_smt", - "name": "statement", - "prose": "Dynamically associate security and privacy attributes with {{ insert: param, ac-16.1_prm_1 }} in accordance with the following security and privacy policies as information is created and combined: {{ insert: param, ac-16.1_prm_2 }}." - }, - { - "id": "ac-16.1_gdn", - "name": "guidance", - "prose": "Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements); changes in individual access authorizations (i.e., privileges); changes in the security category of information; or changes in security or privacy policies. Attributes may also change situationally." - } - ] - }, - { - "id": "ac-16.2", - "class": "SP800-53-enhancement", - "title": "Attribute Value Changes by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(2)" - }, - { - "name": "sort-id", - "value": "AC-16(02)" - } - ], - "parts": [ - { - "id": "ac-16.2_smt", - "name": "statement", - "prose": "Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes." - }, - { - "id": "ac-16.2_gdn", - "name": "guidance", - "prose": "The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals." - } - ] - }, - { - "id": "ac-16.3", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Associations by System", - "params": [ - { - "id": "ac-16.3_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.3_prm_2", - "label": "organization-defined subjects and objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(3)" - }, - { - "name": "sort-id", - "value": "AC-16(03)" - } - ], - "parts": [ - { - "id": "ac-16.3_smt", - "name": "statement", - "prose": "Maintain the association and integrity of {{ insert: param, ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - }, - { - "id": "ac-16.3_gdn", - "name": "guidance", - "prose": "Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from “known good” baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions." - } - ] - }, - { - "id": "ac-16.4", - "class": "SP800-53-enhancement", - "title": "Association of Attributes by Authorized Individuals", - "params": [ - { - "id": "ac-16.4_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.4_prm_2", - "label": "organization-defined subjects and objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(4)" - }, - { - "name": "sort-id", - "value": "AC-16(04)" - } - ], - "parts": [ - { - "id": "ac-16.4_smt", - "name": "statement", - "prose": "Provide the capability to associate {{ insert: param, ac-16.4_prm_1 }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals (or processes acting on behalf of individuals)." - }, - { - "id": "ac-16.4_gdn", - "name": "guidance", - "prose": "Systems in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects; employing automated mechanisms to categorize information with attributes based on defined policies; or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events." - } - ] - }, - { - "id": "ac-16.5", - "class": "SP800-53-enhancement", - "title": "Attribute Displays for Output Devices", - "params": [ - { - "id": "ac-16.5_prm_1", - "label": "organization-defined special dissemination, handling, or distribution instructions" - }, - { - "id": "ac-16.5_prm_2", - "label": "organization-defined human-readable, standard naming conventions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(5)" - }, - { - "name": "sort-id", - "value": "AC-16(05)" - } - ], - "parts": [ - { - "id": "ac-16.5_smt", - "name": "statement", - "prose": "Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify {{ insert: param, ac-16.5_prm_1 }} using {{ insert: param, ac-16.5_prm_2 }}." - }, - { - "id": "ac-16.5_gdn", - "name": "guidance", - "prose": "System outputs include printed pages, screens, or equivalent. System output devices include printers, notebook computers, video displays, tablets, and smartphones. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber." - } - ] - }, - { - "id": "ac-16.6", - "class": "SP800-53-enhancement", - "title": "Maintenance of Attribute Association by Organization", - "params": [ - { - "id": "ac-16.6_prm_1", - "label": "organization-defined security and privacy attributes" - }, - { - "id": "ac-16.6_prm_2", - "label": "organization-defined subjects and objects" - }, - { - "id": "ac-16.6_prm_3", - "label": "organization-defined security and privacy policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(6)" - }, - { - "name": "sort-id", - "value": "AC-16(06)" - } - ], - "parts": [ - { - "id": "ac-16.6_smt", - "name": "statement", - "prose": "Require personnel to associate and maintain the association of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param, ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3 }}." - }, - { - "id": "ac-16.6_gdn", - "name": "guidance", - "prose": "This control enhancement requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects." - } - ] - }, - { - "id": "ac-16.7", - "class": "SP800-53-enhancement", - "title": "Consistent Attribute Interpretation", - "props": [ - { - "name": "label", - "value": "AC-16(7)" - }, - { - "name": "sort-id", - "value": "AC-16(07)" - } - ], - "parts": [ - { - "id": "ac-16.7_smt", - "name": "statement", - "prose": "Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components." - }, - { - "id": "ac-16.7_gdn", - "name": "guidance", - "prose": "To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions." - } - ] - }, - { - "id": "ac-16.8", - "class": "SP800-53-enhancement", - "title": "Association Techniques and Technologies", - "params": [ - { - "id": "ac-16.8_prm_1", - "label": "organization-defined techniques and technologies" - }, - { - "id": "ac-16.8_prm_2", - "label": "organization-defined level of assurance" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(8)" - }, - { - "name": "sort-id", - "value": "AC-16(08)" - } - ], - "parts": [ - { - "id": "ac-16.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-16.8_prm_1 }} with {{ insert: param, ac-16.8_prm_2 }} in associating security and privacy attributes to information." - }, - { - "id": "ac-16.8_gdn", - "name": "guidance", - "prose": "The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can bind attributes to information cryptographically using digital signatures supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust)." - } - ] - }, - { - "id": "ac-16.9", - "class": "SP800-53-enhancement", - "title": "Attribute Reassignment — Regrading Mechanisms", - "params": [ - { - "id": "ac-16.9_prm_1", - "label": "organization-defined techniques or procedures" - } - ], - "props": [ - { - "name": "label", - "value": "AC-16(9)" - }, - { - "name": "sort-id", - "value": "AC-16(09)" - } - ], - "parts": [ - { - "id": "ac-16.9_smt", - "name": "statement", - "prose": "Change security and privacy attributes associated with information only via regrading mechanisms validated using {{ insert: param, ac-16.9_prm_1 }}." - }, - { - "id": "ac-16.9_gdn", - "name": "guidance", - "prose": "A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation." - } - ] - }, - { - "id": "ac-16.10", - "class": "SP800-53-enhancement", - "title": "Attribute Configuration by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "AC-16(10)" - }, - { - "name": "sort-id", - "value": "AC-16(10)" - } - ], - "parts": [ - { - "id": "ac-16.10_smt", - "name": "statement", - "prose": "Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects." - }, - { - "id": "ac-16.10_gdn", - "name": "guidance", - "prose": "The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only." - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "props": [ - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "AC-17" - } - ], - "links": [ - { - "href": "#7768c184-088d-4ee8-a316-f9286b52df7f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "rel": "reference" - }, - { - "href": "#60b24979-65b8-4ca5-a442-11b74339fab5", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of remote access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote access is addressed via AC-3." - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Monitoring and Control", - "props": [ - { - "name": "label", - "value": "AC-17(1)" - }, - { - "name": "sort-id", - "value": "AC-17(01)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to monitor and control remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by AU-2. Audit events are defined in AU-2a." - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality and Integrity Using Encryption", - "props": [ - { - "name": "label", - "value": "AC-17(2)" - }, - { - "name": "sort-id", - "value": "AC-17(02)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions." - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "props": [ - { - "name": "label", - "value": "AC-17(3)" - }, - { - "name": "sort-id", - "value": "AC-17(03)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "Route remote accesses through authorized and managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Organizations consider the Trusted Internet Connections initiative [DHS TIC] requirements for external network connections since limiting the number of access control points for remote accesses reduces attack surface." - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands and Access", - "params": [ - { - "id": "ac-17.4_prm_1", - "label": "organization-defined needs" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(4)" - }, - { - "name": "sort-id", - "value": "AC-17(04)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, ac-17.4_prm_1 }}; and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Document the rationale for remote access in the security plan for the system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "prose": "Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability." - } - ] - }, - { - "id": "ac-17.5", - "class": "SP800-53-enhancement", - "title": "Monitoring for Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-17(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(05)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.6", - "class": "SP800-53-enhancement", - "title": "Protection of Mechanism Information", - "props": [ - { - "name": "label", - "value": "AC-17(6)" - }, - { - "name": "sort-id", - "value": "AC-17(06)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.6_smt", - "name": "statement", - "prose": "Protect information about remote access mechanisms from unauthorized use and disclosure." - }, - { - "id": "ac-17.6_gdn", - "name": "guidance", - "prose": "Remote access to organizational information by nonorganizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see PL-4) and access agreements (see PS-6)." - } - ] - }, - { - "id": "ac-17.7", - "class": "SP800-53-enhancement", - "title": "Additional Protection for Security Function Access", - "props": [ - { - "name": "label", - "value": "AC-17(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(07)" - } - ], - "links": [ - { - "href": "#ac-3.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.8", - "class": "SP800-53-enhancement", - "title": "Disable Nonsecure Network Protocols", - "props": [ - { - "name": "label", - "value": "AC-17(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-17(08)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect or Disable Access", - "params": [ - { - "id": "ac-17.9_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(9)" - }, - { - "name": "sort-id", - "value": "AC-17(09)" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "Provide the capability to disconnect or disable remote access to the system within {{ insert: param, ac-17.9_prm_1 }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems." - } - ] - }, - { - "id": "ac-17.10", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "ac-17.10_prm_1", - "label": "organization-defined controls" - }, - { - "id": "ac-17.10_prm_2", - "label": "organization-defined remote commands" - } - ], - "props": [ - { - "name": "label", - "value": "AC-17(10)" - }, - { - "name": "sort-id", - "value": "AC-17(10)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-17.10_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ac-17.10_prm_1 }} to authenticate {{ insert: param, ac-17.10_prm_2 }}." - }, - { - "id": "ac-17.10_gdn", - "name": "guidance", - "prose": "Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The capability to authenticate remote commands is important for remote systems whose loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, including injury or death; property damage; loss of high value assets; failure of missions or business functions; or compromise of classified or controlled unclassified information. Authentication controls for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands." - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "props": [ - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "AC-18" - } - ], - "links": [ - { - "href": "#41e2e2c6-2260-4258-85c8-09db17c43103", - "rel": "reference" - }, - { - "href": "#6bed1550-cd5d-4e80-8d83-4e597c1514fe", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize each type of wireless access to the system prior to allowing such connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide credential protection and mutual authentication." - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "params": [ - { - "id": "ac-18.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "users", - "devices" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AC-18(1)" - }, - { - "name": "sort-id", - "value": "AC-18(01)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "Protect wireless access to the system using authentication of {{ insert: param, ac-18.1_prm_1 }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices with encryption can reduce susceptibility to threats by adversaries involving wireless technologies." - } - ] - }, - { - "id": "ac-18.2", - "class": "SP800-53-enhancement", - "title": "Monitoring Unauthorized Connections", - "props": [ - { - "name": "label", - "value": "AC-18(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-18(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-18.3", - "class": "SP800-53-enhancement", - "title": "Disable Wireless Networking", - "props": [ - { - "name": "label", - "value": "AC-18(3)" - }, - { - "name": "sort-id", - "value": "AC-18(03)" - } - ], - "parts": [ - { - "id": "ac-18.3_smt", - "name": "statement", - "prose": "Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment." - }, - { - "id": "ac-18.3_gdn", - "name": "guidance", - "prose": "Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies." - } - ] - }, - { - "id": "ac-18.4", - "class": "SP800-53-enhancement", - "title": "Restrict Configurations by Users", - "props": [ - { - "name": "label", - "value": "AC-18(4)" - }, - { - "name": "sort-id", - "value": "AC-18(04)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.4_smt", - "name": "statement", - "prose": "Identify and explicitly authorize users allowed to independently configure wireless networking capabilities." - }, - { - "id": "ac-18.4_gdn", - "name": "guidance", - "prose": "Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems." - } - ] - }, - { - "id": "ac-18.5", - "class": "SP800-53-enhancement", - "title": "Antennas and Transmission Power Levels", - "props": [ - { - "name": "label", - "value": "AC-18(5)" - }, - { - "name": "sort-id", - "value": "AC-18(05)" - } - ], - "links": [ - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-18.5_smt", - "name": "statement", - "prose": "Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries." - }, - { - "id": "ac-18.5_gdn", - "name": "guidance", - "prose": "Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area." - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "props": [ - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "AC-19" - } - ], - "links": [ - { - "href": "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize the connection of mobile devices to organizational systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending upon the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems. Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many controls for mobile devices are reflected in other controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled." - } - ], - "controls": [ - { - "id": "ac-19.1", - "class": "SP800-53-enhancement", - "title": "Use of Writable and Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(01)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.2", - "class": "SP800-53-enhancement", - "title": "Use of Personally Owned Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "AC-19(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(02)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.3", - "class": "SP800-53-enhancement", - "title": "Use of Portable Storage Devices with No Identifiable Owner", - "props": [ - { - "name": "label", - "value": "AC-19(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AC-19(03)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ac-19.4", - "class": "SP800-53-enhancement", - "title": "Restrictions for Classified Information", - "params": [ - { - "id": "ac-19.4_prm_1", - "label": "organization-defined security officials" - }, - { - "id": "ac-19.4_prm_2", - "label": "organization-defined security policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(4)" - }, - { - "name": "sort-id", - "value": "AC-19(04)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.4_smt", - "name": "statement", - "parts": [ - { - "id": "ac-19.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and" - }, - { - "id": "ac-19.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:", - "parts": [ - { - "id": "ac-19.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Connection of unclassified mobile devices to classified systems is prohibited;" - }, - { - "id": "ac-19.4_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;" - }, - { - "id": "ac-19.4_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "(3)" - } - ], - "prose": "Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and" - }, - { - "id": "ac-19.4_smt.b.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "(4)" - } - ], - "prose": "Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by {{ insert: param, ac-19.4_prm_1 }}, and if classified information is found, the incident handling policy is followed." - } - ] - }, - { - "id": "ac-19.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Restrict the connection of classified mobile devices to classified systems in accordance with {{ insert: param, ac-19.4_prm_2 }}." - } - ] - }, - { - "id": "ac-19.4_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device and Container-based Encryption", - "params": [ - { - "id": "ac-19.5_prm_1", - "select": { - "choice": [ - "full-device encryption", - "container-based encryption" - ] - } - }, - { - "id": "ac-19.5_prm_2", - "label": "organization-defined mobile devices" - } - ], - "props": [ - { - "name": "label", - "value": "AC-19(5)" - }, - { - "name": "sort-id", - "value": "AC-19(05)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-19.5_prm_1 }} to protect the confidentiality and integrity of information on {{ insert: param, ac-19.5_prm_2 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields." - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Systems", - "params": [ - { - "id": "ac-20_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ac-20_prm_2 }} ", - " {{ insert: param, ac-20_prm_3 }} " - ] - } - }, - { - "id": "ac-20_prm_2", - "depends-on": "ac-20_prm_1", - "label": "organization-defined terms and conditions" - }, - { - "id": "ac-20_prm_3", - "depends-on": "ac-20_prm_1", - "label": "organization-defined controls asserted to be implemented on external systems" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "AC-20" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "Establish {{ insert: param, ac-20_prm_1 }}, consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the system from external systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External systems are systems that are used by, but not a part of, organizational systems and for which the organization has no direct control over the implementation of required security and privacy controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. External systems also include systems owned or operated by other components within the same organization, and systems within the organization with different authorization boundaries. For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components, or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems." - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits on Authorized Use", - "props": [ - { - "name": "label", - "value": "AC-20(1)" - }, - { - "name": "sort-id", - "value": "AC-20(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retention of approved system connection or processing agreements with the organizational entity hosting the external system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "Limits on authorized use recognizes the circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations." - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices — Restricted Use", - "params": [ - { - "id": "ac-20.2_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(2)" - }, - { - "name": "sort-id", - "value": "AC-20(02)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, ac-20.2_prm_1 }}." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used." - } - ] - }, - { - "id": "ac-20.3", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems — Restricted Use", - "params": [ - { - "id": "ac-20.3_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(3)" - }, - { - "name": "sort-id", - "value": "AC-20(03)" - } - ], - "parts": [ - { - "id": "ac-20.3_smt", - "name": "statement", - "prose": "Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using {{ insert: param, ac-20.3_prm_1 }}." - }, - { - "id": "ac-20.3_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use (see AC-20(6)). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident." - } - ] - }, - { - "id": "ac-20.4", - "class": "SP800-53-enhancement", - "title": "Network Accessible Storage Devices", - "params": [ - { - "id": "ac-20.4_prm_1", - "label": "organization-defined network accessible storage devices" - } - ], - "props": [ - { - "name": "label", - "value": "AC-20(4)" - }, - { - "name": "sort-id", - "value": "AC-20(04)" - } - ], - "parts": [ - { - "id": "ac-20.4_smt", - "name": "statement", - "prose": "Prohibit the use of {{ insert: param, ac-20.4_prm_1 }} in external systems." - }, - { - "id": "ac-20.4_gdn", - "name": "guidance", - "prose": "Network accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems." - } - ] - }, - { - "id": "ac-20.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices — Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(5)" - }, - { - "name": "sort-id", - "value": "AC-20(05)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-20.5_smt", - "name": "statement", - "prose": "Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems." - }, - { - "id": "ac-20.5_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices." - } - ] - }, - { - "id": "ac-20.6", - "class": "SP800-53-enhancement", - "title": "Non-organizationally Owned Systems — Prohibited Use", - "props": [ - { - "name": "label", - "value": "AC-20(6)" - }, - { - "name": "sort-id", - "value": "AC-20(06)" - } - ], - "parts": [ - { - "id": "ac-20.6_smt", - "name": "statement", - "prose": "Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information." - }, - { - "id": "ac-20.6_gdn", - "name": "guidance", - "prose": "Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way (see AC-20(4))." - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "params": [ - { - "id": "ac-21_prm_1", - "label": "organization-defined information sharing circumstances where user discretion is required" - }, - { - "id": "ac-21_prm_2", - "label": "organization-defined automated mechanisms or manual processes" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "AC-21" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_prm_1 }}; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ {{ insert: param, ac-21_prm_2 }} to assist users in making information sharing and collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA)." - } - ], - "controls": [ - { - "id": "ac-21.1", - "class": "SP800-53-enhancement", - "title": "Automated Decision Support", - "params": [ - { - "id": "ac-21.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(1)" - }, - { - "name": "sort-id", - "value": "AC-21(01)" - } - ], - "parts": [ - { - "id": "ac-21.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-21.1_prm_1 }} to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared." - }, - { - "id": "ac-21.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms are used to enforce information sharing decisions." - } - ] - }, - { - "id": "ac-21.2", - "class": "SP800-53-enhancement", - "title": "Information Search and Retrieval", - "params": [ - { - "id": "ac-21.2_prm_1", - "label": "organization-defined information sharing restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-21(2)" - }, - { - "name": "sort-id", - "value": "AC-21(02)" - } - ], - "parts": [ - { - "id": "ac-21.2_smt", - "name": "statement", - "prose": "Implement information search and retrieval services that enforce {{ insert: param, ac-21.2_prm_1 }}." - }, - { - "id": "ac-21.2_gdn", - "name": "guidance", - "prose": "Information search and retrieval services identify information system resources relevant to an information need." - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "params": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "AC-22" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designate individuals authorized to make information publicly accessible;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the content on the publicly accessible system for nonpublic information {{ insert: param, ac-22_prm_1 }} and remove such information, if discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT] and proprietary information. This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, this control addresses the management of the individuals who make such information publicly accessible." - } - ] - }, - { - "id": "ac-23", - "class": "SP800-53", - "title": "Data Mining Protection", - "params": [ - { - "id": "ac-23_prm_1", - "label": "organization-defined data mining prevention and detection techniques" - }, - { - "id": "ac-23_prm_2", - "label": "organization-defined data storage objects" - } - ], - "props": [ - { - "name": "label", - "value": "AC-23" - }, - { - "name": "sort-id", - "value": "AC-23" - } - ], - "links": [ - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ac-23_prm_1 }} for {{ insert: param, ac-23_prm_2 }} to detect and protect against unauthorized data mining." - }, - { - "id": "ac-23_gdn", - "name": "guidance", - "prose": "Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. Data mining prevention and detection techniques include limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; limiting types of responses provided to database queries; applying differential privacy techniques or homomorphic encryption; and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open source information residing on external sites, for example, through social networking or social media websites. [EO 13587] requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. This control requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining, which can be used by an insider to collect organizational information for the purpose of exfiltration." - } - ] - }, - { - "id": "ac-24", - "class": "SP800-53", - "title": "Access Control Decisions", - "params": [ - { - "id": "ac-24_prm_1", - "select": { - "choice": [ - "Establish procedures", - "Implement mechanisms" - ] - } - }, - { - "id": "ac-24_prm_2", - "label": "organization-defined access control decisions" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24" - }, - { - "name": "sort-id", - "value": "AC-24" - } - ], - "links": [ - { - "href": "#359f960c-2598-454c-ba3b-a30c553e498f", - "rel": "reference" - }, - { - "href": "#223b23a9-baea-4a50-8058-63cf7967b61f", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24_smt", - "name": "statement", - "prose": "{{ insert: param, ac-24_prm_1 }} to ensure {{ insert: param, ac-24_prm_2 }} are applied to each access request prior to access enforcement." - }, - { - "id": "ac-24_gdn", - "name": "guidance", - "prose": "Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may perform access control decisions and access enforcement." - } - ], - "controls": [ - { - "id": "ac-24.1", - "class": "SP800-53-enhancement", - "title": "Transmit Access Authorization Information", - "params": [ - { - "id": "ac-24.1_prm_1", - "label": "organization-defined access authorization information" - }, - { - "id": "ac-24.1_prm_2", - "label": "organization-defined controls" - }, - { - "id": "ac-24.1_prm_3", - "label": "organization-defined systems" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(1)" - }, - { - "name": "sort-id", - "value": "AC-24(01)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-24.1_smt", - "name": "statement", - "prose": "Transmit {{ insert: param, ac-24.1_prm_1 }} using {{ insert: param, ac-24.1_prm_2 }} to {{ insert: param, ac-24.1_prm_3 }} that enforce access control decisions." - }, - { - "id": "ac-24.1_gdn", - "name": "guidance", - "prose": "Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission." - } - ] - }, - { - "id": "ac-24.2", - "class": "SP800-53-enhancement", - "title": "No User or Process Identity", - "params": [ - { - "id": "ac-24.2_prm_1", - "label": "organization-defined security or privacy attributes" - } - ], - "props": [ - { - "name": "label", - "value": "AC-24(2)" - }, - { - "name": "sort-id", - "value": "AC-24(02)" - } - ], - "parts": [ - { - "id": "ac-24.2_smt", - "name": "statement", - "prose": "Enforce access control decisions based on {{ insert: param, ac-24.2_prm_1 }} that do not include the identity of the user or process acting on behalf of the user." - }, - { - "id": "ac-24.2_gdn", - "name": "guidance", - "prose": "In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute." - } - ] - } - ] - }, - { - "id": "ac-25", - "class": "SP800-53", - "title": "Reference Monitor", - "params": [ - { - "id": "ac-25_prm_1", - "label": "organization-defined access control policies" - } - ], - "props": [ - { - "name": "label", - "value": "AC-25" - }, - { - "name": "sort-id", - "value": "AC-25" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ac-25_smt", - "name": "statement", - "prose": "Implement a reference monitor for {{ insert: param, ac-25_prm_1 }} that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured." - }, - { - "id": "ac-25_gdn", - "name": "guidance", - "prose": "A reference monitor is a set of design requirements on a reference validation mechanism that as key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked (i.e., complete mediation); tamperproof; and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents determined adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy." - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "at-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "at-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "at-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "AT-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, at-1_prm_2 }} awareness and training policy that:", - "parts": [ - { - "id": "at-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "at-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, at-1_prm_3 }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and" - }, - { - "id": "at-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current awareness and training:", - "parts": [ - { - "id": "at-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, at-1_prm_4 }}; and" - }, - { - "id": "at-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, at-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Awareness Training", - "params": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "at-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "AT-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide security and privacy awareness training to system users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "As part of initial training for new users and {{ insert: param, at-2_prm_1 }} thereafter; and" - }, - { - "id": "at-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required by system changes; and" - } - ] - }, - { - "id": "at-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update awareness training {{ insert: param, at-2_prm_2 }}." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations provide foundational and advanced levels of awareness training to system users, including measures to test the knowledge level of users. Organizations determine the content of awareness training based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy and actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information. Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Awareness training after the initial training described in AT-2a.1, is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent awareness training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes; changes to organizational security and privacy policies; revised security and privacy expectations; or a subset of topics from the initial training. Updating awareness training on a regular basis helps to ensure the content remains relevant and effective." - } - ], - "controls": [ - { - "id": "at-2.1", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-2(1)" - }, - { - "name": "sort-id", - "value": "AT-02(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.1_smt", - "name": "statement", - "prose": "Provide practical exercises in awareness training that simulate events and incidents." - }, - { - "id": "at-2.1_gdn", - "name": "guidance", - "prose": "Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments; or invoking, via spear phishing attacks, malicious web links." - } - ] - }, - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "props": [ - { - "name": "label", - "value": "AT-2(2)" - }, - { - "name": "sort-id", - "value": "AT-02(02)" - } - ], - "links": [ - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing and reporting potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or sexual harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Awareness training includes how to communicate concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in behavior of team members, while training for employees may be focused on more general observations." - } - ] - }, - { - "id": "at-2.3", - "class": "SP800-53-enhancement", - "title": "Social Engineering and Mining", - "props": [ - { - "name": "label", - "value": "AT-2(3)" - }, - { - "name": "sort-id", - "value": "AT-02(03)" - } - ], - "parts": [ - { - "id": "at-2.3_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing and reporting potential and actual instances of social engineering and social mining." - }, - { - "id": "at-2.3_gdn", - "name": "guidance", - "prose": "Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Awareness training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures." - } - ] - }, - { - "id": "at-2.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "params": [ - { - "id": "at-2.4_prm_1", - "label": "organization-defined indicators of malicious code" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2(4)" - }, - { - "name": "sort-id", - "value": "AT-02(04)" - } - ], - "parts": [ - { - "id": "at-2.4_smt", - "name": "statement", - "prose": "Provide awareness training on recognizing suspicious communications and anomalous behavior in organizational systems using {{ insert: param, at-2.4_prm_1 }}." - }, - { - "id": "at-2.4_gdn", - "name": "guidance", - "prose": "A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations." - } - ] - }, - { - "id": "at-2.5", - "class": "SP800-53-enhancement", - "title": "Breach", - "props": [ - { - "name": "label", - "value": "AT-2(5)" - }, - { - "name": "sort-id", - "value": "AT-02(05)" - } - ], - "links": [ - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.5_smt", - "name": "statement", - "prose": "Provide awareness training on how to identify and respond to a breach, including the organization’s process for reporting a breach." - }, - { - "id": "at-2.5_gdn", - "name": "guidance", - "prose": "A breach is a type of incident that involves personally identifiable information. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The awareness training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Awareness training includes tabletop exercises that simulate a breach." - } - ] - }, - { - "id": "at-2.6", - "class": "SP800-53-enhancement", - "title": "Advanced Persistent Threat", - "props": [ - { - "name": "label", - "value": "AT-2(6)" - }, - { - "name": "sort-id", - "value": "AT-02(06)" - } - ], - "parts": [ - { - "id": "at-2.6_smt", - "name": "statement", - "prose": "Provide awareness training on the advanced persistent threat." - }, - { - "id": "at-2.6_gdn", - "name": "guidance", - "prose": "An effective way to detect advanced persistent threats (APT) and to preclude success attacks is to provide specific awareness training for individuals. Threat awareness training includes educating individuals on the various ways APTs can infiltrate into the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home." - } - ] - }, - { - "id": "at-2.7", - "class": "SP800-53-enhancement", - "title": "Cyber Threat Environment", - "props": [ - { - "name": "label", - "value": "AT-2(7)" - }, - { - "name": "sort-id", - "value": "AT-02(07)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "at-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide awareness training on the cyber threat environment; and" - }, - { - "id": "at-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reflect current cyber threat information in system operations." - } - ] - }, - { - "id": "at-2.7_gdn", - "name": "guidance", - "prose": "Since threats continue to change over time, the threat awareness training by the organization is dynamic. Moreover, threat awareness training is not performed in isolation from the system operations that support organizational missions and business functions." - } - ] - }, - { - "id": "at-2.8", - "class": "SP800-53-enhancement", - "title": "Training Feedback", - "params": [ - { - "id": "at-2.8_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "at-2.8_prm_2", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "AT-2(8)" - }, - { - "name": "sort-id", - "value": "AT-02(08)" - } - ], - "parts": [ - { - "id": "at-2.8_smt", - "name": "statement", - "prose": "Provide feedback on organizational training results to the following personnel {{ insert: param, at-2.8_prm_1 }}: {{ insert: param, at-2.8_prm_2 }}." - }, - { - "id": "at-2.8_gdn", - "name": "guidance", - "prose": "Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the assessment and update of organization training described in AT-2b." - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Training", - "params": [ - { - "id": "at-3_prm_1", - "label": "organization-defined roles and responsibilities" - }, - { - "id": "at-3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "at-3_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "AT-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ir-10", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-13", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, at-3_prm_1 }}:", - "parts": [ - { - "id": "at-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, at-3_prm_2 }} thereafter; and" - }, - { - "id": "at-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required by system changes; and" - } - ] - }, - { - "id": "at-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update role-based training {{ insert: param, at-3_prm_3 }}." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the content of training based on the assigned roles and responsibilities of individuals and the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational security and privacy programs. Role-based training also applies to contractors providing services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure the content remains relevant and effective." - } - ], - "controls": [ - { - "id": "at-3.1", - "class": "SP800-53-enhancement", - "title": "Environmental Controls", - "params": [ - { - "id": "at-3.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(1)" - }, - { - "name": "sort-id", - "value": "AT-03(01)" - } - ], - "links": [ - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.1_prm_1 }} with initial and {{ insert: param, at-3.1_prm_2 }} training in the employment and operation of environmental controls." - }, - { - "id": "at-3.1_gdn", - "name": "guidance", - "prose": "Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, and air conditioning, and power within the facility." - } - ] - }, - { - "id": "at-3.2", - "class": "SP800-53-enhancement", - "title": "Physical Security Controls", - "params": [ - { - "id": "at-3.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(2)" - }, - { - "name": "sort-id", - "value": "AT-03(02)" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-3.2_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.2_prm_1 }} with initial and {{ insert: param, at-3.2_prm_2 }} training in the employment and operation of physical security controls." - }, - { - "id": "at-3.2_gdn", - "name": "guidance", - "prose": "Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment." - } - ] - }, - { - "id": "at-3.3", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "props": [ - { - "name": "label", - "value": "AT-3(3)" - }, - { - "name": "sort-id", - "value": "AT-03(03)" - } - ], - "parts": [ - { - "id": "at-3.3_smt", - "name": "statement", - "prose": "Provide practical exercises in security and privacy training that reinforce training objectives." - }, - { - "id": "at-3.3_gdn", - "name": "guidance", - "prose": "Practical exercises for security include training for software developers that addresses simulated attacks exploiting common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on handling personally identifiable information in various scenarios, or scenarios on conducting privacy impact assessments." - } - ] - }, - { - "id": "at-3.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "props": [ - { - "name": "label", - "value": "AT-3(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AT-03(04)" - } - ], - "links": [ - { - "href": "#at-2.4", - "rel": "moved-to" - } - ] - }, - { - "id": "at-3.5", - "class": "SP800-53-enhancement", - "title": "Accessing Personally Identifiable Information", - "params": [ - { - "id": "at-3.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-3.5_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AT-3(5)" - }, - { - "name": "sort-id", - "value": "AT-03(05)" - } - ], - "parts": [ - { - "id": "at-3.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, at-3.5_prm_1 }} with initial and {{ insert: param, at-3.5_prm_2 }} training on:", - "parts": [ - { - "id": "at-3.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Organizational authority for collecting personally identifiable information;" - }, - { - "id": "at-3.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Authorized uses of personally identifiable information;" - }, - { - "id": "at-3.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identifying, reporting, and responding to a suspected or confirmed breach;" - }, - { - "id": "at-3.5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Content of system of records notices, computer matching agreements, and privacy impact assessments;" - }, - { - "id": "at-3.5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Authorized sharing of personally identifiable information with external parties; and" - }, - { - "id": "at-3.5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Rules of behavior and the consequences for unauthorized collection, use, or sharing of personally identifiable information." - } - ] - }, - { - "id": "at-3.5_gdn", - "name": "guidance", - "prose": "Role-based training addresses the responsibility of individuals when accessing personally identifiable information; the organization’s established rules of behavior when accessing personally identifiable information; the consequences for violating the rules of behavior; and how to respond to a breach. Role-based training helps ensure personnel comply with applicable privacy requirements and is necessary to manage privacy risks." - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Training Records", - "params": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "AT-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain individual training records for {{ insert: param, at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies." - } - ] - }, - { - "id": "at-5", - "class": "SP800-53", - "title": "Contacts with Security Groups and Associations", - "props": [ - { - "name": "label", - "value": "AT-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AT-05" - } - ], - "links": [ - { - "href": "#pm-15", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "au-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "au-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "au-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "AU-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, au-1_prm_2 }} audit and accountability policy that:", - "parts": [ - { - "id": "au-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "au-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, au-1_prm_3 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and" - }, - { - "id": "au-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current audit and accountability:", - "parts": [ - { - "id": "au-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, au-1_prm_4 }}; and" - }, - { - "id": "au-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, au-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the AU family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Event Logging", - "params": [ - { - "id": "au-2_prm_1", - "label": "organization-defined event types that the system is capable of logging" - }, - { - "id": "au-2_prm_2", - "label": "organization-defined event types (subset of the event types defined in AU-2 a.) along with the frequency of (or situation requiring) logging for each identified event type" - }, - { - "id": "au-2_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "AU-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#02d8ec60-6197-43f8-9f47-18732127963e", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-21", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Specify the following event types for logging within the system: {{ insert: param, au-2_prm_2 }};" - }, - { - "id": "au-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and" - }, - { - "id": "au-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Review and update the event types selected for logging {{ insert: param, au-2_prm_3 }}." - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes; failed logons or failed accesses related to systems; security or privacy attribute changes; administrative privilege usage; PIV credential usage; data action changes; query parameters; or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. To balance monitoring and auditing requirements with other system needs, this control also requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the logging event is based on patterns or time of usage. Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include AC-2(4), AC-3(10), AC-6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PE-3, PM-21, PT-8, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. Organizations consider in the definition of event types, the logging necessary to cover related event types such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures." - } - ], - "controls": [ - { - "id": "au-2.1", - "class": "SP800-53-enhancement", - "title": "Compilation of Audit Records from Multiple Sources", - "props": [ - { - "name": "label", - "value": "AU-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(01)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.2", - "class": "SP800-53-enhancement", - "title": "Selection of Audit Events by Component", - "props": [ - { - "name": "label", - "value": "AU-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(02)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "AU-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(03)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-2.4", - "class": "SP800-53-enhancement", - "title": "Privileged Functions", - "props": [ - { - "name": "label", - "value": "AU-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-02(04)" - } - ], - "links": [ - { - "href": "#ac-6.9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "props": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "AU-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "Ensure that audit records contain information that establishes the following:", - "parts": [ - { - "id": "au-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "What type of event occurred;" - }, - { - "id": "au-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When the event occurred;" - }, - { - "id": "au-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Where the event occurred;" - }, - { - "id": "au-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Source of the event;" - }, - { - "id": "au-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Outcome of the event; and" - }, - { - "id": "au-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identity of any individuals, subjects, or objects/entities associated with the event." - } - ] - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to support the auditing function includes, but is not limited to, event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the trail records inputs or is based on patterns or time of usage." - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "params": [ - { - "id": "au-3.1_prm_1", - "label": "organization-defined additional information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(1)" - }, - { - "name": "sort-id", - "value": "AU-03(01)" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "Generate audit records containing the following additional information: {{ insert: param, au-3.1_prm_1 }}." - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading or that could make it more difficult to locate information of interest." - } - ] - }, - { - "id": "au-3.2", - "class": "SP800-53-enhancement", - "title": "Centralized Management of Planned Audit Record Content", - "params": [ - { - "id": "au-3.2_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(2)" - }, - { - "name": "sort-id", - "value": "AU-03(02)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.2_smt", - "name": "statement", - "prose": "Provide centralized management and configuration of the content to be captured in audit records generated by {{ insert: param, au-3.2_prm_1 }}." - }, - { - "id": "au-3.2_gdn", - "name": "guidance", - "prose": "Centralized management of planned audit record content requires that the content to be captured in audit records be configured from a central location (necessitating an automated capability). Organizations coordinate the selection of the required audit record content to support the centralized management and configuration capability provided by the system." - } - ] - }, - { - "id": "au-3.3", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "au-3.3_prm_1", - "label": "organization-defined elements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-3(3)" - }, - { - "name": "sort-id", - "value": "AU-03(03)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-3.3_smt", - "name": "statement", - "prose": "Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: {{ insert: param, au-3.3_prm_1 }}." - }, - { - "id": "au-3.3_gdn", - "name": "guidance", - "prose": "Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system." - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Log Storage Capacity", - "params": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit log retention requirements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "AU-04" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "Allocate audit log storage capacity to accommodate {{ insert: param, au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability." - } - ], - "controls": [ - { - "id": "au-4.1", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage", - "params": [ - { - "id": "au-4.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-4(1)" - }, - { - "name": "sort-id", - "value": "AU-04(01)" - } - ], - "parts": [ - { - "id": "au-4.1_smt", - "name": "statement", - "prose": "Transfer audit logs {{ insert: param, au-4.1_prm_1 }} to a different system, system component, or media other than the system or system component conducting the logging." - }, - { - "id": "au-4.1_gdn", - "name": "guidance", - "prose": "Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. This control enhancement is similar to AU-9(2) in that audit logs are transferred to a different entity. However, the primary purpose of selecting AU-9(2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the dual benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs." - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Logging Process Failures", - "params": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "au-5_prm_3", - "label": "organization-defined additional actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "AU-05" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alert {{ insert: param, au-5_prm_1 }} within {{ insert: param, au-5_prm_2 }} in the event of an audit logging process failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-5_prm_3 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit logging process failures include, for example, software and hardware errors; reaching or exceeding audit log storage capacity; and failures in audit log capturing mechanisms. Organization-defined actions include overwriting oldest audit records; shutting down the system; and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored); the system on which the audit logs reside; the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel." - } - ], - "controls": [ - { - "id": "au-5.1", - "class": "SP800-53-enhancement", - "title": "Storage Capacity Warning", - "params": [ - { - "id": "au-5.1_prm_1", - "label": "organization-defined personnel, roles, and/or locations" - }, - { - "id": "au-5.1_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "au-5.1_prm_3", - "label": "organization-defined percentage" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(1)" - }, - { - "name": "sort-id", - "value": "AU-05(01)" - } - ], - "parts": [ - { - "id": "au-5.1_smt", - "name": "statement", - "prose": "Provide a warning to {{ insert: param, au-5.1_prm_1 }} within {{ insert: param, au-5.1_prm_2 }} when allocated audit log storage volume reaches {{ insert: param, au-5.1_prm_3 }} of repository maximum audit log storage capacity." - }, - { - "id": "au-5.1_gdn", - "name": "guidance", - "prose": "Organizations may have multiple audit log storage repositories distributed across multiple system components, with each repository having different storage volume capacities." - } - ] - }, - { - "id": "au-5.2", - "class": "SP800-53-enhancement", - "title": "Real-time Alerts", - "params": [ - { - "id": "au-5.2_prm_1", - "label": "organization-defined real-time-period" - }, - { - "id": "au-5.2_prm_2", - "label": "organization-defined personnel, roles, and/or locations" - }, - { - "id": "au-5.2_prm_3", - "label": "organization-defined audit logging failure events requiring real-time alerts" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(2)" - }, - { - "name": "sort-id", - "value": "AU-05(02)" - } - ], - "parts": [ - { - "id": "au-5.2_smt", - "name": "statement", - "prose": "Provide an alert within {{ insert: param, au-5.2_prm_1 }} to {{ insert: param, au-5.2_prm_2 }} when the following audit failure events occur: {{ insert: param, au-5.2_prm_3 }}." - }, - { - "id": "au-5.2_gdn", - "name": "guidance", - "prose": "Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less)." - } - ] - }, - { - "id": "au-5.3", - "class": "SP800-53-enhancement", - "title": "Configurable Traffic Volume Thresholds", - "params": [ - { - "id": "au-5.3_prm_1", - "select": { - "choice": [ - "reject", - "delay" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(3)" - }, - { - "name": "sort-id", - "value": "AU-05(03)" - } - ], - "parts": [ - { - "id": "au-5.3_smt", - "name": "statement", - "prose": "Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and {{ insert: param, au-5.3_prm_1 }} network traffic above those thresholds." - }, - { - "id": "au-5.3_gdn", - "name": "guidance", - "prose": "Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity." - } - ] - }, - { - "id": "au-5.4", - "class": "SP800-53-enhancement", - "title": "Shutdown on Failure", - "params": [ - { - "id": "au-5.4_prm_1", - "select": { - "choice": [ - "full system shutdown", - "partial system shutdown", - "degraded operational mode with limited mission or business functionality available" - ] - } - }, - { - "id": "au-5.4_prm_2", - "label": "organization-defined audit logging failures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(4)" - }, - { - "name": "sort-id", - "value": "AU-05(04)" - } - ], - "links": [ - { - "href": "#au-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.4_smt", - "name": "statement", - "prose": "Invoke a {{ insert: param, au-5.4_prm_1 }} in the event of {{ insert: param, au-5.4_prm_2 }}, unless an alternate audit logging capability exists." - }, - { - "id": "au-5.4_gdn", - "name": "guidance", - "prose": "Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives." - } - ] - }, - { - "id": "au-5.5", - "class": "SP800-53-enhancement", - "title": "Alternate Audit Logging Capability", - "params": [ - { - "id": "au-5.5_prm_1", - "label": "organization-defined alternate audit logging functionality" - } - ], - "props": [ - { - "name": "label", - "value": "AU-5(5)" - }, - { - "name": "sort-id", - "value": "AU-05(05)" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-5.5_smt", - "name": "statement", - "prose": "Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements {{ insert: param, au-5.5_prm_1 }}." - }, - { - "id": "au-5.5_gdn", - "name": "guidance", - "prose": "Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure." - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Record Review, Analysis, and Reporting", - "params": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "AU-06" - } - ], - "links": [ - { - "href": "#35dfd59f-eef2-4f71-bdb5-6d878267456a", - "rel": "reference" - }, - { - "href": "#1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and analyze system audit records {{ insert: param, au-6_prm_1 }} for indications of {{ insert: param, au-6_prm_2 }};" - }, - { - "id": "au-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report findings to {{ insert: param, au-6_prm_3 }}; and" - }, - { - "id": "au-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information." - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received." - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Process Integration", - "params": [ - { - "id": "au-6.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(1)" - }, - { - "name": "sort-id", - "value": "AU-06(01)" - } - ], - "links": [ - { - "href": "#pm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "Integrate audit record review, analysis, and reporting processes using {{ insert: param, au-6.1_prm_1 }}." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes benefiting from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits." - } - ] - }, - { - "id": "au-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Security Alerts", - "props": [ - { - "name": "label", - "value": "AU-6(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-06(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Record Repositories", - "props": [ - { - "name": "label", - "value": "AU-6(3)" - }, - { - "name": "sort-id", - "value": "AU-06(03)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "Analyze and correlate audit records across different repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness." - } - ] - }, - { - "id": "au-6.4", - "class": "SP800-53-enhancement", - "title": "Central Review and Analysis", - "props": [ - { - "name": "label", - "value": "AU-6(4)" - }, - { - "name": "sort-id", - "value": "AU-06(04)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.4_smt", - "name": "statement", - "prose": "Provide and implement the capability to centrally review and analyze audit records from multiple components within the system." - }, - { - "id": "au-6.4_gdn", - "name": "guidance", - "prose": "Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products." - } - ] - }, - { - "id": "au-6.5", - "class": "SP800-53-enhancement", - "title": "Integrated Analysis of Audit Records", - "params": [ - { - "id": "au-6.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "vulnerability scanning information", - "performance data", - "system monitoring information", - " {{ insert: param, au-6.5_prm_2 }} " - ] - } - }, - { - "id": "au-6.5_prm_2", - "depends-on": "au-6.5_prm_1", - "label": "organization-defined data/information collected from other sources" - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(5)" - }, - { - "name": "sort-id", - "value": "AU-06(05)" - } - ], - "links": [ - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.5_smt", - "name": "statement", - "prose": "Integrate analysis of audit records with analysis of {{ insert: param, au-6.5_prm_1 }} to further enhance the ability to identify inappropriate or unusual activity." - }, - { - "id": "au-6.5_gdn", - "name": "guidance", - "prose": "Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial of service attacks or other types of attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations." - } - ] - }, - { - "id": "au-6.6", - "class": "SP800-53-enhancement", - "title": "Correlation with Physical Monitoring", - "props": [ - { - "name": "label", - "value": "AU-6(6)" - }, - { - "name": "sort-id", - "value": "AU-06(06)" - } - ], - "parts": [ - { - "id": "au-6.6_smt", - "name": "statement", - "prose": "Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "id": "au-6.6_gdn", - "name": "guidance", - "prose": "The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations." - } - ] - }, - { - "id": "au-6.7", - "class": "SP800-53-enhancement", - "title": "Permitted Actions", - "params": [ - { - "id": "au-6.7_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "system process", - "role", - "user" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "AU-6(7)" - }, - { - "name": "sort-id", - "value": "AU-06(07)" - } - ], - "parts": [ - { - "id": "au-6.7_smt", - "name": "statement", - "prose": "Specify the permitted actions for each {{ insert: param, au-6.7_prm_1 }} associated with the review, analysis, and reporting of audit record information." - }, - { - "id": "au-6.7_gdn", - "name": "guidance", - "prose": "Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete." - } - ] - }, - { - "id": "au-6.8", - "class": "SP800-53-enhancement", - "title": "Full Text Analysis of Privileged Commands", - "props": [ - { - "name": "label", - "value": "AU-6(8)" - }, - { - "name": "sort-id", - "value": "AU-06(08)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.8_smt", - "name": "statement", - "prose": "Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis." - }, - { - "id": "au-6.8_gdn", - "name": "guidance", - "prose": "Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics." - } - ] - }, - { - "id": "au-6.9", - "class": "SP800-53-enhancement", - "title": "Correlation with Information from Nontechnical Sources", - "props": [ - { - "name": "label", - "value": "AU-6(9)" - }, - { - "name": "sort-id", - "value": "AU-06(09)" - } - ], - "links": [ - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-6.9_smt", - "name": "statement", - "prose": "Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness." - }, - { - "id": "au-6.9_gdn", - "name": "guidance", - "prose": "Nontechnical sources include records documenting organizational policy violations related to sexual harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, the correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions." - } - ] - }, - { - "id": "au-6.10", - "class": "SP800-53-enhancement", - "title": "Audit Level Adjustment", - "props": [ - { - "name": "label", - "value": "AU-6(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-06(10)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Record Reduction and Report Generation", - "props": [ - { - "name": "label", - "value": "AU-7" - }, - { - "name": "sort-id", - "value": "AU-07" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "Provide and implement an audit record reduction and report generation capability that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit record reduction is a process that manipulates collected audit log information and organizes such information in a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities conducting audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient." - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "params": [ - { - "id": "au-7.1_prm_1", - "label": "organization-defined fields within audit records" - } - ], - "props": [ - { - "name": "label", - "value": "AU-7(1)" - }, - { - "name": "sort-id", - "value": "AU-07(01)" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, au-7.1_prm_1 }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of audit records including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, for example, locations selectable by a general networking location or by specific system component." - } - ] - }, - { - "id": "au-7.2", - "class": "SP800-53-enhancement", - "title": "Automatic Sort and Search", - "props": [ - { - "name": "label", - "value": "AU-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-07(02)" - } - ], - "links": [ - { - "href": "#au-7.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "params": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement" - } - ], - "props": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "AU-08" - } - ], - "links": [ - { - "href": "#17ca9481-ea11-4ef2-81c1-885fd37d4be5", - "rel": "reference" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#sc-45", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Record time stamps for audit records that meet {{ insert: param, au-8_prm_1 }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities." - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "params": [ - { - "id": "au-8.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-8.1_prm_2", - "label": "organization-defined authoritative time source" - }, - { - "id": "au-8.1_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "AU-8(1)" - }, - { - "name": "sort-id", - "value": "AU-08(01)" - } - ], - "parts": [ - { - "id": "au-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compare the internal system clocks {{ insert: param, au-8.1_prm_1 }} with {{ insert: param, au-8.1_prm_2 }}; and" - }, - { - "id": "au-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, au-8.1_prm_3 }}." - } - ] - }, - { - "id": "au-8.1_gdn", - "name": "guidance", - "prose": "Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network." - } - ] - }, - { - "id": "au-8.2", - "class": "SP800-53-enhancement", - "title": "Secondary Authoritative Time Source", - "props": [ - { - "name": "label", - "value": "AU-8(2)" - }, - { - "name": "sort-id", - "value": "AU-08(02)" - } - ], - "parts": [ - { - "id": "au-8.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-8.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and" - }, - { - "id": "au-8.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable." - } - ] - }, - { - "id": "au-8.2_gdn", - "name": "guidance", - "prose": "It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region." - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "props": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "AU-09" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#au-15", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "Protect audit information and audit logging tools from unauthorized access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information, for example, audit records, audit log settings, audit reports, and personally identifiable information, needed to successfully audit system activity. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls." - } - ], - "controls": [ - { - "id": "au-9.1", - "class": "SP800-53-enhancement", - "title": "Hardware Write-once Media", - "props": [ - { - "name": "label", - "value": "AU-9(1)" - }, - { - "name": "sort-id", - "value": "AU-09(01)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.1_smt", - "name": "statement", - "prose": "Write audit trails to hardware-enforced, write-once media." - }, - { - "id": "au-9.1_gdn", - "name": "guidance", - "prose": "Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media." - } - ] - }, - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Store on Separate Physical Systems or Components", - "params": [ - { - "id": "au-9.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(2)" - }, - { - "name": "sort-id", - "value": "AU-09(02)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "Store audit records {{ insert: param, au-9.2_prm_1 }} in a repository that is part of a physically different system or system component than the system or component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records." - } - ] - }, - { - "id": "au-9.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "AU-9(3)" - }, - { - "name": "sort-id", - "value": "AU-09(03)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect the integrity of audit information and audit tools." - }, - { - "id": "au-9.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash." - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "params": [ - { - "id": "au-9.4_prm_1", - "label": "organization-defined subset of privileged users or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(4)" - }, - { - "name": "sort-id", - "value": "AU-09(04)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "Authorize access to management of audit logging functionality to only {{ insert: param, au-9.4_prm_1 }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals or roles with privileged access to a system and who are also the subject of an audit by that system, may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges, limits the number of users or roles with audit-related privileges." - } - ] - }, - { - "id": "au-9.5", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "au-9.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "movement", - "deletion" - ] - } - }, - { - "id": "au-9.5_prm_2", - "label": "organization-defined audit information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(5)" - }, - { - "name": "sort-id", - "value": "AU-09(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-9.5_smt", - "name": "statement", - "prose": "Enforce dual authorization for {{ insert: param, au-9.5_prm_1 }} of {{ insert: param, au-9.5_prm_2 }}." - }, - { - "id": "au-9.5_gdn", - "name": "guidance", - "prose": "Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety." - } - ] - }, - { - "id": "au-9.6", - "class": "SP800-53-enhancement", - "title": "Read-only Access", - "params": [ - { - "id": "au-9.6_prm_1", - "label": "organization-defined subset of privileged users or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-9(6)" - }, - { - "name": "sort-id", - "value": "AU-09(06)" - } - ], - "parts": [ - { - "id": "au-9.6_smt", - "name": "statement", - "prose": "Authorize read-only access to audit information to {{ insert: param, au-9.6_prm_1 }}." - }, - { - "id": "au-9.6_gdn", - "name": "guidance", - "prose": "Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, for example, deleting audit records to cover up malicious activity." - } - ] - }, - { - "id": "au-9.7", - "class": "SP800-53-enhancement", - "title": "Store on Component with Different Operating System", - "props": [ - { - "name": "label", - "value": "AU-9(7)" - }, - { - "name": "sort-id", - "value": "AU-09(07)" - } - ], - "parts": [ - { - "id": "au-9.7_smt", - "name": "statement", - "prose": "Store audit information on a component running a different operating system than the system or component being audited." - }, - { - "id": "au-9.7_gdn", - "name": "guidance", - "prose": "Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system resulting in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11, SC-29." - } - ] - } - ] - }, - { - "id": "au-10", - "class": "SP800-53", - "title": "Non-repudiation", - "params": [ - { - "id": "au-10_prm_1", - "label": "organization-defined actions to be covered by non-repudiation" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10" - }, - { - "name": "sort-id", - "value": "AU-10" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10_smt", - "name": "statement", - "prose": "Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed {{ insert: param, au-10_prm_1 }}." - }, - { - "id": "au-10_gdn", - "name": "guidance", - "prose": "Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, or approving a procurement request, or received specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts." - } - ], - "controls": [ - { - "id": "au-10.1", - "class": "SP800-53-enhancement", - "title": "Association of Identities", - "params": [ - { - "id": "au-10.1_prm_1", - "label": "organization-defined strength of binding" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(1)" - }, - { - "name": "sort-id", - "value": "AU-10(01)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Bind the identity of the information producer with the information to {{ insert: param, au-10.1_prm_1 }}; and" - }, - { - "id": "au-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide the means for authorized individuals to determine the identity of the producer of the information." - } - ] - }, - { - "id": "au-10.1_gdn", - "name": "guidance", - "prose": "Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors." - } - ] - }, - { - "id": "au-10.2", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Producer Identity", - "params": [ - { - "id": "au-10.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "au-10.2_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(2)" - }, - { - "name": "sort-id", - "value": "AU-10(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.2_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information producer identity to the information at {{ insert: param, au-10.2_prm_1 }}; and" - }, - { - "id": "au-10.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.2_prm_2 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.2_gdn", - "name": "guidance", - "prose": "Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - } - ] - }, - { - "id": "au-10.3", - "class": "SP800-53-enhancement", - "title": "Chain of Custody", - "props": [ - { - "name": "label", - "value": "AU-10(3)" - }, - { - "name": "sort-id", - "value": "AU-10(03)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.3_smt", - "name": "statement", - "prose": "Maintain reviewer or releaser identity and credentials within the established chain of custody for information reviewed or released." - }, - { - "id": "au-10.3_gdn", - "name": "guidance", - "prose": "Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the identity and credentials of reviewers or releasers provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used." - } - ] - }, - { - "id": "au-10.4", - "class": "SP800-53-enhancement", - "title": "Validate Binding of Information Reviewer Identity", - "params": [ - { - "id": "au-10.4_prm_1", - "label": "organization-defined security domains" - }, - { - "id": "au-10.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-10(4)" - }, - { - "name": "sort-id", - "value": "AU-10(04)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-10.4_smt", - "name": "statement", - "parts": [ - { - "id": "au-10.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between {{ insert: param, au-10.4_prm_1 }}; and" - }, - { - "id": "au-10.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Perform {{ insert: param, au-10.4_prm_2 }} in the event of a validation error." - } - ] - }, - { - "id": "au-10.4_gdn", - "name": "guidance", - "prose": "Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically." - } - ] - }, - { - "id": "au-10.5", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "AU-10(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-10(05)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "params": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time-period consistent with records retention policy" - } - ], - "props": [ - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "AU-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "Retain audit records for {{ insert: param, au-11_prm_1 }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements." - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention." - } - ], - "controls": [ - { - "id": "au-11.1", - "class": "SP800-53-enhancement", - "title": "Long-term Retrieval Capability", - "params": [ - { - "id": "au-11.1_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-11(1)" - }, - { - "name": "sort-id", - "value": "AU-11(01)" - } - ], - "parts": [ - { - "id": "au-11.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-11.1_prm_1 }} to ensure that long-term audit records generated by the system can be retrieved." - }, - { - "id": "au-11.1_gdn", - "name": "guidance", - "prose": "Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help personnel understand how to interpret the records." - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Record Generation", - "params": [ - { - "id": "au-12_prm_1", - "label": "organization-defined system components" - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "AU-12" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on {{ insert: param, au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow {{ insert: param, au-12_prm_2 }} to select the event types that are to be logged by specific components of the system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records." - } - ], - "controls": [ - { - "id": "au-12.1", - "class": "SP800-53-enhancement", - "title": "System-wide and Time-correlated Audit Trail", - "params": [ - { - "id": "au-12.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "au-12.1_prm_2", - "label": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(1)" - }, - { - "name": "sort-id", - "value": "AU-12(01)" - } - ], - "links": [ - { - "href": "#au-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.1_smt", - "name": "statement", - "prose": "Compile audit records from {{ insert: param, au-12.1_prm_1 }} into a system-wide (logical or physical) audit trail that is time-correlated to within {{ insert: param, au-12.1_prm_2 }}." - }, - { - "id": "au-12.1_gdn", - "name": "guidance", - "prose": "Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances." - } - ] - }, - { - "id": "au-12.2", - "class": "SP800-53-enhancement", - "title": "Standardized Formats", - "props": [ - { - "name": "label", - "value": "AU-12(2)" - }, - { - "name": "sort-id", - "value": "AU-12(02)" - } - ], - "parts": [ - { - "id": "au-12.2_smt", - "name": "statement", - "prose": "Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format." - }, - { - "id": "au-12.2_gdn", - "name": "guidance", - "prose": "Audit records that follow common standards promote interoperability and information exchange between devices and systems. This facilitates the production of event information that can be readily analyzed and correlated. Standard formats for audit records include records that are compliant with Common Event Expressions. If logging mechanisms within systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails." - } - ] - }, - { - "id": "au-12.3", - "class": "SP800-53-enhancement", - "title": "Changes by Authorized Individuals", - "params": [ - { - "id": "au-12.3_prm_1", - "label": "organization-defined individuals or roles" - }, - { - "id": "au-12.3_prm_2", - "label": "organization-defined system components" - }, - { - "id": "au-12.3_prm_3", - "label": "organization-defined selectable event criteria" - }, - { - "id": "au-12.3_prm_4", - "label": "organization-defined time thresholds" - } - ], - "props": [ - { - "name": "label", - "value": "AU-12(3)" - }, - { - "name": "sort-id", - "value": "AU-12(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-12.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for {{ insert: param, au-12.3_prm_1 }} to change the logging to be performed on {{ insert: param, au-12.3_prm_2 }} based on {{ insert: param, au-12.3_prm_3 }} within {{ insert: param, au-12.3_prm_4 }}." - }, - { - "id": "au-12.3_gdn", - "name": "guidance", - "prose": "Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed, for example, near real-time, within minutes, or within hours." - } - ] - }, - { - "id": "au-12.4", - "class": "SP800-53-enhancement", - "title": "Query Parameter Audits of Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "AU-12(4)" - }, - { - "name": "sort-id", - "value": "AU-12(04)" - } - ], - "parts": [ - { - "id": "au-12.4_smt", - "name": "statement", - "prose": "Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information." - }, - { - "id": "au-12.4_gdn", - "name": "guidance", - "prose": "Query parameters are explicit criteria that an individual or an automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel." - } - ] - } - ] - }, - { - "id": "au-13", - "class": "SP800-53", - "title": "Monitoring for Information Disclosure", - "params": [ - { - "id": "au-13_prm_1", - "label": "organization-defined open source information and/or information sites" - }, - { - "id": "au-13_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "au-13_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-13_prm_4", - "label": "organization-defined additional actions" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13" - }, - { - "name": "sort-id", - "value": "AU-13" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-13_smt", - "name": "statement", - "parts": [ - { - "id": "au-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor {{ insert: param, au-13_prm_1 }} {{ insert: param, au-13_prm_2 }} for evidence of unauthorized disclosure of organizational information; and" - }, - { - "id": "au-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "If an information disclosure is discovered:", - "parts": [ - { - "id": "au-13_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Notify {{ insert: param, au-13_prm_3 }}; and" - }, - { - "id": "au-13_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Take the following additional actions: {{ insert: param, au-13_prm_4 }}." - } - ] - } - ] - }, - { - "id": "au-13_gdn", - "name": "guidance", - "prose": "Unauthorized disclosure of information is a form of data leakage. Open source information includes social networking sites and code sharing platforms and repositories. Organizational information can include personally identifiable information retained by the organization." - } - ], - "controls": [ - { - "id": "au-13.1", - "class": "SP800-53-enhancement", - "title": "Use of Automated Tools", - "params": [ - { - "id": "au-13.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(1)" - }, - { - "name": "sort-id", - "value": "AU-13(01)" - } - ], - "parts": [ - { - "id": "au-13.1_smt", - "name": "statement", - "prose": "Monitor open source information and information sites using {{ insert: param, au-13.1_prm_1 }}." - }, - { - "id": "au-13.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include commercial services providing notifications and alerts to organizations and automated scripts to monitor new posts on websites." - } - ] - }, - { - "id": "au-13.2", - "class": "SP800-53-enhancement", - "title": "Review of Monitored Sites", - "params": [ - { - "id": "au-13.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "AU-13(2)" - }, - { - "name": "sort-id", - "value": "AU-13(02)" - } - ], - "parts": [ - { - "id": "au-13.2_smt", - "name": "statement", - "prose": "Review the list of open source information sites being monitored {{ insert: param, au-13.2_prm_1 }}." - }, - { - "id": "au-13.2_gdn", - "name": "guidance", - "prose": "Reviewing on a regular basis, the current list of open source information sites being monitored, helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information." - } - ] - }, - { - "id": "au-13.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Replication of Information", - "props": [ - { - "name": "label", - "value": "AU-13(3)" - }, - { - "name": "sort-id", - "value": "AU-13(03)" - } - ], - "parts": [ - { - "id": "au-13.3_smt", - "name": "statement", - "prose": "Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner." - }, - { - "id": "au-13.3_gdn", - "name": "guidance", - "prose": "The unauthorized use or replication of organizational information by external entities can cause adverse impact on organizational operations and assets including damage to reputation. Such activity can include, for example, the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize unauthorized use of organizational information." - } - ] - } - ] - }, - { - "id": "au-14", - "class": "SP800-53", - "title": "Session Audit", - "params": [ - { - "id": "au-14_prm_1", - "label": "organization-defined users or roles" - }, - { - "id": "au-14_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "record", - "view", - "hear", - "log" - ] - } - }, - { - "id": "au-14_prm_3", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "AU-14" - }, - { - "name": "sort-id", - "value": "AU-14" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14_smt", - "name": "statement", - "parts": [ - { - "id": "au-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide and implement the capability for {{ insert: param, au-14_prm_1 }} to {{ insert: param, au-14_prm_2 }} the content of a user session under {{ insert: param, au-14_prm_3 }}; and" - }, - { - "id": "au-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "au-14_gdn", - "name": "guidance", - "prose": "Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk and how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including use of personally identifiable information, are appropriately addressed." - } - ], - "controls": [ - { - "id": "au-14.1", - "class": "SP800-53-enhancement", - "title": "System Start-up", - "props": [ - { - "name": "label", - "value": "AU-14(1)" - }, - { - "name": "sort-id", - "value": "AU-14(01)" - } - ], - "parts": [ - { - "id": "au-14.1_smt", - "name": "statement", - "prose": "Initiate session audits automatically at system start-up." - }, - { - "id": "au-14.1_gdn", - "name": "guidance", - "prose": "The initiation of session audits automatically at startup helps to ensure the information being captured on selected individuals is complete and is not subject to compromise through tampering by malicious threat actors." - } - ] - }, - { - "id": "au-14.2", - "class": "SP800-53-enhancement", - "title": "Capture and Record Content", - "props": [ - { - "name": "label", - "value": "AU-14(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-14(02)" - } - ], - "links": [ - { - "href": "#au-14", - "rel": "incorporated-into" - } - ] - }, - { - "id": "au-14.3", - "class": "SP800-53-enhancement", - "title": "Remote Viewing and Listening", - "props": [ - { - "name": "label", - "value": "AU-14(3)" - }, - { - "name": "sort-id", - "value": "AU-14(03)" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-14.3_smt", - "name": "statement", - "prose": "Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time." - }, - { - "id": "au-14.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "au-15", - "class": "SP800-53", - "title": "Alternate Audit Logging Capability", - "props": [ - { - "name": "label", - "value": "AU-15" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "AU-15" - } - ], - "links": [ - { - "href": "#au-5.5", - "rel": "moved-to" - } - ] - }, - { - "id": "au-16", - "class": "SP800-53", - "title": "Cross-organizational Audit Logging", - "params": [ - { - "id": "au-16_prm_1", - "label": "organization-defined methods" - }, - { - "id": "au-16_prm_2", - "label": "organization-defined audit information" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16" - }, - { - "name": "sort-id", - "value": "AU-16" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16_smt", - "name": "statement", - "prose": "Employ {{ insert: param, au-16_prm_1 }} for coordinating {{ insert: param, au-16_prm_2 }} among external organizations when audit information is transmitted across organizational boundaries." - }, - { - "id": "au-16_gdn", - "name": "guidance", - "prose": "When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals that requested specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements." - } - ], - "controls": [ - { - "id": "au-16.1", - "class": "SP800-53-enhancement", - "title": "Identity Preservation", - "props": [ - { - "name": "label", - "value": "AU-16(1)" - }, - { - "name": "sort-id", - "value": "AU-16(01)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.1_smt", - "name": "statement", - "prose": "Preserve the identity of individuals in cross-organizational audit trails." - }, - { - "id": "au-16.1_gdn", - "name": "guidance", - "prose": "Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual." - } - ] - }, - { - "id": "au-16.2", - "class": "SP800-53-enhancement", - "title": "Sharing of Audit Information", - "params": [ - { - "id": "au-16.2_prm_1", - "label": "organization-defined organizations" - }, - { - "id": "au-16.2_prm_2", - "label": "organization-defined cross-organizational sharing agreements" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(2)" - }, - { - "name": "sort-id", - "value": "AU-16(02)" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "au-16.2_smt", - "name": "statement", - "prose": "Provide cross-organizational audit information to {{ insert: param, au-16.2_prm_1 }} based on {{ insert: param, au-16.2_prm_2 }}." - }, - { - "id": "au-16.2_gdn", - "name": "guidance", - "prose": "Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals’ home organizations have appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations." - } - ] - }, - { - "id": "au-16.3", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "au-16.3_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "AU-16(3)" - }, - { - "name": "sort-id", - "value": "AU-16(03)" - } - ], - "parts": [ - { - "id": "au-16.3_smt", - "name": "statement", - "prose": "Implement {{ insert: param, au-16.3_prm_1 }} to disassociate individuals from audit information transmitted across organizational boundaries." - }, - { - "id": "au-16.3_gdn", - "name": "guidance", - "prose": "Preserving identities in audit trails could have privacy ramifications such as enabling the tracking and profiling of individuals but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Using privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability." - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Assessment, Authorization, and Monitoring", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ca-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ca-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "CA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ca-1_prm_2 }} assessment, authorization, and monitoring policy that:", - "parts": [ - { - "id": "ca-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ca-1_prm_3 }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and" - }, - { - "id": "ca-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current assessment, authorization, and monitoring:", - "parts": [ - { - "id": "ca-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ca-1_prm_4 }}; and" - }, - { - "id": "ca-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ca-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Control Assessments", - "params": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "CA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a control assessment plan that describes the scope of the assessment including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine control effectiveness; and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the controls in the system and its environment of operation {{ insert: param, ca-2_prm_1 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Produce a control assessment report that document the results of the assessment; and" - }, - { - "id": "ca-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide the results of the control assessment to {{ insert: param, ca-2_prm_2 }}." - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations; continuous monitoring; FISMA annual assessments; system design and development; systems security engineering; and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the system design and development process; provide essential information needed to make risk-based decisions as part of authorization processes; and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. For example, the design for the controls can be assessed as RFPs are developed and responses assessed, and as design reviews are conducted. If design to implement controls and subsequent implementation in accordance with the design is assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes. Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside the scope of this control." - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "props": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "CA-02(01)" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to conduct control assessments." - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination also includes whether contracted assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, the analogy to independent assessors is having independent SMEs involved in design reviews. When organizations that own the systems are small or the structures of the organizations require that assessments are conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions, are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments." - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "params": [ - { - "id": "ca-2.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-2.2_prm_2", - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - }, - { - "id": "ca-2.2_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "in-depth monitoring", - "security instrumentation", - "automated security test cases", - "vulnerability scanning", - "malicious user testing", - "insider threat assessment", - "performance and load testing", - "data leakage or data loss assessment {{ insert: param, ca-2.2_prm_4 }} " - ] - } - }, - { - "id": "ca-2.2_prm_4", - "depends-on": "ca-2.2_prm_3", - "label": "organization-defined other forms of assessment" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2(2)" - }, - { - "name": "sort-id", - "value": "CA-02(02)" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "Include as part of control assessments, {{ insert: param, ca-2.2_prm_1 }}, {{ insert: param, ca-2.2_prm_2 }}, {{ insert: param, ca-2.2_prm_3 }}." - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle, for example, during design, development, and unit testing." - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "External Organizations", - "params": [ - { - "id": "ca-2.3_prm_1", - "label": "organization-defined external organization" - }, - { - "id": "ca-2.3_prm_2", - "label": "organization-defined system" - }, - { - "id": "ca-2.3_prm_3", - "label": "organization-defined requirements" - } - ], - "props": [ - { - "name": "label", - "value": "CA-2(3)" - }, - { - "name": "sort-id", - "value": "CA-02(03)" - } - ], - "links": [ - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "Leverage the results of control assessments performed by {{ insert: param, ca-2.3_prm_1 }} on {{ insert: param, ca-2.3_prm_2 }} when the assessment meets {{ insert: param, ca-2.3_prm_3 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment; the reputation of the assessment organization; the level of detail of supporting assessment evidence provided; and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories supporting the Common Criteria Program [ISO 15408-1], the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage." - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "Information Exchange", - "params": [ - { - "id": "ca-3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "interconnection security agreements", - "information exchange security agreements", - "memoranda of understanding or agreement", - "service level agreements", - "user agreements", - "nondisclosure agreements", - " {{ insert: param, ca-3_prm_2 }} " - ] - } - }, - { - "id": "ca-3_prm_2", - "depends-on": "ca-3_prm_1", - "label": "organization-defined type of agreement" - }, - { - "id": "ca-3_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "CA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#2e66c31a-190e-49ad-8e00-f306f8a0df17", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and manage the exchange of information between the system and other systems using {{ insert: param, ca-3_prm_1 }};" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the agreements {{ insert: param, ca-3_prm_3 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges associated with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization to organization communications. Organizations consider the risk related to new or increased threats, that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information as described in CA-6(1) or CA-6(2) may help to communicate and reduce risk. Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The type of agreement selected is based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged; how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements, or they can provide the same information that would be provided in the appropriate agreement type from CA-3a in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems sharing the same networks." - } - ], - "controls": [ - { - "id": "ca-3.1", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(01)" - } - ], - "links": [ - { - "href": "#sc-7.25", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.2", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(02)" - } - ], - "links": [ - { - "href": "#sc-7.26", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(03)" - } - ], - "links": [ - { - "href": "#sc-7.27", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.4", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "props": [ - { - "name": "label", - "value": "CA-3(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(04)" - } - ], - "links": [ - { - "href": "#sc-7.28", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions on External System Connections", - "props": [ - { - "name": "label", - "value": "CA-3(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-03(05)" - } - ], - "links": [ - { - "href": "#sc-7.5", - "rel": "moved-to" - } - ] - }, - { - "id": "ca-3.6", - "class": "SP800-53-enhancement", - "title": "Transfer Authorizations", - "props": [ - { - "name": "label", - "value": "CA-3(6)" - }, - { - "name": "sort-id", - "value": "CA-03(06)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.6_smt", - "name": "statement", - "prose": "Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data." - }, - { - "id": "ca-3.6_gdn", - "name": "guidance", - "prose": "To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies via independent means, whether the individual or system attempting to transfer information is authorized to do so. This control enhancement also applies to control plane traffic (e.g., routing and DNS) and services such as authenticated SMTP relays." - } - ] - }, - { - "id": "ca-3.7", - "class": "SP800-53-enhancement", - "title": "Transitive Information Exchanges", - "props": [ - { - "name": "label", - "value": "CA-3(7)" - }, - { - "name": "sort-id", - "value": "CA-03(07)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-3.7_smt", - "name": "statement", - "parts": [ - { - "id": "ca-3.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify transitive (downstream) information exchanges with other systems through the systems identified in CA-3a; and" - }, - { - "id": "ca-3.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated." - } - ] - }, - { - "id": "ca-3.7_gdn", - "name": "guidance", - "prose": "Transitive or “downstream” information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential in understanding the security and privacy risks resulting from those interconnections. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges which can make the organizational systems more susceptible to threats, hazards, and adverse impacts." - } - ] - } - ] - }, - { - "id": "ca-4", - "class": "SP800-53", - "title": "Security Certification", - "props": [ - { - "name": "label", - "value": "CA-4" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-04" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "params": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "CA-05" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update existing plan of action and milestones {{ insert: param, ca-5_prm_1 }} based on the findings from control assessments, audits, and continuous monitoring activities." - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and are subject to federal reporting requirements established by OMB." - } - ], - "controls": [ - { - "id": "ca-5.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "ca-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CA-5(1)" - }, - { - "name": "sort-id", - "value": "CA-05(01)" - } - ], - "parts": [ - { - "id": "ca-5.1_smt", - "name": "statement", - "prose": "Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using {{ insert: param, ca-5.1_prm_1 }}." - }, - { - "id": "ca-5.1_gdn", - "name": "guidance", - "prose": "Using automated tools helps to maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing helps to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner." - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Authorization", - "params": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "CA-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a senior official as the authorizing official for the system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensure that the authorizing official for the system, before commencing operations:", - "parts": [ - { - "id": "ca-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accepts the use of common controls inherited by the system; and" - }, - { - "id": "ca-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Authorizes the system to operate;" - } - ] - }, - { - "id": "ca-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;" - }, - { - "id": "ca-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the authorizations {{ insert: param, ca-6_prm_1 }}." - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Authorizations are official management decisions by senior officials to authorize operation of systems, to authorize the use of common controls for inheritance by organizational systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and for common controls or assume responsibility for the mission and business operations supported by those systems or common controls. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities. Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., the security and privacy plans, assessment reports, and plans of action and milestones), is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions." - } - ], - "controls": [ - { - "id": "ca-6.1", - "class": "SP800-53-enhancement", - "title": "Joint Authorization — Intra-organization", - "props": [ - { - "name": "label", - "value": "CA-6(1)" - }, - { - "name": "sort-id", - "value": "CA-06(01)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.1_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization." - }, - { - "id": "ca-6.1_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners." - } - ] - }, - { - "id": "ca-6.2", - "class": "SP800-53-enhancement", - "title": "Joint Authorization — Inter-organization", - "props": [ - { - "name": "label", - "value": "CA-6(2)" - }, - { - "name": "sort-id", - "value": "CA-06(02)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-6.2_smt", - "name": "statement", - "prose": "Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization." - }, - { - "id": "ca-6.2_gdn", - "name": "guidance", - "prose": "Assigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization owning or hosting the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization." - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "params": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined system-level metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "CA-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#851b5ba4-6aa0-4583-857c-4c360cbdf2a0", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-31", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following system-level metrics to be monitored: {{ insert: param, ca-7_prm_1 }};" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, ca-7_prm_2 }} for monitoring and {{ insert: param, ca-7_prm_3 }} for assessment of control effectiveness;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing control assessments in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security and privacy status of the system to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5 }}." - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4." - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "props": [ - { - "name": "label", - "value": "CA-7(1)" - }, - { - "name": "sort-id", - "value": "CA-07(01)" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services." - } - ] - }, - { - "id": "ca-7.2", - "class": "SP800-53-enhancement", - "title": "Types of Assessments", - "props": [ - { - "name": "label", - "value": "CA-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CA-07(02)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ca-7.3", - "class": "SP800-53-enhancement", - "title": "Trend Analyses", - "props": [ - { - "name": "label", - "value": "CA-7(3)" - }, - { - "name": "sort-id", - "value": "CA-07(03)" - } - ], - "parts": [ - { - "id": "ca-7.3_smt", - "name": "statement", - "prose": "Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data." - }, - { - "id": "ca-7.3_gdn", - "name": "guidance", - "prose": "Trend analyses include examining recent threat information addressing the types of threat events that have occurred within the organization or the federal government; success rates of certain types of attacks; emerging vulnerabilities in technologies; evolving social engineering techniques; the effectiveness of configuration settings; results from multiple control assessments; and findings from Inspectors General or auditors." - } - ] - }, - { - "id": "ca-7.4", - "class": "SP800-53-enhancement", - "title": "Risk Monitoring", - "props": [ - { - "name": "label", - "value": "CA-7(4)" - }, - { - "name": "sort-id", - "value": "CA-07(04)" - } - ], - "parts": [ - { - "id": "ca-7.4_smt", - "name": "statement", - "prose": "Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:", - "parts": [ - { - "id": "ca-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Effectiveness monitoring;" - }, - { - "id": "ca-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Compliance monitoring; and" - }, - { - "id": "ca-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Change monitoring." - } - ] - }, - { - "id": "ca-7.4_gdn", - "name": "guidance", - "prose": "Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk." - } - ] - }, - { - "id": "ca-7.5", - "class": "SP800-53-enhancement", - "title": "Consistency Analysis", - "params": [ - { - "id": "ca-7.5_prm_1", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "CA-7(5)" - }, - { - "name": "sort-id", - "value": "CA-07(05)" - } - ], - "parts": [ - { - "id": "ca-7.5_smt", - "name": "statement", - "prose": "Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: {{ insert: param, ca-7.5_prm_1 }}." - }, - { - "id": "ca-7.5_gdn", - "name": "guidance", - "prose": "Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). Or in other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate through testing, monitoring, and analysis that the implemented controls are operating in a consistent, coordinated, non-interfering manner." - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "params": [ - { - "id": "ca-8_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-8_prm_2", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "CA-8" - }, - { - "name": "sort-id", - "value": "CA-08" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "Conduct penetration testing {{ insert: param, ca-8_prm_1 }} on {{ insert: param, ca-8_prm_2 }}." - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes pretest analysis based on full knowledge of the system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing." - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Testing Agent or Team", - "props": [ - { - "name": "label", - "value": "CA-8(1)" - }, - { - "name": "sort-id", - "value": "CA-08(01)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "Employ an independent penetration testing agent or team to perform penetration testing on the system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. CA-2(1) provides additional information on independent assessments that can be applied to penetration testing." - } - ] - }, - { - "id": "ca-8.2", - "class": "SP800-53-enhancement", - "title": "Red Team Exercises", - "params": [ - { - "id": "ca-8.2_prm_1", - "label": "organization-defined red team exercises" - } - ], - "props": [ - { - "name": "label", - "value": "CA-8(2)" - }, - { - "name": "sort-id", - "value": "CA-08(02)" - } - ], - "parts": [ - { - "id": "ca-8.2_smt", - "name": "statement", - "prose": "Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, ca-8.2_prm_1 }}." - }, - { - "id": "ca-8.2_gdn", - "name": "guidance", - "prose": "Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise missions and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness." - } - ] - }, - { - "id": "ca-8.3", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "params": [ - { - "id": "ca-8.3_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ca-8.3_prm_2", - "select": { - "choice": [ - "announced", - "unannounced" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CA-8(3)" - }, - { - "name": "sort-id", - "value": "CA-08(03)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-8.3_smt", - "name": "statement", - "prose": "Employ a penetration testing process that includes {{ insert: param, ca-8.3_prm_1 }} {{ insert: param, ca-8.3_prm_2 }} attempts to bypass or circumvent controls associated with physical access points to the facility." - }, - { - "id": "ca-8.3_gdn", - "name": "guidance", - "prose": "Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems." - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "params": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined system components or classes of components" - }, - { - "id": "ca-9_prm_2", - "label": "organization-defined conditions" - }, - { - "id": "ca-9_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "CA-09" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize internal connections of {{ insert: param, ca-9_prm_1 }} to the system;" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;" - }, - { - "id": "ca-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Terminate internal system connections after {{ insert: param, ca-9_prm_2 }}; and" - }, - { - "id": "ca-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review {{ insert: param, ca-9_prm_3 }} the continued need for each internal connection." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system). Intra-system connections include connections with mobile devices, notebook and desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability; or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions." - } - ], - "controls": [ - { - "id": "ca-9.1", - "class": "SP800-53-enhancement", - "title": "Compliance Checks", - "props": [ - { - "name": "label", - "value": "CA-9(1)" - }, - { - "name": "sort-id", - "value": "CA-09(01)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ca-9.1_smt", - "name": "statement", - "prose": "Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection." - }, - { - "id": "ca-9.1_gdn", - "name": "guidance", - "prose": "Compliance checks include verification of the relevant baseline configuration." - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "cm-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "cm-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "CM-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cm-1_prm_2 }} configuration management policy that:", - "parts": [ - { - "id": "cm-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cm-1_prm_3 }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and" - }, - { - "id": "cm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current configuration management:", - "parts": [ - { - "id": "cm-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, cm-1_prm_4 }}; and" - }, - { - "id": "cm-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, cm-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CM family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "params": [ - { - "id": "cm-2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-2_prm_2", - "label": "Assignment organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "CM-02" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and maintain under configuration control, a current baseline configuration of the system; and" - }, - { - "id": "cm-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the baseline configuration of the system:", - "parts": [ - { - "id": "cm-2_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cm-2_prm_1 }};" - }, - { - "id": "cm-2_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When required due to {{ insert: param, cm-2_prm_2 }}; and" - }, - { - "id": "cm-2_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When system components are installed or upgraded." - } - ] - } - ] - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture." - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "props": [ - { - "name": "label", - "value": "CM-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(01)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy and Currency", - "params": [ - { - "id": "cm-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(2)" - }, - { - "name": "sort-id", - "value": "CM-02(02)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, cm-2.2_prm_1 }}." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, and firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission/business process level or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of CM-8(2) for organizations that combine system component inventory and baseline configuration activities." - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "params": [ - { - "id": "cm-2.3_prm_1", - "label": "organization-defined number" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(3)" - }, - { - "name": "sort-id", - "value": "CM-02(03)" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "Retain {{ insert: param, cm-2.3_prm_1 }} of previous versions of baseline configurations of the system to support rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, and configuration records." - } - ] - }, - { - "id": "cm-2.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software", - "props": [ - { - "name": "label", - "value": "CM-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(04)" - } - ], - "links": [ - { - "href": "#cm-7.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software", - "props": [ - { - "name": "label", - "value": "CM-2(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-02(05)" - } - ], - "links": [ - { - "href": "#cm-7.5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-2.6", - "class": "SP800-53-enhancement", - "title": "Development and Test Environments", - "props": [ - { - "name": "label", - "value": "CM-2(6)" - }, - { - "name": "sort-id", - "value": "CM-02(06)" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.6_smt", - "name": "statement", - "prose": "Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration." - }, - { - "id": "cm-2.6_gdn", - "name": "guidance", - "prose": "Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations does not necessarily require separate physical environments." - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems and Components for High-risk Areas", - "params": [ - { - "id": "cm-2.7_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "cm-2.7_prm_2", - "label": "organization-defined configurations" - }, - { - "id": "cm-2.7_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "CM-2(7)" - }, - { - "name": "sort-id", - "value": "CM-02(07)" - } - ], - "links": [ - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issue {{ insert: param, cm-2.7_prm_1 }} with {{ insert: param, cm-2.7_prm_2 }} to individuals traveling to locations that the organization deems to be of significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, cm-2.7_prm_3 }}." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the MP (Media Protection) family." - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "params": [ - { - "id": "cm-3_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "cm-3_prm_2", - "label": "organization-defined configuration change control element" - }, - { - "id": "cm-3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-3_prm_4 }} ", - "when {{ insert: param, cm-3_prm_5 }} " - ] - } - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "label": "organization-defined configuration change conditions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3" - }, - { - "name": "sort-id", - "value": "CM-03" - } - ], - "links": [ - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the types of changes to the system that are configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document configuration change decisions associated with the system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement approved configuration-controlled changes to the system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain records of configuration-controlled changes to the system for {{ insert: param, cm-3_prm_1 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Monitor and review activities associated with configuration-controlled changes to the system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinate and provide oversight for configuration change control activities through {{ insert: param, cm-3_prm_2 }} that convenes {{ insert: param, cm-3_prm_3 }}." - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations and configuration items of systems; changes to operational procedures; changes to configuration settings for system components; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes impacting privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also SA-10." - } - ], - "controls": [ - { - "id": "cm-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Documentation, Notification, and Prohibition of Changes", - "params": [ - { - "id": "cm-3.1_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-3.1_prm_2", - "label": "organization-defined approval authorities" - }, - { - "id": "cm-3.1_prm_3", - "label": "organization-defined time-period" - }, - { - "id": "cm-3.1_prm_4", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(1)" - }, - { - "name": "sort-id", - "value": "CM-03(01)" - } - ], - "parts": [ - { - "id": "cm-3.1_smt", - "name": "statement", - "prose": "Use {{ insert: param, cm-3.1_prm_1 }} to:", - "parts": [ - { - "id": "cm-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Document proposed changes to the system;" - }, - { - "id": "cm-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify {{ insert: param, cm-3.1_prm_2 }} of proposed changes to the system and request change approval;" - }, - { - "id": "cm-3.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Highlight proposed changes to the system that have not been approved or disapproved within {{ insert: param, cm-3.1_prm_3 }};" - }, - { - "id": "cm-3.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Prohibit changes to the system until designated approvals are received;" - }, - { - "id": "cm-3.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Document all changes to the system; and" - }, - { - "id": "cm-3.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Notify {{ insert: param, cm-3.1_prm_4 }} when approved changes to the system are completed." - } - ] - }, - { - "id": "cm-3.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "cm-3.2", - "class": "SP800-53-enhancement", - "title": "Testing, Validation, and Documentation of Changes", - "props": [ - { - "name": "label", - "value": "CM-3(2)" - }, - { - "name": "sort-id", - "value": "CM-03(02)" - } - ], - "parts": [ - { - "id": "cm-3.2_smt", - "name": "statement", - "prose": "Test, validate, and document changes to the system before finalizing the implementation of the changes." - }, - { - "id": "cm-3.2_gdn", - "name": "guidance", - "prose": "Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations supporting organizational missions and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls." - } - ] - }, - { - "id": "cm-3.3", - "class": "SP800-53-enhancement", - "title": "Automated Change Implementation", - "params": [ - { - "id": "cm-3.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(3)" - }, - { - "name": "sort-id", - "value": "CM-03(03)" - } - ], - "parts": [ - { - "id": "cm-3.3_smt", - "name": "statement", - "prose": "Implement changes to the current system baseline and deploy the updated baseline across the installed base using {{ insert: param, cm-3.3_prm_1 }}." - }, - { - "id": "cm-3.3_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., Security Information and Event Management tools) can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization." - } - ] - }, - { - "id": "cm-3.4", - "class": "SP800-53-enhancement", - "title": "Security and Privacy Representatives", - "params": [ - { - "id": "cm-3.4_prm_1", - "label": "organization-defined security and privacy representatives" - }, - { - "id": "cm-3.4_prm_2", - "label": "organization-defined configuration change control element" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(4)" - }, - { - "name": "sort-id", - "value": "CM-03(04)" - } - ], - "parts": [ - { - "id": "cm-3.4_smt", - "name": "statement", - "prose": "Require {{ insert: param, cm-3.4_prm_1 }} to be members of the {{ insert: param, cm-3.4_prm_2 }}." - }, - { - "id": "cm-3.4_gdn", - "name": "guidance", - "prose": "Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3." - } - ] - }, - { - "id": "cm-3.5", - "class": "SP800-53-enhancement", - "title": "Automated Security Response", - "params": [ - { - "id": "cm-3.5_prm_1", - "label": "organization-defined security responses" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(5)" - }, - { - "name": "sort-id", - "value": "CM-03(05)" - } - ], - "parts": [ - { - "id": "cm-3.5_smt", - "name": "statement", - "prose": "Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: {{ insert: param, cm-3.5_prm_1 }}." - }, - { - "id": "cm-3.5_gdn", - "name": "guidance", - "prose": "Automated security responses include halting selected system functions, halting system processing, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item." - } - ] - }, - { - "id": "cm-3.6", - "class": "SP800-53-enhancement", - "title": "Cryptography Management", - "params": [ - { - "id": "cm-3.6_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(6)" - }, - { - "name": "sort-id", - "value": "CM-03(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.6_smt", - "name": "statement", - "prose": "Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: {{ insert: param, cm-3.6_prm_1 }}." - }, - { - "id": "cm-3.6_gdn", - "name": "guidance", - "prose": "The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates." - } - ] - }, - { - "id": "cm-3.7", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "params": [ - { - "id": "cm-3.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-3.7_prm_2", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(7)" - }, - { - "name": "sort-id", - "value": "CM-03(07)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-3.7_smt", - "name": "statement", - "prose": "Review changes to the system {{ insert: param, cm-3.7_prm_1 }} or when {{ insert: param, cm-3.7_prm_2 }} to determine whether unauthorized changes have occurred." - }, - { - "id": "cm-3.7_gdn", - "name": "guidance", - "prose": "Indications that warrant review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process." - } - ] - }, - { - "id": "cm-3.8", - "class": "SP800-53-enhancement", - "title": "Prevent or Restrict Configuration Changes", - "params": [ - { - "id": "cm-3.8_prm_1", - "label": "organization-defined circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "CM-3(8)" - }, - { - "name": "sort-id", - "value": "CM-03(08)" - } - ], - "parts": [ - { - "id": "cm-3.8_smt", - "name": "statement", - "prose": "Prevent or restrict changes to the configuration of the system under the following circumstances: {{ insert: param, cm-3.8_prm_1 }}." - }, - { - "id": "cm-3.8_gdn", - "name": "guidance", - "prose": "System configuration changes made in an ad hoc manner or in uncontrolled environments can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms." - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Impact Analyses", - "props": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "CM-04" - } - ], - "links": [ - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "Analyze changes to the system to determine potential security and privacy impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing with stakeholders the impact of changes on organizational supply chain partners; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and to determine if additional controls are required." - } - ], - "controls": [ - { - "id": "cm-4.1", - "class": "SP800-53-enhancement", - "title": "Separate Test Environments", - "props": [ - { - "name": "label", - "value": "CM-4(1)" - }, - { - "name": "sort-id", - "value": "CM-04(01)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.1_smt", - "name": "statement", - "prose": "Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice." - }, - { - "id": "cm-4.1_gdn", - "name": "guidance", - "prose": "A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation." - } - ] - }, - { - "id": "cm-4.2", - "class": "SP800-53-enhancement", - "title": "Verification of Controls", - "props": [ - { - "name": "label", - "value": "CM-4(2)" - }, - { - "name": "sort-id", - "value": "CM-04(02)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-4.2_smt", - "name": "statement", - "prose": "After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system." - }, - { - "id": "cm-4.2_gdn", - "name": "guidance", - "prose": "Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls." - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "props": [ - { - "name": "label", - "value": "CM-5" - }, - { - "name": "sort-id", - "value": "CM-05" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system, can potentially have significant effects on the security of the systems or individual privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times)." - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement and Audit Records", - "params": [ - { - "id": "cm-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(1)" - }, - { - "name": "sort-id", - "value": "CM-05(01)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforce access restrictions using {{ insert: param, cm-5.1_prm_1 }}; and" - }, - { - "id": "cm-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Automatically generate audit records of the enforcement actions." - } - ] - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "prose": "Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes." - } - ] - }, - { - "id": "cm-5.2", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "props": [ - { - "name": "label", - "value": "CM-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-05(02)" - } - ], - "links": [ - { - "href": "#cm-3.7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "params": [ - { - "id": "cm-5.3_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(3)" - }, - { - "name": "sort-id", - "value": "CM-05(03)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.3_smt", - "name": "statement", - "prose": "Prevent the installation of {{ insert: param, cm-5.3_prm_1 }} without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization." - }, - { - "id": "cm-5.3_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication." - } - ] - }, - { - "id": "cm-5.4", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cm-5.4_prm_1", - "label": "organization-defined system components and system-level information" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(4)" - }, - { - "name": "sort-id", - "value": "CM-05(04)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.4_smt", - "name": "statement", - "prose": "Enforce dual authorization for implementing changes to {{ insert: param, cm-5.4_prm_1 }}." - }, - { - "id": "cm-5.4_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures." - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Privilege Limitation for Production and Operation", - "params": [ - { - "id": "cm-5.5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-5(5)" - }, - { - "name": "sort-id", - "value": "CM-05(05)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit privileges to change system components and system-related information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, systems support multiple missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are in some cases, unknown to developers. System-related information includes operational procedures." - } - ] - }, - { - "id": "cm-5.6", - "class": "SP800-53-enhancement", - "title": "Limit Library Privileges", - "props": [ - { - "name": "label", - "value": "CM-5(6)" - }, - { - "name": "sort-id", - "value": "CM-05(06)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-5.6_smt", - "name": "statement", - "prose": "Limit privileges to change software resident within software libraries." - }, - { - "id": "cm-5.6_gdn", - "name": "guidance", - "prose": "Software libraries include privileged programs." - } - ] - }, - { - "id": "cm-5.7", - "class": "SP800-53-enhancement", - "title": "Automatic Implementation of Security Safeguards", - "props": [ - { - "name": "label", - "value": "CM-5(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-05(07)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "params": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined common secure configurations" - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "CM-06" - } - ], - "links": [ - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#06842bea-64c9-4e20-807a-b8fc003fa737", - "rel": "reference" - }, - { - "href": "#5cc04a1c-5489-4751-a493-746a9639067b", - "rel": "reference" - }, - { - "href": "#294eed19-7471-4517-9480-2ec73e7c6a78", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and document configuration settings for components employed within the system using {{ insert: param, cm-6_prm_1 }} that reflect the most restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify, document, and approve any deviations from established configuration settings for {{ insert: param, cm-6_prm_2 }} based on {{ insert: param, cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor and control changes to the configuration settings in accordance with organizational policies and procedures." - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Security parameters are parameters impacting the security posture of systems, including the parameters required to satisfy other security control requirements. Security parameters include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system. Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors. Implementation of a common secure configuration may be mandated at the organization level, mission/business process level, or system level, or may be mandated at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB] and security technical implementation guides (STIGs), which affect the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings." - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Management, Application, and Verification", - "params": [ - { - "id": "cm-6.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "cm-6.1_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6(1)" - }, - { - "name": "sort-id", - "value": "CM-06(01)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "Centrally manage, apply, and verify configuration settings for {{ insert: param, cm-6.1_prm_1 }} using {{ insert: param, cm-6.1_prm_2 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "prose": "Automated tools (e.g., security information and event management tools or enterprise security monitoring tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization." - } - ] - }, - { - "id": "cm-6.2", - "class": "SP800-53-enhancement", - "title": "Respond to Unauthorized Changes", - "params": [ - { - "id": "cm-6.2_prm_1", - "label": "organization-defined configuration settings" - }, - { - "id": "cm-6.2_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-6(2)" - }, - { - "name": "sort-id", - "value": "CM-06(02)" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-6.2_smt", - "name": "statement", - "prose": "Take the following actions in response to unauthorized changes to {{ insert: param, cm-6.2_prm_1 }}: {{ insert: param, cm-6.2_prm_2 }}." - }, - { - "id": "cm-6.2_gdn", - "name": "guidance", - "prose": "Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing." - } - ] - }, - { - "id": "cm-6.3", - "class": "SP800-53-enhancement", - "title": "Unauthorized Change Detection", - "props": [ - { - "name": "label", - "value": "CM-6(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-06(03)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-6.4", - "class": "SP800-53-enhancement", - "title": "Conformance Demonstration", - "props": [ - { - "name": "label", - "value": "CM-6(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-06(04)" - } - ], - "links": [ - { - "href": "#cm-4", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "params": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined mission essential capabilities" - }, - { - "id": "cm-7_prm_2", - "label": "organization-defined prohibited or restricted functions, ports, protocols, software, and/or services" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "CM-07" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#893d1736-324c-41d6-a5f4-d526b5ca981a", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configure the system to provide only {{ insert: param, cm-7_prm_1 }}; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, cm-7_prm_2 }}." - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3)." - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "params": [ - { - "id": "cm-7.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cm-7.1_prm_2", - "label": "organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(1)" - }, - { - "name": "sort-id", - "value": "CM-07(01)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Review the system {{ insert: param, cm-7.1_prm_1 }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking." - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "params": [ - { - "id": "cm-7.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, cm-7.2_prm_2 }} ", - "rules authorizing the terms and conditions of software program usage" - ] - } - }, - { - "id": "cm-7.2_prm_2", - "depends-on": "cm-7.2_prm_1", - "label": "organization-defined policies, rules of behavior, and/or access agreements regarding software program usage and restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(2)" - }, - { - "name": "sort-id", - "value": "CM-07(02)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "Prevent program execution in accordance with {{ insert: param, cm-7.2_prm_1 }}." - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "prose": "Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements restricting software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features; restricting roles allowed to approve program execution; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time." - } - ] - }, - { - "id": "cm-7.3", - "class": "SP800-53-enhancement", - "title": "Registration Compliance", - "params": [ - { - "id": "cm-7.3_prm_1", - "label": "organization-defined registration requirements for functions, ports, protocols, and services" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(3)" - }, - { - "name": "sort-id", - "value": "CM-07(03)" - } - ], - "parts": [ - { - "id": "cm-7.3_smt", - "name": "statement", - "prose": "Ensure compliance with {{ insert: param, cm-7.3_prm_1 }}." - }, - { - "id": "cm-7.3_gdn", - "name": "guidance", - "prose": "Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services." - } - ] - }, - { - "id": "cm-7.4", - "class": "SP800-53-enhancement", - "title": "Unauthorized Software — Blacklisting", - "params": [ - { - "id": "cm-7.4_prm_1", - "label": "organization-defined software programs not authorized to execute on the system" - }, - { - "id": "cm-7.4_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(4)" - }, - { - "name": "sort-id", - "value": "CM-07(04)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-7.4_prm_1 }};" - }, - { - "id": "cm-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and" - }, - { - "id": "cm-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of unauthorized software programs {{ insert: param, cm-7.4_prm_2 }}." - } - ] - }, - { - "id": "cm-7.4_gdn", - "name": "guidance", - "prose": "The process used to identify software programs or categories of software programs that are not authorized to execute on organizational systems is commonly referred to as blacklisting. Software programs identified can be limited to specific versions or from a specific source. The concept of blacklisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses." - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software — Whitelisting", - "params": [ - { - "id": "cm-7.5_prm_1", - "label": "organization-defined software programs authorized to execute on the system" - }, - { - "id": "cm-7.5_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(5)" - }, - { - "name": "sort-id", - "value": "CM-07(05)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identify {{ insert: param, cm-7.5_prm_1 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Review and update the list of authorized software programs {{ insert: param, cm-7.5_prm_2 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "The process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. Software programs identified can be limited to specific versions or from a specific source. To facilitate comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at different levels of detail. Software program levels of detail include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. Organizations consider verifying the integrity of white-listed software programs using, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Whitelisting of URLs for websites is addressed in CA-3(5) and SC-7." - } - ] - }, - { - "id": "cm-7.6", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "params": [ - { - "id": "cm-7.6_prm_1", - "label": "organization-defined user-installed software" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(6)" - }, - { - "name": "sort-id", - "value": "CM-07(06)" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.6_smt", - "name": "statement", - "prose": "Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: {{ insert: param, cm-7.6_prm_1 }}." - }, - { - "id": "cm-7.6_gdn", - "name": "guidance", - "prose": "Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed." - } - ] - }, - { - "id": "cm-7.7", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "params": [ - { - "id": "cm-7.7_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-7(7)" - }, - { - "name": "sort-id", - "value": "CM-07(07)" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.7_smt", - "name": "statement", - "prose": "Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of {{ insert: param, cm-7.7_prm_1 }} when such code is:", - "parts": [ - { - "id": "cm-7.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Obtained from sources with limited or no warranty; and/or" - }, - { - "id": "cm-7.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Without the provision of source code." - } - ] - }, - { - "id": "cm-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software." - } - ] - }, - { - "id": "cm-7.8", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "CM-7(8)" - }, - { - "name": "sort-id", - "value": "CM-07(08)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-7.8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-7.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and" - }, - { - "id": "cm-7.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official." - } - ] - }, - { - "id": "cm-7.8_gdn", - "name": "guidance", - "prose": "This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open source software is used, the assessments address the fact that there is no warranty, the open source software could contain back doors or malware, and there may be no support available." - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "System Component Inventory", - "params": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "CM-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document an inventory of system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting; and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes the following information to achieve system component accountability: {{ insert: param, cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the system component inventory {{ insert: param, cm-8_prm_2 }}." - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location." - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installation and Removal", - "props": [ - { - "name": "label", - "value": "CM-8(1)" - }, - { - "name": "sort-id", - "value": "CM-08(01)" - } - ], - "links": [ - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "Update the inventory of system components as part of component installations, removals, and system updates." - }, - { - "id": "cm-8.1_gdn", - "name": "guidance", - "prose": "Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated routinely as part of component installations or removals, or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components." - } - ] - }, - { - "id": "cm-8.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance", - "params": [ - { - "id": "cm-8.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(2)" - }, - { - "name": "sort-id", - "value": "CM-08(02)" - } - ], - "parts": [ - { - "id": "cm-8.2_smt", - "name": "statement", - "prose": "Maintain the currency, completeness, accuracy, and availability of the inventory of system components using {{ insert: param, cm-8.2_prm_1 }}." - }, - { - "id": "cm-8.2_gdn", - "name": "guidance", - "prose": "Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of CM-2(2) for organizations that combine system component inventory and baseline configuration activities." - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "params": [ - { - "id": "cm-8.3_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "cm-8.3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "cm-8.3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "disable network access by such components", - "isolate the components", - "notify {{ insert: param, cm-8.3_prm_4 }} " - ] - } - }, - { - "id": "cm-8.3_prm_4", - "depends-on": "cm-8.3_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(3)" - }, - { - "name": "sort-id", - "value": "CM-08(03)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, cm-8.3_prm_1 }} {{ insert: param, cm-8.3_prm_2 }}; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions when unauthorized components are detected: {{ insert: param, cm-8.3_prm_3 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices). Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as sandboxing." - } - ] - }, - { - "id": "cm-8.4", - "class": "SP800-53-enhancement", - "title": "Accountability Information", - "params": [ - { - "id": "cm-8.4_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "name", - "position", - "role" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(4)" - }, - { - "name": "sort-id", - "value": "CM-08(04)" - } - ], - "parts": [ - { - "id": "cm-8.4_smt", - "name": "statement", - "prose": "Include in the system component inventory information, a means for identifying by {{ insert: param, cm-8.4_prm_1 }}, individuals responsible and accountable for administering those components." - }, - { - "id": "cm-8.4_gdn", - "name": "guidance", - "prose": "Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated." - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "props": [ - { - "name": "label", - "value": "CM-8(5)" - }, - { - "name": "sort-id", - "value": "CM-08(05)" - } - ], - "parts": [ - { - "id": "cm-8.5_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verify that all components within the system are not duplicated in other system component inventories; or" - }, - { - "id": "cm-8.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "If a centralized component inventory is used, verify components are not assigned to multiple systems." - } - ] - }, - { - "id": "cm-8.5_gdn", - "name": "guidance", - "prose": "Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of CM-8(7) can help to eliminate duplicate accounting of components." - } - ] - }, - { - "id": "cm-8.6", - "class": "SP800-53-enhancement", - "title": "Assessed Configurations and Approved Deviations", - "props": [ - { - "name": "label", - "value": "CM-8(6)" - }, - { - "name": "sort-id", - "value": "CM-08(06)" - } - ], - "parts": [ - { - "id": "cm-8.6_smt", - "name": "statement", - "prose": "Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory." - }, - { - "id": "cm-8.6_gdn", - "name": "guidance", - "prose": "Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings." - } - ] - }, - { - "id": "cm-8.7", - "class": "SP800-53-enhancement", - "title": "Centralized Repository", - "props": [ - { - "name": "label", - "value": "CM-8(7)" - }, - { - "name": "sort-id", - "value": "CM-08(07)" - } - ], - "parts": [ - { - "id": "cm-8.7_smt", - "name": "statement", - "prose": "Provide a centralized repository for the inventory of system components." - }, - { - "id": "cm-8.7_gdn", - "name": "guidance", - "prose": "Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability." - } - ] - }, - { - "id": "cm-8.8", - "class": "SP800-53-enhancement", - "title": "Automated Location Tracking", - "params": [ - { - "id": "cm-8.8_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(8)" - }, - { - "name": "sort-id", - "value": "CM-08(08)" - } - ], - "parts": [ - { - "id": "cm-8.8_smt", - "name": "statement", - "prose": "Support the tracking of system components by geographic location using {{ insert: param, cm-8.8_prm_1 }}." - }, - { - "id": "cm-8.8_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications affecting individual privacy." - } - ] - }, - { - "id": "cm-8.9", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "params": [ - { - "id": "cm-8.9_prm_1", - "label": "organization-defined acquired system components" - }, - { - "id": "cm-8.9_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-8(9)" - }, - { - "name": "sort-id", - "value": "CM-08(09)" - } - ], - "parts": [ - { - "id": "cm-8.9_smt", - "name": "statement", - "parts": [ - { - "id": "cm-8.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assign {{ insert: param, cm-8.9_prm_1 }} to a system; and" - }, - { - "id": "cm-8.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Receive an acknowledgement from {{ insert: param, cm-8.9_prm_2 }} of this assignment." - } - ] - }, - { - "id": "cm-8.9_gdn", - "name": "guidance", - "prose": "Acquired system components that are not assigned to a specific system may be unmanaged, lack the required protection, and thus, become an organizational vulnerability. Organizations determine the types of system components that are subject to this control enhancement." - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "params": [ - { - "id": "cm-9_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "CM-9" - }, - { - "name": "sort-id", - "value": "CM-09" - } - ], - "links": [ - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "Develop, document, and implement a configuration management plan for the system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the system and places the configuration items under configuration management;" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cm-9_prm_1 }}; and" - }, - { - "id": "cm-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes, how to update configuration settings and baselines, how to maintain component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Templates can represent a master configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, for example, the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control." - } - ], - "controls": [ - { - "id": "cm-9.1", - "class": "SP800-53-enhancement", - "title": "Assignment of Responsibility", - "props": [ - { - "name": "label", - "value": "CM-9(1)" - }, - { - "name": "sort-id", - "value": "CM-09(01)" - } - ], - "parts": [ - { - "id": "cm-9.1_smt", - "name": "statement", - "prose": "Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development." - }, - { - "id": "cm-9.1_gdn", - "name": "guidance", - "prose": "In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight." - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "CM-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Use software and associated documentation in accordance with contract agreements and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual or automated methods depending on organizational needs. A non-disclosure agreement is an example of a contract agreement." - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open Source Software", - "params": [ - { - "id": "cm-10.1_prm_1", - "label": "organization-defined restrictions" - } - ], - "props": [ - { - "name": "label", - "value": "CM-10(1)" - }, - { - "name": "sort-id", - "value": "CM-10(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "Establish the following restrictions on the use of open source software: {{ insert: param, cm-10.1_prm_1 }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, remediating vulnerabilities in open source software may be problematic. There may also be licensing issues associated with open source software, including the constraints on derivative use of such software. Open source software that is available only in binary form may increase the level of risk in using such software." - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "params": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "CM-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, cm-11_prm_1 }} governing the installation of software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforce software installation policies through the following methods: {{ insert: param, cm-11_prm_2 }}; and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitor policy compliance {{ insert: param, cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved “app stores.” Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods." - } - ], - "controls": [ - { - "id": "cm-11.1", - "class": "SP800-53-enhancement", - "title": "Alerts for Unauthorized Installations", - "props": [ - { - "name": "label", - "value": "CM-11(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CM-11(01)" - } - ], - "links": [ - { - "href": "#cm-8.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cm-11.2", - "class": "SP800-53-enhancement", - "title": "Software Installation with Privileged Status", - "props": [ - { - "name": "label", - "value": "CM-11(2)" - }, - { - "name": "sort-id", - "value": "CM-11(02)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-11.2_smt", - "name": "statement", - "prose": "Allow user installation of software only with explicit privileged status." - }, - { - "id": "cm-11.2_gdn", - "name": "guidance", - "prose": "Privileged status can be obtained, for example, by serving in the role of system administrator." - } - ] - } - ] - }, - { - "id": "cm-12", - "class": "SP800-53", - "title": "Information Location", - "params": [ - { - "id": "cm-12_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "CM-12" - }, - { - "name": "sort-id", - "value": "CM-12" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-23", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-4", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-12_smt", - "name": "statement", - "parts": [ - { - "id": "cm-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the location of {{ insert: param, cm-12_prm_1 }} and the specific system components on which the information is processed and stored;" - }, - { - "id": "cm-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify and document the users who have access to the system and system components where the information is processed and stored; and" - }, - { - "id": "cm-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document changes to the location (i.e., system or system components) where the information is processed and stored." - } - ] - }, - { - "id": "cm-12_gdn", - "name": "guidance", - "prose": "Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and associated information reside in the system components; and how information is being processed so that information flow can be understood, and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see FIPS 199). The location of the information and system components is also a factor in the architecture and design of the system (see SA-4, SA-8, SA-17)." - } - ], - "controls": [ - { - "id": "cm-12.1", - "class": "SP800-53-enhancement", - "title": "Automated Tools to Support Information Location", - "params": [ - { - "id": "cm-12.1_prm_1", - "label": "organization-defined information by information type" - }, - { - "id": "cm-12.1_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "CM-12(1)" - }, - { - "name": "sort-id", - "value": "CM-12(01)" - } - ], - "parts": [ - { - "id": "cm-12.1_smt", - "name": "statement", - "prose": "Use automated tools to identify {{ insert: param, cm-12.1_prm_1 }} on {{ insert: param, cm-12.1_prm_2 }} to ensure controls are in place to protect organizational information and individual privacy." - }, - { - "id": "cm-12.1_gdn", - "name": "guidance", - "prose": "The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information organization-wide. The output of automated information location tools can be used to guide and inform system architecture and design decisions." - } - ] - } - ] - }, - { - "id": "cm-13", - "class": "SP800-53", - "title": "Data Action Mapping", - "props": [ - { - "name": "label", - "value": "CM-13" - }, - { - "name": "sort-id", - "value": "CM-13" - } - ], - "links": [ - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - } - ], - "parts": [ - { - "id": "cm-13_smt", - "name": "statement", - "prose": "Develop and document a map of system data actions." - }, - { - "id": "cm-13_gdn", - "name": "guidance", - "prose": "Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, components of the system involved in the data actions, and the owners or operators of the components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed on the backend of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system." - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "cp-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "cp-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "CP-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, cp-1_prm_2 }} contingency planning policy that:", - "parts": [ - { - "id": "cp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, cp-1_prm_3 }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and" - }, - { - "id": "cp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current contingency planning:", - "parts": [ - { - "id": "cp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, cp-1_prm_4 }}; and" - }, - { - "id": "cp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, cp-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the CP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "params": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" - } - ], - "props": [ - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "CP-02" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a contingency plan for the system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the contingency plan to {{ insert: param, cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review the contingency plan for the system {{ insert: param, cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicate contingency plan changes to {{ insert: param, cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protect the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational missions and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. In addition to availability, contingency plans address other security-related events resulting in a reduction in mission effectiveness including malicious attacks that compromise the integrity of systems or the confidentiality of information. Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system as specified in IR-4(5). Incident response planning is part of contingency planning for organizations and is addressed in the IR (Incident Response) family." - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-2(1)" - }, - { - "name": "sort-id", - "value": "CP-02(01)" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan development with organizational elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Cyber Incident Response Plans, and Occupant Emergency Plans." - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "props": [ - { - "name": "label", - "value": "CP-2(2)" - }, - { - "name": "sort-id", - "value": "CP-02(02)" - } - ], - "links": [ - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-13", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential missions and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance." - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Missions and Business Functions", - "params": [ - { - "id": "cp-2.3_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - }, - { - "id": "cp-2.3_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(3)" - }, - { - "name": "sort-id", - "value": "CP-02(03)" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "Plan for the resumption of {{ insert: param, cp-2.3_prm_1 }} missions and business functions within {{ insert: param, cp-2.3_prm_2 }} of contingency plan activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct contingency planning activities to resume missions and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of missions and business functions. The time-period for the resumption of missions and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure." - } - ] - }, - { - "id": "cp-2.4", - "class": "SP800-53-enhancement", - "title": "Resume All Missions and Business Functions", - "props": [ - { - "name": "label", - "value": "CP-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-02(04)" - } - ], - "links": [ - { - "href": "#cp-2.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-2.5", - "class": "SP800-53-enhancement", - "title": "Continue Missions and Business Functions", - "params": [ - { - "id": "cp-2.5_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(5)" - }, - { - "name": "sort-id", - "value": "CP-02(05)" - } - ], - "parts": [ - { - "id": "cp-2.5_smt", - "name": "statement", - "prose": "Plan for the continuance of {{ insert: param, cp-2.5_prm_1 }} missions and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites." - }, - { - "id": "cp-2.5_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities to continue missions and business functions as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - } - ] - }, - { - "id": "cp-2.6", - "class": "SP800-53-enhancement", - "title": "Alternate Processing and Storage Sites", - "params": [ - { - "id": "cp-2.6_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(6)" - }, - { - "name": "sort-id", - "value": "CP-02(06)" - } - ], - "parts": [ - { - "id": "cp-2.6_smt", - "name": "statement", - "prose": "Plan for the transfer of {{ insert: param, cp-2.6_prm_1 }} missions and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites." - }, - { - "id": "cp-2.6_gdn", - "name": "guidance", - "prose": "Organizations may choose to conduct the contingency planning activities for alternate processing and storage sites as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency." - } - ] - }, - { - "id": "cp-2.7", - "class": "SP800-53-enhancement", - "title": "Coordinate with External Service Providers", - "props": [ - { - "name": "label", - "value": "CP-2(7)" - }, - { - "name": "sort-id", - "value": "CP-02(07)" - } - ], - "links": [ - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.7_smt", - "name": "statement", - "prose": "Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied." - }, - { - "id": "cp-2.7_gdn", - "name": "guidance", - "prose": "When the capability of an organization to carry out its missions and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When missions and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization." - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "params": [ - { - "id": "cp-2.8_prm_1", - "select": { - "choice": [ - "all", - "essential" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "CP-2(8)" - }, - { - "name": "sort-id", - "value": "CP-02(08)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "Identify critical system assets supporting {{ insert: param, cp-2.8_prm_1 }} missions and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational missions and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (manually executed operations) and personnel (individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing CP-2(7) as a control enhancement." - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "params": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "CP-03" - } - ], - "links": [ - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "Provide contingency training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ insert: param, cp-3_prm_1 }} of assuming a contingency role or responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "{{ insert: param, cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan." - } - ], - "controls": [ - { - "id": "cp-3.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "CP-3(1)" - }, - { - "name": "sort-id", - "value": "CP-03(01)" - } - ], - "parts": [ - { - "id": "cp-3.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations." - }, - { - "id": "cp-3.1_gdn", - "name": "guidance", - "prose": "The use of simulated events creates an environment for personnel to experience actual threat events including cyber-attacks that disable web sites, ransom-ware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures." - } - ] - }, - { - "id": "cp-3.2", - "class": "SP800-53-enhancement", - "title": "Mechanisms Used in Training Environments", - "props": [ - { - "name": "label", - "value": "CP-3(2)" - }, - { - "name": "sort-id", - "value": "CP-03(02)" - } - ], - "parts": [ - { - "id": "cp-3.2_smt", - "name": "statement", - "prose": "Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment." - }, - { - "id": "cp-3.2_gdn", - "name": "guidance", - "prose": "Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission/business processes, systems, and/or facilities may be used to generate simulated events and/or to enhance the realism of simulated events during contingency training." - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "params": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests" - } - ], - "props": [ - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "CP-04" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#20bf433b-074c-47a0-8fca-cd591772ccd6", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Test the contingency plan for the system {{ insert: param, cp-4_prm_1 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, cp-4_prm_2 }}." - }, - { - "id": "cp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiate corrective actions, if needed." - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions." - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "props": [ - { - "name": "label", - "value": "CP-4(1)" - }, - { - "name": "sort-id", - "value": "CP-04(01)" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "Coordinate contingency plan testing with organizational elements responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations coordinate with those elements." - } - ] - }, - { - "id": "cp-4.2", - "class": "SP800-53-enhancement", - "title": "Alternate Processing Site", - "props": [ - { - "name": "label", - "value": "CP-4(2)" - }, - { - "name": "sort-id", - "value": "CP-04(02)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.2_smt", - "name": "statement", - "prose": "Test the contingency plan at the alternate processing site:", - "parts": [ - { - "id": "cp-4.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "To familiarize contingency personnel with the facility and available resources; and" - }, - { - "id": "cp-4.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "To evaluate the capabilities of the alternate processing site to support contingency operations." - } - ] - }, - { - "id": "cp-4.2_gdn", - "name": "guidance", - "prose": "Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience, firsthand, the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational missions and functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing." - } - ] - }, - { - "id": "cp-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "cp-4.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "CP-4(3)" - }, - { - "name": "sort-id", - "value": "CP-04(03)" - } - ], - "parts": [ - { - "id": "cp-4.3_smt", - "name": "statement", - "prose": "Test the contingency plan using {{ insert: param, cp-4.3_prm_1 }}." - }, - { - "id": "cp-4.3_gdn", - "name": "guidance", - "prose": "Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations." - } - ] - }, - { - "id": "cp-4.4", - "class": "SP800-53-enhancement", - "title": "Full Recovery and Reconstitution", - "props": [ - { - "name": "label", - "value": "CP-4(4)" - }, - { - "name": "sort-id", - "value": "CP-04(04)" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-4.4_smt", - "name": "statement", - "prose": "Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing." - }, - { - "id": "cp-4.4_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes." - } - ] - } - ] - }, - { - "id": "cp-5", - "class": "SP800-53", - "title": "Contingency Plan Update", - "props": [ - { - "name": "label", - "value": "CP-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-05" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "props": [ - { - "name": "label", - "value": "CP-6" - }, - { - "name": "sort-id", - "value": "CP-06" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensure that the alternate storage site provides controls equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are sites that are geographically distinct from primary storage sites and that maintain duplicate copies of information and data if the primary storage site is not available. In contrast to alternate storage sites, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may also be considered as alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems." - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-6(1)" - }, - { - "name": "sort-id", - "value": "CP-06(01)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - } - ] - }, - { - "id": "cp-6.2", - "class": "SP800-53-enhancement", - "title": "Recovery Time and Recovery Point Objectives", - "props": [ - { - "name": "label", - "value": "CP-6(2)" - }, - { - "name": "sort-id", - "value": "CP-06(02)" - } - ], - "parts": [ - { - "id": "cp-6.2_smt", - "name": "statement", - "prose": "Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives." - }, - { - "id": "cp-6.2_gdn", - "name": "guidance", - "prose": "Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations ensuring accessibility and correct execution." - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-6(3)" - }, - { - "name": "sort-id", - "value": "CP-06(03)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted." - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "params": [ - { - "id": "cp-7_prm_1", - "label": "organization-defined system operations" - }, - { - "id": "cp-7_prm_2", - "label": "organization-defined time-period consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-7" - }, - { - "name": "sort-id", - "value": "CP-07" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-11", - "rel": "related" - }, - { - "href": "#pe-12", - "rel": "related" - }, - { - "href": "#pe-17", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-7_prm_1 }} for essential missions and business functions within {{ insert: param, cp-7_prm_2 }} when the primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provide controls at the alternate processing site that are equivalent to those at the primary site." - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are sites that are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives such as failover to a cloud-based service provider or other internally- or externally-provided processing service. Geographically distributed architectures that support contingency requirements may also be considered as alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems." - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "props": [ - { - "name": "label", - "value": "CP-7(1)" - }, - { - "name": "sort-id", - "value": "CP-07(01)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats." - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant." - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "props": [ - { - "name": "label", - "value": "CP-7(2)" - }, - { - "name": "sort-id", - "value": "CP-07(02)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk." - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "props": [ - { - "name": "label", - "value": "CP-7(3)" - }, - { - "name": "sort-id", - "value": "CP-07(03)" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning." - } - ] - }, - { - "id": "cp-7.4", - "class": "SP800-53-enhancement", - "title": "Preparation for Use", - "props": [ - { - "name": "label", - "value": "CP-7(4)" - }, - { - "name": "sort-id", - "value": "CP-07(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-7.4_smt", - "name": "statement", - "prose": "Prepare the alternate processing site so that the site can serve as the operational site supporting essential missions and business functions." - }, - { - "id": "cp-7.4_gdn", - "name": "guidance", - "prose": "Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place." - } - ] - }, - { - "id": "cp-7.5", - "class": "SP800-53-enhancement", - "title": "Equivalent Information Security Safeguards", - "props": [ - { - "name": "label", - "value": "CP-7(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-07(05)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-7.6", - "class": "SP800-53-enhancement", - "title": "Inability to Return to Primary Site", - "props": [ - { - "name": "label", - "value": "CP-7(6)" - }, - { - "name": "sort-id", - "value": "CP-07(06)" - } - ], - "parts": [ - { - "id": "cp-7.6_smt", - "name": "statement", - "prose": "Plan and prepare for circumstances that preclude returning to the primary processing site." - }, - { - "id": "cp-7.6_gdn", - "name": "guidance", - "prose": "There may be situations that preclude an organization from returning to the primary processing site. This can occur, for example, if a natural disaster such as a flood or a hurricane damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent." - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "params": [ - { - "id": "cp-8_prm_1", - "label": "organization-defined system operations" - }, - { - "id": "cp-8_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8" - }, - { - "name": "sort-id", - "value": "CP-08" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-8_prm_1 }} for essential missions and business functions within {{ insert: param, cp-8_prm_2 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites." - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "This control applies to telecommunications services (for data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions and business functions despite the loss of primary telecommunications services. Organizations may specify different time-periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines or the use of satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements." - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "props": [ - { - "name": "label", - "value": "CP-8(1)" - }, - { - "name": "sort-id", - "value": "CP-08(01)" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program and the Department of Homeland Security, manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program." - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "props": [ - { - "name": "label", - "value": "CP-8(2)" - }, - { - "name": "sort-id", - "value": "CP-08(02)" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services." - }, - { - "id": "cp-8.2_gdn", - "name": "guidance", - "prose": "In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services." - } - ] - }, - { - "id": "cp-8.3", - "class": "SP800-53-enhancement", - "title": "Separation of Primary and Alternate Providers", - "props": [ - { - "name": "label", - "value": "CP-8(3)" - }, - { - "name": "sort-id", - "value": "CP-08(03)" - } - ], - "parts": [ - { - "id": "cp-8.3_smt", - "name": "statement", - "prose": "Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats." - }, - { - "id": "cp-8.3_gdn", - "name": "guidance", - "prose": "Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment." - } - ] - }, - { - "id": "cp-8.4", - "class": "SP800-53-enhancement", - "title": "Provider Contingency Plan", - "params": [ - { - "id": "cp-8.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8(4)" - }, - { - "name": "sort-id", - "value": "CP-08(04)" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.4_smt", - "name": "statement", - "parts": [ - { - "id": "cp-8.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require primary and alternate telecommunications service providers to have contingency plans;" - }, - { - "id": "cp-8.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and" - }, - { - "id": "cp-8.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Obtain evidence of contingency testing and training by providers {{ insert: param, cp-8.4_prm_1 }}." - } - ] - }, - { - "id": "cp-8.4_gdn", - "name": "guidance", - "prose": "Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training." - } - ] - }, - { - "id": "cp-8.5", - "class": "SP800-53-enhancement", - "title": "Alternate Telecommunication Service Testing", - "params": [ - { - "id": "cp-8.5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-8(5)" - }, - { - "name": "sort-id", - "value": "CP-08(05)" - } - ], - "links": [ - { - "href": "#cp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-8.5_smt", - "name": "statement", - "prose": "Test alternate telecommunication services {{ insert: param, cp-8.5_prm_1 }}." - }, - { - "id": "cp-8.5_gdn", - "name": "guidance", - "prose": "Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure there is no degradation in organizational missions or functions." - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "System Backup", - "params": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined system components" - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - }, - { - "id": "cp-9_prm_4", - "label": "organization-defined frequency consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "CP-09" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#ae412317-c2b4-47bb-b47b-c329ce0d7a0b", - "rel": "reference" - }, - { - "href": "#38dbdf55-9a14-446f-b563-c48e4e3d37fb", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct backups of user-level information contained in {{ insert: param, cp-9_prm_1 }} {{ insert: param, cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct backups of system-level information contained in the system {{ insert: param, cp-9_prm_3 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct backups of system documentation, including security and privacy-related documentation {{ insert: param, cp-9_prm_4 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the confidentiality, integrity, and availability of backup information." - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of backup information while in transit is outside the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements." - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability and Integrity", - "params": [ - { - "id": "cp-9.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(1)" - }, - { - "name": "sort-id", - "value": "CP-09(01)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "Test backup information {{ insert: param, cp-9.1_prm_1 }} to verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "prose": "Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance." - } - ] - }, - { - "id": "cp-9.2", - "class": "SP800-53-enhancement", - "title": "Test Restoration Using Sampling", - "props": [ - { - "name": "label", - "value": "CP-9(2)" - }, - { - "name": "sort-id", - "value": "CP-09(02)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.2_smt", - "name": "statement", - "prose": "Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing." - }, - { - "id": "cp-9.2_gdn", - "name": "guidance", - "prose": "Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is used to determine if the functions operate as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed." - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "params": [ - { - "id": "cp-9.3_prm_1", - "label": "organization-defined critical system software and other security-related information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(3)" - }, - { - "name": "sort-id", - "value": "CP-09(03)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "Store backup copies of {{ insert: param, cp-9.3_prm_1 }} in a separate facility or in a fire-rated container that is not collocated with the operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire-rated containers." - } - ] - }, - { - "id": "cp-9.4", - "class": "SP800-53-enhancement", - "title": "Protection from Unauthorized Modification", - "props": [ - { - "name": "label", - "value": "CP-9(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-09(04)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-9.5", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage Site", - "params": [ - { - "id": "cp-9.5_prm_1", - "label": "organization-defined time-period and transfer rate consistent with the recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(5)" - }, - { - "name": "sort-id", - "value": "CP-09(05)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.5_smt", - "name": "statement", - "prose": "Transfer system backup information to the alternate storage site {{ insert: param, cp-9.5_prm_1 }}." - }, - { - "id": "cp-9.5_gdn", - "name": "guidance", - "prose": "System backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media." - } - ] - }, - { - "id": "cp-9.6", - "class": "SP800-53-enhancement", - "title": "Redundant Secondary System", - "props": [ - { - "name": "label", - "value": "CP-9(6)" - }, - { - "name": "sort-id", - "value": "CP-09(06)" - } - ], - "links": [ - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.6_smt", - "name": "statement", - "prose": "Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations." - }, - { - "id": "cp-9.6_gdn", - "name": "guidance", - "prose": "The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site." - } - ] - }, - { - "id": "cp-9.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "cp-9.7_prm_1", - "label": "organization-defined backup information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(7)" - }, - { - "name": "sort-id", - "value": "CP-09(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the deletion or destruction of {{ insert: param, cp-9.7_prm_1 }}." - }, - { - "id": "cp-9.7_gdn", - "name": "guidance", - "prose": "Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - } - ] - }, - { - "id": "cp-9.8", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "cp-9.8_prm_1", - "label": "organization-defined backup information" - } - ], - "props": [ - { - "name": "label", - "value": "CP-9(8)" - }, - { - "name": "sort-id", - "value": "CP-09(08)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-9.8_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, cp-9.8_prm_1 }}." - }, - { - "id": "cp-9.8_gdn", - "name": "guidance", - "prose": "The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions." - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "System Recovery and Reconstitution", - "params": [ - { - "id": "cp-10_prm_1", - "label": "organization-defined time-period consistent with recovery time and recovery point objectives" - } - ], - "props": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "CP-10" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, cp-10_prm_1 }} after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point, recovery time, and reconstitution objectives, and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning." - } - ], - "controls": [ - { - "id": "cp-10.1", - "class": "SP800-53-enhancement", - "title": "Contingency Plan Testing", - "props": [ - { - "name": "label", - "value": "CP-10(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(01)" - } - ], - "links": [ - { - "href": "#cp-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "props": [ - { - "name": "label", - "value": "CP-10(2)" - }, - { - "name": "sort-id", - "value": "CP-10(02)" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "Implement transaction recovery for systems that are transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling." - } - ] - }, - { - "id": "cp-10.3", - "class": "SP800-53-enhancement", - "title": "Compensating Security Controls", - "props": [ - { - "name": "label", - "value": "CP-10(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(03)" - } - ], - "parts": [ - { - "id": "cp-10.3_smt", - "name": "statement", - "prose": "*Addressed through tailoring procedures.* " - } - ] - }, - { - "id": "cp-10.4", - "class": "SP800-53-enhancement", - "title": "Restore Within Time-period", - "params": [ - { - "id": "cp-10.4_prm_1", - "label": "organization-defined restoration time-periods" - } - ], - "props": [ - { - "name": "label", - "value": "CP-10(4)" - }, - { - "name": "sort-id", - "value": "CP-10(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.4_smt", - "name": "statement", - "prose": "Provide the capability to restore system components within {{ insert: param, cp-10.4_prm_1 }} from configuration-controlled and integrity-protected information representing a known, operational state for the components." - }, - { - "id": "cp-10.4_gdn", - "name": "guidance", - "prose": "Restoration of system components includes reimaging which restores the components to known, operational states." - } - ] - }, - { - "id": "cp-10.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "props": [ - { - "name": "label", - "value": "CP-10(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "CP-10(05)" - } - ], - "links": [ - { - "href": "#si-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "cp-10.6", - "class": "SP800-53-enhancement", - "title": "Component Protection", - "props": [ - { - "name": "label", - "value": "CP-10(6)" - }, - { - "name": "sort-id", - "value": "CP-10(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-10.6_smt", - "name": "statement", - "prose": "Protect system components used for recovery and reconstitution." - }, - { - "id": "cp-10.6_gdn", - "name": "guidance", - "prose": "Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software." - } - ] - } - ] - }, - { - "id": "cp-11", - "class": "SP800-53", - "title": "Alternate Communications Protocols", - "params": [ - { - "id": "cp-11_prm_1", - "label": "organization-defined alternative communications protocols" - } - ], - "props": [ - { - "name": "label", - "value": "CP-11" - }, - { - "name": "sort-id", - "value": "CP-11" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-11_smt", - "name": "statement", - "prose": "Provide the capability to employ {{ insert: param, cp-11_prm_1 }} in support of maintaining continuity of operations." - }, - { - "id": "cp-11_gdn", - "name": "guidance", - "prose": "Contingency plans and the contingency training or testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation." - } - ] - }, - { - "id": "cp-12", - "class": "SP800-53", - "title": "Safe Mode", - "params": [ - { - "id": "cp-12_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "cp-12_prm_2", - "label": "organization-defined restrictions of safe mode of operation" - } - ], - "props": [ - { - "name": "label", - "value": "CP-12" - }, - { - "name": "sort-id", - "value": "CP-12" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#si-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-12_smt", - "name": "statement", - "prose": "When {{ insert: param, cp-12_prm_1 }} are detected, enter a safe mode of operation with {{ insert: param, cp-12_prm_2 }}." - }, - { - "id": "cp-12_gdn", - "name": "guidance", - "prose": "For systems supporting critical missions and business functions, including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth." - } - ] - }, - { - "id": "cp-13", - "class": "SP800-53", - "title": "Alternative Security Mechanisms", - "params": [ - { - "id": "cp-13_prm_1", - "label": "organization-defined alternative or supplemental security mechanisms" - }, - { - "id": "cp-13_prm_2", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "CP-13" - }, - { - "name": "sort-id", - "value": "CP-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-11", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "cp-13_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-13_prm_1 }} for satisfying {{ insert: param, cp-13_prm_2 }} when the primary means of implementing the security function is unavailable or compromised." - }, - { - "id": "cp-13_gdn", - "name": "guidance", - "prose": "Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised." - } - ] - }, - { - "id": "cp-14", - "class": "SP800-53", - "title": "Self-challenge", - "params": [ - { - "id": "cp-14_prm_1", - "label": "organization-defined autonomous service" - }, - { - "id": "cp-14_prm_2", - "label": "organization-defined system or system components" - } - ], - "props": [ - { - "name": "label", - "value": "CP-14" - }, - { - "name": "sort-id", - "value": "CP-14" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "cp-14_smt", - "name": "statement", - "prose": "Employ {{ insert: param, cp-14_prm_1 }} to {{ insert: param, cp-14_prm_2 }} to affect the system or system components in an adverse manner." - }, - { - "id": "cp-14_gdn", - "name": "guidance", - "prose": "Often the best means of assessing the effectiveness of the controls implemented within a system and the system resilience is to disrupt it in some manner. The autonomous service selected and implemented by the organization could disrupt system services in many ways, including terminating or disabling key system components, changing the configuration of system elements, altering privileges, or degrading critical functionality (e.g., restricting network bandwidth). Such automated, on-going, simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack." - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ia-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ia-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "IA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ia-1_prm_2 }} identification and authentication policy that:", - "parts": [ - { - "id": "ia-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ia-1_prm_3 }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and" - }, - { - "id": "ia-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current identification and authentication:", - "parts": [ - { - "id": "ia-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ia-1_prm_4 }}; and" - }, - { - "id": "ia-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ia-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the IA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "IA-02" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa", - "rel": "reference" - }, - { - "href": "#a8f55663-86c5-415b-aabe-d2a126981d65", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#daf69edb-a0ef-4447-9880-8c4bf553181f", - "rel": "reference" - }, - { - "href": "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "rel": "reference" - }, - { - "href": "#972c10bd-aedf-485f-b0db-f46a402127e2", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#bb22d510-54a9-4588-b725-00d37576562b", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12]. Organizational users include employees or individuals that organizations consider having equivalent status of employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8." - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Multifactor Authentication to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "IA-02(01)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "Implement multifactor authentication for access to privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "prose": "Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Multifactor Authentication to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(2)" - }, - { - "name": "sort-id", - "value": "IA-02(02)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "Implement multifactor authentication for access to non-privileged accounts." - }, - { - "id": "ia-2.2_gdn", - "name": "guidance", - "prose": "Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access, privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access." - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(03)" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.4", - "class": "SP800-53-enhancement", - "title": "Local Access to Non-privileged Accounts", - "props": [ - { - "name": "label", - "value": "IA-2(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(04)" - } - ], - "links": [ - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Individual Authentication with Group Authentication", - "props": [ - { - "name": "label", - "value": "IA-2(5)" - }, - { - "name": "sort-id", - "value": "IA-02(05)" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Individual authentication prior to shared group authentication helps to mitigate the risk of using group accounts or authenticators." - } - ] - }, - { - "id": "ia-2.6", - "class": "SP800-53-enhancement", - "title": "Access to Accounts — Separate Device", - "params": [ - { - "id": "ia-2.6_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "network", - "remote" - ] - } - }, - { - "id": "ia-2.6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - }, - { - "id": "ia-2.6_prm_3", - "label": "organization-defined strength of mechanism requirements" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(6)" - }, - { - "name": "sort-id", - "value": "IA-02(06)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.6_smt", - "name": "statement", - "prose": "Implement multifactor authentication for {{ insert: param, ia-2.6_prm_1 }} access to {{ insert: param, ia-2.6_prm_2 }} such that:", - "parts": [ - { - "id": "ia-2.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "One of the factors is provided by a device separate from the system gaining access; and" - }, - { - "id": "ia-2.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "The device meets {{ insert: param, ia-2.6_prm_3 }}." - } - ] - }, - { - "id": "ia-2.6_gdn", - "name": "guidance", - "prose": "The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. Adversaries may be able to compromise credentials stored on the system and subsequently impersonate authorized users. Implementing one of the factors in multifactor authentication (e.g., a hardware token) on a separate device, provides a greater strength of mechanism and an increased level of assurance in the authentication process." - } - ] - }, - { - "id": "ia-2.7", - "class": "SP800-53-enhancement", - "title": "Access to Non-privileged Accounts — Separate Device", - "props": [ - { - "name": "label", - "value": "IA-2(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(07)" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Access to Accounts — Replay Resistant", - "params": [ - { - "id": "ia-2.8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "privileged accounts", - "non-privileged accounts" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(8)" - }, - { - "name": "sort-id", - "value": "IA-02(08)" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "Implement replay-resistant authentication mechanisms for access to {{ insert: param, ia-2.8_prm_1 }}." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators." - } - ] - }, - { - "id": "ia-2.9", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts — Replay Resistant", - "props": [ - { - "name": "label", - "value": "IA-2(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(09)" - } - ], - "links": [ - { - "href": "#ia-2.8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.10", - "class": "SP800-53-enhancement", - "title": "Single Sign-on", - "params": [ - { - "id": "ia-2.10_prm_1", - "label": "organization-defined system accounts and services" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(10)" - }, - { - "name": "sort-id", - "value": "IA-02(10)" - } - ], - "parts": [ - { - "id": "ia-2.10_smt", - "name": "statement", - "prose": "Provide a single sign-on capability for {{ insert: param, ia-2.10_prm_1 }}." - }, - { - "id": "ia-2.10_gdn", - "name": "guidance", - "prose": "Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications and systems (existing and new) that may not be able to natively support multifactor authentication." - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access — Separate Device", - "props": [ - { - "name": "label", - "value": "IA-2(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-02(11)" - } - ], - "links": [ - { - "href": "#ia-2.6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "props": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "IA-02(12)" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials." - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2]. Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166]. The DOD Common Access Card (CAC) is an example of a PIV credential." - } - ] - }, - { - "id": "ia-2.13", - "class": "SP800-53-enhancement", - "title": "Out-of-band Authentication", - "params": [ - { - "id": "ia-2.13_prm_1", - "label": "organization-defined conditions" - }, - { - "id": "ia-2.13_prm_2", - "label": "organization-defined out-of-band authentication" - } - ], - "props": [ - { - "name": "label", - "value": "IA-2(13)" - }, - { - "name": "sort-id", - "value": "IA-02(13)" - } - ], - "links": [ - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-2.13_smt", - "name": "statement", - "prose": "Implement the following out-of-band authentication mechanisms under {{ insert: param, ia-2.13_prm_1 }}: {{ insert: param, ia-2.13_prm_2 }}." - }, - { - "id": "ia-2.13_gdn", - "name": "guidance", - "prose": "Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected man-in the-middle attacks. The conditions or criteria for activation can include suspicious activities, new threat indicators or elevated threat levels, or the impact or classification level of information in requested transactions." - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "params": [ - { - "id": "ia-3_prm_1", - "label": "organization-defined devices and/or types of devices" - }, - { - "id": "ia-3_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-3" - }, - { - "name": "sort-id", - "value": "IA-03" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-3_prm_1 }} before establishing a {{ insert: param, ia-3_prm_2 }} connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Devices that require unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types can include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on need." - } - ], - "controls": [ - { - "id": "ia-3.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Authentication", - "params": [ - { - "id": "ia-3.1_prm_1", - "label": "organization-defined devices and/or types of devices" - }, - { - "id": "ia-3.1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "local", - "remote", - "network" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(1)" - }, - { - "name": "sort-id", - "value": "IA-03(01)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.1_smt", - "name": "statement", - "prose": "Authenticate {{ insert: param, ia-3.1_prm_1 }} before establishing {{ insert: param, ia-3.1_prm_2 }} connection using bidirectional authentication that is cryptographically based." - }, - { - "id": "ia-3.1_gdn", - "name": "guidance", - "prose": "A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk." - } - ] - }, - { - "id": "ia-3.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Bidirectional Network Authentication", - "props": [ - { - "name": "label", - "value": "IA-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-03(02)" - } - ], - "links": [ - { - "href": "#ia-3.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Address Allocation", - "params": [ - { - "id": "ia-3.3_prm_1", - "label": "organization-defined lease information and lease duration" - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(3)" - }, - { - "name": "sort-id", - "value": "IA-03(03)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.3_smt", - "name": "statement", - "parts": [ - { - "id": "ia-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with {{ insert: param, ia-3.3_prm_1 }}; and" - }, - { - "id": "ia-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit lease information when assigned to a device." - } - ] - }, - { - "id": "ia-3.3_gdn", - "name": "guidance", - "prose": "The Dynamic Host Configuration (DHCP) protocol is an example of a means by which clients can dynamically receive network address assignments." - } - ] - }, - { - "id": "ia-3.4", - "class": "SP800-53-enhancement", - "title": "Device Attestation", - "params": [ - { - "id": "ia-3.4_prm_1", - "label": "organization-defined configuration management process" - } - ], - "props": [ - { - "name": "label", - "value": "IA-3(4)" - }, - { - "name": "sort-id", - "value": "IA-03(04)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-3.4_smt", - "name": "statement", - "prose": "Handle device identification and authentication based on attestation by {{ insert: param, ia-3.4_prm_1 }}." - }, - { - "id": "ia-3.4_gdn", - "name": "guidance", - "prose": "Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices." - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "params": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "IA-04" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "Manage system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ insert: param, ia-4_prm_1 }} to assign an individual, group, role, service, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, service, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, service, or device; and" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ insert: param, ia-4_prm_2 }}." - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include media access control (MAC), Internet Protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices." - } - ], - "controls": [ - { - "id": "ia-4.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Account Identifiers as Public Identifiers", - "props": [ - { - "name": "label", - "value": "IA-4(1)" - }, - { - "name": "sort-id", - "value": "IA-04(01)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.1_smt", - "name": "statement", - "prose": "Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts." - }, - { - "id": "ia-4.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to any publicly disclosed account identifier used for communication including, for example, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and attributes to protect the account." - } - ] - }, - { - "id": "ia-4.2", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-4(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(02)" - } - ], - "links": [ - { - "href": "#ia-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.3", - "class": "SP800-53-enhancement", - "title": "Multiple Forms of Certification", - "props": [ - { - "name": "label", - "value": "IA-4(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(03)" - } - ], - "links": [ - { - "href": "#ia-12.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "params": [ - { - "id": "ia-4.4_prm_1", - "label": "organization-defined characteristic identifying individual status" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(4)" - }, - { - "name": "sort-id", - "value": "IA-04(04)" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "Manage individual identifiers by uniquely identifying each individual as {{ insert: param, ia-4.4_prm_1 }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics identifying the status of individuals include contractors and foreign nationals. Identifying the status of individuals by characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor." - } - ] - }, - { - "id": "ia-4.5", - "class": "SP800-53-enhancement", - "title": "Dynamic Management", - "params": [ - { - "id": "ia-4.5_prm_1", - "label": "organization-defined dynamic identifier policy" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(5)" - }, - { - "name": "sort-id", - "value": "IA-04(05)" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.5_smt", - "name": "statement", - "prose": "Manage individual identifiers dynamically in accordance with {{ insert: param, ia-4.5_prm_1 }}." - }, - { - "id": "ia-4.5_gdn", - "name": "guidance", - "prose": "In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - } - ] - }, - { - "id": "ia-4.6", - "class": "SP800-53-enhancement", - "title": "Cross-organization Management", - "params": [ - { - "id": "ia-4.6_prm_1", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(6)" - }, - { - "name": "sort-id", - "value": "IA-04(06)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.6_smt", - "name": "statement", - "prose": "Coordinate with the following external organizations for cross-organization management of identifiers: {{ insert: param, ia-4.6_prm_1 }}." - }, - { - "id": "ia-4.6_gdn", - "name": "guidance", - "prose": "Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - } - ] - }, - { - "id": "ia-4.7", - "class": "SP800-53-enhancement", - "title": "In-person Registration", - "props": [ - { - "name": "label", - "value": "IA-4(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-04(07)" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-4.8", - "class": "SP800-53-enhancement", - "title": "Pairwise Pseudonymous Identifiers", - "props": [ - { - "name": "label", - "value": "IA-4(8)" - }, - { - "name": "sort-id", - "value": "IA-04(08)" - } - ], - "links": [ - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-4.8_smt", - "name": "statement", - "prose": "Generate pairwise pseudonymous identifiers." - }, - { - "id": "ia-4.8_gdn", - "name": "guidance", - "prose": "A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identify provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner." - } - ] - }, - { - "id": "ia-4.9", - "class": "SP800-53-enhancement", - "title": "Attribute Maintenance and Protection", - "params": [ - { - "id": "ia-4.9_prm_1", - "label": "organization-defined protected central storage" - } - ], - "props": [ - { - "name": "label", - "value": "IA-4(9)" - }, - { - "name": "sort-id", - "value": "IA-04(09)" - } - ], - "parts": [ - { - "id": "ia-4.9_smt", - "name": "statement", - "prose": "Maintain the attributes for each uniquely identified individual, device, or service in {{ insert: param, ia-4.9_prm_1 }}." - }, - { - "id": "ia-4.9_gdn", - "name": "guidance", - "prose": "For each of the entities covered in IA-2, IA-3, IA-8, and IA-9, it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store." - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "params": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time-period by authenticator type" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "IA-05" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "rel": "reference" - }, - { - "href": "#972c10bd-aedf-485f-b0db-f46a402127e2", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#24738ee6-b3f3-4e37-825b-58775846bdbc", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "Manage system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for any authenticators issued by the organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Changing default authenticators prior to first use;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing or refreshing authenticators {{ insert: param, ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "props": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group or role accounts when membership to those accounts changes." - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Authenticators include passwords, cryptographic devices, one-time password devices, and key cards. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements about authenticator content contain specific characteristics or criteria (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators; not sharing authenticators with others; and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed." - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "params": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined composition and complexity rules" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "IA-05(01)" - } - ], - "links": [ - { - "href": "#ia-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "For password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, ia-5.1_prm_1 }} and when organizational passwords are suspected to have been compromised directly or indirectly;" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Transmit only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Store passwords using an approved hash algorithm and salt, preferably using a keyed hash;" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Require immediate selection of a new password upon account recovery;" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allow user selection of long passwords and passphrases, including spaces and all printable characters;" - }, - { - "id": "ia-5.1_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Employ automated tools to assist the user in selecting strong password authenticators; and" - }, - { - "id": "ia-5.1_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Enforce the following composition and complexity rules: {{ insert: param, ia-5.1_prm_2 }}." - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "Password-based authentication applies to passwords regardless of whether they are used in single-factor or multifactor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly-used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context specific words, for example, the name of the service, username, and derivatives thereof." - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Implement a local cache of revocation data to support path discovery and validation.", - "props": [ - { - "name": "label", - "value": "IA-5(2)" - }, - { - "name": "sort-id", - "value": "IA-05(02)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "prose": "Discussion: Public key cryptography is a valid authentication mechanism for individuals and machines or devices. When PKI is implemented, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network." - }, - { - "id": "ia-5.2_gdn", - "name": "guidance" - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Registration", - "props": [ - { - "name": "label", - "value": "IA-5(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(03)" - } - ], - "links": [ - { - "href": "#ia-12.4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "props": [ - { - "name": "label", - "value": "IA-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(04)" - } - ], - "links": [ - { - "href": "#ia-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.5", - "class": "SP800-53-enhancement", - "title": "Change Authenticators Prior to Delivery", - "props": [ - { - "name": "label", - "value": "IA-5(5)" - }, - { - "name": "sort-id", - "value": "IA-05(05)" - } - ], - "parts": [ - { - "id": "ia-5.5_smt", - "name": "statement", - "prose": "Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation." - }, - { - "id": "ia-5.5_gdn", - "name": "guidance", - "prose": "Changing authenticators prior to delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components." - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(6)" - }, - { - "name": "sort-id", - "value": "IA-05(06)" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process." - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(7)" - }, - { - "name": "sort-id", - "value": "IA-05(07)" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators." - } - ] - }, - { - "id": "ia-5.8", - "class": "SP800-53-enhancement", - "title": "Multiple System Accounts", - "params": [ - { - "id": "ia-5.8_prm_1", - "label": "organization-defined security controls" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(8)" - }, - { - "name": "sort-id", - "value": "IA-05(08)" - } - ], - "parts": [ - { - "id": "ia-5.8_smt", - "name": "statement", - "prose": "Implement {{ insert: param, ia-5.8_prm_1 }} to manage the risk of compromise due to individuals having accounts on multiple systems." - }, - { - "id": "ia-5.8_gdn", - "name": "guidance", - "prose": "When individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Alternatives include having different authenticators on all systems; employing a single sign-on mechanism; or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see PL-4) and access agreements (see PS-6) to mitigate the risk of multiple system accounts." - } - ] - }, - { - "id": "ia-5.9", - "class": "SP800-53-enhancement", - "title": "Federated Credential Management", - "params": [ - { - "id": "ia-5.9_prm_1", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(9)" - }, - { - "name": "sort-id", - "value": "IA-05(09)" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.9_smt", - "name": "statement", - "prose": "Use the following external organizations to federate authenticators: {{ insert: param, ia-5.9_prm_1 }}." - }, - { - "id": "ia-5.9_gdn", - "name": "guidance", - "prose": "Federation provides the capability for organizations to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information." - } - ] - }, - { - "id": "ia-5.10", - "class": "SP800-53-enhancement", - "title": "Dynamic Credential Binding", - "params": [ - { - "id": "ia-5.10_prm_1", - "label": "organization-defined binding rules" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(10)" - }, - { - "name": "sort-id", - "value": "IA-05(10)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.10_smt", - "name": "statement", - "prose": "Bind identities and authenticators dynamically using the following rules: {{ insert: param, ia-5.10_prm_1 }}." - }, - { - "id": "ia-5.10_gdn", - "name": "guidance", - "prose": "Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential." - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "props": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-05(11)" - } - ], - "links": [ - { - "href": "#ia-2.1", - "rel": "incorporated-into" - }, - { - "href": "#ia-2.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-5.12", - "class": "SP800-53-enhancement", - "title": "Biometric Authentication Performance", - "params": [ - { - "id": "ia-5.12_prm_1", - "label": "organization-defined biometric quality requirements" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(12)" - }, - { - "name": "sort-id", - "value": "IA-05(12)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.12_smt", - "name": "statement", - "prose": "For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements {{ insert: param, ia-5.12_prm_1 }}." - }, - { - "id": "ia-5.12_gdn", - "name": "guidance", - "prose": "Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis of comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate as this rate reflects the accuracy of the biometric matching algorithm used by a system." - } - ] - }, - { - "id": "ia-5.13", - "class": "SP800-53-enhancement", - "title": "Expiration of Cached Authenticators", - "params": [ - { - "id": "ia-5.13_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(13)" - }, - { - "name": "sort-id", - "value": "IA-05(13)" - } - ], - "parts": [ - { - "id": "ia-5.13_smt", - "name": "statement", - "prose": "Prohibit the use of cached authenticators after {{ insert: param, ia-5.13_prm_1 }}." - }, - { - "id": "ia-5.13_gdn", - "name": "guidance", - "prose": "If cached authentication information is out-of-date, the validity of the authentication information may be questionable." - } - ] - }, - { - "id": "ia-5.14", - "class": "SP800-53-enhancement", - "title": "Managing Content of PKI Trust Stores", - "props": [ - { - "name": "label", - "value": "IA-5(14)" - }, - { - "name": "sort-id", - "value": "IA-05(14)" - } - ], - "parts": [ - { - "id": "ia-5.14_smt", - "name": "statement", - "prose": "For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications." - }, - { - "id": "ia-5.14_gdn", - "name": "guidance", - "prose": "An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization." - } - ] - }, - { - "id": "ia-5.15", - "class": "SP800-53-enhancement", - "title": "Gsa-approved Products and Services", - "props": [ - { - "name": "label", - "value": "IA-5(15)" - }, - { - "name": "sort-id", - "value": "IA-05(15)" - } - ], - "parts": [ - { - "id": "ia-5.15_smt", - "name": "statement", - "prose": "Use only General Services Administration-approved and validated products and services for identity, credential, and access management." - }, - { - "id": "ia-5.15_gdn", - "name": "guidance", - "prose": "General Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns." - } - ] - }, - { - "id": "ia-5.16", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted External Party Authenticator Issuance", - "params": [ - { - "id": "ia-5.16_prm_1", - "label": "organization-defined types of and/or specific authenticators" - }, - { - "id": "ia-5.16_prm_2", - "select": { - "choice": [ - "in person", - "by a trusted external party" - ] - } - }, - { - "id": "ia-5.16_prm_3", - "label": "organization-defined registration authority" - }, - { - "id": "ia-5.16_prm_4", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(16)" - }, - { - "name": "sort-id", - "value": "IA-05(16)" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.16_smt", - "name": "statement", - "prose": "Require that the issuance of {{ insert: param, ia-5.16_prm_1 }} be conducted {{ insert: param, ia-5.16_prm_2 }} before {{ insert: param, ia-5.16_prm_3 }} with authorization by {{ insert: param, ia-5.16_prm_4 }}." - }, - { - "id": "ia-5.16_gdn", - "name": "guidance", - "prose": "Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process." - } - ] - }, - { - "id": "ia-5.17", - "class": "SP800-53-enhancement", - "title": "Presentation Attack Detection for Biometric Authenticators", - "props": [ - { - "name": "label", - "value": "IA-5(17)" - }, - { - "name": "sort-id", - "value": "IA-05(17)" - } - ], - "links": [ - { - "href": "#ac-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-5.17_smt", - "name": "statement", - "prose": "Employ presentation attack detection mechanisms for biometric-based authentication." - }, - { - "id": "ia-5.17_gdn", - "name": "guidance", - "prose": "Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor." - } - ] - }, - { - "id": "ia-5.18", - "class": "SP800-53-enhancement", - "title": "Password Managers", - "params": [ - { - "id": "ia-5.18_prm_1", - "label": "organization-defined password managers" - }, - { - "id": "ia-5.18_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "IA-5(18)" - }, - { - "name": "sort-id", - "value": "IA-05(18)" - } - ], - "parts": [ - { - "id": "ia-5.18_smt", - "name": "statement", - "parts": [ - { - "id": "ia-5.18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ {{ insert: param, ia-5.18_prm_1 }} to generate and manage passwords; and" - }, - { - "id": "ia-5.18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect the passwords using {{ insert: param, ia-5.18_prm_2 }}." - } - ] - }, - { - "id": "ia-5.18_gdn", - "name": "guidance", - "prose": "For those systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for the various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see IA-5(1)d.) and storing the collection off-line in a token." - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "props": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "IA-06" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "Authenticator feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, for example, desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, for example, mobile devices with small displays, the threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before obscuring it." - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "props": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "IA-07" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role." - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "props": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "IA-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ia-11", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include system users other than organizational users explicitly covered by IA-2. Non-organizational users are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors, including security, privacy, scalability, and practicality in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk." - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "props": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "IA-08(01)" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2]." - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of External Credentials", - "props": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "IA-08(02)" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "Accept only external credentials that are NIST-compliant." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "Acceptance of only NIST-compliant external credentials applies to organizational systems that are accessible to the public (e.g., public-facing websites). External credentials are those credentials issued by nonfederal government entities. External credentials are certified as compliant with [SP 800-63-3] by an approved accreditation authority. Approved external credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding federal requirements allows federal government relying parties to trust external credentials at their approved assurance levels." - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "props": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-08(03)" - } - ], - "links": [ - { - "href": "#ia-8.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Nist-issued Profiles", - "props": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "IA-08(04)" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "Conform to NIST-issued profiles for identity management." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "Conformance with NIST-issued profiles for identity management addresses open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols." - } - ] - }, - { - "id": "ia-8.5", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV-I Credentials", - "params": [ - { - "id": "ia-8.5_prm_1", - "label": "organization-defined policy" - } - ], - "props": [ - { - "name": "label", - "value": "IA-8(5)" - }, - { - "name": "sort-id", - "value": "IA-08(05)" - } - ], - "parts": [ - { - "id": "ia-8.5_smt", - "name": "statement", - "prose": "Accept and verify federated or PKI credentials that meet {{ insert: param, ia-8.5_prm_1 }}." - }, - { - "id": "ia-8.5_gdn", - "name": "guidance", - "prose": "This control enhancement can be implemented by PIV , PIV-I, and other commercial or external identity providers. Acceptance and verification of Personal Identity Verification (PIV)-I-compliant credentials applies to both logical and physical access control systems. Acceptance and verification of PIV-I credentials addresses nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy." - } - ] - }, - { - "id": "ia-8.6", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "params": [ - { - "id": "ia-8.6_prm_1", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "IA-8(6)" - }, - { - "name": "sort-id", - "value": "IA-08(06)" - } - ], - "parts": [ - { - "id": "ia-8.6_smt", - "name": "statement", - "prose": "Implement the following measures to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties: {{ insert: param, ia-8.6_prm_1 }}." - }, - { - "id": "ia-8.6_gdn", - "name": "guidance", - "prose": "Federated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks." - } - ] - } - ] - }, - { - "id": "ia-9", - "class": "SP800-53", - "title": "Service Identification and Authentication", - "params": [ - { - "id": "ia-9_prm_1", - "label": "organization-defined system services and applications" - } - ], - "props": [ - { - "name": "label", - "value": "IA-9" - }, - { - "name": "sort-id", - "value": "IA-09" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-9_smt", - "name": "statement", - "prose": "Uniquely identify and authenticate {{ insert: param, ia-9_prm_1 }} before establishing communications with devices, users, or other services or applications." - }, - { - "id": "ia-9_gdn", - "name": "guidance", - "prose": "Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services/applications include information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services. Decisions regarding the validation of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authenticators) are provided to the services that need to act on those decisions." - } - ], - "controls": [ - { - "id": "ia-9.1", - "class": "SP800-53-enhancement", - "title": "Information Exchange", - "props": [ - { - "name": "label", - "value": "IA-9(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-09(01)" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ia-9.2", - "class": "SP800-53-enhancement", - "title": "Transmission of Decisions", - "props": [ - { - "name": "label", - "value": "IA-9(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IA-09(02)" - } - ], - "links": [ - { - "href": "#ia-9", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ia-10", - "class": "SP800-53", - "title": "Adaptive Authentication", - "params": [ - { - "id": "ia-10_prm_1", - "label": "organization-defined supplemental authentication techniques or mechanisms" - }, - { - "id": "ia-10_prm_2", - "label": "organization-defined circumstances or situations" - } - ], - "props": [ - { - "name": "label", - "value": "IA-10" - }, - { - "name": "sort-id", - "value": "IA-10" - } - ], - "links": [ - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-10_smt", - "name": "statement", - "prose": "Require individuals accessing the system to employ {{ insert: param, ia-10_prm_1 }} under specific {{ insert: param, ia-10_prm_2 }}." - }, - { - "id": "ia-10_gdn", - "name": "guidance", - "prose": "Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multifactor authentication mechanisms but can augment implementations of these controls." - } - ] - }, - { - "id": "ia-11", - "class": "SP800-53", - "title": "Re-authentication", - "params": [ - { - "id": "ia-11_prm_1", - "label": "organization-defined circumstances or situations requiring re-authentication" - } - ], - "props": [ - { - "name": "label", - "value": "IA-11" - }, - { - "name": "sort-id", - "value": "IA-11" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-11_smt", - "name": "statement", - "prose": "Require users to re-authenticate when {{ insert: param, ia-11_prm_1 }}." - }, - { - "id": "ia-11_gdn", - "name": "guidance", - "prose": "In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically." - } - ] - }, - { - "id": "ia-12", - "class": "SP800-53", - "title": "Identity Proofing", - "props": [ - { - "name": "label", - "value": "IA-12" - }, - { - "name": "sort-id", - "value": "IA-12" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#3c50fa31-7f4d-4d30-91d7-27ee87cd5f75", - "rel": "reference" - }, - { - "href": "#bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "rel": "reference" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-6", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12_smt", - "name": "statement", - "parts": [ - { - "id": "ia-12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;" - }, - { - "id": "ia-12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Resolve user identities to a unique individual; and" - }, - { - "id": "ia-12_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Collect, validate, and verify identity evidence." - } - ] - }, - { - "id": "ia-12_gdn", - "name": "guidance", - "prose": "Identity proofing is the process of collecting, validating, and verifying user’s identity information for the purposes of issuing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3] and [SP 800-63A]." - } - ], - "controls": [ - { - "id": "ia-12.1", - "class": "SP800-53-enhancement", - "title": "Supervisor Authorization", - "props": [ - { - "name": "label", - "value": "IA-12(1)" - }, - { - "name": "sort-id", - "value": "IA-12(01)" - } - ], - "parts": [ - { - "id": "ia-12.1_smt", - "name": "statement", - "prose": "Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization." - }, - { - "id": "ia-12.1_gdn", - "name": "guidance", - "prose": "Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user’s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user’s privileges are appropriate for the anticipated responsibilities and authorities within the organization." - } - ] - }, - { - "id": "ia-12.2", - "class": "SP800-53-enhancement", - "title": "Identity Evidence", - "props": [ - { - "name": "label", - "value": "IA-12(2)" - }, - { - "name": "sort-id", - "value": "IA-12(02)" - } - ], - "parts": [ - { - "id": "ia-12.2_smt", - "name": "statement", - "prose": "Require evidence of individual identification be presented to the registration authority." - }, - { - "id": "ia-12.2_gdn", - "name": "guidance", - "prose": "Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risk to the systems, roles, and privileges associated with the user’s account." - } - ] - }, - { - "id": "ia-12.3", - "class": "SP800-53-enhancement", - "title": "Identity Evidence Validation and Verification", - "params": [ - { - "id": "ia-12.3_prm_1", - "label": "organizational defined methods of validation and verification" - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(3)" - }, - { - "name": "sort-id", - "value": "IA-12(03)" - } - ], - "parts": [ - { - "id": "ia-12.3_smt", - "name": "statement", - "prose": "Require that the presented identity evidence be validated and verified through {{ insert: param, ia-12.3_prm_1 }}." - }, - { - "id": "ia-12.3_gdn", - "name": "guidance", - "prose": "Validating and verifying identity evidence increases the assurance that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an actual person or individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account" - } - ] - }, - { - "id": "ia-12.4", - "class": "SP800-53-enhancement", - "title": "In-person Validation and Verification", - "props": [ - { - "name": "label", - "value": "IA-12(4)" - }, - { - "name": "sort-id", - "value": "IA-12(04)" - } - ], - "parts": [ - { - "id": "ia-12.4_smt", - "name": "statement", - "prose": "Require that the validation and verification of identity evidence be conducted in person before a designated registration authority." - }, - { - "id": "ia-12.4_gdn", - "name": "guidance", - "prose": "In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities." - } - ] - }, - { - "id": "ia-12.5", - "class": "SP800-53-enhancement", - "title": "Address Confirmation", - "params": [ - { - "id": "ia-12.5_prm_1", - "select": { - "choice": [ - "registration code", - "notice of proofing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(5)" - }, - { - "name": "sort-id", - "value": "IA-12(05)" - } - ], - "links": [ - { - "href": "#ia-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.5_smt", - "name": "statement", - "prose": "Require that a {{ insert: param, ia-12.5_prm_1 }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record." - }, - { - "id": "ia-12.5_gdn", - "name": "guidance", - "prose": "To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record is the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses." - } - ] - }, - { - "id": "ia-12.6", - "class": "SP800-53-enhancement", - "title": "Accept Externally-proofed Identities", - "params": [ - { - "id": "ia-12.6_prm_1", - "label": "organization-defined identity assurance level" - } - ], - "props": [ - { - "name": "label", - "value": "IA-12(6)" - }, - { - "name": "sort-id", - "value": "IA-12(06)" - } - ], - "links": [ - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ia-12.6_smt", - "name": "statement", - "prose": "Accept externally-proofed identities at {{ insert: param, ia-12.6_prm_1 }}." - }, - { - "id": "ia-12.6_gdn", - "name": "guidance", - "prose": "To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations." - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ir-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ir-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "IR-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ir-1_prm_2 }} incident response policy that:", - "parts": [ - { - "id": "ir-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ir-1_prm_3 }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and" - }, - { - "id": "ir-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current incident response:", - "parts": [ - { - "id": "ir-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ir-1_prm_4 }}; and" - }, - { - "id": "ir-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ir-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the IR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "params": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "IR-02" - } - ], - "links": [ - { - "href": "#2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "Provide incident response training to system users consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ insert: param, ir-2_prm_1 }} of assuming an incident response role or responsibility or acquiring system access;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "{{ insert: param, ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training is associated with assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and finally, incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of AT-2 or AT-3." - } - ], - "controls": [ - { - "id": "ir-2.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "props": [ - { - "name": "label", - "value": "IR-2(1)" - }, - { - "name": "sort-id", - "value": "IR-02(01)" - } - ], - "parts": [ - { - "id": "ir-2.1_smt", - "name": "statement", - "prose": "Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations." - }, - { - "id": "ir-2.1_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations." - } - ] - }, - { - "id": "ir-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Training Environments", - "params": [ - { - "id": "ir-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-2(2)" - }, - { - "name": "sort-id", - "value": "IR-02(02)" - } - ], - "parts": [ - { - "id": "ir-2.2_smt", - "name": "statement", - "prose": "Provide an incident response training environment using {{ insert: param, ir-2.2_prm_1 }}." - }, - { - "id": "ir-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic training scenarios and training environments; and by stressing the response capability." - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "params": [ - { - "id": "ir-3_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ir-3_prm_2", - "label": "organization-defined tests" - } - ], - "props": [ - { - "name": "label", - "value": "IR-3" - }, - { - "name": "sort-id", - "value": "IR-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#20bf433b-074c-47a0-8fca-cd591772ccd6", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "Test the effectiveness of the incident response capability for the system {{ insert: param, ir-3_prm_1 }} using the following tests: {{ insert: param, ir-3_prm_2 }}." - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine the effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes." - } - ], - "controls": [ - { - "id": "ir-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Testing", - "params": [ - { - "id": "ir-3.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-3(1)" - }, - { - "name": "sort-id", - "value": "IR-03(01)" - } - ], - "parts": [ - { - "id": "ir-3.1_smt", - "name": "statement", - "prose": "Test the incident response capability using {{ insert: param, ir-3.1_prm_1 }}." - }, - { - "id": "ir-3.1_gdn", - "name": "guidance", - "prose": "Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability." - } - ] - }, - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "props": [ - { - "name": "label", - "value": "IR-3(2)" - }, - { - "name": "sort-id", - "value": "IR-03(02)" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "Coordinate incident response testing with organizational elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Contingency Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans." - } - ] - }, - { - "id": "ir-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "IR-3(3)" - }, - { - "name": "sort-id", - "value": "IR-03(03)" - } - ], - "parts": [ - { - "id": "ir-3.3_smt", - "name": "statement", - "prose": "Use qualitative and quantitative data from testing to:", - "parts": [ - { - "id": "ir-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Determine the effectiveness of incident response processes;" - }, - { - "id": "ir-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Continuously improve incident response processes; and" - }, - { - "id": "ir-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format." - } - ] - }, - { - "id": "ir-3.3_gdn", - "name": "guidance", - "prose": "To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents." - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "props": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "IR-04" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#35dfd59f-eef2-4f71-bdb5-6d878267456a", - "rel": "reference" - }, - { - "href": "#1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "rel": "reference" - }, - { - "href": "#ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#08f518f7-f9b9-4bee-8986-860214f46b16", - "rel": "reference" - }, - { - "href": "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-10", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinate incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and" - }, - { - "id": "ir-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization." - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the capabilities of organizational systems and the mission/business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission/business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive (function), operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. Suspected privacy incidents include a breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk." - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "params": [ - { - "id": "ir-4.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(1)" - }, - { - "name": "sort-id", - "value": "IR-04(01)" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "Support the incident handling process using {{ insert: param, ir-4.1_prm_1 }}." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms supporting incident handling processes include online incident management systems; and tools that support the collection of live response data, full network packet capture, and forensic analysis." - } - ] - }, - { - "id": "ir-4.2", - "class": "SP800-53-enhancement", - "title": "Dynamic Reconfiguration", - "params": [ - { - "id": "ir-4.2_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ir-4.2_prm_2", - "label": "organization-defined types of dynamic reconfiguration" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(2)" - }, - { - "name": "sort-id", - "value": "IR-04(02)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.2_smt", - "name": "statement", - "prose": "Include the following types of dynamic reconfiguration for {{ insert: param, ir-4.2_prm_1 }} as part of the incident response capability: {{ insert: param, ir-4.2_prm_2 }}." - }, - { - "id": "ir-4.2_gdn", - "name": "guidance", - "prose": "Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations perform dynamic reconfiguration of systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats." - } - ] - }, - { - "id": "ir-4.3", - "class": "SP800-53-enhancement", - "title": "Continuity of Operations", - "params": [ - { - "id": "ir-4.3_prm_1", - "label": "organization-defined classes of incidents" - }, - { - "id": "ir-4.3_prm_2", - "label": "organization-defined actions to take in response to classes of incidents" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(3)" - }, - { - "name": "sort-id", - "value": "IR-04(03)" - } - ], - "parts": [ - { - "id": "ir-4.3_smt", - "name": "statement", - "prose": "Identify {{ insert: param, ir-4.3_prm_1 }} and take the following actions in response to those incidents to ensure continuation of organizational missions and business functions: {{ insert: param, ir-4.3_prm_2 }}." - }, - { - "id": "ir-4.3_gdn", - "name": "guidance", - "prose": "Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5)." - } - ] - }, - { - "id": "ir-4.4", - "class": "SP800-53-enhancement", - "title": "Information Correlation", - "props": [ - { - "name": "label", - "value": "IR-4(4)" - }, - { - "name": "sort-id", - "value": "IR-04(04)" - } - ], - "parts": [ - { - "id": "ir-4.4_smt", - "name": "statement", - "prose": "Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response." - }, - { - "id": "ir-4.4_gdn", - "name": "guidance", - "prose": "Sometimes a threat event, for example, a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations." - } - ] - }, - { - "id": "ir-4.5", - "class": "SP800-53-enhancement", - "title": "Automatic Disabling of System", - "params": [ - { - "id": "ir-4.5_prm_1", - "label": "organization-defined security violations" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(5)" - }, - { - "name": "sort-id", - "value": "IR-04(05)" - } - ], - "parts": [ - { - "id": "ir-4.5_smt", - "name": "statement", - "prose": "Implement a configurable capability to automatically disable the system if {{ insert: param, ir-4.5_prm_1 }} are detected." - }, - { - "id": "ir-4.5_gdn", - "name": "guidance", - "prose": "Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of CP-2 or IR-4(3). Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information; serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals." - } - ] - }, - { - "id": "ir-4.6", - "class": "SP800-53-enhancement", - "title": "Insider Threats — Specific Capabilities", - "props": [ - { - "name": "label", - "value": "IR-4(6)" - }, - { - "name": "sort-id", - "value": "IR-04(06)" - } - ], - "parts": [ - { - "id": "ir-4.6_smt", - "name": "statement", - "prose": "Implement an incident handling capability for incidents involving insider threats." - }, - { - "id": "ir-4.6_gdn", - "name": "guidance", - "prose": "While many organizations address insider threat incidents as part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses." - } - ] - }, - { - "id": "ir-4.7", - "class": "SP800-53-enhancement", - "title": "Insider Threats — Intra-organization Coordination", - "params": [ - { - "id": "ir-4.7_prm_1", - "label": "organization-defined entities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(7)" - }, - { - "name": "sort-id", - "value": "IR-04(07)" - } - ], - "parts": [ - { - "id": "ir-4.7_smt", - "name": "statement", - "prose": "Coordinate an incident handling capability for insider threats that includes the following organizational entities {{ insert: param, ir-4.7_prm_1 }}." - }, - { - "id": "ir-4.7_gdn", - "name": "guidance", - "prose": "Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies." - } - ] - }, - { - "id": "ir-4.8", - "class": "SP800-53-enhancement", - "title": "Correlation with External Organizations", - "params": [ - { - "id": "ir-4.8_prm_1", - "label": "organization-defined external organizations" - }, - { - "id": "ir-4.8_prm_2", - "label": "organization-defined incident information" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(8)" - }, - { - "name": "sort-id", - "value": "IR-04(08)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.8_smt", - "name": "statement", - "prose": "Coordinate with {{ insert: param, ir-4.8_prm_1 }} to correlate and share {{ insert: param, ir-4.8_prm_2 }} to achieve a cross-organization perspective on incident awareness and more effective incident responses." - }, - { - "id": "ir-4.8_gdn", - "name": "guidance", - "prose": "The coordination of incident information with external organizations, including mission or business partners, military or coalition partners, customers, and developers, can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization’s operations, assets, and individuals." - } - ] - }, - { - "id": "ir-4.9", - "class": "SP800-53-enhancement", - "title": "Dynamic Response Capability", - "params": [ - { - "id": "ir-4.9_prm_1", - "label": "organization-defined dynamic response capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(9)" - }, - { - "name": "sort-id", - "value": "IR-04(09)" - } - ], - "parts": [ - { - "id": "ir-4.9_smt", - "name": "statement", - "prose": "Employ {{ insert: param, ir-4.9_prm_1 }} to respond to incidents." - }, - { - "id": "ir-4.9_gdn", - "name": "guidance", - "prose": "Dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level." - } - ] - }, - { - "id": "ir-4.10", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-4(10)" - }, - { - "name": "sort-id", - "value": "IR-04(10)" - } - ], - "links": [ - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.10_smt", - "name": "statement", - "prose": "Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain." - }, - { - "id": "ir-4.10_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements." - } - ] - }, - { - "id": "ir-4.11", - "class": "SP800-53-enhancement", - "title": "Integrated Incident Response Team", - "params": [ - { - "id": "ir-4.11_prm_1", - "label": "organization-defined time period" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(11)" - }, - { - "name": "sort-id", - "value": "IR-04(11)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-4.11_smt", - "name": "statement", - "prose": "Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in {{ insert: param, ir-4.11_prm_1 }}." - }, - { - "id": "ir-4.11_gdn", - "name": "guidance", - "prose": "An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and can implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations the incident response team can be a cross organizational entity. An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators), to leverage team knowledge of the threat and to implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Incident response teams can be distributed within organizations to make the capability resilient." - } - ] - }, - { - "id": "ir-4.12", - "class": "SP800-53-enhancement", - "title": "Malicious Code and Forensic Analysis", - "params": [ - { - "id": "ir-4.12_prm_1", - "label": "organization-defined residual artifacts" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(12)" - }, - { - "name": "sort-id", - "value": "IR-04(12)" - } - ], - "parts": [ - { - "id": "ir-4.12_smt", - "name": "statement", - "prose": "Analyze [Selection (one or more): malicious code; {{ insert: param, ir-4.12_prm_1 }} remaining in the system after the incident." - }, - { - "id": "ir-4.12_gdn", - "name": "guidance", - "prose": "Analysis of malicious code and other residual artifacts of a security or privacy incident can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. Malicious code analysis can also help the organization develop responses to future incidents." - } - ] - }, - { - "id": "ir-4.13", - "class": "SP800-53-enhancement", - "title": "Behavior Analysis", - "params": [ - { - "id": "ir-4.13_prm_1", - "label": "organization-defined environments or resources" - } - ], - "props": [ - { - "name": "label", - "value": "IR-4(13)" - }, - { - "name": "sort-id", - "value": "IR-04(13)" - } - ], - "parts": [ - { - "id": "ir-4.13_smt", - "name": "statement", - "prose": "Analyze anomalous or suspected adversarial behavior in or related to {{ insert: param, ir-4.13_prm_1 }}." - }, - { - "id": "ir-4.13_gdn", - "name": "guidance", - "prose": "If the organization maintains a deception environment, analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight." - } - ] - }, - { - "id": "ir-4.14", - "class": "SP800-53-enhancement", - "title": "Security Operations Center", - "props": [ - { - "name": "label", - "value": "IR-4(14)" - }, - { - "name": "sort-id", - "value": "IR-04(14)" - } - ], - "parts": [ - { - "id": "ir-4.14_smt", - "name": "statement", - "prose": "Establish and maintain a security operations center." - }, - { - "id": "ir-4.14_gdn", - "name": "guidance", - "prose": "A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization’s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such capability." - } - ] - }, - { - "id": "ir-4.15", - "class": "SP800-53-enhancement", - "title": "Publication Relations and Reputation Repair", - "props": [ - { - "name": "label", - "value": "IR-4(15)" - }, - { - "name": "sort-id", - "value": "IR-04(15)" - } - ], - "parts": [ - { - "id": "ir-4.15_smt", - "name": "statement", - "parts": [ - { - "id": "ir-4.15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Manage public relations associated with an incident; and" - }, - { - "id": "ir-4.15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ measures to repair the reputation of the organization." - } - ] - }, - { - "id": "ir-4.15_gdn", - "name": "guidance", - "prose": "It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public and that have cast the organization in a negative light or affected the organization’s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and effect its ability to effectively carry out its missions and business functions. Taking proactive steps to repair the organization’s reputation is an essential aspect of reestablishing trust and confidence of its constituents." - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "props": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "IR-05" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "Track and document security, privacy, and supply chain incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring; incident reports; incident response teams; user complaints; supply chain partners; audit monitoring; physical access monitoring; and user and administrator reports." - } - ], - "controls": [ - { - "id": "ir-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Tracking, Data Collection, and Analysis", - "params": [ - { - "id": "ir-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-5(1)" - }, - { - "name": "sort-id", - "value": "IR-05(01)" - } - ], - "links": [ - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-5.1_smt", - "name": "statement", - "prose": "Track security and privacy incidents and collect and analyze incident information using {{ insert: param, ir-5.1_prm_1 }}." - }, - { - "id": "ir-5.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms for tracking incidents and for collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices." - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "params": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "IR-06" - } - ], - "links": [ - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require personnel to report suspected security, privacy, and supply chain incidents to the organizational incident response capability within {{ insert: param, ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report security, privacy, and supply chain incident information to {{ insert: param, ir-6_prm_2 }}." - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "params": [ - { - "id": "ir-6.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6(1)" - }, - { - "name": "sort-id", - "value": "IR-06(01)" - } - ], - "links": [ - { - "href": "#ir-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "Report incidents using {{ insert: param, ir-6.1_prm_1 }}." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "prose": "Reporting recipients are as specified in IR-6b. Automated reporting mechanisms include email, posting on web sites, and automated incident response tools and programs." - } - ] - }, - { - "id": "ir-6.2", - "class": "SP800-53-enhancement", - "title": "Vulnerabilities Related to Incidents", - "params": [ - { - "id": "ir-6.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "IR-6(2)" - }, - { - "name": "sort-id", - "value": "IR-06(02)" - } - ], - "parts": [ - { - "id": "ir-6.2_smt", - "name": "statement", - "prose": "Report system vulnerabilities associated with reported incidents to {{ insert: param, ir-6.2_prm_1 }}." - }, - { - "id": "ir-6.2_gdn", - "name": "guidance", - "prose": "Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners; mission/business owners; senior agency information security officers; senior agency officials for privacy; authorizing officials; and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability." - } - ] - }, - { - "id": "ir-6.3", - "class": "SP800-53-enhancement", - "title": "Supply Chain Coordination", - "props": [ - { - "name": "label", - "value": "IR-6(3)" - }, - { - "name": "sort-id", - "value": "IR-06(03)" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-6.3_smt", - "name": "statement", - "prose": "Provide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident." - }, - { - "id": "ir-6.3_gdn", - "name": "guidance", - "prose": "Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents including the ability to improve processes or to identify the root cause of an incident." - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "props": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "IR-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of security, privacy, and supply chain incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required." - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information and Support", - "params": [ - { - "id": "ir-7.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "IR-7(1)" - }, - { - "name": "sort-id", - "value": "IR-07(01)" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "Increase the availability of incident response information and support using {{ insert: param, ir-7.1_prm_1 }}." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support." - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "props": [ - { - "name": "label", - "value": "IR-7(2)" - }, - { - "name": "sort-id", - "value": "IR-07(02)" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identify organizational incident response team members to the external providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs." - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "params": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined entities, personnel, or roles" - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - }, - { - "id": "ir-8_prm_5", - "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" - } - ], - "props": [ - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "IR-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#389fe193-866e-46b1-bf1d-38904b56aa7b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and mature an incident response capability;" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ insert: param, ir-8_prm_1 }} {{ insert: param, ir-8_prm_2 }}; and" - }, - { - "id": "ir-8_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Explicitly designates responsibility for incident response to {{ insert: param, ir-8_prm_3 }}." - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the incident response plan to {{ insert: param, ir-8_prm_4 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Communicate incident response plan changes to {{ insert: param, ir-8_prm_5 }}; and" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the incident response plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions and business functions help determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly." - } - ], - "controls": [ - { - "id": "ir-8.1", - "class": "SP800-53-enhancement", - "title": "Privacy Breaches", - "props": [ - { - "name": "label", - "value": "IR-8(1)" - }, - { - "name": "sort-id", - "value": "IR-08(01)" - } - ], - "links": [ - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-8.1_smt", - "name": "statement", - "prose": "Include the following in the Incident Response Plan for breaches involving personally identifiable information:", - "parts": [ - { - "id": "ir-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;" - }, - { - "id": "ir-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and" - }, - { - "id": "ir-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Identification of applicable privacy requirements." - } - ] - }, - { - "id": "ir-8.1_gdn", - "name": "guidance", - "prose": "Organizations may be required by law, regulation, or policy to follow specific procedures relating to privacy breaches, including notice to individuals, affected organizations, and oversight bodies, standards of harm, and mitigation or other specific requirements." - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "params": [ - { - "id": "ir-9_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_3", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9" - }, - { - "name": "sort-id", - "value": "IR-09" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#pm-26", - "rel": "related" - }, - { - "href": "#pm-27", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "Respond to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigning {{ insert: param, ir-9_prm_1 }} with responsibility for responding to information spills;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifying the specific information involved in the system contamination;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Alerting {{ insert: param, ir-9_prm_2 }} of the information spill using a method of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Isolating the contaminated system or system component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Eradicating the information from the contaminated system or component;" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Identifying other systems or system components that may have been subsequently contaminated; and" - }, - { - "id": "ir-9_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Performing the following additional actions: {{ insert: param, ir-9_prm_3 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of higher classification or impact level. At that point, corrective action is required. The nature of the response is based upon the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated." - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "props": [ - { - "name": "label", - "value": "IR-9(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IR-09(01)" - } - ], - "links": [ - { - "href": "#ir-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "params": [ - { - "id": "ir-9.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(2)" - }, - { - "name": "sort-id", - "value": "IR-09(02)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-3", - "rel": "related" - }, - { - "href": "#ir-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "Provide information spillage response training {{ insert: param, ir-9.2_prm_1 }}." - }, - { - "id": "ir-9.2_gdn", - "name": "guidance", - "prose": "Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur." - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "params": [ - { - "id": "ir-9.3_prm_1", - "label": "organization-defined procedures" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(3)" - }, - { - "name": "sort-id", - "value": "IR-09(03)" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, ir-9.3_prm_1 }}." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Correction actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business." - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "params": [ - { - "id": "ir-9.4_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "IR-9(4)" - }, - { - "name": "sort-id", - "value": "IR-09(04)" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, ir-9.4_prm_1 }}." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information." - } - ] - } - ] - }, - { - "id": "ir-10", - "class": "SP800-53", - "title": "Incident Analysis", - "props": [ - { - "name": "label", - "value": "IR-10" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "IR-10" - } - ], - "links": [ - { - "href": "#ir-4.11", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ma-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ma-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "MA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ma-1_prm_2 }} maintenance policy that:", - "parts": [ - { - "id": "ma-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ma-1_prm_3 }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and" - }, - { - "id": "ma-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current maintenance:", - "parts": [ - { - "id": "ma-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ma-1_prm_4 }}; and" - }, - { - "id": "ma-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ma-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the MA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "params": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined information" - }, - { - "id": "ma-2_prm_3", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "MA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Require that {{ insert: param, ma-2_prm_1 }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, ma-2_prm_2 }};" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Include the following information in organizational maintenance records: {{ insert: param, ma-2_prm_3 }}." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or equipment removed or replaced. Organizations consider supply chain issues associated with replacement components for systems." - } - ], - "controls": [ - { - "id": "ma-2.1", - "class": "SP800-53-enhancement", - "title": "Record Content", - "props": [ - { - "name": "label", - "value": "MA-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MA-02(01)" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ma-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance Activities", - "params": [ - { - "id": "ma-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-2(2)" - }, - { - "name": "sort-id", - "value": "MA-02(02)" - } - ], - "links": [ - { - "href": "#ma-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-2.2_smt", - "name": "statement", - "parts": [ - { - "id": "ma-2.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Schedule, conduct, and document maintenance, repair, and replacement actions for the system using {{ insert: param, ma-2.2_prm_1 }}; and" - }, - { - "id": "ma-2.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed." - } - ] - }, - { - "id": "ma-2.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records." - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "params": [ - { - "id": "ma-3_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MA-3" - }, - { - "name": "sort-id", - "value": "MA-03" - } - ], - "links": [ - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve, control, and monitor the use of system maintenance tools; and" - }, - { - "id": "ma-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review previously approved system maintenance tools {{ insert: param, ma-3_prm_1 }}." - } - ] - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "Approving, controlling, monitoring, and reviewing maintenance tools are intended to address security-related issues associated with maintenance tools that are not within system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Such tools can be vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support system maintenance and are a part of the system, including the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch, are not addressed by maintenance tools." - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "props": [ - { - "name": "label", - "value": "MA-3(1)" - }, - { - "name": "sort-id", - "value": "MA-03(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "Maintenance tools can be brought into a facility directly by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling." - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "props": [ - { - "name": "label", - "value": "MA-3(2)" - }, - { - "name": "sort-id", - "value": "MA-03(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "Check media containing diagnostic and test programs for malicious code before the media are used in the system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures." - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "params": [ - { - "id": "ma-3.3_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MA-3(3)" - }, - { - "name": "sort-id", - "value": "MA-03(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "Prevent the removal of maintenance equipment containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ insert: param, ma-3.3_prm_1 }} explicitly authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards." - } - ] - }, - { - "id": "ma-3.4", - "class": "SP800-53-enhancement", - "title": "Restricted Tool Use", - "props": [ - { - "name": "label", - "value": "MA-3(4)" - }, - { - "name": "sort-id", - "value": "MA-03(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.4_smt", - "name": "statement", - "prose": "Restrict the use of maintenance tools to authorized personnel only." - }, - { - "id": "ma-3.4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to systems that are used to carry out maintenance functions." - } - ] - }, - { - "id": "ma-3.5", - "class": "SP800-53-enhancement", - "title": "Execution with Privilege", - "props": [ - { - "name": "label", - "value": "MA-3(5)" - }, - { - "name": "sort-id", - "value": "MA-03(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.5_smt", - "name": "statement", - "prose": "Monitor the use of maintenance tools that execute with increased privilege." - }, - { - "id": "ma-3.5_gdn", - "name": "guidance", - "prose": "Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible." - } - ] - }, - { - "id": "ma-3.6", - "class": "SP800-53-enhancement", - "title": "Software Updates and Patches", - "props": [ - { - "name": "label", - "value": "MA-3(6)" - }, - { - "name": "sort-id", - "value": "MA-03(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-3.6_smt", - "name": "statement", - "prose": "Inspect maintenance tools to ensure the latest software updates and patches are installed." - }, - { - "id": "ma-3.6_gdn", - "name": "guidance", - "prose": "Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations." - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "props": [ - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "MA-04" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#bbc7085f-b383-444e-af74-722a55cccc0f", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approve and monitor nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintain records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminate session and network connections when nonlocal maintenance is completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls." - } - ], - "controls": [ - { - "id": "ma-4.1", - "class": "SP800-53-enhancement", - "title": "Logging and Review", - "params": [ - { - "id": "ma-4.1_prm_1", - "label": "organization-defined audit events" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(1)" - }, - { - "name": "sort-id", - "value": "MA-04(01)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance and diagnostic sessions; and" - }, - { - "id": "ma-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review the audit records of the maintenance and diagnostic sessions." - } - ] - }, - { - "id": "ma-4.1_gdn", - "name": "guidance", - "prose": "Audit logging for nonlocal maintenance is enforced by AU-2. Audit events are defined in AU-2a. The review of audit records of maintenance and diagnostic sessions is to detect anomalous behavior." - } - ] - }, - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Logically separated communications paths.", - "props": [ - { - "name": "label", - "value": "MA-4(2)" - }, - { - "name": "sort-id", - "value": "MA-04(02)" - } - ], - "parts": [ - { - "id": "ma-4.2_smt", - "name": "statement", - "prose": "Discussion: Communications paths can be logically separated using encryption." - }, - { - "id": "ma-4.2_gdn", - "name": "guidance" - } - ] - }, - { - "id": "ma-4.3", - "class": "SP800-53-enhancement", - "title": "Comparable Security and Sanitization", - "props": [ - { - "name": "label", - "value": "MA-4(3)" - }, - { - "name": "sort-id", - "value": "MA-04(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.3_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or" - }, - { - "id": "ma-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system." - } - ] - }, - { - "id": "ma-4.3_gdn", - "name": "guidance", - "prose": "Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced." - } - ] - }, - { - "id": "ma-4.4", - "class": "SP800-53-enhancement", - "title": "Authentication and Separation of Maintenance Sessions", - "params": [ - { - "id": "ma-4.4_prm_1", - "label": "organization-defined authenticators that are replay resistant" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(4)" - }, - { - "name": "sort-id", - "value": "MA-04(04)" - } - ], - "parts": [ - { - "id": "ma-4.4_smt", - "name": "statement", - "prose": "Protect nonlocal maintenance sessions by:", - "parts": [ - { - "id": "ma-4.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employing {{ insert: param, ma-4.4_prm_1 }}; and" - }, - { - "id": "ma-4.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Separating the maintenance sessions from other network sessions with the system by either:", - "parts": [ - { - "id": "ma-4.4_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Physically separated communications paths; or" - } - ] - } - ] - } - ] - }, - { - "id": "ma-4.5", - "class": "SP800-53-enhancement", - "title": "Approvals and Notifications", - "params": [ - { - "id": "ma-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-4.5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(5)" - }, - { - "name": "sort-id", - "value": "MA-04(05)" - } - ], - "parts": [ - { - "id": "ma-4.5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require the approval of each nonlocal maintenance session by {{ insert: param, ma-4.5_prm_1 }}; and" - }, - { - "id": "ma-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify the following personnel or roles of the date and time of planned nonlocal maintenance: {{ insert: param, ma-4.5_prm_2 }}." - } - ] - }, - { - "id": "ma-4.5_gdn", - "name": "guidance", - "prose": "Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance." - } - ] - }, - { - "id": "ma-4.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "ma-4.6_prm_1", - "label": "organization-defined cryptographic mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-4(6)" - }, - { - "name": "sort-id", - "value": "MA-04(06)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.6_smt", - "name": "statement", - "prose": "Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: {{ insert: param, ma-4.6_prm_1 }}." - }, - { - "id": "ma-4.6_gdn", - "name": "guidance", - "prose": "Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to sensitive organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission capability." - } - ] - }, - { - "id": "ma-4.7", - "class": "SP800-53-enhancement", - "title": "Disconnect Verification", - "props": [ - { - "name": "label", - "value": "MA-4(7)" - }, - { - "name": "sort-id", - "value": "MA-04(07)" - } - ], - "links": [ - { - "href": "#ac-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-4.7_smt", - "name": "statement", - "prose": "Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions." - }, - { - "id": "ma-4.7_gdn", - "name": "guidance", - "prose": "This control enhancement ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use." - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "props": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "MA-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "Maintenance personnel refers to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time-periods." - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "params": [ - { - "id": "ma-5.1_prm_1", - "label": "organization-defined alternate controls" - } - ], - "props": [ - { - "name": "label", - "value": "MA-5(1)" - }, - { - "name": "sort-id", - "value": "MA-05(01)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop and implement {{ insert: param, ma-5.1_prm_1 }} in the event a system component cannot be sanitized, removed, or disconnected from the system." - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems." - } - ] - }, - { - "id": "ma-5.2", - "class": "SP800-53-enhancement", - "title": "Security Clearances for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-5(2)" - }, - { - "name": "sort-id", - "value": "MA-05(02)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.2_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system." - }, - { - "id": "ma-5.2_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - } - ] - }, - { - "id": "ma-5.3", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements for Classified Systems", - "props": [ - { - "name": "label", - "value": "MA-5(3)" - }, - { - "name": "sort-id", - "value": "MA-05(03)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.3_smt", - "name": "statement", - "prose": "Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens." - }, - { - "id": "ma-5.3_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U. S. citizens, the same restriction is applied to personnel performing maintenance on those systems." - } - ] - }, - { - "id": "ma-5.4", - "class": "SP800-53-enhancement", - "title": "Foreign Nationals", - "props": [ - { - "name": "label", - "value": "MA-5(4)" - }, - { - "name": "sort-id", - "value": "MA-05(04)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-5.4_smt", - "name": "statement", - "prose": "Verify that:", - "parts": [ - { - "id": "ma-5.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and" - }, - { - "id": "ma-5.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements." - } - ] - }, - { - "id": "ma-5.4_gdn", - "name": "guidance", - "prose": "Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system." - } - ] - }, - { - "id": "ma-5.5", - "class": "SP800-53-enhancement", - "title": "Non-system Maintenance", - "props": [ - { - "name": "label", - "value": "MA-5(5)" - }, - { - "name": "sort-id", - "value": "MA-05(05)" - } - ], - "parts": [ - { - "id": "ma-5.5_smt", - "name": "statement", - "prose": "Verify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations." - }, - { - "id": "ma-5.5_gdn", - "name": "guidance", - "prose": "Personnel performing maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel." - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "params": [ - { - "id": "ma-6_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6" - }, - { - "name": "sort-id", - "value": "MA-06" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "Obtain maintenance support and/or spare parts for {{ insert: param, ma-6_prm_1 }} within {{ insert: param, ma-6_prm_2 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place." - } - ], - "controls": [ - { - "id": "ma-6.1", - "class": "SP800-53-enhancement", - "title": "Preventive Maintenance", - "params": [ - { - "id": "ma-6.1_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6.1_prm_2", - "label": "organization-defined time intervals" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(1)" - }, - { - "name": "sort-id", - "value": "MA-06(01)" - } - ], - "parts": [ - { - "id": "ma-6.1_smt", - "name": "statement", - "prose": "Perform preventive maintenance on {{ insert: param, ma-6.1_prm_1 }} at {{ insert: param, ma-6.1_prm_2 }}." - }, - { - "id": "ma-6.1_gdn", - "name": "guidance", - "prose": "Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications." - } - ] - }, - { - "id": "ma-6.2", - "class": "SP800-53-enhancement", - "title": "Predictive Maintenance", - "params": [ - { - "id": "ma-6.2_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ma-6.2_prm_2", - "label": "organization-defined time intervals" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(2)" - }, - { - "name": "sort-id", - "value": "MA-06(02)" - } - ], - "parts": [ - { - "id": "ma-6.2_smt", - "name": "statement", - "prose": "Perform predictive maintenance on {{ insert: param, ma-6.2_prm_1 }} at {{ insert: param, ma-6.2_prm_2 }}." - }, - { - "id": "ma-6.2_gdn", - "name": "guidance", - "prose": "Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus, minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability." - } - ] - }, - { - "id": "ma-6.3", - "class": "SP800-53-enhancement", - "title": "Automated Support for Predictive Maintenance", - "params": [ - { - "id": "ma-6.3_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MA-6(3)" - }, - { - "name": "sort-id", - "value": "MA-06(03)" - } - ], - "parts": [ - { - "id": "ma-6.3_smt", - "name": "statement", - "prose": "Transfer predictive maintenance data to a maintenance management system using {{ insert: param, ma-6.3_prm_1 }}." - }, - { - "id": "ma-6.3_gdn", - "name": "guidance", - "prose": "A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting." - } - ] - } - ] - }, - { - "id": "ma-7", - "class": "SP800-53", - "title": "Field Maintenance", - "params": [ - { - "id": "ma-7_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "ma-7_prm_2", - "label": "organization-defined trusted maintenance facilities" - } - ], - "props": [ - { - "name": "label", - "value": "MA-7" - }, - { - "name": "sort-id", - "value": "MA-07" - } - ], - "links": [ - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ma-7_smt", - "name": "statement", - "prose": "Restrict or prohibit field maintenance on {{ insert: param, ma-7_prm_1 }} to {{ insert: param, ma-7_prm_2 }}." - }, - { - "id": "ma-7_gdn", - "name": "guidance", - "prose": "Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls." - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "mp-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "mp-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "MP-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, mp-1_prm_2 }} media protection policy that:", - "parts": [ - { - "id": "mp-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, mp-1_prm_3 }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and" - }, - { - "id": "mp-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current media protection:", - "parts": [ - { - "id": "mp-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, mp-1_prm_4 }}; and" - }, - { - "id": "mp-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, mp-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the MP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "params": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "MP-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert: param, mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact disks in the media library to individuals on the system development team is an example of restricting access to digital media." - } - ], - "controls": [ - { - "id": "mp-2.1", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "props": [ - { - "name": "label", - "value": "MP-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-02(01)" - } - ], - "links": [ - { - "href": "#mp-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-2.2", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-02(02)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "params": [ - { - "id": "mp-3_prm_1", - "label": "organization-defined types of system media" - }, - { - "id": "mp-3_prm_2", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "MP-3" - }, - { - "name": "sort-id", - "value": "MP-03" - } - ], - "links": [ - { - "href": "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempt {{ insert: param, mp-3_prm_1 }} from marking if the media remain within {{ insert: param, mp-3_prm_2 }}." - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes digital and non-digital media. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), flash drives, compact disks, and digital video disks. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002]. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "params": [ - { - "id": "mp-4_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-4_prm_2", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "MP-4" - }, - { - "name": "sort-id", - "value": "MP-04" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically control and securely store {{ insert: param, mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }}; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures." - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. For media containing information determined to be in the public domain, to be publicly releasable, or to have limited adverse impact on organizations, operations, or individuals if accessed by other than authorized personnel, fewer controls may be needed. In these situations, physical access controls provide adequate protection." - } - ], - "controls": [ - { - "id": "mp-4.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-4(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-04(01)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Restricted Access", - "params": [ - { - "id": "mp-4.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "MP-4(2)" - }, - { - "name": "sort-id", - "value": "MP-04(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-4.2_smt", - "name": "statement", - "prose": "Restrict access to media storage areas, log access attempts, and access granted using {{ insert: param, mp-4.2_prm_1 }}." - }, - { - "id": "mp-4.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms include keypads or card readers on the external entries to media storage areas." - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "params": [ - { - "id": "mp-5_prm_1", - "label": "organization-defined types of system media" - }, - { - "id": "mp-5_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "MP-5" - }, - { - "name": "sort-id", - "value": "MP-05" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protect and control {{ insert: param, mp-5_prm_1 }} during transport outside of controlled areas using {{ insert: param, mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain accountability for system media during transport outside of controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document activities associated with the transport of system media; and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restrict the activities associated with the transport of system media to authorized personnel." - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state and magnetic), compact disks, and digital video disks. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel, and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records." - } - ], - "controls": [ - { - "id": "mp-5.1", - "class": "SP800-53-enhancement", - "title": "Protection Outside of Controlled Areas", - "props": [ - { - "name": "label", - "value": "MP-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(01)" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.2", - "class": "SP800-53-enhancement", - "title": "Documentation of Activities", - "props": [ - { - "name": "label", - "value": "MP-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(02)" - } - ], - "links": [ - { - "href": "#mp-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-5.3", - "class": "SP800-53-enhancement", - "title": "Custodians", - "props": [ - { - "name": "label", - "value": "MP-5(3)" - }, - { - "name": "sort-id", - "value": "MP-05(03)" - } - ], - "parts": [ - { - "id": "mp-5.3_smt", - "name": "statement", - "prose": "Employ an identified custodian during transport of system media outside of controlled areas." - }, - { - "id": "mp-5.3_gdn", - "name": "guidance", - "prose": "Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified." - } - ] - }, - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "MP-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-05(04)" - } - ], - "links": [ - { - "href": "#sc-28.1", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "params": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "MP-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#fed6a3b5-2b74-499f-9172-46671f7c24c8", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#a52271dc-11b5-423a-8b6f-14867bd94259", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, mp-6_prm_2 }}; and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media such as paper and microfilm. The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policies controls the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information." - } - ], - "controls": [ - { - "id": "mp-6.1", - "class": "SP800-53-enhancement", - "title": "Review, Approve, Track, Document, and Verify", - "props": [ - { - "name": "label", - "value": "MP-6(1)" - }, - { - "name": "sort-id", - "value": "MP-06(01)" - } - ], - "parts": [ - { - "id": "mp-6.1_smt", - "name": "statement", - "prose": "Review, approve, track, document, and verify media sanitization and disposal actions." - }, - { - "id": "mp-6.1_gdn", - "name": "guidance", - "prose": "Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions; types of media sanitized; files stored on the media; sanitization methods used; date and time of the sanitization actions; personnel who performed the sanitization; verification actions taken and personnel who performed the verification; and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal." - } - ] - }, - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-6.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(2)" - }, - { - "name": "sort-id", - "value": "MP-06(02)" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "Test sanitization equipment and procedures {{ insert: param, mp-6.2_prm_1 }} to verify that the intended sanitization is being achieved." - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers." - } - ] - }, - { - "id": "mp-6.3", - "class": "SP800-53-enhancement", - "title": "Nondestructive Techniques", - "params": [ - { - "id": "mp-6.3_prm_1", - "label": "organization-defined circumstances requiring sanitization of portable storage devices" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(3)" - }, - { - "name": "sort-id", - "value": "MP-06(03)" - } - ], - "parts": [ - { - "id": "mp-6.3_smt", - "name": "statement", - "prose": "Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: {{ insert: param, mp-6.3_prm_1 }}." - }, - { - "id": "mp-6.3_gdn", - "name": "guidance", - "prose": "Portable storage devices include external or removable hard disk drives (solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and can contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices." - } - ] - }, - { - "id": "mp-6.4", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-6(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(04)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.5", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-6(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(05)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.6", - "class": "SP800-53-enhancement", - "title": "Media Destruction", - "props": [ - { - "name": "label", - "value": "MP-6(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-06(06)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-6.7", - "class": "SP800-53-enhancement", - "title": "Dual Authorization", - "params": [ - { - "id": "mp-6.7_prm_1", - "label": "organization-defined system media" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(7)" - }, - { - "name": "sort-id", - "value": "MP-06(07)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-6.7_smt", - "name": "statement", - "prose": "Enforce dual authorization for the sanitization of {{ insert: param, mp-6.7_prm_1 }}." - }, - { - "id": "mp-6.7_gdn", - "name": "guidance", - "prose": "Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals." - } - ] - }, - { - "id": "mp-6.8", - "class": "SP800-53-enhancement", - "title": "Remote Purging or Wiping of Information", - "params": [ - { - "id": "mp-6.8_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "mp-6.8_prm_2", - "select": { - "choice": [ - "remotely", - "under the following conditions: {{ insert: param, mp-6.8_prm_3 }} " - ] - } - }, - { - "id": "mp-6.8_prm_3", - "depends-on": "mp-6.8_prm_2", - "label": "organization-defined conditions" - } - ], - "props": [ - { - "name": "label", - "value": "MP-6(8)" - }, - { - "name": "sort-id", - "value": "MP-06(08)" - } - ], - "parts": [ - { - "id": "mp-6.8_smt", - "name": "statement", - "prose": "Provide the capability to purge or wipe information from {{ insert: param, mp-6.8_prm_1 }} {{ insert: param, mp-6.8_prm_2 }}." - }, - { - "id": "mp-6.8_gdn", - "name": "guidance", - "prose": "Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data." - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "params": [ - { - "id": "mp-7_prm_1", - "select": { - "choice": [ - "Restrict", - "Prohibit" - ] - } - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "MP-07" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#sc-41", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "parts": [ - { - "id": "mp-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, mp-7_prm_1 }} the use of {{ insert: param, mp-7_prm_2 }} on {{ insert: param, mp-7_prm_3 }} using {{ insert: param, mp-7_prm_4 }}; and" - }, - { - "id": "mp-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner." - } - ] - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact disks, digital video disks, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capability. In contrast to MP-2, which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling or removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices." - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "props": [ - { - "name": "label", - "value": "MP-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "MP-07(01)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "mp-7.2", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Sanitization-resistant Media", - "props": [ - { - "name": "label", - "value": "MP-7(2)" - }, - { - "name": "sort-id", - "value": "MP-07(02)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "mp-7.2_smt", - "name": "statement", - "prose": "Prohibit the use of sanitization-resistant media in organizational systems." - }, - { - "id": "mp-7.2_gdn", - "name": "guidance", - "prose": "Sanitization-resistance refers to non-destructive sanitization techniques and applies to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include compact flash, embedded flash on boards and devices, solid state drives, and USB removable media." - } - ] - } - ] - }, - { - "id": "mp-8", - "class": "SP800-53", - "title": "Media Downgrading", - "params": [ - { - "id": "mp-8_prm_1", - "label": "organization-defined system media downgrading process" - }, - { - "id": "mp-8_prm_2", - "label": "organization-defined system media requiring downgrading" - } - ], - "props": [ - { - "name": "label", - "value": "MP-8" - }, - { - "name": "sort-id", - "value": "MP-08" - } - ], - "parts": [ - { - "id": "mp-8_smt", - "name": "statement", - "parts": [ - { - "id": "mp-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish {{ insert: param, mp-8_prm_1 }} that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;" - }, - { - "id": "mp-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;" - }, - { - "id": "mp-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify {{ insert: param, mp-8_prm_2 }}; and" - }, - { - "id": "mp-8_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Downgrade the identified system media using the established process." - } - ] - }, - { - "id": "mp-8_gdn", - "name": "guidance", - "prose": "Media downgrading applies to digital and non-digital media, subject to release outside the organization, whether the media is considered removable or not removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading also ensures that empty space on the media is devoid of information." - } - ], - "controls": [ - { - "id": "mp-8.1", - "class": "SP800-53-enhancement", - "title": "Documentation of Process", - "props": [ - { - "name": "label", - "value": "MP-8(1)" - }, - { - "name": "sort-id", - "value": "MP-08(01)" - } - ], - "parts": [ - { - "id": "mp-8.1_smt", - "name": "statement", - "prose": "Document system media downgrading actions." - }, - { - "id": "mp-8.1_gdn", - "name": "guidance", - "prose": "Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action." - } - ] - }, - { - "id": "mp-8.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "params": [ - { - "id": "mp-8.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "MP-8(2)" - }, - { - "name": "sort-id", - "value": "MP-08(02)" - } - ], - "parts": [ - { - "id": "mp-8.2_smt", - "name": "statement", - "prose": "Test downgrading equipment and procedures {{ insert: param, mp-8.2_prm_1 }} to verify that downgrading actions are being achieved." - }, - { - "id": "mp-8.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "mp-8.3", - "class": "SP800-53-enhancement", - "title": "Controlled Unclassified Information", - "props": [ - { - "name": "label", - "value": "MP-8(3)" - }, - { - "name": "sort-id", - "value": "MP-08(03)" - } - ], - "parts": [ - { - "id": "mp-8.3_smt", - "name": "statement", - "prose": "Downgrade system media containing controlled unclassified information prior to public release." - }, - { - "id": "mp-8.3_gdn", - "name": "guidance", - "prose": "Downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures." - } - ] - }, - { - "id": "mp-8.4", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "MP-8(4)" - }, - { - "name": "sort-id", - "value": "MP-08(04)" - } - ], - "parts": [ - { - "id": "mp-8.4_smt", - "name": "statement", - "prose": "Downgrade system media containing classified information prior to release to individuals without required access authorizations." - }, - { - "id": "mp-8.4_gdn", - "name": "guidance", - "prose": "Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media." - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pe-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pe-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "PE-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pe-1_prm_2 }} physical and environmental protection policy that:", - "parts": [ - { - "id": "pe-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pe-1_prm_3 }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and" - }, - { - "id": "pe-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current physical and environmental protection:", - "parts": [ - { - "id": "pe-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pe-1_prm_4 }}; and" - }, - { - "id": "pe-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pe-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PE family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "params": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "PE-02" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issue authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the access list detailing authorized facility access by individuals {{ insert: param, pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remove individuals from the facility access list when access is no longer required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include biometrics, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations are not necessary to access areas within facilities that are designated as publicly accessible." - } - ], - "controls": [ - { - "id": "pe-2.1", - "class": "SP800-53-enhancement", - "title": "Access by Position or Role", - "props": [ - { - "name": "label", - "value": "PE-2(1)" - }, - { - "name": "sort-id", - "value": "PE-02(01)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.1_smt", - "name": "statement", - "prose": "Authorize physical access to the facility where the system resides based on position or role." - }, - { - "id": "pe-2.1_gdn", - "name": "guidance", - "prose": "Role-based facility access includes permanent maintenance personnel, duty officers, or emergency medical staff." - } - ] - }, - { - "id": "pe-2.2", - "class": "SP800-53-enhancement", - "title": "Two Forms of Identification", - "params": [ - { - "id": "pe-2.2_prm_1", - "label": "organization-defined list of acceptable forms of identification" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2(2)" - }, - { - "name": "sort-id", - "value": "PE-02(02)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.2_smt", - "name": "statement", - "prose": "Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: {{ insert: param, pe-2.2_prm_1 }}." - }, - { - "id": "pe-2.2_gdn", - "name": "guidance", - "prose": "Acceptable forms of identification include passports, REAL ID-compliant drivers’ licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics." - } - ] - }, - { - "id": "pe-2.3", - "class": "SP800-53-enhancement", - "title": "Restrict Unescorted Access", - "params": [ - { - "id": "pe-2.3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "security clearances for all information contained within the system", - "formal access authorizations for all information contained within the system", - "need for access to all information contained within the system", - " {{ insert: param, pe-2.3_prm_2 }} " - ] - } - }, - { - "id": "pe-2.3_prm_2", - "depends-on": "pe-2.3_prm_1", - "label": "organization-defined credentials" - } - ], - "props": [ - { - "name": "label", - "value": "PE-2(3)" - }, - { - "name": "sort-id", - "value": "PE-02(03)" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-2.3_smt", - "name": "statement", - "prose": "Restrict unescorted access to the facility where the system resides to personnel with {{ insert: param, pe-2.3_prm_1 }}." - }, - { - "id": "pe-2.3_gdn", - "name": "guidance", - "prose": "Individuals without required security clearances, access approvals, or need to know, are escorted by individuals with appropriate credentials to ensure that information is not exposed or otherwise compromised." - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "params": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry and exit points to the facility where the system resides" - }, - { - "id": "pe-3_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pe-3_prm_3 }} ", - "guards" - ] - } - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems or devices" - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry or exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined controls" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and monitoring" - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency" - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "PE-03" - } - ], - "links": [ - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforce physical access authorizations at {{ insert: param, pe-3_prm_1 }} by:", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress and egress to the facility using {{ insert: param, pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain physical access audit logs for {{ insert: param, pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, pe-3_prm_5 }};" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escort visitors and monitor visitor activity {{ insert: param, pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secure keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventory {{ insert: param, pe-3_prm_7 }} every {{ insert: param, pe-3_prm_8 }}; and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Change combinations and keys {{ insert: param, pe-3_prm_9 }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "Physical access control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components." - } - ], - "controls": [ - { - "id": "pe-3.1", - "class": "SP800-53-enhancement", - "title": "System Access", - "params": [ - { - "id": "pe-3.1_prm_1", - "label": "organization-defined physical spaces containing one or more components of the system" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(1)" - }, - { - "name": "sort-id", - "value": "PE-03(01)" - } - ], - "parts": [ - { - "id": "pe-3.1_smt", - "name": "statement", - "prose": "Enforce physical access authorizations to the system in addition to the physical access controls for the facility at {{ insert: param, pe-3.1_prm_1 }}." - }, - { - "id": "pe-3.1_gdn", - "name": "guidance", - "prose": "Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components." - } - ] - }, - { - "id": "pe-3.2", - "class": "SP800-53-enhancement", - "title": "Facility and Systems", - "params": [ - { - "id": "pe-3.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(2)" - }, - { - "name": "sort-id", - "value": "PE-03(02)" - } - ], - "links": [ - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.2_smt", - "name": "statement", - "prose": "Perform security checks {{ insert: param, pe-3.2_prm_1 }} at the physical perimeter of the facility or system for exfiltration of information or removal of system components." - }, - { - "id": "pe-3.2_gdn", - "name": "guidance", - "prose": "Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration." - } - ] - }, - { - "id": "pe-3.3", - "class": "SP800-53-enhancement", - "title": "Continuous Guards", - "params": [ - { - "id": "pe-3.3_prm_1", - "label": "organization-defined physical access points" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(3)" - }, - { - "name": "sort-id", - "value": "PE-03(03)" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.3_smt", - "name": "statement", - "prose": "Employ guards to control {{ insert: param, pe-3.3_prm_1 }} to the facility where the system resides 24 hours per day, 7 days per week." - }, - { - "id": "pe-3.3_gdn", - "name": "guidance", - "prose": "Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance." - } - ] - }, - { - "id": "pe-3.4", - "class": "SP800-53-enhancement", - "title": "Lockable Casings", - "params": [ - { - "id": "pe-3.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(4)" - }, - { - "name": "sort-id", - "value": "PE-03(04)" - } - ], - "parts": [ - { - "id": "pe-3.4_smt", - "name": "statement", - "prose": "Use lockable physical casings to protect {{ insert: param, pe-3.4_prm_1 }} from unauthorized physical access." - }, - { - "id": "pe-3.4_gdn", - "name": "guidance", - "prose": "The greatest risk from the use of portable devices such as notebook computers, tablets, and smart phones is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment." - } - ] - }, - { - "id": "pe-3.5", - "class": "SP800-53-enhancement", - "title": "Tamper Protection", - "params": [ - { - "id": "pe-3.5_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pe-3.5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "detect", - "prevent" - ] - } - }, - { - "id": "pe-3.5_prm_3", - "label": "organization-defined hardware components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(5)" - }, - { - "name": "sort-id", - "value": "PE-03(05)" - } - ], - "links": [ - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-3.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-3.5_prm_1 }} to {{ insert: param, pe-3.5_prm_2 }} physical tampering or alteration of {{ insert: param, pe-3.5_prm_3 }} within the system." - }, - { - "id": "pe-3.5_gdn", - "name": "guidance", - "prose": "Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks." - } - ] - }, - { - "id": "pe-3.6", - "class": "SP800-53-enhancement", - "title": "Facility Penetration Testing", - "props": [ - { - "name": "label", - "value": "PE-3(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-03(06)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-3.7", - "class": "SP800-53-enhancement", - "title": "Physical Barriers", - "props": [ - { - "name": "label", - "value": "PE-3(7)" - }, - { - "name": "sort-id", - "value": "PE-03(07)" - } - ], - "parts": [ - { - "id": "pe-3.7_smt", - "name": "statement", - "prose": "Limit access using physical barriers." - }, - { - "id": "pe-3.7_gdn", - "name": "guidance", - "prose": "Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers." - } - ] - }, - { - "id": "pe-3.8", - "class": "SP800-53-enhancement", - "title": "Access Control Vestibules", - "params": [ - { - "id": "pe-3.8_prm_1", - "label": "organization-defined locations within the facility" - } - ], - "props": [ - { - "name": "label", - "value": "PE-3(8)" - }, - { - "name": "sort-id", - "value": "PE-03(08)" - } - ], - "parts": [ - { - "id": "pe-3.8_smt", - "name": "statement", - "prose": "Employ access control vestibules at {{ insert: param, pe-3.8_prm_1 }}." - }, - { - "id": "pe-3.8_gdn", - "name": "guidance", - "prose": "An access control vestibule, or mantrap, is part of a physical access control system that typically provides a space between two sets of interlocking doors. Mantraps are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Mantraps can also be used to limit the number of individuals entering controlled access points and to provide containment areas to verify credentials. Mantraps can be fully automated, controlling the opening and closing of the interlocking doors, or partially automated using security guards to control the number of individuals entering the mantrap." - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission", - "params": [ - { - "id": "pe-4_prm_1", - "label": "organization-defined system distribution and transmission lines" - }, - { - "id": "pe-4_prm_2", - "label": "organization-defined security controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-4" - }, - { - "name": "sort-id", - "value": "PE-04" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-9", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "Control physical access to {{ insert: param, pe-4_prm_1 }} within organizational facilities using {{ insert: param, pe-4_prm_2 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors." - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "params": [ - { - "id": "pe-5_prm_1", - "label": "organization-defined output devices" - } - ], - "props": [ - { - "name": "label", - "value": "PE-5" - }, - { - "name": "sort-id", - "value": "PE-05" - } - ], - "links": [ - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "Control physical access to output from {{ insert: param, pe-5_prm_1 }} to prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only; placing output devices in locations that can be monitored by personnel; installing monitor or screen filters; and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers." - } - ], - "controls": [ - { - "id": "pe-5.1", - "class": "SP800-53-enhancement", - "title": "Access to Output by Authorized Individuals", - "props": [ - { - "name": "label", - "value": "PE-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-05(01)" - } - ], - "links": [ - { - "href": "#pe-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-5.2", - "class": "SP800-53-enhancement", - "title": "Link to Individual Identity", - "props": [ - { - "name": "label", - "value": "PE-5(2)" - }, - { - "name": "sort-id", - "value": "PE-05(02)" - } - ], - "parts": [ - { - "id": "pe-5.2_smt", - "name": "statement", - "prose": "Link individual identity to receipt of output from output devices." - }, - { - "id": "pe-5.2_gdn", - "name": "guidance", - "prose": "Methods to link individual identity to receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals." - } - ] - }, - { - "id": "pe-5.3", - "class": "SP800-53-enhancement", - "title": "Marking Output Devices", - "params": [ - { - "id": "pe-5.3_prm_1", - "label": "organization-defined system output devices" - } - ], - "props": [ - { - "name": "label", - "value": "PE-5(3)" - }, - { - "name": "sort-id", - "value": "PE-05(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pe-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-5.3_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-5.3_prm_1 }} indicating the security marking of the types of information output from the device." - }, - { - "id": "pe-5.3_gdn", - "name": "guidance", - "prose": "Permissions controlling the output to outputs devices are addressed in AC-3 or AC-4. Outputs devices include printers, monitors, facsimile machines, scanners, copiers, and audio devices." - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "params": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "PE-06" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review physical access logs {{ insert: param, pe-6_prm_1 }} and upon occurrence of {{ insert: param, pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinate results of reviews and investigations with the organizational incident response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Physical access monitoring includes publicly accessible areas within organizational facilities. Physical access monitoring can be accomplished, for example, by the employment of guards, video surveillance equipment (i.e., cameras), or sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls such as AU-2 if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses." - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms and Surveillance Equipment", - "props": [ - { - "name": "label", - "value": "PE-6(1)" - }, - { - "name": "sort-id", - "value": "PE-06(01)" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment." - }, - { - "id": "pe-6.1_gdn", - "name": "guidance", - "prose": "Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards, triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, for example, motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility." - } - ] - }, - { - "id": "pe-6.2", - "class": "SP800-53-enhancement", - "title": "Automated Intrusion Recognition and Responses", - "params": [ - { - "id": "pe-6.2_prm_1", - "label": "organization-defined classes or types of intrusions" - }, - { - "id": "pe-6.2_prm_2", - "label": "organization-defined response actions" - }, - { - "id": "pe-6.2_prm_3", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(2)" - }, - { - "name": "sort-id", - "value": "PE-06(02)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-6.2_smt", - "name": "statement", - "prose": "Recognize {{ insert: param, pe-6.2_prm_1 }} and initiate {{ insert: param, pe-6.2_prm_2 }} using {{ insert: param, pe-6.2_prm_3 }}." - }, - { - "id": "pe-6.2_gdn", - "name": "guidance", - "prose": "Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization." - } - ] - }, - { - "id": "pe-6.3", - "class": "SP800-53-enhancement", - "title": "Video Surveillance", - "params": [ - { - "id": "pe-6.3_prm_1", - "label": "organization-defined operational areas" - }, - { - "id": "pe-6.3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pe-6.3_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(3)" - }, - { - "name": "sort-id", - "value": "PE-06(03)" - } - ], - "parts": [ - { - "id": "pe-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "pe-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ video surveillance of {{ insert: param, pe-6.3_prm_1 }};" - }, - { - "id": "pe-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Review video recordings {{ insert: param, pe-6.3_prm_2 }}; and" - }, - { - "id": "pe-6.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retain video recordings for {{ insert: param, pe-6.3_prm_3 }}." - } - ] - }, - { - "id": "pe-6.3_gdn", - "name": "guidance", - "prose": "Video surveillance focuses on recording activity in specified areas for purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location." - } - ] - }, - { - "id": "pe-6.4", - "class": "SP800-53-enhancement", - "title": "Monitoring Physical Access to Systems", - "params": [ - { - "id": "pe-6.4_prm_1", - "label": "organization-defined physical spaces containing one or more components of the system" - } - ], - "props": [ - { - "name": "label", - "value": "PE-6(4)" - }, - { - "name": "sort-id", - "value": "PE-06(04)" - } - ], - "parts": [ - { - "id": "pe-6.4_smt", - "name": "statement", - "prose": "Monitor physical access to the system in addition to the physical access monitoring of the facility at {{ insert: param, pe-6.4_prm_1 }}." - }, - { - "id": "pe-6.4_gdn", - "name": "guidance", - "prose": "Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization." - } - ] - } - ] - }, - { - "id": "pe-7", - "class": "SP800-53", - "title": "Visitor Control", - "props": [ - { - "name": "label", - "value": "PE-7" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-07" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - }, - { - "href": "#pe-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "params": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pe-8_prm_3", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "PE-08" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain visitor access records to the facility where the system resides for {{ insert: param, pe-8_prm_1 }};" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review visitor access records {{ insert: param, pe-8_prm_2 }}; and" - }, - { - "id": "pe-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Report anomalies in visitor access records to {{ insert: param, pe-8_prm_3 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Reviews of access records determines if access authorizations are current and still required to support organizational missions and business functions. Access records are not required for publicly accessible areas." - } - ], - "controls": [ - { - "id": "pe-8.1", - "class": "SP800-53-enhancement", - "title": "Automated Records Maintenance and Review", - "params": [ - { - "id": "pe-8.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-8(1)" - }, - { - "name": "sort-id", - "value": "PE-08(01)" - } - ], - "parts": [ - { - "id": "pe-8.1_smt", - "name": "statement", - "prose": "Maintain and review visitor access records using {{ insert: param, pe-8.1_prm_1 }}." - }, - { - "id": "pe-8.1_gdn", - "name": "guidance", - "prose": "Visitor access records can be stored and maintained, for example, in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on regular basis to determine if access authorizations are current and still required to support organizational missions and business functions." - } - ] - }, - { - "id": "pe-8.2", - "class": "SP800-53-enhancement", - "title": "Physical Access Records", - "props": [ - { - "name": "label", - "value": "PE-8(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-08(02)" - } - ], - "links": [ - { - "href": "#pe-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "props": [ - { - "name": "label", - "value": "PE-9" - }, - { - "name": "sort-id", - "value": "PE-09" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "Protect power equipment and power cabling for the system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. Power equipment and cabling includes generators and power cabling outside of buildings; internal cabling and uninterruptable power sources in offices or data centers; and power sources for self-contained components such as satellites, vehicles, and other deployable systems." - } - ], - "controls": [ - { - "id": "pe-9.1", - "class": "SP800-53-enhancement", - "title": "Redundant Cabling", - "params": [ - { - "id": "pe-9.1_prm_1", - "label": "organization-defined distance" - } - ], - "props": [ - { - "name": "label", - "value": "PE-9(1)" - }, - { - "name": "sort-id", - "value": "PE-09(01)" - } - ], - "parts": [ - { - "id": "pe-9.1_smt", - "name": "statement", - "prose": "Employ redundant power cabling paths that are physically separated by {{ insert: param, pe-9.1_prm_1 }}." - }, - { - "id": "pe-9.1_gdn", - "name": "guidance", - "prose": "Physically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged." - } - ] - }, - { - "id": "pe-9.2", - "class": "SP800-53-enhancement", - "title": "Automatic Voltage Controls", - "params": [ - { - "id": "pe-9.2_prm_1", - "label": "organization-defined critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-9(2)" - }, - { - "name": "sort-id", - "value": "PE-09(02)" - } - ], - "parts": [ - { - "id": "pe-9.2_smt", - "name": "statement", - "prose": "Employ automatic voltage controls for {{ insert: param, pe-9.2_prm_1 }}." - }, - { - "id": "pe-9.2_gdn", - "name": "guidance", - "prose": "Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers." - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "params": [ - { - "id": "pe-10_prm_1", - "label": "organization-defined system or individual system components" - }, - { - "id": "pe-10_prm_2", - "label": "organization-defined location by system or system component" - } - ], - "props": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "PE-10" - } - ], - "links": [ - { - "href": "#pe-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide the capability of shutting off power to {{ insert: param, pe-10_prm_1 }} in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Place emergency shutoff switches or devices in {{ insert: param, pe-10_prm_2 }} to facilitate access for authorized personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protect emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "Emergency power shutoff applies primarily to organizational facilities containing concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery." - } - ], - "controls": [ - { - "id": "pe-10.1", - "class": "SP800-53-enhancement", - "title": "Accidental and Unauthorized Activation", - "props": [ - { - "name": "label", - "value": "PE-10(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-10(01)" - } - ], - "links": [ - { - "href": "#pe-10", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "params": [ - { - "id": "pe-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "an orderly shutdown of the system", - "transition of the system to long-term alternate power" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "PE-11" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "Provide an uninterruptible power supply to facilitate {{ insert: param, pe-11_prm_1 }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "prose": "An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of most UPS is relatively short but provides sufficient time to start a standby power source such as a backup generator or properly shut down the system." - } - ], - "controls": [ - { - "id": "pe-11.1", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply — Minimal Operational Capability", - "params": [ - { - "id": "pe-11.1_prm_1", - "select": { - "choice": [ - "manually", - "automatically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(1)" - }, - { - "name": "sort-id", - "value": "PE-11(01)" - } - ], - "parts": [ - { - "id": "pe-11.1_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.1_prm_1 }} and that can maintain minimally required operational capability in the event of an extended loss of the primary power source." - }, - { - "id": "pe-11.1_gdn", - "name": "guidance", - "prose": "Provision of an alternate power supply with minimal operating capability can be satisfied, for example, by accessing a secondary commercial power supply or other external power supply." - } - ] - }, - { - "id": "pe-11.2", - "class": "SP800-53-enhancement", - "title": "Alternate Power Supply — Self-contained", - "params": [ - { - "id": "pe-11.2_prm_1", - "select": { - "choice": [ - "manually", - "automatically" - ] - } - }, - { - "id": "pe-11.2_prm_2", - "select": { - "choice": [ - "minimally required operational capability", - "full operational capability" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "PE-11(2)" - }, - { - "name": "sort-id", - "value": "PE-11(02)" - } - ], - "parts": [ - { - "id": "pe-11.2_smt", - "name": "statement", - "prose": "Provide an alternate power supply for the system that is activated {{ insert: param, pe-11.2_prm_1 }} and that is:", - "parts": [ - { - "id": "pe-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Self-contained;" - }, - { - "id": "pe-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Not reliant on external power generation; and" - }, - { - "id": "pe-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Capable of maintaining {{ insert: param, pe-11.2_prm_2 }} in the event of an extended loss of the primary power source." - } - ] - }, - { - "id": "pe-11.2_gdn", - "name": "guidance", - "prose": "The provision of a long-term, self-contained power supply, can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization." - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "props": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "PE-12" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "The provision of emergency lighting applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system cannot be provided or fails, organizations consider alternate processing sites." - } - ], - "controls": [ - { - "id": "pe-12.1", - "class": "SP800-53-enhancement", - "title": "Essential Missions and Business Functions", - "props": [ - { - "name": "label", - "value": "PE-12(1)" - }, - { - "name": "sort-id", - "value": "PE-12(01)" - } - ], - "parts": [ - { - "id": "pe-12.1_smt", - "name": "statement", - "prose": "Provide emergency lighting for all areas within the facility supporting essential missions and business functions." - }, - { - "id": "pe-12.1_gdn", - "name": "guidance", - "prose": "Organizations define their essential missions and functions." - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "props": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "PE-13" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "Employ and maintain fire detection and suppression systems that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "The provision of fire detection and suppression systems applies to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems, fixed fire hoses, and smoke detectors." - } - ], - "controls": [ - { - "id": "pe-13.1", - "class": "SP800-53-enhancement", - "title": "Detection Systems – Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.1_prm_2", - "label": "organization-defined emergency responders" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(1)" - }, - { - "name": "sort-id", - "value": "PE-13(01)" - } - ], - "parts": [ - { - "id": "pe-13.1_smt", - "name": "statement", - "prose": "Employ fire detection systems that activate automatically and notify {{ insert: param, pe-13.1_prm_1 }} and {{ insert: param, pe-13.1_prm_2 }} in the event of a fire." - }, - { - "id": "pe-13.1_gdn", - "name": "guidance", - "prose": "Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances, for example, to enter to facilities where access is restricted due to the classification or impact level of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire." - } - ] - }, - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Systems – Automatic Activation and Notification", - "params": [ - { - "id": "pe-13.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.2_prm_2", - "label": "organization-defined emergency responders" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(2)" - }, - { - "name": "sort-id", - "value": "PE-13(02)" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "parts": [ - { - "id": "pe-13.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ fire suppression systems that activate automatically and notify {{ insert: param, pe-13.2_prm_1 }} and {{ insert: param, pe-13.2_prm_2 }}; and" - }, - { - "id": "pe-13.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis." - } - ] - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to enter to facilities where access is restricted due to the impact level or classification of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire." - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "props": [ - { - "name": "label", - "value": "PE-13(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-13(03)" - } - ], - "links": [ - { - "href": "#pe-13.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pe-13.4", - "class": "SP800-53-enhancement", - "title": "Inspections", - "params": [ - { - "id": "pe-13.4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pe-13.4_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PE-13(4)" - }, - { - "name": "sort-id", - "value": "PE-13(04)" - } - ], - "parts": [ - { - "id": "pe-13.4_smt", - "name": "statement", - "prose": "Ensure that the facility undergoes {{ insert: param, pe-13.4_prm_1 }} fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within {{ insert: param, pe-13.4_prm_2 }}." - }, - { - "id": "pe-13.4_gdn", - "name": "guidance", - "prose": "Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information." - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Environmental Controls", - "params": [ - { - "id": "pe-14_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "temperature", - "humidity", - "pressure", - "radiation", - " {{ insert: param, pe-14_prm_2 }} " - ] - } - }, - { - "id": "pe-14_prm_2", - "depends-on": "pe-14_prm_1", - "label": "organization-defined environmental control" - }, - { - "id": "pe-14_prm_3", - "label": "organization-defined acceptable levels" - }, - { - "id": "pe-14_prm_4", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "PE-14" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintain {{ insert: param, pe-14_prm_1 }} levels within the facility where the system resides at {{ insert: param, pe-14_prm_3 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitor environmental control levels {{ insert: param, pe-14_prm_4 }}." - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "The provision of environmental controls applies primarily to organizational facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms. Insufficient controls, especially in harsh environments, can have a significant adverse impact on the systems and system components that are needed to support organizational missions and business functions. Environmental controls, such as electromagnetic pulse (EMP) protection described in PE-21, are especially significant for systems and applications that are part of the U.S. critical infrastructure." - } - ], - "controls": [ - { - "id": "pe-14.1", - "class": "SP800-53-enhancement", - "title": "Automatic Controls", - "params": [ - { - "id": "pe-14.1_prm_1", - "label": "organization-defined automatic environmental controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(1)" - }, - { - "name": "sort-id", - "value": "PE-14(01)" - } - ], - "parts": [ - { - "id": "pe-14.1_smt", - "name": "statement", - "prose": "Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: {{ insert: param, pe-14.1_prm_1 }}." - }, - { - "id": "pe-14.1_gdn", - "name": "guidance", - "prose": "The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components." - } - ] - }, - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms and Notifications", - "params": [ - { - "id": "pe-14.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "PE-14(2)" - }, - { - "name": "sort-id", - "value": "PE-14(02)" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to {{ insert: param, pe-14.2_prm_1 }}." - }, - { - "id": "pe-14.2_gdn", - "name": "guidance", - "prose": "The alarm or notification may be, for example, an audible alarm or a message in real time to personnel or roles defined by the organization. Such alarms and/or notifications can help to minimize harm to individuals and damage to organizational assets by facilitating a timely incident response." - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "props": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "PE-15" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "The provision of water damage protection applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations." - } - ], - "controls": [ - { - "id": "pe-15.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "params": [ - { - "id": "pe-15.1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-15.1_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PE-15(1)" - }, - { - "name": "sort-id", - "value": "PE-15(01)" - } - ], - "parts": [ - { - "id": "pe-15.1_smt", - "name": "statement", - "prose": "Detect the presence of water near the system and alert {{ insert: param, pe-15.1_prm_1 }} using {{ insert: param, pe-15.1_prm_2 }}." - }, - { - "id": "pe-15.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms include notification systems, water detection sensors, and alarms." - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "params": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "PE-16" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "parts": [ - { - "id": "pe-16_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorize and control {{ insert: param, pe-16_prm_1 }} entering and exiting the facility; and" - }, - { - "id": "pe-16_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintain records of the system components." - } - ] - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries." - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "params": [ - { - "id": "pe-17_prm_1", - "label": "organization-defined alternate work sites" - }, - { - "id": "pe-17_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "PE-17" - } - ], - "links": [ - { - "href": "#7768c184-088d-4ee8-a316-f9286b52df7f", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pe-17_prm_1 }} allowed for use by employees;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls at alternate work sites: {{ insert: param, pe-17_prm_2 }};" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assess the effectiveness of controls at alternate work sites; and" - }, - { - "id": "pe-17_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provide a means for employees to communicate with information security and privacy personnel in case of incidents." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations." - } - ] - }, - { - "id": "pe-18", - "class": "SP800-53", - "title": "Location of System Components", - "params": [ - { - "id": "pe-18_prm_1", - "label": "organization-defined physical and environmental hazards" - } - ], - "props": [ - { - "name": "label", - "value": "PE-18" - }, - { - "name": "sort-id", - "value": "PE-18" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-5", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-18_smt", - "name": "statement", - "prose": "Position system components within the facility to minimize potential damage from {{ insert: param, pe-18_prm_1 }} and to minimize the opportunity for unauthorized access." - }, - { - "id": "pe-18_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including using wireless sniffers or microphones." - } - ], - "controls": [ - { - "id": "pe-18.1", - "class": "SP800-53-enhancement", - "title": "Facility Site", - "props": [ - { - "name": "label", - "value": "PE-18(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PE-18(01)" - } - ], - "links": [ - { - "href": "#pe-23", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "pe-19", - "class": "SP800-53", - "title": "Information Leakage", - "props": [ - { - "name": "label", - "value": "PE-19" - }, - { - "name": "sort-id", - "value": "PE-19" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-19_smt", - "name": "statement", - "prose": "Protect the system from information leakage due to electromagnetic signals emanations." - }, - { - "id": "pe-19_gdn", - "name": "guidance", - "prose": "Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations." - } - ], - "controls": [ - { - "id": "pe-19.1", - "class": "SP800-53-enhancement", - "title": "National Emissions and Tempest Policies and Procedures", - "props": [ - { - "name": "label", - "value": "PE-19(1)" - }, - { - "name": "sort-id", - "value": "PE-19(01)" - } - ], - "parts": [ - { - "id": "pe-19.1_smt", - "name": "statement", - "prose": "Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information." - }, - { - "id": "pe-19.1_gdn", - "name": "guidance", - "prose": "Emissions Security (EMSEC) policies include the former TEMPEST policies." - } - ] - } - ] - }, - { - "id": "pe-20", - "class": "SP800-53", - "title": "Asset Monitoring and Tracking", - "params": [ - { - "id": "pe-20_prm_1", - "label": "organization-defined asset location technologies" - }, - { - "id": "pe-20_prm_2", - "label": "organization-defined assets" - }, - { - "id": "pe-20_prm_3", - "label": "organization-defined controlled areas" - } - ], - "props": [ - { - "name": "label", - "value": "PE-20" - }, - { - "name": "sort-id", - "value": "PE-20" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-20_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-20_prm_1 }} to track and monitor the location and movement of {{ insert: param, pe-20_prm_2 }} within {{ insert: param, pe-20_prm_3 }}." - }, - { - "id": "pe-20_gdn", - "name": "guidance", - "prose": "Asset location technologies can help ensure that critical assets, including vehicles, equipment, or system components remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns." - } - ] - }, - { - "id": "pe-21", - "class": "SP800-53", - "title": "Electromagnetic Pulse Protection", - "params": [ - { - "id": "pe-21_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pe-21_prm_2", - "label": "organization-defined systems and system components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-21" - }, - { - "name": "sort-id", - "value": "PE-21" - } - ], - "links": [ - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-21_smt", - "name": "statement", - "prose": "Employ {{ insert: param, pe-21_prm_1 }} against electromagnetic pulse damage for {{ insert: param, pe-21_prm_2 }}." - }, - { - "id": "pe-21_gdn", - "name": "guidance", - "prose": "An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding." - } - ] - }, - { - "id": "pe-22", - "class": "SP800-53", - "title": "Component Marking", - "params": [ - { - "id": "pe-22_prm_1", - "label": "organization-defined system hardware components" - } - ], - "props": [ - { - "name": "label", - "value": "PE-22" - }, - { - "name": "sort-id", - "value": "PE-22" - } - ], - "links": [ - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-22_smt", - "name": "statement", - "prose": "Mark {{ insert: param, pe-22_prm_1 }} indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component." - }, - { - "id": "pe-22_gdn", - "name": "guidance", - "prose": "Hardware components that require marking include input devices marked to indicate the classification of the network to which the devices are connected or a multifunction printer or copier residing in a classified area. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards." - } - ] - }, - { - "id": "pe-23", - "class": "SP800-53", - "title": "Facility Location", - "props": [ - { - "name": "label", - "value": "PE-23" - }, - { - "name": "sort-id", - "value": "PE-23" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pe-23_smt", - "name": "statement", - "parts": [ - { - "id": "pe-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Plan the location or site of the facility where the system resides considering physical and environmental hazards; and" - }, - { - "id": "pe-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy." - } - ] - }, - { - "id": "pe-23_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in PE-18." - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pl-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pl-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "PL-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pl-1_prm_2 }} planning policy that:", - "parts": [ - { - "id": "pl-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the planning policy and the associated planning controls;" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pl-1_prm_3 }} to manage the development, documentation, and dissemination of the planning policy and procedures; and" - }, - { - "id": "pl-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current planning:", - "parts": [ - { - "id": "pl-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pl-1_prm_4 }}; and" - }, - { - "id": "pl-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pl-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security and Privacy Plans", - "params": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined individuals or groups" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "PL-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-14", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy plans for the system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly define the constituent system components;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describe the operational context of the system in terms of missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provide the security categorization of the system, including supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describe any specific threats to the system that are of concern to the organization;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provide the results of a privacy risk assessment for systems processing personally identifiable information;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "props": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Describe the operational environment for the system and any dependencies on or connections to other systems or system components;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "props": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Provide an overview of the security and privacy requirements for the system;" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "props": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Identify any relevant control baselines or overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.10", - "name": "item", - "props": [ - { - "name": "label", - "value": "10." - } - ], - "prose": "Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;" - }, - { - "id": "pl-2_smt.a.11", - "name": "item", - "props": [ - { - "name": "label", - "value": "11." - } - ], - "prose": "Include risk determinations for security and privacy architecture and design decisions;" - }, - { - "id": "pl-2_smt.a.12", - "name": "item", - "props": [ - { - "name": "label", - "value": "12." - } - ], - "prose": "Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-2_prm_1 }}; and" - }, - { - "id": "pl-2_smt.a.13", - "name": "item", - "props": [ - { - "name": "label", - "value": "13." - } - ], - "prose": "Are reviewed and approved by the authorizing official or designated representative prior to plan implementation." - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review the plans {{ insert: param, pl-2_prm_3 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protect the plans from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "System security and privacy plans contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle, for example, during capability determination, analysis of alternatives, requests for proposal, and design reviews. Section 2.1 describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls. Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements, but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment statements explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented. Organizations can also apply the tailoring guidance to the control baselines in [SP 800-53B] to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation. Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps to reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but instead can provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans. Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include: assessments, audits, and inspections; hardware and software maintenance; patch management; and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included other documents, as appropriate." - } - ], - "controls": [ - { - "id": "pl-2.1", - "class": "SP800-53-enhancement", - "title": "Concept of Operations", - "props": [ - { - "name": "label", - "value": "PL-2(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(01)" - } - ], - "links": [ - { - "href": "#pl-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.2", - "class": "SP800-53-enhancement", - "title": "Functional Architecture", - "props": [ - { - "name": "label", - "value": "PL-2(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(02)" - } - ], - "links": [ - { - "href": "#pl-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan and Coordinate with Other Organizational Entities", - "props": [ - { - "name": "label", - "value": "PL-2(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-02(03)" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "pl-3", - "class": "SP800-53", - "title": "System Security Plan Update", - "props": [ - { - "name": "label", - "value": "PL-3" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-03" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "params": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pl-4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, pl-4_prm_3 }} ", - "when the rules are revised or updated" - ] - } - }, - { - "id": "pl-4_prm_3", - "depends-on": "pl-4_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "PL-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-9", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the rules of behavior {{ insert: param, pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-4_prm_2 }}." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6). Organizations consider rules of behavior based on individual user roles and responsibilities, and differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who simply receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8. The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the awareness training and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures; and electronic agreement check boxes or radio buttons." - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and External Site/application Usage Restrictions", - "props": [ - { - "name": "label", - "value": "PL-4(1)" - }, - { - "name": "sort-id", - "value": "PL-04(01)" - } - ], - "links": [ - { - "href": "#ac-22", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "Include in the rules of behavior, restrictions on:", - "parts": [ - { - "id": "pl-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Use of social media, social networking sites, and external sites/applications;" - }, - { - "id": "pl-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Posting organizational information on public websites; and" - }, - { - "id": "pl-4.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use of organization-provided credentials (i.e., email addresses) for creating accounts on external sites/applications." - } - ] - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of these sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Non-public information includes, for example, personally identifiable information and system account information." - } - ] - } - ] - }, - { - "id": "pl-5", - "class": "SP800-53", - "title": "Privacy Impact Assessment", - "props": [ - { - "name": "label", - "value": "PL-5" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-05" - } - ], - "links": [ - { - "href": "#ra-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-6", - "class": "SP800-53", - "title": "Security-related Activity Planning", - "props": [ - { - "name": "label", - "value": "PL-6" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PL-06" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "pl-7", - "class": "SP800-53", - "title": "Concept of Operations", - "params": [ - { - "id": "pl-7_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-7" - }, - { - "name": "sort-id", - "value": "PL-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-7_smt", - "name": "statement", - "parts": [ - { - "id": "pl-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and" - }, - { - "id": "pl-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the CONOPS {{ insert: param, pl-7_prm_1 }}." - } - ] - }, - { - "id": "pl-7_gdn", - "name": "guidance", - "prose": "The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other appropriate organizational documents, for example, procurement specifications, system development life cycle documents, and systems engineering documents." - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Security and Privacy Architectures", - "params": [ - { - "id": "pl-8_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8" - }, - { - "name": "sort-id", - "value": "PL-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pl-9", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop security and privacy architectures for the system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describe how the architectures are integrated into and support the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Describe any assumptions about, and dependencies on, external systems and services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the architectures {{ insert: param, pl-8_prm_1 }} to reflect changes in the enterprise architecture; and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reflect planned architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), organizational procedures, and procurements and acquisitions." - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "The system-level security and privacy architectures are consistent with organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, for example, user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; restoration priorities of information and system services; and other protection needs. [SP 800-160 v1] provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03] requires the use of the systems security engineering concepts described in [SP 800-160 v1] for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle from analysis of alternatives through review of the proposed architecture in the RFP responses, to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews). In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that controls needed to support security and privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations to ensure that architectures are developed for the system, and moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, SA-17 is primarily directed at the external information technology product and system developers and integrators. SA-17, which is complementary to PL-8, is selected when organizations outsource the development of systems or components to external entities, and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures." - } - ], - "controls": [ - { - "id": "pl-8.1", - "class": "SP800-53-enhancement", - "title": "Defense-in-depth", - "params": [ - { - "id": "pl-8.1_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pl-8.1_prm_2", - "label": "organization-defined locations and architectural layers" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8(1)" - }, - { - "name": "sort-id", - "value": "PL-08(01)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.1_smt", - "name": "statement", - "prose": "Design the security and privacy architectures for the system using a defense-in-depth approach that:", - "parts": [ - { - "id": "pl-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Allocates {{ insert: param, pl-8.1_prm_1 }} to {{ insert: param, pl-8.1_prm_2 }}; and" - }, - { - "id": "pl-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner." - } - ] - }, - { - "id": "pl-8.1_gdn", - "name": "guidance", - "prose": "Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; and increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity requiring thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see SA-8(3)); separation of system and user functionality (see SC-2); and security function isolation (see SC-3)." - } - ] - }, - { - "id": "pl-8.2", - "class": "SP800-53-enhancement", - "title": "Supplier Diversity", - "params": [ - { - "id": "pl-8.2_prm_1", - "label": "organization-defined controls" - }, - { - "id": "pl-8.2_prm_2", - "label": "organization-defined locations and architectural layers" - } - ], - "props": [ - { - "name": "label", - "value": "PL-8(2)" - }, - { - "name": "sort-id", - "value": "PL-08(02)" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-8.2_smt", - "name": "statement", - "prose": "Require that {{ insert: param, pl-8.2_prm_1 }} allocated to {{ insert: param, pl-8.2_prm_2 }} are obtained from different suppliers." - }, - { - "id": "pl-8.2_gdn", - "name": "guidance", - "prose": "Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried." - } - ] - } - ] - }, - { - "id": "pl-9", - "class": "SP800-53", - "title": "Central Management", - "params": [ - { - "id": "pl-9_prm_1", - "label": "organization-defined controls and related processes" - } - ], - "props": [ - { - "name": "label", - "value": "PL-9" - }, - { - "name": "sort-id", - "value": "PL-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-9_smt", - "name": "statement", - "prose": "Centrally manage {{ insert: param, pl-9_prm_1 }}." - }, - { - "id": "pl-9_gdn", - "name": "guidance", - "prose": "Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. As part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-17(1), AC-17(2), AC-17(3), AC-17(9), AC-18(1), AC-18(3), AC-18(4), AC-18(5), AC-19(4), AC-22, AC-23, AT-2(1), AT-2(2), AT-3(1), AT-3(2), AT-3(3), AT-4, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-6(9), AU-7(1), AU-7(2), AU-11, AU-13, AU-16, CA-2(1), CA-2(2), CA-2(3), CA-3(1), CA-3(2), CA-3(3), CA-7(1), CA-9, CM-2(2), CM-3(1), CM-3(4), CM-4, CM-6(1), CM-7(4), CM-7(5), CM-8(all), CM-9(1), CM-10, CM-11, CP-7(all), CP-8(all), SC-43, SI-2, SI-3, SI-7, SI-8." - } - ] - }, - { - "id": "pl-10", - "class": "SP800-53", - "title": "Baseline Selection", - "props": [ - { - "name": "label", - "value": "PL-10" - }, - { - "name": "sort-id", - "value": "PL-10" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#31f3c9de-c57c-4281-929b-f9951f9640f1", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ee96f130-3f91-46ed-a4d8-57e5f220a623", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-10_smt", - "name": "statement", - "prose": "Select a control baseline for the system." - }, - { - "id": "pl-10_gdn", - "name": "guidance", - "prose": "Control baselines are pre-defined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines either to satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, or guidelines; or to address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems, with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see PL-11). Federal control baselines are provided in [SP 800-53B]. The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements and as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B] are based on the requirements from [FISMA] and [PRIVACT]. The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations or the Nation; and considering the results from system and organizational risk assessments." - } - ] - }, - { - "id": "pl-11", - "class": "SP800-53", - "title": "Baseline Tailoring", - "props": [ - { - "name": "label", - "value": "PL-11" - }, - { - "name": "sort-id", - "value": "PL-11" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#31f3c9de-c57c-4281-929b-f9951f9640f1", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ee96f130-3f91-46ed-a4d8-57e5f220a623", - "rel": "reference" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pl-11_smt", - "name": "statement", - "prose": "Tailor the selected control baseline by applying specified tailoring actions." - }, - { - "id": "pl-11_gdn", - "name": "guidance", - "prose": "The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B]. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in [SP 800-53B] can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B] in accordance with the security and privacy requirements from [FISMA] and [PRIVACT]. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B] to specialize or customize the controls that represent the specific needs and concerns of those entities." - } - ] - } - ] - }, - { - "id": "pm", - "class": "family", - "title": "Program Management", - "controls": [ - { - "id": "pm-1", - "class": "SP800-53", - "title": "Information Security Program Plan", - "params": [ - { - "id": "pm-1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-1" - }, - { - "name": "sort-id", - "value": "PM-01" - } - ], - "links": [ - { - "href": "#14958422-54f6-471f-a345-802dca594dd8", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-1_smt", - "name": "statement", - "parts": [ - { - "id": "pm-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide information security program plan that:", - "parts": [ - { - "id": "pm-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;" - }, - { - "id": "pm-1_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Reflects the coordination among organizational entities responsible for information security; and" - }, - { - "id": "pm-1_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;" - } - ] - }, - { - "id": "pm-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the organization-wide information security program plan {{ insert: param, pm-1_prm_1 }};" - }, - { - "id": "pm-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Update the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and" - }, - { - "id": "pm-1_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect the information security program plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pm-1_gdn", - "name": "guidance", - "prose": "An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. Information security program plans can be represented in single documents or compilations of documents. Information security program plans document the program management and common controls. The plans provide sufficient information about the controls (including specification of parameters for assignment and selection statements explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. Program management controls are generally implemented at the organization level and are essential for managing the organization’s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The individual system security plans and the organization-wide information security program plan together, provide complete coverage for the security controls employed within the organization. Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls." - } - ] - }, - { - "id": "pm-2", - "class": "SP800-53", - "title": "Information Security Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-2" - }, - { - "name": "sort-id", - "value": "PM-02" - } - ], - "links": [ - { - "href": "#ed5c66ba-0ed8-4aef-abb7-dc9f529d9af3", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-2_smt", - "name": "statement", - "prose": "Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program." - }, - { - "id": "pm-2_gdn", - "name": "guidance", - "prose": "The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer." - } - ] - }, - { - "id": "pm-3", - "class": "SP800-53", - "title": "Information Security and Privacy Resources", - "props": [ - { - "name": "label", - "value": "PM-3" - }, - { - "name": "sort-id", - "value": "PM-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-3_smt", - "name": "statement", - "parts": [ - { - "id": "pm-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;" - }, - { - "id": "pm-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and" - }, - { - "id": "pm-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make available for expenditure, the planned information security and privacy resources." - } - ] - }, - { - "id": "pm-3_gdn", - "name": "guidance", - "prose": "Organizations consider establishing champions for information security and privacy and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process." - } - ] - }, - { - "id": "pm-4", - "class": "SP800-53", - "title": "Plan of Action and Milestones Process", - "props": [ - { - "name": "label", - "value": "PM-4" - }, - { - "name": "sort-id", - "value": "PM-04" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-4_smt", - "name": "statement", - "parts": [ - { - "id": "pm-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process to ensure that plans of action and milestones for the information security and privacy programs and associated organizational systems:", - "parts": [ - { - "id": "pm-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are developed and maintained;" - }, - { - "id": "pm-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Document the remedial information security and privacy actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-4_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Are reported in accordance with established reporting requirements." - } - ] - }, - { - "id": "pm-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-4_gdn", - "name": "guidance", - "prose": "The plan of action and milestones is a key document in the information security and privacy programs of organizations and is subject to reporting requirements established by the Office of Management and Budget. Organizations view plans of action and milestones from an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple levels of plan of action and milestones documents corresponding to the information system level, mission/business process level, and organizational/governance level. While the plan of action and milestones is required for federal organizations, any type of organization can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones for organizational systems in described in CA-5." - } - ] - }, - { - "id": "pm-5", - "class": "SP800-53", - "title": "System Inventory", - "params": [ - { - "id": "pm-5_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-5" - }, - { - "name": "sort-id", - "value": "PM-05" - } - ], - "links": [ - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pm-5_smt", - "name": "statement", - "prose": "Develop and update {{ insert: param, pm-5_prm_1 }} an inventory of organizational systems." - }, - { - "id": "pm-5_gdn", - "name": "guidance", - "prose": "[OMB A-130] provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8." - } - ], - "controls": [ - { - "id": "pm-5.1", - "class": "SP800-53-enhancement", - "title": "Inventory of Personally Identifiable Information", - "params": [ - { - "id": "pm-5.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-5(1)" - }, - { - "name": "sort-id", - "value": "PM-05(01)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-5.1_smt", - "name": "statement", - "prose": "Establish, maintain, and update {{ insert: param, pm-5.1_prm_1 }} an inventory of all systems, applications, and projects that process personally identifiable information." - }, - { - "id": "pm-5.1_gdn", - "name": "guidance", - "prose": "An inventory of systems, applications, and projects that process personally identifiable information supports mapping of data actions, providing individuals with privacy notices, maintaining accurate personally identifiable information, and limiting the processing of personally identifiable information when such information is not needed for operational purposes. Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein." - } - ] - } - ] - }, - { - "id": "pm-6", - "class": "SP800-53", - "title": "Measures of Performance", - "props": [ - { - "name": "label", - "value": "PM-6" - }, - { - "name": "sort-id", - "value": "PM-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8ba0d54e-fa16-4f5d-baa1-763ec3e33e26", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-6_smt", - "name": "statement", - "prose": "Develop, monitor, and report on the results of information security and privacy measures of performance." - }, - { - "id": "pm-6_gdn", - "name": "guidance", - "prose": "Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program." - } - ] - }, - { - "id": "pm-7", - "class": "SP800-53", - "title": "Enterprise Architecture", - "props": [ - { - "name": "label", - "value": "PM-7" - }, - { - "name": "sort-id", - "value": "PM-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7_smt", - "name": "statement", - "prose": "Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation." - }, - { - "id": "pm-7_gdn", - "name": "guidance", - "prose": "The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture, the organization’s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8, the security and privacy architectures are developed at a level representing an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37] and supporting security standards and guidelines." - } - ], - "controls": [ - { - "id": "pm-7.1", - "class": "SP800-53-enhancement", - "title": "Offloading", - "params": [ - { - "id": "pm-7.1_prm_1", - "label": "organization-defined non-essential functions or services" - } - ], - "props": [ - { - "name": "label", - "value": "PM-7(1)" - }, - { - "name": "sort-id", - "value": "PM-07(01)" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-7.1_smt", - "name": "statement", - "prose": "Offload {{ insert: param, pm-7.1_prm_1 }} to other systems, system components, or an external provider." - }, - { - "id": "pm-7.1_gdn", - "name": "guidance", - "prose": "Not every function or service a system provides is essential to an organization’s missions or business operations. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services supporting essential missions or business operations. Maintaining such functions on the same system or system component increases the attack surface of the organization’s mission essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services." - } - ] - } - ] - }, - { - "id": "pm-8", - "class": "SP800-53", - "title": "Critical Infrastructure Plan", - "props": [ - { - "name": "label", - "value": "PM-8" - }, - { - "name": "sort-id", - "value": "PM-08" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#cde25174-38e0-4a00-8919-8ee3674b8088", - "rel": "reference" - }, - { - "href": "#24b7b1ec-6430-41de-9353-29fdb1b488fc", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-8_smt", - "name": "statement", - "prose": "Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan." - }, - { - "id": "pm-8_gdn", - "name": "guidance", - "prose": "Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "pm-9", - "class": "SP800-53", - "title": "Risk Management Strategy", - "params": [ - { - "id": "pm-9_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-9" - }, - { - "name": "sort-id", - "value": "PM-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-9_smt", - "name": "statement", - "parts": [ - { - "id": "pm-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a comprehensive strategy to manage:", - "parts": [ - { - "id": "pm-9_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and" - }, - { - "id": "pm-9_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Privacy risk to individuals resulting from the authorized processing of personally identifiable information;" - } - ] - }, - { - "id": "pm-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the risk management strategy consistently across the organization; and" - }, - { - "id": "pm-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the risk management strategy {{ insert: param, pm-9_prm_1 }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-9_gdn", - "name": "guidance", - "prose": "An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization; security and privacy risk mitigation strategies; acceptable risk assessment methodologies; a process for evaluating security and privacy risk across the organization with respect to the organization’s risk tolerance; and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure the strategy is broad-based and comprehensive." - } - ] - }, - { - "id": "pm-10", - "class": "SP800-53", - "title": "Authorization Process", - "props": [ - { - "name": "label", - "value": "PM-10" - }, - { - "name": "sort-id", - "value": "PM-10" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-10_smt", - "name": "statement", - "parts": [ - { - "id": "pm-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;" - }, - { - "id": "pm-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and" - }, - { - "id": "pm-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Integrate the authorization processes into an organization-wide risk management program." - } - ] - }, - { - "id": "pm-10_gdn", - "name": "guidance", - "prose": "Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation." - } - ] - }, - { - "id": "pm-11", - "class": "SP800-53", - "title": "Mission and Business Process Definition", - "params": [ - { - "id": "pm-11_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-11" - }, - { - "name": "sort-id", - "value": "PM-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-11_smt", - "name": "statement", - "parts": [ - { - "id": "pm-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and" - }, - { - "id": "pm-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and" - }, - { - "id": "pm-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and revise the mission and business processes {{ insert: param, pm-11_prm_1 }}." - } - ] - }, - { - "id": "pm-11_gdn", - "name": "guidance", - "prose": "Protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent in defining protection and personally identifiable information processing needs, is an understanding of adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures." - } - ] - }, - { - "id": "pm-12", - "class": "SP800-53", - "title": "Insider Threat Program", - "props": [ - { - "name": "label", - "value": "PM-12" - }, - { - "name": "sort-id", - "value": "PM-12" - } - ], - "links": [ - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#286d42a1-efbe-49a2-9ce1-4c9bf68feb3b", - "rel": "reference" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-16", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-12_smt", - "name": "statement", - "prose": "Implement an insider threat program that includes a cross-discipline insider threat incident handling team." - }, - { - "id": "pm-12_gdn", - "name": "guidance", - "prose": "Organizations handling classified information are required, under Executive Order 13587 [EO 13587] and the National Insider Threat Policy [ODNI NITP], to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans; conduct host-based user monitoring of individual employee activities on government-owned classified computers; provide insider threat awareness training to employees; receive access to information from offices in the department or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "pm-13", - "class": "SP800-53", - "title": "Security and Privacy Workforce", - "props": [ - { - "name": "label", - "value": "PM-13" - }, - { - "name": "sort-id", - "value": "PM-13" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#f4c3f657-de83-47ae-9aec-e144de8268d1", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-13_smt", - "name": "statement", - "prose": "Establish a security and privacy workforce development and improvement program." - }, - { - "id": "pm-13_gdn", - "name": "guidance", - "prose": "Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals." - } - ] - }, - { - "id": "pm-14", - "class": "SP800-53", - "title": "Testing, Training, and Monitoring", - "props": [ - { - "name": "label", - "value": "PM-14" - }, - { - "name": "sort-id", - "value": "PM-14" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-14_smt", - "name": "statement", - "parts": [ - { - "id": "pm-14_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:", - "parts": [ - { - "id": "pm-14_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Are developed and maintained; and" - }, - { - "id": "pm-14_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Continue to be executed; and" - } - ] - }, - { - "id": "pm-14_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions." - } - ] - }, - { - "id": "pm-14_gdn", - "name": "guidance", - "prose": "This control ensures that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments." - } - ] - }, - { - "id": "pm-15", - "class": "SP800-53", - "title": "Security and Privacy Groups and Associations", - "props": [ - { - "name": "label", - "value": "PM-15" - }, - { - "name": "sort-id", - "value": "PM-15" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-15_smt", - "name": "statement", - "prose": "Establish and institutionalize contact with selected groups and associations within the security and privacy communities:", - "parts": [ - { - "id": "pm-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "To facilitate ongoing security and privacy education and training for organizational personnel;" - }, - { - "id": "pm-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "To maintain currency with recommended security and privacy practices, techniques, and technologies; and" - }, - { - "id": "pm-15_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "To share current security and privacy information, including threats, vulnerabilities, and incidents." - } - ] - }, - { - "id": "pm-15_gdn", - "name": "guidance", - "prose": "Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users’ groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on missions and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines." - } - ] - }, - { - "id": "pm-16", - "class": "SP800-53", - "title": "Threat Awareness Program", - "props": [ - { - "name": "label", - "value": "PM-16" - }, - { - "name": "sort-id", - "value": "PM-16" - } - ], - "links": [ - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-16_smt", - "name": "statement", - "prose": "Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence." - }, - { - "id": "pm-16_gdn", - "name": "guidance", - "prose": "Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced; mitigations that organizations have found are effective against certain types of threats; and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared." - } - ], - "controls": [ - { - "id": "pm-16.1", - "class": "SP800-53-enhancement", - "title": "Automated Means for Sharing Threat Intelligence", - "props": [ - { - "name": "label", - "value": "PM-16(1)" - }, - { - "name": "sort-id", - "value": "PM-16(01)" - } - ], - "parts": [ - { - "id": "pm-16.1_smt", - "name": "statement", - "prose": "Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information." - }, - { - "id": "pm-16.1_gdn", - "name": "guidance", - "prose": "To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures." - } - ] - } - ] - }, - { - "id": "pm-17", - "class": "SP800-53", - "title": "Protecting Controlled Unclassified Information on External Systems", - "params": [ - { - "id": "pm-17_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-17" - }, - { - "name": "sort-id", - "value": "PM-17" - } - ], - "links": [ - { - "href": "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#dd87fdf0-840d-4392-9de4-220b2327e340", - "rel": "reference" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-17_smt", - "name": "statement", - "parts": [ - { - "id": "pm-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards." - }, - { - "id": "pm-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the policy and procedures {{ insert: param, pm-17_prm_1 }}." - } - ] - }, - { - "id": "pm-17_gdn", - "name": "guidance", - "prose": "Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002] and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes." - } - ] - }, - { - "id": "pm-18", - "class": "SP800-53", - "title": "Privacy Program Plan", - "props": [ - { - "name": "label", - "value": "PM-18" - }, - { - "name": "sort-id", - "value": "PM-18" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-18_smt", - "name": "statement", - "parts": [ - { - "id": "pm-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:", - "parts": [ - { - "id": "pm-18_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;" - }, - { - "id": "pm-18_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;" - }, - { - "id": "pm-18_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;" - }, - { - "id": "pm-18_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;" - }, - { - "id": "pm-18_smt.a.5", - "name": "item", - "props": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Reflects coordination among organizational entities responsible for the different aspects of privacy; and" - }, - { - "id": "pm-18_smt.a.6", - "name": "item", - "props": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and" - } - ] - }, - { - "id": "pm-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments." - } - ] - }, - { - "id": "pm-18_gdn", - "name": "guidance", - "prose": "A privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program; the resources dedicated to the privacy program; the role of the senior agency official for privacy and other privacy officials and staff; the strategic goals and objectives of the privacy program; and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents. The senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection statements explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended. Program management controls are generally implemented at the organization level and are essential for managing the organization’s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The privacy plans for individual systems and the organization-wide privacy program plan together, provide complete coverage for the privacy controls employed within the organization. Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls." - } - ] - }, - { - "id": "pm-19", - "class": "SP800-53", - "title": "Privacy Program Leadership Role", - "props": [ - { - "name": "label", - "value": "PM-19" - }, - { - "name": "sort-id", - "value": "PM-19" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-19_smt", - "name": "statement", - "prose": "Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program." - }, - { - "id": "pm-19_gdn", - "name": "guidance", - "prose": "The privacy officer is an organizational official. For federal agencies, as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has a role in the data management board (see PM-23) and the data integrity board (see PM-24)." - } - ] - }, - { - "id": "pm-20", - "class": "SP800-53", - "title": "Dissemination of Privacy Program Information", - "props": [ - { - "name": "label", - "value": "PM-20" - }, - { - "name": "sort-id", - "value": "PM-20" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#f7d3617a-9a4f-4f1a-a688-845081b70390", - "rel": "reference" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-20_smt", - "name": "statement", - "prose": "Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that:", - "parts": [ - { - "id": "pm-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;" - }, - { - "id": "pm-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that organizational privacy practices and reports are publicly available; and" - }, - { - "id": "pm-20_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices." - } - ] - }, - { - "id": "pm-20_gdn", - "name": "guidance", - "prose": "Organizations maintain a central resource webpage on their principal public website for their privacy program. For federal agencies, this page is located at www.[agency].gov/privacy. Organizations should use the webpage to inform the public about privacy policies and practices, including privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT] exemption and implementation rules, instructions for individuals making an access or amendment request, privacy reports, privacy policies, email addresses for questions/complaints, blogs, and periodic publications." - } - ] - }, - { - "id": "pm-21", - "class": "SP800-53", - "title": "Accounting of Disclosures", - "props": [ - { - "name": "label", - "value": "PM-21" - }, - { - "name": "sort-id", - "value": "PM-21" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-21_smt", - "name": "statement", - "parts": [ - { - "id": "pm-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:", - "parts": [ - { - "id": "pm-21_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Date, nature, and purpose of each disclosure; and" - }, - { - "id": "pm-21_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Name and address, or other contact information of the person or organization to which the disclosure was made;" - } - ] - }, - { - "id": "pm-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and" - }, - { - "id": "pm-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request." - } - ] - }, - { - "id": "pm-21_gdn", - "name": "guidance", - "prose": "The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed; to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions." - } - ] - }, - { - "id": "pm-22", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Management", - "props": [ - { - "name": "label", - "value": "PM-22" - }, - { - "name": "sort-id", - "value": "PM-22" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-22_smt", - "name": "statement", - "prose": "Develop and document policies and procedures for:", - "parts": [ - { - "id": "pm-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;" - }, - { - "id": "pm-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correcting or deleting inaccurate or outdated personally identifiable information;" - }, - { - "id": "pm-22_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and" - }, - { - "id": "pm-22_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Appeals of adverse decisions on correction or deletion requests." - } - ] - }, - { - "id": "pm-22_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality management include steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information. The senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations. Organizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to complexity of data flows and storage, other entities may need to be informed of correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem." - } - ] - }, - { - "id": "pm-23", - "class": "SP800-53", - "title": "Data Governance Body", - "params": [ - { - "id": "pm-23_prm_1", - "label": "organization-defined roles" - }, - { - "id": "pm-23_prm_2", - "label": "organization-defined responsibilities" - } - ], - "props": [ - { - "name": "label", - "value": "PM-23" - }, - { - "name": "sort-id", - "value": "PM-23" - } - ], - "links": [ - { - "href": "#43facb7b-0afb-480f-8191-34790d5b444b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#d843e915-eeb6-4bbe-8cab-ccc802088703", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-23_smt", - "name": "statement", - "prose": "Establish a Data Governance Body consisting of {{ insert: param, pm-23_prm_1 }} with {{ insert: param, pm-23_prm_2 }}." - }, - { - "id": "pm-23_gdn", - "name": "guidance", - "prose": "A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines supporting data modeling, quality, integrity, and de-identification needs of personally identifiable information across the information life cycle and reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT] and policies set forth under [OMB M-19-23]." - } - ] - }, - { - "id": "pm-24", - "class": "SP800-53", - "title": "Data Integrity Board", - "props": [ - { - "name": "label", - "value": "PM-24" - }, - { - "name": "sort-id", - "value": "PM-24" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-24_smt", - "name": "statement", - "prose": "Establish a Data Integrity Board to:", - "parts": [ - { - "id": "pm-24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review proposals to conduct or participate in a matching program; and" - }, - { - "id": "pm-24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conduct an annual review of all matching programs in which the agency has participated." - } - ] - }, - { - "id": "pm-24_gdn", - "name": "guidance", - "prose": "A Data Integrity Board is the board of senior officials designated by the head of a federal agency that is responsible for, among other things, reviewing the agency’s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy." - } - ] - }, - { - "id": "pm-25", - "class": "SP800-53", - "title": "Minimization of Pii Used in Testing, Training, and Research", - "params": [ - { - "id": "pm-25_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-25" - }, - { - "name": "sort-id", - "value": "PM-25" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-25_smt", - "name": "statement", - "parts": [ - { - "id": "pm-25_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;" - }, - { - "id": "pm-25_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;" - }, - { - "id": "pm-25_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and" - }, - { - "id": "pm-25_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review and update policies and procedures {{ insert: param, pm-25_prm_1 }}." - } - ] - }, - { - "id": "pm-25_gdn", - "name": "guidance", - "prose": "The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research. The use of live data for testing, training, and research is also addressed in SA-3(2)." - } - ] - }, - { - "id": "pm-26", - "class": "SP800-53", - "title": "Complaint Management", - "params": [ - { - "id": "pm-26_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "pm-26_prm_2", - "label": "organization-defined time-period" - }, - { - "id": "pm-26_prm_3", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PM-26" - }, - { - "name": "sort-id", - "value": "PM-26" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-26_smt", - "name": "statement", - "prose": "Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:", - "parts": [ - { - "id": "pm-26_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Mechanisms that are easy to use and readily accessible by the public;" - }, - { - "id": "pm-26_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "All information necessary for successfully filing complaints;" - }, - { - "id": "pm-26_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Tracking mechanisms to ensure all complaints received are reviewed and addressed within {{ insert: param, pm-26_prm_1 }};" - }, - { - "id": "pm-26_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Acknowledgement of receipt of complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_2 }}; and" - }, - { - "id": "pm-26_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response to complaints, concerns, or questions from individuals within {{ insert: param, pm-26_prm_3 }}." - } - ] - }, - { - "id": "pm-26_gdn", - "name": "guidance", - "prose": "Complaints, concerns, and questions from individuals can serve as a valuable source of input to organizations that ultimately improves operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information." - } - ] - }, - { - "id": "pm-27", - "class": "SP800-53", - "title": "Privacy Reporting", - "params": [ - { - "id": "pm-27_prm_1", - "label": "organization-defined privacy reports" - }, - { - "id": "pm-27_prm_2", - "label": "organization-defined officials" - }, - { - "id": "pm-27_prm_3", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-27" - }, - { - "name": "sort-id", - "value": "PM-27" - } - ], - "links": [ - { - "href": "#14958422-54f6-471f-a345-802dca594dd8", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-27_smt", - "name": "statement", - "parts": [ - { - "id": "pm-27_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop {{ insert: param, pm-27_prm_1 }} and disseminate to:", - "parts": [ - { - "id": "pm-27_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "OMB, Congress, and other oversight bodies to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and" - }, - { - "id": "pm-27_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, pm-27_prm_2 }} and other personnel with responsibility for monitoring privacy program compliance; and" - } - ] - }, - { - "id": "pm-27_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update privacy reports {{ insert: param, pm-27_prm_3 }}." - } - ] - }, - { - "id": "pm-27_gdn", - "name": "guidance", - "prose": "Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. Privacy reports include annual senior agency official for privacy reports to OMB; reports to Congress required by Implementing Regulations of the 9/11 Commission Act; and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements." - } - ] - }, - { - "id": "pm-28", - "class": "SP800-53", - "title": "Risk Framing", - "params": [ - { - "id": "pm-28_prm_1", - "label": "organization-defined personnel" - }, - { - "id": "pm-28_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-28" - }, - { - "name": "sort-id", - "value": "PM-28" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-28_smt", - "name": "statement", - "parts": [ - { - "id": "pm-28_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document:", - "parts": [ - { - "id": "pm-28_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Assumptions affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Constraints affecting risk assessments, risk responses, and risk monitoring;" - }, - { - "id": "pm-28_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Priorities and trade-offs considered by the organization for managing risk; and" - }, - { - "id": "pm-28_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Organizational risk tolerance; and" - } - ] - }, - { - "id": "pm-28_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the results of risk framing activities to {{ insert: param, pm-28_prm_1 }};" - }, - { - "id": "pm-28_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update risk framing considerations {{ insert: param, pm-28_prm_2 }}." - } - ] - }, - { - "id": "pm-28_gdn", - "name": "guidance", - "prose": "Risk framing is most effective when conducted at the organization level. The assumptions, constraints, risk tolerance, priorities, and tradeoffs identified as part of the risk framing process, inform the risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel including mission/business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management." - } - ] - }, - { - "id": "pm-29", - "class": "SP800-53", - "title": "Risk Management Program Leadership Roles", - "props": [ - { - "name": "label", - "value": "PM-29" - }, - { - "name": "sort-id", - "value": "PM-29" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#pm-2", - "rel": "related" - }, - { - "href": "#pm-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-29_smt", - "name": "statement", - "parts": [ - { - "id": "pm-29_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and" - }, - { - "id": "pm-29_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization." - } - ] - }, - { - "id": "pm-29_gdn", - "name": "guidance", - "prose": "The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities." - } - ] - }, - { - "id": "pm-30", - "class": "SP800-53", - "title": "Supply Chain Risk Management Strategy", - "params": [ - { - "id": "pm-30_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-30" - }, - { - "name": "sort-id", - "value": "PM-30" - } - ], - "links": [ - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - }, - { - "href": "#sr-8", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-30_smt", - "name": "statement", - "parts": [ - { - "id": "pm-30_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;" - }, - { - "id": "pm-30_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management strategy consistently across the organization; and" - }, - { - "id": "pm-30_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management strategy on {{ insert: param, pm-30_prm_1 }} or as required, to address organizational changes." - } - ] - }, - { - "id": "pm-30_gdn", - "name": "guidance", - "prose": "An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of both security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization’s overarching risk management strategy and can guide and inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organizational level, whereas the supply chain risk management plan (see SR-2) is applied at the system-level." - } - ] - }, - { - "id": "pm-31", - "class": "SP800-53", - "title": "Continuous Monitoring Strategy", - "params": [ - { - "id": "pm-31_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "pm-31_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "pm-31_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "pm-31_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "pm-31_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PM-31" - }, - { - "name": "sort-id", - "value": "PM-31" - } - ], - "links": [ - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#at-4", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - }, - { - "href": "#pe-14", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pe-20", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-6", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-10", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-31_smt", - "name": "statement", - "prose": "Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:", - "parts": [ - { - "id": "pm-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishing the following organization-wide metrics to be monitored: {{ insert: param, pm-31_prm_1 }};" - }, - { - "id": "pm-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing {{ insert: param, pm-31_prm_2 }} for monitoring and {{ insert: param, pm-31_prm_3 }} for assessment of control effectiveness;" - }, - { - "id": "pm-31_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;" - }, - { - "id": "pm-31_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Correlation and analysis of information generated by control assessments and monitoring;" - }, - { - "id": "pm-31_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Response actions to address results of the analysis of control assessment and monitoring information; and" - }, - { - "id": "pm-31_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Reporting the security and privacy status of organizational systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param, pm-31_prm_5 }}." - } - ] - }, - { - "id": "pm-31_gdn", - "name": "guidance", - "prose": "Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective and timely risk management decisions, including ongoing authorization decisions. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CA-7, CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PS-7e, SA-9c, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4." - } - ] - }, - { - "id": "pm-32", - "class": "SP800-53", - "title": "Purposing", - "params": [ - { - "id": "pm-32_prm_1", - "label": "organization-defined systems or systems components" - } - ], - "props": [ - { - "name": "label", - "value": "PM-32" - }, - { - "name": "sort-id", - "value": "PM-32" - } - ], - "links": [ - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-32_smt", - "name": "statement", - "prose": "Analyze {{ insert: param, pm-32_prm_1 }} supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose." - }, - { - "id": "pm-32_gdn", - "name": "guidance", - "prose": "Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are in turn more vulnerable to compromise, and can ultimately impact the services and functions for which they were intended. This is especially impactful for mission essential services and functions. By analyzing resource use, organizations can identify such potential exposures." - } - ] - }, - { - "id": "pm-33", - "class": "SP800-53", - "title": "Privacy Policies on Websites, Applications, and Digital Services", - "props": [ - { - "name": "label", - "value": "PM-33" - }, - { - "name": "sort-id", - "value": "PM-33" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-19", - "rel": "related" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "pm-33_smt", - "name": "statement", - "prose": "Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:", - "parts": [ - { - "id": "pm-33_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Are written in plain language and organized in a way that is easy to understand and navigate;" - }, - { - "id": "pm-33_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide useful information that the public would need to make an informed decision about whether and how to interact with the organization; and" - }, - { - "id": "pm-33_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes." - } - ] - }, - { - "id": "pm-33_gdn", - "name": "guidance", - "prose": "Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations should post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations should provide a link to the privacy policy on any webpage that collects personally identifiable information." - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ps-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ps-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "PS-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ps-1_prm_2 }} personnel security policy that:", - "parts": [ - { - "id": "ps-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ps-1_prm_3 }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and" - }, - { - "id": "ps-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personnel security:", - "parts": [ - { - "id": "ps-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ps-1_prm_4 }}; and" - }, - { - "id": "ps-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ps-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PS family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "params": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "PS-02" - } - ], - "links": [ - { - "href": "#2383ccfd-d8a0-4e3a-bf40-21288ae1e07a", - "rel": "reference" - }, - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assign a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establish screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update position risk designations {{ insert: param, ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service from misconduct of an incumbent of a position. This establishes the risk level of that position. This assessment also determines if a position’s duties and responsibilities present the potential for position incumbents to bring about a material adverse effect on the national security, and the degree of that potential effect, which establishes the sensitivity level of a position. The results of this assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions." - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "params": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "PS-03" - } - ], - "links": [ - { - "href": "#52a8b0c6-0c6b-424b-928d-41c50ba87838", - "rel": "reference" - }, - { - "href": "#2b5e12fb-633f-49e6-8aff-81d75bf53545", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "rel": "reference" - }, - { - "href": "#013e098f-0680-4856-a130-b768c69dab9c", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screen individuals prior to authorizing access to the system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreen individuals in accordance with {{ insert: param, ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems." - } - ], - "controls": [ - { - "id": "ps-3.1", - "class": "SP800-53-enhancement", - "title": "Classified Information", - "props": [ - { - "name": "label", - "value": "PS-3(1)" - }, - { - "name": "sort-id", - "value": "PS-03(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.1_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system." - }, - { - "id": "ps-3.1_gdn", - "name": "guidance", - "prose": "Classified information is the most sensitive information the federal government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see AC-3) and flow controls (see AC-4)." - } - ] - }, - { - "id": "ps-3.2", - "class": "SP800-53-enhancement", - "title": "Formal Indoctrination", - "props": [ - { - "name": "label", - "value": "PS-3(2)" - }, - { - "name": "sort-id", - "value": "PS-03(02)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-3.2_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system." - }, - { - "id": "ps-3.2_gdn", - "name": "guidance", - "prose": "Types of classified information requiring formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI)." - } - ] - }, - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information with Special Protective Measures", - "params": [ - { - "id": "ps-3.3_prm_1", - "label": "organization-defined additional personnel screening criteria" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3(3)" - }, - { - "name": "sort-id", - "value": "PS-03(03)" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ insert: param, ps-3.3_prm_1 }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information requiring special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements." - } - ] - }, - { - "id": "ps-3.4", - "class": "SP800-53-enhancement", - "title": "Citizenship Requirements", - "params": [ - { - "id": "ps-3.4_prm_1", - "label": "organization-defined information types" - }, - { - "id": "ps-3.4_prm_2", - "label": "organization-defined citizenship requirements" - } - ], - "props": [ - { - "name": "label", - "value": "PS-3(4)" - }, - { - "name": "sort-id", - "value": "PS-03(04)" - } - ], - "parts": [ - { - "id": "ps-3.4_smt", - "name": "statement", - "prose": "Verify that individuals accessing a system processing, storing, or transmitting {{ insert: param, ps-3.4_prm_1 }} meet {{ insert: param, ps-3.4_prm_2 }}." - }, - { - "id": "ps-3.4_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "params": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - } - ], - "props": [ - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "PS-04" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "Upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disable system access within {{ insert: param, ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminate or revoke any authenticators and credentials associated with the individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conduct exit interviews that include a discussion of {{ insert: param, ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieve all security-related organizational system-related property; and" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retain access to organizational information and systems formerly controlled by terminated individual." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals including in cases related to unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling system accounts of individuals that are being terminated prior to the individuals being notified." - } - ], - "controls": [ - { - "id": "ps-4.1", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-4(1)" - }, - { - "name": "sort-id", - "value": "PS-04(01)" - } - ], - "parts": [ - { - "id": "ps-4.1_smt", - "name": "statement", - "parts": [ - { - "id": "ps-4.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and" - }, - { - "id": "ps-4.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process." - } - ] - }, - { - "id": "ps-4.1_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - } - ] - }, - { - "id": "ps-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Notification", - "params": [ - { - "id": "ps-4.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4.2_prm_2", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PS-4(2)" - }, - { - "name": "sort-id", - "value": "PS-04(02)" - } - ], - "parts": [ - { - "id": "ps-4.2_smt", - "name": "statement", - "prose": "Notify {{ insert: param, ps-4.2_prm_1 }} of individual termination actions using {{ insert: param, ps-4.2_prm_2 }}." - }, - { - "id": "ps-4.2_gdn", - "name": "guidance", - "prose": "In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including telephonically, via electronic mail, via text message, or via websites." - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "params": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time-period following the formal transfer action" - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "PS-05" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiate {{ insert: param, ps-5_prm_1 }} within {{ insert: param, ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notify {{ insert: param, ps-5_prm_3 }} within {{ insert: param, ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts." - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "params": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "PS-06" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#pe-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and document access agreements for organizational systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review and update the access agreements {{ insert: param, ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that individuals requiring access to organizational information and systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy." - } - ], - "controls": [ - { - "id": "ps-6.1", - "class": "SP800-53-enhancement", - "title": "Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-6(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "PS-06(01)" - } - ], - "links": [ - { - "href": "#ps-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ps-6.2", - "class": "SP800-53-enhancement", - "title": "Classified Information Requiring Special Protection", - "props": [ - { - "name": "label", - "value": "PS-6(2)" - }, - { - "name": "sort-id", - "value": "PS-06(02)" - } - ], - "parts": [ - { - "id": "ps-6.2_smt", - "name": "statement", - "prose": "Verify that access to classified information requiring special protection is granted only to individuals who:", - "parts": [ - { - "id": "ps-6.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have a valid access authorization that is demonstrated by assigned official government duties;" - }, - { - "id": "ps-6.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy associated personnel security criteria; and" - }, - { - "id": "ps-6.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Have read, understood, and signed a nondisclosure agreement." - } - ] - }, - { - "id": "ps-6.2_gdn", - "name": "guidance", - "prose": "Classified information requiring special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "ps-6.3", - "class": "SP800-53-enhancement", - "title": "Post-employment Requirements", - "props": [ - { - "name": "label", - "value": "PS-6(3)" - }, - { - "name": "sort-id", - "value": "PS-06(03)" - } - ], - "links": [ - { - "href": "#ps-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-6.3_smt", - "name": "statement", - "parts": [ - { - "id": "ps-6.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and" - }, - { - "id": "ps-6.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information." - } - ] - }, - { - "id": "ps-6.3_gdn", - "name": "guidance", - "prose": "Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals." - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "External Personnel Security", - "params": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "PS-07" - } - ], - "links": [ - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-4", - "rel": "related" - }, - { - "href": "#ps-5", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish personnel security requirements, including security roles and responsibilities for external providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Require external providers to comply with personnel security policies and procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Require external providers to notify {{ insert: param, ps-7_prm_1 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitor provider compliance with personnel security requirements." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations providing system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and nature of credentials or privileges associated with individuals transferred or terminated." - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "params": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "PS-08" - } - ], - "links": [ - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notify {{ insert: param, ps-8_prm_1 }} within {{ insert: param, ps-8_prm_2 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions." - } - ] - } - ] - }, - { - "id": "pt", - "class": "family", - "title": "Personally Identifiable Information Processing and Transparency", - "controls": [ - { - "id": "pt-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "pt-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pt-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "pt-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "pt-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "pt-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-1" - }, - { - "name": "sort-id", - "value": "PT-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - } - ], - "parts": [ - { - "id": "pt-1_smt", - "name": "statement", - "parts": [ - { - "id": "pt-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, pt-1_prm_1 }}:", - "parts": [ - { - "id": "pt-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, pt-1_prm_2 }} personally identifiable information processing and transparency policy that:", - "parts": [ - { - "id": "pt-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "pt-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "pt-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;" - } - ] - }, - { - "id": "pt-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, pt-1_prm_3 }} to manage the development, documentation, and dissemination of the incident personally identifiable information processing and transparency policy and procedures; and" - }, - { - "id": "pt-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current personally identifiable information processing and transparency:", - "parts": [ - { - "id": "pt-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, pt-1_prm_4 }}; and" - }, - { - "id": "pt-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, pt-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "pt-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the PT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "pt-2", - "class": "SP800-53", - "title": "Authority to Process Personally Identifiable Information", - "params": [ - { - "id": "pt-2_prm_1", - "label": "organization-defined authority" - }, - { - "id": "pt-2_prm_2", - "label": "organization-defined processing" - }, - { - "id": "pt-2_prm_3", - "label": "organization-defined processing" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2" - }, - { - "name": "sort-id", - "value": "PT-02" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2_smt", - "name": "statement", - "parts": [ - { - "id": "pt-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine and document the {{ insert: param, pt-2_prm_1 }} that permits the {{ insert: param, pt-2_prm_2 }} of personally identifiable information; and" - }, - { - "id": "pt-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Restrict the {{ insert: param, pt-2_prm_3 }} of personally identifiable information to only that which is authorized." - } - ] - }, - { - "id": "pt-2_gdn", - "name": "guidance", - "prose": "Processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes, but is not limited to, creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining. Organizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization’s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organizations’ policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise from its processing. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks. Organizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT] statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and/or other documentation. Organizations take steps to ensure that personally identifiable information is processed only for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information." - } - ], - "controls": [ - { - "id": "pt-2.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-2.1_prm_1", - "label": "organization-defined permissible processing" - }, - { - "id": "pt-2.1_prm_2", - "label": "organization-defined elements of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2(1)" - }, - { - "name": "sort-id", - "value": "PT-02(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.1_smt", - "name": "statement", - "prose": "Attach data tags containing {{ insert: param, pt-2.1_prm_1 }} to {{ insert: param, pt-2.1_prm_2 }}." - }, - { - "id": "pt-2.1_gdn", - "name": "guidance", - "prose": "Data tags support tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools." - } - ] - }, - { - "id": "pt-2.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-2.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-2(2)" - }, - { - "name": "sort-id", - "value": "PT-02(02)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-2.2_smt", - "name": "statement", - "prose": "Manage enforcement of the authorized processing of personally identifiable information using {{ insert: param, pt-2.2_prm_1 }}." - }, - { - "id": "pt-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment verification that only authorized processing is occurring." - } - ] - } - ] - }, - { - "id": "pt-3", - "class": "SP800-53", - "title": "Personally Identifiable Information Processing Purposes", - "params": [ - { - "id": "pt-3_prm_1", - "label": "Assignment organization-defined purpose(s)" - }, - { - "id": "pt-3_prm_2", - "label": "organization-defined processing" - }, - { - "id": "pt-3_prm_3", - "label": "organization-defined mechanisms" - }, - { - "id": "pt-3_prm_4", - "label": "organization-defined requirements" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3" - }, - { - "name": "sort-id", - "value": "PT-03" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#pt-7", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3_smt", - "name": "statement", - "parts": [ - { - "id": "pt-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify and document the {{ insert: param, pt-3_prm_1 }} for processing personally identifiable information;" - }, - { - "id": "pt-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Describe the purpose(s) in the public privacy notices and policies of the organization;" - }, - { - "id": "pt-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Restrict the {{ insert: param, pt-3_prm_2 }} of personally identifiable information to only that which is compatible with the identified purpose(s); and" - }, - { - "id": "pt-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitor changes in processing personally identifiable information and implement {{ insert: param, pt-3_prm_3 }} to ensure that any changes are made in accordance with {{ insert: param, pt-3_prm_4 }}." - } - ] - }, - { - "id": "pt-3_gdn", - "name": "guidance", - "prose": "Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term process includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system, and individuals whose information is processed by the system, to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations, and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT] statements, computer matching notices, and other applicable Federal Register notices. Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information. Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes arising from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks arising from changes in personally identifiable information processing purposes." - } - ], - "controls": [ - { - "id": "pt-3.1", - "class": "SP800-53-enhancement", - "title": "Data Tagging", - "params": [ - { - "id": "pt-3.1_prm_1", - "label": "organization-defined elements of personally identifiable information" - }, - { - "id": "pt-3.1_prm_2", - "label": "organization-defined processing purposes" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3(1)" - }, - { - "name": "sort-id", - "value": "PT-03(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.1_smt", - "name": "statement", - "prose": "Attach data tags containing the following purposes to {{ insert: param, pt-3.1_prm_1 }}: {{ insert: param, pt-3.1_prm_2 }}." - }, - { - "id": "pt-3.1_gdn", - "name": "guidance", - "prose": "Data tags support tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools." - } - ] - }, - { - "id": "pt-3.2", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "pt-3.2_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-3(2)" - }, - { - "name": "sort-id", - "value": "PT-03(02)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#cm-12", - "rel": "related" - }, - { - "href": "#pm-5", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-10", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-3.2_smt", - "name": "statement", - "prose": "Track processing purposes of personally identifiable information using {{ insert: param, pt-3.2_prm_1 }}." - }, - { - "id": "pt-3.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms augment tracking of the processing purposes." - } - ] - } - ] - }, - { - "id": "pt-4", - "class": "SP800-53", - "title": "Minimization", - "params": [ - { - "id": "pt-4_prm_1", - "label": "organization-defined processes" - } - ], - "props": [ - { - "name": "label", - "value": "PT-4" - }, - { - "name": "sort-id", - "value": "PT-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-4_smt", - "name": "statement", - "prose": "Implement the privacy principle of minimization using {{ insert: param, pt-4_prm_1 }}." - }, - { - "id": "pt-4_gdn", - "name": "guidance", - "prose": "The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose, and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization." - } - ] - }, - { - "id": "pt-5", - "class": "SP800-53", - "title": "Consent", - "params": [ - { - "id": "pt-5_prm_1", - "label": "organization-defined tools or mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5" - }, - { - "name": "sort-id", - "value": "PT-05" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, pt-5_prm_1 }} for individuals to consent to the processing of their personally identifiable information prior to its collection that:", - "parts": [ - { - "id": "pt-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Facilitate individuals’ informed decision-making; and" - }, - { - "id": "pt-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide a means for individuals to decline consent." - } - ] - }, - { - "id": "pt-5_gdn", - "name": "guidance", - "prose": "Consent allows individuals to participate in the decision-making about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting this control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks arising from their authorization. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the data actions carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon." - } - ], - "controls": [ - { - "id": "pt-5.1", - "class": "SP800-53-enhancement", - "title": "Tailored Consent", - "params": [ - { - "id": "pt-5.1_prm_1", - "label": "organization-defined mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5(1)" - }, - { - "name": "sort-id", - "value": "PT-05(01)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, pt-5.1_prm_1 }} to allow individuals to tailor processing permissions to selected elements of personally identifiable information." - }, - { - "id": "pt-5.1_gdn", - "name": "guidance", - "prose": "While some processing may be necessary for the basic functionality of the product or service, other processing may not be necessary for the functionality of the product or service. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors such as abandonment of the product or service." - } - ] - }, - { - "id": "pt-5.2", - "class": "SP800-53-enhancement", - "title": "Just-in-time Consent", - "params": [ - { - "id": "pt-5.2_prm_1", - "label": "organization-defined consent mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "PT-5(2)" - }, - { - "name": "sort-id", - "value": "PT-05(02)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-5.2_smt", - "name": "statement", - "prose": "Present {{ insert: param, pt-5.2_prm_1 }} to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action." - }, - { - "id": "pt-5.2_gdn", - "name": "guidance", - "prose": "Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the individual last gave consent or the particular circumstances under which consent was given have changed. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals’ privacy interests and concerns." - } - ] - } - ] - }, - { - "id": "pt-6", - "class": "SP800-53", - "title": "Privacy Notice", - "params": [ - { - "id": "pt-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "pt-6_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "PT-6" - }, - { - "name": "sort-id", - "value": "PT-06" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-8", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#si-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6_smt", - "name": "statement", - "prose": "Provide notice to individuals about the processing of personally identifiable information that:", - "parts": [ - { - "id": "pt-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is available to individuals upon first interacting with an organization, and subsequently at {{ insert: param, pt-6_prm_1 }};" - }, - { - "id": "pt-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;" - }, - { - "id": "pt-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies the authority that authorizes the processing of personally identifiable information;" - }, - { - "id": "pt-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Identifies the purposes for which personally identifiable information is to be processed; and" - }, - { - "id": "pt-6_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Includes {{ insert: param, pt-6_prm_2 }}." - } - ] - }, - { - "id": "pt-6_gdn", - "name": "guidance", - "prose": "Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and, other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices. Privacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon." - } - ], - "controls": [ - { - "id": "pt-6.1", - "class": "SP800-53-enhancement", - "title": "Just-in-time Notice", - "params": [ - { - "id": "pt-6.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-6(1)" - }, - { - "name": "sort-id", - "value": "PT-06(01)" - } - ], - "links": [ - { - "href": "#pm-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6.1_smt", - "name": "statement", - "prose": "Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or {{ insert: param, pt-6.1_prm_1 }}." - }, - { - "id": "pt-6.1_gdn", - "name": "guidance", - "prose": "Just-in-time notice enables individuals to be informed of how organizations process their personally identifiable information at a time when such notice may be most useful to the individual. Individual assumption about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. Just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. Just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users’ privacy interests and concerns." - } - ] - }, - { - "id": "pt-6.2", - "class": "SP800-53-enhancement", - "title": "Privacy Act Statements", - "props": [ - { - "name": "label", - "value": "PT-6(2)" - }, - { - "name": "sort-id", - "value": "PT-06(02)" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-6.2_smt", - "name": "statement", - "prose": "Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals." - }, - { - "id": "pt-6.2_gdn", - "name": "guidance", - "prose": "If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT] statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT] statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond. [PRIVACT] statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT]." - } - ] - } - ] - }, - { - "id": "pt-7", - "class": "SP800-53", - "title": "System of Records Notice", - "props": [ - { - "name": "label", - "value": "PT-7" - }, - { - "name": "sort-id", - "value": "PT-07" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-20", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-7_smt", - "name": "statement", - "prose": "For systems that process information that will be maintained in a Privacy Act system of records:", - "parts": [ - { - "id": "pt-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;" - }, - { - "id": "pt-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Publish system of records notices in the Federal Register; and" - }, - { - "id": "pt-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Keep system of records notices accurate, up-to-date, and scoped in accordance with policy." - } - ] - }, - { - "id": "pt-7_gdn", - "name": "guidance", - "prose": "The [PRIVACT] requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT] system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system, and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108]." - } - ], - "controls": [ - { - "id": "pt-7.1", - "class": "SP800-53-enhancement", - "title": "Routine Uses", - "params": [ - { - "id": "pt-7.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-7(1)" - }, - { - "name": "sort-id", - "value": "PT-07(01)" - } - ], - "parts": [ - { - "id": "pt-7.1_smt", - "name": "statement", - "prose": "Review all routine uses published in the system of records notice at {{ insert: param, pt-7.1_prm_1 }} to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected." - }, - { - "id": "pt-7.1_gdn", - "name": "guidance", - "prose": "A [PRIVACT] routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT] prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT] requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice." - } - ] - }, - { - "id": "pt-7.2", - "class": "SP800-53-enhancement", - "title": "Exemption Rules", - "params": [ - { - "id": "pt-7.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "PT-7(2)" - }, - { - "name": "sort-id", - "value": "PT-07(02)" - } - ], - "parts": [ - { - "id": "pt-7.2_smt", - "name": "statement", - "prose": "Review all Privacy Act exemptions claimed for the system of records at {{ insert: param, pt-7.2_prm_1 }} to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice." - }, - { - "id": "pt-7.2_gdn", - "name": "guidance", - "prose": "The [PRIVACT] includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. These provisions allow agencies in certain circumstances to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT]. At a minimum, organizations’ [PRIVACT] exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT] from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate." - } - ] - } - ] - }, - { - "id": "pt-8", - "class": "SP800-53", - "title": "Specific Categories of Personally Identifiable Information", - "params": [ - { - "id": "pt-8_prm_1", - "label": "organization-defined processing conditions" - } - ], - "props": [ - { - "name": "label", - "value": "PT-8" - }, - { - "name": "sort-id", - "value": "PT-08" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-8_smt", - "name": "statement", - "prose": "Apply {{ insert: param, pt-8_prm_1 }} for specific categories of personally identifiable information." - }, - { - "id": "pt-8_gdn", - "name": "guidance", - "prose": "Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from organizational policies and determinations when an organization has determined that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary." - } - ], - "controls": [ - { - "id": "pt-8.1", - "class": "SP800-53-enhancement", - "title": "Social Security Numbers", - "props": [ - { - "name": "label", - "value": "PT-8(1)" - }, - { - "name": "sort-id", - "value": "PT-08(01)" - } - ], - "parts": [ - { - "id": "pt-8.1_smt", - "name": "statement", - "prose": "When a system processes Social Security numbers:", - "parts": [ - { - "id": "pt-8.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;" - }, - { - "id": "pt-8.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Do not deny any individual any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his or her Social Security number; and" - }, - { - "id": "pt-8.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it." - } - ] - }, - { - "id": "pt-8.1_gdn", - "name": "guidance", - "prose": "Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information, and observe any particular requirements that apply." - } - ] - }, - { - "id": "pt-8.2", - "class": "SP800-53-enhancement", - "title": "First Amendment Information", - "props": [ - { - "name": "label", - "value": "PT-8(2)" - }, - { - "name": "sort-id", - "value": "PT-08(02)" - } - ], - "parts": [ - { - "id": "pt-8.2_smt", - "name": "statement", - "prose": "Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity." - }, - { - "id": "pt-8.2_gdn", - "name": "guidance", - "prose": "None. Related Controls: The [PRIVACT] limits agencies’ ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements." - } - ] - } - ] - }, - { - "id": "pt-9", - "class": "SP800-53", - "title": "Computer Matching Requirements", - "props": [ - { - "name": "label", - "value": "PT-9" - }, - { - "name": "sort-id", - "value": "PT-09" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#395f6bb9-bcc2-41fc-977f-04372f4a6a82", - "rel": "reference" - }, - { - "href": "#pm-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "pt-9_smt", - "name": "statement", - "prose": "When a system or organization processes information for the purpose of conducting a matching program:", - "parts": [ - { - "id": "pt-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain approval from the Data Integrity Board to conduct the matching program;" - }, - { - "id": "pt-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Develop and enter into a computer matching agreement;" - }, - { - "id": "pt-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Publish a matching notice in the Federal Register;" - }, - { - "id": "pt-9_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and" - }, - { - "id": "pt-9_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual." - } - ] - }, - { - "id": "pt-9_gdn", - "name": "guidance", - "prose": "The [PRIVACT] establishes a set of requirements for federal and non-federal agencies when they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. A Federal benefit match is performed for purposes of determining or verifying eligibility for payments under Federal benefit programs, or recouping payments or delinquent debts under Federal benefit programs. A matching program involves not just the matching activity itself, but also the investigative follow-up and ultimate action, if any." - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "ra-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "ra-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "RA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, ra-1_prm_2 }} risk assessment policy that:", - "parts": [ - { - "id": "ra-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, ra-1_prm_3 }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and" - }, - { - "id": "ra-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current risk assessment:", - "parts": [ - { - "id": "ra-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, ra-1_prm_4 }}; and" - }, - { - "id": "ra-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, ra-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the RA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "props": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "RA-02" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorize the system and information it processes, stores, and transmits;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document the security categorization results, including supporting rationale, in the security plan for the system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined system boundaries are a prerequisite for security categorization decisions. Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are comprised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT] and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure the security categories remain accurate and relevant." - } - ], - "controls": [ - { - "id": "ra-2.1", - "class": "SP800-53-enhancement", - "title": "Impact-level Prioritization", - "props": [ - { - "name": "label", - "value": "RA-2(1)" - }, - { - "name": "sort-id", - "value": "RA-02(01)" - } - ], - "parts": [ - { - "id": "ra-2.1_smt", - "name": "statement", - "prose": "Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels." - }, - { - "id": "ra-2.1_gdn", - "name": "guidance", - "prose": "Organizations apply the “high water mark” concept to each system categorized in accordance with [FIPS 199] resulting in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and interconnections. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems." - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "params": [ - { - "id": "ra-3_prm_1", - "select": { - "choice": [ - "security and privacy plans", - "risk assessment report", - " {{ insert: param, ra-3_prm_2 }} " - ] - } - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document" - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "RA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ma-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-18", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conduct a risk assessment, including:", - "parts": [ - { - "id": "ra-3_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "The likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and" - }, - { - "id": "ra-3_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "The likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;" - } - ] - }, - { - "id": "ra-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document risk assessment results in {{ insert: param, ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Review risk assessment results {{ insert: param, ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disseminate risk assessment results to {{ insert: param, ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Update the risk assessment {{ insert: param, ra-3_prm_5 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system." - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also consider risk from external parties, including individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities. Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, control selection, control implementation, control assessment, system authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle. In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system, including system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. Assessments of risk can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination." - } - ], - "controls": [ - { - "id": "ra-3.1", - "class": "SP800-53-enhancement", - "title": "Supply Chain Risk Assessment", - "params": [ - { - "id": "ra-3.1_prm_1", - "label": "organization-defined systems, system components, and system services" - }, - { - "id": "ra-3.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(1)" - }, - { - "name": "sort-id", - "value": "RA-03(01)" - } - ], - "links": [ - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#pm-17", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.1_smt", - "name": "statement", - "parts": [ - { - "id": "ra-3.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Assess supply chain risks associated with {{ insert: param, ra-3.1_prm_1 }}; and" - }, - { - "id": "ra-3.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Update the supply chain risk assessment {{ insert: param, ra-3.1_prm_2 }}, when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain." - } - ] - }, - { - "id": "ra-3.1_gdn", - "name": "guidance", - "prose": "Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required." - } - ] - }, - { - "id": "ra-3.2", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "RA-3(2)" - }, - { - "name": "sort-id", - "value": "RA-03(02)" - } - ], - "parts": [ - { - "id": "ra-3.2_smt", - "name": "statement", - "prose": "Use all-source intelligence to assist in the analysis of risk." - }, - { - "id": "ra-3.2_gdn", - "name": "guidance", - "prose": "Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information; measurement and signature intelligence; human intelligence; signals intelligence; and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate." - } - ] - }, - { - "id": "ra-3.3", - "class": "SP800-53-enhancement", - "title": "Dynamic Threat Awareness", - "params": [ - { - "id": "ra-3.3_prm_1", - "label": "organization-defined means" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(3)" - }, - { - "name": "sort-id", - "value": "RA-03(03)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-3.3_smt", - "name": "statement", - "prose": "Determine the current cyber threat environment on an ongoing basis using {{ insert: param, ra-3.3_prm_1 }}." - }, - { - "id": "ra-3.3_gdn", - "name": "guidance", - "prose": "The threat awareness information that is gathered feeds into the organization’s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations." - } - ] - }, - { - "id": "ra-3.4", - "class": "SP800-53-enhancement", - "title": "Predictive Cyber Analytics", - "params": [ - { - "id": "ra-3.4_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "ra-3.4_prm_2", - "label": "organization-defined advanced automation and analytics capabilities" - } - ], - "props": [ - { - "name": "label", - "value": "RA-3(4)" - }, - { - "name": "sort-id", - "value": "RA-03(04)" - } - ], - "parts": [ - { - "id": "ra-3.4_smt", - "name": "statement", - "prose": "Employ the following advanced automation and analytics capabilities to predict and identify risks to {{ insert: param, ra-3.4_prm_1 }}: {{ insert: param, ra-3.4_prm_2 }}." - }, - { - "id": "ra-3.4_gdn", - "name": "guidance", - "prose": "A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts including, machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), Automated Workflow Operations, and Machine Assisted Decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure sophisticated adversaries are not able to conceal their activity." - } - ] - } - ] - }, - { - "id": "ra-4", - "class": "SP800-53", - "title": "Risk Assessment Update", - "props": [ - { - "name": "label", - "value": "RA-4" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-04" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Monitoring and Scanning", - "params": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with organization-defined process" - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times" - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "RA-05" - } - ], - "links": [ - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "rel": "reference" - }, - { - "href": "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "rel": "reference" - }, - { - "href": "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities potentially affecting the system are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyze vulnerability scan reports and results from vulnerability monitoring;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediate legitimate vulnerabilities {{ insert: param, ra-5_prm_2 }} in accordance with an organizational assessment of risk;" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, ra-5_prm_3 }} to help eliminate similar vulnerabilities in other systems; and" - }, - { - "id": "ra-5_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned." - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities such as infrastructure components (e.g., switches, routers, sensors), networked printers, scanners, and copiers are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced, and as new scanning methods are developed, helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers. Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). Vulnerability monitoring also includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization, and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation. Organizations may also employ the use of financial incentives (also known as “bug bounties”) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time, and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously, and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points." - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "props": [ - { - "name": "label", - "value": "RA-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(01)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update System Vulnerabilities", - "params": [ - { - "id": "ra-5.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-5.2_prm_2 }} ", - "prior to a new scan", - "when new vulnerabilities are identified and reported" - ] - } - }, - { - "id": "ra-5.2_prm_2", - "depends-on": "ra-5.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(2)" - }, - { - "name": "sort-id", - "value": "RA-05(02)" - } - ], - "links": [ - { - "href": "#si-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "Update the system vulnerabilities to be scanned {{ insert: param, ra-5.2_prm_1 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "prose": "Due to the complexity of modern software and systems and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner." - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth and Depth of Coverage", - "props": [ - { - "name": "label", - "value": "RA-5(3)" - }, - { - "name": "sort-id", - "value": "RA-05(03)" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "Define the breadth and depth of vulnerability scanning coverage." - }, - { - "id": "ra-5.3_gdn", - "name": "guidance", - "prose": "The breadth of vulnerability scanning coverage can be expressed, for example, as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design the organization intends to monitor (e.g., component, module, subsystem). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. [SP 800-53A] provides additional information on the breadth and depth of coverage." - } - ] - }, - { - "id": "ra-5.4", - "class": "SP800-53-enhancement", - "title": "Discoverable Information", - "params": [ - { - "id": "ra-5.4_prm_1", - "label": "organization-defined corrective actions" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(4)" - }, - { - "name": "sort-id", - "value": "RA-05(04)" - } - ], - "links": [ - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.4_smt", - "name": "statement", - "prose": "Determine information about the system that is discoverable and take {{ insert: param, ra-5.4_prm_1 }}." - }, - { - "id": "ra-5.4_gdn", - "name": "guidance", - "prose": "Discoverable information includes information that adversaries could obtain without compromising or breaching the system, for example, by collecting information the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization." - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "params": [ - { - "id": "ra-5.5_prm_1", - "label": "organization-defined system components" - }, - { - "id": "ra-5.5_prm_2", - "label": "organization-defined vulnerability scanning activities" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(5)" - }, - { - "name": "sort-id", - "value": "RA-05(05)" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "Implement privileged access authorization to {{ insert: param, ra-5.5_prm_1 }} for {{ insert: param, ra-5.5_prm_2 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning." - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "params": [ - { - "id": "ra-5.6_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(6)" - }, - { - "name": "sort-id", - "value": "RA-05(06)" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "Compare the results of multiple vulnerability scans using {{ insert: param, ra-5.6_prm_1 }}." - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to analyze multiple vulnerability scans over time can help to determine trends in system vulnerabilities." - } - ] - }, - { - "id": "ra-5.7", - "class": "SP800-53-enhancement", - "title": "Automated Detection and Notification of Unauthorized Components", - "props": [ - { - "name": "label", - "value": "RA-5(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(07)" - } - ], - "links": [ - { - "href": "#cm-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "params": [ - { - "id": "ra-5.8_prm_1", - "label": "organization-defined system" - }, - { - "id": "ra-5.8_prm_2", - "label": "organization-defined time period" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(8)" - }, - { - "name": "sort-id", - "value": "RA-05(08)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "Review historic audit logs to determine if a vulnerability identified in a {{ insert: param, ra-5.8_prm_1 }} has been previously exploited within an {{ insert: param, ra-5.8_prm_2 }}." - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "prose": "Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack." - } - ] - }, - { - "id": "ra-5.9", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analyses", - "props": [ - { - "name": "label", - "value": "RA-5(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "RA-05(09)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "ra-5.10", - "class": "SP800-53-enhancement", - "title": "Correlate Scanning Information", - "props": [ - { - "name": "label", - "value": "RA-5(10)" - }, - { - "name": "sort-id", - "value": "RA-05(10)" - } - ], - "parts": [ - { - "id": "ra-5.10_smt", - "name": "statement", - "prose": "Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors." - }, - { - "id": "ra-5.10_gdn", - "name": "guidance", - "prose": "An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation." - } - ] - }, - { - "id": "ra-5.11", - "class": "SP800-53-enhancement", - "title": "Public Disclosure Program", - "params": [ - { - "id": "ra-5.11_prm_1", - "label": "organization-defined public reporting channel" - } - ], - "props": [ - { - "name": "label", - "value": "RA-5(11)" - }, - { - "name": "sort-id", - "value": "RA-05(11)" - } - ], - "parts": [ - { - "id": "ra-5.11_smt", - "name": "statement", - "prose": "Establish an {{ insert: param, ra-5.11_prm_1 }} for receiving reports of vulnerabilities in organizational systems and system components." - }, - { - "id": "ra-5.11_gdn", - "name": "guidance", - "prose": "The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity, but may request a specific time period to properly remediate the vulnerability." - } - ] - } - ] - }, - { - "id": "ra-6", - "class": "SP800-53", - "title": "Technical Surveillance Countermeasures Survey", - "params": [ - { - "id": "ra-6_prm_1", - "label": "organization-defined locations" - }, - { - "id": "ra-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, ra-6_prm_3 }} ", - " {{ insert: param, ra-6_prm_4 }} " - ] - } - }, - { - "id": "ra-6_prm_3", - "depends-on": "ra-6_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ra-6_prm_4", - "depends-on": "ra-6_prm_2", - "label": "organization-defined events or indicators occur" - } - ], - "props": [ - { - "name": "label", - "value": "RA-6" - }, - { - "name": "sort-id", - "value": "RA-06" - } - ], - "parts": [ - { - "id": "ra-6_smt", - "name": "statement", - "prose": "Employ a technical surveillance countermeasures survey at {{ insert: param, ra-6_prm_1 }} {{ insert: param, ra-6_prm_2 }}." - }, - { - "id": "ra-6_gdn", - "name": "guidance", - "prose": "A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries." - } - ] - }, - { - "id": "ra-7", - "class": "SP800-53", - "title": "Risk Response", - "props": [ - { - "name": "label", - "value": "RA-7" - }, - { - "name": "sort-id", - "value": "RA-07" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ir-9", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-28", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-7_smt", - "name": "statement", - "prose": "Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance." - }, - { - "id": "ra-7_gdn", - "name": "guidance", - "prose": "Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls; accepting risk with appropriate justification or rationale; sharing or transferring risk; or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated." - } - ] - }, - { - "id": "ra-8", - "class": "SP800-53", - "title": "Privacy Impact Assessments", - "props": [ - { - "name": "label", - "value": "RA-8" - }, - { - "name": "sort-id", - "value": "RA-08" - } - ], - "links": [ - { - "href": "#bc2bf069-c3a5-48a4-a274-684d997be0c2", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#cm-13", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-8_smt", - "name": "statement", - "prose": "Conduct privacy impact assessments for systems, programs, or other activities before:", - "parts": [ - { - "id": "ra-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Developing or procuring information technology that processes personally identifiable information; and" - }, - { - "id": "ra-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiating a new collection of personally identifiable information that:", - "parts": [ - { - "id": "ra-8_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Will be processed using information technology; and" - }, - { - "id": "ra-8_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes personally identifiable information permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the federal government." - } - ] - } - ] - }, - { - "id": "ra-8_gdn", - "name": "guidance", - "prose": "A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document detailing the process and the outcome of the analysis. Organizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization’s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization’s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization’s practices, or other factors alter the privacy risks associated with the use of such information technology. To conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes which may have different labels, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization’s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision." - } - ] - }, - { - "id": "ra-9", - "class": "SP800-53", - "title": "Criticality Analysis", - "params": [ - { - "id": "ra-9_prm_1", - "label": "organization-defined systems, system components, or system services" - }, - { - "id": "ra-9_prm_2", - "label": "organization-defined decision points in the system development life cycle" - } - ], - "props": [ - { - "name": "label", - "value": "RA-9" - }, - { - "name": "sort-id", - "value": "RA-09" - } - ], - "links": [ - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-9_smt", - "name": "statement", - "prose": "Identify critical system components and functions by performing a criticality analysis for {{ insert: param, ra-9_prm_1 }} at {{ insert: param, ra-9_prm_2 }}." - }, - { - "id": "ra-9_gdn", - "name": "guidance", - "prose": "Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders regulations, directives, policies, and standards; system functionality requirements; system and component interfaces; and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system; decomposition into the specific functions to perform those missions; and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system. The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system containing the components and functions. Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, for example, by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in RA-2." - } - ] - }, - { - "id": "ra-10", - "class": "SP800-53", - "title": "Threat Hunting", - "params": [ - { - "id": "ra-10_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "RA-10" - }, - { - "name": "sort-id", - "value": "RA-10" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#ra-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "ra-10_smt", - "name": "statement", - "parts": [ - { - "id": "ra-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish and maintain a cyber threat hunting capability to:", - "parts": [ - { - "id": "ra-10_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Search for indicators of compromise in organizational systems; and" - }, - { - "id": "ra-10_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Detect, track, and disrupt threats that evade existing controls; and" - } - ] - }, - { - "id": "ra-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the threat hunting capability {{ insert: param, ra-10_prm_1 }}." - } - ] - }, - { - "id": "ra-10_gdn", - "name": "guidance", - "prose": "Threat hunting is an active means of cyber defense in contrast to the traditional protection measures such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies." - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sa-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sa-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "SA-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sa-1_prm_2 }} system and services acquisition policy that:", - "parts": [ - { - "id": "sa-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sa-1_prm_3 }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and" - }, - { - "id": "sa-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and services acquisition:", - "parts": [ - { - "id": "sa-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sa-1_prm_4 }}; and" - }, - { - "id": "sa-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sa-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "props": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "SA-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pl-7", - "rel": "related" - }, - { - "href": "#pm-3", - "rel": "related" - }, - { - "href": "#pm-11", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain concerns throughout the system development life cycle." - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "params": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "props": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "SA-03" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "rel": "reference" - }, - { - "href": "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-22", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Acquire, develop, and manage the system using {{ insert: param, sa-3_prm_1 }} that incorporates information security and privacy considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document information security and privacy roles and responsibilities throughout the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identify individuals having information security and privacy roles and responsibilities; and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrate the organizational information security and privacy risk management process into system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include in system development life cycle processes, qualified personnel, including senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, and service providers), acquisition and supply chain risk management functions and controls play a significant role in the effective management of the system during the life cycle." - } - ], - "controls": [ - { - "id": "sa-3.1", - "class": "SP800-53-enhancement", - "title": "Manage Preproduction Environment", - "props": [ - { - "name": "label", - "value": "SA-3(1)" - }, - { - "name": "sort-id", - "value": "SA-03(01)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.1_smt", - "name": "statement", - "prose": "Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service." - }, - { - "id": "sa-3.1_gdn", - "name": "guidance", - "prose": "The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense is an example of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribution to a more secure system development environment." - } - ] - }, - { - "id": "sa-3.2", - "class": "SP800-53-enhancement", - "title": "Use of Live or Operational Data", - "props": [ - { - "name": "label", - "value": "SA-3(2)" - }, - { - "name": "sort-id", - "value": "SA-03(02)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-3.2_smt", - "name": "statement", - "parts": [ - { - "id": "sa-3.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and" - }, - { - "id": "sa-3.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments." - } - ] - }, - { - "id": "sa-3.2_gdn", - "name": "guidance", - "prose": "Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risk to organizations. In addition, the use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Thus, it is important for the organization to manage any additional risks that may result from use of live or operational data. Organizations can minimize such risk by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable." - } - ] - }, - { - "id": "sa-3.3", - "class": "SP800-53-enhancement", - "title": "Technology Refresh", - "props": [ - { - "name": "label", - "value": "SA-3(3)" - }, - { - "name": "sort-id", - "value": "SA-03(03)" - } - ], - "parts": [ - { - "id": "sa-3.3_smt", - "name": "statement", - "prose": "Plan for and implement a technology refresh schedule for the system throughout the system development life cycle." - }, - { - "id": "sa-3.3_gdn", - "name": "guidance", - "prose": "Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle." - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "params": [ - { - "id": "sa-4_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "standardized contract language", - " {{ insert: param, sa-4_prm_2 }} " - ] - } - }, - { - "id": "sa-4_prm_2", - "depends-on": "sa-4_prm_1", - "label": "organization-defined contract language" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "SA-04" - } - ], - "links": [ - { - "href": "#a7dfa526-b81f-41d7-9875-c8b0faafe74b", - "rel": "reference" - }, - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#6ddb507b-6ddb-4e15-a8d4-0854e704446e", - "rel": "reference" - }, - { - "href": "#18abb755-c10f-407d-b0ef-4f99e5ec4a49", - "rel": "reference" - }, - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "rel": "reference" - }, - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#daf69edb-a0ef-4447-9880-8c4bf553181f", - "rel": "reference" - }, - { - "href": "#197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#5dac2312-1d0d-416f-aebb-400fa9775b74", - "rel": "reference" - }, - { - "href": "#634dec27-df88-4c30-b1a4-b57cdfd24f20", - "rel": "reference" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-21", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, sa-4_prm_1 }} in the acquisition contract for the system, system component, or system service:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security and privacy functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Strength of mechanism requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security and privacy assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Controls needed to satisfy the security and privacy requirements." - }, - { - "id": "sa-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Security and privacy documentation requirements;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Requirements for protecting security and privacy documentation;" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Description of the system development environment and environment in which the system is intended to operate;" - }, - { - "id": "sa-4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and" - }, - { - "id": "sa-4_smt.i", - "name": "item", - "props": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Acceptance criteria." - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in SA-2. The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160 v1] describes the process of requirements engineering as part of the system development life cycle. Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical aspects, administrative aspects, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle. Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement." - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Controls", - "props": [ - { - "name": "label", - "value": "SA-4(1)" - }, - { - "name": "sort-id", - "value": "SA-04(01)" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls." - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design and Implementation Information for Controls", - "params": [ - { - "id": "sa-4.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "security-relevant external system interfaces", - "high-level design", - "low-level design", - "source code or hardware schematics", - " {{ insert: param, sa-4.2_prm_2 }} " - ] - } - }, - { - "id": "sa-4.2_prm_2", - "depends-on": "sa-4.2_prm_1", - "label": "organization-defined design and implementation information" - }, - { - "id": "sa-4.2_prm_3", - "label": "organization-defined level of detail" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(2)" - }, - { - "name": "sort-id", - "value": "SA-04(02)" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, sa-4.2_prm_1 }} at {{ insert: param, sa-4.2_prm_3 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in the documentation for the design and implementation for controls in organizational systems, system components, or system services based on mission and business requirements; requirements for resiliency and trustworthiness; and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system." - } - ] - }, - { - "id": "sa-4.3", - "class": "SP800-53-enhancement", - "title": "Development Methods, Techniques, and Practices", - "params": [ - { - "id": "sa-4.3_prm_1", - "label": "organization-defined systems engineering methods" - }, - { - "id": "sa-4.3_prm_2", - "label": "organization-defined Selection (one or more): systems security; privacy" - }, - { - "id": "sa-4.3_prm_3", - "label": "organization-defined software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(3)" - }, - { - "name": "sort-id", - "value": "SA-04(03)" - } - ], - "parts": [ - { - "id": "sa-4.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:", - "parts": [ - { - "id": "sa-4.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_1 }};" - }, - { - "id": "sa-4.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_2 }} engineering methods];" - }, - { - "id": "sa-4.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "{{ insert: param, sa-4.3_prm_3 }}." - } - ] - }, - { - "id": "sa-4.3_gdn", - "name": "guidance", - "prose": "Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of the latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provide an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired." - } - ] - }, - { - "id": "sa-4.4", - "class": "SP800-53-enhancement", - "title": "Assignment of Components to Systems", - "props": [ - { - "name": "label", - "value": "SA-4(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-04(04)" - } - ], - "links": [ - { - "href": "#cm-8.9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-4.5", - "class": "SP800-53-enhancement", - "title": "System, Component, and Service Configurations", - "params": [ - { - "id": "sa-4.5_prm_1", - "label": "organization-defined security configurations" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(5)" - }, - { - "name": "sort-id", - "value": "SA-04(05)" - } - ], - "parts": [ - { - "id": "sa-4.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-4.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Deliver the system, component, or service with {{ insert: param, sa-4.5_prm_1 }} implemented; and" - }, - { - "id": "sa-4.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade." - } - ] - }, - { - "id": "sa-4.5_gdn", - "name": "guidance", - "prose": "Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed." - } - ] - }, - { - "id": "sa-4.6", - "class": "SP800-53-enhancement", - "title": "Use of Information Assurance Products", - "props": [ - { - "name": "label", - "value": "SA-4(6)" - }, - { - "name": "sort-id", - "value": "SA-04(06)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.6_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and" - }, - { - "id": "sa-4.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures." - } - ] - }, - { - "id": "sa-4.6_gdn", - "name": "guidance", - "prose": "Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC]." - } - ] - }, - { - "id": "sa-4.7", - "class": "SP800-53-enhancement", - "title": "Niap-approved Protection Profiles", - "props": [ - { - "name": "label", - "value": "SA-4(7)" - }, - { - "name": "sort-id", - "value": "SA-04(07)" - } - ], - "links": [ - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and" - }, - { - "id": "sa-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved." - } - ] - }, - { - "id": "sa-4.7_gdn", - "name": "guidance", - "prose": "See [NIAP CCEVS] for additional information on NIAP. See [NIST CMVP] for additional information on FIPS-validated cryptographic modules." - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan for Controls", - "params": [ - { - "id": "sa-4.8_prm_1", - "label": "organization-defined level of detail" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(8)" - }, - { - "name": "sort-id", - "value": "SA-04(08)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that contains the following level of detail: {{ insert: param, sa-4.8_prm_1 }}." - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring strategies and programs implemented by organizations. Continuous monitoring plans can include the frequency of control monitoring, types of control assessment and monitoring activities planned, and actions to be taken when controls fail or become ineffective." - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions, Ports, Protocols, and Services in Use", - "props": [ - { - "name": "label", - "value": "SA-4(9)" - }, - { - "name": "sort-id", - "value": "SA-04(09)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design stages, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or when requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources." - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "props": [ - { - "name": "label", - "value": "SA-4(10)" - }, - { - "name": "sort-id", - "value": "SA-04(10)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "prose": "Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multifactor authentication in systems and organizations." - } - ] - }, - { - "id": "sa-4.11", - "class": "SP800-53-enhancement", - "title": "System of Records", - "params": [ - { - "id": "sa-4.11_prm_1", - "label": "organization-defined Privacy Act requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(11)" - }, - { - "name": "sort-id", - "value": "SA-04(11)" - } - ], - "links": [ - { - "href": "#pt-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-4.11_smt", - "name": "statement", - "prose": "Include {{ insert: param, sa-4.11_prm_1 }} in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function." - }, - { - "id": "sa-4.11_gdn", - "name": "guidance", - "prose": "When an organization provides by a contract for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT] to be applied to the system of records." - } - ] - }, - { - "id": "sa-4.12", - "class": "SP800-53-enhancement", - "title": "Data Ownership", - "params": [ - { - "id": "sa-4.12_prm_1", - "label": "organization-defined timeframe" - } - ], - "props": [ - { - "name": "label", - "value": "SA-4(12)" - }, - { - "name": "sort-id", - "value": "SA-04(12)" - } - ], - "parts": [ - { - "id": "sa-4.12_smt", - "name": "statement", - "parts": [ - { - "id": "sa-4.12_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Include organizational data ownership requirements in the acquisition contract; and" - }, - { - "id": "sa-4.12_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Require all data to be removed from the contractor’s system and returned to the organization within {{ insert: param, sa-4.12_prm_1 }}." - } - ] - }, - { - "id": "sa-4.12_gdn", - "name": "guidance", - "prose": "Contractors operating a system that contains data owned by an organization initiating the contract, have policies and procedures in place to remove the data from their systems and/or return the data in a timeframe defined by the contract." - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "System Documentation", - "params": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "SA-05" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-16", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtain administrator documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security and privacy functions and mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative or privileged functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtain user documentation for the system, system component, or system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes {{ insert: param, sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect documentation as required, in accordance with the organizational risk management strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distribute documentation to {{ insert: param, sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "System documentation helps personnel understand the implementation and the operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation." - } - ], - "controls": [ - { - "id": "sa-5.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "props": [ - { - "name": "label", - "value": "SA-5(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(01)" - } - ], - "links": [ - { - "href": "#sa-4.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant External System Interfaces", - "props": [ - { - "name": "label", - "value": "SA-5(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(02)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.3", - "class": "SP800-53-enhancement", - "title": "High-level Design", - "props": [ - { - "name": "label", - "value": "SA-5(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(03)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.4", - "class": "SP800-53-enhancement", - "title": "Low-level Design", - "props": [ - { - "name": "label", - "value": "SA-5(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(04)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-5.5", - "class": "SP800-53-enhancement", - "title": "Source Code", - "props": [ - { - "name": "label", - "value": "SA-5(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-05(05)" - } - ], - "links": [ - { - "href": "#sa-4.2", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-6", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "props": [ - { - "name": "label", - "value": "SA-6" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-06" - } - ], - "links": [ - { - "href": "#cm-10", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-7", - "class": "SP800-53", - "title": "User-installed Software", - "props": [ - { - "name": "label", - "value": "SA-7" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-07" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security and Privacy Engineering Principles", - "params": [ - { - "id": "sa-8_prm_1", - "label": "organization-defined systems security and privacy engineering principles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8" - }, - { - "name": "sort-id", - "value": "SA-08" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#f2163084-3287-45e2-9ee7-95f020415495", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#68949f14-9cf5-4116-91d8-e820b9df3ffd", - "rel": "reference" - }, - { - "href": "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#817b4227-5857-494d-9032-915980b32f15", - "rel": "reference" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sa-20", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#sr-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, sa-8_prm_1 }}." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Systems security and privacy engineering principles are closely related to and are implemented throughout the system development life cycle (see SA-3). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering principles help organizations develop trustworthy, secure, and resilient systems and reduce the susceptibility to disruptions, hazards, threats, and creating privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks including incorporating tamper-resistant hardware into a design." - } - ], - "controls": [ - { - "id": "sa-8.1", - "class": "SP800-53-enhancement", - "title": "Clear Abstractions", - "props": [ - { - "name": "label", - "value": "SA-8(1)" - }, - { - "name": "sort-id", - "value": "SA-08(01)" - } - ], - "parts": [ - { - "id": "sa-8.1_smt", - "name": "statement", - "prose": "Implement the security design principle of clear abstractions." - }, - { - "id": "sa-8.1_gdn", - "name": "guidance", - "prose": "The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how it is managed. The elegance (e.g., clarity, simplicity, necessity, and sufficiency) of the system interfaces, combined with a precise definition of their functional behavior promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples reflecting application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters (e.g., not using a single function to provide different functionality, depending on how it is used). Information hiding, also known as representation-independent programming, is a design discipline to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally." - } - ] - }, - { - "id": "sa-8.2", - "class": "SP800-53-enhancement", - "title": "Least Common Mechanism", - "params": [ - { - "id": "sa-8.2_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(2)" - }, - { - "name": "sort-id", - "value": "SA-08(02)" - } - ], - "parts": [ - { - "id": "sa-8.2_smt", - "name": "statement", - "prose": "Implement the security design principle of least common mechanism in {{ insert: param, sa-8.2_prm_1 }}." - }, - { - "id": "sa-8.2_gdn", - "name": "guidance", - "prose": "The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74]. Minimization of mechanism implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with great care to be sure it does not unintentionally compromise security [SALTZER75]. Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing system state among different programs. A single program corrupting a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73]." - } - ] - }, - { - "id": "sa-8.3", - "class": "SP800-53-enhancement", - "title": "Modularity and Layering", - "params": [ - { - "id": "sa-8.3_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(3)" - }, - { - "name": "sort-id", - "value": "SA-08(03)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.3_smt", - "name": "statement", - "prose": "Implement the security design principles of modularity and layering in {{ insert: param, sa-8.3_prm_1 }}." - }, - { - "id": "sa-8.3_gdn", - "name": "guidance", - "prose": "The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity, by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood, so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the following: allocation of policies to systems in a network; separation of system applications into processes with distinct address spaces; allocation of system policies to layers; and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains." - } - ] - }, - { - "id": "sa-8.4", - "class": "SP800-53-enhancement", - "title": "Partially Ordered Dependencies", - "params": [ - { - "id": "sa-8.4_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(4)" - }, - { - "name": "sort-id", - "value": "SA-08(04)" - } - ], - "parts": [ - { - "id": "sa-8.4_smt", - "name": "statement", - "prose": "Implement the security design principle of partially ordered dependencies in {{ insert: param, sa-8.4_prm_1 }}." - }, - { - "id": "sa-8.4_gdn", - "name": "guidance", - "prose": "The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent upon lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and the coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis." - } - ] - }, - { - "id": "sa-8.5", - "class": "SP800-53-enhancement", - "title": "Efficiently Mediated Access", - "params": [ - { - "id": "sa-8.5_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(5)" - }, - { - "name": "sort-id", - "value": "SA-08(05)" - } - ], - "parts": [ - { - "id": "sa-8.5_smt", - "name": "statement", - "prose": "Implement the security design principle of efficiently mediated access in {{ insert: param, sa-8.5_prm_1 }}." - }, - { - "id": "sa-8.5_gdn", - "name": "guidance", - "prose": "The principle of efficiently mediated access states that policy-enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur." - } - ] - }, - { - "id": "sa-8.6", - "class": "SP800-53-enhancement", - "title": "Minimized Sharing", - "params": [ - { - "id": "sa-8.6_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(6)" - }, - { - "name": "sort-id", - "value": "SA-08(06)" - } - ], - "links": [ - { - "href": "#sc-31", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.6_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized sharing in {{ insert: param, sa-8.6_prm_1 }}." - }, - { - "id": "sa-8.6_gdn", - "name": "guidance", - "prose": "The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case internal entities, or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage- and timing-channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities." - } - ] - }, - { - "id": "sa-8.7", - "class": "SP800-53-enhancement", - "title": "Reduced Complexity", - "params": [ - { - "id": "sa-8.7_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(7)" - }, - { - "name": "sort-id", - "value": "SA-08(07)" - } - ], - "parts": [ - { - "id": "sa-8.7_smt", - "name": "statement", - "prose": "Implement the security design principle of reduced complexity in {{ insert: param, sa-8.7_prm_1 }}." - }, - { - "id": "sa-8.7_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain—that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition." - } - ] - }, - { - "id": "sa-8.8", - "class": "SP800-53-enhancement", - "title": "Secure Evolvability", - "params": [ - { - "id": "sa-8.8_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(8)" - }, - { - "name": "sort-id", - "value": "SA-08(08)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.8_smt", - "name": "statement", - "prose": "Implement the security design principle of secure evolvability in {{ insert: param, sa-8.8_prm_1 }}." - }, - { - "id": "sa-8.8_gdn", - "name": "guidance", - "prose": "The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system’s structure, interfaces, interconnections (i.e., system architecture), functionality, or its configuration (i.e., security policy enforcement). Changes include a new, an enhanced, or an upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction; anticipated changes in the threat environment; and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life-cycle costs; reduced cost of ownership; improved system security; more effective management of security risk; and less risk uncertainty." - } - ] - }, - { - "id": "sa-8.9", - "class": "SP800-53-enhancement", - "title": "Trusted Components", - "params": [ - { - "id": "sa-8.9_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(9)" - }, - { - "name": "sort-id", - "value": "SA-08(09)" - } - ], - "parts": [ - { - "id": "sa-8.9_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted components in {{ insert: param, sa-8.9_prm_1 }}." - }, - { - "id": "sa-8.9_gdn", - "name": "guidance", - "prose": "The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and where consequently the trust is not misplaced. Ultimately this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships. The principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption; however, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives, and relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component, or replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component." - } - ] - }, - { - "id": "sa-8.10", - "class": "SP800-53-enhancement", - "title": "Hierarchical Trust", - "params": [ - { - "id": "sa-8.10_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(10)" - }, - { - "name": "sort-id", - "value": "SA-08(10)" - } - ], - "parts": [ - { - "id": "sa-8.10_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical trust in {{ insert: param, sa-8.10_prm_1 }}." - }, - { - "id": "sa-8.10_gdn", - "name": "guidance", - "prose": "The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or providing an assurance case or argument when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend upon a less trustworthy component in a higher layer, this would in effect, put the components in the same “less trustworthy” equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness, where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system." - } - ] - }, - { - "id": "sa-8.11", - "class": "SP800-53-enhancement", - "title": "Inverse Modification Threshold", - "params": [ - { - "id": "sa-8.11_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(11)" - }, - { - "name": "sort-id", - "value": "SA-08(11)" - } - ], - "parts": [ - { - "id": "sa-8.11_smt", - "name": "statement", - "prose": "Implement the security design principle of inverse modification threshold in {{ insert: param, sa-8.11_prm_1 }}." - }, - { - "id": "sa-8.11_gdn", - "name": "guidance", - "prose": "The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust, and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component’s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation)." - } - ] - }, - { - "id": "sa-8.12", - "class": "SP800-53-enhancement", - "title": "Hierarchical Protection", - "params": [ - { - "id": "sa-8.12_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(12)" - }, - { - "name": "sort-id", - "value": "SA-08(12)" - } - ], - "parts": [ - { - "id": "sa-8.12_smt", - "name": "statement", - "prose": "Implement the security design principle of hierarchical protection in {{ insert: param, sa-8.12_prm_1 }}." - }, - { - "id": "sa-8.12_gdn", - "name": "guidance", - "prose": "The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in “system high” environments where users are highly trustworthy and where other protections are put in place to bound and protect the “system high” execution environment." - } - ] - }, - { - "id": "sa-8.13", - "class": "SP800-53-enhancement", - "title": "Minimized Security Elements", - "params": [ - { - "id": "sa-8.13_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(13)" - }, - { - "name": "sort-id", - "value": "SA-08(13)" - } - ], - "parts": [ - { - "id": "sa-8.13_smt", - "name": "statement", - "prose": "Implement the security design principle of minimized security elements in {{ insert: param, sa-8.13_prm_1 }}." - }, - { - "id": "sa-8.13_gdn", - "name": "guidance", - "prose": "The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to increased rigor of development processes. Trusted components also require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system." - } - ] - }, - { - "id": "sa-8.14", - "class": "SP800-53-enhancement", - "title": "Least Privilege", - "params": [ - { - "id": "sa-8.14_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(14)" - }, - { - "name": "sort-id", - "value": "SA-08(14)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.14_smt", - "name": "statement", - "prose": "Implement the security design principle of least privilege in {{ insert: param, sa-8.14_prm_1 }}." - }, - { - "id": "sa-8.14_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions, but no more. Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact; and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes for the elements (e.g., read, write) are minimal." - } - ] - }, - { - "id": "sa-8.15", - "class": "SP800-53-enhancement", - "title": "Predicate Permission", - "params": [ - { - "id": "sa-8.15_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(15)" - }, - { - "name": "sort-id", - "value": "SA-08(15)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.15_smt", - "name": "statement", - "prose": "Implement the security design principle of predicate permission in {{ insert: param, sa-8.15_prm_1 }}." - }, - { - "id": "sa-8.15_gdn", - "name": "guidance", - "prose": "The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75] originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action." - } - ] - }, - { - "id": "sa-8.16", - "class": "SP800-53-enhancement", - "title": "Self-reliant Trustworthiness", - "params": [ - { - "id": "sa-8.16_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(16)" - }, - { - "name": "sort-id", - "value": "SA-08(16)" - } - ], - "parts": [ - { - "id": "sa-8.16_smt", - "name": "statement", - "prose": "Implement the security design principle of self-reliant trustworthiness in {{ insert: param, sa-8.16_prm_1 }}." - }, - { - "id": "sa-8.16_gdn", - "name": "guidance", - "prose": "The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default with any connection to an external entity used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that result in loss or degradation of that connection. The benefit to the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them." - } - ] - }, - { - "id": "sa-8.17", - "class": "SP800-53-enhancement", - "title": "Secure Distributed Composition", - "params": [ - { - "id": "sa-8.17_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(17)" - }, - { - "name": "sort-id", - "value": "SA-08(17)" - } - ], - "parts": [ - { - "id": "sa-8.17_smt", - "name": "statement", - "prose": "Implement the security design principle of secure distributed composition in {{ insert: param, sa-8.17_prm_1 }}." - }, - { - "id": "sa-8.17_gdn", - "name": "guidance", - "prose": "The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed." - } - ] - }, - { - "id": "sa-8.18", - "class": "SP800-53-enhancement", - "title": "Trusted Communications Channels", - "params": [ - { - "id": "sa-8.18_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(18)" - }, - { - "name": "sort-id", - "value": "SA-08(18)" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.18_smt", - "name": "statement", - "prose": "Implement the security design principle of trusted communications channels in {{ insert: param, sa-8.18_prm_1 }}." - }, - { - "id": "sa-8.18_gdn", - "name": "guidance", - "prose": "The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception, modification, and to further increase the assurance of proper end-to-end communication)." - } - ] - }, - { - "id": "sa-8.19", - "class": "SP800-53-enhancement", - "title": "Continuous Protection", - "params": [ - { - "id": "sa-8.19_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(19)" - }, - { - "name": "sort-id", - "value": "SA-08(19)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.19_smt", - "name": "statement", - "prose": "Implement the security design principle of continuous protection in {{ insert: param, sa-8.19_prm_1 }}." - }, - { - "id": "sa-8.19_gdn", - "name": "guidance", - "prose": "The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor, the reference monitor is able to protect itself from tampering, and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing), and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes). Continuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic, and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements." - } - ] - }, - { - "id": "sa-8.20", - "class": "SP800-53-enhancement", - "title": "Secure Metadata Management", - "params": [ - { - "id": "sa-8.20_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(20)" - }, - { - "name": "sort-id", - "value": "SA-08(20)" - } - ], - "parts": [ - { - "id": "sa-8.20_smt", - "name": "statement", - "prose": "Implement the security design principle of secure metadata management in {{ insert: param, sa-8.20_prm_1 }}." - }, - { - "id": "sa-8.20_gdn", - "name": "guidance", - "prose": "The principle of secure metadata management states that metadata are “first class” objects with respect to security policy when the policy requires complete protection of information or it requires that the security subsystem to be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies upon for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the sensitivity level of a file name), to include self-referential metadata. The apparent secondary nature of metadata can lead to a neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessment for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data." - } - ] - }, - { - "id": "sa-8.21", - "class": "SP800-53-enhancement", - "title": "Self-analysis", - "params": [ - { - "id": "sa-8.21_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(21)" - }, - { - "name": "sort-id", - "value": "SA-08(21)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.21_smt", - "name": "statement", - "prose": "Implement the security design principle of self-analysis in {{ insert: param, sa-8.21_prm_1 }}." - }, - { - "id": "sa-8.21_gdn", - "name": "guidance", - "prose": "The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component attesting to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, or internal malfunction or transient errors. By following this principle, some simple errors or malfunctions can be detected without allowing the effects of the error or malfunction to propagate outside the component. Further, the self-test can also be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration." - } - ] - }, - { - "id": "sa-8.22", - "class": "SP800-53-enhancement", - "title": "Accountability and Traceability", - "params": [ - { - "id": "sa-8.22_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(22)" - }, - { - "name": "sort-id", - "value": "SA-08(22)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.22_smt", - "name": "statement", - "prose": "Implement the security design principle of accountability and traceability in {{ insert: param, sa-8.22_prm_1 }}." - }, - { - "id": "sa-8.22_gdn", - "name": "guidance", - "prose": "The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires the audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provides non-repudiation, because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy, and the actions of individuals associated with the violation of security policy." - } - ] - }, - { - "id": "sa-8.23", - "class": "SP800-53-enhancement", - "title": "Secure Defaults", - "params": [ - { - "id": "sa-8.23_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(23)" - }, - { - "name": "sort-id", - "value": "SA-08(23)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.23_smt", - "name": "statement", - "prose": "Implement the security design principle of secure defaults in {{ insert: param, sa-8.23_prm_1 }}." - }, - { - "id": "sa-8.23_gdn", - "name": "guidance", - "prose": "The principle of secure defaults states that the default configuration of a system (to include its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a “deny unless explicitly authorized” strategy. The initial configuration aspect of this principle requires that any “as shipped” configuration of a system, subsystem, or system component does not aid in the violation of the security policy, and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user. Restrictive defaults mean that the system will operate “as-shipped” with adequate self-protection, and is able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the “as-shipped” product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure. The security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is by default denied are often far more compact and complete than those that would need to be checked in order to deny a request that is by default granted." - } - ] - }, - { - "id": "sa-8.24", - "class": "SP800-53-enhancement", - "title": "Secure Failure and Recovery", - "params": [ - { - "id": "sa-8.24_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(24)" - }, - { - "name": "sort-id", - "value": "SA-08(24)" - } - ], - "links": [ - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.24_smt", - "name": "statement", - "prose": "Implement the security design principle of secure failure and recovery in {{ insert: param, sa-8.24_prm_1 }}." - }, - { - "id": "sa-8.24_gdn", - "name": "guidance", - "prose": "The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operation while ensuring that a secure state is maintained such that security policies are not violated. Failure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component, while maintaining security, and provide all or part of the functionality of the original system, or completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration. Another technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operation may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally “atomic” operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection. Failure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms, whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context." - } - ] - }, - { - "id": "sa-8.25", - "class": "SP800-53-enhancement", - "title": "Economic Security", - "params": [ - { - "id": "sa-8.25_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(25)" - }, - { - "name": "sort-id", - "value": "SA-08(25)" - } - ], - "links": [ - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.25_smt", - "name": "statement", - "prose": "Implement the security design principle of economic security in {{ insert: param, sa-8.25_prm_1 }}." - }, - { - "id": "sa-8.25_gdn", - "name": "guidance", - "prose": "The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence, and to perform the analyses necessary to assess and draw trustworthiness and risk conclusions from the evidence." - } - ] - }, - { - "id": "sa-8.26", - "class": "SP800-53-enhancement", - "title": "Performance Security", - "params": [ - { - "id": "sa-8.26_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(26)" - }, - { - "name": "sort-id", - "value": "SA-08(26)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.26_smt", - "name": "statement", - "prose": "Implement the security design principle of performance security in {{ insert: param, sa-8.26_prm_1 }}." - }, - { - "id": "sa-8.26_gdn", - "name": "guidance", - "prose": "The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to be providing an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements as well as performance-critical overhead issues (e.g., cryptographic key management) and an assessment of the capability of the threat. The principle of performance security leads to the incorporation of features that help in the enforcement of security policy, but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up, and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms." - } - ] - }, - { - "id": "sa-8.27", - "class": "SP800-53-enhancement", - "title": "Human Factored Security", - "params": [ - { - "id": "sa-8.27_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(27)" - }, - { - "name": "sort-id", - "value": "SA-08(27)" - } - ], - "parts": [ - { - "id": "sa-8.27_smt", - "name": "statement", - "prose": "Implement the security design principle of human factored security in {{ insert: param, sa-8.27_prm_1 }}." - }, - { - "id": "sa-8.27_gdn", - "name": "guidance", - "prose": "The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. The personnel with system administrative and operation responsibility are able to configure systems before start-up and administer them during runtime, in both cases with confidence that their intent is correctly mapped to the system’s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessitated for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable or avoid them, or use the mechanisms in ways inconsistent with the security requirements and protection needs the mechanisms were designed to satisfy." - } - ] - }, - { - "id": "sa-8.28", - "class": "SP800-53-enhancement", - "title": "Acceptable Security", - "params": [ - { - "id": "sa-8.28_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(28)" - }, - { - "name": "sort-id", - "value": "SA-08(28)" - } - ], - "parts": [ - { - "id": "sa-8.28_smt", - "name": "statement", - "prose": "Implement the security design principle of acceptable security in {{ insert: param, sa-8.28_prm_1 }}." - }, - { - "id": "sa-8.28_gdn", - "name": "guidance", - "prose": "The principle of acceptable security requires that the level of privacy and performance the system provides is consistent with the users’ expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces, or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure." - } - ] - }, - { - "id": "sa-8.29", - "class": "SP800-53-enhancement", - "title": "Repeatable and Documented Procedures", - "params": [ - { - "id": "sa-8.29_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(29)" - }, - { - "name": "sort-id", - "value": "SA-08(29)" - } - ], - "links": [ - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.29_smt", - "name": "statement", - "prose": "Implement the security design principle of repeatable and documented procedures in {{ insert: param, sa-8.29_prm_1 }}." - }, - { - "id": "sa-8.29_gdn", - "name": "guidance", - "prose": "The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permits the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier that may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and can contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review; procedures for configuration management of development tools and system artifacts; and procedures for system delivery." - } - ] - }, - { - "id": "sa-8.30", - "class": "SP800-53-enhancement", - "title": "Procedural Rigor", - "params": [ - { - "id": "sa-8.30_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(30)" - }, - { - "name": "sort-id", - "value": "SA-08(30)" - } - ], - "parts": [ - { - "id": "sa-8.30_smt", - "name": "statement", - "prose": "Implement the security design principle of procedural rigor in {{ insert: param, sa-8.30_prm_1 }}." - }, - { - "id": "sa-8.30_gdn", - "name": "guidance", - "prose": "The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented. Second, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built, rather than trusting that the component as implemented, is the authoritative (and potentially misleading) specification. Finally, modifications to an existing system component are easier when there are detailed specifications describing its current design, instead of studying source code or schematics to try to understand how it works. Procedural rigor helps to ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited." - } - ] - }, - { - "id": "sa-8.31", - "class": "SP800-53-enhancement", - "title": "Secure System Modification", - "params": [ - { - "id": "sa-8.31_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(31)" - }, - { - "name": "sort-id", - "value": "SA-08(31)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.31_smt", - "name": "statement", - "prose": "Implement the security design principle of secure system modification in {{ insert: param, sa-8.31_prm_1 }}." - }, - { - "id": "sa-8.31_gdn", - "name": "guidance", - "prose": "The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that, if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability." - } - ] - }, - { - "id": "sa-8.32", - "class": "SP800-53-enhancement", - "title": "Sufficient Documentation", - "params": [ - { - "id": "sa-8.32_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-8(32)" - }, - { - "name": "sort-id", - "value": "SA-08(32)" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-8.32_smt", - "name": "statement", - "prose": "Implement the security design principle of sufficient documentation in {{ insert: param, sa-8.32_prm_1 }}." - }, - { - "id": "sa-8.32_gdn", - "name": "guidance", - "prose": "The principle of sufficient documentation states that organizational personnel with responsibility to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms is not always intuitively obvious. Neither are the ramifications of the misuse or misconfiguration of security mechanisms. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities." - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External System Services", - "params": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined controls" - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "SA-09" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-7", - "rel": "related" - }, - { - "href": "#pl-10", - "rel": "related" - }, - { - "href": "#pl-11", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, sa-9_prm_1 }};" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Define and document organizational oversight and user roles and responsibilities with regard to external system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, sa-9_prm_2 }}." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External system services are services that are provided by an external provider and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance." - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments and Organizational Approvals", - "params": [ - { - "id": "sa-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(1)" - }, - { - "name": "sort-id", - "value": "SA-09(01)" - } - ], - "links": [ - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, sa-9.1_prm_1 }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring, analysis, and response. Risks assessed can include system, mission or business, privacy, or supply chain risks." - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions, Ports, Protocols, and Services", - "params": [ - { - "id": "sa-9.2_prm_1", - "label": "organization-defined external system services" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(2)" - }, - { - "name": "sort-id", - "value": "SA-09(02)" - } - ], - "links": [ - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, sa-9.2_prm_1 }}." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols." - } - ] - }, - { - "id": "sa-9.3", - "class": "SP800-53-enhancement", - "title": "Establish and Maintain Trust Relationship with Providers", - "params": [ - { - "id": "sa-9.3_prm_1", - "label": "organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(3)" - }, - { - "name": "sort-id", - "value": "SA-09(03)" - } - ], - "links": [ - { - "href": "#sr-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.3_smt", - "name": "statement", - "prose": "Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1 }}." - }, - { - "id": "sa-9.3_gdn", - "name": "guidance", - "prose": "The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements." - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "params": [ - { - "id": "sa-9.4_prm_1", - "label": "organization-defined external service providers" - }, - { - "id": "sa-9.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(4)" - }, - { - "name": "sort-id", - "value": "SA-09(04)" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "Take the following actions to verify that the interests of {{ insert: param, sa-9.4_prm_1 }} are consistent with and reflect organizational interests: {{ insert: param, sa-9.4_prm_2 }}." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities." - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "params": [ - { - "id": "sa-9.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "information processing", - "information or data", - "system services" - ] - } - }, - { - "id": "sa-9.5_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sa-9.5_prm_3", - "label": "organization-defined requirements or conditions" - } - ], - "props": [ - { - "name": "label", - "value": "SA-9(5)" - }, - { - "name": "sort-id", - "value": "SA-09(05)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "Restrict the location of {{ insert: param, sa-9.5_prm_1 }} to {{ insert: param, sa-9.5_prm_2 }} based on {{ insert: param, sa-9.5_prm_3 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Incident response activities including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate." - } - ] - }, - { - "id": "sa-9.6", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Cryptographic Keys", - "props": [ - { - "name": "label", - "value": "SA-9(6)" - }, - { - "name": "sort-id", - "value": "SA-09(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.6_smt", - "name": "statement", - "prose": "Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system." - }, - { - "id": "sa-9.6_gdn", - "name": "guidance", - "prose": "Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system, but allows exclusive organizational access to the encryption keys." - } - ] - }, - { - "id": "sa-9.7", - "class": "SP800-53-enhancement", - "title": "Organization-controlled Integrity Checking", - "props": [ - { - "name": "label", - "value": "SA-9(7)" - }, - { - "name": "sort-id", - "value": "SA-09(07)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.7_smt", - "name": "statement", - "prose": "Provide the capability to check the integrity of information while it resides in the external system." - }, - { - "id": "sa-9.7_gdn", - "name": "guidance", - "prose": "Storage of organizational information in an external system could limit visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility." - } - ] - }, - { - "id": "sa-9.8", - "class": "SP800-53-enhancement", - "title": "Processing and Storage Location — U.s. Jurisdiction", - "props": [ - { - "name": "label", - "value": "SA-9(8)" - }, - { - "name": "sort-id", - "value": "SA-09(08)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-9.8_smt", - "name": "statement", - "prose": "Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States." - }, - { - "id": "sa-9.8_gdn", - "name": "guidance", - "prose": "The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their core missions and business functions. High impact information and systems, if compromised or breached, can have a severe or catastrophic adverse impact on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage." - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "params": [ - { - "id": "sa-10_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "design", - "development", - "implementation", - "operation", - "disposal" - ] - } - }, - { - "id": "sa-10_prm_2", - "label": "organization-defined configuration items under configuration management" - }, - { - "id": "sa-10_prm_3", - "label": "organization-defined personnel" - } - ], - "props": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "SA-10" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ insert: param, sa-10_prm_1 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ insert: param, sa-10_prm_2 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, sa-10_prm_3 }}." - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle." - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software and Firmware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(1)" - }, - { - "name": "sort-id", - "value": "SA-10(01)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components." - } - ] - }, - { - "id": "sa-10.2", - "class": "SP800-53-enhancement", - "title": "Alternative Configuration Management", - "props": [ - { - "name": "label", - "value": "SA-10(2)" - }, - { - "name": "sort-id", - "value": "SA-10(02)" - } - ], - "parts": [ - { - "id": "sa-10.2_smt", - "name": "statement", - "prose": "Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team." - }, - { - "id": "sa-10.2_gdn", - "name": "guidance", - "prose": "Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services." - } - ] - }, - { - "id": "sa-10.3", - "class": "SP800-53-enhancement", - "title": "Hardware Integrity Verification", - "props": [ - { - "name": "label", - "value": "SA-10(3)" - }, - { - "name": "sort-id", - "value": "SA-10(03)" - } - ], - "links": [ - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-10.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to enable integrity verification of hardware components." - }, - { - "id": "sa-10.3_gdn", - "name": "guidance", - "prose": "Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components." - } - ] - }, - { - "id": "sa-10.4", - "class": "SP800-53-enhancement", - "title": "Trusted Generation", - "props": [ - { - "name": "label", - "value": "SA-10(4)" - }, - { - "name": "sort-id", - "value": "SA-10(04)" - } - ], - "parts": [ - { - "id": "sa-10.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions." - }, - { - "id": "sa-10.4_gdn", - "name": "guidance", - "prose": "Trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers." - } - ] - }, - { - "id": "sa-10.5", - "class": "SP800-53-enhancement", - "title": "Mapping Integrity for Version Control", - "props": [ - { - "name": "label", - "value": "SA-10(5)" - }, - { - "name": "sort-id", - "value": "SA-10(05)" - } - ], - "parts": [ - { - "id": "sa-10.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version." - }, - { - "id": "sa-10.5_gdn", - "name": "guidance", - "prose": "Mapping integrity for version control addresses changes to hardware, software, and firmware components during initial development and during system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies in operational environments is essential to ensure the availability of organizational systems supporting critical missions and business functions." - } - ] - }, - { - "id": "sa-10.6", - "class": "SP800-53-enhancement", - "title": "Trusted Distribution", - "props": [ - { - "name": "label", - "value": "SA-10(6)" - }, - { - "name": "sort-id", - "value": "SA-10(06)" - } - ], - "parts": [ - { - "id": "sa-10.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies." - }, - { - "id": "sa-10.6_gdn", - "name": "guidance", - "prose": "The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution." - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Testing and Evaluation", - "params": [ - { - "id": "sa-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "unit", - "integration", - "system", - "regression" - ] - } - }, - { - "id": "sa-11_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "sa-11_prm_3", - "label": "organization-defined depth and coverage" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "SA-11" - } - ], - "links": [ - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "rel": "reference" - }, - { - "href": "#fd0f14f5-8910-45c4-b60a-0c8936e00daa", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement a plan for ongoing security and privacy assessments;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ insert: param, sa-11_prm_1 }} testing/evaluation {{ insert: param, sa-11_prm_2 }} at {{ insert: param, sa-11_prm_3 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during testing and evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes, including upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review; security architecture review; penetration testing; and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, the frequency of the ongoing testing and evaluation, and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation." - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(1)" - }, - { - "name": "sort-id", - "value": "SA-11(01)" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and to enforce secure coding practices and Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static code analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis include aggregate defect density for critical defect types; evidence that defects were inspected by developers or security professionals; and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources." - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analyses", - "params": [ - { - "id": "sa-11.2_prm_1", - "label": "organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels" - }, - { - "id": "sa-11.2_prm_2", - "label": "organization-defined tools and methods" - }, - { - "id": "sa-11.2_prm_3", - "label": "organization-defined breadth and depth of modeling and analyses" - }, - { - "id": "sa-11.2_prm_4", - "label": "organization-defined acceptance criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(2)" - }, - { - "name": "sort-id", - "value": "SA-11(02)" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:", - "parts": [ - { - "id": "sa-11.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Uses the following contextual information: {{ insert: param, sa-11.2_prm_1 }};" - }, - { - "id": "sa-11.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs the following tools and methods: {{ insert: param, sa-11.2_prm_2 }};" - }, - { - "id": "sa-11.2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Conducts the modeling and analyses at the following level of rigor: {{ insert: param, sa-11.2_prm_3 }}; and" - }, - { - "id": "sa-11.2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Produces evidence that meets the following acceptance criteria: {{ insert: param, sa-11.2_prm_4 }}." - } - ] - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated. Related controls: PM-15, RA-3, RA-5." - } - ] - }, - { - "id": "sa-11.3", - "class": "SP800-53-enhancement", - "title": "Independent Verification of Assessment Plans and Evidence", - "params": [ - { - "id": "sa-11.3_prm_1", - "label": "organization-defined independence criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(3)" - }, - { - "name": "sort-id", - "value": "SA-11(03)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.3_smt", - "name": "statement", - "parts": [ - { - "id": "sa-11.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Require an independent agent satisfying {{ insert: param, sa-11.3_prm_1 }} to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and" - }, - { - "id": "sa-11.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information." - } - ] - }, - { - "id": "sa-11.3_gdn", - "name": "guidance", - "prose": "Independent agents have the qualifications, including the expertise, skills, training, certifications, and experience to verify the correct implementation of developer security and privacy assessment plans." - } - ] - }, - { - "id": "sa-11.4", - "class": "SP800-53-enhancement", - "title": "Manual Code Reviews", - "params": [ - { - "id": "sa-11.4_prm_1", - "label": "organization-defined specific code" - }, - { - "id": "sa-11.4_prm_2", - "label": "organization-defined processes, procedures, and/or techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(4)" - }, - { - "name": "sort-id", - "value": "SA-11(04)" - } - ], - "parts": [ - { - "id": "sa-11.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a manual code review of {{ insert: param, sa-11.4_prm_1 }} using the following processes, procedures, and/or techniques: {{ insert: param, sa-11.4_prm_2 }}." - }, - { - "id": "sa-11.4_gdn", - "name": "guidance", - "prose": "Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective in identifying weaknesses that require knowledge of the application’s requirements or context which in most cases, are unavailable to automated analytic tools and techniques, for example, static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls." - } - ] - }, - { - "id": "sa-11.5", - "class": "SP800-53-enhancement", - "title": "Penetration Testing", - "params": [ - { - "id": "sa-11.5_prm_1", - "label": "organization-defined breadth and depth of testing" - }, - { - "id": "sa-11.5_prm_2", - "label": "organization-defined constraints" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(5)" - }, - { - "name": "sort-id", - "value": "SA-11(05)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#pm-14", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform penetration testing:", - "parts": [ - { - "id": "sa-11.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-11.5_prm_1 }}; and" - }, - { - "id": "sa-11.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Under the following constraints: {{ insert: param, sa-11.5_prm_2 }}." - } - ] - }, - { - "id": "sa-11.5_gdn", - "name": "guidance", - "prose": "Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy." - } - ] - }, - { - "id": "sa-11.6", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reviews", - "props": [ - { - "name": "label", - "value": "SA-11(6)" - }, - { - "name": "sort-id", - "value": "SA-11(06)" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform attack surface reviews." - }, - { - "id": "sa-11.6_gdn", - "name": "guidance", - "prose": "Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes deprecation of unsafe functions." - } - ] - }, - { - "id": "sa-11.7", - "class": "SP800-53-enhancement", - "title": "Verify Scope of Testing and Evaluation", - "params": [ - { - "id": "sa-11.7_prm_1", - "label": "organization-defined breadth and depth of testing and evaluation" - } - ], - "props": [ - { - "name": "label", - "value": "SA-11(7)" - }, - { - "name": "sort-id", - "value": "SA-11(07)" - } - ], - "links": [ - { - "href": "#sa-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-11.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - }, - { - "id": "sa-11.7_gdn", - "name": "guidance", - "prose": "Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases." - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "props": [ - { - "name": "label", - "value": "SA-11(8)" - }, - { - "name": "sort-id", - "value": "SA-11(08)" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis." - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to ensure that security functionality performs in the way it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the associated functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms)." - } - ] - }, - { - "id": "sa-11.9", - "class": "SP800-53-enhancement", - "title": "Interactive Application Security Testing", - "props": [ - { - "name": "label", - "value": "SA-11(9)" - }, - { - "name": "sort-id", - "value": "SA-11(09)" - } - ], - "parts": [ - { - "id": "sa-11.9_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results." - }, - { - "id": "sa-11.9_gdn", - "name": "guidance", - "prose": "Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications, and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to measure control effectiveness directly. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle." - } - ] - } - ] - }, - { - "id": "sa-12", - "class": "SP800-53", - "title": "Supply Chain Protection", - "props": [ - { - "name": "label", - "value": "SA-12" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12" - } - ], - "links": [ - { - "href": "#sr", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-12.1", - "class": "SP800-53-enhancement", - "title": "Acquisition Strategies / Tools / Methods", - "props": [ - { - "name": "label", - "value": "SA-12(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(01)" - } - ], - "links": [ - { - "href": "#sr-5", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.2", - "class": "SP800-53-enhancement", - "title": "Supplier Reviews", - "props": [ - { - "name": "label", - "value": "SA-12(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(02)" - } - ], - "links": [ - { - "href": "#sr-6", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.3", - "class": "SP800-53-enhancement", - "title": "Trusted Shipping and Warehousing", - "props": [ - { - "name": "label", - "value": "SA-12(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(03)" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.4", - "class": "SP800-53-enhancement", - "title": "Diversity of Suppliers", - "props": [ - { - "name": "label", - "value": "SA-12(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(04)" - } - ], - "links": [ - { - "href": "#sr-3.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.5", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "props": [ - { - "name": "label", - "value": "SA-12(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(05)" - } - ], - "links": [ - { - "href": "#sr-3.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.6", - "class": "SP800-53-enhancement", - "title": "Minimizing Procurement Time", - "props": [ - { - "name": "label", - "value": "SA-12(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(06)" - } - ], - "links": [ - { - "href": "#sr-5.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.7", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection / Acceptance / Update", - "props": [ - { - "name": "label", - "value": "SA-12(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(07)" - } - ], - "links": [ - { - "href": "#sr-5.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.8", - "class": "SP800-53-enhancement", - "title": "Use of All-source Intelligence", - "props": [ - { - "name": "label", - "value": "SA-12(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(08)" - } - ], - "links": [ - { - "href": "#ra-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.9", - "class": "SP800-53-enhancement", - "title": "Operations Security", - "props": [ - { - "name": "label", - "value": "SA-12(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(09)" - } - ], - "links": [ - { - "href": "#sr-7", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.10", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "props": [ - { - "name": "label", - "value": "SA-12(10)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(10)" - } - ], - "links": [ - { - "href": "#sr-4.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.11", - "class": "SP800-53-enhancement", - "title": "Penetration Testing / Analysis of Elements, Processes, and Actors", - "props": [ - { - "name": "label", - "value": "SA-12(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(11)" - } - ], - "links": [ - { - "href": "#sr-6.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.12", - "class": "SP800-53-enhancement", - "title": "Inter-organizational Agreements", - "props": [ - { - "name": "label", - "value": "SA-12(12)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(12)" - } - ], - "links": [ - { - "href": "#sr-8", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.13", - "class": "SP800-53-enhancement", - "title": "Critical Information System Components", - "props": [ - { - "name": "label", - "value": "SA-12(13)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(13)" - } - ], - "links": [ - { - "href": "#ma-6", - "rel": "incorporated-into" - }, - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-12.14", - "class": "SP800-53-enhancement", - "title": "Identity and Traceability", - "props": [ - { - "name": "label", - "value": "SA-12(14)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(14)" - } - ], - "links": [ - { - "href": "#sr-4.1", - "rel": "moved-to" - }, - { - "href": "#sr-4.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-12.15", - "class": "SP800-53-enhancement", - "title": "Processes to Address Weaknesses or Deficiencies", - "props": [ - { - "name": "label", - "value": "SA-12(15)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-12(15)" - } - ], - "links": [ - { - "href": "#sr-3", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-13", - "class": "SP800-53", - "title": "Trustworthiness", - "props": [ - { - "name": "label", - "value": "SA-13" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-13" - } - ], - "links": [ - { - "href": "#sa-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-14", - "class": "SP800-53", - "title": "Criticality Analysis", - "props": [ - { - "name": "label", - "value": "SA-14" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-14" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "incorporated-into" - } - ], - "controls": [ - { - "id": "sa-14.1", - "class": "SP800-53-enhancement", - "title": "Critical Components with No Viable Alternative Sourcing", - "props": [ - { - "name": "label", - "value": "SA-14(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-14(01)" - } - ], - "links": [ - { - "href": "#sa-20", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-15", - "class": "SP800-53", - "title": "Development Process, Standards, and Tools", - "params": [ - { - "id": "sa-15_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15_prm_2", - "label": "organization-defined security and privacy requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15" - }, - { - "name": "sort-id", - "value": "SA-15" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15_smt", - "name": "statement", - "parts": [ - { - "id": "sa-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Require the developer of the system, system component, or system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Explicitly addresses security and privacy requirements;" - }, - { - "id": "sa-15_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15_smt.a.3", - "name": "item", - "props": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Documents the specific tool options and tool configurations used in the development process; and" - }, - { - "id": "sa-15_smt.a.4", - "name": "item", - "props": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and" - } - ] - }, - { - "id": "sa-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, sa-15_prm_1 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, sa-15_prm_2 }}." - } - ] - }, - { - "id": "sa-15_gdn", - "name": "guidance", - "prose": "Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes." - } - ], - "controls": [ - { - "id": "sa-15.1", - "class": "SP800-53-enhancement", - "title": "Quality Metrics", - "params": [ - { - "id": "sa-15.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, sa-15.1_prm_2 }} ", - " {{ insert: param, sa-15.1_prm_3 }} ", - "upon delivery" - ] - } - }, - { - "id": "sa-15.1_prm_2", - "depends-on": "sa-15.1_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15.1_prm_3", - "depends-on": "sa-15.1_prm_1", - "label": "organization-defined program review milestones" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(1)" - }, - { - "name": "sort-id", - "value": "SA-15(01)" - } - ], - "parts": [ - { - "id": "sa-15.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-15.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define quality metrics at the beginning of the development process; and" - }, - { - "id": "sa-15.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide evidence of meeting the quality metrics {{ insert: param, sa-15.1_prm_1 }}." - } - ] - }, - { - "id": "sa-15.1_gdn", - "name": "guidance", - "prose": "Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High." - } - ] - }, - { - "id": "sa-15.2", - "class": "SP800-53-enhancement", - "title": "Security Tracking Tools", - "props": [ - { - "name": "label", - "value": "SA-15(2)" - }, - { - "name": "sort-id", - "value": "SA-15(02)" - } - ], - "links": [ - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process." - }, - { - "id": "sa-15.2_gdn", - "name": "guidance", - "prose": "System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes." - } - ] - }, - { - "id": "sa-15.3", - "class": "SP800-53-enhancement", - "title": "Criticality Analysis", - "params": [ - { - "id": "sa-15.3_prm_1", - "label": "organization-defined decision points in the system development life cycle" - }, - { - "id": "sa-15.3_prm_2", - "label": "organization-defined breadth and depth of criticality analysis" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(3)" - }, - { - "name": "sort-id", - "value": "SA-15(03)" - } - ], - "links": [ - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to perform a criticality analysis:", - "parts": [ - { - "id": "sa-15.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "At the following decision points in the system development life cycle: {{ insert: param, sa-15.3_prm_1 }}; and" - }, - { - "id": "sa-15.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "At the following level of rigor: {{ insert: param, sa-15.3_prm_2 }}." - } - ] - }, - { - "id": "sa-15.3_gdn", - "name": "guidance", - "prose": "Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses." - } - ] - }, - { - "id": "sa-15.4", - "class": "SP800-53-enhancement", - "title": "Threat Modeling and Vulnerability Analysis", - "props": [ - { - "name": "label", - "value": "SA-15(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-15(04)" - } - ], - "links": [ - { - "href": "#sa-11.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.5", - "class": "SP800-53-enhancement", - "title": "Attack Surface Reduction", - "params": [ - { - "id": "sa-15.5_prm_1", - "label": "organization-defined thresholds" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(5)" - }, - { - "name": "sort-id", - "value": "SA-15(05)" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to reduce attack surfaces to {{ insert: param, sa-15.5_prm_1 }}." - }, - { - "id": "sa-15.5_gdn", - "name": "guidance", - "prose": "Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses; applying the principles of least privilege and least functionality; applying secure software development practices; deprecating unsafe functions; reducing entry points available to unauthorized users; reducing the amount of code executing; and eliminating application programming interfaces (APIs) that are vulnerable to attacks." - } - ] - }, - { - "id": "sa-15.6", - "class": "SP800-53-enhancement", - "title": "Continuous Improvement", - "props": [ - { - "name": "label", - "value": "SA-15(6)" - }, - { - "name": "sort-id", - "value": "SA-15(06)" - } - ], - "parts": [ - { - "id": "sa-15.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process." - }, - { - "id": "sa-15.6_gdn", - "name": "guidance", - "prose": "Developers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments." - } - ] - }, - { - "id": "sa-15.7", - "class": "SP800-53-enhancement", - "title": "Automated Vulnerability Analysis", - "params": [ - { - "id": "sa-15.7_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sa-15.7_prm_2", - "label": "organization-defined tools" - }, - { - "id": "sa-15.7_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SA-15(7)" - }, - { - "name": "sort-id", - "value": "SA-15(07)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service {{ insert: param, sa-15.7_prm_1 }} to:", - "parts": [ - { - "id": "sa-15.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Perform an automated vulnerability analysis using {{ insert: param, sa-15.7_prm_2 }};" - }, - { - "id": "sa-15.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Determine the exploitation potential for discovered vulnerabilities;" - }, - { - "id": "sa-15.7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Determine potential risk mitigations for delivered vulnerabilities; and" - }, - { - "id": "sa-15.7_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Deliver the outputs of the tools and results of the analysis to {{ insert: param, sa-15.7_prm_3 }}." - } - ] - }, - { - "id": "sa-15.7_gdn", - "name": "guidance", - "prose": "Automated tools can be more effective in analyzing exploitable weaknesses or deficiencies in large and complex systems; prioritizing vulnerabilities by severity; and providing recommendations for risk mitigations." - } - ] - }, - { - "id": "sa-15.8", - "class": "SP800-53-enhancement", - "title": "Reuse of Threat and Vulnerability Information", - "props": [ - { - "name": "label", - "value": "SA-15(8)" - }, - { - "name": "sort-id", - "value": "SA-15(08)" - } - ], - "parts": [ - { - "id": "sa-15.8_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process." - }, - { - "id": "sa-15.8_gdn", - "name": "guidance", - "prose": "Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database." - } - ] - }, - { - "id": "sa-15.9", - "class": "SP800-53-enhancement", - "title": "Use of Live Data", - "props": [ - { - "name": "label", - "value": "SA-15(9)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-15(09)" - } - ], - "links": [ - { - "href": "#sa-3.2", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sa-15.10", - "class": "SP800-53-enhancement", - "title": "Incident Response Plan", - "props": [ - { - "name": "label", - "value": "SA-15(10)" - }, - { - "name": "sort-id", - "value": "SA-15(10)" - } - ], - "links": [ - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.10_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan." - }, - { - "id": "sa-15.10_gdn", - "name": "guidance", - "prose": "The incident response plan provided by developers may be incorporated into organizational incident response plans. Developer incident response information provides information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products." - } - ] - }, - { - "id": "sa-15.11", - "class": "SP800-53-enhancement", - "title": "Archive System or Component", - "props": [ - { - "name": "label", - "value": "SA-15(11)" - }, - { - "name": "sort-id", - "value": "SA-15(11)" - } - ], - "links": [ - { - "href": "#cm-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.11_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review." - }, - { - "id": "sa-15.11_gdn", - "name": "guidance", - "prose": "Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications." - } - ] - }, - { - "id": "sa-15.12", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information", - "props": [ - { - "name": "label", - "value": "SA-15(12)" - }, - { - "name": "sort-id", - "value": "SA-15(12)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-15.12_smt", - "name": "statement", - "prose": "Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments." - }, - { - "id": "sa-15.12_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual’s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system." - } - ] - } - ] - }, - { - "id": "sa-16", - "class": "SP800-53", - "title": "Developer-provided Training", - "params": [ - { - "id": "sa-16_prm_1", - "label": "organization-defined training" - } - ], - "props": [ - { - "name": "label", - "value": "SA-16" - }, - { - "name": "sort-id", - "value": "SA-16" - } - ], - "links": [ - { - "href": "#at-2", - "rel": "related" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-16_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - }, - { - "id": "sa-16_gdn", - "name": "guidance", - "prose": "Developer-provided training applies to external and internal (in-house) developers. Training of personnel is an essential element to help ensure the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training; classroom-style training; and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms." - } - ] - }, - { - "id": "sa-17", - "class": "SP800-53", - "title": "Developer Security Architecture and Design", - "props": [ - { - "name": "label", - "value": "SA-17" - }, - { - "name": "sort-id", - "value": "SA-17" - } - ], - "links": [ - { - "href": "#18abb755-c10f-407d-b0ef-4f99e5ec4a49", - "rel": "reference" - }, - { - "href": "#2ce3a8bf-7f8b-4249-bd16-808231415b14", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-7", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to produce a design specification and security architecture that:", - "parts": [ - { - "id": "sa-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is consistent with the organization’s security architecture that is an integral part the organization’s enterprise architecture;" - }, - { - "id": "sa-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Accurately and completely describes the required security functionality, and the allocation of controls among physical and logical components; and" - }, - { - "id": "sa-17_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection." - } - ] - }, - { - "id": "sa-17_gdn", - "name": "guidance", - "prose": "Developer security architecture and design is directed at external developers, although it could also be applied to internal (in-house) development. In contrast, PL-8 is directed at internal developers to ensure that organizations develop a security architecture and that the architecture is integrated with the enterprise architecture. The distinction between SA-17 and PL-8 is especially important when organizations outsource the development of systems, system components, or system services, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. [ISO 15408-2], [ISO 15408-3], and [SP 800-160 v1] provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing." - } - ], - "controls": [ - { - "id": "sa-17.1", - "class": "SP800-53-enhancement", - "title": "Formal Policy Model", - "params": [ - { - "id": "sa-17.1_prm_1", - "label": "organization-defined elements of organizational security policy" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(1)" - }, - { - "name": "sort-id", - "value": "SA-17(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.1_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal policy model describing the {{ insert: param, sa-17.1_prm_1 }} to be enforced; and" - }, - { - "id": "sa-17.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented." - } - ] - }, - { - "id": "sa-17.1_gdn", - "name": "guidance", - "prose": "Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Formal modeling tools include Gypsy and Zed." - } - ] - }, - { - "id": "sa-17.2", - "class": "SP800-53-enhancement", - "title": "Security-relevant Components", - "props": [ - { - "name": "label", - "value": "SA-17(2)" - }, - { - "name": "sort-id", - "value": "SA-17(02)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.2_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Define security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete." - } - ] - }, - { - "id": "sa-17.2_gdn", - "name": "guidance", - "prose": "The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties." - } - ] - }, - { - "id": "sa-17.3", - "class": "SP800-53-enhancement", - "title": "Formal Correspondence", - "props": [ - { - "name": "label", - "value": "SA-17(3)" - }, - { - "name": "sort-id", - "value": "SA-17(03)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.3_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.3_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.3_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output." - } - ] - }, - { - "id": "sa-17.4", - "class": "SP800-53-enhancement", - "title": "Informal Correspondence", - "params": [ - { - "id": "sa-17.4_prm_1", - "select": { - "choice": [ - "informal demonstration", - "convincing argument with formal methods as feasible" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(4)" - }, - { - "name": "sort-id", - "value": "SA-17(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.4_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;" - }, - { - "id": "sa-17.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Show via {{ insert: param, sa-17.4_prm_1 }} that the descriptive top-level specification is consistent with the formal policy model;" - }, - { - "id": "sa-17.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;" - }, - { - "id": "sa-17.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and" - }, - { - "id": "sa-17.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware." - } - ] - }, - { - "id": "sa-17.4_gdn", - "name": "guidance", - "prose": "Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output." - } - ] - }, - { - "id": "sa-17.5", - "class": "SP800-53-enhancement", - "title": "Conceptually Simple Design", - "props": [ - { - "name": "label", - "value": "SA-17(5)" - }, - { - "name": "sort-id", - "value": "SA-17(05)" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.5_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to:", - "parts": [ - { - "id": "sa-17.5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and" - }, - { - "id": "sa-17.5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism." - } - ] - }, - { - "id": "sa-17.5_gdn", - "name": "guidance", - "prose": "The principle of reduced complexity states that the system design is as simple and small as possible (see SA-8(7)). A small and simple design is easier to understand and analyze, and is also less prone to error (see AC-25, SA-8(13)). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain—that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex." - } - ] - }, - { - "id": "sa-17.6", - "class": "SP800-53-enhancement", - "title": "Structure for Testing", - "props": [ - { - "name": "label", - "value": "SA-17(6)" - }, - { - "name": "sort-id", - "value": "SA-17(06)" - } - ], - "links": [ - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.6_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing." - }, - { - "id": "sa-17.6_gdn", - "name": "guidance", - "prose": "Applying the security design principles in [SP 800-160 v1] promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service." - } - ] - }, - { - "id": "sa-17.7", - "class": "SP800-53-enhancement", - "title": "Structure for Least Privilege", - "props": [ - { - "name": "label", - "value": "SA-17(7)" - }, - { - "name": "sort-id", - "value": "SA-17(07)" - } - ], - "links": [ - { - "href": "#ac-5", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-17.7_smt", - "name": "statement", - "prose": "Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege." - }, - { - "id": "sa-17.7_gdn", - "name": "guidance", - "prose": "The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions, but no more (see SA-8(14)). Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes to the elements (e.g., read, write) are minimal." - } - ] - }, - { - "id": "sa-17.8", - "class": "SP800-53-enhancement", - "title": "Orchestration", - "params": [ - { - "id": "sa-17.8_prm_1", - "label": "organization-defined critical systems or system components" - }, - { - "id": "sa-17.8_prm_2", - "label": "organization-defined capabilities, by system or component" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(8)" - }, - { - "name": "sort-id", - "value": "SA-17(08)" - } - ], - "parts": [ - { - "id": "sa-17.8_smt", - "name": "statement", - "prose": "Design {{ insert: param, sa-17.8_prm_1 }} with coordinated behavior to implement the following capabilities: {{ insert: param, sa-17.8_prm_2 }}." - }, - { - "id": "sa-17.8_gdn", - "name": "guidance", - "prose": "Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions." - } - ] - }, - { - "id": "sa-17.9", - "class": "SP800-53-enhancement", - "title": "Design Diversity", - "params": [ - { - "id": "sa-17.9_prm_1", - "label": "organization-defined critical systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-17(9)" - }, - { - "name": "sort-id", - "value": "SA-17(09)" - } - ], - "parts": [ - { - "id": "sa-17.9_smt", - "name": "statement", - "prose": "Use different designs for {{ insert: param, sa-17.9_prm_1 }} to satisfy a common set of requirements or to provide equivalent functionality." - }, - { - "id": "sa-17.9_gdn", - "name": "guidance", - "prose": "Design diversity is achieved by supplying the same requirements specification to multiple developers, each of which is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task, and determining how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what to convert to digital form; transmitting the same information at different times; and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance." - } - ] - } - ] - }, - { - "id": "sa-18", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SA-18" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-18.1", - "class": "SP800-53-enhancement", - "title": "Multiple Phases of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SA-18(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18(01)" - } - ], - "links": [ - { - "href": "#sr-9.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-18.2", - "class": "SP800-53-enhancement", - "title": "Inspection of Systems or Components", - "props": [ - { - "name": "label", - "value": "SA-18(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-18(02)" - } - ], - "links": [ - { - "href": "#sr-10", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-19", - "class": "SP800-53", - "title": "Component Authenticity", - "props": [ - { - "name": "label", - "value": "SA-19" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19" - } - ], - "links": [ - { - "href": "#sr-11", - "rel": "moved-to" - } - ], - "controls": [ - { - "id": "sa-19.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "props": [ - { - "name": "label", - "value": "SA-19(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(01)" - } - ], - "links": [ - { - "href": "#sr-11.1", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "props": [ - { - "name": "label", - "value": "SA-19(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(02)" - } - ], - "links": [ - { - "href": "#sr-11.2", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "props": [ - { - "name": "label", - "value": "SA-19(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(03)" - } - ], - "links": [ - { - "href": "#sr-11.3", - "rel": "moved-to" - } - ] - }, - { - "id": "sa-19.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "props": [ - { - "name": "label", - "value": "SA-19(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-19(04)" - } - ], - "links": [ - { - "href": "#sr-11.4", - "rel": "moved-to" - } - ] - } - ] - }, - { - "id": "sa-20", - "class": "SP800-53", - "title": "Customized Development of Critical Components", - "params": [ - { - "id": "sa-20_prm_1", - "label": "organization-defined critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-20" - }, - { - "name": "sort-id", - "value": "SA-20" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-20_smt", - "name": "statement", - "prose": "Re-implement or custom develop the following critical system components: {{ insert: param, sa-20_prm_1 }}." - }, - { - "id": "sa-20_gdn", - "name": "guidance", - "prose": "Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files." - } - ] - }, - { - "id": "sa-21", - "class": "SP800-53", - "title": "Developer Screening", - "params": [ - { - "id": "sa-21_prm_1", - "label": "organization-defined system, system component, or system service" - }, - { - "id": "sa-21_prm_2", - "label": "organization-defined official government duties" - }, - { - "id": "sa-21_prm_3", - "label": "organization-defined additional personnel screening criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SA-21" - }, - { - "name": "sort-id", - "value": "SA-21" - } - ], - "links": [ - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-3", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#ps-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-21_smt", - "name": "statement", - "prose": "Require that the developer of {{ insert: param, sa-21_prm_1 }}:", - "parts": [ - { - "id": "sa-21_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Has appropriate access authorizations as determined by assigned {{ insert: param, sa-21_prm_2 }};" - }, - { - "id": "sa-21_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Satisfies the following additional personnel screening criteria: {{ insert: param, sa-21_prm_3 }}; and" - }, - { - "id": "sa-21_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides information that the access authorizations and screening criteria are satisfied." - } - ] - }, - { - "id": "sa-21_gdn", - "name": "guidance", - "prose": "Developer screening is directed at external developers. Internal developer screening is addressed by PS-3. Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals accessing the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships the company has with entities potentially affecting the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements." - } - ], - "controls": [ - { - "id": "sa-21.1", - "class": "SP800-53-enhancement", - "title": "Validation of Screening", - "props": [ - { - "name": "label", - "value": "SA-21(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-21(01)" - } - ], - "links": [ - { - "href": "#sa-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-22", - "class": "SP800-53", - "title": "Unsupported System Components", - "params": [ - { - "id": "sa-22_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "in-house support", - " {{ insert: param, sa-22_prm_2 }} " - ] - } - }, - { - "id": "sa-22_prm_2", - "depends-on": "sa-22_prm_1", - "label": "organization-defined support from external providers" - } - ], - "props": [ - { - "name": "label", - "value": "SA-22" - }, - { - "name": "sort-id", - "value": "SA-22" - } - ], - "links": [ - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-22_smt", - "name": "statement", - "parts": [ - { - "id": "sa-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or" - }, - { - "id": "sa-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, sa-22_prm_1 }}." - } - ] - }, - { - "id": "sa-22_gdn", - "name": "guidance", - "prose": "Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. If necessary, organizations can establish in-house support by developing customized patches for critical software components or alternatively, obtain the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include Open Source Software value-added vendors." - } - ], - "controls": [ - { - "id": "sa-22.1", - "class": "SP800-53-enhancement", - "title": "Alternative Sources for Continued Support", - "props": [ - { - "name": "label", - "value": "SA-22(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SA-22(01)" - } - ], - "links": [ - { - "href": "#sa-22", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sa-23", - "class": "SP800-53", - "title": "Specialization", - "params": [ - { - "id": "sa-23_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "design modification", - "augmentation", - "reconfiguration" - ] - } - }, - { - "id": "sa-23_prm_2", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SA-23" - }, - { - "name": "sort-id", - "value": "SA-23" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#ra-9", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sa-23_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sa-23_prm_1 }} on {{ insert: param, sa-23_prm_2 }} supporting mission essential services or functions to increase the trustworthiness in those systems or components." - }, - { - "id": "sa-23_gdn", - "name": "guidance", - "prose": "It is often necessary for a system or system component that supports mission essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend upon the organization-defined resources." - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sc-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sc-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "SC-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sc-1_prm_2 }} system and communications protection policy that:", - "parts": [ - { - "id": "sc-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sc-1_prm_3 }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and" - }, - { - "id": "sc-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and communications protection:", - "parts": [ - { - "id": "sc-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sc-1_prm_4 }}; and" - }, - { - "id": "sc-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sc-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Separation of System and User Functionality", - "props": [ - { - "name": "label", - "value": "SC-2" - }, - { - "name": "sort-id", - "value": "SC-02" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "Separate user functionality, including user interface services, from system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations implement separation of system management functions from user functions, for example, by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18)." - } - ], - "controls": [ - { - "id": "sc-2.1", - "class": "SP800-53-enhancement", - "title": "Interfaces for Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SC-2(1)" - }, - { - "name": "sort-id", - "value": "SC-02(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-2.1_smt", - "name": "statement", - "prose": "Prevent the presentation of system management functionality at interfaces to non-privileged users." - }, - { - "id": "sc-2.1_gdn", - "name": "guidance", - "prose": "Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges." - } - ] - }, - { - "id": "sc-2.2", - "class": "SP800-53-enhancement", - "title": "Disassociability", - "props": [ - { - "name": "label", - "value": "SC-2(2)" - }, - { - "name": "sort-id", - "value": "SC-02(02)" - } - ], - "parts": [ - { - "id": "sc-2.2_smt", - "name": "statement", - "prose": "Store state information from applications and software separately." - }, - { - "id": "sc-2.2_gdn", - "name": "guidance", - "prose": "If a system is compromised, storing applications and software separately from state information about users’ interactions with an application, may better protect individuals’ privacy." - } - ] - } - ] - }, - { - "id": "sc-3", - "class": "SP800-53", - "title": "Security Function Isolation", - "props": [ - { - "name": "label", - "value": "SC-3" - }, - { - "name": "sort-id", - "value": "SC-03" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sa-17", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-3_smt", - "name": "statement", - "prose": "Isolate security functions from nonsecurity functions." - }, - { - "id": "sc-3_gdn", - "name": "guidance", - "prose": "Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Systems implement code separation in many ways, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18)." - } - ], - "controls": [ - { - "id": "sc-3.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-3(1)" - }, - { - "name": "sort-id", - "value": "SC-03(01)" - } - ], - "parts": [ - { - "id": "sc-3.1_smt", - "name": "statement", - "prose": "Employ hardware separation mechanisms to implement security function isolation." - }, - { - "id": "sc-3.1_gdn", - "name": "guidance", - "prose": "Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable)." - } - ] - }, - { - "id": "sc-3.2", - "class": "SP800-53-enhancement", - "title": "Access and Flow Control Functions", - "props": [ - { - "name": "label", - "value": "SC-3(2)" - }, - { - "name": "sort-id", - "value": "SC-03(02)" - } - ], - "parts": [ - { - "id": "sc-3.2_smt", - "name": "statement", - "prose": "Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions." - }, - { - "id": "sc-3.2_gdn", - "name": "guidance", - "prose": "Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions." - } - ] - }, - { - "id": "sc-3.3", - "class": "SP800-53-enhancement", - "title": "Minimize Nonsecurity Functionality", - "props": [ - { - "name": "label", - "value": "SC-3(3)" - }, - { - "name": "sort-id", - "value": "SC-03(03)" - } - ], - "parts": [ - { - "id": "sc-3.3_smt", - "name": "statement", - "prose": "Minimize the number of nonsecurity functions included within the isolation boundary containing security functions." - }, - { - "id": "sc-3.3_gdn", - "name": "guidance", - "prose": "Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software, can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems providing information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability." - } - ] - }, - { - "id": "sc-3.4", - "class": "SP800-53-enhancement", - "title": "Module Coupling and Cohesiveness", - "props": [ - { - "name": "label", - "value": "SC-3(4)" - }, - { - "name": "sort-id", - "value": "SC-03(04)" - } - ], - "parts": [ - { - "id": "sc-3.4_smt", - "name": "statement", - "prose": "Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules." - }, - { - "id": "sc-3.4_gdn", - "name": "guidance", - "prose": "The reduction in inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled." - } - ] - }, - { - "id": "sc-3.5", - "class": "SP800-53-enhancement", - "title": "Layered Structures", - "props": [ - { - "name": "label", - "value": "SC-3(5)" - }, - { - "name": "sort-id", - "value": "SC-03(05)" - } - ], - "parts": [ - { - "id": "sc-3.5_smt", - "name": "statement", - "prose": "Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers." - }, - { - "id": "sc-3.5_gdn", - "name": "guidance", - "prose": "The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity." - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared System Resources", - "props": [ - { - "name": "label", - "value": "SC-4" - }, - { - "name": "sort-id", - "value": "SC-04" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "Prevent unauthorized and unintended information transfer via shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. This control also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. This control does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles." - } - ], - "controls": [ - { - "id": "sc-4.1", - "class": "SP800-53-enhancement", - "title": "Security Levels", - "props": [ - { - "name": "label", - "value": "SC-4(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-04(01)" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-4.2", - "class": "SP800-53-enhancement", - "title": "Multilevel or Periods Processing", - "params": [ - { - "id": "sc-4.2_prm_1", - "label": "organization-defined procedures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-4(2)" - }, - { - "name": "sort-id", - "value": "SC-04(02)" - } - ], - "parts": [ - { - "id": "sc-4.2_smt", - "name": "statement", - "prose": "Prevent unauthorized information transfer via shared resources in accordance with {{ insert: param, sc-4.2_prm_1 }} when system processing explicitly switches between different information classification levels or security categories." - }, - { - "id": "sc-4.2_gdn", - "name": "guidance", - "prose": "Changes in processing levels during system operations can occur, for example, during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include the approved sanitization processes for electronically stored information." - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "params": [ - { - "id": "sc-5_prm_1", - "select": { - "choice": [ - "protect against", - "limit" - ] - } - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined types of denial of service events" - }, - { - "id": "sc-5_prm_3", - "label": "organization-defined controls by type of denial of service event" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "SC-05" - } - ], - "links": [ - { - "href": "#3862cd94-ff25-4631-9a9a-b92c21a0a923", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "{{ insert: param, sc-5_prm_1 }} the effects of the following types of denial of service events: {{ insert: param, sc-5_prm_2 }}; and" - }, - { - "id": "sc-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following controls to achieve the denial of service objective: {{ insert: param, sc-5_prm_3 }}." - } - ] - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "Denial of service events may occur due to a variety of internal and external causes such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a variety of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial of service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by, or the source of, denial of service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial of service events." - } - ], - "controls": [ - { - "id": "sc-5.1", - "class": "SP800-53-enhancement", - "title": "Restrict Ability to Attack Other Systems", - "params": [ - { - "id": "sc-5.1_prm_1", - "label": "organization-defined denial of service attacks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5(1)" - }, - { - "name": "sort-id", - "value": "SC-05(01)" - } - ], - "parts": [ - { - "id": "sc-5.1_smt", - "name": "statement", - "prose": "Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: {{ insert: param, sc-5.1_prm_1 }}." - }, - { - "id": "sc-5.1_gdn", - "name": "guidance", - "prose": "Restricting the ability of individuals to launch denial of service attacks requires the mechanisms commonly used for such attacks are unavailable. Individuals of concern include hostile insiders or external adversaries that have breached or compromised the system and are using the system to launch a denial of service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific systems or on boundary devices prohibiting egress to potential target systems." - } - ] - }, - { - "id": "sc-5.2", - "class": "SP800-53-enhancement", - "title": "Capacity, Bandwidth, and Redundancy", - "props": [ - { - "name": "label", - "value": "SC-5(2)" - }, - { - "name": "sort-id", - "value": "SC-05(02)" - } - ], - "parts": [ - { - "id": "sc-5.2_smt", - "name": "statement", - "prose": "Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks." - }, - { - "id": "sc-5.2_gdn", - "name": "guidance", - "prose": "Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing." - } - ] - }, - { - "id": "sc-5.3", - "class": "SP800-53-enhancement", - "title": "Detection and Monitoring", - "params": [ - { - "id": "sc-5.3_prm_1", - "label": "organization-defined monitoring tools" - }, - { - "id": "sc-5.3_prm_2", - "label": "organization-defined system resources" - } - ], - "props": [ - { - "name": "label", - "value": "SC-5(3)" - }, - { - "name": "sort-id", - "value": "SC-05(03)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-5.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-5.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following monitoring tools to detect indicators of denial of service attacks against, or launched from, the system: {{ insert: param, sc-5.3_prm_1 }}; and" - }, - { - "id": "sc-5.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor the following system resources to determine if sufficient resources exist to prevent effective denial of service attacks: {{ insert: param, sc-5.3_prm_2 }}." - } - ] - }, - { - "id": "sc-5.3_gdn", - "name": "guidance", - "prose": "Organizations consider utilization and capacity of system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. System resources sensitive to denial of service include physical disk storage, memory, and CPU cycles. Controls used to prevent denial of service attacks related to storage utilization and capacity include instituting disk quotas; configuring systems to automatically alert administrators when specific storage capacity thresholds are reached; using file compression technologies to maximize available storage space; and imposing separate partitions for system and user data." - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "params": [ - { - "id": "sc-6_prm_1", - "label": "organization-defined resources" - }, - { - "id": "sc-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "priority", - "quota", - " {{ insert: param, sc-6_prm_3 }} " - ] - } - }, - { - "id": "sc-6_prm_3", - "depends-on": "sc-6_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-6" - }, - { - "name": "sort-id", - "value": "SC-06" - } - ], - "links": [ - { - "href": "#36f101d0-0efd-4169-8d62-25a2ef414a1d", - "rel": "reference" - }, - { - "href": "#2ee29e9a-6855-4160-a811-b5c7c50bd127", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "Protect the availability of resources by allocating {{ insert: param, sc-6_prm_1 }} by {{ insert: param, sc-6_prm_2 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection prevents lower-priority processes from delaying or interfering with the system servicing higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to system components for which there are only single users or roles." - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "params": [ - { - "id": "sc-7_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "SC-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#e07d73ea-96b9-4330-aff2-e0215f455343", - "rel": "reference" - }, - { - "href": "#db7877cf-1013-4fb1-b943-ca9361d16370", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#3862cd94-ff25-4631-9a9a-b92c21a0a923", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-10", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor and control communications at the external interfaces to the system and at key internal interfaces within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement subnetworks for publicly accessible system components that are {{ insert: param, sc-7_prm_1 }} separated from internal organizational networks; and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions." - } - ], - "controls": [ - { - "id": "sc-7.1", - "class": "SP800-53-enhancement", - "title": "Physically Separated Subnetworks", - "props": [ - { - "name": "label", - "value": "SC-7(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(01)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.2", - "class": "SP800-53-enhancement", - "title": "Public Access", - "props": [ - { - "name": "label", - "value": "SC-7(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(02)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "props": [ - { - "name": "label", - "value": "SC-7(3)" - }, - { - "name": "sort-id", - "value": "SC-07(03)" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "Limit the number of external network connections to the system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC] initiative is an example of a federal guideline requiring limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system." - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "params": [ - { - "id": "sc-7.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(4)" - }, - { - "name": "sort-id", - "value": "SC-07(04)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implement a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protect the confidentiality and integrity of the information being transmitted across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Review exceptions to the traffic flow policy {{ insert: param, sc-7.4_prm_1 }} and remove exceptions that are no longer supported by an explicit mission or business need;" - }, - { - "id": "sc-7.4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Prevent unauthorized exchange of control plane traffic with external networks;" - }, - { - "id": "sc-7.4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "(g)" - } - ], - "prose": "Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and" - }, - { - "id": "sc-7.4_smt.h", - "name": "item", - "props": [ - { - "name": "label", - "value": "(h)" - } - ], - "prose": "Filter unauthorized control plane traffic from external networks." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "prose": "External commercial telecommunications services may provide data or voice communications services. Examples of control plane traffic include routing, domain name system (DNS), and management. Unauthorized control plane traffic can occur for example, through a technique known as “spoofing.”" - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default — Allow by Exception", - "params": [ - { - "id": "sc-7.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "at managed interfaces", - "for {{ insert: param, sc-7.5_prm_2 }} " - ] - } - }, - { - "id": "sc-7.5_prm_2", - "depends-on": "sc-7.5_prm_1", - "label": "organization-defined systems" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(5)" - }, - { - "name": "sort-id", - "value": "SC-07(05)" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, sc-7.5_prm_1 }}." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system." - } - ] - }, - { - "id": "sc-7.6", - "class": "SP800-53-enhancement", - "title": "Response to Recognized Failures", - "props": [ - { - "name": "label", - "value": "SC-7(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-07(06)" - } - ], - "links": [ - { - "href": "#sc-7.18", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Prevent Split Tunneling for Remote Devices", - "props": [ - { - "name": "label", - "value": "SC-7(7)" - }, - { - "name": "sort-id", - "value": "SC-07(07)" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "Prevent a remote device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "Prevention of split tunneling is implemented in remote devices through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being configurable by users. Prevention of split tunneling is implemented within the system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local system resources such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information." - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "params": [ - { - "id": "sc-7.8_prm_1", - "label": "organization-defined internal communications traffic" - }, - { - "id": "sc-7.8_prm_2", - "label": "organization-defined external networks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(8)" - }, - { - "name": "sort-id", - "value": "SC-07(08)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "Route {{ insert: param, sc-7.8_prm_1 }} to {{ insert: param, sc-7.8_prm_2 }} through authenticated proxy servers at managed interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers can support logging of Transmission Control Protocol sessions and blocking specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for “man-in-the-middle” attacks (depending on the implementation)." - } - ] - }, - { - "id": "sc-7.9", - "class": "SP800-53-enhancement", - "title": "Restrict Threatening Outgoing Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-7(9)" - }, - { - "name": "sort-id", - "value": "SC-07(09)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.9_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.9_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect and deny outgoing communications traffic posing a threat to external systems; and" - }, - { - "id": "sc-7.9_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Audit the identity of internal users associated with denied communications." - } - ] - }, - { - "id": "sc-7.9_gdn", - "name": "guidance", - "prose": "Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out at system boundaries as part of managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial of service attacks, traffic with spoofed source addresses, and traffic containing malicious code." - } - ] - }, - { - "id": "sc-7.10", - "class": "SP800-53-enhancement", - "title": "Prevent Exfiltration", - "params": [ - { - "id": "sc-7.10_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(10)" - }, - { - "name": "sort-id", - "value": "SC-07(10)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.10_smt", - "name": "statement", - "parts": [ - { - "id": "sc-7.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prevent the exfiltration of information; and" - }, - { - "id": "sc-7.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Conduct exfiltration tests {{ insert: param, sc-7.10_prm_1 }}." - } - ] - }, - { - "id": "sc-7.10_gdn", - "name": "guidance", - "prose": "This control applies to intentional and unintentional exfiltration of information. Controls to prevent exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats; monitoring for beaconing activity from systems; disconnecting external network interfaces except when explicitly needed; employing traffic profile analysis to detect deviations from the volume and types of traffic expected or call backs to command and control centers; monitoring for steganography; disassembling and reassembling packet headers; and employing data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and XML gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. Prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards enforcing information flow requirements." - } - ] - }, - { - "id": "sc-7.11", - "class": "SP800-53-enhancement", - "title": "Restrict Incoming Communications Traffic", - "params": [ - { - "id": "sc-7.11_prm_1", - "label": "organization-defined authorized sources" - }, - { - "id": "sc-7.11_prm_2", - "label": "organization-defined authorized destinations" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(11)" - }, - { - "name": "sort-id", - "value": "SC-07(11)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.11_smt", - "name": "statement", - "prose": "Only allow incoming communications from {{ insert: param, sc-7.11_prm_1 }} to be routed to {{ insert: param, sc-7.11_prm_2 }}." - }, - { - "id": "sc-7.11_gdn", - "name": "guidance", - "prose": "General source address validation techniques should be applied to restrict the use of illegal and unallocated source addresses and source addresses that should only be used inside the system boundary. Restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications; the absence of such address pairs in lists of unauthorized or disallowed pairs; or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules." - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "params": [ - { - "id": "sc-7.12_prm_1", - "label": "organization-defined host-based boundary protection mechanisms" - }, - { - "id": "sc-7.12_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(12)" - }, - { - "name": "sort-id", - "value": "SC-07(12)" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-7.12_prm_1 }} at {{ insert: param, sc-7.12_prm_2 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include host-based firewalls. System components employing host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices." - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools, Mechanisms, and Support Components", - "params": [ - { - "id": "sc-7.13_prm_1", - "label": "organization-defined information security tools, mechanisms, and support components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(13)" - }, - { - "name": "sort-id", - "value": "SC-07(13)" - } - ], - "links": [ - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "Isolate {{ insert: param, sc-7.13_prm_1 }} from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system." - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations." - } - ] - }, - { - "id": "sc-7.14", - "class": "SP800-53-enhancement", - "title": "Protect Against Unauthorized Physical Connections", - "params": [ - { - "id": "sc-7.14_prm_1", - "label": "organization-defined managed interfaces" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(14)" - }, - { - "name": "sort-id", - "value": "SC-07(14)" - } - ], - "links": [ - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#pe-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.14_smt", - "name": "statement", - "prose": "Protect against unauthorized physical connections at {{ insert: param, sc-7.14_prm_1 }}." - }, - { - "id": "sc-7.14_gdn", - "name": "guidance", - "prose": "Systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items." - } - ] - }, - { - "id": "sc-7.15", - "class": "SP800-53-enhancement", - "title": "Networked Privileged Accesses", - "props": [ - { - "name": "label", - "value": "SC-7(15)" - }, - { - "name": "sort-id", - "value": "SC-07(15)" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.15_smt", - "name": "statement", - "prose": "Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing." - }, - { - "id": "sc-7.15_gdn", - "name": "guidance", - "prose": "Privileged access provides greater accessibility to system functions, including security functions. Adversaries typically attempt to gain privileged access to systems through remote access to cause adverse mission or business impact, for example, by exfiltrating sensitive information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface can facilitate strong access controls (including strong authentication) and a comprehensive auditing capability." - } - ] - }, - { - "id": "sc-7.16", - "class": "SP800-53-enhancement", - "title": "Prevent Discovery of Components and Devices", - "props": [ - { - "name": "label", - "value": "SC-7(16)" - }, - { - "name": "sort-id", - "value": "SC-07(16)" - } - ], - "parts": [ - { - "id": "sc-7.16_smt", - "name": "statement", - "prose": "Prevent the discovery of specific system components that represent a managed interface." - }, - { - "id": "sc-7.16_gdn", - "name": "guidance", - "prose": "This control enhancement protects network addresses of system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery, requiring prior knowledge for access. Preventing discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses." - } - ] - }, - { - "id": "sc-7.17", - "class": "SP800-53-enhancement", - "title": "Automated Enforcement of Protocol Formats", - "props": [ - { - "name": "label", - "value": "SC-7(17)" - }, - { - "name": "sort-id", - "value": "SC-07(17)" - } - ], - "links": [ - { - "href": "#sc-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.17_smt", - "name": "statement", - "prose": "Enforce adherence to protocol formats." - }, - { - "id": "sc-7.17_gdn", - "name": "guidance", - "prose": "System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers." - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "props": [ - { - "name": "label", - "value": "SC-7(18)" - }, - { - "name": "sort-id", - "value": "SC-07(18)" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases." - } - ] - }, - { - "id": "sc-7.19", - "class": "SP800-53-enhancement", - "title": "Block Communication from Non-organizationally Configured Hosts", - "params": [ - { - "id": "sc-7.19_prm_1", - "label": "organization-defined communication clients" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(19)" - }, - { - "name": "sort-id", - "value": "SC-07(19)" - } - ], - "parts": [ - { - "id": "sc-7.19_smt", - "name": "statement", - "prose": "Block inbound and outbound communications traffic between {{ insert: param, sc-7.19_prm_1 }} that are independently configured by end users and external service providers." - }, - { - "id": "sc-7.19_gdn", - "name": "guidance", - "prose": "Communication clients independently configured by end users and external service providers include instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions." - } - ] - }, - { - "id": "sc-7.20", - "class": "SP800-53-enhancement", - "title": "Dynamic Isolation and Segregation", - "params": [ - { - "id": "sc-7.20_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(20)" - }, - { - "name": "sort-id", - "value": "SC-07(20)" - } - ], - "parts": [ - { - "id": "sc-7.20_smt", - "name": "statement", - "prose": "Provide the capability to dynamically isolate {{ insert: param, sc-7.20_prm_1 }} from other system components." - }, - { - "id": "sc-7.20_gdn", - "name": "guidance", - "prose": "The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur." - } - ] - }, - { - "id": "sc-7.21", - "class": "SP800-53-enhancement", - "title": "Isolation of System Components", - "params": [ - { - "id": "sc-7.21_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-7.21_prm_2", - "label": "organization-defined missions and/or business functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(21)" - }, - { - "name": "sort-id", - "value": "SC-07(21)" - } - ], - "links": [ - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.21_smt", - "name": "statement", - "prose": "Employ boundary protection mechanisms to isolate {{ insert: param, sc-7.21_prm_1 }} supporting {{ insert: param, sc-7.21_prm_2 }}." - }, - { - "id": "sc-7.21_gdn", - "name": "guidance", - "prose": "Organizations can isolate system components performing different missions or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls separating system components into physically separate networks or subnetworks; virtualization techniques; cross-domain devices separating subnetworks; and encrypting information flows among system components using distinct encryption keys." - } - ] - }, - { - "id": "sc-7.22", - "class": "SP800-53-enhancement", - "title": "Separate Subnets for Connecting to Different Security Domains", - "props": [ - { - "name": "label", - "value": "SC-7(22)" - }, - { - "name": "sort-id", - "value": "SC-07(22)" - } - ], - "parts": [ - { - "id": "sc-7.22_smt", - "name": "statement", - "prose": "Implement separate network addresses to connect to systems in different security domains." - }, - { - "id": "sc-7.22_gdn", - "name": "guidance", - "prose": "The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels." - } - ] - }, - { - "id": "sc-7.23", - "class": "SP800-53-enhancement", - "title": "Disable Sender Feedback on Protocol Validation Failure", - "props": [ - { - "name": "label", - "value": "SC-7(23)" - }, - { - "name": "sort-id", - "value": "SC-07(23)" - } - ], - "parts": [ - { - "id": "sc-7.23_smt", - "name": "statement", - "prose": "Disable feedback to senders on protocol format validation failure." - }, - { - "id": "sc-7.23_gdn", - "name": "guidance", - "prose": "Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable." - } - ] - }, - { - "id": "sc-7.24", - "class": "SP800-53-enhancement", - "title": "Personally Identifiable Information", - "params": [ - { - "id": "sc-7.24_prm_1", - "label": "organization-defined processing rules" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(24)" - }, - { - "name": "sort-id", - "value": "SC-07(24)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-7.24_smt", - "name": "statement", - "prose": "For systems that process personally identifiable information:", - "parts": [ - { - "id": "sc-7.24_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Apply the following processing rules to data elements of personally identifiable information: {{ insert: param, sc-7.24_prm_1 }};" - }, - { - "id": "sc-7.24_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;" - }, - { - "id": "sc-7.24_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Document each processing exception; and" - }, - { - "id": "sc-7.24_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Review and remove exceptions that are no longer supported." - } - ] - }, - { - "id": "sc-7.24_gdn", - "name": "guidance", - "prose": "Managing the processing of personally identifiable information is an important aspect of protecting an individual’s privacy. Applying, monitoring for and documenting exceptions to processing rules ensures that personally identifiable information is processed only in accordance with established privacy requirements." - } - ] - }, - { - "id": "sc-7.25", - "class": "SP800-53-enhancement", - "title": "Unclassified National Security System Connections", - "params": [ - { - "id": "sc-7.25_prm_1", - "label": "organization-defined unclassified, national security system" - }, - { - "id": "sc-7.25_prm_2", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(25)" - }, - { - "name": "sort-id", - "value": "SC-07(25)" - } - ], - "parts": [ - { - "id": "sc-7.25_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.25_prm_1 }} to an external network without the use of {{ insert: param, sc-7.25_prm_2 }}." - }, - { - "id": "sc-7.25_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified national security systems and external networks." - } - ] - }, - { - "id": "sc-7.26", - "class": "SP800-53-enhancement", - "title": "Classified National Security System Connections", - "params": [ - { - "id": "sc-7.26_prm_1", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(26)" - }, - { - "name": "sort-id", - "value": "SC-07(26)" - } - ], - "parts": [ - { - "id": "sc-7.26_smt", - "name": "statement", - "prose": "Prohibit the direct connection of a classified, national security system to an external network without the use of {{ insert: param, sc-7.26_prm_1 }}." - }, - { - "id": "sc-7.26_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks." - } - ] - }, - { - "id": "sc-7.27", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "params": [ - { - "id": "sc-7.27_prm_1", - "label": "organization-defined unclassified, non-national security system" - }, - { - "id": "sc-7.27_prm_2", - "label": "organization-defined boundary protection device" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(27)" - }, - { - "name": "sort-id", - "value": "SC-07(27)" - } - ], - "parts": [ - { - "id": "sc-7.27_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.27_prm_1 }} to an external network without the use of {{ insert: param, sc-7.27_prm_2 }}." - }, - { - "id": "sc-7.27_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified non-national security systems and external networks." - } - ] - }, - { - "id": "sc-7.28", - "class": "SP800-53-enhancement", - "title": "Connections to Public Networks", - "params": [ - { - "id": "sc-7.28_prm_1", - "label": "organization-defined system" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(28)" - }, - { - "name": "sort-id", - "value": "SC-07(28)" - } - ], - "parts": [ - { - "id": "sc-7.28_smt", - "name": "statement", - "prose": "Prohibit the direct connection of {{ insert: param, sc-7.28_prm_1 }} to a public network." - }, - { - "id": "sc-7.28_gdn", - "name": "guidance", - "prose": "A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access." - } - ] - }, - { - "id": "sc-7.29", - "class": "SP800-53-enhancement", - "title": "Separate Subnets to Isolate Functions", - "params": [ - { - "id": "sc-7.29_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-7.29_prm_2", - "label": "organization-defined critical system components and functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-7(29)" - }, - { - "name": "sort-id", - "value": "SC-07(29)" - } - ], - "parts": [ - { - "id": "sc-7.29_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-7.29_prm_1 }} separate subnetworks to isolate the following critical system components and functions: {{ insert: param, sc-7.29_prm_2 }}." - }, - { - "id": "sc-7.29_gdn", - "name": "guidance", - "prose": "Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce the susceptibility to a catastrophic or debilitating breach or compromise resulting in system failure. For example, physically separating the command and control function from the entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions." - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "params": [ - { - "id": "sc-8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8" - }, - { - "name": "sort-id", - "value": "SC-08" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#bbc7085f-b383-444e-af74-722a55cccc0f", - "rel": "reference" - }, - { - "href": "#286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#ia-9", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pe-4", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-16", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-8_prm_1 }} of transmitted information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "Protecting the confidentiality and integrity of transmitted information applies to internal and external networks, and any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical means or by logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a term for wireline or fiber-optics telecommunication system that includes terminals and adequate acoustical, electrical, electromagnetic, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques. Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services, may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunication service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls." - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-8.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(1)" - }, - { - "name": "sort-id", - "value": "SC-08(01)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to {{ insert: param, sc-8.1_prm_1 }} during transmission." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have application in digital signatures, checksums, and message authentication codes. SC-13 is used to specify the specific protocols, algorithms, and algorithm parameters to be implemented on each transmission path." - } - ] - }, - { - "id": "sc-8.2", - "class": "SP800-53-enhancement", - "title": "Pre- and Post-transmission Handling", - "params": [ - { - "id": "sc-8.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(2)" - }, - { - "name": "sort-id", - "value": "SC-08(02)" - } - ], - "parts": [ - { - "id": "sc-8.2_smt", - "name": "statement", - "prose": "Maintain the {{ insert: param, sc-8.2_prm_1 }} of information during preparation for transmission and during reception." - }, - { - "id": "sc-8.2_gdn", - "name": "guidance", - "prose": "Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information." - } - ] - }, - { - "id": "sc-8.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection for Message Externals", - "params": [ - { - "id": "sc-8.3_prm_1", - "label": "organization-defined alternative physical controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(3)" - }, - { - "name": "sort-id", - "value": "SC-08(03)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to protect message externals unless otherwise protected by {{ insert: param, sc-8.3_prm_1 }}." - }, - { - "id": "sc-8.3_gdn", - "name": "guidance", - "prose": "Cryptographic protection for message externals addresses protection from unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems." - } - ] - }, - { - "id": "sc-8.4", - "class": "SP800-53-enhancement", - "title": "Conceal or Randomize Communications", - "params": [ - { - "id": "sc-8.4_prm_1", - "label": "organization-defined alternative physical controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(4)" - }, - { - "name": "sort-id", - "value": "SC-08(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-8.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by {{ insert: param, sc-8.4_prm_1 }}." - }, - { - "id": "sc-8.4_gdn", - "name": "guidance", - "prose": "Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to the missions and business functions of the organization. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems." - } - ] - }, - { - "id": "sc-8.5", - "class": "SP800-53-enhancement", - "title": "Protected Distribution System", - "params": [ - { - "id": "sc-8.5_prm_1", - "label": "organization-defined protected distribution system" - }, - { - "id": "sc-8.5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "prevent unauthorized disclosure of information", - "detect changes to information" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-8(5)" - }, - { - "name": "sort-id", - "value": "SC-08(05)" - } - ], - "parts": [ - { - "id": "sc-8.5_smt", - "name": "statement", - "prose": "Implement {{ insert: param, sc-8.5_prm_1 }} to {{ insert: param, sc-8.5_prm_2 }} during transmission." - }, - { - "id": "sc-8.5_gdn", - "name": "guidance", - "prose": "The purpose of a protected distribution system is to deter, detect and/or make difficult physical access to the communication lines carrying national security information." - } - ] - } - ] - }, - { - "id": "sc-9", - "class": "SP800-53", - "title": "Transmission Confidentiality", - "props": [ - { - "name": "label", - "value": "SC-9" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-09" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "params": [ - { - "id": "sc-10_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "SC-10" - } - ], - "links": [ - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, sc-10_prm_1 }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time-periods by type of network access or for specific network accesses." - } - ] - }, - { - "id": "sc-11", - "class": "SP800-53", - "title": "Trusted Path", - "params": [ - { - "id": "sc-11_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - }, - { - "id": "sc-11_prm_2", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-11" - }, - { - "name": "sort-id", - "value": "SC-11" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-11_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide a {{ insert: param, sc-11_prm_1 }} isolated trusted communications path for communications between the user and the trusted components of the system; and" - }, - { - "id": "sc-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: {{ insert: param, sc-11_prm_2 }}." - } - ] - }, - { - "id": "sc-11_gdn", - "name": "guidance", - "prose": "Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of systems with the requisite assurance to support security policies. These mechanisms can be activated only by users or the security functions of organizational systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted path employed an out-of-band signal to initiate the path, for example using the key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used, for example, the + + keys. Note, however, that any such key combinations are platform-specific and may not provide a trusted path implementation in every case. Enforcement of trusted communications paths is typically provided by a specific implementation that meets the reference monitor concept." - } - ], - "controls": [ - { - "id": "sc-11.1", - "class": "SP800-53-enhancement", - "title": "Irrefutable Communications Path", - "params": [ - { - "id": "sc-11.1_prm_1", - "label": "organization-defined security functions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-11(1)" - }, - { - "name": "sort-id", - "value": "SC-11(01)" - } - ], - "parts": [ - { - "id": "sc-11.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-11.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and" - }, - { - "id": "sc-11.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Initiate the trusted communications path for communications between the {{ insert: param, sc-11.1_prm_1 }} of the system and the user." - } - ] - }, - { - "id": "sc-11.1_gdn", - "name": "guidance", - "prose": "An irrefutable communications path permits the system to initiate a trusted path which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed." - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "params": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage, access, and destruction" - } - ], - "props": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "SC-12" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#f437b52f-7f26-42aa-8e8f-999e7d67b2fe", - "rel": "reference" - }, - { - "href": "#30213e10-2aca-47b3-8cdb-61303e0959f5", - "rel": "reference" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-17", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, sc-12_prm_1 }}." - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, specifying appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP] and [NIST CAVP] provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment." - } - ], - "controls": [ - { - "id": "sc-12.1", - "class": "SP800-53-enhancement", - "title": "Availability", - "props": [ - { - "name": "label", - "value": "SC-12(1)" - }, - { - "name": "sort-id", - "value": "SC-12(01)" - } - ], - "parts": [ - { - "id": "sc-12.1_smt", - "name": "statement", - "prose": "Maintain availability of information in the event of the loss of cryptographic keys by users." - }, - { - "id": "sc-12.1_gdn", - "name": "guidance", - "prose": "Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. A forgotten passphrase is an example of losing a cryptographic key." - } - ] - }, - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "params": [ - { - "id": "sc-12.2_prm_1", - "select": { - "choice": [ - "NIST FIPS-validated", - "NSA-approved" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(2)" - }, - { - "name": "sort-id", - "value": "SC-12(02)" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "Produce, control, and distribute symmetric cryptographic keys using {{ insert: param, sc-12.2_prm_1 }} key management technology and processes." - }, - { - "id": "sc-12.2_gdn", - "name": "guidance", - "prose": "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management." - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "params": [ - { - "id": "sc-12.3_prm_1", - "select": { - "choice": [ - "NSA-approved key management technology and processes", - "prepositioned keying material", - "DoD-approved or DoD-issued Medium Assurance PKI certificates", - "DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates and hardware security tokens that protect the user’s private key", - "certificates issued in accordance with organization-defined requirements" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-12(3)" - }, - { - "name": "sort-id", - "value": "SC-12(03)" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "Produce, control, and distribute asymmetric cryptographic keys using {{ insert: param, sc-12.3_prm_1 }}." - }, - { - "id": "sc-12.3_gdn", - "name": "guidance", - "prose": "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management." - } - ] - }, - { - "id": "sc-12.4", - "class": "SP800-53-enhancement", - "title": "PKI Certificates", - "props": [ - { - "name": "label", - "value": "SC-12(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-12(04)" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.5", - "class": "SP800-53-enhancement", - "title": "PKI Certificates / Hardware Tokens", - "props": [ - { - "name": "label", - "value": "SC-12(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-12(05)" - } - ], - "links": [ - { - "href": "#sc-12.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-12.6", - "class": "SP800-53-enhancement", - "title": "Physical Control of Keys", - "props": [ - { - "name": "label", - "value": "SC-12(6)" - }, - { - "name": "sort-id", - "value": "SC-12(06)" - } - ], - "parts": [ - { - "id": "sc-12.6_smt", - "name": "statement", - "prose": "Maintain physical control of cryptographic keys when stored information is encrypted by external service providers." - }, - { - "id": "sc-12.6_gdn", - "name": "guidance", - "prose": "For organizations using external service providers, for example, cloud service providers or data center providers, physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification." - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses" - }, - { - "id": "sc-13_prm_2", - "label": "organization-defined types of cryptography for each specified cryptographic use" - } - ], - "props": [ - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "SC-13" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-7", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - }, - { - "href": "#ia-7", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-40", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "parts": [ - { - "id": "sc-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine the {{ insert: param, sc-13_prm_1 }}; and" - }, - { - "id": "sc-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, sc-13_prm_2 }}." - } - ] - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including, the protection of classified information and controlled unclassified information; the provision and implementation of digital signatures; and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "sc-13.1", - "class": "SP800-53-enhancement", - "title": "Fips-validated Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(01)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.2", - "class": "SP800-53-enhancement", - "title": "Nsa-approved Cryptography", - "props": [ - { - "name": "label", - "value": "SC-13(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(02)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.3", - "class": "SP800-53-enhancement", - "title": "Individuals Without Formal Access Approvals", - "props": [ - { - "name": "label", - "value": "SC-13(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(03)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-13.4", - "class": "SP800-53-enhancement", - "title": "Digital Signatures", - "props": [ - { - "name": "label", - "value": "SC-13(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-13(04)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-14", - "class": "SP800-53", - "title": "Public Access Protections", - "props": [ - { - "name": "label", - "value": "SC-14" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-14" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - }, - { - "href": "#si-3", - "rel": "incorporated-into" - }, - { - "href": "#si-4", - "rel": "incorporated-into" - }, - { - "href": "#si-5", - "rel": "incorporated-into" - }, - { - "href": "#si-7", - "rel": "incorporated-into" - }, - { - "href": "#si-10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices and Applications", - "params": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "SC-15" - } - ], - "links": [ - { - "href": "#ac-21", - "rel": "related" - }, - { - "href": "#sc-42", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of use to users physically present at the devices." - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. Explicit indication of use includes signals to users when collaborative computing devices and applications are activated." - } - ], - "controls": [ - { - "id": "sc-15.1", - "class": "SP800-53-enhancement", - "title": "Physical or Logical Disconnect", - "params": [ - { - "id": "sc-15.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "physical", - "logical" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(1)" - }, - { - "name": "sort-id", - "value": "SC-15(01)" - } - ], - "parts": [ - { - "id": "sc-15.1_smt", - "name": "statement", - "prose": "Provide {{ insert: param, sc-15.1_prm_1 }} disconnect of collaborative computing devices in a manner that supports ease of use." - }, - { - "id": "sc-15.1_gdn", - "name": "guidance", - "prose": "Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures." - } - ] - }, - { - "id": "sc-15.2", - "class": "SP800-53-enhancement", - "title": "Blocking Inbound and Outbound Communications Traffic", - "props": [ - { - "name": "label", - "value": "SC-15(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-15(02)" - } - ], - "links": [ - { - "href": "#sc-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-15.3", - "class": "SP800-53-enhancement", - "title": "Disabling and Removal in Secure Work Areas", - "params": [ - { - "id": "sc-15.3_prm_1", - "label": "organization-defined systems or system components" - }, - { - "id": "sc-15.3_prm_2", - "label": "organization-defined secure work areas" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(3)" - }, - { - "name": "sort-id", - "value": "SC-15(03)" - } - ], - "parts": [ - { - "id": "sc-15.3_smt", - "name": "statement", - "prose": "Disable or remove collaborative computing devices and applications from {{ insert: param, sc-15.3_prm_1 }} in {{ insert: param, sc-15.3_prm_2 }}." - }, - { - "id": "sc-15.3_gdn", - "name": "guidance", - "prose": "Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A secure work area includes a sensitive compartmented information facility (SCIF)." - } - ] - }, - { - "id": "sc-15.4", - "class": "SP800-53-enhancement", - "title": "Explicitly Indicate Current Participants", - "params": [ - { - "id": "sc-15.4_prm_1", - "label": "organization-defined online meetings and teleconferences" - } - ], - "props": [ - { - "name": "label", - "value": "SC-15(4)" - }, - { - "name": "sort-id", - "value": "SC-15(04)" - } - ], - "parts": [ - { - "id": "sc-15.4_smt", - "name": "statement", - "prose": "Provide an explicit indication of current participants in {{ insert: param, sc-15.4_prm_1 }}." - }, - { - "id": "sc-15.4_gdn", - "name": "guidance", - "prose": "Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants." - } - ] - } - ] - }, - { - "id": "sc-16", - "class": "SP800-53", - "title": "Transmission of Security and Privacy Attributes", - "params": [ - { - "id": "sc-16_prm_1", - "label": "organization-defined security and privacy attributes" - } - ], - "props": [ - { - "name": "label", - "value": "SC-16" - }, - { - "name": "sort-id", - "value": "SC-16" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16_smt", - "name": "statement", - "prose": "Associate {{ insert: param, sc-16_prm_1 }} with information exchanged between systems and between system components." - }, - { - "id": "sc-16_gdn", - "name": "guidance", - "prose": "Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are an abstraction representing the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently, or in conjunction with security attributes." - } - ], - "controls": [ - { - "id": "sc-16.1", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "props": [ - { - "name": "label", - "value": "SC-16(1)" - }, - { - "name": "sort-id", - "value": "SC-16(01)" - } - ], - "links": [ - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.1_smt", - "name": "statement", - "prose": "Verify the integrity of transmitted security and privacy attributes." - }, - { - "id": "sc-16.1_gdn", - "name": "guidance", - "prose": "A part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information, have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information." - } - ] - }, - { - "id": "sc-16.2", - "class": "SP800-53-enhancement", - "title": "Anti-spoofing Mechanisms", - "props": [ - { - "name": "label", - "value": "SC-16(2)" - }, - { - "name": "sort-id", - "value": "SC-16(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-16.2_smt", - "name": "statement", - "prose": "Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process." - }, - { - "id": "sc-16.2_gdn", - "name": "guidance", - "prose": "Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented." - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "params": [ - { - "id": "sc-17_prm_1", - "label": "organization-defined certificate policy" - } - ], - "props": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "SC-17" - } - ], - "links": [ - { - "href": "#b7140427-d4c4-467a-97a1-5ca9f7c6584a", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#549993c0-9bdd-4d49-875c-f56950cc5f30", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "parts": [ - { - "id": "sc-17_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Issue public key certificates under an {{ insert: param, sc-17_prm_1 }} or obtain public key certificates from an approved service provider; and" - }, - { - "id": "sc-17_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Include only approved trust anchors in trust stores or certificate stores managed by the organization." - } - ] - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "This control addresses certificates with visibility external to organizational systems and certificates related to internal operations of systems, for example, application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates." - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "props": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "SC-18" - } - ], - "links": [ - { - "href": "#8e334d74-fc06-47a9-bbb1-804fdfae0e44", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#cm-2", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Define acceptable and unacceptable mobile code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of mobile code within the system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java, JavaScript, Flash animations, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source." - } - ], - "controls": [ - { - "id": "sc-18.1", - "class": "SP800-53-enhancement", - "title": "Identify Unacceptable Code and Take Corrective Actions", - "params": [ - { - "id": "sc-18.1_prm_1", - "label": "organization-defined unacceptable mobile code" - }, - { - "id": "sc-18.1_prm_2", - "label": "organization-defined corrective actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(1)" - }, - { - "name": "sort-id", - "value": "SC-18(01)" - } - ], - "parts": [ - { - "id": "sc-18.1_smt", - "name": "statement", - "prose": "Identify {{ insert: param, sc-18.1_prm_1 }} and take {{ insert: param, sc-18.1_prm_2 }}." - }, - { - "id": "sc-18.1_gdn", - "name": "guidance", - "prose": "Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code." - } - ] - }, - { - "id": "sc-18.2", - "class": "SP800-53-enhancement", - "title": "Acquisition, Development, and Use", - "params": [ - { - "id": "sc-18.2_prm_1", - "label": "organization-defined mobile code requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(2)" - }, - { - "name": "sort-id", - "value": "SC-18(02)" - } - ], - "parts": [ - { - "id": "sc-18.2_smt", - "name": "statement", - "prose": "Verify that the acquisition, development, and use of mobile code to be deployed in the system meets {{ insert: param, sc-18.2_prm_1 }}." - }, - { - "id": "sc-18.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-18.3", - "class": "SP800-53-enhancement", - "title": "Prevent Downloading and Execution", - "params": [ - { - "id": "sc-18.3_prm_1", - "label": "organization-defined unacceptable mobile code" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(3)" - }, - { - "name": "sort-id", - "value": "SC-18(03)" - } - ], - "parts": [ - { - "id": "sc-18.3_smt", - "name": "statement", - "prose": "Prevent the download and execution of {{ insert: param, sc-18.3_prm_1 }}." - }, - { - "id": "sc-18.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-18.4", - "class": "SP800-53-enhancement", - "title": "Prevent Automatic Execution", - "params": [ - { - "id": "sc-18.4_prm_1", - "label": "organization-defined software applications" - }, - { - "id": "sc-18.4_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-18(4)" - }, - { - "name": "sort-id", - "value": "SC-18(04)" - } - ], - "parts": [ - { - "id": "sc-18.4_smt", - "name": "statement", - "prose": "Prevent the automatic execution of mobile code in {{ insert: param, sc-18.4_prm_1 }} and enforce {{ insert: param, sc-18.4_prm_2 }} prior to executing the code." - }, - { - "id": "sc-18.4_gdn", - "name": "guidance", - "prose": "Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing automatic execution of mobile code includes disabling auto execute features on system components employing portable storage devices such as Compact Disks (CDs), Digital Versatile Disks (DVDs), and Universal Serial Bus (USB) devices." - } - ] - }, - { - "id": "sc-18.5", - "class": "SP800-53-enhancement", - "title": "Allow Execution Only in Confined Environments", - "props": [ - { - "name": "label", - "value": "SC-18(5)" - }, - { - "name": "sort-id", - "value": "SC-18(05)" - } - ], - "links": [ - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-18.5_smt", - "name": "statement", - "prose": "Allow execution of permitted mobile code only in confined virtual machine environments." - }, - { - "id": "sc-18.5_gdn", - "name": "guidance", - "prose": "Permitting execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components." - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "props": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-19" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "*Technology-specific; addressed by other controls for protocols.* " - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (authoritative Source)", - "props": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "SC-20" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security (DNSSEC) digital signatures and cryptographic keys. Authoritative data include DNS resource records. The means to indicate the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data." - } - ], - "controls": [ - { - "id": "sc-20.1", - "class": "SP800-53-enhancement", - "title": "Child Subspaces", - "props": [ - { - "name": "label", - "value": "SC-20(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-20(01)" - } - ], - "links": [ - { - "href": "#sc-20", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-20.2", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-20(2)" - }, - { - "name": "sort-id", - "value": "SC-20(02)" - } - ], - "parts": [ - { - "id": "sc-20.2_smt", - "name": "statement", - "prose": "Provide data origin and integrity protection artifacts for internal name/address resolution queries." - }, - { - "id": "sc-20.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name/address Resolution Service (recursive or Caching Resolver)", - "props": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "SC-21" - } - ], - "links": [ - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host/service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data." - } - ], - "controls": [ - { - "id": "sc-21.1", - "class": "SP800-53-enhancement", - "title": "Data Origin and Integrity", - "props": [ - { - "name": "label", - "value": "SC-21(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-21(01)" - } - ], - "links": [ - { - "href": "#sc-21", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name/address Resolution Service", - "props": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "SC-22" - } - ], - "links": [ - { - "href": "#93d44344-59f9-4669-845d-6cc2a5852621", - "rel": "reference" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-20", - "rel": "related" - }, - { - "href": "#sc-21", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers; one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles, for example, by address ranges and explicit lists." - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "props": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "SC-23" - } - ], - "links": [ - { - "href": "#286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "rel": "reference" - }, - { - "href": "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "rel": "reference" - }, - { - "href": "#1d91d984-0cb6-4f96-a01d-c39a3eee7d43", - "rel": "reference" - }, - { - "href": "#36132a58-56fd-4980-9f6c-c010d3faf52b", - "rel": "reference" - }, - { - "href": "#au-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-10", - "rel": "related" - }, - { - "href": "#sc-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "Protect the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "Protecting session authenticity addresses communications protection at the session, level; not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of information transmitted. Authenticity protection includes protecting against man-in-the-middle attacks and session hijacking, and the insertion of false information into sessions." - } - ], - "controls": [ - { - "id": "sc-23.1", - "class": "SP800-53-enhancement", - "title": "Invalidate Session Identifiers at Logout", - "props": [ - { - "name": "label", - "value": "SC-23(1)" - }, - { - "name": "sort-id", - "value": "SC-23(01)" - } - ], - "parts": [ - { - "id": "sc-23.1_smt", - "name": "statement", - "prose": "Invalidate session identifiers upon user logout or other session termination." - }, - { - "id": "sc-23.1_gdn", - "name": "guidance", - "prose": "Invalidating session identifiers at logout curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs." - } - ] - }, - { - "id": "sc-23.2", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts and Message Displays", - "props": [ - { - "name": "label", - "value": "SC-23(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-23(02)" - } - ], - "links": [ - { - "href": "#ac-12.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.3", - "class": "SP800-53-enhancement", - "title": "Unique System-generated Session Identifiers", - "params": [ - { - "id": "sc-23.3_prm_1", - "label": "organization-defined randomness requirements" - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(3)" - }, - { - "name": "sort-id", - "value": "SC-23(03)" - } - ], - "links": [ - { - "href": "#ac-10", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.3_smt", - "name": "statement", - "prose": "Generate a unique session identifier for each session with {{ insert: param, sc-23.3_prm_1 }} and recognize only session identifiers that are system-generated." - }, - { - "id": "sc-23.3_gdn", - "name": "guidance", - "prose": "Generating unique session identifiers curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers." - } - ] - }, - { - "id": "sc-23.4", - "class": "SP800-53-enhancement", - "title": "Unique Session Identifiers with Randomization", - "props": [ - { - "name": "label", - "value": "SC-23(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-23(04)" - } - ], - "links": [ - { - "href": "#sc-23.3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-23.5", - "class": "SP800-53-enhancement", - "title": "Allowed Certificate Authorities", - "params": [ - { - "id": "sc-23.5_prm_1", - "label": "organization-defined certificate authorities" - } - ], - "props": [ - { - "name": "label", - "value": "SC-23(5)" - }, - { - "name": "sort-id", - "value": "SC-23(05)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-23.5_smt", - "name": "statement", - "prose": "Only allow the use of {{ insert: param, sc-23.5_prm_1 }} for verification of the establishment of protected sessions." - }, - { - "id": "sc-23.5_gdn", - "name": "guidance", - "prose": "Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers." - } - ] - } - ] - }, - { - "id": "sc-24", - "class": "SP800-53", - "title": "Fail in Known State", - "params": [ - { - "id": "sc-24_prm_1", - "label": "organization-defined known system state" - }, - { - "id": "sc-24_prm_2", - "label": "organization-defined system state information" - }, - { - "id": "sc-24_prm_3", - "label": "list of organization-defined types of system failures on organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-24" - }, - { - "name": "sort-id", - "value": "SC-24" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-22", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-24_smt", - "name": "statement", - "prose": "Fail to a {{ insert: param, sc-24_prm_1 }} for the following failures on the indicated components while preserving {{ insert: param, sc-24_prm_2 }} in failure: {{ insert: param, sc-24_prm_3 }}." - }, - { - "id": "sc-24_gdn", - "name": "guidance", - "prose": "Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes." - } - ] - }, - { - "id": "sc-25", - "class": "SP800-53", - "title": "Thin Nodes", - "params": [ - { - "id": "sc-25_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-25" - }, - { - "name": "sort-id", - "value": "SC-25" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-25_smt", - "name": "statement", - "prose": "Employ minimal functionality and information storage on the following system components: {{ insert: param, sc-25_prm_1 }}." - }, - { - "id": "sc-25_gdn", - "name": "guidance", - "prose": "The deployment of system components with minimal functionality reduces the need to secure every endpoint, and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies." - } - ] - }, - { - "id": "sc-26", - "class": "SP800-53", - "title": "Decoys", - "props": [ - { - "name": "label", - "value": "SC-26" - }, - { - "name": "sort-id", - "value": "SC-26" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-26_smt", - "name": "statement", - "prose": "Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks." - }, - { - "id": "sc-26_gdn", - "name": "guidance", - "prose": "Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and to deflect attacks away from the operational systems supporting organizational missions and business functions. Depending upon the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed." - } - ], - "controls": [ - { - "id": "sc-26.1", - "class": "SP800-53-enhancement", - "title": "Detection of Malicious Code", - "props": [ - { - "name": "label", - "value": "SC-26(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-26(01)" - } - ], - "links": [ - { - "href": "#sc-35", - "rel": "incorporated-into" - } - ] - } - ] - }, - { - "id": "sc-27", - "class": "SP800-53", - "title": "Platform-independent Applications", - "params": [ - { - "id": "sc-27_prm_1", - "label": "organization-defined platform-independent applications" - } - ], - "props": [ - { - "name": "label", - "value": "SC-27" - }, - { - "name": "sort-id", - "value": "SC-27" - } - ], - "links": [ - { - "href": "#sc-29", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-27_smt", - "name": "statement", - "prose": "Include within organizational systems, the following platform independent applications: {{ insert: param, sc-27_prm_1 }}." - }, - { - "id": "sc-27_gdn", - "name": "guidance", - "prose": "Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems; the underlying computer architectures; or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increases the availability of mission essential functions within organizations in situations where systems with specific operating systems are under attack." - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "params": [ - { - "id": "sc-28_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "confidentiality", - "integrity" - ] - } - }, - { - "id": "sc-28_prm_2", - "label": "organization-defined information at rest" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "SC-28" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "rel": "reference" - }, - { - "href": "#f417e4ec-cadb-47a8-a363-6006b32c28ad", - "rel": "reference" - }, - { - "href": "#7c3ba335-62bd-4f03-888f-960790409b11", - "rel": "reference" - }, - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#1b14b50f-7154-4226-958c-7dfff8276755", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "Protect the {{ insert: param, sc-28_prm_1 }} of the following information at rest: {{ insert: param, sc-28_prm_2 }}." - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information requiring protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure off-line storage in lieu of online storage." - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "params": [ - { - "id": "sc-28.1_prm_1", - "label": "organization-defined system components or media" - }, - { - "id": "sc-28.1_prm_2", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(1)" - }, - { - "name": "sort-id", - "value": "SC-28(01)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, sc-28.1_prm_1 }}: {{ insert: param, sc-28.1_prm_2 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields. Organizations using cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "sc-28.2", - "class": "SP800-53-enhancement", - "title": "Off-line Storage", - "params": [ - { - "id": "sc-28.2_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(2)" - }, - { - "name": "sort-id", - "value": "SC-28(02)" - } - ], - "parts": [ - { - "id": "sc-28.2_smt", - "name": "statement", - "prose": "Remove the following information from online storage and store off-line in a secure location: {{ insert: param, sc-28.2_prm_1 }}." - }, - { - "id": "sc-28.2_gdn", - "name": "guidance", - "prose": "Removing organizational information from online storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage." - } - ] - }, - { - "id": "sc-28.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Keys", - "params": [ - { - "id": "sc-28.3_prm_1", - "select": { - "choice": [ - " {{ insert: param, sc-28.3_prm_2 }} ", - "hardware-protected key store" - ] - } - }, - { - "id": "sc-28.3_prm_2", - "depends-on": "sc-28.3_prm_1", - "label": "organization-defined safeguards" - } - ], - "props": [ - { - "name": "label", - "value": "SC-28(3)" - }, - { - "name": "sort-id", - "value": "SC-28(03)" - } - ], - "links": [ - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-28.3_smt", - "name": "statement", - "prose": "Provide protected storage for cryptographic keys {{ insert: param, sc-28.3_prm_1 }}." - }, - { - "id": "sc-28.3_gdn", - "name": "guidance", - "prose": "A Trusted Platform Module (TPM) is an example of a hardware-projected data store that can be used to protect cryptographic keys. ." - } - ] - } - ] - }, - { - "id": "sc-29", - "class": "SP800-53", - "title": "Heterogeneity", - "params": [ - { - "id": "sc-29_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-29" - }, - { - "name": "sort-id", - "value": "SC-29" - } - ], - "links": [ - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-27", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-29_smt", - "name": "statement", - "prose": "Employ a diverse set of information technologies for the following system components in the implementation of the system: {{ insert: param, sc-29_prm_1 }}." - }, - { - "id": "sc-29_gdn", - "name": "guidance", - "prose": "Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations." - } - ], - "controls": [ - { - "id": "sc-29.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "params": [ - { - "id": "sc-29.1_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-29(1)" - }, - { - "name": "sort-id", - "value": "SC-29(01)" - } - ], - "parts": [ - { - "id": "sc-29.1_smt", - "name": "statement", - "prose": "Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed {{ insert: param, sc-29.1_prm_1 }}." - }, - { - "id": "sc-29.1_gdn", - "name": "guidance", - "prose": "While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments." - } - ] - } - ] - }, - { - "id": "sc-30", - "class": "SP800-53", - "title": "Concealment and Misdirection", - "params": [ - { - "id": "sc-30_prm_1", - "label": "organization-defined systems" - }, - { - "id": "sc-30_prm_2", - "label": "organization-defined time-periods" - }, - { - "id": "sc-30_prm_3", - "label": "organization-defined concealment and misdirection techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30" - }, - { - "name": "sort-id", - "value": "SC-30" - } - ], - "links": [ - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30_smt", - "name": "statement", - "prose": "Employ the following concealment and misdirection techniques for {{ insert: param, sc-30_prm_1 }} at {{ insert: param, sc-30_prm_2 }} to confuse and mislead adversaries: {{ insert: param, sc-30_prm_3 }}." - }, - { - "id": "sc-30_gdn", - "name": "guidance", - "prose": "Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods, including randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core missions and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system." - } - ], - "controls": [ - { - "id": "sc-30.1", - "class": "SP800-53-enhancement", - "title": "Virtualization Techniques", - "props": [ - { - "name": "label", - "value": "SC-30(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-30(01)" - } - ], - "links": [ - { - "href": "#sc-29.1", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-30.2", - "class": "SP800-53-enhancement", - "title": "Randomness", - "params": [ - { - "id": "sc-30.2_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(2)" - }, - { - "name": "sort-id", - "value": "SC-30(02)" - } - ], - "parts": [ - { - "id": "sc-30.2_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-30.2_prm_1 }} to introduce randomness into organizational operations and assets." - }, - { - "id": "sc-30.2_gdn", - "name": "guidance", - "prose": "Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating attacks or continuing the attacks. Misdirection techniques involving randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel." - } - ] - }, - { - "id": "sc-30.3", - "class": "SP800-53-enhancement", - "title": "Change Processing and Storage Locations", - "params": [ - { - "id": "sc-30.3_prm_1", - "label": "organization-defined processing and/or storage" - }, - { - "id": "sc-30.3_prm_2", - "select": { - "choice": [ - " {{ insert: param, sc-30.3_prm_3 }} ", - "at random time intervals" - ] - } - }, - { - "id": "sc-30.3_prm_3", - "depends-on": "sc-30.3_prm_2", - "label": "organization-defined time frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(3)" - }, - { - "name": "sort-id", - "value": "SC-30(03)" - } - ], - "parts": [ - { - "id": "sc-30.3_smt", - "name": "statement", - "prose": "Change the location of {{ insert: param, sc-30.3_prm_1 }} {{ insert: param, sc-30.3_prm_2 }}]." - }, - { - "id": "sc-30.3_gdn", - "name": "guidance", - "prose": "Adversaries target critical missions and business functions and the systems supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries, make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing and/or storage) supporting critical missions and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities by adversaries. The targeting uncertainty increases the work factor of adversaries making compromises or breaches to organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources." - } - ] - }, - { - "id": "sc-30.4", - "class": "SP800-53-enhancement", - "title": "Misleading Information", - "params": [ - { - "id": "sc-30.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(4)" - }, - { - "name": "sort-id", - "value": "SC-30(04)" - } - ], - "links": [ - { - "href": "#sc-26", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-30.4_smt", - "name": "statement", - "prose": "Employ realistic, but misleading information in {{ insert: param, sc-30.4_prm_1 }} about its security state or posture." - }, - { - "id": "sc-30.4_gdn", - "name": "guidance", - "prose": "This control enhancement is intended to mislead potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective, attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations." - } - ] - }, - { - "id": "sc-30.5", - "class": "SP800-53-enhancement", - "title": "Concealment of System Components", - "params": [ - { - "id": "sc-30.5_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-30.5_prm_2", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SC-30(5)" - }, - { - "name": "sort-id", - "value": "SC-30(05)" - } - ], - "parts": [ - { - "id": "sc-30.5_smt", - "name": "statement", - "prose": "Employ the following techniques to hide or conceal {{ insert: param, sc-30.5_prm_1 }}: {{ insert: param, sc-30.5_prm_2 }}." - }, - { - "id": "sc-30.5_gdn", - "name": "guidance", - "prose": "By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include configuration of routers or the use of encryption or virtualization techniques." - } - ] - } - ] - }, - { - "id": "sc-31", - "class": "SP800-53", - "title": "Covert Channel Analysis", - "params": [ - { - "id": "sc-31_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-31" - }, - { - "name": "sort-id", - "value": "SC-31" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-31_smt", - "name": "statement", - "parts": [ - { - "id": "sc-31_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert {{ insert: param, sc-31_prm_1 }} channels; and" - }, - { - "id": "sc-31_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Estimate the maximum bandwidth of those channels." - } - ] - }, - { - "id": "sc-31_gdn", - "name": "guidance", - "prose": "Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of systems containing export-controlled information and having connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems." - } - ], - "controls": [ - { - "id": "sc-31.1", - "class": "SP800-53-enhancement", - "title": "Test Covert Channels for Exploitability", - "props": [ - { - "name": "label", - "value": "SC-31(1)" - }, - { - "name": "sort-id", - "value": "SC-31(01)" - } - ], - "parts": [ - { - "id": "sc-31.1_smt", - "name": "statement", - "prose": "Test a subset of the identified covert channels to determine the channels that are exploitable." - }, - { - "id": "sc-31.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sc-31.2", - "class": "SP800-53-enhancement", - "title": "Maximum Bandwidth", - "params": [ - { - "id": "sc-31.2_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "storage", - "timing" - ] - } - }, - { - "id": "sc-31.2_prm_2", - "label": "organization-defined values" - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(2)" - }, - { - "name": "sort-id", - "value": "SC-31(02)" - } - ], - "parts": [ - { - "id": "sc-31.2_smt", - "name": "statement", - "prose": "Reduce the maximum bandwidth for identified covert {{ insert: param, sc-31.2_prm_1 }} channels to {{ insert: param, sc-31.2_prm_2 }}." - }, - { - "id": "sc-31.2_gdn", - "name": "guidance", - "prose": "The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts." - } - ] - }, - { - "id": "sc-31.3", - "class": "SP800-53-enhancement", - "title": "Measure Bandwidth in Operational Environments", - "params": [ - { - "id": "sc-31.3_prm_1", - "label": "organization-defined subset of identified covert channels" - } - ], - "props": [ - { - "name": "label", - "value": "SC-31(3)" - }, - { - "name": "sort-id", - "value": "SC-31(03)" - } - ], - "parts": [ - { - "id": "sc-31.3_smt", - "name": "statement", - "prose": "Measure the bandwidth of {{ insert: param, sc-31.3_prm_1 }} in the operational environment of the system." - }, - { - "id": "sc-31.3_gdn", - "name": "guidance", - "prose": "Measuring covert channel bandwidth in specified operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects missions or business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the specific environments of operation, including laboratories or system development environments." - } - ] - } - ] - }, - { - "id": "sc-32", - "class": "SP800-53", - "title": "System Partitioning", - "params": [ - { - "id": "sc-32_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-32_prm_2", - "select": { - "choice": [ - "physical", - "logical" - ] - } - }, - { - "id": "sc-32_prm_3", - "label": "organization-defined circumstances for physical or logical separation of components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-32" - }, - { - "name": "sort-id", - "value": "SC-32" - } - ], - "links": [ - { - "href": "#b3e26423-0687-47c7-ba9a-a96870d58a27", - "rel": "reference" - }, - { - "href": "#7a93e915-fd58-4147-be12-e48044c367e6", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-32_smt", - "name": "statement", - "prose": "Partition the system into {{ insert: param, sc-32_prm_1 }} residing in separate {{ insert: param, sc-32_prm_2 }} domains or environments based on {{ insert: param, sc-32_prm_3 }}." - }, - { - "id": "sc-32_gdn", - "name": "guidance", - "prose": "System partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include: physically distinct components in separate racks in the same room; critical components in separate rooms; and geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components." - } - ], - "controls": [ - { - "id": "sc-32.1", - "class": "SP800-53-enhancement", - "title": "Separate Physical Domains for Privileged Functions", - "props": [ - { - "name": "label", - "value": "SC-32(1)" - }, - { - "name": "sort-id", - "value": "SC-32(01)" - } - ], - "parts": [ - { - "id": "sc-32.1_smt", - "name": "statement", - "prose": "Partition privileged functions into separate physical domains." - }, - { - "id": "sc-32.1_gdn", - "name": "guidance", - "prose": "Privileged functions operating in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service." - } - ] - } - ] - }, - { - "id": "sc-33", - "class": "SP800-53", - "title": "Transmission Preparation Integrity", - "props": [ - { - "name": "label", - "value": "SC-33" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SC-33" - } - ], - "links": [ - { - "href": "#sc-8", - "rel": "incorporated-into" - } - ] - }, - { - "id": "sc-34", - "class": "SP800-53", - "title": "Non-modifiable Executable Programs", - "params": [ - { - "id": "sc-34_prm_1", - "label": "organization-defined system components" - }, - { - "id": "sc-34_prm_2", - "label": "organization-defined applications" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34" - }, - { - "name": "sort-id", - "value": "SC-34" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34_smt", - "name": "statement", - "prose": "For {{ insert: param, sc-34_prm_1 }}, load and execute:", - "parts": [ - { - "id": "sc-34_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "The operating environment from hardware-enforced, read-only media; and" - }, - { - "id": "sc-34_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "The following applications from hardware-enforced, read-only media: {{ insert: param, sc-34_prm_2 }}." - } - ] - }, - { - "id": "sc-34_gdn", - "name": "guidance", - "prose": "The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. Use of reprogrammable read-only memory can be accepted as read-only media provided integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system; and there are reliable hardware protections against reprogramming the memory while installed in organizational systems." - } - ], - "controls": [ - { - "id": "sc-34.1", - "class": "SP800-53-enhancement", - "title": "No Writable Storage", - "params": [ - { - "id": "sc-34.1_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(1)" - }, - { - "name": "sort-id", - "value": "SC-34(01)" - } - ], - "links": [ - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-34.1_prm_1 }} with no writeable storage that is persistent across component restart or power on/off." - }, - { - "id": "sc-34.1_gdn", - "name": "guidance", - "prose": "Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices." - } - ] - }, - { - "id": "sc-34.2", - "class": "SP800-53-enhancement", - "title": "Integrity Protection on Read-only Media", - "props": [ - { - "name": "label", - "value": "SC-34(2)" - }, - { - "name": "sort-id", - "value": "SC-34(02)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-5", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-34.2_smt", - "name": "statement", - "prose": "Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media." - }, - { - "id": "sc-34.2_gdn", - "name": "guidance", - "prose": "Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response." - } - ] - }, - { - "id": "sc-34.3", - "class": "SP800-53-enhancement", - "title": "Hardware-based Protection", - "params": [ - { - "id": "sc-34.3_prm_1", - "label": "organization-defined system firmware components" - }, - { - "id": "sc-34.3_prm_2", - "label": "organization-defined authorized individuals" - } - ], - "props": [ - { - "name": "label", - "value": "SC-34(3)" - }, - { - "name": "sort-id", - "value": "SC-34(03)" - } - ], - "parts": [ - { - "id": "sc-34.3_smt", - "name": "statement", - "parts": [ - { - "id": "sc-34.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ hardware-based, write-protect for {{ insert: param, sc-34.3_prm_1 }}; and" - }, - { - "id": "sc-34.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Implement specific procedures for {{ insert: param, sc-34.3_prm_2 }} to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode." - } - ] - }, - { - "id": "sc-34.3_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-35", - "class": "SP800-53", - "title": "External Malicious Code Identification", - "props": [ - { - "name": "label", - "value": "SC-35" - }, - { - "name": "sort-id", - "value": "SC-35" - } - ], - "links": [ - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-35_smt", - "name": "statement", - "prose": "Include system components that proactively seek to identify network-based malicious code or malicious websites." - }, - { - "id": "sc-35_gdn", - "name": "guidance", - "prose": "External malicious code identification differs from decoys in SC-26 in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation." - } - ] - }, - { - "id": "sc-36", - "class": "SP800-53", - "title": "Distributed Processing and Storage", - "params": [ - { - "id": "sc-36_prm_1", - "select": { - "choice": [ - "physical locations", - "logical domains" - ] - } - }, - { - "id": "sc-36_prm_2", - "label": "organization-defined processing and storage components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36" - }, - { - "name": "sort-id", - "value": "SC-36" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#sc-32", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36_smt", - "name": "statement", - "prose": "Distribute the following processing and storage components across multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2 }}." - }, - { - "id": "sc-36_gdn", - "name": "guidance", - "prose": "Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage." - } - ], - "controls": [ - { - "id": "sc-36.1", - "class": "SP800-53-enhancement", - "title": "Polling Techniques", - "params": [ - { - "id": "sc-36.1_prm_1", - "label": "organization-defined distributed processing and storage components" - }, - { - "id": "sc-36.1_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(1)" - }, - { - "name": "sort-id", - "value": "SC-36(01)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.1_smt", - "name": "statement", - "parts": [ - { - "id": "sc-36.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: {{ insert: param, sc-36.1_prm_1 }}; and" - }, - { - "id": "sc-36.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions in response to identified faults, errors, or compromises: {{ insert: param, sc-36.1_prm_2 }}." - } - ] - }, - { - "id": "sc-36.1_gdn", - "name": "guidance", - "prose": "Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components. Polling techniques may also be applied to processing and storage components that are not physically distributed." - } - ] - }, - { - "id": "sc-36.2", - "class": "SP800-53-enhancement", - "title": "Synchronization", - "params": [ - { - "id": "sc-36.2_prm_1", - "label": "organization-defined duplicate systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-36(2)" - }, - { - "name": "sort-id", - "value": "SC-36(02)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-36.2_smt", - "name": "statement", - "prose": "Synchronize the following duplicate systems or system components: {{ insert: param, sc-36.2_prm_1 }}." - }, - { - "id": "sc-36.2_gdn", - "name": "guidance", - "prose": "SC-36 and CP-9(6) require the duplication of systems or system components in distributed locations. Synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the missions or business functions of organizations, as needed." - } - ] - } - ] - }, - { - "id": "sc-37", - "class": "SP800-53", - "title": "Out-of-band Channels", - "params": [ - { - "id": "sc-37_prm_1", - "label": "organization-defined information, system components, or devices" - }, - { - "id": "sc-37_prm_2", - "label": "organization-defined individuals or systems" - }, - { - "id": "sc-37_prm_3", - "label": "organization-defined out-of-band channels" - } - ], - "props": [ - { - "name": "label", - "value": "SC-37" - }, - { - "name": "sort-id", - "value": "SC-37" - } - ], - "links": [ - { - "href": "#770f9bdc-4023-48ef-8206-c65397f061ea", - "rel": "reference" - }, - { - "href": "#69644a9e-438a-47c3-bac9-cf28b5baf848", - "rel": "reference" - }, - { - "href": "#9933c883-e8f3-4a83-9a9a-d1e058038080", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-4", - "rel": "related" - }, - { - "href": "#ia-5", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-37_smt", - "name": "statement", - "prose": "Employ the following out-of-band channels for the physical delivery or electronic transmission of {{ insert: param, sc-37_prm_1 }} to {{ insert: param, sc-37_prm_2 }}: {{ insert: param, sc-37_prm_3 }}." - }, - { - "id": "sc-37_gdn", - "name": "guidance", - "prose": "Out-of-band channels include local nonnetwork accesses to systems; network paths physically separate from network paths used for operational traffic; or nonelectronic paths such as the US Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or the transmission of organizational items, including identifiers and authenticators; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates." - } - ], - "controls": [ - { - "id": "sc-37.1", - "class": "SP800-53-enhancement", - "title": "Ensure Delivery and Transmission", - "params": [ - { - "id": "sc-37.1_prm_1", - "label": "organization-defined controls" - }, - { - "id": "sc-37.1_prm_2", - "label": "organization-defined individuals or systems" - }, - { - "id": "sc-37.1_prm_3", - "label": "organization-defined information, system components, or devices" - } - ], - "props": [ - { - "name": "label", - "value": "SC-37(1)" - }, - { - "name": "sort-id", - "value": "SC-37(01)" - } - ], - "parts": [ - { - "id": "sc-37.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-37.1_prm_1 }} to ensure that only {{ insert: param, sc-37.1_prm_2 }} receive the following information, system components, or devices: {{ insert: param, sc-37.1_prm_3 }}." - }, - { - "id": "sc-37.1_gdn", - "name": "guidance", - "prose": "Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include, sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt." - } - ] - } - ] - }, - { - "id": "sc-38", - "class": "SP800-53", - "title": "Operations Security", - "params": [ - { - "id": "sc-38_prm_1", - "label": "organization-defined operations security controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-38" - }, - { - "name": "sort-id", - "value": "SC-38" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-38_smt", - "name": "statement", - "prose": "Employ the following operations security controls to protect key organizational information throughout the system development life cycle: {{ insert: param, sc-38_prm_1 }}." - }, - { - "id": "sc-38_gdn", - "name": "guidance", - "prose": "Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information; analysis of threats; analysis of vulnerabilities; assessment of risks; and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers and potential suppliers of system components and services, and with other non-organizational elements and individuals. Information critical to organizational missions and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details." - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "props": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "SC-39" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - }, - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each executing system process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies." - } - ], - "controls": [ - { - "id": "sc-39.1", - "class": "SP800-53-enhancement", - "title": "Hardware Separation", - "props": [ - { - "name": "label", - "value": "SC-39(1)" - }, - { - "name": "sort-id", - "value": "SC-39(01)" - } - ], - "parts": [ - { - "id": "sc-39.1_smt", - "name": "statement", - "prose": "Implement hardware separation mechanisms to facilitate process isolation." - }, - { - "id": "sc-39.1_gdn", - "name": "guidance", - "prose": "Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management." - } - ] - }, - { - "id": "sc-39.2", - "class": "SP800-53-enhancement", - "title": "Separate Execution Domain Per Thread", - "params": [ - { - "id": "sc-39.2_prm_1", - "label": "organization-defined multi-threaded processing" - } - ], - "props": [ - { - "name": "label", - "value": "SC-39(2)" - }, - { - "name": "sort-id", - "value": "SC-39(02)" - } - ], - "parts": [ - { - "id": "sc-39.2_smt", - "name": "statement", - "prose": "Maintain a separate execution domain for each thread in {{ insert: param, sc-39.2_prm_1 }}." - }, - { - "id": "sc-39.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-40", - "class": "SP800-53", - "title": "Wireless Link Protection", - "params": [ - { - "id": "sc-40_prm_1", - "label": "organization-defined wireless links" - }, - { - "id": "sc-40_prm_2", - "label": "organization-defined types of signal parameter attacks or references to sources for such attacks" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40" - }, - { - "name": "sort-id", - "value": "SC-40" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40_smt", - "name": "statement", - "prose": "Protect external and internal {{ insert: param, sc-40_prm_1 }} from the following signal parameter attacks: {{ insert: param, sc-40_prm_2 }}." - }, - { - "id": "sc-40_gdn", - "name": "guidance", - "prose": "Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control." - } - ], - "controls": [ - { - "id": "sc-40.1", - "class": "SP800-53-enhancement", - "title": "Electromagnetic Interference", - "params": [ - { - "id": "sc-40.1_prm_1", - "label": "organization-defined level of protection" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(1)" - }, - { - "name": "sort-id", - "value": "SC-40(01)" - } - ], - "links": [ - { - "href": "#pe-21", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.1_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms that achieve {{ insert: param, sc-40.1_prm_1 }} against the effects of intentional electromagnetic interference." - }, - { - "id": "sc-40.1_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms for electromagnetic interference protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, or performance." - } - ] - }, - { - "id": "sc-40.2", - "class": "SP800-53-enhancement", - "title": "Reduce Detection Potential", - "params": [ - { - "id": "sc-40.2_prm_1", - "label": "organization-defined level of reduction" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(2)" - }, - { - "name": "sort-id", - "value": "SC-40(02)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.2_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to reduce the detection potential of wireless links to {{ insert: param, sc-40.2_prm_1 }}." - }, - { - "id": "sc-40.2_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable." - } - ] - }, - { - "id": "sc-40.3", - "class": "SP800-53-enhancement", - "title": "Imitative or Manipulative Communications Deception", - "props": [ - { - "name": "label", - "value": "SC-40(3)" - }, - { - "name": "sort-id", - "value": "SC-40(03)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.3_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters." - }, - { - "id": "sc-40.3_gdn", - "name": "guidance", - "prose": "Implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone." - } - ] - }, - { - "id": "sc-40.4", - "class": "SP800-53-enhancement", - "title": "Signal Parameter Identification", - "params": [ - { - "id": "sc-40.4_prm_1", - "label": "organization-defined wireless transmitters" - } - ], - "props": [ - { - "name": "label", - "value": "SC-40(4)" - }, - { - "name": "sort-id", - "value": "SC-40(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-40.4_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to prevent the identification of {{ insert: param, sc-40.4_prm_1 }} by using the transmitter signal parameters." - }, - { - "id": "sc-40.4_gdn", - "name": "guidance", - "prose": "Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification. Implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required." - } - ] - } - ] - }, - { - "id": "sc-41", - "class": "SP800-53", - "title": "Port and I/O Device Access", - "params": [ - { - "id": "sc-41_prm_1", - "select": { - "choice": [ - "Physically", - "Logically" - ] - } - }, - { - "id": "sc-41_prm_2", - "label": "organization-defined connection ports or input/output devices" - }, - { - "id": "sc-41_prm_3", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-41" - }, - { - "name": "sort-id", - "value": "SC-41" - } - ], - "links": [ - { - "href": "#ac-20", - "rel": "related" - }, - { - "href": "#mp-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-41_smt", - "name": "statement", - "prose": "{{ insert: param, sc-41_prm_1 }} disable or remove {{ insert: param, sc-41_prm_2 }} on the following systems or system components: {{ insert: param, sc-41_prm_3 }}." - }, - { - "id": "sc-41_gdn", - "name": "guidance", - "prose": "Connection ports include Universal Serial Bus (USB), Thunderbolt, Firewire (IEEE 1394). Input/output (I/O) devices include Compact Disk (CD) and Digital Versatile Disk (DVD) drives. Disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from systems and the introduction of malicious code into systems from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action." - } - ] - }, - { - "id": "sc-42", - "class": "SP800-53", - "title": "Sensor Capability and Data", - "params": [ - { - "id": "sc-42_prm_1", - "label": "organization-defined exceptions where remote activation of sensors is allowed" - }, - { - "id": "sc-42_prm_2", - "label": "organization-defined class of users" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42" - }, - { - "name": "sort-id", - "value": "SC-42" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#sc-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42_smt", - "name": "statement", - "parts": [ - { - "id": "sc-42_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibit the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions: {{ insert: param, sc-42_prm_1 }}; and" - }, - { - "id": "sc-42_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide an explicit indication of sensor use to {{ insert: param, sc-42_prm_2 }}." - } - ] - }, - { - "id": "sc-42_gdn", - "name": "guidance", - "prose": "Sensor capability and data applies to types of systems or system components characterized as mobile devices, for example, smart phones and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual." - } - ], - "controls": [ - { - "id": "sc-42.1", - "class": "SP800-53-enhancement", - "title": "Reporting to Authorized Individuals or Roles", - "params": [ - { - "id": "sc-42.1_prm_1", - "label": "organization-defined sensors" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(1)" - }, - { - "name": "sort-id", - "value": "SC-42(01)" - } - ], - "parts": [ - { - "id": "sc-42.1_smt", - "name": "statement", - "prose": "Verify that the system is configured so that data or information collected by the {{ insert: param, sc-42.1_prm_1 }} is only reported to authorized individuals or roles." - }, - { - "id": "sc-42.1_gdn", - "name": "guidance", - "prose": "In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities." - } - ] - }, - { - "id": "sc-42.2", - "class": "SP800-53-enhancement", - "title": "Authorized Use", - "params": [ - { - "id": "sc-42.2_prm_1", - "label": "organization-defined sensors" - }, - { - "id": "sc-42.2_prm_2", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(2)" - }, - { - "name": "sort-id", - "value": "SC-42(02)" - } - ], - "links": [ - { - "href": "#pt-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.2_smt", - "name": "statement", - "prose": "Employ the following measures so that data or information collected by {{ insert: param, sc-42.2_prm_1 }} is only used for authorized purposes: {{ insert: param, sc-42.2_prm_2 }}." - }, - { - "id": "sc-42.2_gdn", - "name": "guidance", - "prose": "Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include additional training to ensure that authorized individuals do not abuse their authority; and in the case where sensor data or information is maintained by external parties, contractual restrictions on the use of such data or information." - } - ] - }, - { - "id": "sc-42.3", - "class": "SP800-53-enhancement", - "title": "Prohibit Use of Devices", - "params": [ - { - "id": "sc-42.3_prm_1", - "label": "organization-defined environmental sensing capabilities" - }, - { - "id": "sc-42.3_prm_2", - "label": "organization-defined facilities, areas, or systems" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(3)" - }, - { - "name": "sort-id", - "value": "SC-42(03)" - } - ], - "parts": [ - { - "id": "sc-42.3_smt", - "name": "statement", - "prose": "Prohibit the use of devices possessing {{ insert: param, sc-42.3_prm_1 }} in {{ insert: param, sc-42.3_prm_2 }}." - }, - { - "id": "sc-42.3_gdn", - "name": "guidance", - "prose": "For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place." - } - ] - }, - { - "id": "sc-42.4", - "class": "SP800-53-enhancement", - "title": "Notice of Collection", - "params": [ - { - "id": "sc-42.4_prm_1", - "label": "organization-defined sensors" - }, - { - "id": "sc-42.4_prm_2", - "label": "organization-defined measures" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(4)" - }, - { - "name": "sort-id", - "value": "SC-42(04)" - } - ], - "links": [ - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-5", - "rel": "related" - }, - { - "href": "#pt-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.4_smt", - "name": "statement", - "prose": "Employ the following measures to facilitate an individual’s awareness that personally identifiable information is being collected by {{ insert: param, sc-42.4_prm_1 }}: {{ insert: param, sc-42.4_prm_2 }}." - }, - { - "id": "sc-42.4_gdn", - "name": "guidance", - "prose": "Awareness that organizational sensors are collecting data enable individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals aware directly or indirectly through other devices that the sensor is collecting information. Usability and efficacy of the notice are important considerations." - } - ] - }, - { - "id": "sc-42.5", - "class": "SP800-53-enhancement", - "title": "Collection Minimization", - "params": [ - { - "id": "sc-42.5_prm_1", - "label": "organization-defined sensors" - } - ], - "props": [ - { - "name": "label", - "value": "SC-42(5)" - }, - { - "name": "sort-id", - "value": "SC-42(05)" - } - ], - "links": [ - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-42.5_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sc-42.5_prm_1 }} that are configured to minimize the collection of information about individuals that is not needed." - }, - { - "id": "sc-42.5_gdn", - "name": "guidance", - "prose": "Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features such as blurring or pixelating flesh tones." - } - ] - } - ] - }, - { - "id": "sc-43", - "class": "SP800-53", - "title": "Usage Restrictions", - "params": [ - { - "id": "sc-43_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SC-43" - }, - { - "name": "sort-id", - "value": "SC-43" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#18c6942b-95f8-414c-b548-c8e6b8d8a172", - "rel": "reference" - }, - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-43_smt", - "name": "statement", - "parts": [ - { - "id": "sc-43_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish usage restrictions and implementation guidelines for the following system components: {{ insert: param, sc-43_prm_1 }}; and" - }, - { - "id": "sc-43_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorize, monitor, and control the use of such components within the system." - } - ] - }, - { - "id": "sc-43_gdn", - "name": "guidance", - "prose": "Usage restrictions apply to all system components including, but not limited to, mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs." - } - ] - }, - { - "id": "sc-44", - "class": "SP800-53", - "title": "Detonation Chambers", - "params": [ - { - "id": "sc-44_prm_1", - "label": "organization-defined system, system component, or location" - } - ], - "props": [ - { - "name": "label", - "value": "SC-44" - }, - { - "name": "sort-id", - "value": "SC-44" - } - ], - "links": [ - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-25", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-39", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-44_smt", - "name": "statement", - "prose": "Employ a detonation chamber capability within {{ insert: param, sc-44_prm_1 }}." - }, - { - "id": "sc-44_gdn", - "name": "guidance", - "prose": "Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, this control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely." - } - ] - }, - { - "id": "sc-45", - "class": "SP800-53", - "title": "System Time Synchronization", - "props": [ - { - "name": "label", - "value": "SC-45" - }, - { - "name": "sort-id", - "value": "SC-45" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-8", - "rel": "related" - }, - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-45_smt", - "name": "statement", - "prose": "Synchronize system clocks within and between systems and system components." - }, - { - "id": "sc-45_gdn", - "name": "guidance", - "prose": "Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes involving certificates and time-of-day restrictions as part of access control. Denial-of-service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support the capabilities." - } - ] - }, - { - "id": "sc-46", - "class": "SP800-53", - "title": "Cross Domain Policy Enforcement", - "params": [ - { - "id": "sc-46_prm_1", - "select": { - "choice": [ - "physically", - "logically" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SC-46" - }, - { - "name": "sort-id", - "value": "SC-46" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-46_smt", - "name": "statement", - "prose": "Implement a policy enforcement mechanism {{ insert: param, sc-46_prm_1 }} between the physical and/or network interfaces for the connecting security domains." - }, - { - "id": "sc-46_gdn", - "name": "guidance", - "prose": "For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security boundary may be needed." - } - ] - }, - { - "id": "sc-47", - "class": "SP800-53", - "title": "Communications Path Diversity", - "params": [ - { - "id": "sc-47_prm_1", - "label": "organization-defined alternate communications paths" - } - ], - "props": [ - { - "name": "label", - "value": "SC-47" - }, - { - "name": "sort-id", - "value": "SC-47" - } - ], - "links": [ - { - "href": "#65774382-fcc6-4bbc-89fc-9d35aab19952", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-47_smt", - "name": "statement", - "prose": "Establish {{ insert: param, sc-47_prm_1 }} for system operations organizational command and control." - }, - { - "id": "sc-47_gdn", - "name": "guidance", - "prose": "An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. The inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements can impact the organization’s ability to respond in a timely manner to such incidents. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization’s ability to continue to operate and take appropriate actions during an incident." - } - ] - }, - { - "id": "sc-48", - "class": "SP800-53", - "title": "Sensor Relocation", - "params": [ - { - "id": "sc-48_prm_1", - "label": "organization-defined sensors and monitoring capabilities" - }, - { - "id": "sc-48_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sc-48_prm_3", - "label": "organization-defined conditions or circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "SC-48" - }, - { - "name": "sort-id", - "value": "SC-48" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-48_smt", - "name": "statement", - "prose": "Relocate {{ insert: param, sc-48_prm_1 }} to {{ insert: param, sc-48_prm_2 }} under the following conditions or circumstances: {{ insert: param, sc-48_prm_3 }}." - }, - { - "id": "sc-48_gdn", - "name": "guidance", - "prose": "Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary’s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging." - } - ], - "controls": [ - { - "id": "sc-48.1", - "class": "SP800-53-enhancement", - "title": "Dynamic Relocation of Sensors or Monitoring Capabilities", - "params": [ - { - "id": "sc-48.1_prm_1", - "label": "organization-defined sensors and monitoring capabilities" - }, - { - "id": "sc-48.1_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sc-48.1_prm_3", - "label": "organization-defined conditions or circumstances" - } - ], - "props": [ - { - "name": "label", - "value": "SC-48(1)" - }, - { - "name": "sort-id", - "value": "SC-48(01)" - } - ], - "parts": [ - { - "id": "sc-48.1_smt", - "name": "statement", - "prose": "Dynamically relocate {{ insert: param, sc-48.1_prm_1 }} to {{ insert: param, sc-48.1_prm_2 }} under the following conditions or circumstances: {{ insert: param, sc-48.1_prm_3 }}." - }, - { - "id": "sc-48.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - } - ] - }, - { - "id": "sc-49", - "class": "SP800-53", - "title": "Hardware-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-49_prm_1", - "label": "organization-defined security domains" - } - ], - "props": [ - { - "name": "label", - "value": "SC-49" - }, - { - "name": "sort-id", - "value": "SC-49" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-50", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-49_smt", - "name": "statement", - "prose": "Implement hardware-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-49_prm_1 }}." - }, - { - "id": "sc-49_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement." - } - ] - }, - { - "id": "sc-50", - "class": "SP800-53", - "title": "Software-enforced Separation and Policy Enforcement", - "params": [ - { - "id": "sc-50_prm_1", - "label": "organization-defined security domains" - } - ], - "props": [ - { - "name": "label", - "value": "SC-50" - }, - { - "name": "sort-id", - "value": "SC-50" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-50_smt", - "name": "statement", - "prose": "Implement software-enforced separation and policy enforcement mechanisms between {{ insert: param, sc-50_prm_1 }}." - }, - { - "id": "sc-50_gdn", - "name": "guidance", - "prose": "System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement (e.g., filtering) for specific types of threats and environments of operation." - } - ] - }, - { - "id": "sc-51", - "class": "SP800-53", - "title": "Operational and Internet-based Technologies", - "params": [ - { - "id": "sc-51_prm_1", - "label": "organization-defined Operational Technology (OT), Internet of Things (IoT), and/or Industrial Internet of Things (IIoT) systems, components, or devices" - }, - { - "id": "sc-51_prm_2", - "label": "organization-defined systems or networks" - }, - { - "id": "sc-51_prm_3", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SC-51" - }, - { - "name": "sort-id", - "value": "SC-51" - } - ], - "links": [ - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-2", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - }, - { - "href": "#sc-49", - "rel": "related" - } - ], - "parts": [ - { - "id": "sc-51_smt", - "name": "statement", - "parts": [ - { - "id": "sc-51_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement the following controls on {{ insert: param, sc-51_prm_1 }} prior to connecting to {{ insert: param, sc-51_prm_2 }}: {{ insert: param, sc-51_prm_3 }}; or" - }, - { - "id": "sc-51_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Isolate the OT, IoT, and IIoT systems, components, or devices from the designated organizational systems or prohibit network connectivity by the systems, components, or devices." - } - ] - }, - { - "id": "sc-51_gdn", - "name": "guidance", - "prose": "Operational Technology (OT) is the hardware, software, and firmware components of a system used to detect or cause changes in physical processes through the direct control and monitoring of physical devices. Examples include distributed control systems (DCS), supervisory control and data acquisition (SCADA) systems, and programmable logic controllers (PLC). The term operational technology is used to demonstrate the differences between industrial control systems (ICS) that are typically found in manufacturing and power plants and the information technology (IT) systems that typically support traditional data processing applications. The term Internet of Things (IoT) is used to describe the network of devices (e.g., vehicles, medical devices, wearables, and home appliances) that contain the hardware, software, firmware, and actuators which allow the devices to connect, interact, and exchange data and information. IoT extends Internet connectivity beyond workstations, notebook computers, smartphones and tablets to physical devices that do not typically have such connectivity. IoT devices can communicate and interact over the Internet, and they can be remotely monitored and controlled. Finally, the term Industrial Internet of Things (IIoT) is used to describe the sensors, instruments, machines, and other devices that are networked together and use Internet connectivity to enhance industrial and manufacturing business processes and applications. The recent convergence of IT and OT, producing cyber-physical systems, increases the attack surface of organizations significantly and provides attack vectors that are challenging to address. Unfortunately, most of the current generation of IoT, OT and IIOT devices are not designed with security as a foundational property. Connections to and from such devices are generally not encrypted, do not provide the necessary authentication, are not monitored, and are not logged. As a result, these devices pose a significant cyber threat. In some instances, gaps in IoT, OT, and IIoT security capabilities may be addressed by employing intermediary devices that can provide encryption, authentication, security scanning, and logging capabilities, and preclude the devices from being accessible from the Internet. But such mitigating options are not always available. The situation is further complicated because some of the IoT/OT/IIoT devices are needed for essential missions and functions. In those instances, it is necessary that such devices are isolated from the Internet to reduce the susceptibility to hostile cyber-attacks." - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "si-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "si-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "si-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "SI-01" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, si-1_prm_2 }} system and information integrity policy that:", - "parts": [ - { - "id": "si-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "si-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, si-1_prm_3 }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and" - }, - { - "id": "si-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current system and information integrity:", - "parts": [ - { - "id": "si-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, si-1_prm_4 }}; and" - }, - { - "id": "si-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, si-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SI family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "params": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "SI-02" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "rel": "reference" - }, - { - "href": "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "rel": "reference" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-5", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify, report, and correct system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Install security-relevant software and firmware updates within {{ insert: param, si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporate flaw remediation into the organizational configuration management process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified. Organization-defined time-periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw); the organizational mission; or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, for example, when implementing simple malicious code signature updates. Organizations consider in testing decisions whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures." - } - ], - "controls": [ - { - "id": "si-2.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-2(1)" - }, - { - "name": "sort-id", - "value": "SI-02(01)" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.1_smt", - "name": "statement", - "prose": "Centrally manage the flaw remediation process." - }, - { - "id": "si-2.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of flaw remediation processes. It includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation controls." - } - ] - }, - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "params": [ - { - "id": "si-2.2_prm_1", - "label": "organization-defined automated mechanisms" - }, - { - "id": "si-2.2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(2)" - }, - { - "name": "sort-id", - "value": "SI-02(02)" - } - ], - "links": [ - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, si-2.2_prm_1 }} {{ insert: param, si-2.2_prm_2 }}." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms can track and determine the status of known flaws for system components." - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws and Benchmarks for Corrective Actions", - "params": [ - { - "id": "si-2.3_prm_1", - "label": "organization-defined benchmarks" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(3)" - }, - { - "name": "sort-id", - "value": "SI-02(03)" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measure the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establish the following benchmarks for taking corrective actions: {{ insert: param, si-2.3_prm_1 }}." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "Organizations determine the time it takes on average to correct system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited." - } - ] - }, - { - "id": "si-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Patch Management Tools", - "params": [ - { - "id": "si-2.4_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(4)" - }, - { - "name": "sort-id", - "value": "SI-02(04)" - } - ], - "parts": [ - { - "id": "si-2.4_smt", - "name": "statement", - "prose": "Employ automated patch management tools to facilitate flaw remediation to the following system components: {{ insert: param, si-2.4_prm_1 }}." - }, - { - "id": "si-2.4_gdn", - "name": "guidance", - "prose": "Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations." - } - ] - }, - { - "id": "si-2.5", - "class": "SP800-53-enhancement", - "title": "Automatic Software and Firmware Updates", - "params": [ - { - "id": "si-2.5_prm_1", - "label": "organization-defined security-relevant software and firmware updates" - }, - { - "id": "si-2.5_prm_2", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(5)" - }, - { - "name": "sort-id", - "value": "SI-02(05)" - } - ], - "parts": [ - { - "id": "si-2.5_smt", - "name": "statement", - "prose": "Install {{ insert: param, si-2.5_prm_1 }} automatically to {{ insert: param, si-2.5_prm_2 }}." - }, - { - "id": "si-2.5_gdn", - "name": "guidance", - "prose": "Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose." - } - ] - }, - { - "id": "si-2.6", - "class": "SP800-53-enhancement", - "title": "Removal of Previous Versions of Software and Firmware", - "params": [ - { - "id": "si-2.6_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-2(6)" - }, - { - "name": "sort-id", - "value": "SI-02(06)" - } - ], - "parts": [ - { - "id": "si-2.6_smt", - "name": "statement", - "prose": "Remove previous versions of {{ insert: param, si-2.6_prm_1 }} after updated versions have been installed." - }, - { - "id": "si-2.6_gdn", - "name": "guidance", - "prose": "Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may remove previous versions of software and firmware automatically from the system." - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "params": [ - { - "id": "si-3_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "signature based", - "non-signature based" - ] - } - }, - { - "id": "si-3_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "si-3_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "endpoint", - "network entry/exit points" - ] - } - }, - { - "id": "si-3_prm_4", - "select": { - "how-many": "one-or-more", - "choice": [ - "block malicious code", - "quarantine malicious code", - "take {{ insert: param, si-3_prm_5 }} " - ] - } - }, - { - "id": "si-3_prm_5", - "depends-on": "si-3_prm_4", - "label": "organization-defined action" - }, - { - "id": "si-3_prm_6", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "SI-03" - } - ], - "links": [ - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#c972a85c-fa75-4596-be25-a338dc7e4e46", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-44", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - }, - { - "href": "#si-15", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implement {{ insert: param, si-3_prm_1 }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configure malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the system {{ insert: param, si-3_prm_2 }} and real-time scans of files from external sources at {{ insert: param, si-3_prm_3 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "{{ insert: param, si-3_prm_4 }}; and send alert to {{ insert: param, si-3_prm_6 }} in response to malicious code detection." - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files, or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software and in custom-built software and could include logic bombs, back doors, and other types of attacks that could affect organizational missions and business functions. In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, or actions in response to detection of maliciousness when attempting to open or execute files." - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-3(1)" - }, - { - "name": "sort-id", - "value": "SI-03(01)" - } - ], - "links": [ - { - "href": "#pl-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.1_smt", - "name": "statement", - "prose": "Centrally manage malicious code protection mechanisms." - }, - { - "id": "si-3.1_gdn", - "name": "guidance", - "prose": "Central management addresses the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw and malicious code protection controls." - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "props": [ - { - "name": "label", - "value": "SI-3(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(02)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.3", - "class": "SP800-53-enhancement", - "title": "Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-3(3)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(03)" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.4", - "class": "SP800-53-enhancement", - "title": "Updates Only by Privileged Users", - "props": [ - { - "name": "label", - "value": "SI-3(4)" - }, - { - "name": "sort-id", - "value": "SI-03(04)" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.4_smt", - "name": "statement", - "prose": "Update malicious code protection mechanisms only when directed by a privileged user." - }, - { - "id": "si-3.4_gdn", - "name": "guidance", - "prose": "Protection mechanisms for malicious code are typically categorized as security-related software and as such, are only updated by organizational personnel with appropriate access privileges." - } - ] - }, - { - "id": "si-3.5", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "props": [ - { - "name": "label", - "value": "SI-3(5)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(05)" - } - ], - "links": [ - { - "href": "#mp-7", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.6", - "class": "SP800-53-enhancement", - "title": "Testing and Verification", - "params": [ - { - "id": "si-3.6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(6)" - }, - { - "name": "sort-id", - "value": "SI-03(06)" - } - ], - "links": [ - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.6_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Test malicious code protection mechanisms {{ insert: param, si-3.6_prm_1 }} by introducing known benign code into the system; and" - }, - { - "id": "si-3.6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Verify that the detection of the code and the associated incident reporting occur." - } - ] - }, - { - "id": "si-3.6_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "props": [ - { - "name": "label", - "value": "SI-3(7)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-03(07)" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-3.8", - "class": "SP800-53-enhancement", - "title": "Detect Unauthorized Commands", - "params": [ - { - "id": "si-3.8_prm_1", - "label": "organization-defined system hardware components" - }, - { - "id": "si-3.8_prm_2", - "label": "organization-defined unauthorized operating system commands" - }, - { - "id": "si-3.8_prm_3", - "select": { - "how-many": "one-or-more", - "choice": [ - "issue a warning", - "audit the command execution", - "prevent the execution of the command" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(8)" - }, - { - "name": "sort-id", - "value": "SI-03(08)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.8_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect the following unauthorized operating system commands through the kernel application programming interface on {{ insert: param, si-3.8_prm_1 }}: {{ insert: param, si-3.8_prm_2 }}; and" - }, - { - "id": "si-3.8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-3.8_prm_3 }}." - } - ] - }, - { - "id": "si-3.8_gdn", - "name": "guidance", - "prose": "Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or combination therein. Organizations may select different actions for different types, classes, or instances of malicious commands." - } - ] - }, - { - "id": "si-3.9", - "class": "SP800-53-enhancement", - "title": "Authenticate Remote Commands", - "params": [ - { - "id": "si-3.9_prm_1", - "label": "organization-defined mechanisms" - }, - { - "id": "si-3.9_prm_2", - "label": "organization-defined remote commands" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(9)" - }, - { - "name": "sort-id", - "value": "SI-03(09)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-23", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-3.9_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-3.9_prm_1 }} to authenticate {{ insert: param, si-3.9_prm_2 }}." - }, - { - "id": "si-3.9_gdn", - "name": "guidance", - "prose": "This control enhancement protects against unauthorized remote commands and the replay of authorized commands. This capability is important for those remote systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences, including, for example, injury or death, property damage, loss of high-value assets, compromise of classified or controlled unclassified information, or failure of missions or business functions. Authentication safeguards for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be employed, for example, to authenticate remote commands." - } - ] - }, - { - "id": "si-3.10", - "class": "SP800-53-enhancement", - "title": "Malicious Code Analysis", - "params": [ - { - "id": "si-3.10_prm_1", - "label": "organization-defined tools and techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-3(10)" - }, - { - "name": "sort-id", - "value": "SI-03(10)" - } - ], - "parts": [ - { - "id": "si-3.10_smt", - "name": "statement", - "parts": [ - { - "id": "si-3.10_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: {{ insert: param, si-3.10_prm_1 }}; and" - }, - { - "id": "si-3.10_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes." - } - ] - }, - { - "id": "si-3.10_gdn", - "name": "guidance", - "prose": "The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code." - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "System Monitoring", - "params": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5", - "select": { - "how-many": "one-or-more", - "choice": [ - "as needed", - " {{ insert: param, si-4_prm_6 }} " - ] - } - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "SI-04" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "rel": "reference" - }, - { - "href": "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "rel": "reference" - }, - { - "href": "#02d8ec60-6197-43f8-9f47-18732127963e", - "rel": "reference" - }, - { - "href": "#41e2e2c6-2260-4258-85c8-09db17c43103", - "rel": "reference" - }, - { - "href": "#c3b34083-77b2-4dab-a980-73068f8933bd", - "rel": "reference" - }, - { - "href": "#ac-2", - "rel": "related" - }, - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#ac-8", - "rel": "related" - }, - { - "href": "#ac-17", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-7", - "rel": "related" - }, - { - "href": "#au-9", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - }, - { - "href": "#au-13", - "rel": "related" - }, - { - "href": "#au-14", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#cm-11", - "rel": "related" - }, - { - "href": "#ia-10", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#pm-12", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-18", - "rel": "related" - }, - { - "href": "#sc-26", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#sc-35", - "rel": "related" - }, - { - "href": "#sc-36", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#sc-43", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitor the system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Invoke internal monitoring capabilities or deploy monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the system to collect organization-determined essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protect information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "props": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "props": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtain legal opinion regarding system monitoring activities; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "props": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provide {{ insert: param, si-4_prm_3 }} to {{ insert: param, si-4_prm_4 }} {{ insert: param, si-4_prm_5 }}." - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at system boundaries. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capability is achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. Depending on the security architecture implementation, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries, and at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms supporting critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17. The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., AC-2g, AC-2(7), AC-2(12)(a), AC-17(1), AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "props": [ - { - "name": "label", - "value": "SI-4(1)" - }, - { - "name": "sort-id", - "value": "SI-04(01)" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "Connect and configure individual intrusion detection tools into a system-wide intrusion detection system." - }, - { - "id": "si-4.1_gdn", - "name": "guidance", - "prose": "Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capability. The information contained in one intrusion detection tool can be shared widely across the organization making the system-wide detection capability more robust and powerful." - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools and Mechanisms for Real-time Analysis", - "props": [ - { - "name": "label", - "value": "SI-4(2)" - }, - { - "name": "sort-id", - "value": "SI-04(02)" - } - ], - "links": [ - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to support near real-time analysis of events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or Security Information and Event Management technologies that provide real time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan." - } - ] - }, - { - "id": "si-4.3", - "class": "SP800-53-enhancement", - "title": "Automated Tool and Mechanism Integration", - "props": [ - { - "name": "label", - "value": "SI-4(3)" - }, - { - "name": "sort-id", - "value": "SI-04(03)" - } - ], - "links": [ - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.3_smt", - "name": "statement", - "prose": "Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms." - }, - { - "id": "si-4.3_gdn", - "name": "guidance", - "prose": "Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling reconfiguration of mechanisms in support of attack isolation and elimination." - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "params": [ - { - "id": "si-4.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(4)" - }, - { - "name": "sort-id", - "value": "SI-04(04)" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "prose": "Monitor inbound and outbound communications traffic {{ insert: param, si-4.4_prm_1 }} for unusual or unauthorized activities or conditions." - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic include internal traffic that indicates the presence of malicious code within organizational systems or propagating among system components; the unauthorized exporting of information; or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components." - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "params": [ - { - "id": "si-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.5_prm_2", - "label": "organization-defined compromise indicators" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(5)" - }, - { - "name": "sort-id", - "value": "SI-04(05)" - } - ], - "links": [ - { - "href": "#au-4", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-4.5_prm_1 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, si-4.5_prm_2 }}." - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms; intrusion detection or prevention mechanisms; or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. This control enhancement addresses the security alerts generated by the system. Alternatively, alerts generated by organizations in SI-4(12) focus on information sources external to the system such as suspicious activity reports and reports on potential insider threats." - } - ] - }, - { - "id": "si-4.6", - "class": "SP800-53-enhancement", - "title": "Restrict Non-privileged Users", - "props": [ - { - "name": "label", - "value": "SI-4(6)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-04(06)" - } - ], - "links": [ - { - "href": "#ac-6.10", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.7", - "class": "SP800-53-enhancement", - "title": "Automated Response to Suspicious Events", - "params": [ - { - "id": "si-4.7_prm_1", - "label": "organization-defined incident response personnel (identified by name and/or by role)" - }, - { - "id": "si-4.7_prm_2", - "label": "organization-defined least-disruptive actions to terminate suspicious events" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(7)" - }, - { - "name": "sort-id", - "value": "SI-04(07)" - } - ], - "parts": [ - { - "id": "si-4.7_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Notify {{ insert: param, si-4.7_prm_1 }} of detected suspicious events; and" - }, - { - "id": "si-4.7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Take the following actions upon detection: {{ insert: param, si-4.7_prm_2 }}." - } - ] - }, - { - "id": "si-4.7_gdn", - "name": "guidance", - "prose": "Least-disruptive actions include initiating requests for human responses." - } - ] - }, - { - "id": "si-4.8", - "class": "SP800-53-enhancement", - "title": "Protection of Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-4(8)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-04(08)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-4.9", - "class": "SP800-53-enhancement", - "title": "Testing of Monitoring Tools and Mechanisms", - "params": [ - { - "id": "si-4.9_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(9)" - }, - { - "name": "sort-id", - "value": "SI-04(09)" - } - ], - "links": [ - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.9_smt", - "name": "statement", - "prose": "Test intrusion-monitoring tools and mechanisms {{ insert: param, si-4.9_prm_1 }}." - }, - { - "id": "si-4.9_gdn", - "name": "guidance", - "prose": "Testing intrusion-monitoring tools and mechanism is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment." - } - ] - }, - { - "id": "si-4.10", - "class": "SP800-53-enhancement", - "title": "Visibility of Encrypted Communications", - "params": [ - { - "id": "si-4.10_prm_1", - "label": "organization-defined encrypted communications traffic" - }, - { - "id": "si-4.10_prm_2", - "label": "organization-defined system monitoring tools and mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(10)" - }, - { - "name": "sort-id", - "value": "SI-04(10)" - } - ], - "parts": [ - { - "id": "si-4.10_smt", - "name": "statement", - "prose": "Make provisions so that {{ insert: param, si-4.10_prm_1 }} is visible to {{ insert: param, si-4.10_prm_2 }}." - }, - { - "id": "si-4.10_gdn", - "name": "guidance", - "prose": "Organizations balance the need for encrypting communications traffic to protect data confidentiality with the need for having visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types." - } - ] - }, - { - "id": "si-4.11", - "class": "SP800-53-enhancement", - "title": "Analyze Communications Traffic Anomalies", - "params": [ - { - "id": "si-4.11_prm_1", - "label": "organization-defined interior points within the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(11)" - }, - { - "name": "sort-id", - "value": "SI-04(11)" - } - ], - "parts": [ - { - "id": "si-4.11_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at the external interfaces to the system and selected {{ insert: param, si-4.11_prm_1 }} to discover anomalies." - }, - { - "id": "si-4.11_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g. IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses." - } - ] - }, - { - "id": "si-4.12", - "class": "SP800-53-enhancement", - "title": "Automated Organization-generated Alerts", - "params": [ - { - "id": "si-4.12_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.12_prm_2", - "label": "organization-defined automated mechanisms" - }, - { - "id": "si-4.12_prm_3", - "label": "organization-defined activities that trigger alerts" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(12)" - }, - { - "name": "sort-id", - "value": "SI-04(12)" - } - ], - "parts": [ - { - "id": "si-4.12_smt", - "name": "statement", - "prose": "Alert {{ insert: param, si-4.12_prm_1 }} using {{ insert: param, si-4.12_prm_2 }} when the following indications of inappropriate or unusual activities with security or privacy implications occur: {{ insert: param, si-4.12_prm_3 }}." - }, - { - "id": "si-4.12_gdn", - "name": "guidance", - "prose": "Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by systems in SI-4(5) that focus on information sources that are internal to the systems such as audit records, the sources of information for this enhancement focus on other entities such as suspicious activity reports and reports on potential insider threats." - } - ] - }, - { - "id": "si-4.13", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Event Patterns", - "props": [ - { - "name": "label", - "value": "SI-4(13)" - }, - { - "name": "sort-id", - "value": "SI-04(13)" - } - ], - "parts": [ - { - "id": "si-4.13_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Analyze communications traffic and event patterns for the system;" - }, - { - "id": "si-4.13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develop profiles representing common traffic and event patterns; and" - }, - { - "id": "si-4.13_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Use the traffic and event profiles in tuning system-monitoring devices." - } - ] - }, - { - "id": "si-4.13_gdn", - "name": "guidance", - "prose": "Identifying and understanding common communications traffic and event patterns helps organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring." - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "props": [ - { - "name": "label", - "value": "SI-4(14)" - }, - { - "name": "sort-id", - "value": "SI-04(14)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ia-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems, but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems." - } - ] - }, - { - "id": "si-4.15", - "class": "SP800-53-enhancement", - "title": "Wireless to Wireline Communications", - "props": [ - { - "name": "label", - "value": "SI-4(15)" - }, - { - "name": "sort-id", - "value": "SI-04(15)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.15_smt", - "name": "statement", - "prose": "Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks." - }, - { - "id": "si-4.15_gdn", - "name": "guidance", - "prose": "Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network." - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "props": [ - { - "name": "label", - "value": "SI-4(16)" - }, - { - "name": "sort-id", - "value": "SI-04(16)" - } - ], - "links": [ - { - "href": "#au-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "Correlate information from monitoring tools and mechanisms employed throughout the system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation, including malicious code protection software, host monitoring, and network monitoring, can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the utility of information generated by those tools and mechanisms can help organizations to develop, operate, and maintain effective monitoring programs. Correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols)." - } - ] - }, - { - "id": "si-4.17", - "class": "SP800-53-enhancement", - "title": "Integrated Situational Awareness", - "props": [ - { - "name": "label", - "value": "SI-4(17)" - }, - { - "name": "sort-id", - "value": "SI-04(17)" - } - ], - "links": [ - { - "href": "#au-16", - "rel": "related" - }, - { - "href": "#pe-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.17_smt", - "name": "statement", - "prose": "Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness." - }, - { - "id": "si-4.17_gdn", - "name": "guidance", - "prose": "Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4(16) that correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors." - } - ] - }, - { - "id": "si-4.18", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic and Covert Exfiltration", - "params": [ - { - "id": "si-4.18_prm_1", - "label": "organization-defined interior points within the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(18)" - }, - { - "name": "sort-id", - "value": "SI-04(18)" - } - ], - "parts": [ - { - "id": "si-4.18_smt", - "name": "statement", - "prose": "Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, si-4.18_prm_1 }}." - }, - { - "id": "si-4.18_gdn", - "name": "guidance", - "prose": "Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography." - } - ] - }, - { - "id": "si-4.19", - "class": "SP800-53-enhancement", - "title": "Risk for Individuals", - "params": [ - { - "id": "si-4.19_prm_1", - "label": "organization-defined additional monitoring" - }, - { - "id": "si-4.19_prm_2", - "label": "organization-defined sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(19)" - }, - { - "name": "sort-id", - "value": "SI-04(19)" - } - ], - "parts": [ - { - "id": "si-4.19_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-4.19_prm_1 }} of individuals who have been identified by {{ insert: param, si-4.19_prm_2 }} as posing an increased level of risk." - }, - { - "id": "si-4.19_gdn", - "name": "guidance", - "prose": "Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with management, legal, security, privacy and human resource officials conducting such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines." - } - ] - }, - { - "id": "si-4.20", - "class": "SP800-53-enhancement", - "title": "Privileged Users", - "params": [ - { - "id": "si-4.20_prm_1", - "label": "organization-defined additional monitoring" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(20)" - }, - { - "name": "sort-id", - "value": "SI-04(20)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.20_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of privileged users: {{ insert: param, si-4.20_prm_1 }}." - }, - { - "id": "si-4.20_gdn", - "name": "guidance", - "prose": "Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions." - } - ] - }, - { - "id": "si-4.21", - "class": "SP800-53-enhancement", - "title": "Probationary Periods", - "params": [ - { - "id": "si-4.21_prm_1", - "label": "organization-defined probationary period" - }, - { - "id": "si-4.21_prm_2", - "label": "organization-defined additional monitoring" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(21)" - }, - { - "name": "sort-id", - "value": "SI-04(21)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.21_smt", - "name": "statement", - "prose": "Implement the following additional monitoring of individuals during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param, si-4.21_prm_2 }}." - }, - { - "id": "si-4.21_gdn", - "name": "guidance", - "prose": "During probationary periods, employees do not have permanent employment status within organizations. Without such status and having access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior." - } - ] - }, - { - "id": "si-4.22", - "class": "SP800-53-enhancement", - "title": "Unauthorized Network Services", - "params": [ - { - "id": "si-4.22_prm_1", - "label": "organization-defined authorization or approval processes" - }, - { - "id": "si-4.22_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "audit", - "alert {{ insert: param, si-4.22_prm_3 }} " - ] - } - }, - { - "id": "si-4.22_prm_3", - "depends-on": "si-4.22_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(22)" - }, - { - "name": "sort-id", - "value": "SI-04(22)" - } - ], - "links": [ - { - "href": "#cm-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.22_smt", - "name": "statement", - "parts": [ - { - "id": "si-4.22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Detect network services that have not been authorized or approved by {{ insert: param, si-4.22_prm_1 }}; and" - }, - { - "id": "si-4.22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-4.22_prm_2 }} when detected." - } - ] - }, - { - "id": "si-4.22_gdn", - "name": "guidance", - "prose": "Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services." - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "params": [ - { - "id": "si-4.23_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-4.23_prm_2", - "label": "organization-defined host-based monitoring mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(23)" - }, - { - "name": "sort-id", - "value": "SI-04(23)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - }, - { - "href": "#ac-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "Implement the following host-based monitoring mechanisms at {{ insert: param, si-4.23_prm_1 }}: {{ insert: param, si-4.23_prm_2 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "System components where host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors." - } - ] - }, - { - "id": "si-4.24", - "class": "SP800-53-enhancement", - "title": "Indicators of Compromise", - "params": [ - { - "id": "si-4.24_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.24_prm_2", - "label": "organization-defined sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-4(24)" - }, - { - "name": "sort-id", - "value": "SI-04(24)" - } - ], - "links": [ - { - "href": "#ac-18", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-4.24_smt", - "name": "statement", - "prose": "Discover, collect, and distribute to {{ insert: param, si-4.24_prm_1 }}, indicators of compromise provided by {{ insert: param, si-4.24_prm_2 }}." - }, - { - "id": "si-4.24_gdn", - "name": "guidance", - "prose": "Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques and procedures, and other indicators of compromise may be available via government and non-government cooperatives including Forum of Incident Response and Security Teams, United States Computer Emergency Readiness Team, Defense Industrial Base Cybersecurity Information Sharing Program, and CERT Coordination Center." - } - ] - }, - { - "id": "si-4.25", - "class": "SP800-53-enhancement", - "title": "Optimize Network Traffic Analysis", - "props": [ - { - "name": "label", - "value": "SI-4(25)" - }, - { - "name": "sort-id", - "value": "SI-04(25)" - } - ], - "parts": [ - { - "id": "si-4.25_smt", - "name": "statement", - "prose": "Provide visibility into network traffic at external and key internal system boundaries to optimize the effectiveness of monitoring devices." - }, - { - "id": "si-4.25_gdn", - "name": "guidance", - "prose": "Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition), may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing and distributing only relevant traffic to monitoring devices can streamline efficiency and use of the devices and optimize traffic analysis." - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "params": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations" - }, - { - "id": "si-5_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-5_prm_3 }} ", - " {{ insert: param, si-5_prm_4 }} ", - " {{ insert: param, si-5_prm_5 }} " - ] - } - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "props": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "SI-05" - } - ], - "links": [ - { - "href": "#1126ec09-2b27-4a21-80b2-fef70b31c49d", - "rel": "reference" - }, - { - "href": "#pm-15", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receive system security alerts, advisories, and directives from {{ insert: param, si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generate internal security alerts, advisories, and directives as deemed necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminate security alerts, advisories, and directives to: {{ insert: param, si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations." - } - ], - "controls": [ - { - "id": "si-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Alerts and Advisories", - "params": [ - { - "id": "si-5.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-5(1)" - }, - { - "name": "sort-id", - "value": "SI-05(01)" - } - ], - "parts": [ - { - "id": "si-5.1_smt", - "name": "statement", - "prose": "Broadcast security alert and advisory information throughout the organization using {{ insert: param, si-5.1_prm_1 }}." - }, - { - "id": "si-5.1_gdn", - "name": "guidance", - "prose": "The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of information security and privacy risk, including the governance level, mission and business process level, and the information system level." - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security and Privacy Function Verification", - "params": [ - { - "id": "si-6_prm_1", - "label": "organization-defined security and privacy functions" - }, - { - "id": "si-6_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - " {{ insert: param, si-6_prm_3 }} ", - "upon command by user with appropriate privilege", - " {{ insert: param, si-6_prm_4 }} " - ] - } - }, - { - "id": "si-6_prm_3", - "depends-on": "si-6_prm_2", - "label": "organization-defined system transitional states" - }, - { - "id": "si-6_prm_4", - "depends-on": "si-6_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "si-6_prm_5", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-6_prm_6", - "select": { - "how-many": "one-or-more", - "choice": [ - "Shut the system down", - "Restart the system", - " {{ insert: param, si-6_prm_7 }} " - ] - } - }, - { - "id": "si-6_prm_7", - "depends-on": "si-6_prm_6", - "label": "organization-defined alternative action(s)" - } - ], - "props": [ - { - "name": "label", - "value": "SI-6" - }, - { - "name": "sort-id", - "value": "SI-06" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#cm-4", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verify the correct operation of {{ insert: param, si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform the verification of the functions specified in SI-6a {{ insert: param, si-6_prm_2 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Notify {{ insert: param, si-6_prm_5 }} of failed security and privacy verification tests; and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "props": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "{{ insert: param, si-6_prm_6 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy, or that privacy attributes are applied or used as expected." - } - ], - "controls": [ - { - "id": "si-6.1", - "class": "SP800-53-enhancement", - "title": "Notification of Failed Security Tests", - "props": [ - { - "name": "label", - "value": "SI-6(1)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-06(01)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-6.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Distributed Testing", - "props": [ - { - "name": "label", - "value": "SI-6(2)" - }, - { - "name": "sort-id", - "value": "SI-06(02)" - } - ], - "links": [ - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.2_smt", - "name": "statement", - "prose": "Implement automated mechanisms to support the management of distributed security and privacy function testing." - }, - { - "id": "si-6.2_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing." - } - ] - }, - { - "id": "si-6.3", - "class": "SP800-53-enhancement", - "title": "Report Verification Results", - "params": [ - { - "id": "si-6.3_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-6(3)" - }, - { - "name": "sort-id", - "value": "SI-06(03)" - } - ], - "links": [ - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-6.3_smt", - "name": "statement", - "prose": "Report the results of security and privacy function verification to {{ insert: param, si-6.3_prm_1 }}." - }, - { - "id": "si-6.3_gdn", - "name": "guidance", - "prose": "Organizational personnel with potential interest in the results of the verification of security and privacy function include systems security officers, senior agency information security officers, and senior agency officials for privacy." - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "params": [ - { - "id": "si-7_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7_prm_2", - "label": "organization-defined actions" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7" - }, - { - "name": "sort-id", - "value": "SI-07" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#14a7d982-9747-48e0-a877-3e8fbf6ae381", - "rel": "reference" - }, - { - "href": "#e9224c9b-4fa5-40b7-bfbb-02bff7712d92", - "rel": "reference" - }, - { - "href": "#ac-4", - "rel": "related" - }, - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#cm-7", - "rel": "related" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-3", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sc-8", - "rel": "related" - }, - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - }, - { - "href": "#sc-28", - "rel": "related" - }, - { - "href": "#sc-37", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "parts": [ - { - "id": "si-7_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, si-7_prm_1 }}; and" - }, - { - "id": "si-7_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, si-7_prm_2 }}." - } - ] - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes the Basic Input Output System (BIOS). Information includes personally identifiable information and metadata containing security and privacy attributes associated with information. Integrity-checking mechanisms, including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools can automatically monitor the integrity of systems and hosted applications." - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "params": [ - { - "id": "si-7.1_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "at startup", - "at {{ insert: param, si-7.1_prm_3 }} ", - " {{ insert: param, si-7.1_prm_4 }} " - ] - } - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined transitional states or security-relevant events" - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(1)" - }, - { - "name": "sort-id", - "value": "SI-07(01)" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "Perform an integrity check of {{ insert: param, si-7.1_prm_1 }} {{ insert: param, si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include the identification of a new threat to which organizational systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort." - } - ] - }, - { - "id": "si-7.2", - "class": "SP800-53-enhancement", - "title": "Automated Notifications of Integrity Violations", - "params": [ - { - "id": "si-7.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(2)" - }, - { - "name": "sort-id", - "value": "SI-07(02)" - } - ], - "parts": [ - { - "id": "si-7.2_smt", - "name": "statement", - "prose": "Employ automated tools that provide notification to {{ insert: param, si-7.2_prm_1 }} upon discovering discrepancies during integrity verification." - }, - { - "id": "si-7.2_gdn", - "name": "guidance", - "prose": "The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel having an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, systems administrators, software developers, systems integrators, and information security officers, and privacy officers." - } - ] - }, - { - "id": "si-7.3", - "class": "SP800-53-enhancement", - "title": "Centrally-managed Integrity Tools", - "props": [ - { - "name": "label", - "value": "SI-7(3)" - }, - { - "name": "sort-id", - "value": "SI-07(03)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.3_smt", - "name": "statement", - "prose": "Employ centrally managed integrity verification tools." - }, - { - "id": "si-7.3_gdn", - "name": "guidance", - "prose": "Centrally-managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions." - } - ] - }, - { - "id": "si-7.4", - "class": "SP800-53-enhancement", - "title": "Tamper-evident Packaging", - "props": [ - { - "name": "label", - "value": "SI-7(4)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(04)" - } - ], - "links": [ - { - "href": "#sr-9", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-7.5", - "class": "SP800-53-enhancement", - "title": "Automated Response to Integrity Violations", - "params": [ - { - "id": "si-7.5_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "shut the system down", - "restart the system", - "implement {{ insert: param, si-7.5_prm_2 }} " - ] - } - }, - { - "id": "si-7.5_prm_2", - "depends-on": "si-7.5_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(5)" - }, - { - "name": "sort-id", - "value": "SI-07(05)" - } - ], - "parts": [ - { - "id": "si-7.5_smt", - "name": "statement", - "prose": "Automatically {{ insert: param, si-7.5_prm_1 }} when integrity violations are discovered." - }, - { - "id": "si-7.5_gdn", - "name": "guidance", - "prose": "Organizations may define different integrity checking responses by type of information, by specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur." - } - ] - }, - { - "id": "si-7.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "props": [ - { - "name": "label", - "value": "SI-7(6)" - }, - { - "name": "sort-id", - "value": "SI-07(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.6_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information." - }, - { - "id": "si-7.6_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography; protecting the confidentiality of the key used to generate the hash; and using the public key to verify the hash information. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "params": [ - { - "id": "si-7.7_prm_1", - "label": "organization-defined security-relevant changes to the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(7)" - }, - { - "name": "sort-id", - "value": "SI-07(07)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-5", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, si-7.7_prm_1 }}." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended time-period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or unauthorized elevation of system privileges." - } - ] - }, - { - "id": "si-7.8", - "class": "SP800-53-enhancement", - "title": "Auditing Capability for Significant Events", - "params": [ - { - "id": "si-7.8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "generate an audit record", - "alert current user", - "alert {{ insert: param, si-7.8_prm_2 }} ", - " {{ insert: param, si-7.8_prm_3 }} " - ] - } - }, - { - "id": "si-7.8_prm_2", - "depends-on": "si-7.8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-7.8_prm_3", - "depends-on": "si-7.8_prm_1", - "label": "organization-defined other actions" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(8)" - }, - { - "name": "sort-id", - "value": "SI-07(08)" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-6", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.8_smt", - "name": "statement", - "prose": "Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: {{ insert: param, si-7.8_prm_1 }}." - }, - { - "id": "si-7.8_gdn", - "name": "guidance", - "prose": "Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations." - } - ] - }, - { - "id": "si-7.9", - "class": "SP800-53-enhancement", - "title": "Verify Boot Process", - "params": [ - { - "id": "si-7.9_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(9)" - }, - { - "name": "sort-id", - "value": "SI-07(09)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.9_smt", - "name": "statement", - "prose": "Verify the integrity of the boot process of the following system components: {{ insert: param, si-7.9_prm_1 }}." - }, - { - "id": "si-7.9_gdn", - "name": "guidance", - "prose": "Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes." - } - ] - }, - { - "id": "si-7.10", - "class": "SP800-53-enhancement", - "title": "Protection of Boot Firmware", - "params": [ - { - "id": "si-7.10_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-7.10_prm_2", - "label": "organization-defined mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(10)" - }, - { - "name": "sort-id", - "value": "SI-07(10)" - } - ], - "links": [ - { - "href": "#si-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.10_smt", - "name": "statement", - "prose": "Implement the following mechanisms to protect the integrity of boot firmware in {{ insert: param, si-7.10_prm_1 }}: {{ insert: param, si-7.10_prm_2 }}." - }, - { - "id": "si-7.10_gdn", - "name": "guidance", - "prose": "Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur, for example, if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component; and preventing unauthorized processes from modifying the boot firmware." - } - ] - }, - { - "id": "si-7.11", - "class": "SP800-53-enhancement", - "title": "Confined Environments with Limited Privileges", - "props": [ - { - "name": "label", - "value": "SI-7(11)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(11)" - } - ], - "links": [ - { - "href": "#cm-7.6", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.12", - "class": "SP800-53-enhancement", - "title": "Integrity Verification", - "params": [ - { - "id": "si-7.12_prm_1", - "label": "organization-defined user-installed software" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(12)" - }, - { - "name": "sort-id", - "value": "SI-07(12)" - } - ], - "links": [ - { - "href": "#cm-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.12_smt", - "name": "statement", - "prose": "Require that the integrity of the following user-installed software be verified prior to execution: {{ insert: param, si-7.12_prm_1 }}." - }, - { - "id": "si-7.12_gdn", - "name": "guidance", - "prose": "Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or executing code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including availability of checksums of adequate trustworthiness from software developers or vendors." - } - ] - }, - { - "id": "si-7.13", - "class": "SP800-53-enhancement", - "title": "Code Execution in Protected Environments", - "props": [ - { - "name": "label", - "value": "SI-7(13)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(13)" - } - ], - "links": [ - { - "href": "#cm-7.7", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.14", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "props": [ - { - "name": "label", - "value": "SI-7(14)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-07(14)" - } - ], - "links": [ - { - "href": "#cm-7.8", - "rel": "moved-to" - } - ] - }, - { - "id": "si-7.15", - "class": "SP800-53-enhancement", - "title": "Code Authentication", - "params": [ - { - "id": "si-7.15_prm_1", - "label": "organization-defined software or firmware components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(15)" - }, - { - "name": "sort-id", - "value": "SI-07(15)" - } - ], - "links": [ - { - "href": "#cm-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.15_smt", - "name": "statement", - "prose": "Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: {{ insert: param, si-7.15_prm_1 }}." - }, - { - "id": "si-7.15_gdn", - "name": "guidance", - "prose": "Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13)." - } - ] - }, - { - "id": "si-7.16", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "params": [ - { - "id": "si-7.16_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(16)" - }, - { - "name": "sort-id", - "value": "SI-07(16)" - } - ], - "parts": [ - { - "id": "si-7.16_smt", - "name": "statement", - "prose": "Prohibit processes from executing without supervision for more than {{ insert: param, si-7.16_prm_1 }}." - }, - { - "id": "si-7.16_gdn", - "name": "guidance", - "prose": "This control enhancement addresses processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, or manual oversight and response when system process anomalies occur." - } - ] - }, - { - "id": "si-7.17", - "class": "SP800-53-enhancement", - "title": "Runtime Application Self-protection", - "params": [ - { - "id": "si-7.17_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-7(17)" - }, - { - "name": "sort-id", - "value": "SI-07(17)" - } - ], - "links": [ - { - "href": "#si-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-7.17_smt", - "name": "statement", - "prose": "Implement {{ insert: param, si-7.17_prm_1 }} for application self-protection at runtime." - }, - { - "id": "si-7.17_gdn", - "name": "guidance", - "prose": "This control enhancement employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls, that can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs, and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode." - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "props": [ - { - "name": "label", - "value": "SI-8" - }, - { - "name": "sort-id", - "value": "SI-08" - } - ], - "links": [ - { - "href": "#23b0a203-c020-47dd-b86c-9f8c35ecaa4e", - "rel": "reference" - }, - { - "href": "#64e044e4-b2a9-490f-a079-1106407c812f", - "rel": "reference" - }, - { - "href": "#sc-5", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions." - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "props": [ - { - "name": "label", - "value": "SI-8(1)" - }, - { - "name": "sort-id", - "value": "SI-08(01)" - } - ], - "links": [ - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#cm-6", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-8.1_smt", - "name": "statement", - "prose": "Centrally manage spam protection mechanisms." - }, - { - "id": "si-8.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection controls." - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "params": [ - { - "id": "si-8.2_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-8(2)" - }, - { - "name": "sort-id", - "value": "SI-08(02)" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "Automatically update spam protection mechanisms {{ insert: param, si-8.2_prm_1 }}." - }, - { - "id": "si-8.2_gdn", - "name": "guidance", - "prose": "Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capability." - } - ] - }, - { - "id": "si-8.3", - "class": "SP800-53-enhancement", - "title": "Continuous Learning Capability", - "props": [ - { - "name": "label", - "value": "SI-8(3)" - }, - { - "name": "sort-id", - "value": "SI-08(03)" - } - ], - "parts": [ - { - "id": "si-8.3_smt", - "name": "statement", - "prose": "Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic." - }, - { - "id": "si-8.3_gdn", - "name": "guidance", - "prose": "Learning mechanisms include Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic." - } - ] - } - ] - }, - { - "id": "si-9", - "class": "SP800-53", - "title": "Information Input Restrictions", - "props": [ - { - "name": "label", - "value": "SI-9" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-09" - } - ], - "links": [ - { - "href": "#ac-2", - "rel": "incorporated-into" - }, - { - "href": "#ac-3", - "rel": "incorporated-into" - }, - { - "href": "#ac-5", - "rel": "incorporated-into" - }, - { - "href": "#ac-6", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "params": [ - { - "id": "si-10_prm_1", - "label": "organization-defined information inputs to the system" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "SI-10" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "Check the validity of the following information inputs: {{ insert: param, si-10_prm_1 }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of system inputs, including character set, length, numerical range, and acceptable values, verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of 387, abc, or %K% are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks." - } - ], - "controls": [ - { - "id": "si-10.1", - "class": "SP800-53-enhancement", - "title": "Manual Override Capability", - "params": [ - { - "id": "si-10.1_prm_1", - "label": "organization-defined inputs" - }, - { - "id": "si-10.1_prm_2", - "label": "organization-defined authorized individuals" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(1)" - }, - { - "name": "sort-id", - "value": "SI-10(01)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.1_smt", - "name": "statement", - "parts": [ - { - "id": "si-10.1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provide a manual override capability for input validation of the following information inputs: {{ insert: param, si-10.1_prm_1 }};" - }, - { - "id": "si-10.1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Restrict the use of the manual override capability to only {{ insert: param, si-10.1_prm_2 }}; and" - }, - { - "id": "si-10.1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Audit the use of the manual override capability." - } - ] - }, - { - "id": "si-10.1_gdn", - "name": "guidance", - "prose": "In certain situations, for example, during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization." - } - ] - }, - { - "id": "si-10.2", - "class": "SP800-53-enhancement", - "title": "Review and Resolve Errors", - "params": [ - { - "id": "si-10.2_prm_1", - "label": "organization-defined time-period" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(2)" - }, - { - "name": "sort-id", - "value": "SI-10(02)" - } - ], - "parts": [ - { - "id": "si-10.2_smt", - "name": "statement", - "prose": "Review and resolve input validation errors within {{ insert: param, si-10.2_prm_1 }}." - }, - { - "id": "si-10.2_gdn", - "name": "guidance", - "prose": "Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input." - } - ] - }, - { - "id": "si-10.3", - "class": "SP800-53-enhancement", - "title": "Predictable Behavior", - "props": [ - { - "name": "label", - "value": "SI-10(3)" - }, - { - "name": "sort-id", - "value": "SI-10(03)" - } - ], - "parts": [ - { - "id": "si-10.3_smt", - "name": "statement", - "prose": "Verify that the system behaves in a predictable and documented manner when invalid inputs are received." - }, - { - "id": "si-10.3_gdn", - "name": "guidance", - "prose": "A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior when the system receives invalid inputs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those inputs related to the information inputs defined by the organization in the base control." - } - ] - }, - { - "id": "si-10.4", - "class": "SP800-53-enhancement", - "title": "Timing Interactions", - "props": [ - { - "name": "label", - "value": "SI-10(4)" - }, - { - "name": "sort-id", - "value": "SI-10(04)" - } - ], - "parts": [ - { - "id": "si-10.4_smt", - "name": "statement", - "prose": "Account for timing interactions among system components in determining appropriate responses for invalid inputs." - }, - { - "id": "si-10.4_gdn", - "name": "guidance", - "prose": "In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appears to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input." - } - ] - }, - { - "id": "si-10.5", - "class": "SP800-53-enhancement", - "title": "Restrict Inputs to Trusted Sources and Approved Formats", - "params": [ - { - "id": "si-10.5_prm_1", - "label": "organization-defined trusted sources" - }, - { - "id": "si-10.5_prm_2", - "label": "organization-defined formats" - } - ], - "props": [ - { - "name": "label", - "value": "SI-10(5)" - }, - { - "name": "sort-id", - "value": "SI-10(05)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.5_smt", - "name": "statement", - "prose": "Restrict the use of information inputs to {{ insert: param, si-10.5_prm_1 }} and/or {{ insert: param, si-10.5_prm_2 }}." - }, - { - "id": "si-10.5_gdn", - "name": "guidance", - "prose": "This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity." - } - ] - }, - { - "id": "si-10.6", - "class": "SP800-53-enhancement", - "title": "Injection Prevention", - "props": [ - { - "name": "label", - "value": "SI-10(6)" - }, - { - "name": "sort-id", - "value": "SI-10(06)" - } - ], - "links": [ - { - "href": "#ac-3", - "rel": "related" - }, - { - "href": "#ac-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-10.6_smt", - "name": "statement", - "prose": "Prevent untrusted data injections." - }, - { - "id": "si-10.6_gdn", - "name": "guidance", - "prose": "Untrusted data injections may be prevented using, for example, a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so injections of malicious or unintended data cannot change the semantics of the command being sent. Output escaping uses specified characters to inform the interpreter’s parser whether data is trusted." - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "params": [ - { - "id": "si-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "SI-11" - } - ], - "links": [ - { - "href": "#au-2", - "rel": "related" - }, - { - "href": "#au-3", - "rel": "related" - }, - { - "href": "#sc-31", - "rel": "related" - }, - { - "href": "#si-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveal error messages only to {{ insert: param, si-11_prm_1 }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations consider the structure and the content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information." - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Management and Retention", - "props": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "SI-12" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#ac-1", - "rel": "related" - }, - { - "href": "#at-1", - "rel": "related" - }, - { - "href": "#au-1", - "rel": "related" - }, - { - "href": "#ca-1", - "rel": "related" - }, - { - "href": "#cm-1", - "rel": "related" - }, - { - "href": "#cp-1", - "rel": "related" - }, - { - "href": "#ia-1", - "rel": "related" - }, - { - "href": "#ir-1", - "rel": "related" - }, - { - "href": "#ma-1", - "rel": "related" - }, - { - "href": "#mp-1", - "rel": "related" - }, - { - "href": "#pe-1", - "rel": "related" - }, - { - "href": "#pl-1", - "rel": "related" - }, - { - "href": "#pm-1", - "rel": "related" - }, - { - "href": "#ps-1", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#ra-1", - "rel": "related" - }, - { - "href": "#sa-1", - "rel": "related" - }, - { - "href": "#sc-1", - "rel": "related" - }, - { - "href": "#si-1", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - }, - { - "href": "#ac-16", - "rel": "related" - }, - { - "href": "#au-5", - "rel": "related" - }, - { - "href": "#au-11", - "rel": "related" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ca-3", - "rel": "related" - }, - { - "href": "#ca-5", - "rel": "related" - }, - { - "href": "#ca-6", - "rel": "related" - }, - { - "href": "#ca-7", - "rel": "related" - }, - { - "href": "#ca-9", - "rel": "related" - }, - { - "href": "#cm-5", - "rel": "related" - }, - { - "href": "#cm-9", - "rel": "related" - }, - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - }, - { - "href": "#mp-2", - "rel": "related" - }, - { - "href": "#mp-3", - "rel": "related" - }, - { - "href": "#mp-4", - "rel": "related" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pl-4", - "rel": "related" - }, - { - "href": "#pm-4", - "rel": "related" - }, - { - "href": "#pm-8", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#ps-2", - "rel": "related" - }, - { - "href": "#ps-6", - "rel": "related" - }, - { - "href": "#pt-1", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sr-1", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention. If organizations have a records management office, consider coordinating with records management personnel." - } - ], - "controls": [ - { - "id": "si-12.1", - "class": "SP800-53-enhancement", - "title": "Limit Personally Identifiable Information Elements", - "params": [ - { - "id": "si-12.1_prm_1", - "label": "organization-defined elements of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(1)" - }, - { - "name": "sort-id", - "value": "SI-12(01)" - } - ], - "links": [ - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#pt-2", - "rel": "related" - }, - { - "href": "#pt-3", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.1_smt", - "name": "statement", - "prose": "Limit personally identifiable information being processed in the information life cycle to the following elements of PII: {{ insert: param, si-12.1_prm_1 }}." - }, - { - "id": "si-12.1_gdn", - "name": "guidance", - "prose": "Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk." - } - ] - }, - { - "id": "si-12.2", - "class": "SP800-53-enhancement", - "title": "Minimize Personally Identifiable Information in Testing, Training, and Research", - "params": [ - { - "id": "si-12.2_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(2)" - }, - { - "name": "sort-id", - "value": "SI-12(02)" - } - ], - "links": [ - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-25", - "rel": "related" - }, - { - "href": "#si-19", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.2_smt", - "name": "statement", - "prose": "Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: {{ insert: param, si-12.2_prm_1 }}." - }, - { - "id": "si-12.2_gdn", - "name": "guidance", - "prose": "Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them." - } - ] - }, - { - "id": "si-12.3", - "class": "SP800-53-enhancement", - "title": "Information Disposal", - "params": [ - { - "id": "si-12.3_prm_1", - "label": "organization-defined techniques" - } - ], - "props": [ - { - "name": "label", - "value": "SI-12(3)" - }, - { - "name": "sort-id", - "value": "SI-12(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-12.3_smt", - "name": "statement", - "prose": "Use the following techniques to dispose of, destroy, or erase information following the retention period: {{ insert: param, si-12.3_prm_1 }}." - }, - { - "id": "si-12.3_gdn", - "name": "guidance", - "prose": "Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. Disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information." - } - ] - } - ] - }, - { - "id": "si-13", - "class": "SP800-53", - "title": "Predictable Failure Prevention", - "params": [ - { - "id": "si-13_prm_1", - "label": "organization-defined system components" - }, - { - "id": "si-13_prm_2", - "label": "organization-defined MTTF substitution criteria" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13" - }, - { - "name": "sort-id", - "value": "SI-13" - } - ], - "links": [ - { - "href": "#cp-2", - "rel": "related" - }, - { - "href": "#cp-10", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sc-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13_smt", - "name": "statement", - "parts": [ - { - "id": "si-13_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determine mean time to failure (MTTF) for the following system components in specific environments of operation: {{ insert: param, si-13_prm_1 }}; and" - }, - { - "id": "si-13_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: {{ insert: param, si-13_prm_2 }}." - } - ] - }, - { - "id": "si-13_gdn", - "name": "guidance", - "prose": "While MTTF is primarily a reliability issue, this control addresses potential failures of system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define the criteria for substitution of system components based on the MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability. This includes preservation of system state variables. Standby components remain available at all times except for maintenance issues or recovery failures in progress." - } - ], - "controls": [ - { - "id": "si-13.1", - "class": "SP800-53-enhancement", - "title": "Transferring Component Responsibilities", - "params": [ - { - "id": "si-13.1_prm_1", - "label": "organization-defined fraction or percentage" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(1)" - }, - { - "name": "sort-id", - "value": "SI-13(01)" - } - ], - "parts": [ - { - "id": "si-13.1_smt", - "name": "statement", - "prose": "Take system components out of service by transferring component responsibilities to substitute components no later than {{ insert: param, si-13.1_prm_1 }} of mean time to failure." - }, - { - "id": "si-13.1_gdn", - "name": "guidance", - "prose": "Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business operations. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, premature replacement of system components can result in increased cost of system operations." - } - ] - }, - { - "id": "si-13.2", - "class": "SP800-53-enhancement", - "title": "Time Limit on Process Execution Without Supervision", - "props": [ - { - "name": "label", - "value": "SI-13(2)" - }, - { - "name": "status", - "value": "Withdrawn" - }, - { - "name": "sort-id", - "value": "SI-13(02)" - } - ], - "links": [ - { - "href": "#si-7.16", - "rel": "incorporated-into" - } - ] - }, - { - "id": "si-13.3", - "class": "SP800-53-enhancement", - "title": "Manual Transfer Between Components", - "params": [ - { - "id": "si-13.3_prm_1", - "label": "organization-defined percentage" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(3)" - }, - { - "name": "sort-id", - "value": "SI-13(03)" - } - ], - "parts": [ - { - "id": "si-13.3_smt", - "name": "statement", - "prose": "Manually initiate transfers between active and standby system components when the use of the active component reaches {{ insert: param, si-13.3_prm_1 }} of the mean time to failure." - }, - { - "id": "si-13.3_gdn", - "name": "guidance", - "prose": "For example, if the MTTF for a system component is one hundred days and the organization-defined percentage is ninety percent, the manual transfer would occur after ninety days." - } - ] - }, - { - "id": "si-13.4", - "class": "SP800-53-enhancement", - "title": "Standby Component Installation and Notification", - "params": [ - { - "id": "si-13.4_prm_1", - "label": "organization-defined time-period" - }, - { - "id": "si-13.4_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "Activate {{ insert: param, si-13.4_prm_3 }} ", - "Automatically shut down the system", - " {{ insert: param, si-13.4_prm_4 }} " - ] - } - }, - { - "id": "si-13.4_prm_3", - "depends-on": "si-13.4_prm_2", - "label": "organization-defined alarm" - }, - { - "id": "si-13.4_prm_4", - "depends-on": "si-13.4_prm_2", - "label": "organization-defined action" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(4)" - }, - { - "name": "sort-id", - "value": "SI-13(04)" - } - ], - "parts": [ - { - "id": "si-13.4_smt", - "name": "statement", - "prose": "If system component failures are detected:", - "parts": [ - { - "id": "si-13.4_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Ensure that the standby components are successfully and transparently installed within {{ insert: param, si-13.4_prm_1 }}; and" - }, - { - "id": "si-13.4_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "{{ insert: param, si-13.4_prm_2 }}." - } - ] - }, - { - "id": "si-13.4_gdn", - "name": "guidance", - "prose": "Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures." - } - ] - }, - { - "id": "si-13.5", - "class": "SP800-53-enhancement", - "title": "Failover Capability", - "params": [ - { - "id": "si-13.5_prm_1", - "select": { - "choice": [ - "real-time", - "near real-time" - ] - } - }, - { - "id": "si-13.5_prm_2", - "label": "organization-defined failover capability" - } - ], - "props": [ - { - "name": "label", - "value": "SI-13(5)" - }, - { - "name": "sort-id", - "value": "SI-13(05)" - } - ], - "links": [ - { - "href": "#cp-6", - "rel": "related" - }, - { - "href": "#cp-7", - "rel": "related" - }, - { - "href": "#cp-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-13.5_smt", - "name": "statement", - "prose": "Provide {{ insert: param, si-13.5_prm_1 }} {{ insert: param, si-13.5_prm_2 }} for the system." - }, - { - "id": "si-13.5_gdn", - "name": "guidance", - "prose": "Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time-periods of organizations." - } - ] - } - ] - }, - { - "id": "si-14", - "class": "SP800-53", - "title": "Non-persistence", - "params": [ - { - "id": "si-14_prm_1", - "label": "organization-defined system components and services" - }, - { - "id": "si-14_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "upon end of session of use", - "periodically at {{ insert: param, si-14_prm_3 }} " - ] - } - }, - { - "id": "si-14_prm_3", - "depends-on": "si-14_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14" - }, - { - "name": "sort-id", - "value": "SI-14" - } - ], - "links": [ - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-34", - "rel": "related" - }, - { - "href": "#si-21", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14_smt", - "name": "statement", - "prose": "Implement non-persistent {{ insert: param, si-14_prm_1 }} that are initiated in a known state and terminated {{ insert: param, si-14_prm_2 }}." - }, - { - "id": "si-14_gdn", - "name": "guidance", - "prose": "This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a known state computing resource for a specific time-period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems and the environments in which those systems operate. Since the APT is a high-end, sophisticated threat regarding capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational systems. Non-persistence can be achieved by refreshing system components by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities." - } - ], - "controls": [ - { - "id": "si-14.1", - "class": "SP800-53-enhancement", - "title": "Refresh from Trusted Sources", - "params": [ - { - "id": "si-14.1_prm_1", - "label": "organization-defined trusted sources" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(1)" - }, - { - "name": "sort-id", - "value": "SI-14(01)" - } - ], - "parts": [ - { - "id": "si-14.1_smt", - "name": "statement", - "prose": "Obtain software and data employed during system component and service refreshes from the following trusted sources: {{ insert: param, si-14.1_prm_1 }}." - }, - { - "id": "si-14.1_gdn", - "name": "guidance", - "prose": "Trusted sources include software and data from write-once, read-only media or from selected off-line secure storage facilities." - } - ] - }, - { - "id": "si-14.2", - "class": "SP800-53-enhancement", - "title": "Non-persistent Information", - "params": [ - { - "id": "si-14.2_prm_1", - "select": { - "choice": [ - "refresh {{ insert: param, si-14.2_prm_2 }} {{ insert: param, si-14.2_prm_3 }} ", - "generate {{ insert: param, si-14.2_prm_4 }} on demand" - ] - } - }, - { - "id": "si-14.2_prm_2", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined information" - }, - { - "id": "si-14.2_prm_3", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "si-14.2_prm_4", - "depends-on": "si-14.2_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(2)" - }, - { - "name": "sort-id", - "value": "SI-14(02)" - } - ], - "parts": [ - { - "id": "si-14.2_smt", - "name": "statement", - "parts": [ - { - "id": "si-14.2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "{{ insert: param, si-14.2_prm_1 }}; and" - }, - { - "id": "si-14.2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Delete information when no longer needed." - } - ] - }, - { - "id": "si-14.2_gdn", - "name": "guidance", - "prose": "Retaining information longer than it is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system." - } - ] - }, - { - "id": "si-14.3", - "class": "SP800-53-enhancement", - "title": "Non-persistent Connectivity", - "params": [ - { - "id": "si-14.3_prm_1", - "select": { - "choice": [ - "completion of a request", - "a period of non-use" - ] - } - } - ], - "props": [ - { - "name": "label", - "value": "SI-14(3)" - }, - { - "name": "sort-id", - "value": "SI-14(03)" - } - ], - "links": [ - { - "href": "#sc-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-14.3_smt", - "name": "statement", - "prose": "Establish connections to the system on demand and terminate connections after {{ insert: param, si-14.3_prm_1 }}." - }, - { - "id": "si-14.3_gdn", - "name": "guidance", - "prose": "Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems, and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary’s ability to move freely organizational systems." - } - ] - } - ] - }, - { - "id": "si-15", - "class": "SP800-53", - "title": "Information Output Filtering", - "params": [ - { - "id": "si-15_prm_1", - "label": "organization-defined software programs and/or applications" - } - ], - "props": [ - { - "name": "label", - "value": "SI-15" - }, - { - "name": "sort-id", - "value": "SI-15" - } - ], - "links": [ - { - "href": "#si-3", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-15_smt", - "name": "statement", - "prose": "Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: {{ insert: param, si-15_prm_1 }}." - }, - { - "id": "si-15_gdn", - "name": "guidance", - "prose": "Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered." - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "params": [ - { - "id": "si-16_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "SI-16" - } - ], - "links": [ - { - "href": "#ac-25", - "rel": "related" - }, - { - "href": "#sc-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, si-16_prm_1 }}." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism." - } - ] - }, - { - "id": "si-17", - "class": "SP800-53", - "title": "Fail-safe Procedures", - "params": [ - { - "id": "si-17_prm_1", - "label": "organization-defined list of failure conditions and associated fail-safe procedures" - } - ], - "props": [ - { - "name": "label", - "value": "SI-17" - }, - { - "name": "sort-id", - "value": "SI-17" - } - ], - "links": [ - { - "href": "#cp-12", - "rel": "related" - }, - { - "href": "#cp-13", - "rel": "related" - }, - { - "href": "#sc-24", - "rel": "related" - }, - { - "href": "#si-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-17_smt", - "name": "statement", - "prose": "Implement the indicated fail-safe procedures when the indicated failures occur: {{ insert: param, si-17_prm_1 }}." - }, - { - "id": "si-17_gdn", - "name": "guidance", - "prose": "Failure conditions include loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. These steps include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel." - } - ] - }, - { - "id": "si-18", - "class": "SP800-53", - "title": "Personally Identifiable Information Quality Operations", - "params": [ - { - "id": "si-18_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18" - }, - { - "name": "sort-id", - "value": "SI-18" - } - ], - "links": [ - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18_smt", - "name": "statement", - "parts": [ - { - "id": "si-18_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle {{ insert: param, si-18_prm_1 }}; and" - }, - { - "id": "si-18_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Correct or delete inaccurate or outdated personally identifiable information." - } - ] - }, - { - "id": "si-18_gdn", - "name": "guidance", - "prose": "Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes." - } - ], - "controls": [ - { - "id": "si-18.1", - "class": "SP800-53-enhancement", - "title": "Automation", - "params": [ - { - "id": "si-18.1_prm_1", - "label": "organization-defined automated mechanisms" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(1)" - }, - { - "name": "sort-id", - "value": "SI-18(01)" - } - ], - "links": [ - { - "href": "#pm-18", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#ra-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.1_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using {{ insert: param, si-18.1_prm_1 }}." - }, - { - "id": "si-18.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors." - } - ] - }, - { - "id": "si-18.2", - "class": "SP800-53-enhancement", - "title": "Data Tags", - "props": [ - { - "name": "label", - "value": "SI-18(2)" - }, - { - "name": "sort-id", - "value": "SI-18(02)" - } - ], - "links": [ - { - "href": "#sc-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.2_smt", - "name": "statement", - "prose": "Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems." - }, - { - "id": "si-18.2_gdn", - "name": "guidance", - "prose": "Data tagging personally identifiable information includes tags noting processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information." - } - ] - }, - { - "id": "si-18.3", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-18(3)" - }, - { - "name": "sort-id", - "value": "SI-18(03)" - } - ], - "parts": [ - { - "id": "si-18.3_smt", - "name": "statement", - "prose": "Collect personally identifiable information directly from the individual." - }, - { - "id": "si-18.3_gdn", - "name": "guidance", - "prose": "Individuals, or their designated representatives, can be a source of correct personally identifiable information about themselves. Organizations consider contextual factors that may incentivize individuals to provide correct data versus providing false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. Measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information." - } - ] - }, - { - "id": "si-18.4", - "class": "SP800-53-enhancement", - "title": "Individual Requests", - "props": [ - { - "name": "label", - "value": "SI-18(4)" - }, - { - "name": "sort-id", - "value": "SI-18(04)" - } - ], - "links": [ - { - "href": "#pm-22", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-18.4_smt", - "name": "statement", - "prose": "Correct or delete personally identifiable information upon request by individuals or their designated representatives." - }, - { - "id": "si-18.4_gdn", - "name": "guidance", - "prose": "Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion in determining if personally identifiable information is to be corrected or deleted, based on the scope of requests, the changes sought, the impact of the changes, and applicable laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion." - } - ] - }, - { - "id": "si-18.5", - "class": "SP800-53-enhancement", - "title": "Notice of Collection or Deletion", - "params": [ - { - "id": "si-18.5_prm_1", - "label": "organization-defined recipients of personally identifiable information" - } - ], - "props": [ - { - "name": "label", - "value": "SI-18(5)" - }, - { - "name": "sort-id", - "value": "SI-18(05)" - } - ], - "parts": [ - { - "id": "si-18.5_smt", - "name": "statement", - "prose": "Notify {{ insert: param, si-18.5_prm_1 }} and individuals that the personally identifiable information has been corrected or deleted." - }, - { - "id": "si-18.5_gdn", - "name": "guidance", - "prose": "When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with which the information is associated or their designated representative, are informed of the corrected or deleted information." - } - ] - } - ] - }, - { - "id": "si-19", - "class": "SP800-53", - "title": "De-identification", - "params": [ - { - "id": "si-19_prm_1", - "label": "organization-defined elements of personally identifiable information" - }, - { - "id": "si-19_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SI-19" - }, - { - "name": "sort-id", - "value": "SI-19" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#eadef75e-7e4d-4554-b818-44946c1dde0e", - "rel": "reference" - }, - { - "href": "#mp-6", - "rel": "related" - }, - { - "href": "#pm-22", - "rel": "related" - }, - { - "href": "#pm-23", - "rel": "related" - }, - { - "href": "#pm-24", - "rel": "related" - }, - { - "href": "#ra-2", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19_smt", - "name": "statement", - "parts": [ - { - "id": "si-19_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Remove the following elements of personally identifiable information from datasets: {{ insert: param, si-19_prm_1 }}; and" - }, - { - "id": "si-19_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Evaluate {{ insert: param, si-19_prm_2 }} for effectiveness of de-identification." - } - ] - }, - { - "id": "si-19_gdn", - "name": "guidance", - "prose": "De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection, since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time supports management of this residual risk." - } - ], - "controls": [ - { - "id": "si-19.1", - "class": "SP800-53-enhancement", - "title": "Collection", - "props": [ - { - "name": "label", - "value": "SI-19(1)" - }, - { - "name": "sort-id", - "value": "SI-19(01)" - } - ], - "parts": [ - { - "id": "si-19.1_smt", - "name": "statement", - "prose": "De-identify the dataset upon collection by not collecting personally identifiable information." - }, - { - "id": "si-19.1_gdn", - "name": "guidance", - "prose": "If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified upon creation by not collecting the data elements containing the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number." - } - ] - }, - { - "id": "si-19.2", - "class": "SP800-53-enhancement", - "title": "Archiving", - "props": [ - { - "name": "label", - "value": "SI-19(2)" - }, - { - "name": "sort-id", - "value": "SI-19(02)" - } - ], - "parts": [ - { - "id": "si-19.2_smt", - "name": "statement", - "prose": "Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived." - }, - { - "id": "si-19.2_gdn", - "name": "guidance", - "prose": "Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers." - } - ] - }, - { - "id": "si-19.3", - "class": "SP800-53-enhancement", - "title": "Release", - "props": [ - { - "name": "label", - "value": "SI-19(3)" - }, - { - "name": "sort-id", - "value": "SI-19(03)" - } - ], - "parts": [ - { - "id": "si-19.3_smt", - "name": "statement", - "prose": "Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release." - }, - { - "id": "si-19.3_gdn", - "name": "guidance", - "prose": "Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques." - } - ] - }, - { - "id": "si-19.4", - "class": "SP800-53-enhancement", - "title": "Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers", - "props": [ - { - "name": "label", - "value": "SI-19(4)" - }, - { - "name": "sort-id", - "value": "SI-19(04)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.4_smt", - "name": "statement", - "prose": "Remove, mask, encrypt, hash, or replace direct identifiers in a dataset." - }, - { - "id": "si-19.4_gdn", - "name": "guidance", - "prose": "There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, for example, XXXXXX or 999999. Identifiers can be encrypted or hashed, so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides for a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming “George Washington” to “PATIENT,” or replaced with a surrogate value, for example, transforming “George Washington” to “Abraham Polk.”" - } - ] - }, - { - "id": "si-19.5", - "class": "SP800-53-enhancement", - "title": "Statistical Disclosure Control", - "props": [ - { - "name": "label", - "value": "SI-19(5)" - }, - { - "name": "sort-id", - "value": "SI-19(05)" - } - ], - "parts": [ - { - "id": "si-19.5_smt", - "name": "statement", - "prose": "Manipulate numerical data, contingency tables, and statistical findings so that no person or organization is identifiable in the results of the analysis." - }, - { - "id": "si-19.5_gdn", - "name": "guidance", - "prose": "Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school publishes a monthly table with the number of minority students, and in January the school reports that it has 10-19 such students, but in March it reports that it has 20-29 students, then it can be inferred that the student who enrolled in February was a minority." - } - ] - }, - { - "id": "si-19.6", - "class": "SP800-53-enhancement", - "title": "Differential Privacy", - "props": [ - { - "name": "label", - "value": "SI-19(6)" - }, - { - "name": "sort-id", - "value": "SI-19(06)" - } - ], - "links": [ - { - "href": "#sc-12", - "rel": "related" - }, - { - "href": "#sc-13", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-19.6_smt", - "name": "statement", - "prose": "Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported." - }, - { - "id": "si-19.6_gdn", - "name": "guidance", - "prose": "The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small random values to the results of mathematical operations in dataset analysis." - } - ] - }, - { - "id": "si-19.7", - "class": "SP800-53-enhancement", - "title": "Validated Software", - "props": [ - { - "name": "label", - "value": "SI-19(7)" - }, - { - "name": "sort-id", - "value": "SI-19(07)" - } - ], - "parts": [ - { - "id": "si-19.7_smt", - "name": "statement", - "prose": "Perform de-identification using validated algorithms and software that is validated to implement the algorithms." - }, - { - "id": "si-19.7_gdn", - "name": "guidance", - "prose": "Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that are re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or may implement a different algorithm. Software may de-identify one type of data, for example, integers, but not another type of data, for example, floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated." - } - ] - }, - { - "id": "si-19.8", - "class": "SP800-53-enhancement", - "title": "Motivated Intruder", - "props": [ - { - "name": "label", - "value": "SI-19(8)" - }, - { - "name": "sort-id", - "value": "SI-19(08)" - } - ], - "parts": [ - { - "id": "si-19.8_smt", - "name": "statement", - "prose": "Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified." - }, - { - "id": "si-19.8_gdn", - "name": "guidance", - "prose": "A motivated intruder test is a test in which a person or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders have at their disposal to conduct the tests. A motivated intruder test can determine if de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient." - } - ] - } - ] - }, - { - "id": "si-20", - "class": "SP800-53", - "title": "Tainting", - "params": [ - { - "id": "si-20_prm_1", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-20" - }, - { - "name": "sort-id", - "value": "SI-20" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-20_smt", - "name": "statement", - "prose": "Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: {{ insert: param, si-20_prm_1 }}." - }, - { - "id": "si-20_gdn", - "name": "guidance", - "prose": "Many cyber-attacks target organizational information (or sensitive information the organization holds on behalf of other entities (e.g., personally identifiable information) and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity so any packets it includes potentially contain malicious code and that the unauthorized entity potentially has obtained a copy of the database. A less passive tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open source analysis. And finally, an active tainting approach can include embedding software in the data that is able to “call home” alerting the organization to its “capture” and possibly its location and the path by which it was exfiltrated or removed." - } - ] - }, - { - "id": "si-21", - "class": "SP800-53", - "title": "Information Refresh", - "params": [ - { - "id": "si-21_prm_1", - "label": "organization-defined information" - }, - { - "id": "si-21_prm_2", - "label": "organization-defined frequencies" - } - ], - "props": [ - { - "name": "label", - "value": "SI-21" - }, - { - "name": "sort-id", - "value": "SI-21" - } - ], - "links": [ - { - "href": "#a646d45d-775f-4887-86d3-5a00ffbc4090", - "rel": "reference" - }, - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - }, - { - "href": "#si-14", - "rel": "related" - } - ], - "parts": [ - { - "id": "si-21_smt", - "name": "statement", - "prose": "Refresh {{ insert: param, si-21_prm_1 }} at {{ insert: param, si-21_prm_2 }} or generate the information on demand and delete the information when no longer needed." - }, - { - "id": "si-21_gdn", - "name": "guidance", - "prose": "Retaining critical or sensitive information (e.g., classified information or controlled unclassified information) for longer than it is needed makes it an increasing valuable and enticing target for adversaries. Keeping such information available for the minimum period of time needed for mission accomplishment reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information." - } - ] - }, - { - "id": "si-22", - "class": "SP800-53", - "title": "Information Diversity", - "params": [ - { - "id": "si-22_prm_1", - "label": "organization-defined essential functions and services" - }, - { - "id": "si-22_prm_2", - "label": "organization-defined alternative information sources" - }, - { - "id": "si-22_prm_3", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-22" - }, - { - "name": "sort-id", - "value": "SI-22" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-22_smt", - "name": "statement", - "parts": [ - { - "id": "si-22_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identify the following alternative sources of information for {{ insert: param, si-22_prm_1 }}: {{ insert: param, si-22_prm_2 }}; and" - }, - { - "id": "si-22_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Use an alternative information source for the execution of essential functions or services on {{ insert: param, si-22_prm_3 }} when the primary source of information is corrupted or unavailable." - } - ] - }, - { - "id": "si-22_gdn", - "name": "guidance", - "prose": "Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner." - } - ] - }, - { - "id": "si-23", - "class": "SP800-53", - "title": "Information Fragmentation", - "params": [ - { - "id": "si-23_prm_1", - "label": "organization-defined circumstances" - }, - { - "id": "si-23_prm_2", - "label": "organization-defined information" - }, - { - "id": "si-23_prm_3", - "label": "Assignment organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SI-23" - }, - { - "name": "sort-id", - "value": "SI-23" - } - ], - "links": [ - { - "href": "#8411e6e8-09bd-431d-bbcb-3423d36ad880", - "rel": "reference" - } - ], - "parts": [ - { - "id": "si-23_smt", - "name": "statement", - "prose": "Based on {{ insert: param, si-23_prm_1 }}:", - "parts": [ - { - "id": "si-23_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Fragment the following information: {{ insert: param, si-23_prm_2 }}; and" - }, - { - "id": "si-23_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distribute the fragmented information across the following systems or system components: {{ insert: param, si-23_prm_3 }}." - } - ] - }, - { - "id": "si-23_gdn", - "name": "guidance", - "prose": "One major objective of the advanced persistent threat is to exfiltrate sensitive and valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider taking the information and dividing it into disparate elements and then distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary’s work factor to capture and exfiltrate the desired information and in so doing, increase the probability of detection. The fragmentation of information also impacts the organization’s ability to access the information in a timely manner. The extent of the fragmentation would likely be dictated by the sensitivity (and value) of the information, threat intelligence information received, and if data tainting is used (i.e., data tainting derived information about exfiltration of some information could result in the fragmentation of the remaining information)." - } - ] - } - ] - }, - { - "id": "sr", - "class": "family", - "title": "Supply Chain Risk Management", - "controls": [ - { - "id": "sr-1", - "class": "SP800-53", - "title": "Policy and Procedures", - "params": [ - { - "id": "sr-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sr-1_prm_2", - "select": { - "how-many": "one-or-more", - "choice": [ - "organization-level", - "mission/business process-level", - "system-level" - ] - } - }, - { - "id": "sr-1_prm_3", - "label": "organization-defined official" - }, - { - "id": "sr-1_prm_4", - "label": "organization-defined frequency" - }, - { - "id": "sr-1_prm_5", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-1" - }, - { - "name": "sort-id", - "value": "SR-01" - } - ], - "links": [ - { - "href": "#12702585-0c72-43c9-9185-a76a59f74233", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#9183bd83-170e-4701-b32c-97e08ef8bedb", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ps-8", - "rel": "related" - }, - { - "href": "#si-12", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-1_smt", - "name": "statement", - "parts": [ - { - "id": "sr-1_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop, document, and disseminate to {{ insert: param, sr-1_prm_1 }}:", - "parts": [ - { - "id": "sr-1_smt.a.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "{{ insert: param, sr-1_prm_2 }} supply chain risk management policy that:", - "parts": [ - { - "id": "sr-1_smt.a.1.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and" - }, - { - "id": "sr-1_smt.a.1.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and" - } - ] - }, - { - "id": "sr-1_smt.a.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;" - } - ] - }, - { - "id": "sr-1_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Designate an {{ insert: param, sr-1_prm_3 }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and" - }, - { - "id": "sr-1_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the current supply chain risk management:", - "parts": [ - { - "id": "sr-1_smt.c.1", - "name": "item", - "props": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Policy {{ insert: param, sr-1_prm_4 }}; and" - }, - { - "id": "sr-1_smt.c.2", - "name": "item", - "props": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures {{ insert: param, sr-1_prm_5 }}." - } - ] - } - ] - }, - { - "id": "sr-1_gdn", - "name": "guidance", - "prose": "This control addresses policy and procedures for the controls in the SR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure." - } - ] - }, - { - "id": "sr-2", - "class": "SP800-53", - "title": "Supply Chain Risk Management Plan", - "params": [ - { - "id": "sr-2_prm_1", - "label": "organization-defined systems, system components, or system services" - }, - { - "id": "sr-2_prm_2", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-2" - }, - { - "name": "sort-id", - "value": "SR-02" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#451e9636-402e-4c27-b3f5-e0e50f957f27", - "rel": "reference" - }, - { - "href": "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#cp-4", - "rel": "related" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - }, - { - "href": "#pm-9", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#ra-3", - "rel": "related" - }, - { - "href": "#ra-7", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-2_smt", - "name": "statement", - "parts": [ - { - "id": "sr-2_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations, and disposal of the following systems, system components or system services: {{ insert: param, sr-2_prm_1 }};" - }, - { - "id": "sr-2_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implement the supply chain risk management plan consistently across the organization; and" - }, - { - "id": "sr-2_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Review and update the supply chain risk management plan {{ insert: param, sr-2_prm_2 }} or as required, to address threat, organizational or environmental changes." - } - ] - }, - { - "id": "sr-2_gdn", - "name": "guidance", - "prose": "The growing dependence on products, systems, and services from external providers, along with the nature of the relationships with those providers, present an increasing level of risk to an organization. Specific threat actions that may increase risk include the insertion or use of counterfeits, unauthorized production, tampering, theft, insertion of malicious software and hardware, as well as poor manufacturing and development practices in the supply chain that can create security or privacy risks. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking requiring a coordinated effort across an organization building trust relationships and communicating with both internal and external stakeholders. Supply chain risk management (SCRM) activities involve identifying and assessing risks, determining appropriate mitigating actions, developing SCRM plans to document selected mitigating actions, and monitoring performance against plans. Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a system is fit for purpose; and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations to focus their resources on the most critical missions and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see SA-8)." - } - ], - "controls": [ - { - "id": "sr-2.1", - "class": "SP800-53-enhancement", - "title": "Establish Scrm Team", - "params": [ - { - "id": "sr-2.1_prm_1", - "label": "organization-defined personnel, roles, and responsibilities" - }, - { - "id": "sr-2.1_prm_2", - "label": "organization-defined supply chain risk management activities" - } - ], - "props": [ - { - "name": "label", - "value": "SR-2(1)" - }, - { - "name": "sort-id", - "value": "SR-02(01)" - } - ], - "parts": [ - { - "id": "sr-2.1_smt", - "name": "statement", - "prose": "Establish a supply chain risk management team consisting of {{ insert: param, sr-2.1_prm_1 }} to lead and support the following SCRM activities: {{ insert: param, sr-2.1_prm_2 }}." - }, - { - "id": "sr-2.1_gdn", - "name": "guidance", - "prose": "To implement supply chain risk management plans, organizations establish a coordinated team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, and other relevant functions. Members of the SCRM team are involved in the various aspects of the SDLC and collectively, have an awareness of, and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or can be included as part of a general organizational risk management team." - } - ] - } - ] - }, - { - "id": "sr-3", - "class": "SP800-53", - "title": "Supply Chain Controls and Processes", - "params": [ - { - "id": "sr-3_prm_1", - "label": "organization-defined system or system component" - }, - { - "id": "sr-3_prm_2", - "label": "organization-defined supply chain personnel" - }, - { - "id": "sr-3_prm_3", - "label": "organization-defined supply chain controls" - }, - { - "id": "sr-3_prm_4", - "select": { - "choice": [ - "security and privacy plans", - "supply chain risk management plan", - " {{ insert: param, sr-3_prm_5 }} " - ] - } - }, - { - "id": "sr-3_prm_5", - "depends-on": "sr-3_prm_4", - "label": "organization-defined document" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3" - }, - { - "name": "sort-id", - "value": "SR-03" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ca-2", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-8", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sc-7", - "rel": "related" - }, - { - "href": "#sc-29", - "rel": "related" - }, - { - "href": "#sc-30", - "rel": "related" - }, - { - "href": "#sc-38", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-3_smt", - "name": "statement", - "parts": [ - { - "id": "sr-3_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-3_prm_1 }} in coordination with {{ insert: param, sr-3_prm_2 }};" - }, - { - "id": "sr-3_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employ the following supply chain controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, sr-3_prm_3 }}; and" - }, - { - "id": "sr-3_smt.c", - "name": "item", - "props": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Document the selected and implemented supply chain processes and controls in {{ insert: param, sr-3_prm_4 }}." - } - ] - }, - { - "id": "sr-3_gdn", - "name": "guidance", - "prose": "Supply chain elements include organizations, entities, or tools employed for the development, acquisition, delivery, maintenance, sustainment, or disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain." - } - ], - "controls": [ - { - "id": "sr-3.1", - "class": "SP800-53-enhancement", - "title": "Diverse Supply Base", - "params": [ - { - "id": "sr-3.1_prm_1", - "label": "organization-defined system components and services" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3(1)" - }, - { - "name": "sort-id", - "value": "SR-03(01)" - } - ], - "parts": [ - { - "id": "sr-3.1_smt", - "name": "statement", - "prose": "Employ a diverse set of sources for the following system components and services: {{ insert: param, sr-3.1_prm_1 }}." - }, - { - "id": "sr-3.1_gdn", - "name": "guidance", - "prose": "Diversifying the supply of system, system components and services can reduce the probability that adversaries will successfully identify and target the supply chain, and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable; employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diversity of materials and components." - } - ] - }, - { - "id": "sr-3.2", - "class": "SP800-53-enhancement", - "title": "Limitation of Harm", - "params": [ - { - "id": "sr-3.2_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-3(2)" - }, - { - "name": "sort-id", - "value": "SR-03(02)" - } - ], - "parts": [ - { - "id": "sr-3.2_smt", - "name": "statement", - "prose": "Employ the following supply chain controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: {{ insert: param, sr-3.2_prm_1 }}." - }, - { - "id": "sr-3.2_gdn", - "name": "guidance", - "prose": "Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations; employing approved vendor lists with standing reputations in industry; following pre-agreed maintenance schedules and update and patch delivery mechanisms; maintaining a contingency plan in case of a supply chain event, and using procurement carve outs that provide exclusions to commitments or obligations, using diverse delivery routes; and minimizing the time between purchase decisions and delivery." - } - ] - } - ] - }, - { - "id": "sr-4", - "class": "SP800-53", - "title": "Provenance", - "params": [ - { - "id": "sr-4_prm_1", - "label": "organization-defined systems, system components, and associated data" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4" - }, - { - "name": "sort-id", - "value": "SR-04" - } - ], - "links": [ - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#cm-8", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-6", - "rel": "related" - }, - { - "href": "#ra-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4_smt", - "name": "statement", - "prose": "Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: {{ insert: param, sr-4_prm_1 }}." - }, - { - "id": "sr-4_gdn", - "name": "guidance", - "prose": "Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see SR-1) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records." - } - ], - "controls": [ - { - "id": "sr-4.1", - "class": "SP800-53-enhancement", - "title": "Identity", - "params": [ - { - "id": "sr-4.1_prm_1", - "label": "organization-defined supply chain elements, processes, and personnel associated with organization-defined systems and critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(1)" - }, - { - "name": "sort-id", - "value": "SR-04(01)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.1_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: {{ insert: param, sr-4.1_prm_1 }}." - }, - { - "id": "sr-4.1_gdn", - "name": "guidance", - "prose": "Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk, and ultimately reduce the susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the development, acquisition, delivery, maintenance and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure development, delivery, maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event." - } - ] - }, - { - "id": "sr-4.2", - "class": "SP800-53-enhancement", - "title": "Track and Trace", - "params": [ - { - "id": "sr-4.2_prm_1", - "label": "organization-defined systems and critical system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(2)" - }, - { - "name": "sort-id", - "value": "SR-04(02)" - } - ], - "links": [ - { - "href": "#ia-2", - "rel": "related" - }, - { - "href": "#ia-8", - "rel": "related" - }, - { - "href": "#pe-16", - "rel": "related" - }, - { - "href": "#pl-2", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.2_smt", - "name": "statement", - "prose": "Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: {{ insert: param, sr-4.2_prm_1 }}." - }, - { - "id": "sr-4.2_gdn", - "name": "guidance", - "prose": "Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event." - } - ] - }, - { - "id": "sr-4.3", - "class": "SP800-53-enhancement", - "title": "Validate as Genuine and Not Altered", - "params": [ - { - "id": "sr-4.3_prm_1", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-4(3)" - }, - { - "name": "sort-id", - "value": "SR-04(03)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-4.3_smt", - "name": "statement", - "prose": "Employ the following controls to validate that the system or system component received is genuine and has not been altered: {{ insert: param, sr-4.3_prm_1 }}." - }, - { - "id": "sr-4.3_gdn", - "name": "guidance", - "prose": "For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; cryptographic hash verifications or digital signatures; and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, including inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries." - } - ] - } - ] - }, - { - "id": "sr-5", - "class": "SP800-53", - "title": "Acquisition Strategies, Tools, and Methods", - "params": [ - { - "id": "sr-5_prm_1", - "label": "organization-defined acquisition strategies, contract tools, and procurement methods" - } - ], - "props": [ - { - "name": "label", - "value": "SR-5" - }, - { - "name": "sort-id", - "value": "SR-05" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#sa-2", - "rel": "related" - }, - { - "href": "#sa-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#sa-5", - "rel": "related" - }, - { - "href": "#sa-8", - "rel": "related" - }, - { - "href": "#sa-9", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#sr-6", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5_smt", - "name": "statement", - "prose": "Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, sr-5_prm_1 }}." - }, - { - "id": "sr-5_gdn", - "name": "guidance", - "prose": "The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component; using blind or filtered buys; requiring tamper-evident packaging; or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls; promote transparency into their processes and security and privacy practices; provide contract language that addresses the prohibition of tainted or counterfeit components; and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements." - } - ], - "controls": [ - { - "id": "sr-5.1", - "class": "SP800-53-enhancement", - "title": "Adequate Supply", - "params": [ - { - "id": "sr-5.1_prm_1", - "label": "organization-defined critical system components" - }, - { - "id": "sr-5.1_prm_2", - "label": "organization-defined controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-5(1)" - }, - { - "name": "sort-id", - "value": "SR-05(01)" - } - ], - "parts": [ - { - "id": "sr-5.1_smt", - "name": "statement", - "prose": "Employ the following controls to ensure an adequate supply of {{ insert: param, sr-5.1_prm_1 }}: {{ insert: param, sr-5.1_prm_2 }}." - }, - { - "id": "sr-5.1_gdn", - "name": "guidance", - "prose": "Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components that may be used, if necessary." - } - ] - }, - { - "id": "sr-5.2", - "class": "SP800-53-enhancement", - "title": "Assessments Prior to Selection, Acceptance, Modification, or Update", - "props": [ - { - "name": "label", - "value": "SR-5(2)" - }, - { - "name": "sort-id", - "value": "SR-05(02)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - }, - { - "href": "#ra-5", - "rel": "related" - }, - { - "href": "#sa-11", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-5.2_smt", - "name": "statement", - "prose": "Assess the system, system component, or system service prior to selection, acceptance, modification, or update." - }, - { - "id": "sr-5.2_gdn", - "name": "guidance", - "prose": "Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see SR-6(1)). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and to inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements." - } - ] - } - ] - }, - { - "id": "sr-6", - "class": "SP800-53", - "title": "Supplier Reviews", - "params": [ - { - "id": "sr-6_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-6" - }, - { - "name": "sort-id", - "value": "SR-06" - } - ], - "links": [ - { - "href": "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "rel": "reference" - }, - { - "href": "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "rel": "reference" - }, - { - "href": "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "rel": "reference" - }, - { - "href": "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "rel": "reference" - }, - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6_smt", - "name": "statement", - "prose": "Review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, sr-6_prm_1 }}." - }, - { - "id": "sr-6_gdn", - "name": "guidance", - "prose": "A review of supplier risk includes security processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess any subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts." - } - ], - "controls": [ - { - "id": "sr-6.1", - "class": "SP800-53-enhancement", - "title": "Penetration Testing and Analysis", - "params": [ - { - "id": "sr-6.1_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "organizational analysis", - "independent third-party analysis", - "organizational penetration testing", - "independent third-party penetration testing" - ] - } - }, - { - "id": "sr-6.1_prm_2", - "label": "organization-defined supply chain elements, processes, and actors" - } - ], - "props": [ - { - "name": "label", - "value": "SR-6(1)" - }, - { - "name": "sort-id", - "value": "SR-06(01)" - } - ], - "links": [ - { - "href": "#ca-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-6.1_smt", - "name": "statement", - "prose": "Employ {{ insert: param, sr-6.1_prm_1 }} of the following supply chain elements, processes, and actors associated with the system, system component, or system service: {{ insert: param, sr-6.1_prm_2 }}." - }, - { - "id": "sr-6.1_gdn", - "name": "guidance", - "prose": "Penetration testing and analysis addresses the analysis or testing of the supply chain. Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools use for the development, acquisition, deliver, maintenance and disposal of systems, system components, or system services. Supply chain processes include personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions." - } - ] - } - ] - }, - { - "id": "sr-7", - "class": "SP800-53", - "title": "Supply Chain Operations Security", - "params": [ - { - "id": "sr-7_prm_1", - "label": "organization-defined Operations Security (OPSEC) controls" - } - ], - "props": [ - { - "name": "label", - "value": "SR-7" - }, - { - "name": "sort-id", - "value": "SR-07" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#sc-38", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-7_smt", - "name": "statement", - "prose": "Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: {{ insert: param, sr-7_prm_1 }}." - }, - { - "id": "sr-7_gdn", - "name": "guidance", - "prose": "Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information; analyzing friendly actions related to operations and other activities to identify those actions that can be observed by potential adversaries; determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and thus risk to an acceptable level; and finally, considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services." - } - ] - }, - { - "id": "sr-8", - "class": "SP800-53", - "title": "Notification Agreements", - "params": [ - { - "id": "sr-8_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "notification of supply chain compromises", - "results of assessments or audits", - " {{ insert: param, sr-8_prm_2 }} " - ] - } - }, - { - "id": "sr-8_prm_2", - "depends-on": "sr-8_prm_1", - "label": "organization-defined information" - } - ], - "props": [ - { - "name": "label", - "value": "SR-8" - }, - { - "name": "sort-id", - "value": "SR-08" - } - ], - "links": [ - { - "href": "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "rel": "reference" - }, - { - "href": "#66476e76-46b4-47fb-be19-d13e6f3840df", - "rel": "reference" - }, - { - "href": "#7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "rel": "reference" - }, - { - "href": "#ir-4", - "rel": "related" - }, - { - "href": "#ir-6", - "rel": "related" - }, - { - "href": "#ir-8", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-8_smt", - "name": "statement", - "prose": "Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, sr-8_prm_1 }}." - }, - { - "id": "sr-8_gdn", - "name": "guidance", - "prose": "The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes." - } - ] - }, - { - "id": "sr-9", - "class": "SP800-53", - "title": "Tamper Resistance and Detection", - "props": [ - { - "name": "label", - "value": "SR-9" - }, - { - "name": "sort-id", - "value": "SR-09" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#sa-15", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9_smt", - "name": "statement", - "prose": "Implement a tamper protection program for the system, system component, or system service." - }, - { - "id": "sr-9_gdn", - "name": "guidance", - "prose": "Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use." - } - ], - "controls": [ - { - "id": "sr-9.1", - "class": "SP800-53-enhancement", - "title": "Multiple Stages of System Development Life Cycle", - "props": [ - { - "name": "label", - "value": "SR-9(1)" - }, - { - "name": "sort-id", - "value": "SR-09(01)" - } - ], - "links": [ - { - "href": "#sa-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-9.1_smt", - "name": "statement", - "prose": "Employ anti-tamper technologies, tools, and techniques during multiple stages in the system development life cycle, including design, development, integration, operations, and maintenance." - }, - { - "id": "sr-9.1_gdn", - "name": "guidance", - "prose": "Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage." - } - ] - } - ] - }, - { - "id": "sr-10", - "class": "SP800-53", - "title": "Inspection of Systems or Components", - "params": [ - { - "id": "sr-10_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "at random", - "at {{ insert: param, sr-10_prm_2 }}, upon {{ insert: param, sr-10_prm_3 }} " - ] - } - }, - { - "id": "sr-10_prm_2", - "depends-on": "sr-10_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "sr-10_prm_3", - "depends-on": "sr-10_prm_1", - "label": "organization-defined indications of need for inspection" - }, - { - "id": "sr-10_prm_4", - "label": "organization-defined systems or system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-10" - }, - { - "name": "sort-id", - "value": "SR-10" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - }, - { - "href": "#pm-30", - "rel": "related" - }, - { - "href": "#si-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-3", - "rel": "related" - }, - { - "href": "#sr-4", - "rel": "related" - }, - { - "href": "#sr-5", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-11", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-10_smt", - "name": "statement", - "prose": "Inspect the following systems or system components {{ insert: param, sr-10_prm_1 }} to detect tampering: {{ insert: param, sr-10_prm_4 }}." - }, - { - "id": "sr-10_gdn", - "name": "guidance", - "prose": "Inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components taken out of organization-controlled areas. Indications of a need for inspection include when individuals return from travel to high-risk locations." - } - ] - }, - { - "id": "sr-11", - "class": "SP800-53", - "title": "Component Authenticity", - "params": [ - { - "id": "sr-11_prm_1", - "select": { - "how-many": "one-or-more", - "choice": [ - "source of counterfeit component", - " {{ insert: param, sr-11_prm_2 }} ", - " {{ insert: param, sr-11_prm_3 }} " - ] - } - }, - { - "id": "sr-11_prm_2", - "depends-on": "sr-11_prm_1", - "label": "organization-defined external reporting organizations" - }, - { - "id": "sr-11_prm_3", - "depends-on": "sr-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11" - }, - { - "name": "sort-id", - "value": "SR-11" - } - ], - "links": [ - { - "href": "#pe-3", - "rel": "related" - }, - { - "href": "#sa-4", - "rel": "related" - }, - { - "href": "#si-7", - "rel": "related" - }, - { - "href": "#sr-9", - "rel": "related" - }, - { - "href": "#sr-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11_smt", - "name": "statement", - "parts": [ - { - "id": "sr-11_smt.a", - "name": "item", - "props": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and" - }, - { - "id": "sr-11_smt.b", - "name": "item", - "props": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Report counterfeit system components to {{ insert: param, sr-11_prm_1 }}." - } - ] - }, - { - "id": "sr-11_gdn", - "name": "guidance", - "prose": "Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA." - } - ], - "controls": [ - { - "id": "sr-11.1", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Training", - "params": [ - { - "id": "sr-11.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(1)" - }, - { - "name": "sort-id", - "value": "SR-11(01)" - } - ], - "links": [ - { - "href": "#at-3", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.1_smt", - "name": "statement", - "prose": "Train {{ insert: param, sr-11.1_prm_1 }} to detect counterfeit system components (including hardware, software, and firmware)." - }, - { - "id": "sr-11.1_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sr-11.2", - "class": "SP800-53-enhancement", - "title": "Configuration Control for Component Service and Repair", - "params": [ - { - "id": "sr-11.2_prm_1", - "label": "organization-defined system components" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(2)" - }, - { - "name": "sort-id", - "value": "SR-11(02)" - } - ], - "links": [ - { - "href": "#cm-3", - "rel": "related" - }, - { - "href": "#ma-2", - "rel": "related" - }, - { - "href": "#ma-4", - "rel": "related" - }, - { - "href": "#sa-10", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.2_smt", - "name": "statement", - "prose": "Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, sr-11.2_prm_1 }}." - }, - { - "id": "sr-11.2_gdn", - "name": "guidance", - "prose": "None." - } - ] - }, - { - "id": "sr-11.3", - "class": "SP800-53-enhancement", - "title": "Component Disposal", - "params": [ - { - "id": "sr-11.3_prm_1", - "label": "organization-defined techniques and methods" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(3)" - }, - { - "name": "sort-id", - "value": "SR-11(03)" - } - ], - "links": [ - { - "href": "#mp-6", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.3_smt", - "name": "statement", - "prose": "Dispose of system components using the following techniques and methods: {{ insert: param, sr-11.3_prm_1 }}." - }, - { - "id": "sr-11.3_gdn", - "name": "guidance", - "prose": "Proper disposal of system components helps to prevent such components from entering the gray market." - } - ] - }, - { - "id": "sr-11.4", - "class": "SP800-53-enhancement", - "title": "Anti-counterfeit Scanning", - "params": [ - { - "id": "sr-11.4_prm_1", - "label": "organization-defined frequency" - } - ], - "props": [ - { - "name": "label", - "value": "SR-11(4)" - }, - { - "name": "sort-id", - "value": "SR-11(04)" - } - ], - "links": [ - { - "href": "#ra-5", - "rel": "related" - } - ], - "parts": [ - { - "id": "sr-11.4_smt", - "name": "statement", - "prose": "Scan for counterfeit system components {{ insert: param, sr-11.4_prm_1 }}." - }, - { - "id": "sr-11.4_gdn", - "name": "guidance", - "prose": "The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application)." - 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"text": "E-Government Act [includes FISMA] (P.L. 107-347), December 2002." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/107/plaws/publ347/PLAW-107publ347.pdf" - } - ] - }, - { - "uuid": "43facb7b-0afb-480f-8191-34790d5b444b", - "title": "[EVIDACT]", - "citation": { - "text": "Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), January 2019." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/115/plaws/publ435/PLAW-115publ435.pdf" - } - ] - }, - { - "uuid": "52a62e17-382f-4429-8820-0211c884ad41", - "title": "[FOIA96]", - "citation": { - "text": "Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf" - } - ] - }, - { - "uuid": "7e0c8220-9cd1-442e-8c20-bb2f24324301", - "title": "[USA PATRIOT]", - "citation": { - "text": "USA Patriot Act (P.L. 107-56), October 2001." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf" - } - ] - }, - { - "uuid": "52a8b0c6-0c6b-424b-928d-41c50ba87838", - "title": "[EO 13526]", - "citation": { - "text": "Executive Order 13526, *Classified National Security Information*, December 2009." - }, - "rlinks": [ - { - "href": "https://www.archives.gov/isoo/policy-documents/cnsi-eo.html" - } - ] - }, - { - "uuid": "8d8ad86b-fc8a-49e1-a641-aaa29cb0fd5f", - "title": "[EO 13556]", - "citation": { - "text": "Executive Order 13556, *Controlled Unclassified Information*, November 2010." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information" - } - ] - }, - { - "uuid": "14958422-54f6-471f-a345-802dca594dd8", - "title": "[FISMA]", - "citation": { - "text": "Federal Information Security Modernization Act (P.L. 113-283), December 2014." - }, - "rlinks": [ - { - "href": "https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf" - } - ] - }, - { - "uuid": "2b5e12fb-633f-49e6-8aff-81d75bf53545", - "title": "[EO 13587]", - "citation": { - "text": "Executive Order 13587, *Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information*, October 2011." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net" - } - ] - }, - { - "uuid": "8d594f57-d2da-4677-92d0-31fbafc3b871", - "title": "[EO 13636]", - "citation": { - "text": "Executive Order 13636, *Improving Critical Infrastructure Cybersecurity*, February 2013." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2013/02/12/executive-order-improving-critical-infrastructure-cybersecurity" - } - ] - }, - { - "uuid": "c1235ba8-5785-48e5-ba25-6c365dcc72a8", - "title": "[EO 13800]", - "citation": { - "text": "Executive Order 13800, *Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure*, May 2017." - }, - "rlinks": [ - { - "href": "https://www.whitehouse.gov/presidential-actions/presidential-executive-order-strengthening-cybersecurity-federal-networks-critical-infrastructure" - } - ] - }, - { - "uuid": "a0b98ab4-73e0-4c24-a3ad-18e4ea1f5d3c", - "title": "[USC 552]", - "citation": { - "text": "United States Code, 2006 Edition, Supplement 4, Title 5 - *Government Organization and Employees*, January 2011." - }, - "rlinks": [ - { - "href": "https://www.govinfo.gov/content/pkg/USCODE-2010-title5/pdf/USCODE-2010-title5-partI-chap5-subchapII-sec552a.pdf" - } - ] - }, - { - "uuid": "cde25174-38e0-4a00-8919-8ee3674b8088", - "title": "[HSPD 7]", - "citation": { - "text": "Homeland Security Presidential Directive 7, *Critical Infrastructure Identification, Prioritization, and Protection*, December 2003." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-7" - } - ] - }, - { - "uuid": "91e04021-c3d6-4ff2-b707-53bfde32ac69", - "title": "[HSPD 12]", - "citation": { - "text": "Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/homeland-security-presidential-directive-12" - } - ] - }, - { - "uuid": "0d8c0f0f-6b34-4c67-b555-2aeb093459e5", - "title": "[NITP12]", - "citation": { - "text": "Presidential Memorandum for the Heads of Executive Departments and Agencies, *National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs*, November 2012." - }, - "rlinks": [ - { - "href": "https://obamawhitehouse.archives.gov/the-press-office/2012/11/21/presidential-memorandum-national-insider-threat-policy-and-minimum-stand" - } - ] - }, - { - "uuid": "2383ccfd-d8a0-4e3a-bf40-21288ae1e07a", - "title": "[5 CFR 731]", - "citation": { - "text": "Code of Federal Regulations, Title 5, *Administrative Personnel*, Section 731.106, *Designation of Public Trust Positions and Investigative Requirements*(5 C.F.R. 731.106)." - 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"rlinks": [ - { - "href": "https://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf" - } - ] - }, - { - "uuid": "20855583-232a-4d83-a9f6-c1079a9e4521", - "title": "[ISO 15026-1]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 15026-1:2013, *Systems and software engineering -- Systems and software assurance -- Part 1: Concepts and vocabulary*, November 2013." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/62526.html" - } - ] - }, - { - "uuid": "6ddb507b-6ddb-4e15-a8d4-0854e704446e", - "title": "[ISO 15408-1]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 15408-1:2009, *Information technology—Security techniques— Evaluation criteria for IT security—Part 1: Introduction and general model*, April 2017. ** " - }, - "rlinks": [ - { - "href": "https://www.commoncriteriaportal.org/files/ccfiles/CCPART1V3.1R5.pdf" - } - ] - }, - { - "uuid": "18abb755-c10f-407d-b0ef-4f99e5ec4a49", - "title": "[ISO 15408-2]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 15408-2:2008, *Information technology—Security techniques— Evaluation criteria for IT security—Part 2: Security functional requirements*, April 2017. ** " - }, - "rlinks": [ - { - "href": "https://www.commoncriteriaportal.org/files/ccfiles/CCPART2V3.1R5.pdf" - } - ] - }, - { - "uuid": "2ce3a8bf-7f8b-4249-bd16-808231415b14", - "title": "[ISO 15408-3]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission 15408-3:2008, *Information technology—Security techniques— Evaluation criteria for IT security—Part 3: Security assurance requirements*, April 2017. ** " - }, - "rlinks": [ - { - "href": "https://www.commoncriteriaportal.org/files/ccfiles/CCPART3V3.1R5.pdf" - } - ] - }, - { - "uuid": "735d5420-a7a8-4f80-a657-8a8b579b816e", - "title": "[ISO 15288]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, *Systems and software engineering—Systems life cycle processes*, May 2015." - 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"text": "International Organization for Standardization/International Electrotechnical Commission 29100:2011, *Information technology* *—Security techniques—Privacy framework*, December 2011. ** " - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/45123.html" - } - ] - }, - { - "uuid": "e2de21ad-c8cc-48ed-8d4f-2db3ab0a8f28", - "title": "[ISO 29148]", - "citation": { - "text": "International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 29148:2011, *Systems and software engineering—Life cycle processes—Requirements engineering*, December 2011." - }, - "rlinks": [ - { - "href": "https://www.iso.org/standard/45171.html" - } - ] - }, - { - "uuid": "aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b", - "title": "[FIPS 140-3]", - "citation": { - "text": "National Institute of Standards and Technology (2019) Security Requirements for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.140-3" - } - ] - }, - { - "uuid": "d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd", - "title": "[FIPS 180-4]", - "citation": { - "text": "National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.180-4" - } - ] - }, - { - "uuid": "0b9fe06d-1b89-4dba-b9f8-3baf51504b17", - "title": "[FIPS 186-4]", - "citation": { - "text": "National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.186-4" - } - ] - }, - { - "uuid": "bbc7085f-b383-444e-af74-722a55cccc0f", - "title": "[FIPS 197]", - "citation": { - "text": "National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.197" - } - ] - }, - { - "uuid": "b3e26423-0687-47c7-ba9a-a96870d58a27", - "title": "[FIPS 199]", - "citation": { - "text": "National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.199" - } - ] - }, - { - "uuid": "f2163084-3287-45e2-9ee7-95f020415495", - "title": "[FIPS 200]", - "citation": { - "text": "National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.200" - } - ] - }, - { - "uuid": "ab414c48-b7a2-4ffe-b74d-4d8b8120adce", - "title": "[FIPS 201-2]", - "citation": { - "text": "National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.201-2" - } - ] - }, - { - "uuid": "11b9fa15-bc4e-4669-ab65-a2bf74daa9fa", - "title": "[FIPS 202]", - "citation": { - "text": "National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.FIPS.202" - } - ] - }, - { - "uuid": "12702585-0c72-43c9-9185-a76a59f74233", - "title": "[SP 800-12]", - "citation": { - "text": "Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-12r1" - } - ] - }, - { - "uuid": "ae962073-f9bb-4210-b1ad-53ef6f6afad6", - "title": "[SP 800-18]", - "citation": { - "text": "Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-18r1" - } - ] - }, - { - "uuid": "8e334d74-fc06-47a9-bbb1-804fdfae0e44", - "title": "[SP 800-28]", - "citation": { - "text": "Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-28ver2" - } - ] - }, - { - "uuid": "1d9f757b-00d5-4db1-b15b-0ad641c6df7c", - "title": "[SP 800-30]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-30r1" - } - ] - }, - { - "uuid": "b7140427-d4c4-467a-97a1-5ca9f7c6584a", - "title": "[SP 800-32]", - "citation": { - "text": "Kuhn R, Hu VC, Polk T, Chang S-jH (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-32" - } - ] - }, - { - "uuid": "65774382-fcc6-4bbc-89fc-9d35aab19952", - "title": "[SP 800-34]", - "citation": { - "text": "Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-34r1" - } - ] - }, - { - "uuid": "ed919d0d-8e21-4df6-801d-3fbc4cb8a505", - "title": "[SP 800-35]", - "citation": { - "text": "Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-35" - } - ] - }, - { - "uuid": "e07d73ea-96b9-4330-aff2-e0215f455343", - "title": "[SP 800-37]", - "citation": { - "text": "Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-37r2" - } - ] - }, - { - "uuid": "451e9636-402e-4c27-b3f5-e0e50f957f27", - "title": "[SP 800-39]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-39" - } - ] - }, - { - "uuid": "1126ec09-2b27-4a21-80b2-fef70b31c49d", - "title": "[SP 800-40]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-40r3" - } - ] - }, - { - "uuid": "db7877cf-1013-4fb1-b943-ca9361d16370", - "title": "[SP 800-41]", - "citation": { - "text": "Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-41r1" - } - ] - }, - { - "uuid": "23b0a203-c020-47dd-b86c-9f8c35ecaa4e", - "title": "[SP 800-45]", - "citation": { - "text": "Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-45ver2" - } - ] - }, - { - "uuid": "7768c184-088d-4ee8-a316-f9286b52df7f", - "title": "[SP 800-46]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-46r2" - } - ] - }, - { - "uuid": "2e66c31a-190e-49ad-8e00-f306f8a0df17", - "title": "[SP 800-47]", - "citation": { - "text": "Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-47" - } - ] - }, - { - "uuid": "2e29c363-d5be-47ba-92f5-f8a58a69b65e", - "title": "[SP 800-50]", - "citation": { - "text": "Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-50" - } - ] - }, - { - "uuid": "286604ec-e383-4c1d-bd8c-d88f88e54a0f", - "title": "[SP 800-52]", - "citation": { - "text": "McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-52r2" - } - ] - }, - { - "uuid": "5db6dfe4-788e-4183-93b9-f6fb29d75e41", - "title": "[SP 800-53A]", - "citation": { - "text": "Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53Ar4" - } - ] - }, - { - "uuid": "31f3c9de-c57c-4281-929b-f9951f9640f1", - "title": "[SP 800-53B]", - "citation": { - "text": "National Institute of Standards and Technology Special Publication 800-53B, *Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations*. Projected for publication in 2020." - } - }, - { - "uuid": "8ba0d54e-fa16-4f5d-baa1-763ec3e33e26", - "title": "[SP 800-55]", - "citation": { - "text": "Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-55r1" - } - ] - }, - { - "uuid": "77dc1838-3664-4faa-bc6e-4e2a16e52f35", - "title": "[SP 800-56A]", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Ar3" - } - ] - }, - { - "uuid": "f417e4ec-cadb-47a8-a363-6006b32c28ad", - "title": "[SP 800-56B]", - "citation": { - "text": "Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Br2" - } - ] - }, - { - "uuid": "7c3ba335-62bd-4f03-888f-960790409b11", - "title": "[SP 800-56C]", - "citation": { - "text": "Barker EB, Chen L, Davis R (2018) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-56Cr1" - } - ] - }, - { - "uuid": "770f9bdc-4023-48ef-8206-c65397f061ea", - "title": "[SP 800-57-1]", - "citation": { - "text": "Barker EB (2016) Recommendation for Key Management, Part 1: General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt1r4" - } - ] - }, - { - "uuid": "69644a9e-438a-47c3-bac9-cf28b5baf848", - "title": "[SP 800-57-2]", - "citation": { - "text": "Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt2r1" - } - ] - }, - { - "uuid": "9933c883-e8f3-4a83-9a9a-d1e058038080", - "title": "[SP 800-57-3]", - "citation": { - "text": "Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-57pt3r1" - } - ] - }, - { - "uuid": "c4627621-1d6e-45ce-85d8-8b087c77ec66", - "title": "[SP 800-58]", - "citation": { - "text": "Kuhn R, Walsh TJ, Fries S (2005) Security Considerations for Voice Over IP Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-58." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-58" - } - ] - }, - { - "uuid": "68949f14-9cf5-4116-91d8-e820b9df3ffd", - "title": "[SP 800-60 v1]", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v1r1" - } - ] - }, - { - "uuid": "e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc", - "title": "[SP 800-60 v2]", - "citation": { - "text": "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-60v2r1" - } - ] - }, - { - "uuid": "7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b", - "title": "[SP 800-61]", - "citation": { - "text": "Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-61r2" - } - ] - }, - { - "uuid": "549993c0-9bdd-4d49-875c-f56950cc5f30", - "title": "[SP 800-63-3]", - "citation": { - "text": "Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63-3" - } - ] - }, - { - "uuid": "3c50fa31-7f4d-4d30-91d7-27ee87cd5f75", - "title": "[SP 800-63A]", - "citation": { - "text": "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-63a" - } - ] - }, - { - "uuid": "14a7d982-9747-48e0-a877-3e8fbf6ae381", - "title": "[SP 800-70]", - "citation": { - "text": "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-70r4" - } - ] - }, - { - "uuid": "3d6b3a16-94e7-4a43-8648-8bdeaadb271b", - "title": "[SP 800-73-4]", - "citation": { - "text": "Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-73-4" - } - ] - }, - { - "uuid": "d5ef0056-c807-44c3-a7b5-6eb491538f8e", - "title": "[SP 800-76-2]", - "citation": { - "text": "Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-76-2" - } - ] - }, - { - "uuid": "8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa", - "title": "[SP 800-77]", - "citation": { - "text": "Frankel SE, Kent K, Lewkowski R, Orebaugh AD, Ritchey RW, Sharma SR (2005) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-77" - } - ] - }, - { - "uuid": "013e098f-0680-4856-a130-b768c69dab9c", - "title": "[SP 800-78-4]", - "citation": { - "text": "Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-78-4" - } - ] - }, - { - "uuid": "bb55e71a-e059-4263-8dd8-bc96fd3f063d", - "title": "[SP 800-79-2]", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-79-2" - } - ] - }, - { - "uuid": "93d44344-59f9-4669-845d-6cc2a5852621", - "title": "[SP 800-81-2]", - "citation": { - "text": "Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-81-2" - } - ] - }, - { - "uuid": "90a2ca84-5624-42f0-b446-e69e5ed77e6a", - "title": "[SP 800-82]", - "citation": { - "text": "Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-82r2" - } - ] - }, - { - "uuid": "8b0f8559-1185-45f9-b0a9-876d7b3c1c7b", - "title": "[SP 800-83]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-83r1" - } - ] - }, - { - "uuid": "20bf433b-074c-47a0-8fca-cd591772ccd6", - "title": "[SP 800-84]", - "citation": { - "text": "Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-84" - } - ] - }, - { - "uuid": "35dfd59f-eef2-4f71-bdb5-6d878267456a", - "title": "[SP 800-86]", - "citation": { - "text": "Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-86" - } - ] - }, - { - "uuid": "fed6a3b5-2b74-499f-9172-46671f7c24c8", - "title": "[SP 800-88]", - "citation": { - "text": "Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-88r1" - } - ] - }, - { - "uuid": "02d8ec60-6197-43f8-9f47-18732127963e", - "title": "[SP 800-92]", - "citation": { - "text": "Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-92" - } - ] - }, - { - "uuid": "41e2e2c6-2260-4258-85c8-09db17c43103", - "title": "[SP 800-94]", - "citation": { - "text": "Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-94" - } - ] - }, - { - "uuid": "1d91d984-0cb6-4f96-a01d-c39a3eee7d43", - "title": "[SP 800-95]", - "citation": { - "text": "Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-95" - } - ] - }, - { - "uuid": "6bed1550-cd5d-4e80-8d83-4e597c1514fe", - "title": "[SP 800-97]", - "citation": { - "text": "Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-97" - } - ] - }, - { - "uuid": "9183bd83-170e-4701-b32c-97e08ef8bedb", - "title": "[SP 800-100]", - "citation": { - "text": "Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-100" - } - ] - }, - { - "uuid": "1e2c475a-84ae-4c60-b420-8fb2ea552b71", - "title": "[SP 800-101]", - "citation": { - "text": "Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-101r1" - } - ] - }, - { - "uuid": "1b14b50f-7154-4226-958c-7dfff8276755", - "title": "[SP 800-111]", - "citation": { - "text": "Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. ** " - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-111" - } - ] - }, - { - "uuid": "36132a58-56fd-4980-9f6c-c010d3faf52b", - "title": "[SP 800-113]", - "citation": { - "text": "Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-113" - } - ] - }, - { - "uuid": "49fa1ee1-aaf7-4270-bb5a-a86497f717dc", - "title": "[SP 800-114]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-114r1" - } - ] - }, - { - "uuid": "a6b97214-55d4-4b86-a3a4-53d5911d96f7", - "title": "[SP 800-115]", - "citation": { - "text": "Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-115" - } - ] - }, - { - "uuid": "ad7d575f-b5fe-489b-8d48-36a93d964a5f", - "title": "[SP 800-116]", - "citation": { - "text": "Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-116r1" - } - ] - }, - { - "uuid": "60b24979-65b8-4ca5-a442-11b74339fab5", - "title": "[SP 800-121]", - "citation": { - "text": "Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-121r2" - } - ] - }, - { - "uuid": "18c6942b-95f8-414c-b548-c8e6b8d8a172", - "title": "[SP 800-124]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-124r1" - } - ] - }, - { - "uuid": "c972a85c-fa75-4596-be25-a338dc7e4e46", - "title": "[SP 800-125B]", - "citation": { - "text": "Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-125B" - } - ] - }, - { - "uuid": "0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f", - "title": "[SP 800-126]", - "citation": { - "text": "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-126r3" - } - ] - }, - { - "uuid": "a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4", - "title": "[SP 800-128]", - "citation": { - "text": "Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-128" - } - ] - }, - { - "uuid": "ae412317-c2b4-47bb-b47b-c329ce0d7a0b", - "title": "[SP 800-130]", - "citation": { - "text": "Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-130" - } - ] - }, - { - "uuid": "c3b34083-77b2-4dab-a980-73068f8933bd", - "title": "[SP 800-137]", - "citation": { - "text": "Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-137" - } - ] - }, - { - "uuid": "e9224c9b-4fa5-40b7-bfbb-02bff7712d92", - "title": "[SP 800-147]", - "citation": { - "text": "Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-147" - } - ] - }, - { - "uuid": "ad3e8f21-07c6-4968-b002-00b64dfa70ae", - "title": "[SP 800-150]", - "citation": { - "text": "Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-150" - } - ] - }, - { - "uuid": "38dbdf55-9a14-446f-b563-c48e4e3d37fb", - "title": "[SP 800-152]", - "citation": { - "text": "Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-152" - } - ] - }, - { - "uuid": "fd0f14f5-8910-45c4-b60a-0c8936e00daa", - "title": "[SP 800-154]", - "citation": { - "text": "Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-154/draft" - } - ] - }, - { - "uuid": "f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa", - "title": "[SP 800-156]", - "citation": { - "text": "Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-156" - } - ] - }, - { - "uuid": "8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e", - "title": "[SP 800-160 v1]", - "citation": { - "text": "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v1" - } - ] - }, - { - "uuid": "8411e6e8-09bd-431d-bbcb-3423d36ad880", - "title": "[SP 800-160 v2]", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-160v2" - } - ] - }, - { - "uuid": "66476e76-46b4-47fb-be19-d13e6f3840df", - "title": "[SP 800-161]", - "citation": { - "text": "Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-161" - } - ] - }, - { - "uuid": "359f960c-2598-454c-ba3b-a30c553e498f", - "title": "[SP 800-162]", - "citation": { - "text": "Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of February 25, 2019." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-162" - } - ] - }, - { - "uuid": "a8f55663-86c5-415b-aabe-d2a126981d65", - "title": "[SP 800-166]", - "citation": { - "text": "Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-166" - } - ] - }, - { - "uuid": "893d1736-324c-41d6-a5f4-d526b5ca981a", - "title": "[SP 800-167]", - "citation": { - "text": "Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-167" - } - ] - }, - { - "uuid": "0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a", - "title": "[SP 800-171]", - "citation": { - "text": "Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-171r2" - } - ] - }, - { - "uuid": "aad55f03-8ece-4b21-b09c-9ef65b5a9f55", - "title": "[SP 800-171B]", - "citation": { - "text": "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2019) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations: Enhanced Security Requirements for Critical Programs and High Value Assets. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171B." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/CSRC/media/Publications/sp/800-171b/draft/documents/sp800-171B-draft-ipd.pdf" - } - ] - }, - { - "uuid": "64e044e4-b2a9-490f-a079-1106407c812f", - "title": "[SP 800-177]", - "citation": { - "text": "Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-177r1" - } - ] - }, - { - "uuid": "223b23a9-baea-4a50-8058-63cf7967b61f", - "title": "[SP 800-178]", - "citation": { - "text": "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-178" - } - ] - }, - { - "uuid": "f4c3f657-de83-47ae-9aec-e144de8268d1", - "title": "[SP 800-181]", - "citation": { - "text": "Newhouse WD, Witte GA, Scribner B, Keith S (2017) National Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce Framework. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-181" - } - ] - }, - { - "uuid": "08f518f7-f9b9-4bee-8986-860214f46b16", - "title": "[SP 800-184]", - "citation": { - "text": "Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-184" - } - ] - }, - { - "uuid": "eadef75e-7e4d-4554-b818-44946c1dde0e", - "title": "[SP 800-188]", - "citation": { - "text": "Garfinkel S (2016) De-Identifying Government Datasets. **(National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188." - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/publications/detail/sp/800-188/draft" - } - ] - }, - { - "uuid": "3862cd94-ff25-4631-9a9a-b92c21a0a923", - "title": "[SP 800-189]", - "citation": { - "text": "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-189" - } - ] - }, - { - "uuid": "06d3c11a-4a00-42d9-ad75-e6a777ffae5e", - "title": "[SP 800-192]", - "citation": { - "text": "Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-192" - } - ] - }, - { - "uuid": "d4779b49-8acc-45ef-b4f0-30f945e81d1b", - "title": "[IR 7539]", - "citation": { - "text": "Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7539" - } - ] - }, - { - "uuid": "09ac1fdb-36a9-483f-a04c-5c1e1bf104fb", - "title": "[IR 7559]", - "citation": { - "text": "Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7559" - } - ] - }, - { - "uuid": "7b03adec-4405-4aac-94a0-6a9eb3f42e31", - "title": "[IR 7622]", - "citation": { - "text": "Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7622" - } - ] - }, - { - "uuid": "daf69edb-a0ef-4447-9880-8c4bf553181f", - "title": "[IR 7676]", - "citation": { - "text": "Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7676" - } - ] - }, - { - "uuid": "bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c", - "title": "[IR 7788]", - "citation": { - "text": "Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7788" - } - ] - }, - { - "uuid": "a49f67fc-827c-40e6-9a37-2b1cbe8142fd", - "title": "[IR 7817]", - "citation": { - "text": "Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7817" - } - ] - }, - { - "uuid": "972c10bd-aedf-485f-b0db-f46a402127e2", - "title": "[IR 7849]", - "citation": { - "text": "Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7849" - } - ] - }, - { - "uuid": "197f7ba7-9af8-4a67-b3a4-5523d850e53b", - "title": "[IR 7870]", - "citation": { - "text": "Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7870" - } - ] - }, - { - "uuid": "bb22d510-54a9-4588-b725-00d37576562b", - "title": "[IR 7874]", - "citation": { - "text": "Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7874" - } - ] - }, - { - "uuid": "f437b52f-7f26-42aa-8e8f-999e7d67b2fe", - "title": "[IR 7956]", - "citation": { - "text": "Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7956" - } - ] - }, - { - "uuid": "30213e10-2aca-47b3-8cdb-61303e0959f5", - "title": "[IR 7966]", - "citation": { - "text": "Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.7966" - } - ] - }, - { - "uuid": "851b5ba4-6aa0-4583-857c-4c360cbdf2a0", - "title": "[IR 8011 v1]", - "citation": { - "text": "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal (IR) 8011, Volume 1." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8011-1" - } - ] - }, - { - "uuid": "7e7538d7-9c3a-4e5f-bbb4-638cec975415", - "title": "[IR 8023]", - "citation": { - "text": "Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8023" - } - ] - }, - { - "uuid": "24738ee6-b3f3-4e37-825b-58775846bdbc", - "title": "[IR 8040]", - "citation": { - "text": "Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8040" - } - ] - }, - { - "uuid": "817b4227-5857-494d-9032-915980b32f15", - "title": "[IR 8062]", - "citation": { - "text": "Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8062" - } - ] - }, - { - "uuid": "7a93e915-fd58-4147-be12-e48044c367e6", - "title": "[IR 8179]", - "citation": { - "text": "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. **(National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8179." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.IR.8179" - } - ] - }, - { - "uuid": "2ee29e9a-6855-4160-a811-b5c7c50bd127", - "title": "[DHS TIC]", - "citation": { - "text": "Department of Homeland Security, *Trusted Internet Connections (TIC)*." - }, - "rlinks": [ - { - "href": "https://www.dhs.gov/trusted-internet-connections" - } - ] - }, - { - "uuid": "4e5415c1-7fc4-4fec-8328-d31319fffc4a", - "title": "[DSB 2017]", - "citation": { - "text": "Department of Defense, Defense Science Board, *Task Force on Cyber Deterrence*, February 2017." - }, - "rlinks": [ - { - "href": "https://www.acq.osd.mil/dsb/reports/2010s/DSB-CyberDeterrenceReport_02-28-17_Final.pdf" - } - ] - }, - { - "uuid": "294eed19-7471-4517-9480-2ec73e7c6a78", - "title": "[DOD STIG]", - "citation": { - "text": "Defense Information Systems Agency, *Security Technical Implementation Guides (STIG)*." - }, - "rlinks": [ - { - "href": "https://iase.disa.mil/stigs/Pages/index.aspx" - } - ] - }, - { - "uuid": "5a0f9c51-a5e9-4ef1-a2f7-446d5e9068ff", - "title": "[DODTERMS]", - "citation": { - "text": "Department of Defense, *Dictionary of Military and Associated Terms*." - }, - "rlinks": [ - { - "href": "http://www.dtic.mil/dtic/tr/fulltext/u2/a485800.pdf" - } - ] - }, - { - "uuid": "17ca9481-ea11-4ef2-81c1-885fd37d4be5", - "title": "[IETF 5905]", - "citation": { - "text": "" - } - }, - { - "uuid": "19067e94-7e15-4a4f-9344-9002a5be9755", - "title": "[LAMPSON73]", - "citation": { - "text": "B. 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Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program" - } - ] - }, - { - "uuid": "8c3295fe-f40e-4ff0-a6bf-5b31d54c967e", - "title": "[NIST CMVP]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *Cryptographic Module Validation Program*. Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/cryptographic-module-validation-program" - } - ] - }, - { - "uuid": "3c47d111-9f82-4571-ab3d-5aaeb4373a04", - "title": "[NIST CSF]", - "citation": { - "text": "National Institute of Standards and Technology (2018) Framework for Improving Critical Infrastructure Cybersecurity, Version 1.1. (National Institute of Standards and Technology, Gaithersburg, MD)." - }, - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.CSWP.04162018" - } - ] - }, - { - "uuid": "5cc04a1c-5489-4751-a493-746a9639067b", - "title": "[NCPR]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *National Checklist Program Repository*. Available at" - }, - "rlinks": [ - { - "href": "https://nvd.nist.gov/ncp/repository" - } - ] - }, - { - "uuid": "6dbf7321-9ab2-47c6-9101-6041735d8136", - "title": "[NVD 800-53]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *National Vulnerability Database: NIST Special Publication 800-53 [database of controls].* Available at" - }, - "rlinks": [ - { - "href": "https://nvd.nist.gov/800-53" - } - ] - }, - { - "uuid": "b0ef4899-9682-4afc-a2dd-0f5f71c78042", - "title": "[NEUM04]", - "citation": { - "text": " *Principled Assuredly Trustworthy Composable Architectures*, P. Neumann, CDRL A001 Final Report, SRI International, December 2004." - }, - "rlinks": [ - { - "href": "http://www.csl.sri.com/users/neumann/chats4.pdf" - } - ] - }, - { - "uuid": "634dec27-df88-4c30-b1a4-b57cdfd24f20", - "title": "[NSA CSFC]", - "citation": { - "text": "National Security Agency, *Commercial Solutions for Classified Program (CSfC)*." - }, - "rlinks": [ - { - "href": "https://www.nsa.gov/resources/everyone/csfc" - } - ] - }, - { - "uuid": "a52271dc-11b5-423a-8b6f-14867bd94259", - "title": "[NSA MEDIA]", - "citation": { - "text": "National Security Agency, *Media Destruction Guidance*." - }, - "rlinks": [ - { - "href": "https://www.nsa.gov/resources/everyone/media-destruction" - } - ] - }, - { - "uuid": "8d64f754-fde9-4e7b-8dea-8fffedef4347", - "title": "[POPEK74]", - "citation": { - "text": "G. Popek, *The Principle of Kernel Design*, in 1974 NCC, AFIPS Cong. Proc., Vol. 43, pp. 977-978." - } - }, - { - "uuid": "3c2331ad-9b35-4679-b9b2-7d70e7be6beb", - "title": "[SALTZER75]", - "citation": { - "text": "J. Saltzer and M. Schroeder, *The Protection of Information in Computer Systems*, in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308." - } - }, - { - "uuid": "06842bea-64c9-4e20-807a-b8fc003fa737", - "title": "[USGCB]", - "citation": { - "text": "National Institute of Standards and Technology (2020) *United States Government Configuration Baseline*. Available at" - }, - "rlinks": [ - { - "href": "https://csrc.nist.gov/projects/united-states-government-configuration-baseline" - } - ] - }, - { - "uuid": "90ec1671-8dcf-4bcf-8efe-ac6d06a806f0", - "rlinks": [ - { - "href": "https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5-draft.pdf", - "media-type": "application/pdf" - } - ] - }, - { - "uuid": "abe434a3-7630-4138-8699-2ab8c7a9aa6c", - "rlinks": [ - { - "href": "https://doi.org/10.6028/NIST.SP.800-53r5-draft", - "media-type": "application/pdf" - } - ] - } - ] - } - } -} diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.yaml deleted file mode 100644 index 8a53aab8..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-800-53A-draft_catalog.yaml +++ /dev/null @@ -1,158474 +0,0 @@ ---- -catalog: - uuid: 922ba9f7-9220-4b30-9883-955dfa2f65a7 - metadata: - title: Electronic Version of NIST SP 800-53 Rev 5 Controls and Draft SP 800-53A - Rev 5 Assessment Procedures - last-modified: 2021-07-29T17:22:02.981-04:00 - version: 5.1.1-draft - oscal-version: 1.0.0 - props: - - name: keywords - value: assessment, assessment plan, assurance, availability, computer security, - confidentiality, control, control assessment, cybersecurity, FISMA, information - security, information system, integrity, personally identifiable information, - OSCAL, Open Security Controls Assessment Language, Privacy Act, privacy - controls, privacy functions, privacy requirements, Risk Management Framework, - security controls, security functions, security requirements, system, system - security - links: - - href: "#c3397cc9-83c6-4459-adb2-836739dc1b94" - rel: alternate - - href: "#f7cf488d-bc64-4a91-a994-810e153ee481" - rel: canonical - roles: - - id: creator - title: Document creator - - id: contact - title: Contact - parties: - - uuid: 41a93829-b76b-43ec-b9e7-250553511549 - type: organization - name: Joint Task Force, Interagency Working Group - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - 41a93829-b76b-43ec-b9e7-250553511549 - - role-id: contact - party-uuids: - - 41a93829-b76b-43ec-b9e7-250553511549 - groups: - - id: ac - class: family - title: Access Control - controls: - - id: ac-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ac-1_prm_1 - props: - - name: aggregates - value: ac-01_odp.01 - - name: aggregates - value: ac-01_odp.02 - label: organization-defined personnel or roles - - id: ac-01_odp.01 - props: - - name: label - value: AC-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the access control policy is to - be disseminated is/are defined; - - id: ac-01_odp.02 - props: - - name: label - value: AC-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the access control procedures - are to be disseminated is/are defined; - - id: ac-01_odp.03 - props: - - name: legacy-identifier - value: ac-1_prm_2 - - name: label - value: AC-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ac-01_odp.04 - props: - - name: legacy-identifier - value: ac-1_prm_3 - - name: label - value: AC-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the access control policy and procedures - is defined; - - id: ac-01_odp.05 - props: - - name: legacy-identifier - value: ac-1_prm_4 - - name: label - value: AC-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current access control policy - is reviewed and updated is defined; - - id: ac-01_odp.06 - props: - - name: legacy-identifier - value: ac-1_prm_5 - - name: label - value: AC-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current access control policy - to be reviewed and updated are defined; - - id: ac-01_odp.07 - props: - - name: legacy-identifier - value: ac-1_prm_6 - - name: label - value: AC-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current access control procedures - are reviewed and updated is defined; - - id: ac-01_odp.08 - props: - - name: legacy-identifier - value: ac-1_prm_7 - - name: label - value: AC-01_ODP[08] - label: events - guidelines: - - prose: events that would require procedures to be reviewed and updated - are defined; - props: - - name: label - value: AC-01 - - name: sort-id - value: ac-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#7f473f21-fdbf-4a6c-81a1-0ab95919609d" - rel: reference - - href: "#ia-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-24" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ac-1_smt - name: statement - parts: - - id: ac-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ac-1_prm_1 }}:" - parts: - - id: ac-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ac-01_odp.03 }} access control policy\ - \ that:" - parts: - - id: ac-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ac-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ac-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the access - control policy and the associated access controls; - - id: ac-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ac-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the access\ - \ control policy and procedures; and" - - id: ac-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current access control:" - parts: - - id: ac-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ac-01_odp.05 }} and following\ - \ {{ insert: param, ac-01_odp.06 }} ; and" - - id: ac-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ac-01_odp.07 }} and following\ - \ {{ insert: param, ac-01_odp.08 }}." - - id: ac-1_gdn - name: guidance - prose: Access control policy and procedures address the controls in - the AC family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of access control - policy and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies reflecting the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to access control policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: AC-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01a.[01] - class: sp800-53A - prose: an access control policy is developed and documented; - - name: objective - props: - - name: label - value: AC-01a.[02] - class: sp800-53A - prose: "the access control policy is disseminated to {{ insert:\ - \ param, ac-01_odp.01 }};" - - name: objective - props: - - name: label - value: AC-01a.[03] - class: sp800-53A - prose: access control procedures to facilitate the implementation - of the access control policy and associated controls are developed - and documented; - - name: objective - props: - - name: label - value: AC-01a.[04] - class: sp800-53A - prose: "the access control procedures are disseminated to {{\ - \ insert: param, ac-01_odp.02 }};" - - name: objective - props: - - name: label - value: AC-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses purpose;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses scope;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses roles;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses responsibilities;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses management commitment;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: AC-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access\ - \ control policy addresses compliance;" - - name: objective - props: - - name: label - value: AC-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.03 }} access control\ - \ policy is consistent with applicable laws, Executive\ - \ Orders, directives, regulations, policies, standards,\ - \ and guidelines;" - - name: objective - props: - - name: label - value: AC-01b. - class: sp800-53A - prose: "the {{ insert: param, ac-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the access\ - \ control policy and procedures;" - - name: objective - props: - - name: label - value: AC-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01c.01[01] - class: sp800-53A - prose: "the current access control policy is reviewed and\ - \ updated {{ insert: param, ac-01_odp.05 }};" - - name: objective - props: - - name: label - value: AC-01c.01[02] - class: sp800-53A - prose: "the current access control policy is reviewed and\ - \ updated following {{ insert: param, ac-01_odp.06 }};" - - name: objective - props: - - name: label - value: AC-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-01c.02[01] - class: sp800-53A - prose: "the current access control procedures are reviewed\ - \ and updated {{ insert: param, ac-01_odp.07 }};" - - name: objective - props: - - name: label - value: AC-01c.02[02] - class: sp800-53A - prose: "the current access control procedures are reviewed\ - \ and updated following {{ insert: param, ac-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access control - responsibilities - - - organizational personnel with information security with information - security and privacy responsibilities - - id: ac-2 - class: SP800-53 - title: Account Management - params: - - id: ac-02_odp.01 - props: - - name: legacy-identifier - value: ac-2_prm_1 - - name: label - value: AC-02_ODP[01] - label: prerequisites and criteria - guidelines: - - prose: prerequisites and criteria for group and role membership - are defined; - - id: ac-02_odp.02 - props: - - name: legacy-identifier - value: ac-2_prm_2 - - name: label - value: AC-02_ODP[02] - label: attributes (as required) - guidelines: - - prose: attributes (as required) for each account are defined; - - id: ac-02_odp.03 - props: - - name: legacy-identifier - value: ac-2_prm_3 - - name: label - value: AC-02_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles required to approve requests to create - accounts is/are defined; - - id: ac-02_odp.04 - props: - - name: legacy-identifier - value: ac-2_prm_4 - - name: label - value: AC-02_ODP[04] - label: policy, procedures, prerequisites, and criteria - guidelines: - - prose: policy, procedures, prerequisites, and criteria for account - creation, enabling, modification, disabling, and removal are defined; - - id: ac-02_odp.05 - props: - - name: legacy-identifier - value: ac-2_prm_5 - - name: label - value: AC-02_ODP[05] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified is/are defined; - - id: ac-02_odp.06 - props: - - name: legacy-identifier - value: ac-2_prm_6 - - name: label - value: AC-02_ODP[06] - label: time period - guidelines: - - prose: time period within which to notify account managers when - accounts are no longer required is defined; - - id: ac-02_odp.07 - props: - - name: legacy-identifier - value: ac-2_prm_7 - - name: label - value: AC-02_ODP[07] - label: time period - guidelines: - - prose: time period within which to notify account managers when - users are terminated or transferred is defined; - - id: ac-02_odp.08 - props: - - name: legacy-identifier - value: ac-2_prm_8 - - name: label - value: AC-02_ODP[08] - label: time period - guidelines: - - prose: time period within which to notify account managers when - system usage or the need to know changes for an individual is - defined; - - id: ac-02_odp.09 - props: - - name: legacy-identifier - value: ac-2_prm_9 - - name: label - value: AC-02_ODP[09] - label: attributes (as required) - guidelines: - - prose: attributes needed to authorize system access (as required) - are defined; - - id: ac-02_odp.10 - props: - - name: legacy-identifier - value: ac-2_prm_10 - - name: label - value: AC-02_ODP[10] - label: frequency - guidelines: - - prose: the frequency of account review is defined; - props: - - name: label - value: AC-02 - - name: sort-id - value: ac-02 - links: - - href: "#2956e175-f674-43f4-b1b9-e074ad9fc39c" - rel: reference - - href: "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f" - rel: reference - - href: "#53df282b-8b3f-483a-bad1-6a8b8ac00114" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-20" - rel: related - - href: "#ac-24" - rel: related - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-5" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ac-2_smt - name: statement - parts: - - id: ac-2_smt.a - name: item - props: - - name: label - value: a. - prose: Define and document the types of accounts allowed and specifically - prohibited for use within the system; - - id: ac-2_smt.b - name: item - props: - - name: label - value: b. - prose: Assign account managers; - - id: ac-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Require {{ insert: param, ac-02_odp.01 }} for group and\ - \ role membership;" - - id: ac-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Specify:" - parts: - - id: ac-2_smt.d.1 - name: item - props: - - name: label - value: "01." - prose: Authorized users of the system; - - id: ac-2_smt.d.2 - name: item - props: - - name: label - value: "02." - prose: Group and role membership; and - - id: ac-2_smt.d.3 - name: item - props: - - name: label - value: "03." - prose: "Access authorizations (i.e., privileges) and {{ insert:\ - \ param, ac-02_odp.02 }} for each account;" - - id: ac-2_smt.e - name: item - props: - - name: label - value: e. - prose: "Require approvals by {{ insert: param, ac-02_odp.03 }} for\ - \ requests to create accounts;" - - id: ac-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Create, enable, modify, disable, and remove accounts in\ - \ accordance with {{ insert: param, ac-02_odp.04 }};" - - id: ac-2_smt.g - name: item - props: - - name: label - value: g. - prose: Monitor the use of accounts; - - id: ac-2_smt.h - name: item - props: - - name: label - value: h. - prose: "Notify account managers and {{ insert: param, ac-02_odp.05\ - \ }} within:" - parts: - - id: ac-2_smt.h.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ac-02_odp.06 }} when accounts are\ - \ no longer required;" - - id: ac-2_smt.h.2 - name: item - props: - - name: label - value: "02." - prose: "{{ insert: param, ac-02_odp.07 }} when users are terminated\ - \ or transferred; and" - - id: ac-2_smt.h.3 - name: item - props: - - name: label - value: "03." - prose: "{{ insert: param, ac-02_odp.08 }} when system usage\ - \ or need-to-know changes for an individual;" - - id: ac-2_smt.i - name: item - props: - - name: label - value: i. - prose: "Authorize access to the system based on:" - parts: - - id: ac-2_smt.i.1 - name: item - props: - - name: label - value: "01." - prose: A valid access authorization; - - id: ac-2_smt.i.2 - name: item - props: - - name: label - value: "02." - prose: Intended system usage; and - - id: ac-2_smt.i.3 - name: item - props: - - name: label - value: "03." - prose: "{{ insert: param, ac-02_odp.09 }};" - - id: ac-2_smt.j - name: item - props: - - name: label - value: j. - prose: "Review accounts for compliance with account management requirements\ - \ {{ insert: param, ac-02_odp.10 }};" - - id: ac-2_smt.k - name: item - props: - - name: label - value: k. - prose: Establish and implement a process for changing shared or - group account authenticators (if deployed) when individuals are - removed from the group; and - - id: ac-2_smt.l - name: item - props: - - name: label - value: l. - prose: Align account management processes with personnel termination - and transfer processes. - - id: ac-2_gdn - name: guidance - prose: >- - Examples of system account types include individual, shared, - group, system, guest, anonymous, emergency, developer, - temporary, and service. Identification of authorized system - users and the specification of access privileges reflect the - requirements in other controls in the security plan. Users - requiring administrative privileges on system accounts receive - additional scrutiny by organizational personnel responsible for - approving such accounts and privileged access, including system - owner, mission or business owner, senior agency information - security officer, or senior agency official for privacy. Types - of accounts that organizations may wish to prohibit due to - increased risk include shared, group, emergency, anonymous, - temporary, and guest accounts. - - - Where access involves personally identifiable information, security - programs collaborate with the senior agency official for privacy to - establish the specific conditions for group and role membership; specify - authorized users, group and role membership, and access authorizations - for each account; and create, adjust, or remove system accounts in - accordance with organizational policies. Policies can include such - information as account expiration dates or other factors that trigger - the disabling of accounts. Organizations may choose to define access - privileges or other attributes by account, type of account, or a combination - of the two. Examples of other attributes required for authorizing - access include restrictions on time of day, day of week, and point - of origin. In defining other system account attributes, organizations - consider system-related requirements and mission/business requirements. - Failure to consider these factors could affect system availability. - - - Temporary and emergency accounts are intended for short-term use. - Organizations establish temporary accounts as part of normal account - activation procedures when there is a need for short-term accounts - without the demand for immediacy in account activation. Organizations - establish emergency accounts in response to crisis situations and - with the need for rapid account activation. Therefore, emergency account - activation may bypass normal account authorization processes. Emergency - and temporary accounts are not to be confused with infrequently used - accounts, including local logon accounts used for special tasks or - when network resources are unavailable (may also be known as accounts - of last resort). Such accounts remain available and are not subject - to automatic disabling or removal dates. Conditions for disabling - or deactivating accounts include when shared/group, emergency, or - temporary accounts are no longer required and when individuals are - transferred or terminated. Changing shared/group authenticators when - members leave the group is intended to ensure that former group members - do not retain access to the shared or group account. Some types of - system accounts may require specialized training. - - name: objective - props: - - name: label - value: AC-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02a.[01] - class: sp800-53A - prose: account types allowed for use within the system are defined - and documented; - - name: objective - props: - - name: label - value: AC-02a.[02] - class: sp800-53A - prose: account types specifically prohibited for use within - the system are defined and documented; - - name: objective - props: - - name: label - value: AC-02b. - class: sp800-53A - prose: account managers are assigned; - - name: objective - props: - - name: label - value: AC-02c. - class: sp800-53A - prose: "{{ insert: param, ac-02_odp.01 }} for group and role membership\ - \ are required;" - - name: objective - props: - - name: label - value: AC-02d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02d.01 - class: sp800-53A - prose: authorized users of the system are specified; - - name: objective - props: - - name: label - value: AC-02d.02 - class: sp800-53A - prose: group and role membership are specified; - - name: objective - props: - - name: label - value: AC-02d.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02d.03[01] - class: sp800-53A - prose: access authorizations (i.e., privileges) are specified - for each account; - - name: objective - props: - - name: label - value: AC-02d.03[02] - class: sp800-53A - prose: "{{ insert: param, ac-02_odp.02 }} are specified\ - \ for each account;" - - name: objective - props: - - name: label - value: AC-02e. - class: sp800-53A - prose: "approvals are required by {{ insert: param, ac-02_odp.03\ - \ }} for requests to create accounts;" - - name: objective - props: - - name: label - value: AC-02f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02f.[01] - class: sp800-53A - prose: "accounts are created in accordance with {{ insert: param,\ - \ ac-02_odp.04 }};" - - name: objective - props: - - name: label - value: AC-02f.[02] - class: sp800-53A - prose: "accounts are enabled in accordance with {{ insert: param,\ - \ ac-02_odp.04 }};" - - name: objective - props: - - name: label - value: AC-02f.[03] - class: sp800-53A - prose: "accounts are modified in accordance with {{ insert:\ - \ param, ac-02_odp.04 }};" - - name: objective - props: - - name: label - value: AC-02f.[04] - class: sp800-53A - prose: "accounts are disabled in accordance with {{ insert:\ - \ param, ac-02_odp.04 }};" - - name: objective - props: - - name: label - value: AC-02f.[05] - class: sp800-53A - prose: "accounts are removed in accordance with {{ insert: param,\ - \ ac-02_odp.04 }};" - - name: objective - props: - - name: label - value: AC-02g. - class: sp800-53A - prose: the use of accounts is monitored; - - name: objective - props: - - name: label - value: AC-02h. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02h.01 - class: sp800-53A - prose: "account managers and {{ insert: param, ac-02_odp.05\ - \ }} are notified within {{ insert: param, ac-02_odp.06 }}\ - \ when accounts are no longer required;" - - name: objective - props: - - name: label - value: AC-02h.02 - class: sp800-53A - prose: "account managers and {{ insert: param, ac-02_odp.05\ - \ }} are notified within {{ insert: param, ac-02_odp.07 }}\ - \ when users are terminated or transferred;" - - name: objective - props: - - name: label - value: AC-02h.03 - class: sp800-53A - prose: "account managers and {{ insert: param, ac-02_odp.05\ - \ }} are notified within {{ insert: param, ac-02_odp.08 }}\ - \ when system usage or the need to know changes for an individual;" - - name: objective - props: - - name: label - value: AC-02i. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02i.01 - class: sp800-53A - prose: access to the system is authorized based on a valid access - authorization; - - name: objective - props: - - name: label - value: AC-02i.02 - class: sp800-53A - prose: access to the system is authorized based on intended - system usage; - - name: objective - props: - - name: label - value: AC-02i.03 - class: sp800-53A - prose: "access to the system is authorized based on {{ insert:\ - \ param, ac-02_odp.09 }};" - - name: objective - props: - - name: label - value: AC-02j. - class: sp800-53A - prose: "accounts are reviewed for compliance with account management\ - \ requirements {{ insert: param, ac-02_odp.10 }};" - - name: objective - props: - - name: label - value: AC-02k. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02k.[01] - class: sp800-53A - prose: a process is established for changing shared or group - account authenticators (if deployed) when individuals are - removed from the group; - - name: objective - props: - - name: label - value: AC-02k.[02] - class: sp800-53A - prose: a process is implemented for changing shared or group - account authenticators (if deployed) when individuals are - removed from the group; - - name: objective - props: - - name: label - value: AC-02l. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02l.[01] - class: sp800-53A - prose: account management processes are aligned with personnel - termination processes; - - name: objective - props: - - name: label - value: AC-02l.[02] - class: sp800-53A - prose: account management processes are aligned with personnel - transfer processes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - personnel termination policy and procedure - - - personnel transfer policy and procedure - - - procedures for addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - list of active system accounts along with the name of the individual - associated with each account - - - list of recently disabled system accounts and the name of the - individual associated with each account - - - list of conditions for group and role membership - - - notifications of recent transfers, separations, or terminations - of employees - - - access authorization records - - - account management compliance reviews - - - system monitoring records - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security with information - security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for account management on the - system - - - automated mechanisms for implementing account management - controls: - - id: ac-2.1 - class: SP800-53-enhancement - title: Automated System Account Management - params: - - id: ac-02.01_odp - props: - - name: legacy-identifier - value: ac-2.1_prm_1 - - name: label - value: AC-02(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to support the management of - system accounts are defined; - props: - - name: label - value: AC-02(01) - - name: sort-id - value: ac-02.01 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.1_smt - name: statement - prose: "Support the management of system accounts using {{ insert:\ - \ param, ac-02.01_odp }}." - - id: ac-2.1_gdn - name: guidance - prose: Automated system account management includes using automated - mechanisms to create, enable, modify, disable, and remove accounts; - notify account managers when an account is created, enabled, modified, - disabled, or removed, or when users are terminated or transferred; - monitor system account usage; and report atypical system account - usage. Automated mechanisms can include internal system functions - and email, telephonic, and text messaging notifications. - - name: objective - props: - - name: label - value: AC-02(01) - class: sp800-53A - prose: "the management of system accounts is supported using {{\ - \ insert: param, ac-02.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures for addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security with information - security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms for implementing account management - functions - - id: ac-2.2 - class: SP800-53-enhancement - title: Automated Temporary and Emergency Account Management - params: - - id: ac-02.02_odp.01 - props: - - name: legacy-identifier - value: ac-2.2_prm_1 - - name: label - value: AC-02(02)_ODP[01] - select: - choice: - - remove - - disable - - id: ac-02.02_odp.02 - props: - - name: legacy-identifier - value: ac-2.2_prm_2 - - name: label - value: AC-02(02)_ODP[02] - label: time period - guidelines: - - prose: the time period after which to automatically remove or - disable temporary or emergency accounts is defined; - props: - - name: label - value: AC-02(02) - - name: sort-id - value: ac-02.02 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.2_smt - name: statement - prose: "Automatically {{ insert: param, ac-02.02_odp.01 }} temporary\ - \ and emergency accounts after {{ insert: param, ac-02.02_odp.02\ - \ }}." - - id: ac-2.2_gdn - name: guidance - prose: Management of temporary and emergency accounts includes the - removal or disabling of such accounts automatically after a predefined - time period rather than at the convenience of the system administrator. - Automatic removal or disabling of accounts provides a more consistent - implementation. - - name: objective - props: - - name: label - value: AC-02(02) - class: sp800-53A - prose: "temporary and emergency accounts are automatically {{ insert:\ - \ param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures for addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of temporary accounts removed and/or - disabled - - - system-generated list of emergency accounts removed and/or - disabled - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security with information - security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms for implementing account management - functions - - id: ac-2.3 - class: SP800-53-enhancement - title: Disable Accounts - params: - - id: ac-02.03_odp.01 - props: - - name: legacy-identifier - value: ac-2.3_prm_1 - - name: label - value: AC-02(03)_ODP[01] - label: time period - guidelines: - - prose: time period within which to disable accounts is defined; - - id: ac-02.03_odp.02 - props: - - name: legacy-identifier - value: ac-2.3_prm_2 - - name: label - value: AC-02(03)_ODP[02] - label: time period - guidelines: - - prose: time period for account inactivity before disabling is - defined; - props: - - name: label - value: AC-02(03) - - name: sort-id - value: ac-02.03 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.3_smt - name: statement - prose: "Disable accounts within {{ insert: param, ac-02.03_odp.01\ - \ }} when the accounts:" - parts: - - id: ac-2.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Have expired; - - id: ac-2.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Are no longer associated with a user or individual; - - id: ac-2.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Are in violation of organizational policy; or - - id: ac-2.3_smt.d - name: item - props: - - name: label - value: (d) - prose: "Have been inactive for {{ insert: param, ac-02.03_odp.02\ - \ }}." - - id: ac-2.3_gdn - name: guidance - prose: Disabling expired, inactive, or otherwise anomalous accounts - supports the concepts of least privilege and least functionality - which reduce the attack surface of the system. - - name: objective - props: - - name: label - value: AC-02(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02(03)(a) - class: sp800-53A - prose: "accounts are disabled within {{ insert: param, ac-02.03_odp.01\ - \ }} when the accounts have expired;" - - name: objective - props: - - name: label - value: AC-02(03)(b) - class: sp800-53A - prose: "accounts are disabled within {{ insert: param, ac-02.03_odp.01\ - \ }} when the accounts are no longer associated with a user\ - \ or individual;" - - name: objective - props: - - name: label - value: AC-02(03)(c) - class: sp800-53A - prose: "accounts are disabled within {{ insert: param, ac-02.03_odp.01\ - \ }} when the accounts are in violation of organizational\ - \ policy;" - - name: objective - props: - - name: label - value: AC-02(03)(d) - class: sp800-53A - prose: "accounts are disabled within {{ insert: param, ac-02.03_odp.01\ - \ }} when the accounts have been inactive for {{ insert: param,\ - \ ac-02.03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures for addressing account management - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of temporary accounts removed and/or - disabled - - - system-generated list of emergency accounts removed and/or - disabled - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms for implementing account management - functions - - id: ac-2.4 - class: SP800-53-enhancement - title: Automated Audit Actions - props: - - name: label - value: AC-02(04) - - name: sort-id - value: ac-02.04 - links: - - href: "#ac-2" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - parts: - - id: ac-2.4_smt - name: statement - prose: Automatically audit account creation, modification, enabling, - disabling, and removal actions. - - id: ac-2.4_gdn - name: guidance - prose: Account management audit records are defined in accordance - with [AU-2](#au-2) and reviewed, analyzed, and reported in accordance - with [AU-6](#au-6). - - name: objective - props: - - name: label - value: AC-02(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02(04)[01] - class: sp800-53A - prose: account creation is automatically audited; - - name: objective - props: - - name: label - value: AC-02(04)[02] - class: sp800-53A - prose: account modification is automatically audited; - - name: objective - props: - - name: label - value: AC-02(04)[03] - class: sp800-53A - prose: account enabling is automatically audited; - - name: objective - props: - - name: label - value: AC-02(04)[04] - class: sp800-53A - prose: account disabling is automatically audited; - - name: objective - props: - - name: label - value: AC-02(04)[05] - class: sp800-53A - prose: account removal actions are automatically audited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - notifications/alerts of account creation, modification, enabling, - disabling, and removal actions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing account management - functions - - id: ac-2.5 - class: SP800-53-enhancement - title: Inactivity Logout - params: - - id: ac-02.05_odp - props: - - name: legacy-identifier - value: ac-2.5_prm_1 - - name: label - value: AC-02(05)_ODP - label: time period of expected inactivity or description of when - to log out - guidelines: - - prose: the time period of expected inactivity or description - of when to log out is defined; - props: - - name: label - value: AC-02(05) - - name: sort-id - value: ac-02.05 - links: - - href: "#ac-2" - rel: required - - href: "#ac-11" - rel: related - parts: - - id: ac-2.5_smt - name: statement - prose: "Require that users log out when {{ insert: param, ac-02.05_odp\ - \ }}." - - id: ac-2.5_gdn - name: guidance - prose: Inactivity logout is behavior- or policy-based and requires - users to take physical action to log out when they are expecting - inactivity longer than the defined period. Automatic enforcement - of inactivity logout is addressed by [AC-11](#ac-11). - - name: objective - props: - - name: label - value: AC-02(05) - class: sp800-53A - prose: "users are required to log out when {{ insert: param, ac-02.05_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - security violation reports - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - users that must comply with inactivity logout policy - - id: ac-2.6 - class: SP800-53-enhancement - title: Dynamic Privilege Management - params: - - id: ac-02.06_odp - props: - - name: legacy-identifier - value: ac-2.6_prm_1 - - name: label - value: AC-02(06)_ODP - label: dynamics privilege management capabilities - guidelines: - - prose: dynamic privilege management capabilities are defined; - props: - - name: label - value: AC-02(06) - - name: sort-id - value: ac-02.06 - links: - - href: "#ac-2" - rel: required - - href: "#ac-16" - rel: related - parts: - - id: ac-2.6_smt - name: statement - prose: "Implement {{ insert: param, ac-02.06_odp }}." - - id: ac-2.6_gdn - name: guidance - prose: In contrast to access control approaches that employ static - accounts and predefined user privileges, dynamic access control - approaches rely on runtime access control decisions facilitated - by dynamic privilege management, such as attribute-based access - control. While user identities remain relatively constant over - time, user privileges typically change more frequently based on - ongoing mission or business requirements and the operational needs - of organizations. An example of dynamic privilege management is - the immediate revocation of privileges from users as opposed to - requiring that users terminate and restart their sessions to reflect - changes in privileges. Dynamic privilege management can also include - mechanisms that change user privileges based on dynamic rules - as opposed to editing specific user profiles. Examples include - automatic adjustments of user privileges if they are operating - out of their normal work times, if their job function or assignment - changes, or if systems are under duress or in emergency situations. - Dynamic privilege management includes the effects of privilege - changes, for example, when there are changes to encryption keys - used for communications. - - name: objective - props: - - name: label - value: AC-02(06) - class: sp800-53A - prose: "{{ insert: param, ac-02.06_odp }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of dynamic privilege management capabilities - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(06)-Test - class: sp800-53A - parts: - - name: objects - prose: system or mechanisms implementing dynamic privilege management - capabilities - - id: ac-2.7 - class: SP800-53-enhancement - title: Privileged User Accounts - params: - - id: ac-02.07_odp - props: - - name: legacy-identifier - value: ac-2.7_prm_1 - - name: label - value: AC-02(07)_ODP - select: - choice: - - a role-based access scheme - - an attribute-based access scheme - props: - - name: label - value: AC-02(07) - - name: sort-id - value: ac-02.07 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.7_smt - name: statement - parts: - - id: ac-2.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Establish and administer privileged user accounts in\ - \ accordance with {{ insert: param, ac-02.07_odp }};" - - id: ac-2.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Monitor privileged role or attribute assignments; - - id: ac-2.7_smt.c - name: item - props: - - name: label - value: (c) - prose: Monitor changes to roles or attributes; and - - id: ac-2.7_smt.d - name: item - props: - - name: label - value: (d) - prose: Revoke access when privileged role or attribute assignments - are no longer appropriate. - - id: ac-2.7_gdn - name: guidance - prose: Privileged roles are organization-defined roles assigned - to individuals that allow those individuals to perform certain - security-relevant functions that ordinary users are not authorized - to perform. Privileged roles include key management, account management, - database administration, system and network administration, and - web administration. A role-based access scheme organizes permitted - system access and privileges into roles. In contrast, an attribute-based - access scheme specifies allowed system access and privileges based - on attributes. - - name: objective - props: - - name: label - value: AC-02(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02(07)(a) - class: sp800-53A - prose: "privileged user accounts are established and administered\ - \ in accordance with {{ insert: param, ac-02.07_odp }};" - - name: objective - props: - - name: label - value: AC-02(07)(b) - class: sp800-53A - prose: privileged role or attribute assignments are monitored; - - name: objective - props: - - name: label - value: AC-02(07)(c) - class: sp800-53A - prose: changes to roles or attributes are monitored; - - name: objective - props: - - name: label - value: AC-02(07)(d) - class: sp800-53A - prose: access is revoked when privileged role or attribute assignments - are no longer appropriate. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of privileged user accounts and associated - roles - - - records of actions taken when privileged role assignments - are no longer appropriate - - - system audit records - - - audit tracking and monitoring reports - - - system monitoring records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing account management - functions - - - automated mechanisms monitoring privileged role assignments - - id: ac-2.8 - class: SP800-53-enhancement - title: Dynamic Account Management - params: - - id: ac-02.08_odp - props: - - name: legacy-identifier - value: ac-2.8_prm_1 - - name: label - value: AC-02(08)_ODP - label: system accounts - guidelines: - - prose: system accounts that are dynamically created, activated, - managed, and deactivated are defined; - props: - - name: label - value: AC-02(08) - - name: sort-id - value: ac-02.08 - links: - - href: "#ac-2" - rel: required - - href: "#ac-16" - rel: related - parts: - - id: ac-2.8_smt - name: statement - prose: "Create, activate, manage, and deactivate {{ insert: param,\ - \ ac-02.08_odp }} dynamically." - - id: ac-2.8_gdn - name: guidance - prose: Approaches for dynamically creating, activating, managing, - and deactivating system accounts rely on automatically provisioning - the accounts at runtime for entities that were previously unknown. - Organizations plan for the dynamic management, creation, activation, - and deactivation of system accounts by establishing trust relationships, - business rules, and mechanisms with appropriate authorities to - validate related authorizations and privileges. - - name: objective - props: - - name: label - value: AC-02(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02(08)[01] - class: sp800-53A - prose: "{{ insert: param, ac-02.08_odp }} are created dynamically;" - - name: objective - props: - - name: label - value: AC-02(08)[02] - class: sp800-53A - prose: "{{ insert: param, ac-02.08_odp }} are activated dynamically;" - - name: objective - props: - - name: label - value: AC-02(08)[03] - class: sp800-53A - prose: "{{ insert: param, ac-02.08_odp }} are managed dynamically;" - - name: objective - props: - - name: label - value: AC-02(08)[04] - class: sp800-53A - prose: "{{ insert: param, ac-02.08_odp }} are deactivated dynamically." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of system accounts - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing account management - functions - - id: ac-2.9 - class: SP800-53-enhancement - title: Restrictions on Use of Shared and Group Accounts - params: - - id: ac-02.09_odp - props: - - name: legacy-identifier - value: ac-2.9_prm_1 - - name: label - value: AC-02(09)_ODP - label: conditions - guidelines: - - prose: conditions for establishing shared and group accounts - are defined; - props: - - name: label - value: AC-02(09) - - name: sort-id - value: ac-02.09 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.9_smt - name: statement - prose: "Only permit the use of shared and group accounts that meet\ - \ {{ insert: param, ac-02.09_odp }}." - - id: ac-2.9_gdn - name: guidance - prose: Before permitting the use of shared or group accounts, organizations - consider the increased risk due to the lack of accountability - with such accounts. - - name: objective - props: - - name: label - value: AC-02(09) - class: sp800-53A - prose: "the use of shared and group accounts is only permitted if\ - \ {{ insert: param, ac-02.09_odp }} are met." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of shared/group accounts and associated - roles - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing management of shared/group - accounts - - id: ac-2.10 - class: SP800-53-enhancement - title: Shared and Group Account Credential Change - props: - - name: label - value: AC-02(10) - - name: sort-id - value: ac-02.10 - - name: status - value: withdrawn - links: - - href: "#ac-2_smt.k" - rel: incorporated-into - - id: ac-2.11 - class: SP800-53-enhancement - title: Usage Conditions - params: - - id: ac-02.11_odp.01 - props: - - name: legacy-identifier - value: ac-2.11_prm_1 - - name: label - value: AC-02(11)_ODP[01] - label: circumstances and/or usage conditions - guidelines: - - prose: circumstances and/or usage conditions to be enforced - for system accounts are defined; - - id: ac-02.11_odp.02 - props: - - name: legacy-identifier - value: ac-2.11_prm_2 - - name: label - value: AC-02(11)_ODP[02] - label: system accounts - guidelines: - - prose: system accounts subject to enforcement of circumstances - and/or usage conditions are defined; - props: - - name: label - value: AC-02(11) - - name: sort-id - value: ac-02.11 - links: - - href: "#ac-2" - rel: required - parts: - - id: ac-2.11_smt - name: statement - prose: "Enforce {{ insert: param, ac-02.11_odp.01 }} for {{ insert:\ - \ param, ac-02.11_odp.02 }}." - - id: ac-2.11_gdn - name: guidance - prose: Specifying and enforcing usage conditions helps to enforce - the principle of least privilege, increase user accountability, - and enable effective account monitoring. Account monitoring includes - alerts generated if the account is used in violation of organizational - parameters. Organizations can describe specific conditions or - circumstances under which system accounts can be used, such as - by restricting usage to certain days of the week, time of day, - or specific durations of time. - - name: objective - props: - - name: label - value: AC-02(11) - class: sp800-53A - prose: "{{ insert: param, ac-02.11_odp.01 }} for {{ insert: param,\ - \ ac-02.11_odp.02 }} are enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of system accounts and associated assignments - of usage circumstances and/or usage conditions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(11)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing account management - functions - - id: ac-2.12 - class: SP800-53-enhancement - title: Account Monitoring for Atypical Usage - params: - - id: ac-02.12_odp.01 - props: - - name: legacy-identifier - value: ac-2.12_prm_1 - - name: label - value: AC-02(12)_ODP[01] - label: atypical usage - guidelines: - - prose: atypical usage for which to monitor system accounts is - defined; - - id: ac-02.12_odp.02 - props: - - name: legacy-identifier - value: ac-2.12_prm_2 - - name: label - value: AC-02(12)_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to report atypical usage is/are defined; - props: - - name: label - value: AC-02(12) - - name: sort-id - value: ac-02.12 - links: - - href: "#ac-2" - rel: required - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ca-7" - rel: related - - href: "#ir-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-2.12_smt - name: statement - parts: - - id: ac-2.12_smt.a - name: item - props: - - name: label - value: (a) - prose: "Monitor system accounts for {{ insert: param, ac-02.12_odp.01\ - \ }} ; and" - - id: ac-2.12_smt.b - name: item - props: - - name: label - value: (b) - prose: "Report atypical usage of system accounts to {{ insert:\ - \ param, ac-02.12_odp.02 }}." - - id: ac-2.12_gdn - name: guidance - prose: Atypical usage includes accessing systems at certain times - of the day or from locations that are not consistent with the - normal usage patterns of individuals. Monitoring for atypical - usage may reveal rogue behavior by individuals or an attack in - progress. Account monitoring may inadvertently create privacy - risks since data collected to identify atypical usage may reveal - previously unknown information about the behavior of individuals. - Organizations assess and document privacy risks from monitoring - accounts for atypical usage in their privacy impact assessment - and make determinations that are in alignment with their privacy - program plan. - - name: objective - props: - - name: label - value: AC-02(12) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-02(12)(a) - class: sp800-53A - prose: "system accounts are monitored for {{ insert: param,\ - \ ac-02.12_odp.01 }};" - - name: objective - props: - - name: label - value: AC-02(12)(b) - class: sp800-53A - prose: "atypical usage of system accounts is reported to {{\ - \ insert: param, ac-02.12_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system monitoring records - - - system audit records - - - audit tracking and monitoring reports - - - privacy impact assessment - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing account management - functions - - id: ac-2.13 - class: SP800-53-enhancement - title: Disable Accounts for High-risk Individuals - params: - - id: ac-02.13_odp.01 - props: - - name: legacy-identifier - value: ac-2.13_prm_1 - - name: label - value: AC-02(13)_ODP[01] - label: time period - guidelines: - - prose: time period within which to disable accounts of individuals - who are discovered to pose significant risk is defined; - - id: ac-02.13_odp.02 - props: - - name: legacy-identifier - value: ac-2.13_prm_2 - - name: label - value: AC-02(13)_ODP[02] - label: significant risks - guidelines: - - prose: significant risks leading to disabling accounts are defined; - props: - - name: label - value: AC-02(13) - - name: sort-id - value: ac-02.13 - links: - - href: "#ac-2" - rel: required - - href: "#au-6" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-2.13_smt - name: statement - prose: "Disable accounts of individuals within {{ insert: param,\ - \ ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02\ - \ }}." - - id: ac-2.13_gdn - name: guidance - prose: Users who pose a significant security and/or privacy risk - include individuals for whom reliable evidence indicates either - the intention to use authorized access to systems to cause harm - or through whom adversaries will cause harm. Such harm includes - adverse impacts to organizational operations, organizational assets, - individuals, other organizations, or the Nation. Close coordination - among system administrators, legal staff, human resource managers, - and authorizing officials is essential when disabling system accounts - for high-risk individuals. - - name: objective - props: - - name: label - value: AC-02(13) - class: sp800-53A - prose: "accounts of individuals are disabled within {{ insert: param,\ - \ ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-02(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of disabled accounts - - - list of user activities posing significant organizational - risk - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-02(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with account management - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-02(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing account management - functions - - id: ac-3 - class: SP800-53 - title: Access Enforcement - props: - - name: label - value: AC-03 - - name: sort-id - value: ac-03 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#2956e175-f674-43f4-b1b9-e074ad9fc39c" - rel: reference - - href: "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f" - rel: reference - - href: "#7f473f21-fdbf-4a6c-81a1-0ab95919609d" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#ac-21" - rel: related - - href: "#ac-22" - rel: related - - href: "#ac-24" - rel: related - - href: "#ac-25" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#au-9" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-6" - rel: related - - href: "#ia-7" - rel: related - - href: "#ia-11" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#pm-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-31" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-4" - rel: related - - href: "#si-8" - rel: related - parts: - - id: ac-3_smt - name: statement - prose: Enforce approved authorizations for logical access to information - and system resources in accordance with applicable access control - policies. - - id: ac-3_gdn - name: guidance - prose: Access control policies control access between active entities - or subjects (i.e., users or processes acting on behalf of users) and - passive entities or objects (i.e., devices, files, records, domains) - in organizational systems. In addition to enforcing authorized access - at the system level and recognizing that systems can host many applications - and services in support of mission and business functions, access - enforcement mechanisms can also be employed at the application and - service level to provide increased information security and privacy. - In contrast to logical access controls that are implemented within - the system, physical access controls are addressed by the controls - in the Physical and Environmental Protection ( [PE](#pe) ) family. - - name: objective - props: - - name: label - value: AC-03 - class: sp800-53A - prose: approved authorizations for logical access to information and - system resources are enforced in accordance with applicable access - control policies. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing access enforcement - - system design documentation - - system configuration settings and associated documentation - - list of approved authorizations (user privileges) - - system audit records - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - controls: - - id: ac-3.1 - class: SP800-53-enhancement - title: Restricted Access to Privileged Functions - props: - - name: label - value: AC-03(01) - - name: sort-id - value: ac-03.01 - - name: status - value: withdrawn - links: - - href: "#ac-6" - rel: incorporated-into - - id: ac-3.2 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: ac-03.02_odp - props: - - name: legacy-identifier - value: ac-3.2_prm_1 - - name: label - value: AC-03(02)_ODP - label: privileged commands and/or other actions - guidelines: - - prose: privileged commands and/or other actions requiring dual - authorization are defined; - props: - - name: label - value: AC-03(02) - - name: sort-id - value: ac-03.02 - links: - - href: "#ac-3" - rel: required - - href: "#cp-9" - rel: related - - href: "#mp-6" - rel: related - parts: - - id: ac-3.2_smt - name: statement - prose: "Enforce dual authorization for {{ insert: param, ac-03.02_odp\ - \ }}." - - id: ac-3.2_gdn - name: guidance - prose: Dual authorization, also known as two-person control, reduces - risk related to insider threats. Dual authorization mechanisms - require the approval of two authorized individuals to execute. - To reduce the risk of collusion, organizations consider rotating - dual authorization duties. Organizations consider the risk associated - with implementing dual authorization mechanisms when immediate - responses are necessary to ensure public and environmental safety. - - name: objective - props: - - name: label - value: AC-03(02) - class: sp800-53A - prose: "dual authorization is enforced for {{ insert: param, ac-03.02_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement and dual authorization - - - system design documentation - - - system configuration settings and associated documentation - - - list of privileged commands requiring dual authorization - - - list of actions requiring dual authorization - - - list of approved authorizations (user privileges) - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Dual authorization mechanisms implementing access control - policy - - id: ac-3.3 - class: SP800-53-enhancement - title: Mandatory Access Control - params: - - id: ac-3.3_prm_1 - props: - - name: aggregates - value: ac-03.03_odp.01 - - name: aggregates - value: ac-03.03_odp.02 - label: organization-defined mandatory access control policy - - id: ac-03.03_odp.01 - props: - - name: label - value: AC-03(03)_ODP[01] - label: mandatory access control policy - guidelines: - - prose: mandatory access control policy enforced over the set - of covered subjects is defined; - - id: ac-03.03_odp.02 - props: - - name: label - value: AC-03(03)_ODP[02] - label: mandatory access control policy - guidelines: - - prose: mandatory access control policy enforced over the set - of covered objects is defined; - - id: ac-03.03_odp.03 - props: - - name: legacy-identifier - value: ac-3.3_prm_2 - - name: label - value: AC-03(03)_ODP[03] - label: subjects - guidelines: - - prose: subjects to be explicitly granted privileges are defined; - - id: ac-03.03_odp.04 - props: - - name: legacy-identifier - value: ac-3.3_prm_3 - - name: label - value: AC-03(03)_ODP[04] - label: privileges - guidelines: - - prose: privileges to be explicitly granted to subjects are defined; - props: - - name: label - value: AC-03(03) - - name: sort-id - value: ac-03.03 - links: - - href: "#ac-3" - rel: required - - href: "#sc-7" - rel: related - parts: - - id: ac-3.3_smt - name: statement - prose: "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of\ - \ covered subjects and objects specified in the policy, and where\ - \ the policy:" - parts: - - id: ac-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Is uniformly enforced across the covered subjects and - objects within the system; - - id: ac-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Specifies that a subject that has been granted access - to information is constrained from doing any of the following; - parts: - - id: ac-3.3_smt.b.1 - name: item - props: - - name: label - value: (01) - prose: Passing the information to unauthorized subjects - or objects; - - id: ac-3.3_smt.b.2 - name: item - props: - - name: label - value: (02) - prose: Granting its privileges to other subjects; - - id: ac-3.3_smt.b.3 - name: item - props: - - name: label - value: (03) - prose: Changing one or more security attributes (specified - by the policy) on subjects, objects, the system, or system - components; - - id: ac-3.3_smt.b.4 - name: item - props: - - name: label - value: (04) - prose: Choosing the security attributes and attribute values - (specified by the policy) to be associated with newly - created or modified objects; and - - id: ac-3.3_smt.b.5 - name: item - props: - - name: label - value: (05) - prose: Changing the rules governing access control; and - - id: ac-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "Specifies that {{ insert: param, ac-03.03_odp.03 }}\ - \ may explicitly be granted {{ insert: param, ac-03.03_odp.04\ - \ }} such that they are not limited by any defined subset\ - \ (or all) of the above constraints." - - id: ac-3.3_gdn - name: guidance - prose: >- - Mandatory access control is a type of nondiscretionary - access control. Mandatory access control policies constrain - what actions subjects can take with information obtained - from objects for which they have already been granted - access. This prevents the subjects from passing the - information to unauthorized subjects and objects. Mandatory - access control policies constrain actions that subjects can - take with respect to the propagation of access control - privileges; that is, a subject with a privilege cannot pass - that privilege to other subjects. The policy is uniformly - enforced over all subjects and objects to which the system - has control. Otherwise, the access control policy can be - circumvented. This enforcement is provided by an - implementation that meets the reference monitor concept as - described in [AC-25](#ac-25) . The policy is bounded by the - system (i.e., once the information is passed outside of the - control of the system, additional means may be required to - ensure that the constraints on the information remain in - effect). - - - The trusted subjects described above are granted privileges consistent - with the concept of least privilege (see [AC-6](#ac-6) ). Trusted - subjects are only given the minimum privileges necessary for satisfying - organizational mission/business needs relative to the above policy. - The control is most applicable when there is a mandate that establishes - a policy regarding access to controlled unclassified information - or classified information and some users of the system are not - authorized access to all such information resident in the system. - Mandatory access control can operate in conjunction with discretionary - access control as described in [AC-3(4)](#ac-3.4) . A subject - constrained in its operation by mandatory access control policies - can still operate under the less rigorous constraints of AC-3(4), - but mandatory access control policies take precedence over the - less rigorous constraints of AC-3(4). For example, while a mandatory - access control policy imposes a constraint that prevents a subject - from passing information to another subject operating at a different - impact or classification level, AC-3(4) permits the subject to - pass the information to any other subject with the same impact - or classification level as the subject. Examples of mandatory - access control policies include the Bell-LaPadula policy to protect - confidentiality of information and the Biba policy to protect - the integrity of information. - - name: objective - props: - - name: label - value: AC-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(03)[01] - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} is enforced over\ - \ the set of covered subjects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(03)[02] - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.02 }} is enforced over\ - \ the set of covered objects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(03)(a)[01] - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} is uniformly\ - \ enforced across the covered subjects within the system;" - - name: objective - props: - - name: label - value: AC-03(03)(a)[02] - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.02 }} is uniformly\ - \ enforced across the covered objects within the system;" - - name: objective - props: - - name: label - value: AC-03(03)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(03)(b)(01) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that a subject\ - \ that has been granted access to information is constrained\ - \ from passing the information to unauthorized subjects\ - \ or objects are enforced;" - - name: objective - props: - - name: label - value: AC-03(03)(b)(02) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that a subject\ - \ that has been granted access to information is constrained\ - \ from granting its privileges to other subjects are enforced;" - - name: objective - props: - - name: label - value: AC-03(03)(b)(03) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that a subject\ - \ that has been granted access to information is constrained\ - \ from changing one of more security attributes (specified\ - \ by the policy) on subjects, objects, the system, or\ - \ system components are enforced;" - - name: objective - props: - - name: label - value: AC-03(03)(b)(4) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that a subject\ - \ that has been granted access to information is constrained\ - \ from choosing the security attributes and attribute\ - \ values (specified by the policy) to be associated with\ - \ newly created or modified objects are enforced;" - - name: objective - props: - - name: label - value: AC-03(03)(b)(5) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that a subject\ - \ that has been granted access to information is constrained\ - \ from changing the rules governing access control are\ - \ enforced;" - - name: objective - props: - - name: label - value: AC-03(03)(c) - class: sp800-53A - prose: "{{ insert: param, ac-03.03_odp.01 }} and {{ insert:\ - \ param, ac-03.03_odp.02 }} specifying that {{ insert: param,\ - \ ac-03.03_odp.03 }} may explicitly be granted {{ insert:\ - \ param, ac-03.03_odp.04 }} such that they are not limited\ - \ by any defined subset (or all) of the above constraints\ - \ are enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - mandatory access control policies - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of subjects and objects (i.e., users and resources) requiring - enforcement of mandatory access control policies - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing mandatory access control - - id: ac-3.4 - class: SP800-53-enhancement - title: Discretionary Access Control - params: - - id: ac-3.4_prm_1 - props: - - name: aggregates - value: ac-03.04_odp.01 - label: organization-defined discretionary access control policy - - id: ac-03.04_odp.01 - props: - - name: label - value: AC-03(04)_ODP[01] - label: discretionary access control policy - guidelines: - - prose: discretionary access control policy enforced over the - set of covered subjects is defined; - - id: ac-03.04_odp.02 - props: - - name: label - value: AC-03(04)_ODP[02] - label: discretionary access control policy - guidelines: - - prose: discretionary access control policy enforced over the - set of covered objects is defined; - props: - - name: label - value: AC-03(04) - - name: sort-id - value: ac-03.04 - links: - - href: "#ac-3" - rel: required - parts: - - id: ac-3.4_smt - name: statement - prose: "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of\ - \ covered subjects and objects specified in the policy, and where\ - \ the policy specifies that a subject that has been granted access\ - \ to information can do one or more of the following:" - parts: - - id: ac-3.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Pass the information to any other subjects or objects; - - id: ac-3.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Grant its privileges to other subjects; - - id: ac-3.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Change security attributes on subjects, objects, the - system, or the system’s components; - - id: ac-3.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Choose the security attributes to be associated with - newly created or revised objects; or - - id: ac-3.4_smt.e - name: item - props: - - name: label - value: (e) - prose: Change the rules governing access control. - - id: ac-3.4_gdn - name: guidance - prose: When discretionary access control policies are implemented, - subjects are not constrained with regard to what actions they - can take with information for which they have already been granted - access. Thus, subjects that have been granted access to information - are not prevented from passing the information to other subjects - or objects (i.e., subjects have the discretion to pass). Discretionary - access control can operate in conjunction with mandatory access - control as described in [AC-3(3)](#ac-3.3) and [AC-3(15)](#ac-3.15) - . A subject that is constrained in its operation by mandatory - access control policies can still operate under the less rigorous - constraints of discretionary access control. Therefore, while - [AC-3(3)](#ac-3.3) imposes constraints that prevent a subject - from passing information to another subject operating at a different - impact or classification level, [AC-3(4)](#ac-3.4) permits the - subject to pass the information to any subject at the same impact - or classification level. The policy is bounded by the system. - Once the information is passed outside of system control, additional - means may be required to ensure that the constraints remain in - effect. While traditional definitions of discretionary access - control require identity-based access control, that limitation - is not required for this particular use of discretionary access - control. - - name: objective - props: - - name: label - value: AC-03(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(04)[01] - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} is enforced over\ - \ the set of covered subjects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(04)[02] - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.02 }} is enforced over\ - \ the set of covered objects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(04)(a) - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} and {{ insert:\ - \ param, ac-03.04_odp.02 }} are enforced where the policy\ - \ specifies that a subject that has been granted access to\ - \ information can pass the information to any other subjects\ - \ or objects;" - - name: objective - props: - - name: label - value: AC-03(04)(b) - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} and {{ insert:\ - \ param, ac-03.04_odp.02 }} are enforced where the policy\ - \ specifies that a subject that has been granted access to\ - \ information can grant its privileges to other subjects;" - - name: objective - props: - - name: label - value: AC-03(04)(c) - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} and {{ insert:\ - \ param, ac-03.04_odp.02 }} are enforced where the policy\ - \ specifies that a subject that has been granted access to\ - \ information can change security attributes on subjects,\ - \ objects, the system, or the system’s components;" - - name: objective - props: - - name: label - value: AC-03(04)(d) - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} and {{ insert:\ - \ param, ac-03.04_odp.02 }} are enforced where the policy\ - \ specifies that a subject that has been granted access to\ - \ information can choose the security attributes to be associated\ - \ with newly created or revised objects;" - - name: objective - props: - - name: label - value: AC-03(04)(e) - class: sp800-53A - prose: "{{ insert: param, ac-03.04_odp.01 }} and {{ insert:\ - \ param, ac-03.04_odp.02 }} are enforced where the policy\ - \ specifies that a subject that has been granted access to\ - \ information can change the rules governing access control." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - discretionary access control policies - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of subjects and objects (i.e., users and resources) requiring - enforcement of discretionary access control policies - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing discretionary access - control policy - - id: ac-3.5 - class: SP800-53-enhancement - title: Security-relevant Information - params: - - id: ac-03.05_odp - props: - - name: legacy-identifier - value: ac-3.5_prm_1 - - name: label - value: AC-03(05)_ODP - label: security-relevant information - guidelines: - - prose: security-relevant information to which access is prevented - except during secure, non-operable system states is defined; - props: - - name: label - value: AC-03(05) - - name: sort-id - value: ac-03.05 - links: - - href: "#ac-3" - rel: required - - href: "#cm-6" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: ac-3.5_smt - name: statement - prose: "Prevent access to {{ insert: param, ac-03.05_odp }} except\ - \ during secure, non-operable system states." - - id: ac-3.5_gdn - name: guidance - prose: Security-relevant information is information within systems - that can potentially impact the operation of security functions - or the provision of security services in a manner that could result - in failure to enforce system security and privacy policies or - maintain the separation of code and data. Security-relevant information - includes access control lists, filtering rules for routers or - firewalls, configuration parameters for security services, and - cryptographic key management information. Secure, non-operable - system states include the times in which systems are not performing - mission or business-related processing, such as when the system - is offline for maintenance, boot-up, troubleshooting, or shut - down. - - name: objective - props: - - name: label - value: AC-03(05) - class: sp800-53A - prose: "access to {{ insert: param, ac-03.05_odp }} is prevented\ - \ except during secure, non-operable system states." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms preventing access to security-relevant - information within the system - - id: ac-3.6 - class: SP800-53-enhancement - title: Protection of User and System Information - props: - - name: label - value: AC-03(06) - - name: sort-id - value: ac-03.06 - - name: status - value: withdrawn - links: - - href: "#mp-4" - rel: incorporated-into - - href: "#sc-28" - rel: incorporated-into - - id: ac-3.7 - class: SP800-53-enhancement - title: Role-based Access Control - params: - - id: ac-3.7_prm_1 - props: - - name: aggregates - value: ac-03.07_odp.01 - label: organization-defined roles and users authorized to assume - such roles - - id: ac-03.07_odp.01 - props: - - name: label - value: AC-03(07)_ODP[01] - label: roles - guidelines: - - prose: roles upon which to base control of access are defined; - - id: ac-03.07_odp.02 - props: - - name: label - value: AC-03(07)_ODP[02] - label: users authorized to assume such roles - guidelines: - - prose: users authorized to assume roles (defined in AC-03(07)_ODP[01]) - are defined; - props: - - name: label - value: AC-03(07) - - name: sort-id - value: ac-03.07 - links: - - href: "#ac-3" - rel: required - parts: - - id: ac-3.7_smt - name: statement - prose: "Enforce a role-based access control policy over defined\ - \ subjects and objects and control access based upon {{ insert:\ - \ param, ac-3.7_prm_1 }}." - - id: ac-3.7_gdn - name: guidance - prose: Role-based access control (RBAC) is an access control policy - that enforces access to objects and system functions based on - the defined role (i.e., job function) of the subject. Organizations - can create specific roles based on job functions and the authorizations - (i.e., privileges) to perform needed operations on the systems - associated with the organization-defined roles. When users are - assigned to specific roles, they inherit the authorizations or - privileges defined for those roles. RBAC simplifies privilege - administration for organizations because privileges are not assigned - directly to every user (which can be a large number of individuals) - but are instead acquired through role assignments. RBAC can also - increase privacy and security risk if individuals assigned to - a role are given access to information beyond what they need to - support organizational missions or business functions. RBAC can - be implemented as a mandatory or discretionary form of access - control. For organizations implementing RBAC with mandatory access - controls, the requirements in [AC-3(3)](#ac-3.3) define the scope - of the subjects and objects covered by the policy. - - name: objective - props: - - name: label - value: AC-03(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(07)[01] - class: sp800-53A - prose: a role-based access control policy is enforced over defined - subjects; - - name: objective - props: - - name: label - value: AC-03(07)[02] - class: sp800-53A - prose: a role-based access control policy is enforced over defined - objects; - - name: objective - props: - - name: label - value: AC-03(07)[03] - class: sp800-53A - prose: "access is controlled based on {{ insert: param, ac-03.07_odp.01\ - \ }} and {{ insert: param, ac-03.07_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - role-based access control policies - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of roles, users, and associated privileges required to - control system access - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing role-based access control - policy - - id: ac-3.8 - class: SP800-53-enhancement - title: Revocation of Access Authorizations - params: - - id: ac-03.08_odp - props: - - name: legacy-identifier - value: ac-3.8_prm_1 - - name: label - value: AC-03(08)_ODP - label: rules - guidelines: - - prose: rules governing the timing of revocations of access authorizations - are defined; - props: - - name: label - value: AC-03(08) - - name: sort-id - value: ac-03.08 - links: - - href: "#ac-3" - rel: required - parts: - - id: ac-3.8_smt - name: statement - prose: "Enforce the revocation of access authorizations resulting\ - \ from changes to the security attributes of subjects and objects\ - \ based on {{ insert: param, ac-03.08_odp }}." - - id: ac-3.8_gdn - name: guidance - prose: Revocation of access rules may differ based on the types - of access revoked. For example, if a subject (i.e., user or process - acting on behalf of a user) is removed from a group, access may - not be revoked until the next time the object is opened or the - next time the subject attempts to access the object. Revocation - based on changes to security labels may take effect immediately. - Organizations provide alternative approaches on how to make revocations - immediate if systems cannot provide such capability and immediate - revocation is necessary. - - name: objective - props: - - name: label - value: AC-03(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(08)[01] - class: sp800-53A - prose: "revocation of access authorizations is enforced, resulting\ - \ from changes to the security attributes of subjects based\ - \ on {{ insert: param, ac-03.08_odp }};" - - name: objective - props: - - name: label - value: AC-03(08)[02] - class: sp800-53A - prose: "revocation of access authorizations is enforced resulting\ - \ from changes to the security attributes of objects based\ - \ on {{ insert: param, ac-03.08_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - rules governing revocation of access authorizations, system - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.9 - class: SP800-53-enhancement - title: Controlled Release - params: - - id: ac-03.09_odp.01 - props: - - name: legacy-identifier - value: ac-3.9_prm_1 - - name: label - value: AC-03(09)_ODP[01] - label: system or system component - guidelines: - - prose: the outside system or system component to which to release - information is defined; - - id: ac-03.09_odp.02 - props: - - name: legacy-identifier - value: ac-3.9_prm_2 - - name: label - value: AC-03(09)_ODP[02] - label: controls - guidelines: - - prose: controls to be provided by the outside system or system - component (defined in AC-03(09)_ODP[01]) are defined; - - id: ac-03.09_odp.03 - props: - - name: legacy-identifier - value: ac-3.9_prm_3 - - name: label - value: AC-03(09)_ODP[03] - label: controls - guidelines: - - prose: controls used to validate appropriateness of information - to be released are defined; - props: - - name: label - value: AC-03(09) - - name: sort-id - value: ac-03.09 - links: - - href: "#ac-3" - rel: required - - href: "#ca-3" - rel: related - - href: "#pt-7" - rel: related - - href: "#pt-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-16" - rel: related - parts: - - id: ac-3.9_smt - name: statement - prose: "Release information outside of the system only if:" - parts: - - id: ac-3.9_smt.a - name: item - props: - - name: label - value: (a) - prose: "The receiving {{ insert: param, ac-03.09_odp.01 }} provides\ - \ {{ insert: param, ac-03.09_odp.02 }} ; and" - - id: ac-3.9_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-03.09_odp.03 }} are used to validate\ - \ the appropriateness of the information designated for release." - - id: ac-3.9_gdn - name: guidance - prose: >- - Organizations can only directly protect information when it - resides within the system. Additional controls may be needed - to ensure that organizational information is adequately - protected once it is transmitted outside of the system. In - situations where the system is unable to determine the - adequacy of the protections provided by external entities, - as a mitigation measure, organizations procedurally - determine whether the external systems are providing - adequate controls. The means used to determine the adequacy - of controls provided by external systems include conducting - periodic assessments (inspections/tests), establishing - agreements between the organization and its counterpart - organizations, or some other process. The means used by - external entities to protect the information received need - not be the same as those used by the organization, but the - means employed are sufficient to provide consistent - adjudication of the security and privacy policy to protect - the information and individuals’ privacy. - - - Controlled release of information requires systems to implement - technical or procedural means to validate the information prior - to releasing it to external systems. For example, if the system - passes information to a system controlled by another organization, - technical means are employed to validate that the security and - privacy attributes associated with the exported information are - appropriate for the receiving system. Alternatively, if the system - passes information to a printer in organization-controlled space, - procedural means can be employed to ensure that only authorized - individuals gain access to the printer. - - name: objective - props: - - name: label - value: AC-03(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(09)(a) - class: sp800-53A - prose: "information is released outside of the system only if\ - \ the receiving {{ insert: param, ac-03.09_odp.01 }} provides\ - \ {{ insert: param, ac-03.09_odp.02 }};" - - name: objective - props: - - name: label - value: AC-03(09)(b) - class: sp800-53A - prose: "information is released outside of the system only if\ - \ {{ insert: param, ac-03.09_odp.03 }} are used to validate\ - \ the appropriateness of the information designated for release." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security and privacy safeguards provided by receiving - system or system components - - - list of security and privacy safeguards validating appropriateness - of information designated for release - - - system audit records - - - results of period assessments (inspections/tests) of the external - system - - - information sharing agreements - - - memoranda of understanding - - - acquisitions/contractual agreements - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - - legal counsel - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.10 - class: SP800-53-enhancement - title: Audited Override of Access Control Mechanisms - params: - - id: ac-03.10_odp.01 - props: - - name: legacy-identifier - value: ac-3.10_prm_1 - - name: label - value: AC-03(10)_ODP[01] - label: conditions - guidelines: - - prose: conditions under which to employ an audited override - of automated access control mechanisms are defined; - - id: ac-03.10_odp.02 - props: - - name: legacy-identifier - value: ac-3.10_prm_2 - - name: label - value: AC-03(10)_ODP[02] - label: roles - guidelines: - - prose: roles allowed to employ an audited override of automated - access control mechanisms are defined; - props: - - name: label - value: AC-03(10) - - name: sort-id - value: ac-03.10 - links: - - href: "#ac-3" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - parts: - - id: ac-3.10_smt - name: statement - prose: "Employ an audited override of automated access control mechanisms\ - \ under {{ insert: param, ac-03.10_odp.01 }} by {{ insert: param,\ - \ ac-03.10_odp.02 }}." - - id: ac-3.10_gdn - name: guidance - prose: In certain situations, such as when there is a threat to - human life or an event that threatens the organization’s ability - to carry out critical missions or business functions, an override - capability for access control mechanisms may be needed. Override - conditions are defined by organizations and used only in those - limited circumstances. Audit events are defined in [AU-2](#au-2) - . Audit records are generated in [AU-12](#au-12). - - name: objective - props: - - name: label - value: AC-03(10) - class: sp800-53A - prose: "an audited override of automated access control mechanisms\ - \ is employed under {{ insert: param, ac-03.10_odp.01 }} by {{\ - \ insert: param, ac-03.10_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - conditions for employing audited override of automated access - control mechanisms - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(10)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.11 - class: SP800-53-enhancement - title: Restrict Access to Specific Information Types - params: - - id: ac-03.11_odp - props: - - name: legacy-identifier - value: ac-3.11_prm_1 - - name: label - value: AC-03(11)_ODP - label: information types - guidelines: - - prose: information types requiring restricted access to data - repositories are defined; - props: - - name: label - value: AC-03(11) - - name: sort-id - value: ac-03.11 - links: - - href: "#ac-3" - rel: required - - href: "#cm-8" - rel: related - - href: "#cm-12" - rel: related - - href: "#cm-13" - rel: related - - href: "#pm-5" - rel: related - parts: - - id: ac-3.11_smt - name: statement - prose: "Restrict access to data repositories containing {{ insert:\ - \ param, ac-03.11_odp }}." - - id: ac-3.11_gdn - name: guidance - prose: Restricting access to specific information is intended to - provide flexibility regarding access control of specific information - types within a system. For example, role-based access could be - employed to allow access to only a specific type of personally - identifiable information within a database rather than allowing - access to the database in its entirety. Other examples include - restricting access to cryptographic keys, authentication information, - and selected system information. - - name: objective - props: - - name: label - value: AC-03(11) - class: sp800-53A - prose: "access to data repositories containing {{ insert: param,\ - \ ac-03.11_odp }} is restricted." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - organizational personnel with responsibilities for data repositories - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(11)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.12 - class: SP800-53-enhancement - title: Assert and Enforce Application Access - params: - - id: ac-03.12_odp - props: - - name: legacy-identifier - value: ac-3.12_prm_1 - - name: label - value: AC-03(12)_ODP - label: system applications and functions - guidelines: - - prose: system applications and functions requiring access assertion - are defined; - props: - - name: label - value: AC-03(12) - - name: sort-id - value: ac-03.12 - links: - - href: "#ac-3" - rel: required - - href: "#cm-7" - rel: related - parts: - - id: ac-3.12_smt - name: statement - parts: - - id: ac-3.12_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require applications to assert, as part of the installation\ - \ process, the access needed to the following system applications\ - \ and functions: {{ insert: param, ac-03.12_odp }};" - - id: ac-3.12_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide an enforcement mechanism to prevent unauthorized - access; and - - id: ac-3.12_smt.c - name: item - props: - - name: label - value: (c) - prose: Approve access changes after initial installation of - the application. - - id: ac-3.12_gdn - name: guidance - prose: Asserting and enforcing application access is intended to - address applications that need to access existing system applications - and functions, including user contacts, global positioning systems, - cameras, keyboards, microphones, networks, phones, or other files. - - name: objective - props: - - name: label - value: AC-03(12) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(12)(a) - class: sp800-53A - prose: "as part of the installation process, applications are\ - \ required to assert the access needed to the following system\ - \ applications and functions: {{ insert: param, ac-03.12_odp\ - \ }};" - - name: objective - props: - - name: label - value: AC-03(12)(b) - class: sp800-53A - prose: an enforcement mechanism to prevent unauthorized access - is provided; - - name: objective - props: - - name: label - value: AC-03(12)(c) - class: sp800-53A - prose: access changes after initial installation of the application - are approved. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.13 - class: SP800-53-enhancement - title: Attribute-based Access Control - params: - - id: ac-03.13_odp - props: - - name: legacy-identifier - value: ac-3.13_prm_1 - - name: label - value: AC-03(13)_ODP - label: attributes - guidelines: - - prose: attributes to assume access permissions are defined; - props: - - name: label - value: AC-03(13) - - name: sort-id - value: ac-03.13 - links: - - href: "#ac-3" - rel: required - parts: - - id: ac-3.13_smt - name: statement - prose: "Enforce attribute-based access control policy over defined\ - \ subjects and objects and control access based upon {{ insert:\ - \ param, ac-03.13_odp }}." - - id: ac-3.13_gdn - name: guidance - prose: Attribute-based access control is an access control policy - that restricts system access to authorized users based on specified - organizational attributes (e.g., job function, identity), action - attributes (e.g., read, write, delete), environmental attributes - (e.g., time of day, location), and resource attributes (e.g., - classification of a document). Organizations can create rules - based on attributes and the authorizations (i.e., privileges) - to perform needed operations on the systems associated with organization-defined - attributes and rules. When users are assigned to attributes defined - in attribute-based access control policies or rules, they can - be provisioned to a system with the appropriate privileges or - dynamically granted access to a protected resource. Attribute-based - access control can be implemented as either a mandatory or discretionary - form of access control. When implemented with mandatory access - controls, the requirements in [AC-3(3)](#ac-3.3) define the scope - of the subjects and objects covered by the policy. - - name: objective - props: - - name: label - value: AC-03(13) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(13)[01] - class: sp800-53A - prose: the attribute-based access control policy is enforced - over defined subjects; - - name: objective - props: - - name: label - value: AC-03(13)[02] - class: sp800-53A - prose: the attribute-based access control policy is enforced - over defined objects; - - name: objective - props: - - name: label - value: AC-03(13)[03] - class: sp800-53A - prose: "access is controlled based on {{ insert: param, ac-03.13_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of subjects and objects (i.e., users and resources) requiring - enforcement of attribute-based access control policies - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-3.14 - class: SP800-53-enhancement - title: Individual Access - params: - - id: ac-03.14_odp.01 - props: - - name: legacy-identifier - value: ac-3.14_prm_1 - - name: label - value: AC-03(14)_ODP[01] - label: mechanisms - guidelines: - - prose: mechanisms enabling individuals to have access to elements - of their personally identifiable information are defined; - - id: ac-03.14_odp.02 - props: - - name: legacy-identifier - value: ac-3.14_prm_2 - - name: label - value: AC-03(14)_ODP[02] - label: elements - guidelines: - - prose: elements of personally identifiable information to which - individuals have access are defined; - props: - - name: label - value: AC-03(14) - - name: sort-id - value: ac-03.14 - links: - - href: "#ac-3" - rel: required - - href: "#ia-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-20" - rel: related - - href: "#pm-21" - rel: related - - href: "#pt-6" - rel: related - parts: - - id: ac-3.14_smt - name: statement - prose: "Provide {{ insert: param, ac-03.14_odp.01 }} to enable individuals\ - \ to have access to the following elements of their personally\ - \ identifiable information: {{ insert: param, ac-03.14_odp.02\ - \ }}." - - id: ac-3.14_gdn - name: guidance - prose: Individual access affords individuals the ability to review - personally identifiable information about them held within organizational - records, regardless of format. Access helps individuals to develop - an understanding about how their personally identifiable information - is being processed. It can also help individuals ensure that their - data is accurate. Access mechanisms can include request forms - and application interfaces. For federal agencies, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - processes can be located in systems of record notices and on agency - websites. Access to certain types of records may not be appropriate - (e.g., for federal agencies, law enforcement records within a - system of records may be exempt from disclosure under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - ) or may require certain levels of authentication assurance. Organizational - personnel consult with the senior agency official for privacy - and legal counsel to determine appropriate mechanisms and access - rights or limitations. - - name: objective - props: - - name: label - value: AC-03(14) - class: sp800-53A - prose: "{{ insert: param, ac-03.14_odp.01 }} are provided to enable\ - \ individuals to have access to {{ insert: param, ac-03.14_odp.02\ - \ }} of their personally identifiable information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access mechanisms (e.g., request forms and application - interfaces) - - - access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - documentation regarding access to an individual’s personally - identifiable information - - - system audit records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy assessment findings and/or reports - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - legal counsel - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing access enforcement - functions - - - mechanisms enabling individual access to personally identifiable - information - - id: ac-3.15 - class: SP800-53-enhancement - title: Discretionary and Mandatory Access Control - params: - - id: ac-3.15_prm_1 - props: - - name: aggregates - value: ac-03.15_odp.01 - - name: aggregates - value: ac-03.15_odp.02 - label: organization-defined mandatory access control policy - - id: ac-3.15_prm_2 - props: - - name: aggregates - value: ac-03.15_odp.03 - - name: aggregates - value: ac-03.15_odp.04 - label: organization-defined discretionary access control policy - - id: ac-03.15_odp.01 - props: - - name: label - value: AC-03(15)_ODP[01] - label: mandatory access control policy - guidelines: - - prose: a mandatory access control policy enforced over the set - of covered subjects specified in the policy is defined; - - id: ac-03.15_odp.02 - props: - - name: label - value: AC-03(15)_ODP[02] - label: mandatory access control policy - guidelines: - - prose: a mandatory access control policy enforced over the set - of covered objects specified in the policy is defined; - - id: ac-03.15_odp.03 - props: - - name: label - value: AC-03(15)_ODP[03] - label: discretionary access control policy - guidelines: - - prose: a discretionary access control policy enforced over the - set of covered subjects specified in the policy is defined; - - id: ac-03.15_odp.04 - props: - - name: label - value: AC-03(15)_ODP[04] - label: discretionary access control policy - guidelines: - - prose: a discretionary access control policy enforced over the - set of covered objects specified in the policy is defined; - props: - - name: label - value: AC-03(15) - - name: sort-id - value: ac-03.15 - links: - - href: "#ac-3" - rel: required - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ac-3.15_smt - name: statement - parts: - - id: ac-3.15_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce {{ insert: param, ac-3.15_prm_1 }} over the\ - \ set of covered subjects and objects specified in the policy;\ - \ and" - - id: ac-3.15_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce {{ insert: param, ac-3.15_prm_2 }} over the\ - \ set of covered subjects and objects specified in the policy." - - id: ac-3.15_gdn - name: guidance - prose: Simultaneously implementing a mandatory access control policy - and a discretionary access control policy can provide additional - protection against the unauthorized execution of code by users - or processes acting on behalf of users. This helps prevent a single - compromised user or process from compromising the entire system. - - name: objective - props: - - name: label - value: AC-03(15) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(15)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(15)(a)[01] - class: sp800-53A - prose: "{{ insert: param, ac-03.15_odp.01 }} is enforced\ - \ over the set of covered subjects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(15)(a)[02] - class: sp800-53A - prose: "{{ insert: param, ac-03.15_odp.02 }} is enforced\ - \ over the set of covered objects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(15)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-03(15)(b)[01] - class: sp800-53A - prose: "{{ insert: param, ac-03.15_odp.03 }} is enforced\ - \ over the set of covered subjects specified in the policy;" - - name: objective - props: - - name: label - value: AC-03(15)(b)[02] - class: sp800-53A - prose: "{{ insert: param, ac-03.15_odp.04 }} is enforced\ - \ over the set of covered objects specified in the policy." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-03(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of subjects and objects (i.e., users and resources) requiring - enforcement of mandatory access control policies - - - list of subjects and objects (i.e., users and resources) requiring - enforcement of discretionary access control policies - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-03(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-03(15)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing mandatory and discretionary - access control policy - - id: ac-4 - class: SP800-53 - title: Information Flow Enforcement - params: - - id: ac-04_odp - props: - - name: legacy-identifier - value: ac-4_prm_1 - - name: label - value: AC-04_ODP - label: information flow control policies - guidelines: - - prose: information flow control policies within the system and between - connected systems are defined; - props: - - name: label - value: AC-04 - - name: sort-id - value: ac-04 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#2956e175-f674-43f4-b1b9-e074ad9fc39c" - rel: reference - - href: "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f" - rel: reference - - href: "#a2590922-82f3-4277-83c0-ca5bee06dba4" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-21" - rel: related - - href: "#au-10" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-7" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-24" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-31" - rel: related - parts: - - id: ac-4_smt - name: statement - prose: "Enforce approved authorizations for controlling the flow of\ - \ information within the system and between connected systems based\ - \ on {{ insert: param, ac-04_odp }}." - - id: ac-4_gdn - name: guidance - prose: >- - Information flow control regulates where information can travel - within a system and between systems (in contrast to who is - allowed to access the information) and without regard to - subsequent accesses to that information. Flow control - restrictions include blocking external traffic that claims to be - from within the organization, keeping export-controlled - information from being transmitted in the clear to the Internet, - restricting web requests that are not from the internal web - proxy server, and limiting information transfers between - organizations based on data structures and content. Transferring - information between organizations may require an agreement - specifying how the information flow is enforced (see - [CA-3](#ca-3) ). Transferring information between systems in - different security or privacy domains with different security or - privacy policies introduces the risk that such transfers violate - one or more domain security or privacy policies. In such - situations, information owners/stewards provide guidance at - designated policy enforcement points between connected systems. - Organizations consider mandating specific architectural - solutions to enforce specific security and privacy policies. - Enforcement includes prohibiting information transfers between - connected systems (i.e., allowing access only), verifying write - permissions before accepting information from another security - or privacy domain or connected system, employing hardware - mechanisms to enforce one-way information flows, and - implementing trustworthy regrading mechanisms to reassign - security or privacy attributes and labels. - - - Organizations commonly employ information flow control policies and - enforcement mechanisms to control the flow of information between - designated sources and destinations within systems and between connected - systems. Flow control is based on the characteristics of the information - and/or the information path. Enforcement occurs, for example, in boundary - protection devices that employ rule sets or establish configuration - settings that restrict system services, provide a packet-filtering - capability based on header information, or provide a message-filtering - capability based on message content. Organizations also consider the - trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, - firmware, and software components) that are critical to information - flow enforcement. Control enhancements 3 through 32 primarily address - cross-domain solution needs that focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms - implemented in cross-domain products, such as high-assurance guards. - Such capabilities are generally not available in commercial off-the-shelf - products. Information flow enforcement also applies to control plane - traffic (e.g., routing and DNS). - - name: objective - props: - - name: label - value: AC-04 - class: sp800-53A - prose: "approved authorizations are enforced for controlling the flow\ - \ of information within the system and between connected systems based\ - \ on {{ insert: param, ac-04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - information flow control policies - - procedures addressing information flow enforcement - - security architecture documentation - - privacy architecture documentation - - system design documentation - - system configuration settings and associated documentation - - system baseline configuration - - list of information flow authorizations - - system audit records - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - architecture development responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - controls: - - id: ac-4.1 - class: SP800-53-enhancement - title: Object Security and Privacy Attributes - params: - - id: ac-4.1_prm_1 - props: - - name: aggregates - value: ac-04.01_odp.01 - - name: aggregates - value: ac-04.01_odp.02 - label: organization-defined security and privacy attributes - - id: ac-4.1_prm_2 - props: - - name: aggregates - value: ac-04.01_odp.03 - - name: aggregates - value: ac-04.01_odp.04 - - name: aggregates - value: ac-04.01_odp.05 - - name: aggregates - value: ac-04.01_odp.06 - - name: aggregates - value: ac-04.01_odp.07 - - name: aggregates - value: ac-04.01_odp.08 - label: organization-defined information, source, and destination - objects - - id: ac-04.01_odp.01 - props: - - name: label - value: AC-04(01)_ODP[01] - label: security attributes - guidelines: - - prose: security attributes to be associated with information, - source, and destination objects are defined; - - id: ac-04.01_odp.02 - props: - - name: label - value: AC-04(01)_ODP[02] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with information, - source, and destination objects are defined; - - id: ac-04.01_odp.03 - props: - - name: label - value: AC-04(01)_ODP[03] - label: information objects - guidelines: - - prose: information objects to be associated with information - security attributes are defined; - - id: ac-04.01_odp.04 - props: - - name: label - value: AC-04(01)_ODP[04] - label: information objects - guidelines: - - prose: information objects to be associated with privacy attributes - are defined; - - id: ac-04.01_odp.05 - props: - - name: label - value: AC-04(01)_ODP[05] - label: source objects - guidelines: - - prose: source objects to be associated with information security - attributes are defined; - - id: ac-04.01_odp.06 - props: - - name: label - value: AC-04(01)_ODP[06] - label: source objects - guidelines: - - prose: source objects to be associated with privacy attributes - are defined; - - id: ac-04.01_odp.07 - props: - - name: label - value: AC-04(01)_ODP[07] - label: destination objects - guidelines: - - prose: destination objects to be associated with information - security attributes are defined; - - id: ac-04.01_odp.08 - props: - - name: label - value: AC-04(01)_ODP[08] - label: destination objects - guidelines: - - prose: destination objects to be associated with privacy attributes - are defined; - - id: ac-04.01_odp.09 - props: - - name: legacy-identifier - value: ac-4.1_prm_3 - - name: label - value: AC-04(01)_ODP[09] - label: information flow control policies - guidelines: - - prose: information flow control policies as a basis for enforcement - of flow control decisions are defined; - props: - - name: label - value: AC-04(01) - - name: sort-id - value: ac-04.01 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.1_smt - name: statement - prose: "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{\ - \ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param,\ - \ ac-04.01_odp.09 }} as a basis for flow control decisions." - - id: ac-4.1_gdn - name: guidance - prose: Information flow enforcement mechanisms compare security - and privacy attributes associated with information (i.e., data - content and structure) and source and destination objects and - respond appropriately when the enforcement mechanisms encounter - information flows not explicitly allowed by information flow policies. - For example, an information object labeled Secret would be allowed - to flow to a destination object labeled Secret, but an information - object labeled Top Secret would not be allowed to flow to a destination - object labeled Secret. A dataset of personally identifiable information - may be tagged with restrictions against combining with other types - of datasets and, thus, would not be allowed to flow to the restricted - dataset. Security and privacy attributes can also include source - and destination addresses employed in traffic filter firewalls. - Flow enforcement using explicit security or privacy attributes - can be used, for example, to control the release of certain types - of information. - - name: objective - props: - - name: label - value: AC-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(01)[01] - class: sp800-53A - prose: "{{ insert: param, ac-04.01_odp.01 }} associated with\ - \ {{ insert: param, ac-04.01_odp.03 }}, {{ insert: param,\ - \ ac-04.01_odp.05 }} , and {{ insert: param, ac-04.01_odp.07\ - \ }} are used to enforce {{ insert: param, ac-04.01_odp.09\ - \ }} as a basis for flow control decisions;" - - name: objective - props: - - name: label - value: AC-04(01)[02] - class: sp800-53A - prose: "{{ insert: param, ac-04.01_odp.02 }} associated with\ - \ {{ insert: param, ac-04.01_odp.04 }}, {{ insert: param,\ - \ ac-04.01_odp.06 }} , and {{ insert: param, ac-04.01_odp.08\ - \ }} are used to enforce {{ insert: param, ac-04.01_odp.09\ - \ }} as a basis for flow control decisions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security and privacy attributes and associated source - and destination objects - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with privacy responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.2 - class: SP800-53-enhancement - title: Processing Domains - params: - - id: ac-04.02_odp - props: - - name: legacy-identifier - value: ac-4.2_prm_1 - - name: label - value: AC-04(02)_ODP - label: information flow control policies - guidelines: - - prose: information flow control policies to be enforced by use - of protected processing domains are defined; - props: - - name: label - value: AC-04(02) - - name: sort-id - value: ac-04.02 - links: - - href: "#ac-4" - rel: required - - href: "#sc-39" - rel: related - parts: - - id: ac-4.2_smt - name: statement - prose: "Use protected processing domains to enforce {{ insert: param,\ - \ ac-04.02_odp }} as a basis for flow control decisions." - - id: ac-4.2_gdn - name: guidance - prose: Protected processing domains within systems are processing - spaces that have controlled interactions with other processing - spaces, enabling control of information flows between these spaces - and to/from information objects. A protected processing domain - can be provided, for example, by implementing domain and type - enforcement. In domain and type enforcement, system processes - are assigned to domains, information is identified by types, and - information flows are controlled based on allowed information - accesses (i.e., determined by domain and type), allowed signaling - among domains, and allowed process transitions to other domains. - - name: objective - props: - - name: label - value: AC-04(02) - class: sp800-53A - prose: "protected processing domains are used to enforce {{ insert:\ - \ param, ac-04.02_odp }} as a basis for flow control decisions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system security architecture and associated documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.3 - class: SP800-53-enhancement - title: Dynamic Information Flow Control - params: - - id: ac-04.03_odp - props: - - name: legacy-identifier - value: ac-4.3_prm_1 - - name: label - value: AC-04(03)_ODP - label: information flow control policies - guidelines: - - prose: information flow control policies to be enforced are - defined; - props: - - name: label - value: AC-04(03) - - name: sort-id - value: ac-04.03 - links: - - href: "#ac-4" - rel: required - - href: "#si-4" - rel: related - parts: - - id: ac-4.3_smt - name: statement - prose: "Enforce {{ insert: param, ac-04.03_odp }}." - - id: ac-4.3_gdn - name: guidance - prose: Organizational policies regarding dynamic information flow - control include allowing or disallowing information flows based - on changing conditions or mission or operational considerations. - Changing conditions include changes in risk tolerance due to changes - in the immediacy of mission or business needs, changes in the - threat environment, and detection of potentially harmful or adverse - events. - - name: objective - props: - - name: label - value: AC-04(03) - class: sp800-53A - prose: "{{ insert: param, ac-04.03_odp }} are enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system security architecture and associated documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.4 - class: SP800-53-enhancement - title: Flow Control of Encrypted Information - params: - - id: ac-04.04_odp.01 - props: - - name: legacy-identifier - value: ac-4.4_prm_1 - - name: label - value: AC-04(04)_ODP[01] - label: information flow control mechanisms - guidelines: - - prose: information flow control mechanisms that encrypted information - is prevented from bypassing are defined; - - id: ac-04.04_odp.02 - props: - - name: legacy-identifier - value: ac-4.4_prm_2 - - name: label - value: AC-04(04)_ODP[02] - select: - how-many: one-or-more - choice: - - decrypting the information - - blocking the flow of the encrypted information - - terminating communications sessions attempting to pass encrypted - information - - " {{ insert: param, ac-04.04_odp.03 }} " - - id: ac-04.04_odp.03 - props: - - name: legacy-identifier - value: ac-4.4_prm_3 - - name: label - value: AC-04(04)_ODP[03] - label: organization-defined procedure or method - guidelines: - - prose: the organization-defined procedure or method used to - prevent encrypted information from bypassing information flow - control mechanisms is defined (if selected); - props: - - name: label - value: AC-04(04) - - name: sort-id - value: ac-04.04 - links: - - href: "#ac-4" - rel: required - - href: "#si-4" - rel: related - parts: - - id: ac-4.4_smt - name: statement - prose: "Prevent encrypted information from bypassing {{ insert:\ - \ param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02\ - \ }}." - - id: ac-4.4_gdn - name: guidance - prose: Flow control mechanisms include content checking, security - policy filters, and data type identifiers. The term encryption - is extended to cover encoded data not recognized by filtering - mechanisms. - - name: objective - props: - - name: label - value: AC-04(04) - class: sp800-53A - prose: "encrypted information is prevented from bypassing {{ insert:\ - \ param, ac-04.04_odp.01 }} by {{ insert: param, ac-04.04_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.5 - class: SP800-53-enhancement - title: Embedded Data Types - params: - - id: ac-04.05_odp - props: - - name: legacy-identifier - value: ac-4.5_prm_1 - - name: label - value: AC-04(05)_ODP - label: limitations - guidelines: - - prose: limitations on embedding data types within other data - types are defined; - props: - - name: label - value: AC-04(05) - - name: sort-id - value: ac-04.05 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.5_smt - name: statement - prose: "Enforce {{ insert: param, ac-04.05_odp }} on embedding data\ - \ types within other data types." - - id: ac-4.5_gdn - name: guidance - prose: Embedding data types within other data types may result in - reduced flow control effectiveness. Data type embedding includes - inserting files as objects within other files and using compressed - or archived data types that may include multiple embedded data - types. Limitations on data type embedding consider the levels - of embedding and prohibit levels of data type embedding that are - beyond the capability of the inspection tools. - - name: objective - props: - - name: label - value: AC-04(05) - class: sp800-53A - prose: "{{ insert: param, ac-04.05_odp }} are enforced on embedding\ - \ data types within other data types." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of limitations to be enforced on embedding data types - within other data types - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.6 - class: SP800-53-enhancement - title: Metadata - params: - - id: ac-04.06_odp - props: - - name: legacy-identifier - value: ac-4.6_prm_1 - - name: label - value: AC-04(06)_ODP - label: metadata - guidelines: - - prose: metadata on which to base enforcement of information - flow control is defined; - props: - - name: label - value: AC-04(06) - - name: sort-id - value: ac-04.06 - links: - - href: "#ac-4" - rel: required - - href: "#ac-16" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ac-4.6_smt - name: statement - prose: "Enforce information flow control based on {{ insert: param,\ - \ ac-04.06_odp }}." - - id: ac-4.6_gdn - name: guidance - prose: Metadata is information that describes the characteristics - of data. Metadata can include structural metadata describing data - structures or descriptive metadata describing data content. Enforcement - of allowed information flows based on metadata enables simpler - and more effective flow control. Organizations consider the trustworthiness - of metadata regarding data accuracy (i.e., knowledge that the - metadata values are correct with respect to the data), data integrity - (i.e., protecting against unauthorized changes to metadata tags), - and the binding of metadata to the data payload (i.e., employing - sufficiently strong binding techniques with appropriate assurance). - - name: objective - props: - - name: label - value: AC-04(06) - class: sp800-53A - prose: "information flow control enforcement is based on {{ insert:\ - \ param, ac-04.06_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - types of metadata used to enforce information flow control - decisions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.7 - class: SP800-53-enhancement - title: One-way Flow Mechanisms - props: - - name: label - value: AC-04(07) - - name: sort-id - value: ac-04.07 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.7_smt - name: statement - prose: Enforce one-way information flows through hardware-based - flow control mechanisms. - - id: ac-4.7_gdn - name: guidance - prose: One-way flow mechanisms may also be referred to as a unidirectional - network, unidirectional security gateway, or data diode. One-way - flow mechanisms can be used to prevent data from being exported - from a higher impact or classified domain or system while permitting - data from a lower impact or unclassified domain or system to be - imported. - - name: objective - props: - - name: label - value: AC-04(07) - class: sp800-53A - prose: one-way information flows are enforced through hardware-based - flow control mechanisms. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system hardware mechanisms and associated configurations - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Hardware mechanisms implementing information flow enforcement - policy - - id: ac-4.8 - class: SP800-53-enhancement - title: Security and Privacy Policy Filters - params: - - id: ac-4.8_prm_1 - props: - - name: aggregates - value: ac-04.08_odp.01 - - name: aggregates - value: ac-04.08_odp.02 - label: organization-defined security or privacy policy filters - - id: ac-4.8_prm_2 - props: - - name: aggregates - value: ac-04.08_odp.03 - - name: aggregates - value: ac-04.08_odp.04 - label: organization-defined information flows - - id: ac-4.8_prm_4 - props: - - name: aggregates - value: ac-04.08_odp.06 - - name: aggregates - value: ac-04.08_odp.07 - label: organization-defined security or privacy policy - - id: ac-04.08_odp.01 - props: - - name: label - value: AC-04(08)_ODP[01] - label: security policy filter - guidelines: - - prose: security policy filters to be used as a basis for enforcing - information flow control are defined; - - id: ac-04.08_odp.02 - props: - - name: label - value: AC-04(08)_ODP[02] - label: privacy policy filter - guidelines: - - prose: privacy policy filters to be used as a basis for enforcing - information flow control are defined; - - id: ac-04.08_odp.03 - props: - - name: label - value: AC-04(08)_ODP[03] - label: information flows - guidelines: - - prose: information flows for which information flow control - is enforced by security filters are defined; - - id: ac-04.08_odp.04 - props: - - name: label - value: AC-04(08)_ODP[04] - label: information flows - guidelines: - - prose: information flows for which information flow control - is enforced by privacy filters are defined; - - id: ac-04.08_odp.05 - props: - - name: legacy-identifier - value: ac-4.8_prm_3 - - name: label - value: AC-04(08)_ODP[05] - select: - how-many: one-or-more - choice: - - block - - strip - - modify - - quarantine - - id: ac-04.08_odp.06 - props: - - name: label - value: AC-04(08)_ODP[06] - label: security policy - guidelines: - - prose: security policy identifying actions to be taken after - a filter processing failure are defined; - - id: ac-04.08_odp.07 - props: - - name: label - value: AC-04(08)_ODP[07] - label: privacy policy - guidelines: - - prose: privacy policy identifying actions to be taken after - a filter processing failure are defined; - props: - - name: label - value: AC-04(08) - - name: sort-id - value: ac-04.08 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.8_smt - name: statement - parts: - - id: ac-4.8_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce information flow control using {{ insert: param,\ - \ ac-4.8_prm_1 }} as a basis for flow control decisions for\ - \ {{ insert: param, ac-4.8_prm_2 }} ; and" - - id: ac-4.8_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-04.08_odp.05 }} data after a filter\ - \ processing failure in accordance with {{ insert: param,\ - \ ac-4.8_prm_4 }}." - - id: ac-4.8_gdn - name: guidance - prose: Organization-defined security or privacy policy filters can - address data structures and content. For example, security or - privacy policy filters for data structures can check for maximum - file lengths, maximum field sizes, and data/file types (for structured - and unstructured data). Security or privacy policy filters for - data content can check for specific words, enumerated values or - data value ranges, and hidden content. Structured data permits - the interpretation of data content by applications. Unstructured - data refers to digital information without a data structure or - with a data structure that does not facilitate the development - of rule sets to address the impact or classification level of - the information conveyed by the data or the flow enforcement decisions. - Unstructured data consists of bitmap objects that are inherently - non-language-based (i.e., image, video, or audio files) and textual - objects that are based on written or printed languages. Organizations - can implement more than one security or privacy policy filter - to meet information flow control objectives. - - name: objective - props: - - name: label - value: AC-04(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(08)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(08)(a)[01] - class: sp800-53A - prose: "information flow control is enforced using {{ insert:\ - \ param, ac-04.08_odp.01 }} as a basis for flow control\ - \ decisions for {{ insert: param, ac-04.08_odp.03 }};" - - name: objective - props: - - name: label - value: AC-04(08)(a)[02] - class: sp800-53A - prose: "information flow control is enforced using {{ insert:\ - \ param, ac-04.08_odp.02 }} as a basis for flow control\ - \ decisions for {{ insert: param, ac-04.08_odp.04 }};" - - name: objective - props: - - name: label - value: AC-04(08)(b) - class: sp800-53A - prose: >- - {{ insert: param, ac-04.08_odp.05 }} data after a filter - processing failure in accordance with {{ insert: param, - ac-04.08_odp.06 }}; - - - {{ insert: param, ac-04.08_odp.05 }} data after a filter processing - failure in accordance with {{ insert: param, ac-04.08_odp.07 - }}. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security policy filters regulating flow control decisions - - - list of privacy policy filters regulating flow control decisions - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement policy - - - security and privacy policy filters - - id: ac-4.9 - class: SP800-53-enhancement - title: Human Reviews - params: - - id: ac-04.09_odp.01 - props: - - name: legacy-identifier - value: ac-4.9_prm_1 - - name: label - value: AC-04(09)_ODP[01] - label: information flows - guidelines: - - prose: information flows requiring the use of human reviews - are defined; - - id: ac-04.09_odp.02 - props: - - name: legacy-identifier - value: ac-4.9_prm_2 - - name: label - value: AC-04(09)_ODP[02] - label: conditions - guidelines: - - prose: conditions under which the use of human reviews for information - flows are to be enforced are defined; - props: - - name: label - value: AC-04(09) - - name: sort-id - value: ac-04.09 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.9_smt - name: statement - prose: "Enforce the use of human reviews for {{ insert: param, ac-04.09_odp.01\ - \ }} under the following conditions: {{ insert: param, ac-04.09_odp.02\ - \ }}." - - id: ac-4.9_gdn - name: guidance - prose: Organizations define security or privacy policy filters for - all situations where automated flow control decisions are possible. - When a fully automated flow control decision is not possible, - then a human review may be employed in lieu of or as a complement - to automated security or privacy policy filtering. Human reviews - may also be employed as deemed necessary by organizations. - - name: objective - props: - - name: label - value: AC-04(09) - class: sp800-53A - prose: "human reviews are used for {{ insert: param, ac-04.09_odp.01\ - \ }} under {{ insert: param, ac-04.09_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - records of human reviews regarding information flows - - - list of information flows requiring the use of human reviews - - - list of conditions requiring human reviews for information - flows - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with information flow enforcement - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms enforcing the use of human reviews - - id: ac-4.10 - class: SP800-53-enhancement - title: Enable and Disable Security or Privacy Policy Filters - params: - - id: ac-4.10_prm_1 - props: - - name: aggregates - value: ac-04.10_odp.01 - - name: aggregates - value: ac-04.10_odp.02 - label: organization-defined security or privacy policy filters - - id: ac-4.10_prm_2 - props: - - name: aggregates - value: ac-04.10_odp.03 - - name: aggregates - value: ac-04.10_odp.04 - label: organization-defined conditions - - id: ac-04.10_odp.01 - props: - - name: label - value: AC-04(10)_ODP[01] - label: security filters - guidelines: - - prose: security policy filters that privileged administrators - have the capability to enable and disable are defined; - - id: ac-04.10_odp.02 - props: - - name: label - value: AC-04(10)_ODP[02] - label: privacy filters - guidelines: - - prose: privacy policy filters that privileged administrators - have the capability to enable and disable are defined; - - id: ac-04.10_odp.03 - props: - - name: label - value: AC-04(10)_ODP[03] - label: conditions - guidelines: - - prose: conditions under which privileged administrators have - the capability to enable and disable security policy filters - are defined; - - id: ac-04.10_odp.04 - props: - - name: label - value: AC-04(10)_ODP[04] - label: conditions - guidelines: - - prose: conditions under which privileged administrators have - the capability to enable and disable privacy policy filters - are defined; - props: - - name: label - value: AC-04(10) - - name: sort-id - value: ac-04.10 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.10_smt - name: statement - prose: "Provide the capability for privileged administrators to\ - \ enable and disable {{ insert: param, ac-4.10_prm_1 }} under\ - \ the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - - id: ac-4.10_gdn - name: guidance - prose: For example, as allowed by the system authorization, administrators - can enable security or privacy policy filters to accommodate approved - data types. Administrators also have the capability to select - the filters that are executed on a specific data flow based on - the type of data that is being transferred, the source and destination - security domains, and other security or privacy relevant features, - as needed. - - name: objective - props: - - name: label - value: AC-04(10) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(10)[01] - class: sp800-53A - prose: "capability is provided for privileged administrators\ - \ to enable and disable {{ insert: param, ac-04.10_odp.01\ - \ }} under {{ insert: param, ac-04.10_odp.03 }};" - - name: objective - props: - - name: label - value: AC-04(10)[02] - class: sp800-53A - prose: "capability is provided for privileged administrators\ - \ to enable and disable {{ insert: param, ac-04.10_odp.02\ - \ }} under {{ insert: param, ac-04.10_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow information policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security policy filters enabled/disabled by privileged - administrators - - - list of privacy policy filters enabled/disabled by privileged - administrators - - - list of approved data types for enabling/disabling by privileged - administrators - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - enabling/disabling security and privacy policy filters - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement policy - - - security and privacy policy filters - - id: ac-4.11 - class: SP800-53-enhancement - title: Configuration of Security or Privacy Policy Filters - params: - - id: ac-4.11_prm_1 - props: - - name: aggregates - value: ac-04.11_odp.01 - - name: aggregates - value: ac-04.11_odp.02 - label: organization-defined security or privacy policy filters - - id: ac-04.11_odp.01 - props: - - name: label - value: AC-04(11)_ODP[01] - label: security policy filters - guidelines: - - prose: security policy filters that privileged administrators - have the capability to configure to support different security - and privacy policies are defined; - - id: ac-04.11_odp.02 - props: - - name: label - value: AC-04(11)_ODP[02] - label: privacy policy filters - guidelines: - - prose: privacy policy filters that privileged administrators - have the capability to configure to support different security - and privacy policies are defined; - props: - - name: label - value: AC-04(11) - - name: sort-id - value: ac-04.11 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.11_smt - name: statement - prose: "Provide the capability for privileged administrators to\ - \ configure {{ insert: param, ac-4.11_prm_1 }} to support different\ - \ security or privacy policies." - - id: ac-4.11_gdn - name: guidance - prose: Documentation contains detailed information for configuring - security or privacy policy filters. For example, administrators - can configure security or privacy policy filters to include the - list of inappropriate words that security or privacy policy mechanisms - check in accordance with the definitions provided by organizations. - - name: objective - props: - - name: label - value: AC-04(11) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(11)[01] - class: sp800-53A - prose: "capability is provided for privileged administrators\ - \ to configure {{ insert: param, ac-04.11_odp.01 }} to support\ - \ different security or privacy policies;" - - name: objective - props: - - name: label - value: AC-04(11)[02] - class: sp800-53A - prose: "capability is provided for privileged administrators\ - \ to configure {{ insert: param, ac-04.11_odp.02 }} to support\ - \ different security or privacy policies." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security policy filters - - - list of privacy policy filters - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - configuring security and privacy policy filters - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(11)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement policy - - - security and privacy policy filters - - id: ac-4.12 - class: SP800-53-enhancement - title: Data Type Identifiers - params: - - id: ac-04.12_odp - props: - - name: legacy-identifier - value: ac-4.12_prm_1 - - name: label - value: AC-04(12)_ODP - label: data type identifiers - guidelines: - - prose: data type identifiers to be used to validate data essential - for information flow decisions are defined; - props: - - name: label - value: AC-04(12) - - name: sort-id - value: ac-04.12 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.12_smt - name: statement - prose: "When transferring information between different security\ - \ domains, use {{ insert: param, ac-04.12_odp }} to validate data\ - \ essential for information flow decisions." - - id: ac-4.12_gdn - name: guidance - prose: Data type identifiers include filenames, file types, file - signatures or tokens, and multiple internal file signatures or - tokens. Systems only allow transfer of data that is compliant - with data type format specifications. Identification and validation - of data types is based on defined specifications associated with - each allowed data format. The filename and number alone are not - used for data type identification. Content is validated syntactically - and semantically against its specification to ensure that it is - the proper data type. - - name: objective - props: - - name: label - value: AC-04(12) - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, {{ insert: param, ac-04.12_odp }} are used to validate\ - \ data essential for information flow decisions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of data type identifiers - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.13 - class: SP800-53-enhancement - title: Decomposition into Policy-relevant Subcomponents - params: - - id: ac-04.13_odp - props: - - name: legacy-identifier - value: ac-4.13_prm_1 - - name: label - value: AC-04(13)_ODP - label: policy-relevant subcomponents - guidelines: - - prose: policy-relevant subcomponents into which to decompose - information for submission to policy enforcement mechanisms - are defined; - props: - - name: label - value: AC-04(13) - - name: sort-id - value: ac-04.13 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.13_smt - name: statement - prose: "When transferring information between different security\ - \ domains, decompose information into {{ insert: param, ac-04.13_odp\ - \ }} for submission to policy enforcement mechanisms." - - id: ac-4.13_gdn - name: guidance - prose: Decomposing information into policy-relevant subcomponents - prior to information transfer facilitates policy decisions on - source, destination, certificates, classification, attachments, - and other security- or privacy-related component differentiators. - Policy enforcement mechanisms apply filtering, inspection, and/or - sanitization rules to the policy-relevant subcomponents of information - to facilitate flow enforcement prior to transferring such information - to different security domains. - - name: objective - props: - - name: label - value: AC-04(13) - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, information is decomposed into {{ insert: param, ac-04.13_odp\ - \ }} for submission to policy enforcement mechanisms." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.14 - class: SP800-53-enhancement - title: Security or Privacy Policy Filter Constraints - params: - - id: ac-4.14_prm_1 - props: - - name: aggregates - value: ac-04.14_odp.01 - - name: aggregates - value: ac-04.14_odp.02 - label: organization-defined security or privacy policy filters - - id: ac-04.14_odp.01 - props: - - name: label - value: AC-04(14)_ODP[01] - label: security policy filters - guidelines: - - prose: security policy filters to be implemented that require - fully enumerated formats restricting data structure and content - have been defined; - - id: ac-04.14_odp.02 - props: - - name: label - value: AC-04(14)_ODP[02] - label: privacy policy filters - guidelines: - - prose: privacy policy filters to be implemented that require - fully enumerated formats restricting data structure and content - are defined; - props: - - name: label - value: AC-04(14) - - name: sort-id - value: ac-04.14 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.14_smt - name: statement - prose: "When transferring information between different security\ - \ domains, implement {{ insert: param, ac-4.14_prm_1 }} requiring\ - \ fully enumerated formats that restrict data structure and content." - - id: ac-4.14_gdn - name: guidance - prose: Data structure and content restrictions reduce the range - of potential malicious or unsanctioned content in cross-domain - transactions. Security or privacy policy filters that restrict - data structures include restricting file sizes and field lengths. - Data content policy filters include encoding formats for character - sets, restricting character data fields to only contain alpha-numeric - characters, prohibiting special characters, and validating schema - structures. - - name: objective - props: - - name: label - value: AC-04(14) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(14)[01] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, implemented {{ insert: param, ac-04.14_odp.01 }}\ - \ require fully enumerated formats that restrict data structure\ - \ and content;" - - name: objective - props: - - name: label - value: AC-04(14)[02] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, implemented {{ insert: param, ac-04.14_odp.02 }}\ - \ require fully enumerated formats that restrict data structure\ - \ and content." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security and privacy policy filters - - - list of data structure policy filters - - - list of data content policy filters - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement policy - - - security and privacy policy filters - - id: ac-4.15 - class: SP800-53-enhancement - title: Detection of Unsanctioned Information - params: - - id: ac-4.15_prm_2 - props: - - name: aggregates - value: ac-04.15_odp.02 - - name: aggregates - value: ac-04.15_odp.03 - label: organization-defined security or privacy policy - - id: ac-04.15_odp.01 - props: - - name: legacy-identifier - value: ac-4.15_prm_1 - - name: label - value: AC-04(15)_ODP[01] - label: unsanctioned information - guidelines: - - prose: unsanctioned information to be detected is defined; - - id: ac-04.15_odp.02 - props: - - name: label - value: AC-04(15)_ODP[02] - label: security policy - guidelines: - - prose: security policy that requires the transfer of unsanctioned - information between different security domains to be prohibited - is defined; - - id: ac-04.15_odp.03 - props: - - name: label - value: AC-04(15)_ODP[03] - label: privacy policy - guidelines: - - prose: privacy policy that requires the transfer of organization-defined - unsanctioned information between different security domains - to be prohibited is defined; - props: - - name: label - value: AC-04(15) - - name: sort-id - value: ac-04.15 - links: - - href: "#ac-4" - rel: required - - href: "#si-3" - rel: related - parts: - - id: ac-4.15_smt - name: statement - prose: "When transferring information between different security\ - \ domains, examine the information for the presence of {{ insert:\ - \ param, ac-04.15_odp.01 }} and prohibit the transfer of such\ - \ information in accordance with the {{ insert: param, ac-4.15_prm_2\ - \ }}." - - id: ac-4.15_gdn - name: guidance - prose: Unsanctioned information includes malicious code, information - that is inappropriate for release from the source network, or - executable code that could disrupt or harm the services or systems - on the destination network. - - name: objective - props: - - name: label - value: AC-04(15) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(15)[01] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, information is examined for the presence of {{\ - \ insert: param, ac-04.15_odp.01 }};" - - name: objective - props: - - name: label - value: AC-04(15)[02] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, transfer of {{ insert: param, ac-04.15_odp.01 }}\ - \ is prohibited in accordance with the {{ insert: param, ac-04.15_odp.02\ - \ }}." - - name: objective - props: - - name: label - value: AC-04(15)[03] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, transfer of {{ insert: param, ac-04.15_odp.01 }}\ - \ is prohibited in accordance with the {{ insert: param, ac-04.15_odp.03\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of unsanctioned information types and associated information - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - organizational personnel with privacy responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(15)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.16 - class: SP800-53-enhancement - title: Information Transfers on Interconnected Systems - props: - - name: label - value: AC-04(16) - - name: sort-id - value: ac-04.16 - - name: status - value: withdrawn - links: - - href: "#ac-4" - rel: incorporated-into - - id: ac-4.17 - class: SP800-53-enhancement - title: Domain Authentication - params: - - id: ac-04.17_odp - props: - - name: legacy-identifier - value: ac-4.17_prm_1 - - name: label - value: AC-04(17)_ODP - select: - how-many: one-or-more - choice: - - organization, system, application, service, individual - props: - - name: label - value: AC-04(17) - - name: sort-id - value: ac-04.17 - links: - - href: "#ac-4" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-9" - rel: related - parts: - - id: ac-4.17_smt - name: statement - prose: "Uniquely identify and authenticate source and destination\ - \ points by {{ insert: param, ac-04.17_odp }} for information\ - \ transfer." - - id: ac-4.17_gdn - name: guidance - prose: Attribution is a critical component of a security and privacy - concept of operations. The ability to identify source and destination - points for information flowing within systems allows the forensic - reconstruction of events and encourages policy compliance by attributing - policy violations to specific organizations or individuals. Successful - domain authentication requires that system labels distinguish - among systems, organizations, and individuals involved in preparing, - sending, receiving, or disseminating information. Attribution - also allows organizations to better maintain the lineage of personally - identifiable information processing as it flows through systems - and can facilitate consent tracking, as well as correction, deletion, - or access requests from individuals. - - name: objective - props: - - name: label - value: AC-04(17) - class: sp800-53A - prose: "source and destination points are uniquely identified and\ - \ authenticated by {{ insert: param, ac-04.17_odp }} for information\ - \ transfer." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - procedures addressing source and destination domain identification - and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system labels - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(17)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - policy - - id: ac-4.18 - class: SP800-53-enhancement - title: Security Attribute Binding - props: - - name: label - value: AC-04(18) - - name: sort-id - value: ac-04.18 - - name: status - value: withdrawn - links: - - href: "#ac-16" - rel: incorporated-into - - id: ac-4.19 - class: SP800-53-enhancement - title: Validation of Metadata - params: - - id: ac-4.19_prm_1 - props: - - name: aggregates - value: ac-04.19_odp.01 - - name: aggregates - value: ac-04.19_odp.02 - label: organization-defined security or privacy policy filters - - id: ac-04.19_odp.01 - props: - - name: label - value: AC-04(19)_ODP[01] - label: security filters - guidelines: - - prose: security policy filters to be implemented on metadata - are defined; - - id: ac-04.19_odp.02 - props: - - name: label - value: AC-04(19)_ODP[02] - label: privacy policy filters - guidelines: - - prose: privacy policy filters to be implemented on metadata - are defined; - props: - - name: label - value: AC-04(19) - - name: sort-id - value: ac-04.19 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.19_smt - name: statement - prose: "When transferring information between different security\ - \ domains, implement {{ insert: param, ac-4.19_prm_1 }} on metadata." - - id: ac-4.19_gdn - name: guidance - prose: All information (including metadata and the data to which - the metadata applies) is subject to filtering and inspection. - Some organizations distinguish between metadata and data payloads - (i.e., only the data to which the metadata is bound). Other organizations - do not make such distinctions and consider metadata and the data - to which the metadata applies to be part of the payload. - - name: objective - props: - - name: label - value: AC-04(19) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(19)[01] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, {{ insert: param, ac-04.19_odp.01 }} are implemented\ - \ on metadata;" - - name: objective - props: - - name: label - value: AC-04(19)[02] - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, {{ insert: param, ac-04.19_odp.02 }} are implemented\ - \ on metadata." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(19)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of security policy filtering criteria applied to metadata - and data payloads - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(19)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with privacy responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(19)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - security and policy filters - - id: ac-4.20 - class: SP800-53-enhancement - title: Approved Solutions - params: - - id: ac-04.20_odp.01 - props: - - name: legacy-identifier - value: ac-4.20_prm_1 - - name: label - value: AC-04(20)_ODP[01] - label: solutions in approved configurations - guidelines: - - prose: solutions in approved configurations to control the flow - of information across security domains are defined; - - id: ac-04.20_odp.02 - props: - - name: legacy-identifier - value: ac-4.20_prm_2 - - name: label - value: AC-04(20)_ODP[02] - label: information - guidelines: - - prose: information to be controlled when it flows across security - domains is defined; - props: - - name: label - value: AC-04(20) - - name: sort-id - value: ac-04.20 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.20_smt - name: statement - prose: "Employ {{ insert: param, ac-04.20_odp.01 }} to control the\ - \ flow of {{ insert: param, ac-04.20_odp.02 }} across security\ - \ domains." - - id: ac-4.20_gdn - name: guidance - prose: Organizations define approved solutions and configurations - in cross-domain policies and guidance in accordance with the types - of information flows across classification boundaries. The National - Security Agency (NSA) National Cross Domain Strategy and Management - Office provides a listing of approved cross-domain solutions. - Contact [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information. - - name: objective - props: - - name: label - value: AC-04(20) - class: sp800-53A - prose: "{{ insert: param, ac-04.20_odp.01 }} are employed to control\ - \ the flow of {{ insert: param, ac-04.20_odp.02 }} across security\ - \ domains." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(20)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of solutions in approved configurations - - - approved configuration baselines - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(20)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(20)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.21 - class: SP800-53-enhancement - title: Physical or Logical Separation of Information Flows - params: - - id: ac-4.21_prm_1 - props: - - name: aggregates - value: ac-04.21_odp.01 - - name: aggregates - value: ac-04.21_odp.02 - label: organization-defined mechanisms and/or techniques - - id: ac-04.21_odp.01 - props: - - name: label - value: AC-04(21)_ODP[01] - label: mechanisms and/or techniques - guidelines: - - prose: mechanisms and/or techniques used to logically separate - information flows are defined; - - id: ac-04.21_odp.02 - props: - - name: label - value: AC-04(21)_ODP[02] - label: mechanisms and/or techniques - guidelines: - - prose: mechanisms and/or techniques used to physically separate - information flows are defined; - - id: ac-04.21_odp.03 - props: - - name: legacy-identifier - value: ac-4.21_prm_2 - - name: label - value: AC-04(21)_ODP[03] - label: required separations - guidelines: - - prose: required separations by types of information are defined; - props: - - name: label - value: AC-04(21) - - name: sort-id - value: ac-04.21 - links: - - href: "#ac-4" - rel: required - - href: "#sc-32" - rel: related - parts: - - id: ac-4.21_smt - name: statement - prose: "Separate information flows logically or physically using\ - \ {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert:\ - \ param, ac-04.21_odp.03 }}." - - id: ac-4.21_gdn - name: guidance - prose: Enforcing the separation of information flows associated - with defined types of data can enhance protection by ensuring - that information is not commingled while in transit and by enabling - flow control by transmission paths that are not otherwise achievable. - Types of separable information include inbound and outbound communications - traffic, service requests and responses, and information of differing - security impact or classification levels. - - name: objective - props: - - name: label - value: AC-04(21) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(21)[01] - class: sp800-53A - prose: "information flows are separated logically using {{ insert:\ - \ param, ac-04.21_odp.01 }} to accomplish {{ insert: param,\ - \ ac-04.21_odp.03 }};" - - name: objective - props: - - name: label - value: AC-04(21)[02] - class: sp800-53A - prose: "information flows are separated physically using {{\ - \ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert:\ - \ param, ac-04.21_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(21)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - information flow control policies - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - list of required separation of information flows by information - types - - - list of mechanisms and/or techniques used to logically or - physically separate information flows - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(21)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(21)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.22 - class: SP800-53-enhancement - title: Access Only - props: - - name: label - value: AC-04(22) - - name: sort-id - value: ac-04.22 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.22_smt - name: statement - prose: Provide access from a single device to computing platforms, - applications, or data residing in multiple different security - domains, while preventing information flow between the different - security domains. - - id: ac-4.22_gdn - name: guidance - prose: The system provides a capability for users to access each - connected security domain without providing any mechanisms to - allow users to transfer data or information between the different - security domains. An example of an access-only solution is a terminal - that provides a user access to information with different security - classifications while assuredly keeping the information separate. - - name: objective - props: - - name: label - value: AC-04(22) - class: sp800-53A - prose: access is provided from a single device to computing platforms, - applications, or data that reside in multiple different security - domains while preventing information flow between the different - security domains. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(22)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(22)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(22)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.23 - class: SP800-53-enhancement - title: Modify Non-releasable Information - params: - - id: ac-04.23_odp - props: - - name: legacy-identifier - value: ac-4.23_prm_1 - - name: label - value: AC-04(23)_ODP - label: modification action - guidelines: - - prose: modification action implemented on non-releasable information - is defined; - props: - - name: label - value: AC-04(23) - - name: sort-id - value: ac-04.23 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.23_smt - name: statement - prose: "When transferring information between different security\ - \ domains, modify non-releasable information by implementing {{\ - \ insert: param, ac-04.23_odp }}." - - id: ac-4.23_gdn - name: guidance - prose: Modifying non-releasable information can help prevent a data - spill or attack when information is transferred across security - domains. Modification actions include masking, permutation, alteration, - removal, or redaction. - - name: objective - props: - - name: label - value: AC-04(23) - class: sp800-53A - prose: "when transferring information between security domains,\ - \ non-releasable information is modified by implementing {{ insert:\ - \ param, ac-04.23_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(23)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(23)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(23)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.24 - class: SP800-53-enhancement - title: Internal Normalized Format - props: - - name: label - value: AC-04(24) - - name: sort-id - value: ac-04.24 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.24_smt - name: statement - prose: When transferring information between different security - domains, parse incoming data into an internal normalized format - and regenerate the data to be consistent with its intended specification. - - id: ac-4.24_gdn - name: guidance - prose: Converting data into normalized forms is one of most of effective - mechanisms to stop malicious attacks and large classes of data - exfiltration. - - name: objective - props: - - name: label - value: AC-04(24) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(24)[01] - class: sp800-53A - prose: when transferring information between different security - domains, incoming data is parsed into an internal, normalized - format; - - name: objective - props: - - name: label - value: AC-04(24)[02] - class: sp800-53A - prose: when transferring information between different security - domains, the data is regenerated to be consistent with its - intended specification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(24)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(24)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(24)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.25 - class: SP800-53-enhancement - title: Data Sanitization - params: - - id: ac-04.25_odp.01 - props: - - name: legacy-identifier - value: ac-4.25_prm_1 - - name: label - value: AC-04(25)_ODP[01] - select: - how-many: one-or-more - choice: - - delivery of malicious content, command and control of malicious - code, malicious code augmentation, and steganography-encoded - data - - spillage of sensitive information - - id: ac-04.25_odp.02 - props: - - name: legacy-identifier - value: ac-4.25_prm_2 - - name: label - value: AC-04(25)_ODP[02] - label: policy - guidelines: - - prose: policy for sanitizing data is defined; - props: - - name: label - value: AC-04(25) - - name: sort-id - value: ac-04.25 - links: - - href: "#ac-4" - rel: required - - href: "#mp-6" - rel: related - parts: - - id: ac-4.25_smt - name: statement - prose: "When transferring information between different security\ - \ domains, sanitize data to minimize {{ insert: param, ac-04.25_odp.01\ - \ }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - - id: ac-4.25_gdn - name: guidance - prose: Data sanitization is the process of irreversibly removing - or destroying data stored on a memory device (e.g., hard drives, - flash memory/solid state drives, mobile devices, CDs, and DVDs) - or in hard copy form. - - name: objective - props: - - name: label - value: AC-04(25) - class: sp800-53A - prose: "when transferring information between different security\ - \ domains, data is sanitized to minimize {{ insert: param, ac-04.25_odp.01\ - \ }} in accordance with {{ insert: param, ac-04.25_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(25)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(25)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(25)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.26 - class: SP800-53-enhancement - title: Audit Filtering Actions - props: - - name: label - value: AC-04(26) - - name: sort-id - value: ac-04.26 - links: - - href: "#ac-4" - rel: required - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ac-4.26_smt - name: statement - prose: When transferring information between different security - domains, record and audit content filtering actions and results - for the information being filtered. - - id: ac-4.26_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross-domain solution and determines if the - information meets a predefined policy. Content filtering actions - and the results of filtering actions are recorded for individual - messages to ensure that the correct filter actions were applied. - Content filter reports are used to assist in troubleshooting actions - by, for example, determining why message content was modified - and/or why it failed the filtering process. Audit events are defined - in [AU-2](#au-2) . Audit records are generated in [AU-12](#au-12). - - name: objective - props: - - name: label - value: AC-04(26) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(26)[01] - class: sp800-53A - prose: when transferring information between different security - domains, content-filtering actions are recorded and audited; - - name: objective - props: - - name: label - value: AC-04(26)[02] - class: sp800-53A - prose: when transferring information between different security - domains, results for the information being filtered are recorded - and audited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(26)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(26)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(26)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - mechanisms implementing content filtering - - - mechanisms recording and auditing content filtering - - id: ac-4.27 - class: SP800-53-enhancement - title: Redundant/independent Filtering Mechanisms - props: - - name: label - value: AC-04(27) - - name: sort-id - value: ac-04.27 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.27_smt - name: statement - prose: When transferring information between different security - domains, implement content filtering solutions that provide redundant - and independent filtering mechanisms for each data type. - - id: ac-4.27_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross-domain solution and determines if the - information meets a predefined policy. Redundant and independent - content filtering eliminates a single point of failure filtering - system. Independence is defined as the implementation of a content - filter that uses a different code base and supporting libraries - (e.g., two JPEG filters using different vendors’ JPEG libraries) - and multiple, independent system processes. - - name: objective - props: - - name: label - value: AC-04(27) - class: sp800-53A - prose: when transferring information between security domains, implemented - content filtering solutions provide redundant and independent - filtering mechanisms for each data type. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(27)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(27)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(27)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.28 - class: SP800-53-enhancement - title: Linear Filter Pipelines - props: - - name: label - value: AC-04(28) - - name: sort-id - value: ac-04.28 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.28_smt - name: statement - prose: When transferring information between different security - domains, implement a linear content filter pipeline that is enforced - with discretionary and mandatory access controls. - - id: ac-4.28_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross-domain solution and determines if the - information meets a predefined policy. The use of linear content - filter pipelines ensures that filter processes are non-bypassable - and always invoked. In general, the use of parallel filtering - architectures for content filtering of a single data type introduces - bypass and non-invocation issues. - - name: objective - props: - - name: label - value: AC-04(28) - class: sp800-53A - prose: when transferring information between security domains, a - linear content filter pipeline is implemented that is enforced - with discretionary and mandatory access controls. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(28)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(28)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(28)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - mechanisms implementing linear content filters - - id: ac-4.29 - class: SP800-53-enhancement - title: Filter Orchestration Engines - params: - - id: ac-04.29_odp - props: - - name: legacy-identifier - value: ac-4.29_prm_1 - - name: label - value: AC-04(29)_ODP - label: policy - guidelines: - - prose: policy for content-filtering actions is defined; - props: - - name: label - value: AC-04(29) - - name: sort-id - value: ac-04.29 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.29_smt - name: statement - prose: "When transferring information between different security\ - \ domains, employ content filter orchestration engines to ensure\ - \ that:" - parts: - - id: ac-4.29_smt.a - name: item - props: - - name: label - value: (a) - prose: Content filtering mechanisms successfully complete execution - without errors; and - - id: ac-4.29_smt.b - name: item - props: - - name: label - value: (b) - prose: "Content filtering actions occur in the correct order\ - \ and comply with {{ insert: param, ac-04.29_odp }}." - - id: ac-4.29_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross-domain solution and determines if the - information meets a predefined security policy. An orchestration - engine coordinates the sequencing of activities (manual and automated) - in a content filtering process. Errors are defined as either anomalous - actions or unexpected termination of the content filter process. - This is not the same as a filter failing content due to non-compliance - with policy. Content filter reports are a commonly used mechanism - to ensure that expected filtering actions are completed successfully. - - name: objective - props: - - name: label - value: AC-04(29) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(29)(a) - class: sp800-53A - prose: when transferring information between security domains, - content filter orchestration engines are employed to ensure - that content-filtering mechanisms successfully complete execution - without errors; - - name: objective - props: - - name: label - value: AC-04(29)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(29)(b)[01] - class: sp800-53A - prose: when transferring information between security domains, - content filter orchestration engines are employed to ensure - that content-filtering actions occur in the correct order; - - name: objective - props: - - name: label - value: AC-04(29)(b)[02] - class: sp800-53A - prose: "when transferring information between security domains,\ - \ content filter orchestration engines are employed to\ - \ ensure that content-filtering actions comply with {{\ - \ insert: param, ac-04.29_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(29)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(29)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(29)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - mechanisms implementing content filter orchestration engines - - id: ac-4.30 - class: SP800-53-enhancement - title: Filter Mechanisms Using Multiple Processes - props: - - name: label - value: AC-04(30) - - name: sort-id - value: ac-04.30 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.30_smt - name: statement - prose: When transferring information between different security - domains, implement content filtering mechanisms using multiple - processes. - - id: ac-4.30_gdn - name: guidance - prose: The use of multiple processes to implement content filtering - mechanisms reduces the likelihood of a single point of failure. - - name: objective - props: - - name: label - value: AC-04(30) - class: sp800-53A - prose: when transferring information between security domains, content-filtering - mechanisms using multiple processes are implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(30)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(30)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(30)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - mechanisms implementing content filtering - - id: ac-4.31 - class: SP800-53-enhancement - title: Failed Content Transfer Prevention - props: - - name: label - value: AC-04(31) - - name: sort-id - value: ac-04.31 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.31_smt - name: statement - prose: When transferring information between different security - domains, prevent the transfer of failed content to the receiving - domain. - - id: ac-4.31_gdn - name: guidance - prose: Content that failed filtering checks can corrupt the system - if transferred to the receiving domain. - - name: objective - props: - - name: label - value: AC-04(31) - class: sp800-53A - prose: when transferring information between different security - domains, the transfer of failed content to the receiving domain - is prevented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(31)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(31)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(31)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing information flow enforcement - functions - - id: ac-4.32 - class: SP800-53-enhancement - title: Process Requirements for Information Transfer - props: - - name: label - value: AC-04(32) - - name: sort-id - value: ac-04.32 - links: - - href: "#ac-4" - rel: required - parts: - - id: ac-4.32_smt - name: statement - prose: "When transferring information between different security\ - \ domains, the process that transfers information between filter\ - \ pipelines:" - parts: - - id: ac-4.32_smt.a - name: item - props: - - name: label - value: (a) - prose: Does not filter message content; - - id: ac-4.32_smt.b - name: item - props: - - name: label - value: (b) - prose: Validates filtering metadata; - - id: ac-4.32_smt.c - name: item - props: - - name: label - value: (c) - prose: Ensures the content associated with the filtering metadata - has successfully completed filtering; and - - id: ac-4.32_smt.d - name: item - props: - - name: label - value: (d) - prose: Transfers the content to the destination filter pipeline. - - id: ac-4.32_gdn - name: guidance - prose: The processes transferring information between filter pipelines - have minimum complexity and functionality to provide assurance - that the processes operate correctly. - - name: objective - props: - - name: label - value: AC-04(32) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-04(32)(a) - class: sp800-53A - prose: when transferring information between different security - domains, the process that transfers information between filter - pipelines does not filter message content; - - name: objective - props: - - name: label - value: AC-04(32)(b) - class: sp800-53A - prose: when transferring information between different security - domains, the process that transfers information between filter - pipelines validates filtering metadata; - - name: objective - props: - - name: label - value: AC-04(32)(c) - class: sp800-53A - prose: when transferring information between different security - domains, the process that transfers information between filter - pipelines ensures that the content with the filtering metadata - has successfully completed filtering; - - name: objective - props: - - name: label - value: AC-04(32)(d) - class: sp800-53A - prose: when transferring information between different security - domains, the process that transfers information between filter - pipelines transfers the content to the destination filter - pipeline. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-04(32)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information flow enforcement policy - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-04(32)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information flow - enforcement responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-04(32)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing information flow - enforcement functions - - - mechanisms implementing content filtering - - id: ac-5 - class: SP800-53 - title: Separation of Duties - params: - - id: ac-05_odp - props: - - name: legacy-identifier - value: ac-5_prm_1 - - name: label - value: AC-05_ODP - label: duties of individuals - guidelines: - - prose: duties of individuals requiring separation are defined; - props: - - name: label - value: AC-05 - - name: sort-id - value: ac-05 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#au-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-9" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-12" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#ps-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - parts: - - id: ac-5_smt - name: statement - parts: - - id: ac-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document {{ insert: param, ac-05_odp }} ; and" - - id: ac-5_smt.b - name: item - props: - - name: label - value: b. - prose: Define system access authorizations to support separation - of duties. - - id: ac-5_gdn - name: guidance - prose: Separation of duties addresses the potential for abuse of authorized - privileges and helps to reduce the risk of malevolent activity without - collusion. Separation of duties includes dividing mission or business - functions and support functions among different individuals or roles, - conducting system support functions with different individuals, and - ensuring that security personnel who administer access control functions - do not also administer audit functions. Because separation of duty - violations can span systems and application domains, organizations - consider the entirety of systems and system components when developing - policy on separation of duties. Separation of duties is enforced through - the account management activities in [AC-2](#ac-2) , access control - mechanisms in [AC-3](#ac-3) , and identity management activities in - [IA-2](#ia-2), [IA-4](#ia-4) , and [IA-12](#ia-12). - - name: objective - props: - - name: label - value: AC-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-05a. - class: sp800-53A - prose: "{{ insert: param, ac-05_odp }} are identified and documented;" - - name: objective - props: - - name: label - value: AC-05b. - class: sp800-53A - prose: system access authorizations to support separation of duties - are defined. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing divisions of responsibility and separation - of duties - - - system configuration settings and associated documentation - - - list of divisions of responsibility and separation of duties - - - system access authorizations - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for defining - appropriate divisions of responsibility and separation of - duties - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-05-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing separation of duties policy - - id: ac-6 - class: SP800-53 - title: Least Privilege - props: - - name: label - value: AC-06 - - name: sort-id - value: ac-06 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-16" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-38" - rel: related - parts: - - id: ac-6_smt - name: statement - prose: Employ the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) that are - necessary to accomplish assigned organizational tasks. - - id: ac-6_gdn - name: guidance - prose: Organizations employ least privilege for specific duties and - systems. The principle of least privilege is also applied to system - processes, ensuring that the processes have access to systems and - operate at privilege levels no higher than necessary to accomplish - organizational missions or business functions. Organizations consider - the creation of additional processes, roles, and accounts as necessary - to achieve least privilege. Organizations apply least privilege to - the development, implementation, and operation of organizational systems. - - name: objective - props: - - name: label - value: AC-06 - class: sp800-53A - prose: the principle of least privilege is employed, allowing only authorized - accesses for users (or processes acting on behalf of users) that are - necessary to accomplish assigned organizational tasks. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing least privilege - - list of assigned access authorizations (user privileges) - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for defining - least privileges necessary to accomplish specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - controls: - - id: ac-6.1 - class: SP800-53-enhancement - title: Authorize Access to Security Functions - params: - - id: ac-6.1_prm_2 - props: - - name: aggregates - value: ac-06.01_odp.02 - - name: aggregates - value: ac-06.01_odp.03 - - name: aggregates - value: ac-06.01_odp.04 - label: organization-defined security functions (deployed in hardware, - software, and firmware) - - id: ac-06.01_odp.01 - props: - - name: legacy-identifier - value: ac-6.1_prm_1 - - name: label - value: AC-06(01)_ODP[01] - label: individuals and roles - guidelines: - - prose: individuals and roles with authorized access to security - functions and security-relevant information are defined; - - id: ac-06.01_odp.02 - props: - - name: label - value: AC-06(01)_ODP[02] - label: security functions (deployed in hardware) - guidelines: - - prose: security functions (deployed in hardware) for authorized - access are defined; - - id: ac-06.01_odp.03 - props: - - name: label - value: AC-06(01)_ODP[03] - label: security functions (deployed in software) - guidelines: - - prose: security functions (deployed in software) for authorized - access are defined; - - id: ac-06.01_odp.04 - props: - - name: label - value: AC-06(01)_ODP[04] - label: security functions (deployed in firmware) - guidelines: - - prose: security functions (deployed in firmware) for authorized - access are defined; - - id: ac-06.01_odp.05 - props: - - name: legacy-identifier - value: ac-6.1_prm_3 - - name: label - value: AC-06(01)_ODP[05] - label: security-relevant functions - guidelines: - - prose: security-relevant information for authorized access is - defined; - props: - - name: label - value: AC-06(01) - - name: sort-id - value: ac-06.01 - links: - - href: "#ac-6" - rel: required - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#pe-2" - rel: related - parts: - - id: ac-6.1_smt - name: statement - prose: "Authorize access for {{ insert: param, ac-06.01_odp.01 }}\ - \ to:" - parts: - - id: ac-6.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, ac-6.1_prm_2 }} ; and" - - id: ac-6.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-06.01_odp.05 }}." - - id: ac-6.1_gdn - name: guidance - prose: Security functions include establishing system accounts, - configuring access authorizations (i.e., permissions, privileges), - configuring settings for events to be audited, and establishing - intrusion detection parameters. Security-relevant information - includes filtering rules for routers or firewalls, configuration - parameters for security services, cryptographic key management - information, and access control lists. Authorized personnel include - security administrators, system administrators, system security - officers, system programmers, and other privileged users. - - name: objective - props: - - name: label - value: AC-06(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-06(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-06(01)(a)[01] - class: sp800-53A - prose: "access is authorized for {{ insert: param, ac-06.01_odp.01\ - \ }} to {{ insert: param, ac-06.01_odp.02 }};" - - name: objective - props: - - name: label - value: AC-06(01)(a)[02] - class: sp800-53A - prose: "access is authorized for {{ insert: param, ac-06.01_odp.01\ - \ }} to {{ insert: param, ac-06.01_odp.03 }};" - - name: objective - props: - - name: label - value: AC-06(01)(a)[03] - class: sp800-53A - prose: "access is authorized for {{ insert: param, ac-06.01_odp.01\ - \ }} to {{ insert: param, ac-06.01_odp.04 }};" - - name: objective - props: - - name: label - value: AC-06(01)(b) - class: sp800-53A - prose: "access is authorized for {{ insert: param, ac-06.01_odp.01\ - \ }} to {{ insert: param, ac-06.01_odp.05 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of security functions (deployed in hardware, software, - and firmware) and security-relevant information for which - access must be explicitly authorized - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - - id: ac-6.2 - class: SP800-53-enhancement - title: Non-privileged Access for Nonsecurity Functions - params: - - id: ac-06.02_odp - props: - - name: legacy-identifier - value: ac-6.2_prm_1 - - name: label - value: AC-06(02)_ODP - label: security functions or security-relevant information - guidelines: - - prose: security functions or security-relevant information, - the access to which requires users to use non-privileged accounts - to access non-security functions, are defined; - props: - - name: label - value: AC-06(02) - - name: sort-id - value: ac-06.02 - links: - - href: "#ac-6" - rel: required - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-6.2_smt - name: statement - prose: "Require that users of system accounts (or roles) with access\ - \ to {{ insert: param, ac-06.02_odp }} use non-privileged accounts\ - \ or roles, when accessing nonsecurity functions." - - id: ac-6.2_gdn - name: guidance - prose: Requiring the use of non-privileged accounts when accessing - nonsecurity functions limits exposure when operating from within - privileged accounts or roles. The inclusion of roles addresses - situations where organizations implement access control policies, - such as role-based access control, and where a change of role - provides the same degree of assurance in the change of access - authorizations for the user and the processes acting on behalf - of the user as would be provided by a change between a privileged - and non-privileged account. - - name: objective - props: - - name: label - value: AC-06(02) - class: sp800-53A - prose: "users of system accounts (or roles) with access to {{ insert:\ - \ param, ac-06.02_odp }} are required to use non-privileged accounts\ - \ or roles when accessing non-security functions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of system-generated security functions or security-relevant - information assigned to system accounts or roles - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - - id: ac-6.3 - class: SP800-53-enhancement - title: Network Access to Privileged Commands - params: - - id: ac-06.03_odp.01 - props: - - name: legacy-identifier - value: ac-6.3_prm_1 - - name: label - value: AC-06(03)_ODP[01] - label: privileged commands - guidelines: - - prose: privileged commands to which network access is to be - authorized only for compelling operational needs are defined; - - id: ac-06.03_odp.02 - props: - - name: legacy-identifier - value: ac-6.3_prm_2 - - name: label - value: AC-06(03)_ODP[02] - label: compelling operational needs - guidelines: - - prose: compelling operational needs necessitating network access - to privileged commands are defined; - props: - - name: label - value: AC-06(03) - - name: sort-id - value: ac-06.03 - links: - - href: "#ac-6" - rel: required - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - parts: - - id: ac-6.3_smt - name: statement - prose: "Authorize network access to {{ insert: param, ac-06.03_odp.01\ - \ }} only for {{ insert: param, ac-06.03_odp.02 }} and document\ - \ the rationale for such access in the security plan for the system." - - id: ac-6.3_gdn - name: guidance - prose: Network access is any access across a network connection - in lieu of local access (i.e., user being physically present at - the device). - - name: objective - props: - - name: label - value: AC-06(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-06(03)[01] - class: sp800-53A - prose: "network access to {{ insert: param, ac-06.03_odp.01\ - \ }} is authorized only for {{ insert: param, ac-06.03_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: AC-06(03)[02] - class: sp800-53A - prose: the rationale for authorizing network access to privileged - commands is documented in the security plan for the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - system configuration settings and associated documentation - - - system audit records - - - list of operational needs for authorizing network access to - privileged commands - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - - id: ac-6.4 - class: SP800-53-enhancement - title: Separate Processing Domains - props: - - name: label - value: AC-06(04) - - name: sort-id - value: ac-06.04 - links: - - href: "#ac-6" - rel: required - - href: "#ac-4" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: ac-6.4_smt - name: statement - prose: Provide separate processing domains to enable finer-grained - allocation of user privileges. - - id: ac-6.4_gdn - name: guidance - prose: Providing separate processing domains for finer-grained allocation - of user privileges includes using virtualization techniques to - permit additional user privileges within a virtual machine while - restricting privileges to other virtual machines or to the underlying - physical machine, implementing separate physical domains, and - employing hardware or software domain separation mechanisms. - - name: objective - props: - - name: label - value: AC-06(04) - class: sp800-53A - prose: separate processing domains are provided to enable finer-grain - allocation of user privileges. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - - id: ac-6.5 - class: SP800-53-enhancement - title: Privileged Accounts - params: - - id: ac-06.05_odp - props: - - name: legacy-identifier - value: ac-6.5_prm_1 - - name: label - value: AC-06(05)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to which privileged accounts on the - system are to be restricted is/are defined; - props: - - name: label - value: AC-06(05) - - name: sort-id - value: ac-06.05 - links: - - href: "#ac-6" - rel: required - - href: "#ia-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - parts: - - id: ac-6.5_smt - name: statement - prose: "Restrict privileged accounts on the system to {{ insert:\ - \ param, ac-06.05_odp }}." - - id: ac-6.5_gdn - name: guidance - prose: Privileged accounts, including super user accounts, are typically - described as system administrator for various types of commercial - off-the-shelf operating systems. Restricting privileged accounts - to specific personnel or roles prevents day-to-day users from - accessing privileged information or privileged functions. Organizations - may differentiate in the application of restricting privileged - accounts between allowed privileges for local accounts and for - domain accounts provided that they retain the ability to control - system configurations for key parameters and as otherwise necessary - to sufficiently mitigate risk. - - name: objective - props: - - name: label - value: AC-06(05) - class: sp800-53A - prose: "privileged accounts on the system are restricted to {{ insert:\ - \ param, ac-06.05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of system-generated privileged accounts - - - list of system administration personnel - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - - id: ac-6.6 - class: SP800-53-enhancement - title: Privileged Access by Non-organizational Users - props: - - name: label - value: AC-06(06) - - name: sort-id - value: ac-06.06 - links: - - href: "#ac-6" - rel: required - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ac-6.6_smt - name: statement - prose: Prohibit privileged access to the system by non-organizational - users. - - id: ac-6.6_gdn - name: guidance - prose: An organizational user is an employee or an individual considered - by the organization to have the equivalent status of an employee. - Organizational users include contractors, guest researchers, or - individuals detailed from other organizations. A non-organizational - user is a user who is not an organizational user. Policies and - procedures for granting equivalent status of employees to individuals - include a need-to-know, citizenship, and the relationship to the - organization. - - name: objective - props: - - name: label - value: AC-06(06) - class: sp800-53A - prose: privileged access to the system by non-organizational users - is prohibited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of system-generated privileged accounts - - - list of non-organizational users - - - system configuration settings and associated documentation - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting privileged access to - the system - - id: ac-6.7 - class: SP800-53-enhancement - title: Review of User Privileges - params: - - id: ac-06.07_odp.01 - props: - - name: legacy-identifier - value: ac-6.7_prm_1 - - name: label - value: AC-06(07)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to review the privileges assigned - to roles or classes of users is defined; - - id: ac-06.07_odp.02 - props: - - name: legacy-identifier - value: ac-6.7_prm_2 - - name: label - value: AC-06(07)_ODP[02] - label: roles and classes - guidelines: - - prose: roles or classes of users to which privileges are assigned - are defined; - props: - - name: label - value: AC-06(07) - - name: sort-id - value: ac-06.07 - links: - - href: "#ac-6" - rel: required - - href: "#ca-7" - rel: related - parts: - - id: ac-6.7_smt - name: statement - parts: - - id: ac-6.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Review {{ insert: param, ac-06.07_odp.01 }} the privileges\ - \ assigned to {{ insert: param, ac-06.07_odp.02 }} to validate\ - \ the need for such privileges; and" - - id: ac-6.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Reassign or remove privileges, if necessary, to correctly - reflect organizational mission and business needs. - - id: ac-6.7_gdn - name: guidance - prose: The need for certain assigned user privileges may change - over time to reflect changes in organizational mission and business - functions, environments of operation, technologies, or threats. - A periodic review of assigned user privileges is necessary to - determine if the rationale for assigning such privileges remains - valid. If the need cannot be revalidated, organizations take appropriate - corrective actions. - - name: objective - props: - - name: label - value: AC-06(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-06(07)(a) - class: sp800-53A - prose: "privileges assigned to {{ insert: param, ac-06.07_odp.02\ - \ }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to\ - \ validate the need for such privileges;" - - name: objective - props: - - name: label - value: AC-06(07)(b) - class: sp800-53A - prose: privileges are reassigned or removed, if necessary, to - correctly reflect organizational mission and business needs. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of system-generated roles or classes of users and assigned - privileges - - - system design documentation - - - system configuration settings and associated documentation - - - validation reviews of privileges assigned to roles or classes - or users - - - records of privilege removals or reassignments for roles or - classes of users - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - reviewing least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing review of user privileges - - id: ac-6.8 - class: SP800-53-enhancement - title: Privilege Levels for Code Execution - params: - - id: ac-06.08_odp - props: - - name: legacy-identifier - value: ac-6.8_prm_1 - - name: label - value: AC-06(08)_ODP - label: software - guidelines: - - prose: software to be prevented from executing at higher privilege - levels than users executing the software is defined; - props: - - name: label - value: AC-06(08) - - name: sort-id - value: ac-06.08 - links: - - href: "#ac-6" - rel: required - parts: - - id: ac-6.8_smt - name: statement - prose: "Prevent the following software from executing at higher\ - \ privilege levels than users executing the software: {{ insert:\ - \ param, ac-06.08_odp }}." - - id: ac-6.8_gdn - name: guidance - prose: In certain situations, software applications or programs - need to execute with elevated privileges to perform required functions. - However, depending on the software functionality and configuration, - if the privileges required for execution are at a higher level - than the privileges assigned to organizational users invoking - such applications or programs, those users may indirectly be provided - with greater privileges than assigned. - - name: objective - props: - - name: label - value: AC-06(08) - class: sp800-53A - prose: "{{ insert: param, ac-06.08_odp }} is prevented from executing\ - \ at higher privilege levels than users executing the software." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - list of software that should not execute at higher privilege - levels than users executing software - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - for software execution - - id: ac-6.9 - class: SP800-53-enhancement - title: Log Use of Privileged Functions - props: - - name: label - value: AC-06(09) - - name: sort-id - value: ac-06.09 - links: - - href: "#ac-6" - rel: required - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ac-6.9_smt - name: statement - prose: Log the execution of privileged functions. - - id: ac-6.9_gdn - name: guidance - prose: The misuse of privileged functions, either intentionally - or unintentionally by authorized users or by unauthorized external - entities that have compromised system accounts, is a serious and - ongoing concern and can have significant adverse impacts on organizations. - Logging and analyzing the use of privileged functions is one way - to detect such misuse and, in doing so, help mitigate the risk - from insider threats and the advanced persistent threat. - - name: objective - props: - - name: label - value: AC-06(09) - class: sp800-53A - prose: the execution of privileged functions is logged. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - system design documentation - - - system configuration settings and associated documentation - - - list of privileged functions to be audited - - - list of audited events - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - reviewing least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms auditing the execution of least - privilege functions - - id: ac-6.10 - class: SP800-53-enhancement - title: Prohibit Non-privileged Users from Executing Privileged Functions - props: - - name: label - value: AC-06(10) - - name: sort-id - value: ac-06.10 - links: - - href: "#ac-6" - rel: required - parts: - - id: ac-6.10_smt - name: statement - prose: Prevent non-privileged users from executing privileged functions. - - id: ac-6.10_gdn - name: guidance - prose: Privileged functions include disabling, circumventing, or - altering implemented security or privacy controls, establishing - system accounts, performing system integrity checks, and administering - cryptographic key management activities. Non-privileged users - are individuals who do not possess appropriate authorizations. - Privileged functions that require protection from non-privileged - users include circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms. Preventing - non-privileged users from executing privileged functions is enforced - by [AC-3](#ac-3). - - name: objective - props: - - name: label - value: AC-06(10) - class: sp800-53A - prose: non-privileged users are prevented from executing privileged - functions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-06(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing least privilege - - - system design documentation - - - system configuration settings and associated documentation - - - list of privileged functions and associated user account assignments - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-06(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining least privileges necessary to accomplish - specified tasks - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-06(10)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing least privilege functions - for non-privileged users - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - params: - - id: ac-07_odp.01 - props: - - name: legacy-identifier - value: ac-7_prm_1 - - name: label - value: AC-07_ODP[01] - label: number - guidelines: - - prose: the number of consecutive invalid logon attempts by a user - allowed during a time period is defined; - - id: ac-07_odp.02 - props: - - name: legacy-identifier - value: ac-7_prm_2 - - name: label - value: AC-07_ODP[02] - label: time period - guidelines: - - prose: the time period to which the number of consecutive invalid - logon attempts by a user is limited is defined; - - id: ac-07_odp.03 - props: - - name: legacy-identifier - value: ac-7_prm_3 - - name: label - value: AC-07_ODP[03] - select: - how-many: one-or-more - choice: - - "lock the account or node for an{{ insert: param, ac-07_odp.04\ - \ }} " - - lock the account or node until released by an administrator - - "delay next logon prompt per{{ insert: param, ac-07_odp.05 }} " - - notify system administrator - - "take other{{ insert: param, ac-07_odp.06 }} " - - id: ac-07_odp.04 - props: - - name: legacy-identifier - value: ac-7_prm_4 - - name: label - value: AC-07_ODP[04] - label: time period - guidelines: - - prose: time period for an account or node to be locked is defined - (if selected); - - id: ac-07_odp.05 - props: - - name: legacy-identifier - value: ac-7_prm_5 - - name: label - value: AC-07_ODP[05] - label: delay algorithm - guidelines: - - prose: delay algorithm for the next logon prompt is defined (if - selected); - - id: ac-07_odp.06 - props: - - name: legacy-identifier - value: ac-7_prm_6 - - name: label - value: AC-07_ODP[06] - label: action - guidelines: - - prose: other action to be taken when the maximum number of unsuccessful - attempts is exceeded is defined (if selected); - props: - - name: label - value: AC-07 - - name: sort-id - value: ac-07 - links: - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-9" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ac-7_smt - name: statement - parts: - - id: ac-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Enforce a limit of {{ insert: param, ac-07_odp.01 }} consecutive\ - \ invalid logon attempts by a user during a {{ insert: param,\ - \ ac-07_odp.02 }} ; and" - - id: ac-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Automatically {{ insert: param, ac-07_odp.03 }} when the\ - \ maximum number of unsuccessful attempts is exceeded." - - id: ac-7_gdn - name: guidance - prose: The need to limit unsuccessful logon attempts and take subsequent - action when the maximum number of attempts is exceeded applies regardless - of whether the logon occurs via a local or network connection. Due - to the potential for denial of service, automatic lockouts initiated - by systems are usually temporary and automatically release after a - predetermined, organization-defined time period. If a delay algorithm - is selected, organizations may employ different algorithms for different - components of the system based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at the - operating system and the application levels. Organization-defined - actions that may be taken when the number of allowed consecutive invalid - logon attempts is exceeded include prompting the user to answer a - secret question in addition to the username and password, invoking - a lockdown mode with limited user capabilities (instead of full lockout), - allowing users to only logon from specified Internet Protocol (IP) - addresses, requiring a CAPTCHA to prevent automated attacks, or applying - user profiles such as location, time of day, IP address, device, or - Media Access Control (MAC) address. If automatic system lockout or - execution of a delay algorithm is not implemented in support of the - availability objective, organizations consider a combination of other - actions to help prevent brute force attacks. In addition to the above, - organizations can prompt users to respond to a secret question before - the number of allowed unsuccessful logon attempts is exceeded. Automatically - unlocking an account after a specified period of time is generally - not permitted. However, exceptions may be required based on operational - mission or need. - - name: objective - props: - - name: label - value: AC-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-07a. - class: sp800-53A - prose: "a limit of {{ insert: param, ac-07_odp.01 }} consecutive\ - \ invalid logon attempts by a user during a {{ insert: param,\ - \ ac-07_odp.02 }} is enforced;" - - name: objective - props: - - name: label - value: AC-07b. - class: sp800-53A - prose: "automatically {{ insert: param, ac-07_odp.03 }} when the\ - \ maximum number of unsuccessful attempts is exceeded." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing unsuccessful logon attempts - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - system developers - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-07-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy for - unsuccessful logon attempts - controls: - - id: ac-7.1 - class: SP800-53-enhancement - title: Automatic Account Lock - props: - - name: label - value: AC-07(01) - - name: sort-id - value: ac-07.01 - - name: status - value: withdrawn - links: - - href: "#ac-7" - rel: incorporated-into - - id: ac-7.2 - class: SP800-53-enhancement - title: Purge or Wipe Mobile Device - params: - - id: ac-07.02_odp.01 - props: - - name: legacy-identifier - value: ac-7.2_prm_1 - - name: label - value: AC-07(02)_ODP[01] - label: mobile devices - guidelines: - - prose: mobile devices to be purged or wiped of information are - defined; - - id: ac-07.02_odp.02 - props: - - name: legacy-identifier - value: ac-7.2_prm_2 - - name: label - value: AC-07(02)_ODP[02] - label: purging or wiping requirements or techniques - guidelines: - - prose: purging or wiping requirements and techniques to be used - when mobile devices are purged or wiped of information are - defined; - - id: ac-07.02_odp.03 - props: - - name: legacy-identifier - value: ac-7.2_prm_3 - - name: label - value: AC-07(02)_ODP[03] - label: number - guidelines: - - prose: the number of consecutive, unsuccessful logon attempts - before the information is purged or wiped from mobile devices - is defined; - props: - - name: label - value: AC-07(02) - - name: sort-id - value: ac-07.02 - links: - - href: "#ac-7" - rel: required - - href: "#ac-19" - rel: related - - href: "#mp-5" - rel: related - - href: "#mp-6" - rel: related - parts: - - id: ac-7.2_smt - name: statement - prose: "Purge or wipe information from {{ insert: param, ac-07.02_odp.01\ - \ }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert:\ - \ param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon\ - \ attempts." - - id: ac-7.2_gdn - name: guidance - prose: A mobile device is a computing device that has a small form - factor such that it can be carried by a single individual; is - designed to operate without a physical connection; possesses local, - non-removable or removable data storage; and includes a self-contained - power source. Purging or wiping the device applies only to mobile - devices for which the organization-defined number of unsuccessful - logons occurs. The logon is to the mobile device, not to any one - account on the device. Successful logons to accounts on mobile - devices reset the unsuccessful logon count to zero. Purging or - wiping may be unnecessary if the information on the device is - protected with sufficiently strong encryption mechanisms. - - name: objective - props: - - name: label - value: AC-07(02) - class: sp800-53A - prose: "information is purged or wiped from {{ insert: param, ac-07.02_odp.01\ - \ }} based on {{ insert: param, ac-07.02_odp.02 }} after {{ insert:\ - \ param, ac-07.02_odp.03 }} consecutive, unsuccessful device logon\ - \ attempts." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing unsuccessful logon attempts on mobile - devices - - - system design documentation - - - system configuration settings and associated documentation - - - list of mobile devices to be purged/wiped after organization-defined - consecutive, unsuccessful device logon attempts - - - list of purging/wiping requirements or techniques for mobile - devices - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-07(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for unsuccessful device logon attempts - - id: ac-7.3 - class: SP800-53-enhancement - title: Biometric Attempt Limiting - params: - - id: ac-07.03_odp - props: - - name: legacy-identifier - value: ac-7.3_prm_1 - - name: label - value: AC-07(03)_ODP - label: number - guidelines: - - prose: the number of unsuccessful biometric logon attempts is - defined; - props: - - name: label - value: AC-07(03) - - name: sort-id - value: ac-07.03 - links: - - href: "#ac-7" - rel: required - - href: "#ia-3" - rel: related - parts: - - id: ac-7.3_smt - name: statement - prose: "Limit the number of unsuccessful biometric logon attempts\ - \ to {{ insert: param, ac-07.03_odp }}." - - id: ac-7.3_gdn - name: guidance - prose: Biometrics are probabilistic in nature. The ability to successfully - authenticate can be impacted by many factors, including matching - performance and presentation attack detection mechanisms. Organizations - select the appropriate number of attempts for users based on organizationally-defined - factors. - - name: objective - props: - - name: label - value: AC-07(03) - class: sp800-53A - prose: "unsuccessful biometric logon attempts are limited to {{\ - \ insert: param, ac-07.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing unsuccessful logon attempts on biometric - devices - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-07(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for unsuccessful logon attempts - - id: ac-7.4 - class: SP800-53-enhancement - title: Use of Alternate Authentication Factor - params: - - id: ac-07.04_odp.01 - props: - - name: legacy-identifier - value: ac-7.4_prm_1 - - name: label - value: AC-07(04)_ODP[01] - label: authentication factors - guidelines: - - prose: authentication factors allowed to be used that are different - from the primary authentication factors are defined; - - id: ac-07.04_odp.02 - props: - - name: legacy-identifier - value: ac-7.4_prm_2 - - name: label - value: AC-07(04)_ODP[02] - label: number - guidelines: - - prose: the number of consecutive, invalid logon attempts through - the use of alternative factors for which to enforce a limit - by a user is defined; - - id: ac-07.04_odp.03 - props: - - name: legacy-identifier - value: ac-7.4_prm_3 - - name: label - value: AC-07(04)_ODP[03] - label: time period - guidelines: - - prose: time period during which a user can attempt logons through - alternative factors is defined; - props: - - name: label - value: AC-07(04) - - name: sort-id - value: ac-07.04 - links: - - href: "#ac-7" - rel: required - - href: "#ia-3" - rel: related - parts: - - id: ac-7.4_smt - name: statement - parts: - - id: ac-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Allow the use of {{ insert: param, ac-07.04_odp.01 }}\ - \ that are different from the primary authentication factors\ - \ after the number of organization-defined consecutive invalid\ - \ logon attempts have been exceeded; and" - - id: ac-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce a limit of {{ insert: param, ac-07.04_odp.02\ - \ }} consecutive invalid logon attempts through use of the\ - \ alternative factors by a user during a {{ insert: param,\ - \ ac-07.04_odp.03 }}." - - id: ac-7.4_gdn - name: guidance - prose: The use of alternate authentication factors supports the - objective of availability and allows a user who has inadvertently - been locked out to use additional authentication factors to bypass - the lockout. - - name: objective - props: - - name: label - value: AC-07(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-07(04)(a) - class: sp800-53A - prose: "{{ insert: param, ac-07.04_odp.01 }} that are different\ - \ from the primary authentication factors are allowed to be\ - \ used after the number of organization-defined consecutive\ - \ invalid logon attempts have been exceeded;" - - name: objective - props: - - name: label - value: AC-07(04)(b) - class: sp800-53A - prose: "a limit of {{ insert: param, ac-07.04_odp.02 }} consecutive\ - \ invalid logon attempts through the use of the alternative\ - \ factors by the user during a {{ insert: param, ac-07.04_odp.03\ - \ }} is enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-07(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing unsuccessful logon attempts for primary - and alternate authentication factors - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-07(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-07(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for unsuccessful logon attempts - - id: ac-8 - class: SP800-53 - title: System Use Notification - params: - - id: ac-08_odp.01 - props: - - name: legacy-identifier - value: ac-8_prm_1 - - name: label - value: AC-08_ODP[01] - label: system use notification - guidelines: - - prose: system use notification message or banner to be displayed - by the system to users before granting access to the system is - defined; - - id: ac-08_odp.02 - props: - - name: legacy-identifier - value: ac-8_prm_2 - - name: label - value: AC-08_ODP[02] - label: conditions - guidelines: - - prose: conditions for system use to be displayed by the system before - granting further access are defined; - props: - - name: label - value: AC-08 - - name: sort-id - value: ac-08 - links: - - href: "#ac-14" - rel: related - - href: "#pl-4" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-8_smt - name: statement - parts: - - id: ac-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Display {{ insert: param, ac-08_odp.01 }} to users before\ - \ granting access to the system that provides privacy and security\ - \ notices consistent with applicable laws, executive orders, directives,\ - \ regulations, policies, standards, and guidelines and state that:" - parts: - - id: ac-8_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Users are accessing a U.S. Government system; - - id: ac-8_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: System usage may be monitored, recorded, and subject - to audit; - - id: ac-8_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Unauthorized use of the system is prohibited and subject - to criminal and civil penalties; and - - id: ac-8_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Use of the system indicates consent to monitoring and - recording; - - id: ac-8_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the notification message or banner on the screen until - users acknowledge the usage conditions and take explicit actions - to log on to or further access the system; and - - id: ac-8_smt.c - name: item - props: - - name: label - value: c. - prose: "For publicly accessible systems:" - parts: - - id: ac-8_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Display system use information {{ insert: param, ac-08_odp.02\ - \ }} , before granting further access to the publicly accessible\ - \ system;" - - id: ac-8_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: Display references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations - for such systems that generally prohibit those activities; - and - - id: ac-8_smt.c.3 - name: item - props: - - name: label - value: "03." - prose: Include a description of the authorized uses of the system. - - id: ac-8_gdn - name: guidance - prose: System use notifications can be implemented using messages or - warning banners displayed before individuals log in to systems. System - use notifications are used only for access via logon interfaces with - human users. Notifications are not required when human interfaces - do not exist. Based on an assessment of risk, organizations consider - whether or not a secondary system use notification is needed to access - applications or other system resources after the initial network logon. - Organizations consider system use notification messages or banners - displayed in multiple languages based on organizational needs and - the demographics of system users. Organizations consult with the privacy - office for input regarding privacy messaging and the Office of the - General Counsel or organizational equivalent for legal review and - approval of warning banner content. - - name: objective - props: - - name: label - value: AC-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-08a. - class: sp800-53A - prose: "{{ insert: param, ac-08_odp.01 }} is displayed to users\ - \ before granting access to the system that provides privacy and\ - \ security notices consistent with applicable laws, Executive\ - \ Orders, directives, regulations, policies, standards, and guidelines;" - parts: - - name: objective - props: - - name: label - value: AC-08a.01 - class: sp800-53A - prose: the system use notification states that users are accessing - a U.S. Government system; - - name: objective - props: - - name: label - value: AC-08a.02 - class: sp800-53A - prose: the system use notification states that system usage - may be monitored, recorded, and subject to audit; - - name: objective - props: - - name: label - value: AC-08a.03 - class: sp800-53A - prose: the system use notification states that unauthorized - use of the system is prohibited and subject to criminal and - civil penalties; and - - name: objective - props: - - name: label - value: AC-08a.04 - class: sp800-53A - prose: the system use notification states that use of the system - indicates consent to monitoring and recording; - - name: objective - props: - - name: label - value: AC-08b. - class: sp800-53A - prose: the notification message or banner is retained on the screen - until users acknowledge the usage conditions and take explicit - actions to log on to or further access the system; - - name: objective - props: - - name: label - value: AC-08c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-08c.01 - class: sp800-53A - prose: "for publicly accessible systems, system use information\ - \ {{ insert: param, ac-08_odp.02 }} is displayed before granting\ - \ further access to the publicly accessible system;" - - name: objective - props: - - name: label - value: AC-08c.02 - class: sp800-53A - prose: for publicly accessible systems, any references to monitoring, - recording, or auditing that are consistent with privacy accommodations - for such systems that generally prohibit those activities - are displayed; - - name: objective - props: - - name: label - value: AC-08c.03 - class: sp800-53A - prose: for publicly accessible systems, a description of the - authorized uses of the system is included. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - privacy and security policies, procedures addressing system use - notification - - - documented approval of system use notification messages or banners - - - system audit records - - - user acknowledgements of notification message or banner - - - system design documentation - - - system configuration settings and associated documentation - - - system use notification messages - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy assessment report - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - legal counsel - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing system use notification - - id: ac-9 - class: SP800-53 - title: Previous Logon Notification - props: - - name: label - value: AC-09 - - name: sort-id - value: ac-09 - links: - - href: "#ac-7" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-9_smt - name: statement - prose: Notify the user, upon successful logon to the system, of the - date and time of the last logon. - - id: ac-9_gdn - name: guidance - prose: Previous logon notification is applicable to system access via - human user interfaces and access to systems that occurs in other types - of architectures. Information about the last successful logon allows - the user to recognize if the date and time provided is not consistent - with the user’s last access. - - name: objective - props: - - name: label - value: AC-09 - class: sp800-53A - prose: the user is notified, upon successful logon to the system, of - the date and time of the last logon. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing previous logon notification - - system design documentation - - system configuration settings and associated documentation - - system notification messages - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-09-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy for - previous logon notification - controls: - - id: ac-9.1 - class: SP800-53-enhancement - title: Unsuccessful Logons - props: - - name: label - value: AC-09(01) - - name: sort-id - value: ac-09.01 - links: - - href: "#ac-9" - rel: required - parts: - - id: ac-9.1_smt - name: statement - prose: Notify the user, upon successful logon, of the number of - unsuccessful logon attempts since the last successful logon. - - id: ac-9.1_gdn - name: guidance - prose: Information about the number of unsuccessful logon attempts - since the last successful logon allows the user to recognize if - the number of unsuccessful logon attempts is consistent with the - user’s actual logon attempts. - - name: objective - props: - - name: label - value: AC-09(01) - class: sp800-53A - prose: the user is notified, upon successful logon, of the number - of unsuccessful logon attempts since the last successful logon. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing previous logon notification - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for previous logon notification - - id: ac-9.2 - class: SP800-53-enhancement - title: Successful and Unsuccessful Logons - params: - - id: ac-09.02_odp.01 - props: - - name: legacy-identifier - value: ac-9.2_prm_1 - - name: label - value: AC-09(02)_ODP[01] - select: - choice: - - successful logons - - unsuccessful logon attempts - - both - - id: ac-09.02_odp.02 - props: - - name: legacy-identifier - value: ac-9.2_prm_2 - - name: label - value: AC-09(02)_ODP[02] - label: time period - guidelines: - - prose: the time period for which the system notifies the user - of the number of successful logons, unsuccessful logon attempts, - or both is defined; - props: - - name: label - value: AC-09(02) - - name: sort-id - value: ac-09.02 - links: - - href: "#ac-9" - rel: required - parts: - - id: ac-9.2_smt - name: statement - prose: "Notify the user, upon successful logon, of the number of\ - \ {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param,\ - \ ac-09.02_odp.02 }}." - - id: ac-9.2_gdn - name: guidance - prose: Information about the number of successful and unsuccessful - logon attempts within a specified time period allows the user - to recognize if the number and type of logon attempts are consistent - with the user’s actual logon attempts. - - name: objective - props: - - name: label - value: AC-09(02) - class: sp800-53A - prose: "the user is notified, upon successful logon, of the number\ - \ of {{ insert: param, ac-09.02_odp.01 }} during {{ insert: param,\ - \ ac-09.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing previous logon notification - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-09(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for previous logon notification - - id: ac-9.3 - class: SP800-53-enhancement - title: Notification of Account Changes - params: - - id: ac-09.03_odp.01 - props: - - name: legacy-identifier - value: ac-9.3_prm_1 - - name: label - value: AC-09(03)_ODP[01] - label: security-related characteristics or parameters - guidelines: - - prose: changes to security-related characteristics or parameters - of the user’s account that require notification are defined; - - id: ac-09.03_odp.02 - props: - - name: legacy-identifier - value: ac-9.3_prm_2 - - name: label - value: AC-09(03)_ODP[02] - label: time period - guidelines: - - prose: the time period for which the system notifies the user - of changes to security-related characteristics or parameters - of the user’s account is defined; - props: - - name: label - value: AC-09(03) - - name: sort-id - value: ac-09.03 - links: - - href: "#ac-9" - rel: required - parts: - - id: ac-9.3_smt - name: statement - prose: "Notify the user, upon successful logon, of changes to {{\ - \ insert: param, ac-09.03_odp.01 }} during {{ insert: param, ac-09.03_odp.02\ - \ }}." - - id: ac-9.3_gdn - name: guidance - prose: Information about changes to security-related account characteristics - within a specified time period allows users to recognize if changes - were made without their knowledge. - - name: objective - props: - - name: label - value: AC-09(03) - class: sp800-53A - prose: "the user is notified, upon successful logon, of changes\ - \ to {{ insert: param, ac-09.03_odp.01 }} during {{ insert: param,\ - \ ac-09.03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-09(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing previous logon notification - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-09(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-09(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for previous logon notification - - id: ac-9.4 - class: SP800-53-enhancement - title: Additional Logon Information - params: - - id: ac-09.04_odp - props: - - name: legacy-identifier - value: ac-9.4_prm_1 - - name: label - value: AC-09(04)_ODP - label: additional information - guidelines: - - prose: additional information about which to notify the user - is defined; - props: - - name: label - value: AC-09(04) - - name: sort-id - value: ac-09.04 - links: - - href: "#ac-9" - rel: required - parts: - - id: ac-9.4_smt - name: statement - prose: "Notify the user, upon successful logon, of the following\ - \ additional information: {{ insert: param, ac-09.04_odp }}." - - id: ac-9.4_gdn - name: guidance - prose: Organizations can specify additional information to be provided - to users upon logon, including the location of the last logon. - User location is defined as information that can be determined - by systems, such as Internet Protocol (IP) addresses from which - network logons occurred, notifications of local logons, or device - identifiers. - - name: objective - props: - - name: label - value: AC-09(04) - class: sp800-53A - prose: "the user is notified, upon successful logon, of {{ insert:\ - \ param, ac-09.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-09(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing previous logon notification - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-09(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-09(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy - for previous logon notification - - id: ac-10 - class: SP800-53 - title: Concurrent Session Control - params: - - id: ac-10_odp.01 - props: - - name: legacy-identifier - value: ac-10_prm_1 - - name: label - value: AC-10_ODP[01] - label: account and/or account types - guidelines: - - prose: accounts and/or account types for which to limit the number - of concurrent sessions is defined; - - id: ac-10_odp.02 - props: - - name: legacy-identifier - value: ac-10_prm_2 - - name: label - value: AC-10_ODP[02] - label: number - guidelines: - - prose: the number of concurrent sessions to be allowed for each - account and/or account type is defined; - props: - - name: label - value: AC-10 - - name: sort-id - value: ac-10 - links: - - href: "#sc-23" - rel: related - parts: - - id: ac-10_smt - name: statement - prose: "Limit the number of concurrent sessions for each {{ insert:\ - \ param, ac-10_odp.01 }} to {{ insert: param, ac-10_odp.02 }}." - - id: ac-10_gdn - name: guidance - prose: Organizations may define the maximum number of concurrent sessions - for system accounts globally, by account type, by account, or any - combination thereof. For example, organizations may limit the number - of concurrent sessions for system administrators or other individuals - working in particularly sensitive domains or mission-critical applications. - Concurrent session control addresses concurrent sessions for system - accounts. It does not, however, address concurrent sessions by single - users via multiple system accounts. - - name: objective - props: - - name: label - value: AC-10 - class: sp800-53A - prose: "the number of concurrent sessions for each {{ insert: param,\ - \ ac-10_odp.01 }} is limited to {{ insert: param, ac-10_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing concurrent session control - - system design documentation - - system configuration settings and associated documentation - - security plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy for - concurrent session control - - id: ac-11 - class: SP800-53 - title: Device Lock - params: - - id: ac-11_odp.01 - props: - - name: legacy-identifier - value: ac-11_prm_1 - - name: label - value: AC-11_ODP[01] - select: - how-many: one-or-more - choice: - - "initiating a device lock after{{ insert: param, ac-11_odp.02\ - \ }}of inactivity" - - requiring the user to initiate a device lock before leaving the - system unattended - - id: ac-11_odp.02 - props: - - name: legacy-identifier - value: ac-11_prm_2 - - name: label - value: AC-11_ODP[02] - label: time period - guidelines: - - prose: time period of inactivity after which a device lock is initiated - is defined (if selected); - props: - - name: label - value: AC-11 - - name: sort-id - value: ac-11 - links: - - href: "#ac-2" - rel: related - - href: "#ac-7" - rel: related - - href: "#ia-11" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-11_smt - name: statement - parts: - - id: ac-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Prevent further access to the system by {{ insert: param,\ - \ ac-11_odp.01 }} ; and" - - id: ac-11_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the device lock until the user reestablishes access - using established identification and authentication procedures. - - id: ac-11_gdn - name: guidance - prose: Device locks are temporary actions taken to prevent logical access - to organizational systems when users stop work and move away from - the immediate vicinity of those systems but do not want to log out - because of the temporary nature of their absences. Device locks can - be implemented at the operating system level or at the application - level. A proximity lock may be used to initiate the device lock (e.g., - via a Bluetooth-enabled device or dongle). User-initiated device locking - is behavior or policy-based and, as such, requires users to take physical - action to initiate the device lock. Device locks are not an acceptable - substitute for logging out of systems, such as when organizations - require users to log out at the end of workdays. - - name: objective - props: - - name: label - value: AC-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-11a. - class: sp800-53A - prose: "further access to the system is prevented by {{ insert:\ - \ param, ac-11_odp.01 }};" - - name: objective - props: - - name: label - value: AC-11b. - class: sp800-53A - prose: device lock is retained until the user re-establishes access - using established identification and authentication procedures. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-11-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing session lock - - procedures addressing identification and authentication - - system design documentation - - system configuration settings and associated documentation - - security plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-11-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access control policy for - session lock - controls: - - id: ac-11.1 - class: SP800-53-enhancement - title: Pattern-hiding Displays - props: - - name: label - value: AC-11(01) - - name: sort-id - value: ac-11.01 - links: - - href: "#ac-11" - rel: required - parts: - - id: ac-11.1_smt - name: statement - prose: "**Conceal, via the device lock, information previously visible\ - \ on the display with a publicly viewable image**." - - id: ac-11.1_gdn - name: guidance - prose: The pattern-hiding display can include static or dynamic - images, such as patterns used with screen savers, photographic - images, solid colors, clock, battery life indicator, or a blank - screen with the caveat that controlled unclassified information - is not displayed. - - name: objective - props: - - name: label - value: AC-11(01) - class: sp800-53A - prose: information previously visible on the display is concealed, - via device lock, with a publicly viewable image. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing session lock - - - display screen with session lock activated - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: System session lock mechanisms - - id: ac-12 - class: SP800-53 - title: Session Termination - params: - - id: ac-12_odp - props: - - name: legacy-identifier - value: ac-12_prm_1 - - name: label - value: AC-12_ODP - label: conditions or trigger events - guidelines: - - prose: conditions or trigger events requiring session disconnect - are defined; - props: - - name: label - value: AC-12 - - name: sort-id - value: ac-12 - links: - - href: "#ma-4" - rel: related - - href: "#sc-10" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: ac-12_smt - name: statement - prose: "Automatically terminate a user session after {{ insert: param,\ - \ ac-12_odp }}." - - id: ac-12_gdn - name: guidance - prose: Session termination addresses the termination of user-initiated - logical sessions (in contrast to [SC-10](#sc-10) , which addresses - the termination of network connections associated with communications - sessions (i.e., network disconnect)). A logical session (for local, - network, and remote access) is initiated whenever a user (or process - acting on behalf of a user) accesses an organizational system. Such - user sessions can be terminated without terminating network sessions. - Session termination ends all processes associated with a user’s logical - session except for those processes that are specifically created by - the user (i.e., session owner) to continue after the session is terminated. - Conditions or trigger events that require automatic termination of - the session include organization-defined periods of user inactivity, - targeted responses to certain types of incidents, or time-of-day restrictions - on system use. - - name: objective - props: - - name: label - value: AC-12 - class: sp800-53A - prose: "a user session is automatically terminated after {{ insert:\ - \ param, ac-12_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-12-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing session termination - - - system design documentation - - - system configuration settings and associated documentation - - - list of conditions or trigger events requiring session disconnect - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing user session termination - controls: - - id: ac-12.1 - class: SP800-53-enhancement - title: User-initiated Logouts - params: - - id: ac-12.01_odp - props: - - name: legacy-identifier - value: ac-12.1_prm_1 - - name: label - value: AC-12(01)_ODP - label: information resources - guidelines: - - prose: information resources for which a logout capability for - user-initiated communications sessions is required are defined; - props: - - name: label - value: AC-12(01) - - name: sort-id - value: ac-12.01 - links: - - href: "#ac-12" - rel: required - parts: - - id: ac-12.1_smt - name: statement - prose: "Provide a logout capability for user-initiated communications\ - \ sessions whenever authentication is used to gain access to {{\ - \ insert: param, ac-12.01_odp }}." - - id: ac-12.1_gdn - name: guidance - prose: Information resources to which users gain access via authentication - include local workstations, databases, and password-protected - websites or web-based services. - - name: objective - props: - - name: label - value: AC-12(01) - class: sp800-53A - prose: "a logout capability is provided for user-initiated communications\ - \ sessions whenever authentication is used to gain access to {{\ - \ insert: param, ac-12.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing session termination - - - user logout messages - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - System session termination mechanisms - - - logout capabilities for user-initiated communications sessions - - id: ac-12.2 - class: SP800-53-enhancement - title: Termination Message - props: - - name: label - value: AC-12(02) - - name: sort-id - value: ac-12.02 - links: - - href: "#ac-12" - rel: required - parts: - - id: ac-12.2_smt - name: statement - prose: Display an explicit logout message to users indicating the - termination of authenticated communications sessions. - - id: ac-12.2_gdn - name: guidance - prose: Logout messages for web access can be displayed after authenticated - sessions have been terminated. However, for certain types of sessions, - including file transfer protocol (FTP) sessions, systems typically - send logout messages as final messages prior to terminating sessions. - - name: objective - props: - - name: label - value: AC-12(02) - class: sp800-53A - prose: an explicit logout message is displayed to users indicating - the termination of authenticated communication sessions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-12(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing session termination - - - user logout messages - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-12(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-12(02)-Test - class: sp800-53A - parts: - - name: objects - prose: |- - System session termination mechanisms - - display of logout messages - - id: ac-12.3 - class: SP800-53-enhancement - title: Timeout Warning Message - params: - - id: ac-12.03_odp - props: - - name: legacy-identifier - value: ac-12.3_prm_1 - - name: label - value: AC-12(03)_ODP - label: time - guidelines: - - prose: time until the end of session for display to users is - defined; - props: - - name: label - value: AC-12(03) - - name: sort-id - value: ac-12.03 - links: - - href: "#ac-12" - rel: required - parts: - - id: ac-12.3_smt - name: statement - prose: "Display an explicit message to users indicating that the\ - \ session will end in {{ insert: param, ac-12.03_odp }}." - - id: ac-12.3_gdn - name: guidance - prose: To increase usability, notify users of pending session termination - and prompt users to continue the session. The pending session - termination time period is based on the parameters defined in - the [AC-12](#ac-12) base control. - - name: objective - props: - - name: label - value: AC-12(03) - class: sp800-53A - prose: "an explicit message to users is displayed indicating that\ - \ the session will end in {{ insert: param, ac-12.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-12(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing session termination - - - time until end of session messages - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-12(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-12(03)-Test - class: sp800-53A - parts: - - name: objects - prose: |- - System session termination mechanisms - - display of end of session time - - id: ac-13 - class: SP800-53 - title: Supervision and Review — Access Control - props: - - name: label - value: AC-13 - - name: sort-id - value: ac-13 - - name: status - value: withdrawn - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#au-6" - rel: incorporated-into - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - params: - - id: ac-14_odp - props: - - name: legacy-identifier - value: ac-14_prm_1 - - name: label - value: AC-14_ODP - label: user actions - guidelines: - - prose: user actions that can be performed on the system without - identification or authentication are defined; - props: - - name: label - value: AC-14 - - name: sort-id - value: ac-14 - links: - - href: "#ac-8" - rel: related - - href: "#ia-2" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: ac-14_smt - name: statement - parts: - - id: ac-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify {{ insert: param, ac-14_odp }} that can be performed\ - \ on the system without identification or authentication consistent\ - \ with organizational mission and business functions; and" - - id: ac-14_smt.b - name: item - props: - - name: label - value: b. - prose: Document and provide supporting rationale in the security - plan for the system, user actions not requiring identification - or authentication. - - id: ac-14_gdn - name: guidance - prose: 'Specific user actions may be permitted without identification - or authentication if organizations determine that identification and - authentication are not required for the specified user actions. Organizations - may allow a limited number of user actions without identification - or authentication, including when individuals access public websites - or other publicly accessible federal systems, when individuals use - mobile phones to receive calls, or when facsimiles are received. Organizations - identify actions that normally require identification or authentication - but may, under certain circumstances, allow identification or authentication - mechanisms to be bypassed. Such bypasses may occur, for example, via - a software-readable physical switch that commands bypass of the logon - functionality and is protected from accidental or unmonitored use. - Permitting actions without identification or authentication does not - apply to situations where identification and authentication have already - occurred and are not repeated but rather to situations where identification - and authentication have not yet occurred. Organizations may decide - that there are no user actions that can be performed on organizational - systems without identification and authentication, and therefore, - the value for the assignment operation can be "none." ' - - name: objective - props: - - name: label - value: AC-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-14a. - class: sp800-53A - prose: "{{ insert: param, ac-14_odp }} that can be performed on\ - \ the system without identification or authentication consistent\ - \ with organizational mission and business functions are identified;" - - name: objective - props: - - name: label - value: AC-14b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-14b.[01] - class: sp800-53A - prose: user actions not requiring identification or authentication - are documented in the security plan for the system; - - name: objective - props: - - name: label - value: AC-14b.[02] - class: sp800-53A - prose: a rationale for user actions not requiring identification - or authentication is provided in the security plan for the - system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-14-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing permitted actions without identification - or authentication - - - system configuration settings and associated documentation - - - security plan - - - list of user actions that can be performed without identification - or authentication - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - controls: - - id: ac-14.1 - class: SP800-53-enhancement - title: Necessary Uses - props: - - name: label - value: AC-14(01) - - name: sort-id - value: ac-14.01 - - name: status - value: withdrawn - links: - - href: "#ac-14" - rel: incorporated-into - - id: ac-15 - class: SP800-53 - title: Automated Marking - props: - - name: label - value: AC-15 - - name: sort-id - value: ac-15 - - name: status - value: withdrawn - links: - - href: "#mp-3" - rel: incorporated-into - - id: ac-16 - class: SP800-53 - title: Security and Privacy Attributes - params: - - id: ac-16_prm_1 - props: - - name: aggregates - value: ac-16_odp.01 - - name: aggregates - value: ac-16_odp.02 - label: organization-defined types of security and privacy attributes - - id: ac-16_prm_2 - props: - - name: aggregates - value: ac-16_odp.03 - - name: aggregates - value: ac-16_odp.04 - label: organization-defined security and privacy attribute values - - id: ac-16_prm_3 - props: - - name: aggregates - value: ac-16_odp.05 - - name: aggregates - value: ac-16_odp.06 - label: organization-defined systems - - id: ac-16_prm_4 - props: - - name: aggregates - value: ac-16_odp.07 - - name: aggregates - value: ac-16_odp.08 - label: organization-defined security and privacy attributes - - id: ac-16_prm_6 - props: - - name: aggregates - value: ac-16_odp.07 - - name: aggregates - value: ac-16_odp.08 - label: organization-defined security and privacy attributes - - id: ac-16_prm_7 - props: - - name: aggregates - value: ac-16_odp.10 - - name: aggregates - value: ac-16_odp.11 - label: organization-defined frequency - - id: ac-16_odp.01 - props: - - name: label - value: AC-16_ODP[01] - label: types of security attributes - guidelines: - - prose: types of security attributes to be associated with information - security attribute values for information in storage, in process, - and/or in transmission are defined; - - id: ac-16_odp.02 - props: - - name: label - value: AC-16_ODP[02] - label: types of privacy attributes - guidelines: - - prose: types of privacy attributes to be associated with privacy - attribute values for information in storage, in process, and/or - in transmission are defined; - - id: ac-16_odp.03 - props: - - name: label - value: AC-16_ODP[03] - label: security attribute values - guidelines: - - prose: security attribute values for types of security attributes - are defined; - - id: ac-16_odp.04 - props: - - name: label - value: AC-16_ODP[04] - label: privacy attribute values - guidelines: - - prose: privacy attribute values for types of privacy attributes - are defined; - - id: ac-16_odp.05 - props: - - name: label - value: AC-16_ODP[05] - label: systems - guidelines: - - prose: systems for which permitted security attributes are to be - established are defined; - - id: ac-16_odp.06 - props: - - name: label - value: AC-16_ODP[06] - label: systems - guidelines: - - prose: systems for which permitted privacy attributes are to be - established are defined; - - id: ac-16_odp.07 - props: - - name: label - value: AC-16_ODP[07] - label: security attributes - guidelines: - - prose: security attributes defined as part of AC-16a that are permitted - for systems are defined; - - id: ac-16_odp.08 - props: - - name: label - value: AC-16_ODP[08] - label: privacy attributes - guidelines: - - prose: privacy attributes defined as part of AC-16a that are permitted - for systems are defined; - - id: ac-16_odp.09 - props: - - name: legacy-identifier - value: ac-16_prm_5 - - name: label - value: AC-16_ODP[09] - label: attribute values or ranges - guidelines: - - prose: attribute values or ranges for established attributes are - defined; - - id: ac-16_odp.10 - props: - - name: label - value: AC-16_ODP[10] - label: frequency - guidelines: - - prose: the frequency at which to review security attributes for - applicability is defined; - - id: ac-16_odp.11 - props: - - name: label - value: AC-16_ODP[11] - label: frequency - guidelines: - - prose: the frequency at which to review privacy attributes for applicability - is defined; - props: - - name: label - value: AC-16 - - name: sort-id - value: ac-16 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#2956e175-f674-43f4-b1b9-e074ad9fc39c" - rel: reference - - href: "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-21" - rel: related - - href: "#ac-25" - rel: related - - href: "#au-2" - rel: related - - href: "#au-10" - rel: related - - href: "#mp-3" - rel: related - - href: "#pe-22" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-4" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-16" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: ac-16_smt - name: statement - parts: - - id: ac-16_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide the means to associate {{ insert: param, ac-16_prm_1\ - \ }} with {{ insert: param, ac-16_prm_2 }} for information in\ - \ storage, in process, and/or in transmission;" - - id: ac-16_smt.b - name: item - props: - - name: label - value: b. - prose: Ensure that the attribute associations are made and retained - with the information; - - id: ac-16_smt.c - name: item - props: - - name: label - value: c. - prose: "Establish the following permitted security and privacy attributes\ - \ from the attributes defined in [AC-16a](#ac-16_smt.a) for {{\ - \ insert: param, ac-16_prm_3 }}: {{ insert: param, ac-16_prm_4\ - \ }};" - - id: ac-16_smt.d - name: item - props: - - name: label - value: d. - prose: "Determine the following permitted attribute values or ranges\ - \ for each of the established attributes: {{ insert: param, ac-16_odp.09\ - \ }};" - - id: ac-16_smt.e - name: item - props: - - name: label - value: e. - prose: Audit changes to attributes; and - - id: ac-16_smt.f - name: item - props: - - name: label - value: f. - prose: "Review {{ insert: param, ac-16_prm_6 }} for applicability\ - \ {{ insert: param, ac-16_prm_7 }}." - - id: ac-16_gdn - name: guidance - prose: >- - Information is represented internally within systems using - abstractions known as data structures. Internal data structures - can represent different types of entities, both active and - passive. Active entities, also known as subjects, are typically - associated with individuals, devices, or processes acting on - behalf of individuals. Passive entities, also known as objects, - are typically associated with data structures, such as records, - buffers, tables, files, inter-process pipes, and communications - ports. Security attributes, a form of metadata, are abstractions - that represent the basic properties or characteristics of active - and passive entities with respect to safeguarding information. - Privacy attributes, which may be used independently or in - conjunction with security attributes, represent the basic - properties or characteristics of active or passive entities with - respect to the management of personally identifiable - information. Attributes can be either explicitly or implicitly - associated with the information contained in organizational - systems or system components. - - - Attributes may be associated with active entities (i.e., subjects) - that have the potential to send or receive information, cause information - to flow among objects, or change the system state. These attributes - may also be associated with passive entities (i.e., objects) that - contain or receive information. The association of attributes to subjects - and objects by a system is referred to as binding and is inclusive - of setting the attribute value and the attribute type. Attributes, - when bound to data or information, permit the enforcement of security - and privacy policies for access control and information flow control, - including data retention limits, permitted uses of personally identifiable - information, and identification of personal information within data - objects. Such enforcement occurs through organizational processes - or system functions or mechanisms. The binding techniques implemented - by systems affect the strength of attribute binding to information. - Binding strength and the assurance associated with binding techniques - play important parts in the trust that organizations have in the information - flow enforcement process. The binding techniques affect the number - and degree of additional reviews required by organizations. The content - or assigned values of attributes can directly affect the ability of - individuals to access organizational information. - - - Organizations can define the types of attributes needed for systems - to support missions or business functions. There are many values that - can be assigned to a security attribute. By specifying the permitted - attribute ranges and values, organizations ensure that attribute values - are meaningful and relevant. Labeling refers to the association of - attributes with the subjects and objects represented by the internal - data structures within systems. This facilitates system-based enforcement - of information security and privacy policies. Labels include classification - of information in accordance with legal and compliance requirements - (e.g., top secret, secret, confidential, controlled unclassified), - information impact level; high value asset information, access authorizations, - nationality; data life cycle protection (i.e., encryption and data - expiration), personally identifiable information processing permissions, - including individual consent to personally identifiable information - processing, and contractor affiliation. A related term to labeling - is marking. Marking refers to the association of attributes with objects - in a human-readable form and displayed on system media. Marking enables - manual, procedural, or process-based enforcement of information security - and privacy policies. Security and privacy labels may have the same - value as media markings (e.g., top secret, secret, confidential). - See [MP-3](#mp-3) (Media Marking). - - name: objective - props: - - name: label - value: AC-16 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16a.[01] - class: sp800-53A - prose: "the means to associate {{ insert: param, ac-16_odp.01\ - \ }} with {{ insert: param, ac-16_odp.03 }} for information\ - \ in storage, in process, and/or in transmission are provided;" - - name: objective - props: - - name: label - value: AC-16a.[02] - class: sp800-53A - prose: "the means to associate {{ insert: param, ac-16_odp.02\ - \ }} with {{ insert: param, ac-16_odp.04 }} for information\ - \ in storage, in process, and/or in transmission are provided;" - - name: objective - props: - - name: label - value: AC-16b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16b.[01] - class: sp800-53A - prose: attribute associations are made; - - name: objective - props: - - name: label - value: AC-16b.[02] - class: sp800-53A - prose: attribute associations are retained with the information; - - name: objective - props: - - name: label - value: AC-16c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16c.[01] - class: sp800-53A - prose: "the following permitted security attributes are established\ - \ from the attributes defined in AC-16a. for {{ insert: param,\ - \ ac-16_odp.05 }}: {{ insert: param, ac-16_odp.07 }};" - - name: objective - props: - - name: label - value: AC-16c.[02] - class: sp800-53A - prose: "the following permitted privacy attributes are established\ - \ from the attributes defined in AC-16a. for {{ insert: param,\ - \ ac-16_odp.06 }}: {{ insert: param, ac-16_odp.08 }};" - - name: objective - props: - - name: label - value: AC-16d. - class: sp800-53A - prose: "the following permitted attribute values or ranges for each\ - \ of the established attributes are determined: {{ insert: param,\ - \ ac-16_odp.09 }};" - - name: objective - props: - - name: label - value: AC-16e. - class: sp800-53A - prose: changes to attributes are audited; - - name: objective - props: - - name: label - value: AC-16f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16f.[01] - class: sp800-53A - prose: "{{ insert: param, ac-16_odp.07 }} are reviewed for applicability\ - \ {{ insert: param, ac-16_odp.10 }};" - - name: objective - props: - - name: label - value: AC-16f.[02] - class: sp800-53A - prose: "{{ insert: param, ac-16_odp.08 }} are reviewed for applicability\ - \ {{ insert: param, ac-16_odp.11 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the association of security and privacy - attributes to information in storage, in process, and in transmission - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational capability supporting and maintaining the - association of security and privacy attributes to information - in storage, in process, and in transmission - controls: - - id: ac-16.1 - class: SP800-53-enhancement - title: Dynamic Attribute Association - params: - - id: ac-16.1_prm_1 - props: - - name: aggregates - value: ac-16.01_odp.01 - label: organization-defined subjects and objects - - id: ac-16.1_prm_2 - props: - - name: aggregates - value: ac-16.01_odp.05 - label: organization-defined security and privacy policies - - id: ac-16.01_odp.01 - props: - - name: label - value: AC-16(01)_ODP[01] - label: subjects - guidelines: - - prose: subjects with which security attributes are to be dynamically - associated as information is created and combined are defined; - - id: ac-16.01_odp.02 - props: - - name: label - value: AC-16(01)_ODP[02] - label: objects - guidelines: - - prose: objects with which security attributes are to be dynamically - associated as information is created and combined are defined; - - id: ac-16.01_odp.03 - props: - - name: label - value: AC-16(01)_ODP[03] - label: subjects - guidelines: - - prose: subjects with which privacy attributes are to be dynamically - associated as information is created and combined are defined; - - id: ac-16.01_odp.04 - props: - - name: label - value: AC-16(01)_ODP[04] - label: objects - guidelines: - - prose: objects with which privacy attributes are to be dynamically - associated as information is created and combined are defined; - - id: ac-16.01_odp.05 - props: - - name: label - value: AC-16(01)_ODP[05] - label: security policies - guidelines: - - prose: security policies requiring dynamic association of security - attributes with subjects and objects are defined; - - id: ac-16.01_odp.06 - props: - - name: label - value: AC-16(01)_ODP[06] - label: privacy policies - guidelines: - - prose: privacy policies requiring dynamic association of privacy - attributes with subjects and objects are defined; - props: - - name: label - value: AC-16(01) - - name: sort-id - value: ac-16.01 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.1_smt - name: statement - prose: "Dynamically associate security and privacy attributes with\ - \ {{ insert: param, ac-16.1_prm_1 }} in accordance with the following\ - \ security and privacy policies as information is created and\ - \ combined: {{ insert: param, ac-16.1_prm_2 }}." - - id: ac-16.1_gdn - name: guidance - prose: Dynamic association of attributes is appropriate whenever - the security or privacy characteristics of information change - over time. Attributes may change due to information aggregation - issues (i.e., characteristics of individual data elements are - different from the combined elements), changes in individual access - authorizations (i.e., privileges), changes in the security category - of information, or changes in security or privacy policies. Attributes - may also change situationally. - - name: objective - props: - - name: label - value: AC-16(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(01)[01] - class: sp800-53A - prose: "security attributes are dynamically associated with\ - \ {{ insert: param, ac-16.01_odp.01 }} in accordance with\ - \ the following security policies as information is created\ - \ and combined: {{ insert: param, ac-16.01_odp.05 }};" - - name: objective - props: - - name: label - value: AC-16(01)[02] - class: sp800-53A - prose: "security attributes are dynamically associated with\ - \ {{ insert: param, ac-16.01_odp.02 }} in accordance with\ - \ the following security policies as information is created\ - \ and combined: {{ insert: param, ac-16.01_odp.05 }};" - - name: objective - props: - - name: label - value: AC-16(01)[03] - class: sp800-53A - prose: "privacy attributes are dynamically associated with {{\ - \ insert: param, ac-16.01_odp.03 }} in accordance with the\ - \ following privacy policies as information is created and\ - \ combined: {{ insert: param, ac-16.01_odp.06 }};" - - name: objective - props: - - name: label - value: AC-16(01)[04] - class: sp800-53A - prose: "privacy attributes are dynamically associated with {{\ - \ insert: param, ac-16.01_odp.04 }} in accordance with the\ - \ following privacy policies as information is created and\ - \ combined: {{ insert: param, ac-16.01_odp.06 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing dynamic association of security and - privacy attributes to information - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing dynamic association - of security and privacy attributes to information - - id: ac-16.2 - class: SP800-53-enhancement - title: Attribute Value Changes by Authorized Individuals - props: - - name: label - value: AC-16(02) - - name: sort-id - value: ac-16.02 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.2_smt - name: statement - prose: Provide authorized individuals (or processes acting on behalf - of individuals) the capability to define or change the value of - associated security and privacy attributes. - - id: ac-16.2_gdn - name: guidance - prose: The content or assigned values of attributes can directly - affect the ability of individuals to access organizational information. - Therefore, it is important for systems to be able to limit the - ability to create or modify attributes to authorized individuals. - - name: objective - props: - - name: label - value: AC-16(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(02)[01] - class: sp800-53A - prose: authorized individuals (or processes acting on behalf - of individuals) are provided with the capability to define - or change the value of associated security attributes; - - name: objective - props: - - name: label - value: AC-16(02)[02] - class: sp800-53A - prose: authorized individuals (or processes acting on behalf - of individuals) are provided with the capability to define - or change the value of associated privacy attributes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the change of security and privacy attribute - values - - - system design documentation - - - system configuration settings and associated documentation - - - list of individuals authorized to change security and privacy - attributes - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - changing values of security and privacy attributes - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms permitting changes to values of - security and privacy attributes - - id: ac-16.3 - class: SP800-53-enhancement - title: Maintenance of Attribute Associations by System - params: - - id: ac-16.3_prm_1 - props: - - name: aggregates - value: ac-16.03_odp.01 - label: organization-defined security and privacy attributes - - id: ac-16.3_prm_2 - props: - - name: aggregates - value: ac-16.03_odp.03 - label: organization-defined subjects and objects - - id: ac-16.03_odp.01 - props: - - name: label - value: AC-16(03)_ODP[01] - label: security attributes - guidelines: - - prose: security attributes that require association and integrity - maintenance are defined; - - id: ac-16.03_odp.02 - props: - - name: label - value: AC-16(03)_ODP[02] - label: privacy attributes - guidelines: - - prose: privacy attributes that require association and integrity - maintenance are defined; - - id: ac-16.03_odp.03 - props: - - name: label - value: AC-16(03)_ODP[03] - label: subjects - guidelines: - - prose: subjects requiring the association and integrity of security - attributes to such subjects to be maintained are defined; - - id: ac-16.03_odp.04 - props: - - name: label - value: AC-16(03)_ODP[04] - label: objects - guidelines: - - prose: objects requiring the association and integrity of security - attributes to such objects to be maintained are defined; - - id: ac-16.03_odp.05 - props: - - name: label - value: AC-16(03)_ODP[05] - label: subjects - guidelines: - - prose: subjects requiring the association and integrity of privacy - attributes to such subjects to be maintained are defined; - - id: ac-16.03_odp.06 - props: - - name: label - value: AC-16(03)_ODP[06] - label: objects - guidelines: - - prose: objects requiring the association and integrity of privacy - attributes to such objects to be maintained are defined; - props: - - name: label - value: AC-16(03) - - name: sort-id - value: ac-16.03 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.3_smt - name: statement - prose: "Maintain the association and integrity of {{ insert: param,\ - \ ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - - id: ac-16.3_gdn - name: guidance - prose: Maintaining the association and integrity of security and - privacy attributes to subjects and objects with sufficient assurance - helps to ensure that the attribute associations can be used as - the basis of automated policy actions. The integrity of specific - items, such as security configuration files, may be maintained - through the use of an integrity monitoring mechanism that detects - anomalies and changes that deviate from "known good" baselines. - Automated policy actions include retention date expirations, access - control decisions, information flow control decisions, and information - disclosure decisions. - - name: objective - props: - - name: label - value: AC-16(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(03)[01] - class: sp800-53A - prose: "the association and integrity of {{ insert: param, ac-16.03_odp.01\ - \ }} to {{ insert: param, ac-16.03_odp.03 }} is maintained;" - - name: objective - props: - - name: label - value: AC-16(03)[02] - class: sp800-53A - prose: "the association and integrity of {{ insert: param, ac-16.03_odp.01\ - \ }} to {{ insert: param, ac-16.03_odp.04 }} is maintained." - - name: objective - props: - - name: label - value: AC-16(03)[03] - class: sp800-53A - prose: "the association and integrity of {{ insert: param, ac-16.03_odp.02\ - \ }} to {{ insert: param, ac-16.03_odp.05 }} is maintained;" - - name: objective - props: - - name: label - value: AC-16(03)[04] - class: sp800-53A - prose: "the association and integrity of {{ insert: param, ac-16.03_odp.02\ - \ }} to {{ insert: param, ac-16.03_odp.06 }} is maintained." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the association of security and privacy - attributes to information - - - procedures addressing labeling or marking - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms maintaining association and integrity - of security and privacy attributes to information - - id: ac-16.4 - class: SP800-53-enhancement - title: Association of Attributes by Authorized Individuals - params: - - id: ac-16.4_prm_1 - props: - - name: aggregates - value: ac-16.04_odp.01 - - name: aggregates - value: ac-16.04_odp.02 - - name: aggregates - value: ac-16.04_odp.03 - - name: aggregates - value: ac-16.04_odp.04 - label: organization-defined security and privacy attributes - - id: ac-16.4_prm_2 - props: - - name: aggregates - value: ac-16.04_odp.05 - - name: aggregates - value: ac-16.04_odp.06 - - name: aggregates - value: ac-16.04_odp.07 - - name: aggregates - value: ac-16.04_odp.08 - label: organization-defined subjects and objects - - id: ac-16.04_odp.01 - props: - - name: label - value: AC-16(04)_ODP[01] - label: security attributes - guidelines: - - prose: security attributes to be associated with subjects by - authorized individuals (or processes acting on behalf of individuals) - are defined; - - id: ac-16.04_odp.02 - props: - - name: label - value: AC-16(04)_ODP[02] - label: security attributes - guidelines: - - prose: security attributes to be associated with objects by - authorized individuals (or processes acting on behalf of individuals) - are defined; - - id: ac-16.04_odp.03 - props: - - name: label - value: AC-16(04)_ODP[03] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with subjects by - authorized individuals (or processes acting on behalf of individuals) - are defined; - - id: ac-16.04_odp.04 - props: - - name: label - value: AC-16(04)_ODP[04] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with objects by authorized - individuals (or processes acting on behalf of individuals) - are defined; - - id: ac-16.04_odp.05 - props: - - name: label - value: AC-16(04)_ODP[05] - label: subjects - guidelines: - - prose: subjects requiring the association of security attributes - by authorized individuals (or processes acting on behalf of - individuals) are defined; - - id: ac-16.04_odp.06 - props: - - name: label - value: AC-16(04)_ODP[06] - label: objects - guidelines: - - prose: objects requiring the association of security attributes - by authorized individuals (or processes acting on behalf of - individuals) are defined; - - id: ac-16.04_odp.07 - props: - - name: label - value: AC-16(04)_ODP[07] - label: subjects - guidelines: - - prose: subjects requiring the association of privacy attributes - by authorized individuals (or processes acting on behalf of - individuals) are defined; - - id: ac-16.04_odp.08 - props: - - name: label - value: AC-16(04)_ODP[08] - label: objects - guidelines: - - prose: objects requiring the association of privacy attributes - by authorized individuals (or processes acting on behalf of - individuals) are defined; - props: - - name: label - value: AC-16(04) - - name: sort-id - value: ac-16.04 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.4_smt - name: statement - prose: "Provide the capability to associate {{ insert: param, ac-16.4_prm_1\ - \ }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals\ - \ (or processes acting on behalf of individuals)." - - id: ac-16.4_gdn - name: guidance - prose: Systems, in general, provide the capability for privileged - users to assign security and privacy attributes to system-defined - subjects (e.g., users) and objects (e.g., directories, files, - and ports). Some systems provide additional capability for general - users to assign security and privacy attributes to additional - objects (e.g., files, emails). The association of attributes by - authorized individuals is described in the design documentation. - The support provided by systems can include prompting users to - select security and privacy attributes to be associated with information - objects, employing automated mechanisms to categorize information - with attributes based on defined policies, or ensuring that the - combination of the security or privacy attributes selected is - valid. Organizations consider the creation, deletion, or modification - of attributes when defining auditable events. - - name: objective - props: - - name: label - value: AC-16(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(04)[01] - class: sp800-53A - prose: "authorized individuals (or processes acting on behalf\ - \ of individuals) are provided with the capability to associate\ - \ {{ insert: param, ac-16.04_odp.01 }} with {{ insert: param,\ - \ ac-16.04_odp.05 }};" - - name: objective - props: - - name: label - value: AC-16(04)[02] - class: sp800-53A - prose: "authorized individuals (or processes acting on behalf\ - \ of individuals) are provided with the capability to associate\ - \ {{ insert: param, ac-16.04_odp.02 }} with {{ insert: param,\ - \ ac-16.04_odp.06 }};" - - name: objective - props: - - name: label - value: AC-16(04)[03] - class: sp800-53A - prose: "authorized individuals (or processes acting on behalf\ - \ of individuals) are provided with the capability to associate\ - \ {{ insert: param, ac-16.04_odp.03 }} with {{ insert: param,\ - \ ac-16.04_odp.07 }};" - - name: objective - props: - - name: label - value: AC-16(04)[04] - class: sp800-53A - prose: "authorized individuals (or processes acting on behalf\ - \ of individuals) are provided with the capability to associate\ - \ {{ insert: param, ac-16.04_odp.04 }} with {{ insert: param,\ - \ ac-16.04_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the association of security and privacy - attributes to information - - - system design documentation - - - system configuration settings and associated documentation - - - list of users authorized to associate security and privacy - attributes to information - - - system prompts for privileged users to select security and - privacy attributes to be associated with information objects - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - associating security and privacy attributes to - information - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting user associations of - security and privacy attributes to information - - id: ac-16.5 - class: SP800-53-enhancement - title: Attribute Displays on Objects to Be Output - params: - - id: ac-16.05_odp.01 - props: - - name: legacy-identifier - value: ac-16.5_prm_1 - - name: label - value: AC-16(05)_ODP[01] - label: special dissemination, handling, or distribution instructions - guidelines: - - prose: special dissemination, handling, or distribution instructions - to be used for each object that the system transmits to output - devices are defined; - - id: ac-16.05_odp.02 - props: - - name: legacy-identifier - value: ac-16.5_prm_2 - - name: label - value: AC-16(05)_ODP[02] - label: human-readable, standard naming conventions - guidelines: - - prose: human-readable, standard naming conventions for the security - and privacy attributes to be displayed in human-readable form - on each object that the system transmits to output devices - are defined; - props: - - name: label - value: AC-16(05) - - name: sort-id - value: ac-16.05 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.5_smt - name: statement - prose: "Display security and privacy attributes in human-readable\ - \ form on each object that the system transmits to output devices\ - \ to identify {{ insert: param, ac-16.05_odp.01 }} using {{ insert:\ - \ param, ac-16.05_odp.02 }}." - - id: ac-16.5_gdn - name: guidance - prose: System outputs include printed pages, screens, or equivalent - items. System output devices include printers, notebook computers, - video displays, smart phones, and tablets. To mitigate the risk - of unauthorized exposure of information (e.g., shoulder surfing), - the outputs display full attribute values when unmasked by the - subscriber. - - name: objective - props: - - name: label - value: AC-16(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(05)[01] - class: sp800-53A - prose: "security attributes are displayed in human-readable\ - \ form on each object that the system transmits to output\ - \ devices to identify {{ insert: param, ac-16.05_odp.01 }}\ - \ using {{ insert: param, ac-16.05_odp.02 }};" - - name: objective - props: - - name: label - value: AC-16(05)[02] - class: sp800-53A - prose: "privacy attributes are displayed in human-readable form\ - \ on each object that the system transmits to output devices\ - \ to identify {{ insert: param, ac-16.05_odp.01 }} using {{\ - \ insert: param, ac-16.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing display of security and privacy attributes - in human-readable form - - - special dissemination, handling, or distribution instructions - - - types of human-readable, standard naming conventions - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(05)-Test - class: sp800-53A - parts: - - name: objects - prose: System output devices displaying security and privacy - attributes in human-readable form on each object - - id: ac-16.6 - class: SP800-53-enhancement - title: Maintenance of Attribute Association - params: - - id: ac-16.6_prm_1 - props: - - name: aggregates - value: ac-16.06_odp.01 - - name: aggregates - value: ac-16.06_odp.02 - - name: aggregates - value: ac-16.06_odp.03 - - name: aggregates - value: ac-16.06_odp.04 - label: organization-defined security and privacy attributes - - id: ac-16.6_prm_2 - props: - - name: aggregates - value: ac-16.06_odp.05 - - name: aggregates - value: ac-16.06_odp.06 - - name: aggregates - value: ac-16.06_odp.07 - - name: aggregates - value: ac-16.06_odp.08 - label: organization-defined subjects and objects - - id: ac-16.6_prm_3 - props: - - name: aggregates - value: ac-16.06_odp.09 - - name: aggregates - value: ac-16.06_odp.10 - label: organization-defined security and privacy policies - - id: ac-16.06_odp.01 - props: - - name: label - value: AC-16(06)_ODP[01] - label: security attributes - guidelines: - - prose: security attributes to be associated with subjects are - defined; - - id: ac-16.06_odp.02 - props: - - name: label - value: AC-16(06)_ODP[02] - label: security attributes - guidelines: - - prose: security attributes to be associated with objects are - defined; - - id: ac-16.06_odp.03 - props: - - name: label - value: AC-16(06)_ODP[03] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with subjects are - defined; - - id: ac-16.06_odp.04 - props: - - name: label - value: AC-16(06)_ODP[04] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with objects are - defined; - - id: ac-16.06_odp.05 - props: - - name: label - value: AC-16(06)_ODP[05] - label: subjects - guidelines: - - prose: subjects to be associated with information security attributes - are defined; - - id: ac-16.06_odp.06 - props: - - name: label - value: AC-16(06)_ODP[06] - label: objects - guidelines: - - prose: objects to be associated with information security attributes - are defined; - - id: ac-16.06_odp.07 - props: - - name: label - value: AC-16(06)_ODP[07] - label: subjects - guidelines: - - prose: subjects to be associated with privacy attributes are - defined; - - id: ac-16.06_odp.08 - props: - - name: label - value: AC-16(06)_ODP[08] - label: objects - guidelines: - - prose: objects to be associated with privacy attributes are - defined; - - id: ac-16.06_odp.09 - props: - - name: label - value: AC-16(06)_ODP[09] - label: security policies - guidelines: - - prose: security policies that require personnel to associate - and maintain the association of security and privacy attributes - with subjects and objects; - - id: ac-16.06_odp.10 - props: - - name: label - value: AC-16(06)_ODP[10] - label: privacy policies - guidelines: - - prose: privacy policies that require personnel to associate - and maintain the association of security and privacy attributes - with subjects and objects; - props: - - name: label - value: AC-16(06) - - name: sort-id - value: ac-16.06 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.6_smt - name: statement - prose: "Require personnel to associate and maintain the association\ - \ of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param,\ - \ ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3\ - \ }}." - - id: ac-16.6_gdn - name: guidance - prose: Maintaining attribute association requires individual users - (as opposed to the system) to maintain associations of defined - security and privacy attributes with subjects and objects. - - name: objective - props: - - name: label - value: AC-16(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(06)[01] - class: sp800-53A - prose: "personnel are required to associate and maintain the\ - \ association of {{ insert: param, ac-16.06_odp.01 }} with\ - \ {{ insert: param, ac-16.06_odp.05 }} in accordance with\ - \ {{ insert: param, ac-16.06_odp.09 }};" - - name: objective - props: - - name: label - value: AC-16(06)[02] - class: sp800-53A - prose: "personnel are required to associate and maintain the\ - \ association of {{ insert: param, ac-16.06_odp.02 }} with\ - \ {{ insert: param, ac-16.06_odp.06 }} in accordance with\ - \ {{ insert: param, ac-16.06_odp.09 }};" - - name: objective - props: - - name: label - value: AC-16(06)[03] - class: sp800-53A - prose: "personnel are required to associate and maintain the\ - \ association of {{ insert: param, ac-16.06_odp.03 }} with\ - \ {{ insert: param, ac-16.06_odp.07 }} in accordance with\ - \ {{ insert: param, ac-16.06_odp.10 }};" - - name: objective - props: - - name: label - value: AC-16(06)[04] - class: sp800-53A - prose: "personnel are required to associate and maintain the\ - \ association of {{ insert: param, ac-16.06_odp.04 }} with\ - \ {{ insert: param, ac-16.06_odp.08 }} in accordance with\ - \ {{ insert: param, ac-16.06_odp.10 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing association of security and privacy - attributes with subjects and objects - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - associating and maintaining association of security and - privacy attributes with subjects and objects - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting associations of security - and privacy attributes to subjects and objects - - id: ac-16.7 - class: SP800-53-enhancement - title: Consistent Attribute Interpretation - props: - - name: label - value: AC-16(07) - - name: sort-id - value: ac-16.07 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.7_smt - name: statement - prose: Provide a consistent interpretation of security and privacy - attributes transmitted between distributed system components. - - id: ac-16.7_gdn - name: guidance - prose: To enforce security and privacy policies across multiple - system components in distributed systems, organizations provide - a consistent interpretation of security and privacy attributes - employed in access enforcement and flow enforcement decisions. - Organizations can establish agreements and processes to help ensure - that distributed system components implement attributes with consistent - interpretations in automated access enforcement and flow enforcement - actions. - - name: objective - props: - - name: label - value: AC-16(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(07)[01] - class: sp800-53A - prose: a consistent interpretation of security attributes transmitted - between distributed system components is provided; - - name: objective - props: - - name: label - value: AC-16(07)[02] - class: sp800-53A - prose: a consistent interpretation of privacy attributes transmitted - between distributed system components is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policies and procedures - - - procedures addressing consistent interpretation of security - and privacy attributes transmitted between distributed system - components - - - procedures addressing access enforcement - - - procedures addressing information flow enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy access control policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - providing consistent interpretation of security and - privacy attributes used in access enforcement and - information flow enforcement actions - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - and information flow enforcement functions - - id: ac-16.8 - class: SP800-53-enhancement - title: Association Techniques and Technologies - params: - - id: ac-16.8_prm_1 - props: - - name: aggregates - value: ac-16.08_odp.01 - - name: aggregates - value: ac-16.08_odp.02 - label: organization-defined techniques and technologies - - id: ac-16.08_odp.01 - props: - - name: label - value: AC-16(08)_ODP[01] - label: techniques and technologies - guidelines: - - prose: techniques and technologies to be implemented in associating - security attributes to information are defined; - - id: ac-16.08_odp.02 - props: - - name: label - value: AC-16(08)_ODP[02] - label: techniques and technologies - guidelines: - - prose: techniques and technologies to be implemented in associating - privacy attributes to information are defined; - props: - - name: label - value: AC-16(08) - - name: sort-id - value: ac-16.08 - links: - - href: "#ac-16" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-16.8_smt - name: statement - prose: "Implement {{ insert: param, ac-16.8_prm_1 }} in associating\ - \ security and privacy attributes to information." - - id: ac-16.8_gdn - name: guidance - prose: The association of security and privacy attributes to information - within systems is important for conducting automated access enforcement - and flow enforcement actions. The association of such attributes - to information (i.e., binding) can be accomplished with technologies - and techniques that provide different levels of assurance. For - example, systems can cryptographically bind attributes to information - using digital signatures that support cryptographic keys protected - by hardware devices (sometimes known as hardware roots of trust). - - name: objective - props: - - name: label - value: AC-16(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(08)[01] - class: sp800-53A - prose: "{{ insert: param, ac-16.08_odp.01 }} are implemented\ - \ in associating security attributes to information;" - - name: objective - props: - - name: label - value: AC-16(08)[02] - class: sp800-53A - prose: "{{ insert: param, ac-16.08_odp.02 }} are implemented\ - \ in associating privacy attributes to information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing association of security and privacy - attributes to information - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - associating security and privacy attributes to - information - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing techniques or technologies - associating security and privacy attributes to information - - id: ac-16.9 - class: SP800-53-enhancement - title: Attribute Reassignment — Regrading Mechanisms - params: - - id: ac-16.9_prm_1 - props: - - name: aggregates - value: ac-16.09_odp.01 - - name: aggregates - value: ac-16.09_odp.02 - label: organization-defined techniques or procedures - - id: ac-16.09_odp.01 - props: - - name: label - value: AC-16(09)_ODP[01] - label: techniques and procedures - guidelines: - - prose: techniques or procedures used to validate regrading mechanisms - for security attributes are defined; - - id: ac-16.09_odp.02 - props: - - name: label - value: AC-16(09)_ODP[02] - label: techniques and procedures - guidelines: - - prose: techniques or procedures used to validate regrading mechanisms - for privacy attributes are defined; - props: - - name: label - value: AC-16(09) - - name: sort-id - value: ac-16.09 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.9_smt - name: statement - prose: "Change security and privacy attributes associated with information\ - \ only via regrading mechanisms validated using {{ insert: param,\ - \ ac-16.9_prm_1 }}." - - id: ac-16.9_gdn - name: guidance - prose: A regrading mechanism is a trusted process authorized to - re-classify and re-label data in accordance with a defined policy - exception. Validated regrading mechanisms are used by organizations - to provide the requisite levels of assurance for attribute reassignment - activities. The validation is facilitated by ensuring that regrading - mechanisms are single purpose and of limited function. Since security - and privacy attribute changes can directly affect policy enforcement - actions, implementing trustworthy regrading mechanisms is necessary - to help ensure that such mechanisms perform in a consistent and - correct mode of operation. - - name: objective - props: - - name: label - value: AC-16(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(09)[01] - class: sp800-53A - prose: "security attributes associated with information are\ - \ changed only via regarding mechanisms validated using {{\ - \ insert: param, ac-16.09_odp.01 }};" - - name: objective - props: - - name: label - value: AC-16(09)[02] - class: sp800-53A - prose: "privacy attributes associated with information are changed\ - \ only via regarding mechanisms validated using {{ insert:\ - \ param, ac-16.09_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing reassignment of security attributes - to information - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - reassigning association of security and privacy - attributes to information - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing techniques or procedures - for reassigning association of security and privacy attributes - to information - - id: ac-16.10 - class: SP800-53-enhancement - title: Attribute Configuration by Authorized Individuals - props: - - name: label - value: AC-16(10) - - name: sort-id - value: ac-16.10 - links: - - href: "#ac-16" - rel: required - parts: - - id: ac-16.10_smt - name: statement - prose: Provide authorized individuals the capability to define or - change the type and value of security and privacy attributes available - for association with subjects and objects. - - id: ac-16.10_gdn - name: guidance - prose: The content or assigned values of security and privacy attributes - can directly affect the ability of individuals to access organizational - information. Thus, it is important for systems to be able to limit - the ability to create or modify the type and value of attributes - available for association with subjects and objects to authorized - individuals only. - - name: objective - props: - - name: label - value: AC-16(10) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-16(10)[01] - class: sp800-53A - prose: authorized individuals are provided with the capability - to define or change the type and value of security attributes - available for association with subjects and objects; - - name: objective - props: - - name: label - value: AC-16(10)[02] - class: sp800-53A - prose: authorized individuals are provided with the capability - to define or change the type and value of privacy attributes - available for association with subjects and objects. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-16(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing configuration of security and privacy - attributes by authorized individuals - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-16(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - defining or changing security and privacy attributes - associated with information - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-16(10)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability for defining - or changing security and privacy attributes - - id: ac-17 - class: SP800-53 - title: Remote Access - props: - - name: label - value: AC-17 - - name: sort-id - value: ac-17 - links: - - href: "#83b9d63b-66b1-467c-9f3b-3a0b108771e9" - rel: reference - - href: "#d4d7c760-2907-403b-8b2a-767ca5370ecd" - rel: reference - - href: "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4" - rel: reference - - href: "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99" - rel: reference - - href: "#d17ebd7a-ffab-499d-bfff-e705bbb01fa6" - rel: reference - - href: "#3915a084-b87b-4f02-83d4-c369e746292f" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-3" - rel: related - - href: "#cm-10" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-17" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-10" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-17_smt - name: statement - parts: - - id: ac-17_smt.a - name: item - props: - - name: label - value: a. - prose: Establish and document usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote - access allowed; and - - id: ac-17_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize each type of remote access to the system prior - to allowing such connections. - - id: ac-17_gdn - name: guidance - prose: Remote access is access to organizational systems (or processes - acting on behalf of users) that communicate through external networks - such as the Internet. Types of remote access include dial-up, broadband, - and wireless. Organizations use encrypted virtual private networks - (VPNs) to enhance confidentiality and integrity for remote connections. - The use of encrypted VPNs provides sufficient assurance to the organization - that it can effectively treat such connections as internal networks - if the cryptographic mechanisms used are implemented in accordance - with applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. Still, VPN connections traverse external - networks, and the encrypted VPN does not enhance the availability - of remote connections. VPNs with encrypted tunnels can also affect - the ability to adequately monitor network communications traffic for - malicious code. Remote access controls apply to systems other than - public web servers or systems designed for public access. Authorization - of each remote access type addresses authorization prior to allowing - remote access without specifying the specific formats for such authorization. - While organizations may use information exchange and system connection - security agreements to manage remote access connections to other systems, - such agreements are addressed as part of [CA-3](#ca-3) . Enforcing - access restrictions for remote access is addressed via [AC-3](#ac-3). - - name: objective - props: - - name: label - value: AC-17 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-17a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-17a.[01] - class: sp800-53A - prose: usage restrictions are established and documented for - each type of remote access allowed; - - name: objective - props: - - name: label - value: AC-17a.[02] - class: sp800-53A - prose: configuration/connection requirements are established - and documented for each type of remote access allowed; - - name: objective - props: - - name: label - value: AC-17a.[03] - class: sp800-53A - prose: implementation guidance is established and documented - for each type of remote access allowed; - - name: objective - props: - - name: label - value: AC-17b. - class: sp800-53A - prose: each type of remote access to the system is authorized prior - to allowing such connections. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing remote access implementation and usage (including - restrictions) - - - configuration management plan - - - system configuration settings and associated documentation - - - remote access authorizations - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for managing - remote access connections - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17-Test - class: sp800-53A - parts: - - name: objects - prose: Remote access management capability for the system - controls: - - id: ac-17.1 - class: SP800-53-enhancement - title: Monitoring and Control - props: - - name: label - value: AC-17(01) - - name: sort-id - value: ac-17.01 - links: - - href: "#ac-17" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - parts: - - id: ac-17.1_smt - name: statement - prose: Employ automated mechanisms to monitor and control remote - access methods. - - id: ac-17.1_gdn - name: guidance - prose: Monitoring and control of remote access methods allows organizations - to detect attacks and help ensure compliance with remote access - policies by auditing the connection activities of remote users - on a variety of system components, including servers, notebook - computers, workstations, smart phones, and tablets. Audit logging - for remote access is enforced by [AU-2](#au-2) . Audit events - are defined in [AU-2a](#au-2_smt.a). - - name: objective - props: - - name: label - value: AC-17(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-17(01)[01] - class: sp800-53A - prose: automated mechanisms are employed to monitor remote access - methods; - - name: objective - props: - - name: label - value: AC-17(01)[02] - class: sp800-53A - prose: automated mechanisms are employed to control remote access - methods. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing remote access to the system - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system monitoring records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms monitoring and controlling remote - access methods - - id: ac-17.2 - class: SP800-53-enhancement - title: Protection of Confidentiality and Integrity Using Encryption - props: - - name: label - value: AC-17(02) - - name: sort-id - value: ac-17.02 - links: - - href: "#ac-17" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-17.2_smt - name: statement - prose: Implement cryptographic mechanisms to protect the confidentiality - and integrity of remote access sessions. - - id: ac-17.2_gdn - name: guidance - prose: Virtual private networks can be used to protect the confidentiality - and integrity of remote access sessions. Transport Layer Security - (TLS) is an example of a cryptographic protocol that provides - end-to-end communications security over networks and is used for - Internet communications and online transactions. - - name: objective - props: - - name: label - value: AC-17(02) - class: sp800-53A - prose: cryptographic mechanisms are implemented to protect the confidentiality - and integrity of remote access sessions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing remote access to the system - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated configuration documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms protecting confidentiality and - integrity of remote access sessions - - id: ac-17.3 - class: SP800-53-enhancement - title: Managed Access Control Points - props: - - name: label - value: AC-17(03) - - name: sort-id - value: ac-17.03 - links: - - href: "#ac-17" - rel: required - - href: "#sc-7" - rel: related - parts: - - id: ac-17.3_smt - name: statement - prose: Route remote accesses through authorized and managed network - access control points. - - id: ac-17.3_gdn - name: guidance - prose: Organizations consider the Trusted Internet Connections (TIC) - initiative [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) requirements - for external network connections since limiting the number of - access control points for remote access reduces attack surfaces. - - name: objective - props: - - name: label - value: AC-17(03) - class: sp800-53A - prose: remote accesses are routed through authorized and managed - network access control points. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing remote access to the system - - - system design documentation - - - list of all managed network access control points - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms routing all remote accesses through - managed network access control points - - id: ac-17.4 - class: SP800-53-enhancement - title: Privileged Commands and Access - params: - - id: ac-17.4_prm_1 - props: - - name: aggregates - value: ac-17.04_odp.01 - - name: aggregates - value: ac-17.04_odp.02 - label: organization-defined needs - - id: ac-17.04_odp.01 - props: - - name: label - value: AC-17(04)_ODP[01] - label: needs requiring remote access - guidelines: - - prose: needs requiring execution of privileged commands via - remote access are defined; - - id: ac-17.04_odp.02 - props: - - name: label - value: AC-17(04)_ODP[02] - label: needs requiring remote access - guidelines: - - prose: needs requiring access to security-relevant information - via remote access are defined; - props: - - name: label - value: AC-17(04) - - name: sort-id - value: ac-17.04 - links: - - href: "#ac-17" - rel: required - - href: "#ac-6" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-17.4_smt - name: statement - parts: - - id: ac-17.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Authorize the execution of privileged commands and access\ - \ to security-relevant information via remote access only\ - \ in a format that provides assessable evidence and for the\ - \ following needs: {{ insert: param, ac-17.4_prm_1 }} ; and" - - id: ac-17.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Document the rationale for remote access in the security - plan for the system. - - id: ac-17.4_gdn - name: guidance - prose: Remote access to systems represents a significant potential - vulnerability that can be exploited by adversaries. As such, restricting - the execution of privileged commands and access to security-relevant - information via remote access reduces the exposure of the organization - and the susceptibility to threats by adversaries to the remote - access capability. - - name: objective - props: - - name: label - value: AC-17(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-17(04)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-17(04)(a)[01] - class: sp800-53A - prose: the execution of privileged commands via remote access - is authorized only in a format that provides assessable - evidence; - - name: objective - props: - - name: label - value: AC-17(04)(a)[02] - class: sp800-53A - prose: access to security-relevant information via remote - access is authorized only in a format that provides assessable - evidence; - - name: objective - props: - - name: label - value: AC-17(04)(a)[03] - class: sp800-53A - prose: "the execution of privileged commands via remote\ - \ access is authorized only for the following needs: {{\ - \ insert: param, ac-17.04_odp.01 }};" - - name: objective - props: - - name: label - value: AC-17(04)(a)[04] - class: sp800-53A - prose: "access to security-relevant information via remote\ - \ access is authorized only for the following needs: {{\ - \ insert: param, ac-17.04_odp.02 }};" - - name: objective - props: - - name: label - value: AC-17(04)(b) - class: sp800-53A - prose: the rationale for remote access is documented in the - security plan for the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing remote access to the system - - - system configuration settings and associated documentation - - - security plan - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing remote access management - - id: ac-17.5 - class: SP800-53-enhancement - title: Monitoring for Unauthorized Connections - props: - - name: label - value: AC-17(05) - - name: sort-id - value: ac-17.05 - - name: status - value: withdrawn - links: - - href: "#si-4" - rel: incorporated-into - - id: ac-17.6 - class: SP800-53-enhancement - title: Protection of Mechanism Information - props: - - name: label - value: AC-17(06) - - name: sort-id - value: ac-17.06 - links: - - href: "#ac-17" - rel: required - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: ac-17.6_smt - name: statement - prose: Protect information about remote access mechanisms from unauthorized - use and disclosure. - - id: ac-17.6_gdn - name: guidance - prose: Remote access to organizational information by non-organizational - entities can increase the risk of unauthorized use and disclosure - about remote access mechanisms. The organization considers including - remote access requirements in the information exchange agreements - with other organizations, as applicable. Remote access requirements - can also be included in rules of behavior (see [PL-4](#pl-4) ) - and access agreements (see [PS-6](#ps-6)). - - name: objective - props: - - name: label - value: AC-17(06) - class: sp800-53A - prose: information about remote access mechanisms is protected from - unauthorized use and disclosure. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing remote access to the system - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - implementing or monitoring remote access to the system - - - system users with knowledge of information about remote access - mechanisms - - - organizational personnel with information security responsibilities - - id: ac-17.7 - class: SP800-53-enhancement - title: Additional Protection for Security Function Access - props: - - name: label - value: AC-17(07) - - name: sort-id - value: ac-17.07 - - name: status - value: withdrawn - links: - - href: "#ac-3.10" - rel: incorporated-into - - id: ac-17.8 - class: SP800-53-enhancement - title: Disable Nonsecure Network Protocols - props: - - name: label - value: AC-17(08) - - name: sort-id - value: ac-17.08 - - name: status - value: withdrawn - links: - - href: "#cm-7" - rel: incorporated-into - - id: ac-17.9 - class: SP800-53-enhancement - title: Disconnect or Disable Access - params: - - id: ac-17.09_odp - props: - - name: legacy-identifier - value: ac-17.9_prm_1 - - name: label - value: AC-17(09)_ODP - label: time period - guidelines: - - prose: the time period within which to disconnect or disable - remote access to the system is defined; - props: - - name: label - value: AC-17(09) - - name: sort-id - value: ac-17.09 - links: - - href: "#ac-17" - rel: required - parts: - - id: ac-17.9_smt - name: statement - prose: "Provide the capability to disconnect or disable remote access\ - \ to the system within {{ insert: param, ac-17.09_odp }}." - - id: ac-17.9_gdn - name: guidance - prose: The speed of system disconnect or disablement varies based - on the criticality of missions or business functions and the need - to eliminate immediate or future remote access to systems. - - name: objective - props: - - name: label - value: AC-17(09) - class: sp800-53A - prose: "the capability to disconnect or disable remote access to\ - \ the system within {{ insert: param, ac-17.09_odp }} is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing disconnecting or disabling remote access - to the system - - - system design documentation - - - system configuration settings and associated documentation - - - security plan, system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability to disconnect - or disable remote access to system - - id: ac-17.10 - class: SP800-53-enhancement - title: Authenticate Remote Commands - params: - - id: ac-17.10_odp.01 - props: - - name: legacy-identifier - value: ac-17.10_prm_1 - - name: label - value: AC-17(10)_ODP[01] - label: mechanisms - guidelines: - - prose: mechanisms implemented to authenticate remote commands - are defined; - - id: ac-17.10_odp.02 - props: - - name: legacy-identifier - value: ac-17.10_prm_2 - - name: label - value: AC-17(10)_ODP[02] - label: remote commands - guidelines: - - prose: remote commands to be authenticated by mechanisms are - defined; - props: - - name: label - value: AC-17(10) - - name: sort-id - value: ac-17.10 - links: - - href: "#ac-17" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: ac-17.10_smt - name: statement - prose: "Implement {{ insert: param, ac-17.10_odp.01 }} to authenticate\ - \ {{ insert: param, ac-17.10_odp.02 }}." - - id: ac-17.10_gdn - name: guidance - prose: Authenticating remote commands protects against unauthorized - commands and the replay of authorized commands. The ability to - authenticate remote commands is important for remote systems for - which loss, malfunction, misdirection, or exploitation would have - immediate or serious consequences, such as injury, death, property - damage, loss of high value assets, failure of mission or business - functions, or compromise of classified or controlled unclassified - information. Authentication mechanisms for remote commands ensure - that systems accept and execute commands in the order intended, - execute only authorized commands, and reject unauthorized commands. - Cryptographic mechanisms can be used, for example, to authenticate - remote commands. - - name: objective - props: - - name: label - value: AC-17(10) - class: sp800-53A - prose: "{{ insert: param, ac-17.10_odp.01 }} are implemented to\ - \ authenticate {{ insert: param, ac-17.10_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-17(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing authentication of remote commands - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-17(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-17(10)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing authentication of remote - commands - - id: ac-18 - class: SP800-53 - title: Wireless Access - props: - - name: label - value: AC-18 - - name: sort-id - value: ac-18 - links: - - href: "#25e3e57b-dc2f-4934-af9b-050b020c6f0e" - rel: reference - - href: "#03fb73bc-1b12-4182-bd96-e5719254ea61" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-7" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-40" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-18_smt - name: statement - parts: - - id: ac-18_smt.a - name: item - props: - - name: label - value: a. - prose: Establish configuration requirements, connection requirements, - and implementation guidance for each type of wireless access; - and - - id: ac-18_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize each type of wireless access to the system prior - to allowing such connections. - - id: ac-18_gdn - name: guidance - prose: Wireless technologies include microwave, packet radio (ultra-high - frequency or very high frequency), 802.11x, and Bluetooth. Wireless - networks use authentication protocols that provide authenticator protection - and mutual authentication. - - name: objective - props: - - name: label - value: AC-18 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-18a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-18a.[01] - class: sp800-53A - prose: configuration requirements are established for each type - of wireless access; - - name: objective - props: - - name: label - value: AC-18a.[02] - class: sp800-53A - prose: connection requirements are established for each type - of wireless access; - - name: objective - props: - - name: label - value: AC-18a.[03] - class: sp800-53A - prose: implementation guidance is established for each type - of wireless access; - - name: objective - props: - - name: label - value: AC-18b. - class: sp800-53A - prose: each type of wireless access to the system is authorized - prior to allowing such connections. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-18-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing wireless access implementation and usage - (including restrictions) - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - wireless access authorizations - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-18-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for managing - wireless access connections - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-18-Test - class: sp800-53A - parts: - - name: objects - prose: Wireless access management capability for the system - controls: - - id: ac-18.1 - class: SP800-53-enhancement - title: Authentication and Encryption - params: - - id: ac-18.01_odp - props: - - name: legacy-identifier - value: ac-18.1_prm_1 - - name: label - value: AC-18(01)_ODP - select: - how-many: one-or-more - choice: - - users - - devices - props: - - name: label - value: AC-18(01) - - name: sort-id - value: ac-18.01 - links: - - href: "#ac-18" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-18.1_smt - name: statement - prose: "Protect wireless access to the system using authentication\ - \ of {{ insert: param, ac-18.01_odp }} and encryption." - - id: ac-18.1_gdn - name: guidance - prose: Wireless networking capabilities represent a significant - potential vulnerability that can be exploited by adversaries. - To protect systems with wireless access points, strong authentication - of users and devices along with strong encryption can reduce susceptibility - to threats by adversaries involving wireless technologies. - - name: objective - props: - - name: label - value: AC-18(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-18(01)[01] - class: sp800-53A - prose: "wireless access to the system is protected using authentication\ - \ of {{ insert: param, ac-18.01_odp }};" - - name: objective - props: - - name: label - value: AC-18(01)[02] - class: sp800-53A - prose: wireless access to the system is protected using encryption. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-18(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing wireless implementation and usage (including - restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-18(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-18(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing wireless access protections - to the system - - id: ac-18.2 - class: SP800-53-enhancement - title: Monitoring Unauthorized Connections - props: - - name: label - value: AC-18(02) - - name: sort-id - value: ac-18.02 - - name: status - value: withdrawn - links: - - href: "#si-4" - rel: incorporated-into - - id: ac-18.3 - class: SP800-53-enhancement - title: Disable Wireless Networking - props: - - name: label - value: AC-18(03) - - name: sort-id - value: ac-18.03 - links: - - href: "#ac-18" - rel: required - parts: - - id: ac-18.3_smt - name: statement - prose: Disable, when not intended for use, wireless networking capabilities - embedded within system components prior to issuance and deployment. - - id: ac-18.3_gdn - name: guidance - prose: Wireless networking capabilities that are embedded within - system components represent a significant potential vulnerability - that can be exploited by adversaries. Disabling wireless capabilities - when not needed for essential organizational missions or functions - can reduce susceptibility to threats by adversaries involving - wireless technologies. - - name: objective - props: - - name: label - value: AC-18(03) - class: sp800-53A - prose: when not intended for use, wireless networking capabilities - embedded within system components are disabled prior to issuance - and deployment. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-18(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing wireless implementation and usage (including - restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-18(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-18(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms managing the disabling of wireless - networking capabilities internally embedded within system - components - - id: ac-18.4 - class: SP800-53-enhancement - title: Restrict Configurations by Users - props: - - name: label - value: AC-18(04) - - name: sort-id - value: ac-18.04 - links: - - href: "#ac-18" - rel: required - - href: "#sc-7" - rel: related - - href: "#sc-15" - rel: related - parts: - - id: ac-18.4_smt - name: statement - prose: Identify and explicitly authorize users allowed to independently - configure wireless networking capabilities. - - id: ac-18.4_gdn - name: guidance - prose: Organizational authorizations to allow selected users to - configure wireless networking capabilities are enforced, in part, - by the access enforcement mechanisms employed within organizational - systems. - - name: objective - props: - - name: label - value: AC-18(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-18(04)[01] - class: sp800-53A - prose: users allowed to independently configure wireless networking - capabilities are identified; - - name: objective - props: - - name: label - value: AC-18(04)[02] - class: sp800-53A - prose: users allowed to independently configure wireless networking - capabilities are explicitly authorized. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-18(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing wireless implementation and usage (including - restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-18(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-18(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms authorizing independent user configuration - of wireless networking capabilities - - id: ac-18.5 - class: SP800-53-enhancement - title: Antennas and Transmission Power Levels - props: - - name: label - value: AC-18(05) - - name: sort-id - value: ac-18.05 - links: - - href: "#ac-18" - rel: required - - href: "#pe-19" - rel: related - parts: - - id: ac-18.5_smt - name: statement - prose: Select radio antennas and calibrate transmission power levels - to reduce the probability that signals from wireless access points - can be received outside of organization-controlled boundaries. - - id: ac-18.5_gdn - name: guidance - prose: Actions that may be taken to limit unauthorized use of wireless - communications outside of organization-controlled boundaries include - reducing the power of wireless transmissions so that the transmissions - are less likely to emit a signal that can be captured outside - of the physical perimeters of the organization, employing measures - such as emissions security to control wireless emanations, and - using directional or beamforming antennas that reduce the likelihood - that unintended receivers will be able to intercept signals. Prior - to taking such mitigating actions, organizations can conduct periodic - wireless surveys to understand the radio frequency profile of - organizational systems as well as other systems that may be operating - in the area. - - name: objective - props: - - name: label - value: AC-18(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-18(05)[01] - class: sp800-53A - prose: radio antennas are selected to reduce the probability - that signals from wireless access points can be received outside - of organization-controlled boundaries; - - name: objective - props: - - name: label - value: AC-18(05)[02] - class: sp800-53A - prose: transmission power levels are calibrated to reduce the - probability that signals from wireless access points can be - received outside of organization-controlled boundaries. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-18(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing wireless implementation and usage (including - restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-18(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-18(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Calibration of transmission power levels for wireless - access - - - radio antenna signals for wireless access - - - wireless access reception outside of organization-controlled - boundaries - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - props: - - name: label - value: AC-19 - - name: sort-id - value: ac-19 - links: - - href: "#42e37e51-7cc0-4ffa-81c9-0ac942da7e99" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-11" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#mp-7" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-19_smt - name: statement - parts: - - id: ac-19_smt.a - name: item - props: - - name: label - value: a. - prose: Establish configuration requirements, connection requirements, - and implementation guidance for organization-controlled mobile - devices, to include when such devices are outside of controlled - areas; and - - id: ac-19_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize the connection of mobile devices to organizational - systems. - - id: ac-19_gdn - name: guidance - prose: >- - A mobile device is a computing device that has a small form - factor such that it can easily be carried by a single - individual; is designed to operate without a physical - connection; possesses local, non-removable or removable data - storage; and includes a self-contained power source. Mobile - device functionality may also include voice communication - capabilities, on-board sensors that allow the device to capture - information, and/or built-in features for synchronizing local - data with remote locations. Examples include smart phones and - tablets. Mobile devices are typically associated with a single - individual. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of - notebook/desktop systems, depending on the nature and intended - purpose of the device. Protection and control of mobile devices - is behavior or policy-based and requires users to take physical - action to protect and control such devices when outside of - controlled areas. Controlled areas are spaces for which - organizations provide physical or procedural controls to meet - the requirements established for protecting information and - systems. - - - Due to the large variety of mobile devices with different characteristics - and capabilities, organizational restrictions may vary for the different - classes or types of such devices. Usage restrictions and specific - implementation guidance for mobile devices include configuration management, - device identification and authentication, implementation of mandatory - protective software, scanning devices for malicious code, updating - virus protection software, scanning for critical software updates - and patches, conducting primary operating system (and possibly other - resident software) integrity checks, and disabling unnecessary hardware. - - - Usage restrictions and authorization to connect may vary among organizational - systems. For example, the organization may authorize the connection - of mobile devices to its network and impose a set of usage restrictions, - while a system owner may withhold authorization for mobile device - connection to specific applications or impose additional usage restrictions - before allowing mobile device connections to a system. Adequate security - for mobile devices goes beyond the requirements specified in [AC-19](#ac-19) - . Many safeguards for mobile devices are reflected in other controls. - [AC-20](#ac-20) addresses mobile devices that are not organization-controlled. - - name: objective - props: - - name: label - value: AC-19 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-19a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-19a.[01] - class: sp800-53A - prose: configuration requirements are established for organization-controlled - mobile devices, including when such devices are outside of - the controlled area; - - name: objective - props: - - name: label - value: AC-19a.[02] - class: sp800-53A - prose: connection requirements are established for organization-controlled - mobile devices, including when such devices are outside of - the controlled area; - - name: objective - props: - - name: label - value: AC-19a.[03] - class: sp800-53A - prose: implementation guidance is established for organization-controlled - mobile devices, including when such devices are outside of - the controlled area; - - name: objective - props: - - name: label - value: AC-19b. - class: sp800-53A - prose: the connection of mobile devices to organizational systems - is authorized. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-19-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access control for mobile device usage (including - restrictions) - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - authorizations for mobile device connections to organizational - systems - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-19-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel using mobile devices to access - organizational systems - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-19-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Access control capability for mobile device connections to - organizational systems - - - configurations of mobile devices - controls: - - id: ac-19.1 - class: SP800-53-enhancement - title: Use of Writable and Portable Storage Devices - props: - - name: label - value: AC-19(01) - - name: sort-id - value: ac-19.01 - - name: status - value: withdrawn - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.2 - class: SP800-53-enhancement - title: Use of Personally Owned Portable Storage Devices - props: - - name: label - value: AC-19(02) - - name: sort-id - value: ac-19.02 - - name: status - value: withdrawn - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.3 - class: SP800-53-enhancement - title: Use of Portable Storage Devices with No Identifiable Owner - props: - - name: label - value: AC-19(03) - - name: sort-id - value: ac-19.03 - - name: status - value: withdrawn - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.4 - class: SP800-53-enhancement - title: Restrictions for Classified Information - params: - - id: ac-19.04_odp.01 - props: - - name: legacy-identifier - value: ac-19.4_prm_1 - - name: label - value: AC-19(04)_ODP[01] - label: security officials - guidelines: - - prose: security officials responsible for the review and inspection - of unclassified mobile devices and the information stored - on those devices are defined; - - id: ac-19.04_odp.02 - props: - - name: legacy-identifier - value: ac-19.4_prm_2 - - name: label - value: AC-19(04)_ODP[02] - label: security policies - guidelines: - - prose: security policies restricting the connection of classified - mobile devices to classified systems are defined; - props: - - name: label - value: AC-19(04) - - name: sort-id - value: ac-19.04 - links: - - href: "#ac-19" - rel: required - - href: "#cm-8" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: ac-19.4_smt - name: statement - parts: - - id: ac-19.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Prohibit the use of unclassified mobile devices in facilities - containing systems processing, storing, or transmitting classified - information unless specifically permitted by the authorizing - official; and - - id: ac-19.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce the following restrictions on individuals permitted\ - \ by the authorizing official to use unclassified mobile devices\ - \ in facilities containing systems processing, storing, or\ - \ transmitting classified information:" - parts: - - id: ac-19.4_smt.b.1 - name: item - props: - - name: label - value: (01) - prose: Connection of unclassified mobile devices to classified - systems is prohibited; - - id: ac-19.4_smt.b.2 - name: item - props: - - name: label - value: (02) - prose: Connection of unclassified mobile devices to unclassified - systems requires approval from the authorizing official; - - id: ac-19.4_smt.b.3 - name: item - props: - - name: label - value: (03) - prose: Use of internal or external modems or wireless interfaces - within the unclassified mobile devices is prohibited; - and - - id: ac-19.4_smt.b.4 - name: item - props: - - name: label - value: (04) - prose: "Unclassified mobile devices and the information\ - \ stored on those devices are subject to random reviews\ - \ and inspections by {{ insert: param, ac-19.04_odp.01\ - \ }} , and if classified information is found, the incident\ - \ handling policy is followed." - - id: ac-19.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Restrict the connection of classified mobile devices\ - \ to classified systems in accordance with {{ insert: param,\ - \ ac-19.04_odp.02 }}." - - id: ac-19.4_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: AC-19(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-19(04)(a) - class: sp800-53A - prose: the use of unclassified mobile devices in facilities - containing systems processing, storing, or transmitting classified - information is prohibited unless specifically permitted by - the authorizing official; - - name: objective - props: - - name: label - value: AC-19(04)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-19(04)(b)(01) - class: sp800-53A - prose: prohibition of the connection of unclassified mobile - devices to classified systems is enforced on individuals - permitted by an authorizing official to use unclassified - mobile devices in facilities containing systems processing, - storing, or transmitting classified information; - - name: objective - props: - - name: label - value: AC-19(04)(b)(02) - class: sp800-53A - prose: approval by the authorizing official for the connection - of unclassified mobile devices to unclassified systems - is enforced on individuals permitted to use unclassified - mobile devices in facilities containing systems processing, - storing, or transmitting classified information; - - name: objective - props: - - name: label - value: AC-19(04)(b)(03) - class: sp800-53A - prose: prohibition of the use of internal or external modems - or wireless interfaces within unclassified mobile devices - is enforced on individuals permitted by an authorizing - official to use unclassified mobile devices in facilities - containing systems processing, storing, or transmitting - classified information; - - name: objective - props: - - name: label - value: AC-19(04)(b)(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-19(04)(b)(04)[01] - class: sp800-53A - prose: "random review and inspection of unclassified\ - \ mobile devices and the information stored on those\ - \ devices by {{ insert: param, ac-19.04_odp.01 }}\ - \ are enforced;" - - name: objective - props: - - name: label - value: AC-19(04)(b)(04)[02] - class: sp800-53A - prose: following of the incident handling policy is - enforced if classified information is found during - a random review and inspection of unclassified mobile - devices; - - name: objective - props: - - name: label - value: AC-19(04)(c) - class: sp800-53A - prose: "the connection of classified mobile devices to classified\ - \ systems is restricted in accordance with {{ insert: param,\ - \ ac-19.04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-19(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - incident handling policy - - - procedures addressing access control for mobile devices - - - system design documentation - - - system configuration settings and associated documentation - - - evidentiary documentation for random inspections and reviews - of mobile devices - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-19(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for random - reviews/inspections of mobile devices - - - organizational personnel using mobile devices in facilities - containing systems processing, storing, or transmitting classified - information - - - organizational personnel with incident response responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-19(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the use of internal - or external modems or wireless interfaces with mobile devices - - id: ac-19.5 - class: SP800-53-enhancement - title: Full Device or Container-based Encryption - params: - - id: ac-19.05_odp.01 - props: - - name: legacy-identifier - value: ac-19.5_prm_1 - - name: label - value: AC-19(05)_ODP[01] - select: - choice: - - full-device encryption - - container-based encryption - - id: ac-19.05_odp.02 - props: - - name: legacy-identifier - value: ac-19.5_prm_2 - - name: label - value: AC-19(05)_ODP[02] - label: mobile devices - guidelines: - - prose: mobile devices on which to employ encryption are defined; - props: - - name: label - value: AC-19(05) - - name: sort-id - value: ac-19.05 - links: - - href: "#ac-19" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: ac-19.5_smt - name: statement - prose: "Employ {{ insert: param, ac-19.05_odp.01 }} to protect the\ - \ confidentiality and integrity of information on {{ insert: param,\ - \ ac-19.05_odp.02 }}." - - id: ac-19.5_gdn - name: guidance - prose: Container-based encryption provides a more fine-grained approach - to data and information encryption on mobile devices, including - encrypting selected data structures such as files, records, or - fields. - - name: objective - props: - - name: label - value: AC-19(05) - class: sp800-53A - prose: "{{ insert: param, ac-19.05_odp.01 }} is employed to protect\ - \ the confidentiality and integrity of information on {{ insert:\ - \ param, ac-19.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-19(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access control for mobile devices - - - system design documentation - - - system configuration settings and associated documentation - - - encryption mechanisms and associated configuration documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-19(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access control - responsibilities for mobile devices - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-19(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Encryption mechanisms protecting confidentiality and - integrity of information on mobile devices - - id: ac-20 - class: SP800-53 - title: Use of External Systems - params: - - id: ac-20_odp.01 - props: - - name: legacy-identifier - value: ac-20_prm_1 - - name: label - value: AC-20_ODP[01] - select: - how-many: one-or-more - choice: - - "establish{{ insert: param, ac-20_odp.02 }} " - - "identify{{ insert: param, ac-20_odp.03 }} " - - id: ac-20_odp.02 - props: - - name: legacy-identifier - value: ac-20_prm_2 - - name: label - value: AC-20_ODP[02] - label: terms and conditions - guidelines: - - prose: terms and conditions consistent with the trust relationships - established with other organizations owning, operating, and/or - maintaining external systems are defined (if selected); - - id: ac-20_odp.03 - props: - - name: legacy-identifier - value: ac-20_prm_3 - - name: label - value: AC-20_ODP[03] - label: controls asserted - guidelines: - - prose: controls asserted to be implemented on external systems consistent - with the trust relationships established with other organizations - owning, operating, and/or maintaining external systems are defined - (if selected); - - id: ac-20_odp.04 - props: - - name: legacy-identifier - value: ac-20_prm_4 - - name: label - value: AC-20_ODP[04] - label: prohibited types of external systems - guidelines: - - prose: types of external systems prohibited from use are defined; - props: - - name: label - value: AC-20 - - name: sort-id - value: ac-20 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849" - rel: reference - - href: "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: ac-20_smt - name: statement - parts: - - id: ac-20_smt.a - name: item - props: - - name: label - value: a. - prose: "{{ insert: param, ac-20_odp.01 }} , consistent with the\ - \ trust relationships established with other organizations owning,\ - \ operating, and/or maintaining external systems, allowing authorized\ - \ individuals to:" - parts: - - id: ac-20_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Access the system from external systems; and - - id: ac-20_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Process, store, or transmit organization-controlled information - using external systems; or - - id: ac-20_smt.b - name: item - props: - - name: label - value: b. - prose: "Prohibit the use of {{ insert: param, ac-20_odp.04 }}." - - id: ac-20_gdn - name: guidance - prose: >- - External systems are systems that are used by but not part of - organizational systems, and for which the organization has no - direct control over the implementation of required controls or - the assessment of control effectiveness. External systems - include personally owned systems, components, or devices; - privately owned computing and communications devices in - commercial or public facilities; systems owned or controlled by - nonfederal organizations; systems managed by contractors; and - federal information systems that are not owned by, operated by, - or under the direct supervision or authority of the - organization. External systems also include systems owned or - operated by other components within the same organization and - systems within the organization with different authorization - boundaries. Organizations have the option to prohibit the use of - any type of external system or prohibit the use of specified - types of external systems, (e.g., prohibit the use of any - external system that is not organizationally owned or prohibit - the use of personally-owned systems). - - - For some external systems (i.e., systems operated by other organizations), - the trust relationships that have been established between those organizations - and the originating organization may be such that no explicit terms - and conditions are required. Systems within these organizations may - not be considered external. These situations occur when, for example, - there are pre-existing information exchange agreements (either implicit - or explicit) established between organizations or components or when - such agreements are specified by applicable laws, executive orders, - directives, regulations, policies, or standards. Authorized individuals - include organizational personnel, contractors, or other individuals - with authorized access to organizational systems and over which organizations - have the authority to impose specific rules of behavior regarding - system access. Restrictions that organizations impose on authorized - individuals need not be uniform, as the restrictions may vary depending - on trust relationships between organizations. Therefore, organizations - may choose to impose different security restrictions on contractors - than on state, local, or tribal governments. - - - External systems used to access public interfaces to organizational - systems are outside the scope of [AC-20](#ac-20) . Organizations establish - specific terms and conditions for the use of external systems in accordance - with organizational security policies and procedures. At a minimum, - terms and conditions address the specific types of applications that - can be accessed on organizational systems from external systems and - the highest security category of information that can be processed, - stored, or transmitted on external systems. If the terms and conditions - with the owners of the external systems cannot be established, organizations - may impose restrictions on organizational personnel using those external - systems. - - name: objective - props: - - name: label - value: AC-20 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-20a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-20a.1 - class: sp800-53A - prose: "{{ insert: param, ac-20_odp.01 }} is/are consistent\ - \ with the trust relationships established with other organizations\ - \ owning, operating, and/or maintaining external systems,\ - \ allowing authorized individuals to access the system from\ - \ external systems (if applicable);" - - name: objective - props: - - name: label - value: AC-20a.2 - class: sp800-53A - prose: "{{ insert: param, ac-20_odp.01 }} is/are consistent\ - \ with the trust relationships established with other organizations\ - \ owning, operating, and/or maintaining external systems,\ - \ allowing authorized individuals to process, store, or transmit\ - \ organization-controlled information using external systems\ - \ (if applicable);" - - name: objective - props: - - name: label - value: AC-20b. - class: sp800-53A - prose: "the use of {{ insert: param, ac-20_odp.04 }} is prohibited\ - \ (if applicable)." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the use of external systems - - - external systems terms and conditions - - - list of types of applications accessible from external systems - - - maximum security categorization for information processed, stored, - or transmitted on external systems - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for defining - terms and conditions for use of external systems to access - organizational systems - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-20-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing terms and conditions on - use of external systems - controls: - - id: ac-20.1 - class: SP800-53-enhancement - title: Limits on Authorized Use - props: - - name: label - value: AC-20(01) - - name: sort-id - value: ac-20.01 - links: - - href: "#ac-20" - rel: required - - href: "#ca-2" - rel: related - parts: - - id: ac-20.1_smt - name: statement - prose: "Permit authorized individuals to use an external system\ - \ to access the system or to process, store, or transmit organization-controlled\ - \ information only after:" - parts: - - id: ac-20.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Verification of the implementation of controls on the - external system as specified in the organization’s security - and privacy policies and security and privacy plans; or - - id: ac-20.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Retention of approved system connection or processing - agreements with the organizational entity hosting the external - system. - - id: ac-20.1_gdn - name: guidance - prose: Limiting authorized use recognizes circumstances where individuals - using external systems may need to access organizational systems. - Organizations need assurance that the external systems contain - the necessary controls so as not to compromise, damage, or otherwise - harm organizational systems. Verification that the required controls - have been implemented can be achieved by external, independent - assessments, attestations, or other means, depending on the confidence - level required by organizations. - - name: objective - props: - - name: label - value: AC-20(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-20(01)(a) - class: sp800-53A - prose: authorized individuals are permitted to use an external - system to access the system or to process, store, or transmit - organization-controlled information only after verification - of the implementation of controls on the external system as - specified in the organization’s security and privacy policies - and security and privacy plans (if applicable); - - name: objective - props: - - name: label - value: AC-20(01)(b) - class: sp800-53A - prose: authorized individuals are permitted to use an external - system to access the system or to process, store, or transmit - organization-controlled information only after retention of - approved system connection or processing agreements with the - organizational entity hosting the external system (if applicable). - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing the use of external systems - - system connection or processing agreements - - account management documents - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-20(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing limits on use of external - systems - - id: ac-20.2 - class: SP800-53-enhancement - title: Portable Storage Devices — Restricted Use - params: - - id: ac-20.02_odp - props: - - name: legacy-identifier - value: ac-20.2_prm_1 - - name: label - value: AC-20(02)_ODP - label: restrictions - guidelines: - - prose: restrictions on the use of organization-controlled portable - storage devices by authorized individuals on external systems - are defined; - props: - - name: label - value: AC-20(02) - - name: sort-id - value: ac-20.02 - links: - - href: "#ac-20" - rel: required - - href: "#mp-7" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: ac-20.2_smt - name: statement - prose: "Restrict the use of organization-controlled portable storage\ - \ devices by authorized individuals on external systems using\ - \ {{ insert: param, ac-20.02_odp }}." - - id: ac-20.2_gdn - name: guidance - prose: Limits on the use of organization-controlled portable storage - devices in external systems include restrictions on how the devices - may be used and under what conditions the devices may be used. - - name: objective - props: - - name: label - value: AC-20(02) - class: sp800-53A - prose: "the use of organization-controlled portable storage devices\ - \ by authorized individuals is restricted on external systems\ - \ using {{ insert: param, ac-20.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the use of external systems - - - system configuration settings and associated documentation - - - system connection or processing agreements - - - account management documents - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - restricting or prohibiting the use of - organization-controlled storage devices on external - systems - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-20(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing restrictions on use - of portable storage devices - - id: ac-20.3 - class: SP800-53-enhancement - title: Non-organizationally Owned Systems — Restricted Use - params: - - id: ac-20.03_odp - props: - - name: legacy-identifier - value: ac-20.3_prm_1 - - name: label - value: AC-20(03)_ODP - label: restrictions - guidelines: - - prose: restrictions on the use of non-organizationally owned - systems or system components to process, store, or transmit - organizational information are defined; - props: - - name: label - value: AC-20(03) - - name: sort-id - value: ac-20.03 - links: - - href: "#ac-20" - rel: required - parts: - - id: ac-20.3_smt - name: statement - prose: "Restrict the use of non-organizationally owned systems or\ - \ system components to process, store, or transmit organizational\ - \ information using {{ insert: param, ac-20.03_odp }}." - - id: ac-20.3_gdn - name: guidance - prose: Non-organizationally owned systems or system components include - systems or system components owned by other organizations as well - as personally owned devices. There are potential risks to using - non-organizationally owned systems or components. In some cases, - the risk is sufficiently high as to prohibit such use (see [AC-20 - b.](#ac-20_smt.b) ). In other cases, the use of such systems or - system components may be allowed but restricted in some way. Restrictions - include requiring the implementation of approved controls prior - to authorizing the connection of non-organizationally owned systems - and components; limiting access to types of information, services, - or applications; using virtualization techniques to limit processing - and storage activities to servers or system components provisioned - by the organization; and agreeing to the terms and conditions - for usage. Organizations consult with the Office of the General - Counsel regarding legal issues associated with using personally - owned devices, including requirements for conducting forensic - analyses during investigations after an incident. - - name: objective - props: - - name: label - value: AC-20(03) - class: sp800-53A - prose: "the use of non-organizationally owned systems or system\ - \ components to process, store, or transmit organizational information\ - \ is restricted using {{ insert: param, ac-20.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing the use of external systems - - - system design documentation - - - system configuration settings and associated documentation - - - system connection or processing agreements - - - account management documents - - - system audit records, other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - restricting or prohibiting the use of - non-organizationally owned systems, system components, - or devices - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-20(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing restrictions on the - use of non-organizationally owned systems, components, or - devices - - id: ac-20.4 - class: SP800-53-enhancement - title: Network Accessible Storage Devices — Prohibited Use - params: - - id: ac-20.04_odp - props: - - name: legacy-identifier - value: ac-20.4_prm_1 - - name: label - value: AC-20(04)_ODP - label: network-accessible storage devices - guidelines: - - prose: network-accessible storage devices prohibited from use - in external systems are defined; - props: - - name: label - value: AC-20(04) - - name: sort-id - value: ac-20.04 - links: - - href: "#ac-20" - rel: required - parts: - - id: ac-20.4_smt - name: statement - prose: "Prohibit the use of {{ insert: param, ac-20.04_odp }} in\ - \ external systems." - - id: ac-20.4_gdn - name: guidance - prose: Network-accessible storage devices in external systems include - online storage devices in public, hybrid, or community cloud-based - systems. - - name: objective - props: - - name: label - value: AC-20(04) - class: sp800-53A - prose: "the use of {{ insert: param, ac-20.04_odp }} is prohibited\ - \ in external systems." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing use of network-accessible storage devices - in external systems - - - system design documentation - - - system configuration settings and associated documentation - - - system connection or processing agreements - - - list of network-accessible storage devices prohibited from - use in external systems - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - prohibiting the use of network-accessible storage - devices in external systems - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-20(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the use of network-accessible - storage devices in external systems - - id: ac-20.5 - class: SP800-53-enhancement - title: Portable Storage Devices — Prohibited Use - props: - - name: label - value: AC-20(05) - - name: sort-id - value: ac-20.05 - links: - - href: "#ac-20" - rel: required - - href: "#mp-7" - rel: related - - href: "#pl-4" - rel: related - - href: "#ps-6" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: ac-20.5_smt - name: statement - prose: Prohibit the use of organization-controlled portable storage - devices by authorized individuals on external systems. - - id: ac-20.5_gdn - name: guidance - prose: Limits on the use of organization-controlled portable storage - devices in external systems include a complete prohibition of - the use of such devices. Prohibiting such use is enforced using - technical methods and/or nontechnical (i.e., process-based) methods. - - name: objective - props: - - name: label - value: AC-20(05) - class: sp800-53A - prose: the use of organization-controlled portable storage devices - by authorized individuals is prohibited on external systems. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-20(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing use of portable storage devices in external - systems - - - system design documentation - - - system configuration settings and associated documentation - - - system connection or processing agreements - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-20(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - prohibiting the use of portable storage devices in - external systems - - - system/network administrators - - - organizational personnel with information security responsibilities - - id: ac-21 - class: SP800-53 - title: Information Sharing - params: - - id: ac-21_odp.01 - props: - - name: legacy-identifier - value: ac-21_prm_1 - - name: label - value: AC-21_ODP[01] - label: information-sharing circumstances - guidelines: - - prose: information-sharing circumstances where user discretion is - required to determine whether access authorizations assigned to - a sharing partner match the information’s access and use restrictions - are defined; - - id: ac-21_odp.02 - props: - - name: legacy-identifier - value: ac-21_prm_2 - - name: label - value: AC-21_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms or manual processes that assist users - in making information-sharing and collaboration decisions are - defined; - props: - - name: label - value: AC-21 - - name: sort-id - value: ac-21 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sc-15" - rel: related - parts: - - id: ac-21_smt - name: statement - parts: - - id: ac-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Enable authorized users to determine whether access authorizations\ - \ assigned to a sharing partner match the information’s access\ - \ and use restrictions for {{ insert: param, ac-21_odp.01 }} ;\ - \ and" - - id: ac-21_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ {{ insert: param, ac-21_odp.02 }} to assist users\ - \ in making information sharing and collaboration decisions." - - id: ac-21_gdn - name: guidance - prose: Information sharing applies to information that may be restricted - in some manner based on some formal or administrative determination. - Examples of such information include, contract-sensitive information, - classified information related to special access programs or compartments, - privileged information, proprietary information, and personally identifiable - information. Security and privacy risk assessments as well as applicable - laws, regulations, and policies can provide useful inputs to these - determinations. Depending on the circumstances, sharing partners may - be defined at the individual, group, or organizational level. Information - may be defined by content, type, security category, or special access - program or compartment. Access restrictions may include non-disclosure - agreements (NDA). Information flow techniques and security attributes - may be used to provide automated assistance to users making sharing - and collaboration decisions. - - name: objective - props: - - name: label - value: AC-21 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-21a. - class: sp800-53A - prose: "authorized users are enabled to determine whether access\ - \ authorizations assigned to a sharing partner match the information’s\ - \ access and use restrictions for {{ insert: param, ac-21_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: AC-21b. - class: sp800-53A - prose: "{{ insert: param, ac-21_odp.02 }} are employed to assist\ - \ users in making information-sharing and collaboration decisions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-21-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing user-based collaboration and information - sharing (including restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - list of users authorized to make information-sharing/collaboration - decisions - - - list of information-sharing circumstances requiring user discretion - - - non-disclosure agreements - - - acquisitions/contractual agreements - - - system security plan - - - privacy plan - - - privacy impact assessment - - - security and privacy risk assessments - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for - information-sharing/collaboration decisions - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-21-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms or manual process implementing access - authorizations supporting information-sharing/user collaboration - decisions - controls: - - id: ac-21.1 - class: SP800-53-enhancement - title: Automated Decision Support - params: - - id: ac-21.01_odp - props: - - name: legacy-identifier - value: ac-21.1_prm_1 - - name: label - value: AC-21(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms employed to enforce information-sharing - decisions by authorized users are defined; - props: - - name: label - value: AC-21(01) - - name: sort-id - value: ac-21.01 - links: - - href: "#ac-21" - rel: required - parts: - - id: ac-21.1_smt - name: statement - prose: "Employ {{ insert: param, ac-21.01_odp }} to enforce information-sharing\ - \ decisions by authorized users based on access authorizations\ - \ of sharing partners and access restrictions on information to\ - \ be shared." - - id: ac-21.1_gdn - name: guidance - prose: Automated mechanisms are used to enforce information sharing - decisions. - - name: objective - props: - - name: label - value: AC-21(01) - class: sp800-53A - prose: "{{ insert: param, ac-21.01_odp }} are employed to enforce\ - \ information-sharing decisions by authorized users based on access\ - \ authorizations of sharing partners and access restrictions on\ - \ information to be shared." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-21(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing user-based collaboration and information - sharing (including restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of users authorized to make information-sharing/collaboration - decisions - - - system-generated list of sharing partners and access authorizations - - - system-generated list of access restrictions regarding information - to be shared - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-21(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-21(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access authorizations - supporting information-sharing/user collaboration decisions - - id: ac-21.2 - class: SP800-53-enhancement - title: Information Search and Retrieval - params: - - id: ac-21.02_odp - props: - - name: legacy-identifier - value: ac-21.2_prm_1 - - name: label - value: AC-21(02)_ODP - label: information-sharing restrictions - guidelines: - - prose: information-sharing restrictions to be enforced by information - search and retrieval services are defined; - props: - - name: label - value: AC-21(02) - - name: sort-id - value: ac-21.02 - links: - - href: "#ac-21" - rel: required - parts: - - id: ac-21.2_smt - name: statement - prose: "Implement information search and retrieval services that\ - \ enforce {{ insert: param, ac-21.02_odp }}." - - id: ac-21.2_gdn - name: guidance - prose: Information search and retrieval services identify information - system resources relevant to an information need. - - name: objective - props: - - name: label - value: AC-21(02) - class: sp800-53A - prose: "information search and retrieval services that enforce {{\ - \ insert: param, ac-21.02_odp }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-21(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing user-based collaboration and information - sharing (including restrictions) - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of access restrictions regarding information - to be shared - - - information search and retrieval records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-21(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities for system search and retrieval - services - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-21(02)-Test - class: sp800-53A - parts: - - name: objects - prose: System search and retrieval services enforcing information-sharing - restrictions - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - params: - - id: ac-22_odp - props: - - name: legacy-identifier - value: ac-22_prm_1 - - name: label - value: AC-22_ODP - label: frequency - guidelines: - - prose: the frequency at which to review the content on the publicly - accessible system for non-public information is defined; - props: - - name: label - value: AC-22 - - name: sort-id - value: ac-22 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#ac-3" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#au-13" - rel: related - parts: - - id: ac-22_smt - name: statement - parts: - - id: ac-22_smt.a - name: item - props: - - name: label - value: a. - prose: Designate individuals authorized to make information publicly - accessible; - - id: ac-22_smt.b - name: item - props: - - name: label - value: b. - prose: Train authorized individuals to ensure that publicly accessible - information does not contain nonpublic information; - - id: ac-22_smt.c - name: item - props: - - name: label - value: c. - prose: Review the proposed content of information prior to posting - onto the publicly accessible system to ensure that nonpublic information - is not included; and - - id: ac-22_smt.d - name: item - props: - - name: label - value: d. - prose: "Review the content on the publicly accessible system for\ - \ nonpublic information {{ insert: param, ac-22_odp }} and remove\ - \ such information, if discovered." - - id: ac-22_gdn - name: guidance - prose: In accordance with applicable laws, executive orders, directives, - policies, regulations, standards, and guidelines, the public is not - authorized to have access to nonpublic information, including information - protected under the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - and proprietary information. Publicly accessible content addresses - systems that are controlled by the organization and accessible to - the public, typically without identification or authentication. Posting - information on non-organizational systems (e.g., non-organizational - public websites, forums, and social media) is covered by organizational - policy. While organizations may have individuals who are responsible - for developing and implementing policies about the information that - can be made publicly accessible, publicly accessible content addresses - the management of the individuals who make such information publicly - accessible. - - name: objective - props: - - name: label - value: AC-22 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-22a. - class: sp800-53A - prose: designated individuals are authorized to make information - publicly accessible; - - name: objective - props: - - name: label - value: AC-22b. - class: sp800-53A - prose: authorized individuals are trained to ensure that publicly - accessible information does not contain non-public information; - - name: objective - props: - - name: label - value: AC-22c. - class: sp800-53A - prose: the proposed content of information is reviewed prior to - posting onto the publicly accessible system to ensure that non-public - information is not included; - - name: objective - props: - - name: label - value: AC-22d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-22d.[01] - class: sp800-53A - prose: "the content on the publicly accessible system is reviewed\ - \ for non-public information {{ insert: param, ac-22_odp }};" - - name: objective - props: - - name: label - value: AC-22d.[02] - class: sp800-53A - prose: non-public information is removed from the publicly accessible - system, if discovered. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-22-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing publicly accessible content - - - list of users authorized to post publicly accessible content on - organizational systems - - - training materials and/or records - - - records of publicly accessible information reviews - - - records of response to non-public information on public websites - - - system audit logs - - - security awareness training records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for managing - publicly accessible information posted on organizational - systems - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-22-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing management of publicly - accessible content - - id: ac-23 - class: SP800-53 - title: Data Mining Protection - params: - - id: ac-23_odp.01 - props: - - name: legacy-identifier - value: ac-23_prm_1 - - name: label - value: AC-23_ODP[01] - label: techniques - guidelines: - - prose: data mining prevention and detection techniques are defined; - - id: ac-23_odp.02 - props: - - name: legacy-identifier - value: ac-23_prm_2 - - name: label - value: AC-23_ODP[02] - label: data storage objects - guidelines: - - prose: data storage objects to be protected against unauthorized - data mining are defined; - props: - - name: label - value: AC-23 - - name: sort-id - value: ac-23 - links: - - href: "#0af071a6-cf8e-48ee-8c82-fe91efa20f94" - rel: reference - - href: "#pm-12" - rel: related - - href: "#pt-2" - rel: related - parts: - - id: ac-23_smt - name: statement - prose: "Employ {{ insert: param, ac-23_odp.01 }} for {{ insert: param,\ - \ ac-23_odp.02 }} to detect and protect against unauthorized data\ - \ mining." - - id: ac-23_gdn - name: guidance - prose: >- - Data mining is an analytical process that attempts to find - correlations or patterns in large data sets for the purpose of - data or knowledge discovery. Data storage objects include - database records and database fields. Sensitive information can - be extracted from data mining operations. When information is - personally identifiable information, it may lead to - unanticipated revelations about individuals and give rise to - privacy risks. Prior to performing data mining activities, - organizations determine whether such activities are authorized. - Organizations may be subject to applicable laws, executive - orders, directives, regulations, or policies that address data - mining requirements. Organizational personnel consult with the - senior agency official for privacy and legal counsel regarding - such requirements. - - - Data mining prevention and detection techniques include limiting the - number and frequency of database queries to increase the work factor - needed to determine the contents of databases, limiting types of responses - provided to database queries, applying differential privacy techniques - or homomorphic encryption, and notifying personnel when atypical database - queries or accesses occur. Data mining protection focuses on protecting - information from data mining while such information resides in organizational - data stores. In contrast, [AU-13](#au-13) focuses on monitoring for - organizational information that may have been mined or otherwise obtained - from data stores and is available as open-source information residing - on external sites, such as social networking or social media websites. - - - [EO 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) requires the establishment - of an insider threat program for deterring, detecting, and mitigating - insider threats, including the safeguarding of sensitive information - from exploitation, compromise, or other unauthorized disclosure. Data - mining protection requires organizations to identify appropriate techniques - to prevent and detect unnecessary or unauthorized data mining. Data - mining can be used by an insider to collect organizational information - for the purpose of exfiltration. - - name: objective - props: - - name: label - value: AC-23 - class: sp800-53A - prose: "{{ insert: param, ac-23_odp.01 }} are employed for {{ insert:\ - \ param, ac-23_odp.02 }} to detect and protect against unauthorized\ - \ data mining." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-23-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures for preventing and detecting data mining - - - policies and procedures addressing authorized data mining techniques - - - procedures addressing protection of data storage objects against - data mining - - - system design documentation - - - system configuration settings and associated documentation - - - system audit logs - - - system audit records - - - procedures addressing differential privacy techniques - - - notifications of atypical database queries or accesses - - - documentation or reports of insider threat program - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-23-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - implementing data mining detection and prevention techniques - for data storage objects - - - legal counsel - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-23-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing data mining prevention - and detection - - id: ac-24 - class: SP800-53 - title: Access Control Decisions - params: - - id: ac-24_odp.01 - props: - - name: legacy-identifier - value: ac-24_prm_1 - - name: label - value: AC-24_ODP[01] - select: - how-many: one-or-more - choice: - - establish procedures - - implement mechanisms - - id: ac-24_odp.02 - props: - - name: legacy-identifier - value: ac-24_prm_2 - - name: label - value: AC-24_ODP[02] - label: access control decisions - guidelines: - - prose: access control decisions applied to each access request prior - to access enforcement are defined; - props: - - name: label - value: AC-24 - - name: sort-id - value: ac-24 - links: - - href: "#2956e175-f674-43f4-b1b9-e074ad9fc39c" - rel: reference - - href: "#388a3aa2-5d85-4bad-b8a3-77db80d63c4f" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - parts: - - id: ac-24_smt - name: statement - prose: "{{ insert: param, ac-24_odp.01 }} to ensure {{ insert: param,\ - \ ac-24_odp.02 }} are applied to each access request prior to access\ - \ enforcement." - - id: ac-24_gdn - name: guidance - prose: Access control decisions (also known as authorization decisions) - occur when authorization information is applied to specific accesses. - In contrast, access enforcement occurs when systems enforce access - control decisions. While it is common to have access control decisions - and access enforcement implemented by the same entity, it is not required, - and it is not always an optimal implementation choice. For some architectures - and distributed systems, different entities may make access control - decisions and enforce access. - - name: objective - props: - - name: label - value: AC-24 - class: sp800-53A - prose: "{{ insert: param, ac-24_odp.01 }} are taken to ensure that {{\ - \ insert: param, ac-24_odp.02 }} are applied to each access request\ - \ prior to access enforcement." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-24-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing access control decisions - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-24-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - establishing procedures regarding access control decisions - to the system - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-24-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms applying established access control - decisions and procedures - controls: - - id: ac-24.1 - class: SP800-53-enhancement - title: Transmit Access Authorization Information - params: - - id: ac-24.01_odp.01 - props: - - name: legacy-identifier - value: ac-24.1_prm_1 - - name: label - value: AC-24(01)_ODP[01] - label: access authorization information - guidelines: - - prose: access authorization information transmitted to systems - that enforce access control decisions is defined; - - id: ac-24.01_odp.02 - props: - - name: legacy-identifier - value: ac-24.1_prm_2 - - name: label - value: AC-24(01)_ODP[02] - label: controls - guidelines: - - prose: controls to be used when authorization information is - transmitted to systems that enforce access control decisions - are defined; - - id: ac-24.01_odp.03 - props: - - name: legacy-identifier - value: ac-24.1_prm_3 - - name: label - value: AC-24(01)_ODP[03] - label: systems - guidelines: - - prose: systems that enforce access control decisions are defined; - props: - - name: label - value: AC-24(01) - - name: sort-id - value: ac-24.01 - links: - - href: "#ac-24" - rel: required - - href: "#au-10" - rel: related - parts: - - id: ac-24.1_smt - name: statement - prose: "Transmit {{ insert: param, ac-24.01_odp.01 }} using {{ insert:\ - \ param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03\ - \ }} that enforce access control decisions." - - id: ac-24.1_gdn - name: guidance - prose: Authorization processes and access control decisions may - occur in separate parts of systems or in separate systems. In - such instances, authorization information is transmitted securely - (e.g., using cryptographic mechanisms) so that timely access control - decisions can be enforced at the appropriate locations. To support - the access control decisions, it may be necessary to transmit - as part of the access authorization information supporting security - and privacy attributes. This is because in distributed systems, - there are various access control decisions that need to be made, - and different entities make these decisions in a serial fashion, - each requiring those attributes to make the decisions. Protecting - access authorization information ensures that such information - cannot be altered, spoofed, or compromised during transmission. - - name: objective - props: - - name: label - value: AC-24(01) - class: sp800-53A - prose: "{{ insert: param, ac-24.01_odp.01 }} is transmitted using\ - \ {{ insert: param, ac-24.01_odp.02 }} to {{ insert: param, ac-24.01_odp.03\ - \ }} that enforce access control decisions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-24(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-24(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-24(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-24.2 - class: SP800-53-enhancement - title: No User or Process Identity - params: - - id: ac-24.2_prm_1 - props: - - name: aggregates - value: ac-24.02_odp.01 - - name: aggregates - value: ac-24.02_odp.02 - label: organization-defined security or privacy attributes - - id: ac-24.02_odp.01 - props: - - name: label - value: AC-24(02)_ODP[01] - label: security attributes - guidelines: - - prose: security attributes that do not include the identity - of the user or process acting on behalf of the user are defined; - - id: ac-24.02_odp.02 - props: - - name: label - value: AC-24(02)_ODP[02] - label: privacy attributes - guidelines: - - prose: privacy attributes that do not include the identity of - the user or process acting on behalf of the user are defined; - props: - - name: label - value: AC-24(02) - - name: sort-id - value: ac-24.02 - links: - - href: "#ac-24" - rel: required - parts: - - id: ac-24.2_smt - name: statement - prose: "Enforce access control decisions based on {{ insert: param,\ - \ ac-24.2_prm_1 }} that do not include the identity of the user\ - \ or process acting on behalf of the user." - - id: ac-24.2_gdn - name: guidance - prose: In certain situations, it is important that access control - decisions can be made without information regarding the identity - of the users issuing the requests. These are generally instances - where preserving individual privacy is of paramount importance. - In other situations, user identification information is simply - not needed for access control decisions, and especially in the - case of distributed systems, transmitting such information with - the needed degree of assurance may be very expensive or difficult - to accomplish. MAC, RBAC, ABAC, and label-based control policies, - for example, might not include user identity as an attribute. - - name: objective - props: - - name: label - value: AC-24(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AC-24(02)[01] - class: sp800-53A - prose: "access control decisions are enforced based on {{ insert:\ - \ param, ac-24.02_odp.01 }} that do not include the identity\ - \ of the user or process acting on behalf of the user;" - - name: objective - props: - - name: label - value: AC-24(02)[02] - class: sp800-53A - prose: "access control decisions are enforced based on {{ insert:\ - \ param, ac-24.02_odp.02 }} that do not include the identity\ - \ of the user or process acting on behalf of the user." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-24(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing access enforcement - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-24(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-24(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement - functions - - id: ac-25 - class: SP800-53 - title: Reference Monitor - params: - - id: ac-25_odp - props: - - name: legacy-identifier - value: ac-25_prm_1 - - name: label - value: AC-25_ODP - label: access control policies - guidelines: - - prose: access control policies for which a reference monitor is - implemented are defined; - props: - - name: label - value: AC-25 - - name: sort-id - value: ac-25 - links: - - href: "#ac-3" - rel: related - - href: "#ac-16" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-13" - rel: related - parts: - - id: ac-25_smt - name: statement - prose: "Implement a reference monitor for {{ insert: param, ac-25_odp\ - \ }} that is tamperproof, always invoked, and small enough to be subject\ - \ to analysis and testing, the completeness of which can be assured." - - id: ac-25_gdn - name: guidance - prose: A reference monitor is a set of design requirements on a reference - validation mechanism that, as a key component of an operating system, - enforces an access control policy over all subjects and objects. A - reference validation mechanism is always invoked, tamper-proof, and - small enough to be subject to analysis and tests, the completeness - of which can be assured (i.e., verifiable). Information is represented - internally within systems using abstractions known as data structures. - Internal data structures can represent different types of entities, - both active and passive. Active entities, also known as subjects, - are associated with individuals, devices, or processes acting on behalf - of individuals. Passive entities, also known as objects, are associated - with data structures, such as records, buffers, communications ports, - tables, files, and inter-process pipes. Reference monitors enforce - access control policies that restrict access to objects based on the - identity of subjects or groups to which the subjects belong. The system - enforces the access control policy based on the rule set established - by the policy. The tamper-proof property of the reference monitor - prevents determined adversaries from compromising the functioning - of the reference validation mechanism. The always invoked property - prevents adversaries from bypassing the mechanism and violating the - security policy. The smallness property helps to ensure completeness - in the analysis and testing of the mechanism to detect any weaknesses - or deficiencies (i.e., latent flaws) that would prevent the enforcement - of the security policy. - - name: objective - props: - - name: label - value: AC-25 - class: sp800-53A - prose: "a reference monitor is implemented for {{ insert: param, ac-25_odp\ - \ }} that is tamper-proof, always invoked, and small enough to be\ - \ subject to analysis and testing, the completeness of which can be\ - \ assured." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AC-25-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing access enforcement - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AC-25-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with access enforcement - responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AC-25-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing access enforcement functions - - id: at - class: family - title: Awareness and Training - controls: - - id: at-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: at-1_prm_1 - props: - - name: aggregates - value: at-01_odp.01 - - name: aggregates - value: at-01_odp.02 - label: organization-defined personnel or roles - - id: at-01_odp.01 - props: - - name: label - value: AT-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the awareness and training policy - is to be disseminated is/are defined; - - id: at-01_odp.02 - props: - - name: label - value: AT-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the awareness and training procedures - are to be disseminated is/are defined; - - id: at-01_odp.03 - props: - - name: legacy-identifier - value: at-1_prm_2 - - name: label - value: AT-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: at-01_odp.04 - props: - - name: legacy-identifier - value: at-1_prm_3 - - name: label - value: AT-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the awareness and training policy and - procedures is defined; - - id: at-01_odp.05 - props: - - name: legacy-identifier - value: at-1_prm_4 - - name: label - value: AT-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current awareness and training - policy is reviewed and updated is defined; - - id: at-01_odp.06 - props: - - name: legacy-identifier - value: at-1_prm_5 - - name: label - value: AT-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current awareness and training - policy to be reviewed and updated are defined; - - id: at-01_odp.07 - props: - - name: legacy-identifier - value: at-1_prm_6 - - name: label - value: AT-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current awareness and training - procedures are reviewed and updated is defined; - - id: at-01_odp.08 - props: - - name: legacy-identifier - value: at-1_prm_7 - - name: label - value: AT-01_ODP[08] - label: events - guidelines: - - prose: events that would require procedures to be reviewed and updated - are defined; - props: - - name: label - value: AT-01 - - name: sort-id - value: at-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: at-1_smt - name: statement - parts: - - id: at-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ at-1_prm_1 }}:" - parts: - - id: at-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, at-01_odp.03 }} awareness and training\ - \ policy that:" - parts: - - id: at-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: at-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: at-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the awareness - and training policy and the associated awareness and training - controls; - - id: at-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, at-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the awareness\ - \ and training policy and procedures; and" - - id: at-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current awareness and training:" - parts: - - id: at-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, at-01_odp.05 }} and following\ - \ {{ insert: param, at-01_odp.06 }} ; and" - - id: at-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, at-01_odp.07 }} and following\ - \ {{ insert: param, at-01_odp.08 }}." - - id: at-1_gdn - name: guidance - prose: Awareness and training policy and procedures address the controls - in the AT family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of awareness and - training policy and procedures. Security and privacy program policies - and procedures at the organization level are preferable, in general, - and may obviate the need for mission- or system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or be represented by multiple policies - that reflect the complex nature of organizations. Procedures can be - established for security and privacy programs, for mission or business - processes, and for systems, if needed. Procedures describe how the - policies or controls are implemented and can be directed at the individual - or role that is the object of the procedure. Procedures can be documented - in system security and privacy plans or in one or more separate documents. - Events that may precipitate an update to awareness and training policy - and procedures include assessment or audit findings, security incidents - or breaches, or changes in applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. Simply restating - controls does not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: AT-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01a.[01] - class: sp800-53A - prose: an awareness and training policy is developed and documented; - - name: objective - props: - - name: label - value: AT-01a.[02] - class: sp800-53A - prose: "the awareness and training policy is disseminated to\ - \ {{ insert: param, at-01_odp.01 }};" - - name: objective - props: - - name: label - value: AT-01a.[03] - class: sp800-53A - prose: awareness and training procedures to facilitate the implementation - of the awareness and training policy and associated access - controls are developed and documented; - - name: objective - props: - - name: label - value: AT-01a.[04] - class: sp800-53A - prose: "the awareness and training procedures are disseminated\ - \ to {{ insert: param, at-01_odp.02 }}." - - name: objective - props: - - name: label - value: AT-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses purpose;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses scope;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses roles;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses responsibilities;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses management commitment;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses coordination among\ - \ organizational entities;" - - name: objective - props: - - name: label - value: AT-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy addresses compliance; and" - - name: objective - props: - - name: label - value: AT-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.03 }} awareness\ - \ and training policy is consistent with applicable laws,\ - \ Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines; and" - - name: objective - props: - - name: label - value: AT-01b. - class: sp800-53A - prose: "the {{ insert: param, at-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the awareness\ - \ and training policy and procedures;" - - name: objective - props: - - name: label - value: AT-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01c.01[01] - class: sp800-53A - prose: "the current awareness and training policy is reviewed\ - \ and updated {{ insert: param, at-01_odp.05 }};" - - name: objective - props: - - name: label - value: AT-01c.01[02] - class: sp800-53A - prose: "the current awareness and training policy is reviewed\ - \ and updated following {{ insert: param, at-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: AT-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-01c.02[01] - class: sp800-53A - prose: "the current awareness and training procedures are\ - \ reviewed and updated {{ insert: param, at-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: AT-01c.02[02] - class: sp800-53A - prose: "the current awareness and training procedures are\ - \ reviewed and updated following {{ insert: param, at-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System security plan - - privacy plan - - awareness and training policy and procedures - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with awareness and training - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: at-2 - class: SP800-53 - title: Literacy Training and Awareness - params: - - id: at-2_prm_1 - props: - - name: aggregates - value: at-02_odp.01 - - name: aggregates - value: at-02_odp.02 - label: organization-defined frequency - - id: at-2_prm_2 - props: - - name: aggregates - value: at-02_odp.03 - - name: aggregates - value: at-02_odp.04 - label: organization-defined events - - id: at-02_odp.01 - props: - - name: label - value: AT-02_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to provide security literacy training - to system users (including managers, senior executives, and contractors) - after initial training is defined; - - id: at-02_odp.02 - props: - - name: label - value: AT-02_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to provide privacy literacy training - to system users (including managers, senior executives, and contractors) - after initial training is defined; - - id: at-02_odp.03 - props: - - name: label - value: AT-02_ODP[03] - label: events - guidelines: - - prose: events that require security literacy training for system - users are defined; - - id: at-02_odp.04 - props: - - name: label - value: AT-02_ODP[04] - label: events - guidelines: - - prose: events that require privacy literacy training for system - users are defined; - - id: at-02_odp.05 - props: - - name: legacy-identifier - value: at-2_prm_3 - - name: label - value: AT-02_ODP[05] - label: awareness techniques - guidelines: - - prose: techniques to be employed to increase the security and privacy - awareness of system users are defined; - - id: at-02_odp.06 - props: - - name: legacy-identifier - value: at-2_prm_4 - - name: label - value: AT-02_ODP[06] - label: frequency - guidelines: - - prose: the frequency at which to update literacy training and awareness - content is defined; - - id: at-02_odp.07 - props: - - name: legacy-identifier - value: at-2_prm_5 - - name: label - value: AT-02_ODP[07] - label: events - guidelines: - - prose: events that would require literacy training and awareness - content to be updated are defined; - props: - - name: label - value: AT-02 - - name: sort-id - value: at-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#89f2a08d-fc49-46d0-856e-bf974c9b1573" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-22" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-13" - rel: related - - href: "#pm-21" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-16" - rel: related - parts: - - id: at-2_smt - name: statement - parts: - - id: at-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide security and privacy literacy training to system\ - \ users (including managers, senior executives, and contractors):" - parts: - - id: at-2_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "As part of initial training for new users and {{ insert:\ - \ param, at-2_prm_1 }} thereafter; and" - - id: at-2_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: "When required by system changes or following {{ insert:\ - \ param, at-2_prm_2 }};" - - id: at-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following techniques to increase the security\ - \ and privacy awareness of system users {{ insert: param, at-02_odp.05\ - \ }};" - - id: at-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Update literacy training and awareness content {{ insert:\ - \ param, at-02_odp.06 }} and following {{ insert: param, at-02_odp.07\ - \ }} ; and" - - id: at-2_smt.d - name: item - props: - - name: label - value: d. - prose: Incorporate lessons learned from internal or external security - incidents or breaches into literacy training and awareness techniques. - - id: at-2_gdn - name: guidance - prose: >- - Organizations provide basic and advanced levels of literacy - training to system users, including measures to test the - knowledge level of users. Organizations determine the content of - literacy training and awareness based on specific organizational - requirements, the systems to which personnel have authorized - access, and work environments (e.g., telework). The content - includes an understanding of the need for security and privacy - as well as actions by users to maintain security and personal - privacy and to respond to suspected incidents. The content - addresses the need for operations security and the handling of - personally identifiable information. - - - Awareness techniques include displaying posters, offering supplies - inscribed with security and privacy reminders, displaying logon screen - messages, generating email advisories or notices from organizational - officials, and conducting awareness events. Literacy training after - the initial training described in [AT-2a.1](#at-2_smt.a.1) is conducted - at a minimum frequency consistent with applicable laws, directives, - regulations, and policies. Subsequent literacy training may be satisfied - by one or more short ad hoc sessions and include topical information - on recent attack schemes, changes to organizational security and privacy - policies, revised security and privacy expectations, or a subset of - topics from the initial training. Updating literacy training and awareness - content on a regular basis helps to ensure that the content remains - relevant. Events that may precipitate an update to literacy training - and awareness content include, but are not limited to, assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - name: objective - props: - - name: label - value: AT-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02a.01[01] - class: sp800-53A - prose: security literacy training is provided to system - users (including managers, senior executives, and contractors) - as part of initial training for new users; - - name: objective - props: - - name: label - value: AT-02a.01[02] - class: sp800-53A - prose: privacy literacy training is provided to system users - (including managers, senior executives, and contractors) - as part of initial training for new users; - - name: objective - props: - - name: label - value: AT-02a.01[03] - class: sp800-53A - prose: "security literacy training is provided to system\ - \ users (including managers, senior executives, and contractors)\ - \ {{ insert: param, at-02_odp.01 }} thereafter;" - - name: objective - props: - - name: label - value: AT-02a.01[04] - class: sp800-53A - prose: "privacy literacy training is provided to system\ - \ users (including managers, senior executives, and contractors)\ - \ {{ insert: param, at-02_odp.02 }} thereafter;" - - name: objective - props: - - name: label - value: AT-02a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02a.02[01] - class: sp800-53A - prose: "security literacy training is provided to system\ - \ users (including managers, senior executives, and contractors)\ - \ when required by system changes or following {{ insert:\ - \ param, at-02_odp.03 }};" - - name: objective - props: - - name: label - value: AT-02a.02[02] - class: sp800-53A - prose: "privacy literacy training is provided to system\ - \ users (including managers, senior executives, and contractors)\ - \ when required by system changes or following {{ insert:\ - \ param, at-02_odp.04 }};" - - name: objective - props: - - name: label - value: AT-02b - class: sp800-53A - prose: "{{ insert: param, at-02_odp.05 }} are employed to increase\ - \ the security and privacy awareness of system users;" - - name: objective - props: - - name: label - value: AT-02c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02c.[01] - class: sp800-53A - prose: "literacy training and awareness content is updated {{\ - \ insert: param, at-02_odp.06 }};" - - name: objective - props: - - name: label - value: AT-02c.[02] - class: sp800-53A - prose: "literacy training and awareness content is updated following\ - \ {{ insert: param, at-02_odp.07 }};" - - name: objective - props: - - name: label - value: AT-02d. - class: sp800-53A - prose: lessons learned from internal or external security incidents - or breaches are incorporated into literacy training and awareness - techniques. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness implementation - - - appropriate codes of federal regulations - - - security and privacy literacy training curriculum - - - security and privacy literacy training materials - - - training records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel comprising the general system user community - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AT-02-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms managing information security and privacy - literacy training - controls: - - id: at-2.1 - class: SP800-53-enhancement - title: Practical Exercises - props: - - name: label - value: AT-02(01) - - name: sort-id - value: at-02.01 - links: - - href: "#at-2" - rel: required - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-3" - rel: related - parts: - - id: at-2.1_smt - name: statement - prose: Provide practical exercises in literacy training that simulate - events and incidents. - - id: at-2.1_gdn - name: guidance - prose: Practical exercises include no-notice social engineering - attempts to collect information, gain unauthorized access, or - simulate the adverse impact of opening malicious email attachments - or invoking, via spear phishing attacks, malicious web links. - - name: objective - props: - - name: label - value: AT-02(01) - class: sp800-53A - prose: practical exercises in literacy training that simulate events - and incidents are provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - security awareness and training policy - - - procedures addressing security awareness training implementation - - - security awareness training curriculum - - - security awareness training materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in security - awareness training - - - organizational personnel with responsibilities for security - awareness training - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AT-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing cyber-attack simulations - in practical exercises - - id: at-2.2 - class: SP800-53-enhancement - title: Insider Threat - props: - - name: label - value: AT-02(02) - - name: sort-id - value: at-02.02 - links: - - href: "#at-2" - rel: required - - href: "#pm-12" - rel: related - parts: - - id: at-2.2_smt - name: statement - prose: Provide literacy training on recognizing and reporting potential - indicators of insider threat. - - id: at-2.2_gdn - name: guidance - prose: Potential indicators and possible precursors of insider threat - can include behaviors such as inordinate, long-term job dissatisfaction; - attempts to gain access to information not required for job performance; - unexplained access to financial resources; bullying or harassment - of fellow employees; workplace violence; and other serious violations - of policies, procedures, directives, regulations, rules, or practices. - Literacy training includes how to communicate the concerns of - employees and management regarding potential indicators of insider - threat through channels established by the organization and in - accordance with established policies and procedures. Organizations - may consider tailoring insider threat awareness topics to the - role. For example, training for managers may be focused on changes - in the behavior of team members, while training for employees - may be focused on more general observations. - - name: objective - props: - - name: label - value: AT-02(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02(02)[01] - class: sp800-53A - prose: literacy training on recognizing potential indicators - of insider threat is provided; - - name: objective - props: - - name: label - value: AT-02(02)[02] - class: sp800-53A - prose: literacy training on reporting potential indicators of - insider threat is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness implementation - - - literacy training and awareness curriculum - - - literacy training and awareness materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in literacy - training and awareness - - - organizational personnel with responsibilities for literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - id: at-2.3 - class: SP800-53-enhancement - title: Social Engineering and Mining - props: - - name: label - value: AT-02(03) - - name: sort-id - value: at-02.03 - links: - - href: "#at-2" - rel: required - parts: - - id: at-2.3_smt - name: statement - prose: Provide literacy training on recognizing and reporting potential - and actual instances of social engineering and social mining. - - id: at-2.3_gdn - name: guidance - prose: Social engineering is an attempt to trick an individual into - revealing information or taking an action that can be used to - breach, compromise, or otherwise adversely impact a system. Social - engineering includes phishing, pretexting, impersonation, baiting, - quid pro quo, thread-jacking, social media exploitation, and tailgating. - Social mining is an attempt to gather information about the organization - that may be used to support future attacks. Literacy training - includes information on how to communicate the concerns of employees - and management regarding potential and actual instances of social - engineering and data mining through organizational channels based - on established policies and procedures. - - name: objective - props: - - name: label - value: AT-02(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02(03)[01] - class: sp800-53A - prose: literacy training on recognizing potential and actual - instances of social engineering is provided; - - name: objective - props: - - name: label - value: AT-02(03)[02] - class: sp800-53A - prose: literacy training on reporting potential and actual instances - of social engineering is provided; - - name: objective - props: - - name: label - value: AT-02(03)[03] - class: sp800-53A - prose: literacy training on recognizing potential and actual - instances of social mining is provided; - - name: objective - props: - - name: label - value: AT-02(03)[04] - class: sp800-53A - prose: literacy training on reporting potential and actual instances - of social mining is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness implementation - - - literacy training and awareness curriculum - - - literacy training and awareness materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in literacy - training and awareness - - - organizational personnel with responsibilities for literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - id: at-2.4 - class: SP800-53-enhancement - title: Suspicious Communications and Anomalous System Behavior - params: - - id: at-02.04_odp - props: - - name: legacy-identifier - value: at-2.4_prm_1 - - name: label - value: AT-02(04)_ODP - label: indicators of malicious code - guidelines: - - prose: indicators of malicious code are defined; - props: - - name: label - value: AT-02(04) - - name: sort-id - value: at-02.04 - links: - - href: "#at-2" - rel: required - parts: - - id: at-2.4_smt - name: statement - prose: "Provide literacy training on recognizing suspicious communications\ - \ and anomalous behavior in organizational systems using {{ insert:\ - \ param, at-02.04_odp }}." - - id: at-2.4_gdn - name: guidance - prose: A well-trained workforce provides another organizational - control that can be employed as part of a defense-in-depth strategy - to protect against malicious code coming into organizations via - email or the web applications. Personnel are trained to look for - indications of potentially suspicious email (e.g., receiving an - unexpected email, receiving an email containing strange or poor - grammar, or receiving an email from an unfamiliar sender that - appears to be from a known sponsor or contractor). Personnel are - also trained on how to respond to suspicious email or web communications. - For this process to work effectively, personnel are trained and - made aware of what constitutes suspicious communications. Training - personnel on how to recognize anomalous behaviors in systems can - provide organizations with early warning for the presence of malicious - code. Recognition of anomalous behavior by organizational personnel - can supplement malicious code detection and protection tools and - systems employed by organizations. - - name: objective - props: - - name: label - value: AT-02(04) - class: sp800-53A - prose: "literacy training on recognizing suspicious communications\ - \ and anomalous behavior in organizational systems using {{ insert:\ - \ param, at-02.04_odp }} is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness implementation - - - literacy training and awareness curriculum - - - literacy training and awareness materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in literacy - training and awareness - - - organizational personnel with responsibilities for basic literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - id: at-2.5 - class: SP800-53-enhancement - title: Advanced Persistent Threat - props: - - name: label - value: AT-02(05) - - name: sort-id - value: at-02.05 - links: - - href: "#at-2" - rel: required - parts: - - id: at-2.5_smt - name: statement - prose: Provide literacy training on the advanced persistent threat. - - id: at-2.5_gdn - name: guidance - prose: An effective way to detect advanced persistent threats (APT) - and to preclude successful attacks is to provide specific literacy - training for individuals. Threat literacy training includes educating - individuals on the various ways that APTs can infiltrate the organization - (e.g., through websites, emails, advertisement pop-ups, articles, - and social engineering). Effective training includes techniques - for recognizing suspicious emails, use of removable systems in - non-secure settings, and the potential targeting of individuals - at home. - - name: objective - props: - - name: label - value: AT-02(05) - class: sp800-53A - prose: literacy training on the advanced persistent threat is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness implementation - - - literacy training and awareness curriculum - - - literacy training and awareness materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in literacy - training and awareness - - - organizational personnel with responsibilities for basic literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - id: at-2.6 - class: SP800-53-enhancement - title: Cyber Threat Environment - props: - - name: label - value: AT-02(06) - - name: sort-id - value: at-02.06 - links: - - href: "#at-2" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: at-2.6_smt - name: statement - parts: - - id: at-2.6_smt.a - name: item - props: - - name: label - value: (a) - prose: Provide literacy training on the cyber threat environment; - and - - id: at-2.6_smt.b - name: item - props: - - name: label - value: (b) - prose: Reflect current cyber threat information in system operations. - - id: at-2.6_gdn - name: guidance - prose: Since threats continue to change over time, threat literacy - training by the organization is dynamic. Moreover, threat literacy - training is not performed in isolation from the system operations - that support organizational mission and business functions. - - name: objective - props: - - name: label - value: AT-02(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-02(06)(a) - class: sp800-53A - prose: literacy training on the cyber threat environment is - provided; - - name: objective - props: - - name: label - value: AT-02(06)(b) - class: sp800-53A - prose: system operations reflects current cyber threat information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - literacy training and awareness policy - - - procedures addressing literacy training and awareness training - implementation - - - literacy training and awareness curriculum - - - literacy training and awareness materials - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel who participate in literacy - training and awareness - - - organizational personnel with responsibilities for basic literacy - training and awareness - - - organizational personnel with information security and privacy - responsibilities - - id: at-3 - class: SP800-53 - title: Role-based Training - params: - - id: at-3_prm_1 - props: - - name: aggregates - value: at-03_odp.01 - - name: aggregates - value: at-03_odp.02 - label: organization-defined roles and responsibilities - - id: at-03_odp.01 - props: - - name: label - value: AT-03_ODP[01] - label: roles and responsibilities - guidelines: - - prose: roles and responsibilities for role-based security training - are defined; - - id: at-03_odp.02 - props: - - name: label - value: AT-03_ODP[02] - label: roles and responsibilities - guidelines: - - prose: roles and responsibilities for role-based privacy training - are defined; - - id: at-03_odp.03 - props: - - name: legacy-identifier - value: at-3_prm_2 - - name: label - value: AT-03_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to provide role-based security and - privacy training to assigned personnel after initial training - is defined; - - id: at-03_odp.04 - props: - - name: legacy-identifier - value: at-3_prm_3 - - name: label - value: AT-03_ODP[04] - label: frequency - guidelines: - - prose: the frequency at which to update role-based training content - is defined; - - id: at-03_odp.05 - props: - - name: legacy-identifier - value: at-3_prm_4 - - name: label - value: AT-03_ODP[05] - label: events - guidelines: - - prose: events that require role-based training content to be updated - are defined; - props: - - name: label - value: AT-03 - - name: sort-id - value: at-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-22" - rel: related - - href: "#at-2" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-13" - rel: related - - href: "#pm-23" - rel: related - - href: "#ps-7" - rel: related - - href: "#ps-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-16" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: at-3_smt - name: statement - parts: - - id: at-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide role-based security and privacy training to personnel\ - \ with the following roles and responsibilities: {{ insert: param,\ - \ at-3_prm_1 }}:" - parts: - - id: at-3_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "Before authorizing access to the system, information,\ - \ or performing assigned duties, and {{ insert: param, at-03_odp.03\ - \ }} thereafter; and" - - id: at-3_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: When required by system changes; - - id: at-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Update role-based training content {{ insert: param, at-03_odp.04\ - \ }} and following {{ insert: param, at-03_odp.05 }} ; and" - - id: at-3_smt.c - name: item - props: - - name: label - value: c. - prose: Incorporate lessons learned from internal or external security - incidents or breaches into role-based training. - - id: at-3_gdn - name: guidance - prose: >- - Organizations determine the content of training based on the - assigned roles and responsibilities of individuals as well as - the security and privacy requirements of organizations and the - systems to which personnel have authorized access, including - technical training specifically tailored for assigned duties. - Roles that may require role-based training include senior - leaders or management officials (e.g., head of agency/chief - executive officer, chief information officer, senior accountable - official for risk management, senior agency information security - officer, senior agency official for privacy), system owners; - authorizing officials; system security officers; privacy - officers; acquisition and procurement officials; enterprise - architects; systems engineers; software developers; systems - security engineers; privacy engineers; system, network, and - database administrators; auditors; personnel conducting - configuration management activities; personnel performing - verification and validation activities; personnel with access to - system-level software; control assessors; personnel with - contingency planning and incident response duties; personnel - with privacy management responsibilities; and personnel with - access to personally identifiable information. - - - Comprehensive role-based training addresses management, operational, - and technical roles and responsibilities covering physical, personnel, - and technical controls. Role-based training also includes policies, - procedures, tools, methods, and artifacts for the security and privacy - roles defined. Organizations provide the training necessary for individuals - to fulfill their responsibilities related to operations and supply - chain risk management within the context of organizational security - and privacy programs. Role-based training also applies to contractors - who provide services to federal agencies. Types of training include - web-based and computer-based training, classroom-style training, and - hands-on training (including micro-training). Updating role-based - training on a regular basis helps to ensure that the content remains - relevant and effective. Events that may precipitate an update to role-based - training content include, but are not limited to, assessment or audit - findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - name: objective - props: - - name: label - value: AT-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03a.01[01] - class: sp800-53A - prose: "role-based security training is provided to {{ insert:\ - \ param, at-03_odp.01 }} before authorizing access to\ - \ the system, information, or performing assigned duties;" - - name: objective - props: - - name: label - value: AT-03a.01[02] - class: sp800-53A - prose: "role-based privacy training is provided to {{ insert:\ - \ param, at-03_odp.02 }} before authorizing access to\ - \ the system, information, or performing assigned duties;" - - name: objective - props: - - name: label - value: AT-03a.01[03] - class: sp800-53A - prose: "role-based security training is provided to {{ insert:\ - \ param, at-03_odp.01 }} {{ insert: param, at-03_odp.03\ - \ }} thereafter;" - - name: objective - props: - - name: label - value: AT-03a.01[04] - class: sp800-53A - prose: "role-based privacy training is provided to {{ insert:\ - \ param, at-03_odp.02 }} {{ insert: param, at-03_odp.03\ - \ }} thereafter;" - - name: objective - props: - - name: label - value: AT-03a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03a.02[01] - class: sp800-53A - prose: role-based security training is provided to personnel - with assigned security roles and responsibilities when - required by system changes; - - name: objective - props: - - name: label - value: AT-03a.02[02] - class: sp800-53A - prose: role-based privacy training is provided to personnel - with assigned security roles and responsibilities when - required by system changes; - - name: objective - props: - - name: label - value: AT-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03b.[01] - class: sp800-53A - prose: "role-based training content is updated {{ insert: param,\ - \ at-03_odp.04 }};" - - name: objective - props: - - name: label - value: AT-03b.[02] - class: sp800-53A - prose: "role-based training content is updated following {{\ - \ insert: param, at-03_odp.05 }};" - - name: objective - props: - - name: label - value: AT-03c. - class: sp800-53A - prose: lessons learned from internal or external security incidents - or breaches are incorporated into role-based training. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - security and privacy awareness and training policy - - - procedures addressing security and privacy training implementation - - - codes of federal regulations - - - security and privacy training curriculum - - - security and privacy training materials - - - training records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - role-based security and privacy training - - - organizational personnel with assigned system security and privacy - roles and responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AT-03-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms managing role-based security and privacy - training - controls: - - id: at-3.1 - class: SP800-53-enhancement - title: Environmental Controls - params: - - id: at-03.01_odp.01 - props: - - name: legacy-identifier - value: at-3.1_prm_1 - - name: label - value: AT-03(01)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be provided with initial and refresher - training in the employment and operation of environmental - controls are defined; - - id: at-03.01_odp.02 - props: - - name: legacy-identifier - value: at-3.1_prm_2 - - name: label - value: AT-03(01)_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to provide refresher training - in the employment and operation of environmental controls - is defined; - props: - - name: label - value: AT-03(01) - - name: sort-id - value: at-03.01 - links: - - href: "#at-3" - rel: required - - href: "#pe-1" - rel: related - - href: "#pe-11" - rel: related - - href: "#pe-13" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-15" - rel: related - parts: - - id: at-3.1_smt - name: statement - prose: "Provide {{ insert: param, at-03.01_odp.01 }} with initial\ - \ and {{ insert: param, at-03.01_odp.02 }} training in the employment\ - \ and operation of environmental controls." - - id: at-3.1_gdn - name: guidance - prose: Environmental controls include fire suppression and detection - devices or systems, sprinkler systems, handheld fire extinguishers, - fixed fire hoses, smoke detectors, temperature or humidity, heating, - ventilation, air conditioning, and power within the facility. - - name: objective - props: - - name: label - value: AT-03(01) - class: sp800-53A - prose: "{{ insert: param, at-03.01_odp.01 }} are provided with initial\ - \ and refresher training {{ insert: param, at-03.01_odp.02 }}\ - \ in the employment and operation of environmental." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy awareness and training policy - - - procedures addressing security and privacy training implementation - - - security and privacy training curriculum - - - security and privacy training materials - - - system security plan - - - privacy plan - - - training records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - role-based security and privacy training - - - organizational personnel with responsibilities for employing - and operating environmental controls - - id: at-3.2 - class: SP800-53-enhancement - title: Physical Security Controls - params: - - id: at-03.02_odp.01 - props: - - name: legacy-identifier - value: at-3.2_prm_1 - - name: label - value: AT-03(02)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be provided with initial and refresher - training in the employment and operation of physical security - controls is/are defined; - - id: at-03.02_odp.02 - props: - - name: legacy-identifier - value: at-3.2_prm_2 - - name: label - value: AT-03(02)_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to provide refresher training - in the employment and operation of physical security controls - is defined; - props: - - name: label - value: AT-03(02) - - name: sort-id - value: at-03.02 - links: - - href: "#at-3" - rel: required - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - parts: - - id: at-3.2_smt - name: statement - prose: "Provide {{ insert: param, at-03.02_odp.01 }} with initial\ - \ and {{ insert: param, at-03.02_odp.02 }} training in the employment\ - \ and operation of physical security controls." - - id: at-3.2_gdn - name: guidance - prose: Physical security controls include physical access control - devices, physical intrusion and detection alarms, operating procedures - for facility security guards, and monitoring or surveillance equipment. - - name: objective - props: - - name: label - value: AT-03(02) - class: sp800-53A - prose: "{{ insert: param, at-03.02_odp.01 }} is/are provided with\ - \ initial and refresher training {{ insert: param, at-03.02_odp.02\ - \ }} in the employment and operation of physical security controls." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy awareness and training policy - - - procedures addressing security and privacy training implementation - - - security and privacy training curriculum - - - security and privacy training materials - - - system security plan - - - privacy plan - - - training records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - role-based security and privacy training - - - organizational personnel with responsibilities for employing - and operating physical security controls - - id: at-3.3 - class: SP800-53-enhancement - title: Practical Exercises - props: - - name: label - value: AT-03(03) - - name: sort-id - value: at-03.03 - links: - - href: "#at-3" - rel: required - parts: - - id: at-3.3_smt - name: statement - prose: Provide practical exercises in security and privacy training - that reinforce training objectives. - - id: at-3.3_gdn - name: guidance - prose: Practical exercises for security include training for software - developers that addresses simulated attacks that exploit common - software vulnerabilities or spear or whale phishing attacks targeted - at senior leaders or executives. Practical exercises for privacy - include modules with quizzes on identifying and processing personally - identifiable information in various scenarios or scenarios on - conducting privacy impact assessments. - - name: objective - props: - - name: label - value: AT-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-03(03)[01] - class: sp800-53A - prose: practical exercises in security training that reinforce - training objectives are provided; - - name: objective - props: - - name: label - value: AT-03(03)[02] - class: sp800-53A - prose: practical exercises in privacy training that reinforce - training objectives are provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy awareness and training policy - - - procedures addressing security and privacy awareness training - implementation - - - security and privacy awareness training curriculum - - - security and privacy awareness training materials - - - security and privacy awareness training reports and results - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - role-based security and privacy training - - - organizational personnel who participate in security and privacy - awareness training - - id: at-3.4 - class: SP800-53-enhancement - title: Suspicious Communications and Anomalous System Behavior - props: - - name: label - value: AT-03(04) - - name: sort-id - value: at-03.04 - - name: status - value: withdrawn - links: - - href: "#at-2.4" - rel: moved-to - - id: at-3.5 - class: SP800-53-enhancement - title: Processing Personally Identifiable Information - params: - - id: at-03.05_odp.01 - props: - - name: legacy-identifier - value: at-3.5_prm_1 - - name: label - value: AT-03(05)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be provided with initial and refresher - training in the employment and operation of personally identifiable - information processing and transparency controls is/are defined; - - id: at-03.05_odp.02 - props: - - name: legacy-identifier - value: at-3.5_prm_2 - - name: label - value: AT-03(05)_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to provide refresher training - in the employment and operation of personally identifiable - information processing and transparency controls is defined; - props: - - name: label - value: AT-03(05) - - name: sort-id - value: at-03.05 - links: - - href: "#at-3" - rel: required - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - parts: - - id: at-3.5_smt - name: statement - prose: "Provide {{ insert: param, at-03.05_odp.01 }} with initial\ - \ and {{ insert: param, at-03.05_odp.02 }} training in the employment\ - \ and operation of personally identifiable information processing\ - \ and transparency controls." - - id: at-3.5_gdn - name: guidance - prose: Personally identifiable information processing and transparency - controls include the organization’s authority to process personally - identifiable information and personally identifiable information - processing purposes. Role-based training for federal agencies - addresses the types of information that may constitute personally - identifiable information and the risks, considerations, and obligations - associated with its processing. Such training also considers the - authority to process personally identifiable information documented - in privacy policies and notices, system of records notices, computer - matching agreements and notices, privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - statements, contracts, information sharing agreements, memoranda - of understanding, and/or other documentation. - - name: objective - props: - - name: label - value: AT-03(05) - class: sp800-53A - prose: "{{ insert: param, at-03.05_odp.01 }} are provided with initial\ - \ and refresher training {{ insert: param, at-03.05_odp.02 }}\ - \ in the employment and operation of personally identifiable information\ - \ processing and transparency controls." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy awareness and training policy - - - procedures addressing security and privacy awareness training - implementation - - - security and privacy awareness training curriculum - - - security and privacy awareness training materials - - - system security plan - - - privacy plan - - - organizational privacy notices - - - organizational policies - - - system of records notices - - - Privacy Act statements - - - computer matching agreements and notices - - - privacy impact assessments - - - information sharing agreements - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - role-based security and privacy training - - - organizational personnel who participate in security and privacy - awareness training - - id: at-4 - class: SP800-53 - title: Training Records - params: - - id: at-04_odp - props: - - name: legacy-identifier - value: at-4_prm_1 - - name: label - value: AT-04_ODP - label: time period - guidelines: - - prose: time period for retaining individual training records is - defined; - props: - - name: label - value: AT-04 - - name: sort-id - value: at-04 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - - href: "#pm-14" - rel: related - - href: "#si-12" - rel: related - parts: - - id: at-4_smt - name: statement - parts: - - id: at-4_smt.a - name: item - props: - - name: label - value: a. - prose: Document and monitor information security and privacy training - activities, including security and privacy awareness training - and specific role-based security and privacy training; and - - id: at-4_smt.b - name: item - props: - - name: label - value: b. - prose: "Retain individual training records for {{ insert: param,\ - \ at-04_odp }}." - - id: at-4_gdn - name: guidance - prose: Documentation for specialized training may be maintained by individual - supervisors at the discretion of the organization. The National Archives - and Records Administration provides guidance on records retention - for federal agencies. - - name: objective - props: - - name: label - value: AT-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AT-04a.[01] - class: sp800-53A - prose: information security and privacy training activities, - including security and privacy awareness training and specific - role-based security and privacy training, are documented; - - name: objective - props: - - name: label - value: AT-04a.[02] - class: sp800-53A - prose: information security and privacy training activities, - including security and privacy awareness training and specific - role-based security and privacy training, are monitored; - - name: objective - props: - - name: label - value: AT-04b. - class: sp800-53A - prose: "individual training records are retained for {{ insert:\ - \ param, at-04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Security and privacy awareness and training policy - - procedures addressing security and privacy training records - - security and privacy awareness and training records - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-04-Interview - class: sp800-53A - parts: - - name: objects - prose: Organizational personnel with information security and privacy - training record retention responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AT-04-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting management of security and - privacy training records - - id: at-5 - class: SP800-53 - title: Contacts with Security Groups and Associations - props: - - name: label - value: AT-05 - - name: sort-id - value: at-05 - - name: status - value: withdrawn - links: - - href: "#pm-15" - rel: incorporated-into - - id: at-6 - class: SP800-53 - title: Training Feedback - params: - - id: at-06_odp.01 - props: - - name: legacy-identifier - value: at-6_prm_1 - - name: label - value: AT-06_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to provide feedback on organizational - training results is defined; - - id: at-06_odp.02 - props: - - name: legacy-identifier - value: at-6_prm_2 - - name: label - value: AT-06_ODP[02] - label: personnel - guidelines: - - prose: personnel to whom feedback on organizational training results - will be provided is/are assigned; - props: - - name: label - value: AT-06 - - name: sort-id - value: at-06 - parts: - - id: at-6_smt - name: statement - prose: "Provide feedback on organizational training results to the following\ - \ personnel {{ insert: param, at-06_odp.01 }}: {{ insert: param, at-06_odp.02\ - \ }}." - - id: at-6_gdn - name: guidance - prose: Training feedback includes awareness training results and role-based - training results. Training results, especially failures of personnel - in critical roles, can be indicative of a potentially serious problem. - Therefore, it is important that senior managers are made aware of - such situations so that they can take appropriate response actions. - Training feedback supports the evaluation and update of organizational - training described in [AT-2b](#at-2_smt.b) and [AT-3b](#at-3_smt.b). - - name: objective - props: - - name: label - value: AT-06 - class: sp800-53A - prose: "feedback on organizational training results is provided {{ insert:\ - \ param, at-06_odp.01 }} to {{ insert: param, at-06_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AT-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Security awareness and training policy - - procedures addressing security training records - - security awareness and training records - - security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AT-06-Interview - class: sp800-53A - parts: - - name: objects - prose: Organizational personnel with information security training - record retention responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AT-06-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting management of security training - records - - id: au - class: family - title: Audit and Accountability - controls: - - id: au-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: au-1_prm_1 - props: - - name: aggregates - value: au-01_odp.01 - - name: aggregates - value: au-01_odp.02 - label: organization-defined personnel or roles - - id: au-01_odp.01 - props: - - name: label - value: AU-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the audit and accountability policy - is to be disseminated is/are defined; - - id: au-01_odp.02 - props: - - name: label - value: AU-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the audit and accountability procedures - are to be disseminated is/are defined; - - id: au-01_odp.03 - props: - - name: legacy-identifier - value: au-1_prm_2 - - name: label - value: AU-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: au-01_odp.04 - props: - - name: legacy-identifier - value: au-1_prm_3 - - name: label - value: AU-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the audit and accountability policy - and procedures is defined; - - id: au-01_odp.05 - props: - - name: legacy-identifier - value: au-1_prm_4 - - name: label - value: AU-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current audit and accountability - policy is reviewed and updated is defined; - - id: au-01_odp.06 - props: - - name: legacy-identifier - value: au-1_prm_5 - - name: label - value: AU-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current audit and accountability - policy to be reviewed and updated are defined; - - id: au-01_odp.07 - props: - - name: legacy-identifier - value: au-1_prm_6 - - name: label - value: AU-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current audit and accountability - procedures are reviewed and updated is defined; - - id: au-01_odp.08 - props: - - name: legacy-identifier - value: au-1_prm_7 - - name: label - value: AU-01_ODP[08] - label: events - guidelines: - - prose: events that would require audit and accountability procedures - to be reviewed and updated are defined; - props: - - name: label - value: AU-01 - - name: sort-id - value: au-01 - links: - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-1_smt - name: statement - parts: - - id: au-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ au-1_prm_1 }}:" - parts: - - id: au-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, au-01_odp.03 }} audit and accountability\ - \ policy that:" - parts: - - id: au-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: au-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: au-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the audit - and accountability policy and the associated audit and accountability - controls; - - id: au-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, au-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the audit\ - \ and accountability policy and procedures; and" - - id: au-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current audit and accountability:" - parts: - - id: au-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, au-01_odp.05 }} and following\ - \ {{ insert: param, au-01_odp.06 }} ; and" - - id: au-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, au-01_odp.07 }} and following\ - \ {{ insert: param, au-01_odp.08 }}." - - id: au-1_gdn - name: guidance - prose: Audit and accountability policy and procedures address the controls - in the AU family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of audit and accountability - policy and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies that reflect the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to audit and accountability policy and procedures - include assessment or audit findings, security incidents or breaches, - or changes in applicable laws, executive orders, directives, regulations, - policies, standards, and guidelines. Simply restating controls does - not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: AU-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01a.[01] - class: sp800-53A - prose: an audit and accountability policy is developed and documented; - - name: objective - props: - - name: label - value: AU-01a.[02] - class: sp800-53A - prose: "the audit and accountability policy is disseminated\ - \ to {{ insert: param, au-01_odp.01 }};" - - name: objective - props: - - name: label - value: AU-01a.[03] - class: sp800-53A - prose: audit and accountability procedures to facilitate the - implementation of the audit and accountability policy and - associated audit and accountability controls are developed - and documented; - - name: objective - props: - - name: label - value: AU-01a.[04] - class: sp800-53A - prose: "the audit and accountability procedures are disseminated\ - \ to {{ insert: param, au-01_odp.02 }};" - - name: objective - props: - - name: label - value: AU-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses purpose;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses scope;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses roles;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses responsibilities;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: AU-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the\ - \ audit and accountability policy addresses compliance;" - - name: objective - props: - - name: label - value: AU-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.03 }} of the audit\ - \ and accountability policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: AU-01b. - class: sp800-53A - prose: "the {{ insert: param, au-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the audit\ - \ and accountability policy and procedures;" - - name: objective - props: - - name: label - value: AU-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01c.01[01] - class: sp800-53A - prose: "the current audit and accountability policy is reviewed\ - \ and updated {{ insert: param, au-01_odp.05 }};" - - name: objective - props: - - name: label - value: AU-01c.01[02] - class: sp800-53A - prose: "the current audit and accountability policy is reviewed\ - \ and updated following {{ insert: param, au-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: AU-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-01c.02[01] - class: sp800-53A - prose: "the current audit and accountability procedures\ - \ are reviewed and updated {{ insert: param, au-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: AU-01c.02[02] - class: sp800-53A - prose: "the current audit and accountability procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ au-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: au-2 - class: SP800-53 - title: Event Logging - params: - - id: au-2_prm_2 - props: - - name: aggregates - value: au-02_odp.02 - - name: aggregates - value: au-02_odp.03 - label: organization-defined event types (subset of the event types defined - in[AU-2a.](#au-2_smt.a)) along with the frequency of (or situation - requiring) logging for each identified event type - - id: au-02_odp.01 - props: - - name: legacy-identifier - value: au-2_prm_1 - - name: label - value: AU-02_ODP[01] - label: event types - guidelines: - - prose: the event types that the system is capable of logging in - support of the audit function are defined; - - id: au-02_odp.02 - props: - - name: label - value: AU-02_ODP[02] - label: event types (subset of AU-02_ODP[01]) - guidelines: - - prose: the event types (subset of AU-02_ODP[01]) for logging within - the system are defined; - - id: au-02_odp.03 - props: - - name: label - value: AU-02_ODP[03] - label: frequency or situation - guidelines: - - prose: the frequency or situation requiring logging for each specified - event type is defined; - - id: au-02_odp.04 - props: - - name: legacy-identifier - value: au-2_prm_3 - - name: label - value: AU-02_ODP[04] - label: frequency - guidelines: - - prose: the frequency of event types selected for logging are reviewed - and updated; - props: - - name: label - value: AU-02 - - name: sort-id - value: au-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#5eee45d8-3313-4fdc-8d54-1742092bbdd6" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-13" - rel: related - - href: "#ia-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pm-21" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - - href: "#si-11" - rel: related - parts: - - id: au-2_smt - name: statement - parts: - - id: au-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify the types of events that the system is capable\ - \ of logging in support of the audit function: {{ insert: param,\ - \ au-02_odp.01 }};" - - id: au-2_smt.b - name: item - props: - - name: label - value: b. - prose: Coordinate the event logging function with other organizational - entities requiring audit-related information to guide and inform - the selection criteria for events to be logged; - - id: au-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Specify the following event types for logging within the\ - \ system: {{ insert: param, au-2_prm_2 }};" - - id: au-2_smt.d - name: item - props: - - name: label - value: d. - prose: Provide a rationale for why the event types selected for - logging are deemed to be adequate to support after-the-fact investigations - of incidents; and - - id: au-2_smt.e - name: item - props: - - name: label - value: e. - prose: "Review and update the event types selected for logging {{\ - \ insert: param, au-02_odp.04 }}." - - id: au-2_gdn - name: guidance - prose: >- - An event is an observable occurrence in a system. The types of - events that require logging are those events that are - significant and relevant to the security of systems and the - privacy of individuals. Event logging also supports specific - monitoring and auditing needs. Event types include password - changes, failed logons or failed accesses related to systems, - security or privacy attribute changes, administrative privilege - usage, PIV credential usage, data action changes, query - parameters, or external credential usage. In determining the set - of event types that require logging, organizations consider the - monitoring and auditing appropriate for each of the controls to - be implemented. For completeness, event logging includes all - protocols that are operational and supported by the system. - - - To balance monitoring and auditing requirements with other system - needs, event logging requires identifying the subset of event types - that are logged at a given point in time. For example, organizations - may determine that systems need the capability to log every file access - successful and unsuccessful, but not activate that capability except - for specific circumstances due to the potential burden on system performance. - The types of events that organizations desire to be logged may change. - Reviewing and updating the set of logged events is necessary to help - ensure that the events remain relevant and continue to support the - needs of the organization. Organizations consider how the types of - logging events can reveal information about individuals that may give - rise to privacy risk and how best to mitigate such risks. For example, - there is the potential to reveal personally identifiable information - in the audit trail, especially if the logging event is based on patterns - or time of usage. - - - Event logging requirements, including the need to log specific event - types, may be referenced in other controls and control enhancements. - These include [AC-2(4)](#ac-2.4), [AC-3(10)](#ac-3.10), [AC-6(9)](#ac-6.9), - [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](#ia-3.3_smt.b), - [MA-4(1)](#ma-4.1), [MP-4(2)](#mp-4.2), [PE-3](#pe-3), [PM-21](#pm-21), - [PT-7](#pt-7), [RA-8](#ra-8), [SC-7(9)](#sc-7.9), [SC-7(15)](#sc-7.15), - [SI-3(8)](#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](#si-7.8) , and - [SI-10(1)](#si-10.1) . Organizations include event types that are - required by applicable laws, executive orders, directives, policies, - regulations, standards, and guidelines. Audit records can be generated - at various levels, including at the packet level as information traverses - the network. Selecting the appropriate level of event logging is an - important part of a monitoring and auditing capability and can identify - the root causes of problems. When defining event types, organizations - consider the logging necessary to cover related event types, such - as the steps in distributed, transaction-based processes and the actions - that occur in service-oriented architectures. - - name: objective - props: - - name: label - value: AU-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-02a. - class: sp800-53A - prose: "{{ insert: param, au-02_odp.01 }} that the system is capable\ - \ of logging are identified in support of the audit logging function;" - - name: objective - props: - - name: label - value: AU-02b. - class: sp800-53A - prose: the event logging function is coordinated with other organizational - entities requiring audit-related information to guide and inform - the selection criteria for events to be logged; - - name: objective - props: - - name: label - value: AU-02c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-02c.[01] - class: sp800-53A - prose: "{{ insert: param, au-02_odp.02 }} are specified for\ - \ logging within the system;" - - name: objective - props: - - name: label - value: AU-02c.[02] - class: sp800-53A - prose: "the specified event types are logged within the system\ - \ {{ insert: param, au-02_odp.03 }};" - - name: objective - props: - - name: label - value: AU-02d. - class: sp800-53A - prose: a rationale is provided for why the event types selected - for logging are deemed to be adequate to support after-the-fact - investigations of incidents; - - name: objective - props: - - name: label - value: AU-02e. - class: sp800-53A - prose: "the event types selected for logging are reviewed and updated\ - \ {{ insert: param, au-02_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - procedures addressing auditable events - - system security plan - - privacy plan - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system auditable events - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-02-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing system auditing - controls: - - id: au-2.1 - class: SP800-53-enhancement - title: Compilation of Audit Records from Multiple Sources - props: - - name: label - value: AU-02(01) - - name: sort-id - value: au-02.01 - - name: status - value: withdrawn - links: - - href: "#au-12" - rel: incorporated-into - - id: au-2.2 - class: SP800-53-enhancement - title: Selection of Audit Events by Component - props: - - name: label - value: AU-02(02) - - name: sort-id - value: au-02.02 - - name: status - value: withdrawn - links: - - href: "#au-12" - rel: incorporated-into - - id: au-2.3 - class: SP800-53-enhancement - title: Reviews and Updates - props: - - name: label - value: AU-02(03) - - name: sort-id - value: au-02.03 - - name: status - value: withdrawn - links: - - href: "#au-2" - rel: incorporated-into - - id: au-2.4 - class: SP800-53-enhancement - title: Privileged Functions - props: - - name: label - value: AU-02(04) - - name: sort-id - value: au-02.04 - - name: status - value: withdrawn - links: - - href: "#ac-6.9" - rel: incorporated-into - - id: au-3 - class: SP800-53 - title: Content of Audit Records - props: - - name: label - value: AU-03 - - name: sort-id - value: au-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-8" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#ma-4" - rel: related - - href: "#pl-9" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-7" - rel: related - - href: "#si-11" - rel: related - parts: - - id: au-3_smt - name: statement - prose: "Ensure that audit records contain information that establishes\ - \ the following:" - parts: - - id: au-3_smt.a - name: item - props: - - name: label - value: a. - prose: What type of event occurred; - - id: au-3_smt.b - name: item - props: - - name: label - value: b. - prose: When the event occurred; - - id: au-3_smt.c - name: item - props: - - name: label - value: c. - prose: Where the event occurred; - - id: au-3_smt.d - name: item - props: - - name: label - value: d. - prose: Source of the event; - - id: au-3_smt.e - name: item - props: - - name: label - value: e. - prose: Outcome of the event; and - - id: au-3_smt.f - name: item - props: - - name: label - value: f. - prose: Identity of any individuals, subjects, or objects/entities - associated with the event. - - id: au-3_gdn - name: guidance - prose: Audit record content that may be necessary to support the auditing - function includes event descriptions (item a), time stamps (item b), - source and destination addresses (item c), user or process identifiers - (items d and f), success or fail indications (item e), and filenames - involved (items a, c, e, and f) . Event outcomes include indicators - of event success or failure and event-specific results, such as the - system security and privacy posture after the event occurred. Organizations - consider how audit records can reveal information about individuals - that may give rise to privacy risks and how best to mitigate such - risks. For example, there is the potential to reveal personally identifiable - information in the audit trail, especially if the trail records inputs - or is based on patterns or time of usage. - - name: objective - props: - - name: label - value: AU-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-03a. - class: sp800-53A - prose: audit records contain information that establishes what type - of event occurred; - - name: objective - props: - - name: label - value: AU-03b. - class: sp800-53A - prose: audit records contain information that establishes when the - event occurred; - - name: objective - props: - - name: label - value: AU-03c. - class: sp800-53A - prose: audit records contain information that establishes where - the event occurred; - - name: objective - props: - - name: label - value: AU-03d. - class: sp800-53A - prose: audit records contain information that establishes the source - of the event; - - name: objective - props: - - name: label - value: AU-03e. - class: sp800-53A - prose: audit records contain information that establishes the outcome - of the event; - - name: objective - props: - - name: label - value: AU-03f. - class: sp800-53A - prose: audit records contain information that establishes the identity - of any individuals, subjects, or objects/entities associated with - the event. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing content of audit records - - system design documentation - - system configuration settings and associated documentation - - list of organization-defined auditable events - - system audit records - - system incident reports - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-03-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing system auditing of auditable - events - controls: - - id: au-3.1 - class: SP800-53-enhancement - title: Additional Audit Information - params: - - id: au-03.01_odp - props: - - name: legacy-identifier - value: au-3.1_prm_1 - - name: label - value: AU-03(01)_ODP - label: additional information - guidelines: - - prose: additional information to be included in audit records - is defined; - props: - - name: label - value: AU-03(01) - - name: sort-id - value: au-03.01 - links: - - href: "#au-3" - rel: required - parts: - - id: au-3.1_smt - name: statement - prose: "Generate audit records containing the following additional\ - \ information: {{ insert: param, au-03.01_odp }}." - - id: au-3.1_gdn - name: guidance - prose: The ability to add information generated in audit records - is dependent on system functionality to configure the audit record - content. Organizations may consider additional information in - audit records including, but not limited to, access control or - flow control rules invoked and individual identities of group - account users. Organizations may also consider limiting additional - audit record information to only information that is explicitly - needed for audit requirements. This facilitates the use of audit - trails and audit logs by not including information in audit records - that could potentially be misleading, make it more difficult to - locate information of interest, or increase the risk to individuals' - privacy. - - name: objective - props: - - name: label - value: AU-03(01) - class: sp800-53A - prose: "generated audit records contain the following {{ insert:\ - \ param, au-03.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing content of audit records - - - system security plan - - - privacy plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of organization-defined auditable events - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: system audit capability - - id: au-3.2 - class: SP800-53-enhancement - title: Centralized Management of Planned Audit Record Content - props: - - name: label - value: AU-03(02) - - name: sort-id - value: au-03.02 - - name: status - value: withdrawn - links: - - href: "#pl-9" - rel: incorporated-into - - id: au-3.3 - class: SP800-53-enhancement - title: Limit Personally Identifiable Information Elements - params: - - id: au-03.03_odp - props: - - name: legacy-identifier - value: au-3.3_prm_1 - - name: label - value: AU-03(03)_ODP - label: elements - guidelines: - - prose: elements identified in the privacy risk assessment are - defined; - props: - - name: label - value: AU-03(03) - - name: sort-id - value: au-03.03 - links: - - href: "#au-3" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: au-3.3_smt - name: statement - prose: "Limit personally identifiable information contained in audit\ - \ records to the following elements identified in the privacy\ - \ risk assessment: {{ insert: param, au-03.03_odp }}." - - id: au-3.3_gdn - name: guidance - prose: Limiting personally identifiable information in audit records - when such information is not needed for operational purposes helps - reduce the level of privacy risk created by a system. - - name: objective - props: - - name: label - value: AU-03(03) - class: sp800-53A - prose: "personally identifiable information contained in audit records\ - \ is limited to {{ insert: param, au-03.03_odp }} identified in\ - \ the privacy risk assessment." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - privacy risk assessment - - - privacy risk assessment results - - - procedures addressing content of audit records - - - system design documentation - - - system configuration settings and associated documentation - - - list of organization-defined auditable events - - - system audit records - - - third party contracts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: system audit capability - - id: au-4 - class: SP800-53 - title: Audit Log Storage Capacity - params: - - id: au-04_odp - props: - - name: legacy-identifier - value: au-4_prm_1 - - name: label - value: AU-04_ODP - label: audit log retention requirements - guidelines: - - prose: audit log retention requirements are defined; - props: - - name: label - value: AU-04 - - name: sort-id - value: au-04 - links: - - href: "#au-2" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-4_smt - name: statement - prose: "Allocate audit log storage capacity to accommodate {{ insert:\ - \ param, au-04_odp }}." - - id: au-4_gdn - name: guidance - prose: Organizations consider the types of audit logging to be performed - and the audit log processing requirements when allocating audit log - storage capacity. Allocating sufficient audit log storage capacity - reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of audit logging capability. - - name: objective - props: - - name: label - value: AU-04 - class: sp800-53A - prose: "audit log storage capacity is allocated to accommodate {{ insert:\ - \ param, au-04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - procedures addressing audit storage capacity - - system security plan - - privacy plan - - system design documentation - - system configuration settings and associated documentation - - audit record storage requirements - - audit record storage capability for system components - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-04-Test - class: sp800-53A - parts: - - name: objects - prose: Audit record storage capacity and related configuration settings - controls: - - id: au-4.1 - class: SP800-53-enhancement - title: Transfer to Alternate Storage - params: - - id: au-04.01_odp - props: - - name: legacy-identifier - value: au-4.1_prm_1 - - name: label - value: AU-04(01)_ODP - label: frequency - guidelines: - - prose: the frequency of audit logs transferred to a different - system, system component, or media other than the system or - system component conducting the logging is defined; - props: - - name: label - value: AU-04(01) - - name: sort-id - value: au-04.01 - links: - - href: "#au-4" - rel: required - parts: - - id: au-4.1_smt - name: statement - prose: "Transfer audit logs {{ insert: param, au-04.01_odp }} to\ - \ a different system, system component, or media other than the\ - \ system or system component conducting the logging." - - id: au-4.1_gdn - name: guidance - prose: Audit log transfer, also known as off-loading, is a common - process in systems with limited audit log storage capacity and - thus supports availability of the audit logs. The initial audit - log storage is only used in a transitory fashion until the system - can communicate with the secondary or alternate system allocated - to audit log storage, at which point the audit logs are transferred. - Transferring audit logs to alternate storage is similar to [AU-9(2)](#au-9.2) - in that audit logs are transferred to a different entity. However, - the purpose of selecting [AU-9(2)](#au-9.2) is to protect the - confidentiality and integrity of audit records. Organizations - can select either control enhancement to obtain the benefit of - increased audit log storage capacity and preserving the confidentiality, - integrity, and availability of audit records and logs. - - name: objective - props: - - name: label - value: AU-04(01) - class: sp800-53A - prose: "audit logs are transferred {{ insert: param, au-04.01_odp\ - \ }} to a different system, system component, or media other than\ - \ the system or system component conducting the logging." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit storage capacity - - - procedures addressing transfer of system audit records to - secondary or alternate systems - - - system design documentation - - - system configuration settings and associated documentation - - - logs of audit record transfers to secondary or alternate systems - - - system audit records transferred to secondary or alternate - systems - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit storage capacity - planning responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting transfer of audit records - onto a different system - - id: au-5 - class: SP800-53 - title: Response to Audit Logging Process Failures - params: - - id: au-05_odp.01 - props: - - name: legacy-identifier - value: au-5_prm_1 - - name: label - value: AU-05_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles receiving audit logging process failure - alerts are defined; - - id: au-05_odp.02 - props: - - name: legacy-identifier - value: au-5_prm_2 - - name: label - value: AU-05_ODP[02] - label: time period - guidelines: - - prose: time period for personnel or roles receiving audit logging - process failure alerts is defined; - - id: au-05_odp.03 - props: - - name: legacy-identifier - value: au-5_prm_3 - - name: label - value: AU-05_ODP[03] - label: additional actions - guidelines: - - prose: additional actions to be taken in the event of an audit logging - process failure are defined; - props: - - name: label - value: AU-05 - - name: sort-id - value: au-05 - links: - - href: "#au-2" - rel: related - - href: "#au-4" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-5_smt - name: statement - parts: - - id: au-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Alert {{ insert: param, au-05_odp.01 }} within {{ insert:\ - \ param, au-05_odp.02 }} in the event of an audit logging process\ - \ failure; and" - - id: au-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Take the following additional actions: {{ insert: param,\ - \ au-05_odp.03 }}." - - id: au-5_gdn - name: guidance - prose: Audit logging process failures include software and hardware - errors, failures in audit log capturing mechanisms, and reaching or - exceeding audit log storage capacity. Organization-defined actions - include overwriting oldest audit records, shutting down the system, - and stopping the generation of audit records. Organizations may choose - to define additional actions for audit logging process failures based - on the type of failure, the location of the failure, the severity - of the failure, or a combination of such factors. When the audit logging - process failure is related to storage, the response is carried out - for the audit log storage repository (i.e., the distinct system component - where the audit logs are stored), the system on which the audit logs - reside, the total audit log storage capacity of the organization (i.e., - all audit log storage repositories combined), or all three. Organizations - may decide to take no additional actions after alerting designated - roles or personnel. - - name: objective - props: - - name: label - value: AU-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-05a. - class: sp800-53A - prose: "{{ insert: param, au-05_odp.01 }} are alerted in the event\ - \ of an audit logging process failure within {{ insert: param,\ - \ au-05_odp.02 }};" - - name: objective - props: - - name: label - value: AU-05b. - class: sp800-53A - prose: "{{ insert: param, au-05_odp.03 }} are taken in the event\ - \ of an audit logging process failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy plan - - - system configuration settings and associated documentation - - - list of personnel to be notified in case of an audit processing - failure - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-05-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing system response to audit - processing failures - controls: - - id: au-5.1 - class: SP800-53-enhancement - title: Storage Capacity Warning - params: - - id: au-05.01_odp.01 - props: - - name: legacy-identifier - value: au-5.1_prm_1 - - name: label - value: AU-05(01)_ODP[01] - label: personnel, roles, and/or locations - guidelines: - - prose: personnel, roles, and/or locations to be warned when - allocated audit log storage volume reaches a percentage of - repository maximum audit log storage capacity. - - id: au-05.01_odp.02 - props: - - name: legacy-identifier - value: au-5.1_prm_2 - - name: label - value: AU-05(01)_ODP[02] - label: time period - guidelines: - - prose: time period for defined personnel, roles, and/or locations - to be warned when allocated audit log storage volume reaches - a percentage of repository maximum audit log storage capacity - is defined; - - id: au-05.01_odp.03 - props: - - name: legacy-identifier - value: au-5.1_prm_3 - - name: label - value: AU-05(01)_ODP[03] - label: percentage - guidelines: - - prose: percentage of repository maximum audit log storage capacity - is defined; - props: - - name: label - value: AU-05(01) - - name: sort-id - value: au-05.01 - links: - - href: "#au-5" - rel: required - parts: - - id: au-5.1_smt - name: statement - prose: "Provide a warning to {{ insert: param, au-05.01_odp.01 }}\ - \ within {{ insert: param, au-05.01_odp.02 }} when allocated audit\ - \ log storage volume reaches {{ insert: param, au-05.01_odp.03\ - \ }} of repository maximum audit log storage capacity." - - id: au-5.1_gdn - name: guidance - prose: Organizations may have multiple audit log storage repositories - distributed across multiple system components with each repository - having different storage volume capacities. - - name: objective - props: - - name: label - value: AU-05(01) - class: sp800-53A - prose: "a warning is provided to {{ insert: param, au-05.01_odp.01\ - \ }} within {{ insert: param, au-05.01_odp.02 }} when allocated\ - \ audit log storage volume reaches {{ insert: param, au-05.01_odp.03\ - \ }} of repository maximum audit log storage capacity." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit storage limit - warnings - - id: au-5.2 - class: SP800-53-enhancement - title: Real-time Alerts - params: - - id: au-05.02_odp.01 - props: - - name: legacy-identifier - value: au-5.2_prm_1 - - name: label - value: AU-05(02)_ODP[01] - label: real-time period - guidelines: - - prose: real-time period requiring alerts when audit failure - events (defined in AU-05(02)_ODP[03]) occur is defined; - - id: au-05.02_odp.02 - props: - - name: legacy-identifier - value: au-5.2_prm_2 - - name: label - value: AU-05(02)_ODP[02] - label: personnel, roles, and/or locations - guidelines: - - prose: personnel, roles, and/or locations to be alerted in real - time when audit failure events (defined in AU-05(02)_ODP[03]) - occur is/are defined; - - id: au-05.02_odp.03 - props: - - name: legacy-identifier - value: au-5.2_prm_3 - - name: label - value: AU-05(02)_ODP[03] - label: audit logging failure events requiring real-time alerts - guidelines: - - prose: audit logging failure events requiring real-time alerts - are defined; - props: - - name: label - value: AU-05(02) - - name: sort-id - value: au-05.02 - links: - - href: "#au-5" - rel: required - parts: - - id: au-5.2_smt - name: statement - prose: "Provide an alert within {{ insert: param, au-05.02_odp.01\ - \ }} to {{ insert: param, au-05.02_odp.02 }} when the following\ - \ audit failure events occur: {{ insert: param, au-05.02_odp.03\ - \ }}." - - id: au-5.2_gdn - name: guidance - prose: Alerts provide organizations with urgent messages. Real-time - alerts provide these messages at information technology speed - (i.e., the time from event detection to alert occurs in seconds - or less). - - name: objective - props: - - name: label - value: AU-05(02) - class: sp800-53A - prose: "an alert is provided within {{ insert: param, au-05.02_odp.01\ - \ }} to {{ insert: param, au-05.02_odp.02 }} when {{ insert: param,\ - \ au-05.02_odp.03 }} occurs." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy plan - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - id: au-5.3 - class: SP800-53-enhancement - title: Configurable Traffic Volume Thresholds - params: - - id: au-05.03_odp - props: - - name: legacy-identifier - value: au-5.3_prm_1 - - name: label - value: AU-05(03)_ODP - select: - how-many: one-or-more - choice: - - reject - - delay - props: - - name: label - value: AU-05(03) - - name: sort-id - value: au-05.03 - links: - - href: "#au-5" - rel: required - parts: - - id: au-5.3_smt - name: statement - prose: "Enforce configurable network communications traffic volume\ - \ thresholds reflecting limits on audit log storage capacity and\ - \ {{ insert: param, au-05.03_odp }} network traffic above those\ - \ thresholds." - - id: au-5.3_gdn - name: guidance - prose: Organizations have the capability to reject or delay the - processing of network communications traffic if audit logging - information about such traffic is determined to exceed the storage - capacity of the system audit logging function. The rejection or - delay response is triggered by the established organizational - traffic volume thresholds that can be adjusted based on changes - to audit log storage capacity. - - name: objective - props: - - name: label - value: AU-05(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-05(03)[01] - class: sp800-53A - prose: configurable network communications traffic volume thresholds - reflecting limits on audit log storage capacity are enforced; - - name: objective - props: - - name: label - value: AU-05(03)[02] - class: sp800-53A - prose: "network traffic is {{ insert: param, au-05.03_odp }}\ - \ if network traffic volume reaches thresholds." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy plan - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - id: au-5.4 - class: SP800-53-enhancement - title: Shutdown on Failure - params: - - id: au-05.04_odp.01 - props: - - name: legacy-identifier - value: au-5.4_prm_1 - - name: label - value: AU-05(04)_ODP[01] - select: - how-many: one-or-more - choice: - - full system shutdown - - partial system shutdown - - degraded operational mode with limited mission or business - functionality available - - id: au-05.04_odp.02 - props: - - name: legacy-identifier - value: au-5.4_prm_2 - - name: label - value: AU-05(04)_ODP[02] - label: audit logging failures - guidelines: - - prose: audit logging failures that trigger a change in operational - mode are defined; - props: - - name: label - value: AU-05(04) - - name: sort-id - value: au-05.04 - links: - - href: "#au-5" - rel: required - - href: "#au-15" - rel: related - parts: - - id: au-5.4_smt - name: statement - prose: "Invoke a {{ insert: param, au-05.04_odp.01 }} in the event\ - \ of {{ insert: param, au-05.04_odp.02 }} , unless an alternate\ - \ audit logging capability exists." - - id: au-5.4_gdn - name: guidance - prose: Organizations determine the types of audit logging failures - that can trigger automatic system shutdowns or degraded operations. - Because of the importance of ensuring mission and business continuity, - organizations may determine that the nature of the audit logging - failure is not so severe that it warrants a complete shutdown - of the system supporting the core organizational mission and business - functions. In those instances, partial system shutdowns or operating - in a degraded mode with reduced capability may be viable alternatives. - - name: objective - props: - - name: label - value: AU-05(04) - class: sp800-53A - prose: "{{ insert: param, au-05.04_odp.01 }} is invoked in the event\ - \ of {{ insert: param, au-05.04_odp.02 }} , unless an alternate\ - \ audit logging capability exists." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy plan - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-05(04)-Test - class: sp800-53A - parts: - - name: objects - prose: System capability invoking system shutdown or degraded - operational mode in the event of an audit processing failure - - id: au-5.5 - class: SP800-53-enhancement - title: Alternate Audit Logging Capability - params: - - id: au-05.05_odp - props: - - name: legacy-identifier - value: au-5.5_prm_1 - - name: label - value: AU-05(05)_ODP - label: alternate audit logging functionality - guidelines: - - prose: an alternate audit logging functionality in the event - of a failure in primary audit logging capability is defined; - props: - - name: label - value: AU-05(05) - - name: sort-id - value: au-05.05 - links: - - href: "#au-5" - rel: required - - href: "#au-9" - rel: related - parts: - - id: au-5.5_smt - name: statement - prose: "Provide an alternate audit logging capability in the event\ - \ of a failure in primary audit logging capability that implements\ - \ {{ insert: param, au-05.05_odp }}." - - id: au-5.5_gdn - name: guidance - prose: Since an alternate audit logging capability may be a short-term - protection solution employed until the failure in the primary - audit logging capability is corrected, organizations may determine - that the alternate audit logging capability need only provide - a subset of the primary audit logging functionality that is impacted - by the failure. - - name: objective - props: - - name: label - value: AU-05(05) - class: sp800-53A - prose: "an alternate audit logging capability is provided in the\ - \ event of a failure in primary audit logging capability that\ - \ implements {{ insert: param, au-05.05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-05(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing response to audit processing failures - - - system design documentation - - - system security plan - - - privacy plan - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-05(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-05(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Alternate audit logging capability - - id: au-6 - class: SP800-53 - title: Audit Record Review, Analysis, and Reporting - params: - - id: au-06_odp.01 - props: - - name: legacy-identifier - value: au-6_prm_1 - - name: label - value: AU-06_ODP[01] - label: frequency - guidelines: - - prose: frequency at which system audit records are reviewed and - analyzed is defined; - - id: au-06_odp.02 - props: - - name: legacy-identifier - value: au-6_prm_2 - - name: label - value: AU-06_ODP[02] - label: inappropriate or unusual activity - guidelines: - - prose: inappropriate or unusual activity is defined; - - id: au-06_odp.03 - props: - - name: legacy-identifier - value: au-6_prm_3 - - name: label - value: AU-06_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to receive findings from reviews and analyses - of system records is/are defined; - props: - - name: label - value: AU-06 - - name: sort-id - value: au-06 - links: - - href: "#cfdb1858-c473-46b3-89f9-a700308d0be2" - rel: reference - - href: "#10cf2fad-a216-41f9-bb1a-531b7e3119e3" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-7" - rel: related - - href: "#au-16" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: au-6_smt - name: statement - parts: - - id: au-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Review and analyze system audit records {{ insert: param,\ - \ au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02\ - \ }} and the potential impact of the inappropriate or unusual\ - \ activity;" - - id: au-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Report findings to {{ insert: param, au-06_odp.03 }} ; and" - - id: au-6_smt.c - name: item - props: - - name: label - value: c. - prose: Adjust the level of audit record review, analysis, and reporting - within the system when there is a change in risk based on law - enforcement information, intelligence information, or other credible - sources of information. - - id: au-6_gdn - name: guidance - prose: Audit record review, analysis, and reporting covers information - security- and privacy-related logging performed by organizations, - including logging that results from the monitoring of account usage, - remote access, wireless connectivity, mobile device connection, configuration - settings, system component inventory, use of maintenance tools and - non-local maintenance, physical access, temperature and humidity, - equipment delivery and removal, communications at system interfaces, - and use of mobile code or Voice over Internet Protocol (VoIP). Findings - can be reported to organizational entities that include the incident - response team, help desk, and security or privacy offices. If organizations - are prohibited from reviewing and analyzing audit records or unable - to conduct such activities, the review or analysis may be carried - out by other organizations granted such authority. The frequency, - scope, and/or depth of the audit record review, analysis, and reporting - may be adjusted to meet organizational needs based on new information - received. - - name: objective - props: - - name: label - value: AU-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-06a - class: sp800-53A - prose: "system audit records are reviewed and analyzed {{ insert:\ - \ param, au-06_odp.01 }} for indications of {{ insert: param,\ - \ au-06_odp.02 }} and the potential impact of the inappropriate\ - \ or unusual activity;" - - name: objective - props: - - name: label - value: AU-06b - class: sp800-53A - prose: "findings are reported to {{ insert: param, au-06_odp.03\ - \ }};" - - name: objective - props: - - name: label - value: AU-06c - class: sp800-53A - prose: the level of audit record review, analysis, and reporting - within the system is adjusted when there is a change in risk based - on law enforcement information, intelligence information, or other - credible sources of information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit review, analysis, and reporting - - - reports of audit findings - - - records of actions taken in response to reviews/analyses of audit - records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, and - reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - controls: - - id: au-6.1 - class: SP800-53-enhancement - title: Automated Process Integration - params: - - id: au-06.01_odp - props: - - name: legacy-identifier - value: au-6.1_prm_1 - - name: label - value: AU-06(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used for integrating audit record - review, analysis, and reporting processes are defined; - props: - - name: label - value: AU-06(01) - - name: sort-id - value: au-06.01 - links: - - href: "#au-6" - rel: required - - href: "#pm-7" - rel: related - parts: - - id: au-6.1_smt - name: statement - prose: "Integrate audit record review, analysis, and reporting processes\ - \ using {{ insert: param, au-06.01_odp }}." - - id: au-6.1_gdn - name: guidance - prose: Organizational processes that benefit from integrated audit - record review, analysis, and reporting include incident response, - continuous monitoring, contingency planning, investigation and - response to suspicious activities, and Inspector General audits. - - name: objective - props: - - name: label - value: AU-06(01) - class: sp800-53A - prose: "audit record review, analysis, and reporting processes are\ - \ integrated using {{ insert: param, au-06.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit review, analysis, and reporting - - - procedures addressing investigation and response to suspicious - activities - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms integrating audit review, analysis, - and reporting processes - - id: au-6.2 - class: SP800-53-enhancement - title: Automated Security Alerts - props: - - name: label - value: AU-06(02) - - name: sort-id - value: au-06.02 - - name: status - value: withdrawn - links: - - href: "#si-4" - rel: incorporated-into - - id: au-6.3 - class: SP800-53-enhancement - title: Correlate Audit Record Repositories - props: - - name: label - value: AU-06(03) - - name: sort-id - value: au-06.03 - links: - - href: "#au-6" - rel: required - - href: "#au-12" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: au-6.3_smt - name: statement - prose: Analyze and correlate audit records across different repositories - to gain organization-wide situational awareness. - - id: au-6.3_gdn - name: guidance - prose: Organization-wide situational awareness includes awareness - across all three levels of risk management (i.e., organizational - level, mission/business process level, and information system - level) and supports cross-organization awareness. - - name: objective - props: - - name: label - value: AU-06(03) - class: sp800-53A - prose: audit records across different repositories are analyzed - and correlated to gain organization-wide situational awareness. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit review, analysis, and reporting - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records across different repositories - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting analysis and correlation - of audit records - - id: au-6.4 - class: SP800-53-enhancement - title: Central Review and Analysis - props: - - name: label - value: AU-06(04) - - name: sort-id - value: au-06.04 - links: - - href: "#au-6" - rel: required - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-6.4_smt - name: statement - prose: Provide and implement the capability to centrally review - and analyze audit records from multiple components within the - system. - - id: au-6.4_gdn - name: guidance - prose: Automated mechanisms for centralized reviews and analyses - include Security Information and Event Management products. - - name: objective - props: - - name: label - value: AU-06(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-06(04)[01] - class: sp800-53A - prose: the capability to centrally review and analyze audit - records from multiple components within the system is provided; - - name: objective - props: - - name: label - value: AU-06(04)[02] - class: sp800-53A - prose: the capability to centrally review and analyze audit - records from multiple components within the system is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing audit review, analysis, and reporting - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(04)-Test - class: sp800-53A - parts: - - name: objects - prose: System capability to centralize review and analysis of - audit records - - id: au-6.5 - class: SP800-53-enhancement - title: Integrated Analysis of Audit Records - params: - - id: au-6.5_prm_1 - props: - - name: aggregates - value: au-06.05_odp.01 - select: - how-many: one-or-more - choice: - - vulnerability scanning information - - performance data - - system monitoring information - - " {{ insert: param, au-6.5_prm_2 }} " - - id: au-6.5_prm_2 - depends-on: au-6.5_prm_1 - props: - - name: aggregates - value: au-06.05_odp.02 - label: organization-defined data/information collected from other - sources - - id: au-06.05_odp.01 - props: - - name: label - value: AU-06(05)_ODP[01] - select: - how-many: one-or-more - choice: - - vulnerability scanning information - - performance data - - system monitoring information - - " {{ insert: param, au-06.05_odp.02 }} " - - id: au-06.05_odp.02 - props: - - name: label - value: AU-06(05)_ODP[02] - label: data/information collected from other sources - guidelines: - - prose: data/information collected from other sources to be analyzed - is defined (if selected); - props: - - name: label - value: AU-06(05) - - name: sort-id - value: au-06.05 - links: - - href: "#au-6" - rel: required - - href: "#au-12" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: au-6.5_smt - name: statement - prose: "Integrate analysis of audit records with analysis of {{\ - \ insert: param, au-6.5_prm_1 }} to further enhance the ability\ - \ to identify inappropriate or unusual activity." - - id: au-6.5_gdn - name: guidance - prose: Integrated analysis of audit records does not require vulnerability - scanning, the generation of performance data, or system monitoring. - Rather, integrated analysis requires that the analysis of information - generated by scanning, monitoring, or other data collection activities - is integrated with the analysis of audit record information. Security - Information and Event Management tools can facilitate audit record - aggregation or consolidation from multiple system components as - well as audit record correlation and analysis. The use of standardized - audit record analysis scripts developed by organizations (with - localized script adjustments, as necessary) provides more cost-effective - approaches for analyzing audit record information collected. The - correlation of audit record information with vulnerability scanning - information is important in determining the veracity of vulnerability - scans of the system and in correlating attack detection events - with scanning results. Correlation with performance data can uncover - denial-of-service attacks or other types of attacks that result - in the unauthorized use of resources. Correlation with system - monitoring information can assist in uncovering attacks and in - better relating audit information to operational situations. - - name: objective - props: - - name: label - value: AU-06(05) - class: sp800-53A - prose: "analysis of audit records is integrated with analysis of\ - \ {{ insert: param, au-06.05_odp.01 }} to further enhance the\ - \ ability to identify inappropriate or unusual activity." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit review, analysis, and reporting - - - system design documentation - - - system configuration settings and associated documentation - - - integrated analysis of audit records, vulnerability scanning - information, performance data, network monitoring information, - and associated documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability to integrate - analysis of audit records with analysis of data/information - sources - - id: au-6.6 - class: SP800-53-enhancement - title: Correlation with Physical Monitoring - props: - - name: label - value: AU-06(06) - - name: sort-id - value: au-06.06 - links: - - href: "#au-6" - rel: required - parts: - - id: au-6.6_smt - name: statement - prose: Correlate information from audit records with information - obtained from monitoring physical access to further enhance the - ability to identify suspicious, inappropriate, unusual, or malevolent - activity. - - id: au-6.6_gdn - name: guidance - prose: The correlation of physical audit record information and - the audit records from systems may assist organizations in identifying - suspicious behavior or supporting evidence of such behavior. For - example, the correlation of an individual’s identity for logical - access to certain systems with the additional physical security - information that the individual was present at the facility when - the logical access occurred may be useful in investigations. - - name: objective - props: - - name: label - value: AU-06(06) - class: sp800-53A - prose: information from audit records is correlated with information - obtained from monitoring physical access to further enhance the - ability to identify suspicious, inappropriate, unusual, or malevolent - activity. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing audit review, analysis, and reporting - - - procedures addressing physical access monitoring - - - system design documentation - - - system configuration settings and associated documentation - - - documentation providing evidence of correlated information - obtained from audit records and physical access monitoring - records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with physical access monitoring responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability to correlate - information from audit records with information from monitoring - physical access - - id: au-6.7 - class: SP800-53-enhancement - title: Permitted Actions - params: - - id: au-06.07_odp - props: - - name: legacy-identifier - value: au-6.7_prm_1 - - name: label - value: AU-06(07)_ODP - select: - how-many: one-or-more - choice: - - system process - - role - - user - props: - - name: label - value: AU-06(07) - - name: sort-id - value: au-06.07 - links: - - href: "#au-6" - rel: required - parts: - - id: au-6.7_smt - name: statement - prose: "Specify the permitted actions for each {{ insert: param,\ - \ au-06.07_odp }} associated with the review, analysis, and reporting\ - \ of audit record information." - - id: au-6.7_gdn - name: guidance - prose: Organizations specify permitted actions for system processes, - roles, and users associated with the review, analysis, and reporting - of audit records through system account management activities. - Specifying permitted actions on audit record information is a - way to enforce the principle of least privilege. Permitted actions - are enforced by the system and include read, write, execute, append, - and delete. - - name: objective - props: - - name: label - value: AU-06(07) - class: sp800-53A - prose: "the permitted actions for each {{ insert: param, au-06.07_odp\ - \ }} associated with the review, analysis, and reporting of audit\ - \ record information is specified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing process, role and/or user permitted - actions from audit review, analysis, and reporting - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting permitted actions for - review, analysis, and reporting of audit information - - id: au-6.8 - class: SP800-53-enhancement - title: Full Text Analysis of Privileged Commands - props: - - name: label - value: AU-06(08) - - name: sort-id - value: au-06.08 - links: - - href: "#au-6" - rel: required - - href: "#au-3" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-6.8_smt - name: statement - prose: Perform a full text analysis of logged privileged commands - in a physically distinct component or subsystem of the system, - or other system that is dedicated to that analysis. - - id: au-6.8_gdn - name: guidance - prose: Full text analysis of privileged commands requires a distinct - environment for the analysis of audit record information related - to privileged users without compromising such information on the - system where the users have elevated privileges, including the - capability to execute privileged commands. Full text analysis - refers to analysis that considers the full text of privileged - commands (i.e., commands and parameters) as opposed to analysis - that considers only the name of the command. Full text analysis - includes the use of pattern matching and heuristics. - - name: objective - props: - - name: label - value: AU-06(08) - class: sp800-53A - prose: a full text analysis of logged privileged commands in a physically - distinct component or subsystem of the system or other system - that is dedicated to that analysis is performed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - procedures addressing audit review, analysis, and reporting - - - system design documentation - - - system configuration settings and associated documentation - - - text analysis tools and techniques - - - text analysis documentation of audited privileged commands - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability to perform - a full text analysis of audited privilege commands - - id: au-6.9 - class: SP800-53-enhancement - title: Correlation with Information from Nontechnical Sources - props: - - name: label - value: AU-06(09) - - name: sort-id - value: au-06.09 - links: - - href: "#au-6" - rel: required - - href: "#pm-12" - rel: related - parts: - - id: au-6.9_smt - name: statement - prose: Correlate information from nontechnical sources with audit - record information to enhance organization-wide situational awareness. - - id: au-6.9_gdn - name: guidance - prose: Nontechnical sources include records that document organizational - policy violations related to harassment incidents and the improper - use of information assets. Such information can lead to a directed - analytical effort to detect potential malicious insider activity. - Organizations limit access to information that is available from - nontechnical sources due to its sensitive nature. Limited access - minimizes the potential for inadvertent release of privacy-related - information to individuals who do not have a need to know. The - correlation of information from nontechnical sources with audit - record information generally occurs only when individuals are - suspected of being involved in an incident. Organizations obtain - legal advice prior to initiating such actions. - - name: objective - props: - - name: label - value: AU-06(09) - class: sp800-53A - prose: information from non-technical sources is correlated with - audit record information to enhance organization-wide situational - awareness. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-06(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit review, analysis, and reporting - - - system design documentation - - - system configuration settings and associated documentation - - - documentation providing evidence of correlated information - obtained from audit records and organization-defined non-technical - sources - - - list of information types from non-technical sources for correlation - with audit information - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-06(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit review, analysis, - and reporting responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-06(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing capability to correlate - information from non-technical sources - - id: au-6.10 - class: SP800-53-enhancement - title: Audit Level Adjustment - props: - - name: label - value: AU-06(10) - - name: sort-id - value: au-06.10 - - name: status - value: withdrawn - links: - - href: "#au-6" - rel: incorporated-into - - id: au-7 - class: SP800-53 - title: Audit Record Reduction and Report Generation - props: - - name: label - value: AU-07 - - name: sort-id - value: au-07 - links: - - href: "#ac-2" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - - href: "#au-16" - rel: related - - href: "#cm-5" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-7_smt - name: statement - prose: "Provide and implement an audit record reduction and report generation\ - \ capability that:" - parts: - - id: au-7_smt.a - name: item - props: - - name: label - value: a. - prose: Supports on-demand audit record review, analysis, and reporting - requirements and after-the-fact investigations of incidents; and - - id: au-7_smt.b - name: item - props: - - name: label - value: b. - prose: Does not alter the original content or time ordering of audit - records. - - id: au-7_gdn - name: guidance - prose: Audit record reduction is a process that manipulates collected - audit log information and organizes it into a summary format that - is more meaningful to analysts. Audit record reduction and report - generation capabilities do not always emanate from the same system - or from the same organizational entities that conduct audit logging - activities. The audit record reduction capability includes modern - data mining techniques with advanced data filters to identify anomalous - behavior in audit records. The report generation capability provided - by the system can generate customizable reports. Time ordering of - audit records can be an issue if the granularity of the timestamp - in the record is insufficient. - - name: objective - props: - - name: label - value: AU-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-07a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-07a.[01] - class: sp800-53A - prose: an audit record reduction and report generation capability - is provided that supports on-demand audit record review, analysis, - and reporting requirements and after-the-fact investigations - of incidents; - - name: objective - props: - - name: label - value: AU-07a.[02] - class: sp800-53A - prose: an audit record reduction and report generation capability - is implemented that supports on-demand audit record review, - analysis, and reporting requirements and after-the-fact investigations - of incidents; - - name: objective - props: - - name: label - value: AU-07b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-07b.[01] - class: sp800-53A - prose: an audit record reduction and report generation capability - is provided that does not alter the original content or time - ordering of audit records; - - name: objective - props: - - name: label - value: AU-07b.[02] - class: sp800-53A - prose: an audit record reduction and report generation capability - is implemented that does not alter the original content or - time ordering of audit records. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing audit reduction and report generation - - system design documentation - - system configuration settings and associated documentation - - audit reduction, review, analysis, and reporting tools - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit reduction and report - generation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-07-Test - class: sp800-53A - parts: - - name: objects - prose: Audit reduction and report generation capability - controls: - - id: au-7.1 - class: SP800-53-enhancement - title: Automatic Processing - params: - - id: au-07.01_odp - props: - - name: legacy-identifier - value: au-7.1_prm_1 - - name: label - value: AU-07(01)_ODP - label: fields within audit records - guidelines: - - prose: fields within audit records that can be processed, sorted, - or searched are defined; - props: - - name: label - value: AU-07(01) - - name: sort-id - value: au-07.01 - links: - - href: "#au-7" - rel: required - parts: - - id: au-7.1_smt - name: statement - prose: "Provide and implement the capability to process, sort, and\ - \ search audit records for events of interest based on the following\ - \ content: {{ insert: param, au-07.01_odp }}." - - id: au-7.1_gdn - name: guidance - prose: Events of interest can be identified by the content of audit - records, including system resources involved, information objects - accessed, identities of individuals, event types, event locations, - event dates and times, Internet Protocol addresses involved, or - event success or failure. Organizations may define event criteria - to any degree of granularity required, such as locations selectable - by a general networking location or by specific system component. - - name: objective - props: - - name: label - value: AU-07(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-07(01)[01] - class: sp800-53A - prose: "the capability to process, sort, and search audit records\ - \ for events of interest based on {{ insert: param, au-07.01_odp\ - \ }} are provided;" - - name: objective - props: - - name: label - value: AU-07(01)[02] - class: sp800-53A - prose: "the capability to process, sort, and search audit records\ - \ for events of interest based on {{ insert: param, au-07.01_odp\ - \ }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit reduction and report generation - - - system design documentation - - - system configuration settings and associated documentation - - - audit reduction, review, analysis, and reporting tools - - - audit record criteria (fields) establishing events of interest - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit reduction and report - generation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Audit reduction and report generation capability - - id: au-7.2 - class: SP800-53-enhancement - title: Automatic Sort and Search - props: - - name: label - value: AU-07(02) - - name: sort-id - value: au-07.02 - - name: status - value: withdrawn - links: - - href: "#au-7.1" - rel: incorporated-into - - id: au-8 - class: SP800-53 - title: Time Stamps - params: - - id: au-08_odp - props: - - name: legacy-identifier - value: au-8_prm_1 - - name: label - value: AU-08_ODP - label: granularity of time measurement - guidelines: - - prose: granularity of time measurement for audit record timestamps - is defined; - props: - - name: label - value: AU-08 - - name: sort-id - value: au-08 - links: - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#sc-45" - rel: related - parts: - - id: au-8_smt - name: statement - parts: - - id: au-8_smt.a - name: item - props: - - name: label - value: a. - prose: Use internal system clocks to generate time stamps for audit - records; and - - id: au-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Record time stamps for audit records that meet {{ insert:\ - \ param, au-08_odp }} and that use Coordinated Universal Time,\ - \ have a fixed local time offset from Coordinated Universal Time,\ - \ or that include the local time offset as part of the time stamp." - - id: au-8_gdn - name: guidance - prose: Time stamps generated by the system include date and time. Time - is commonly expressed in Coordinated Universal Time (UTC), a modern - continuation of Greenwich Mean Time (GMT), or local time with an offset - from UTC. Granularity of time measurements refers to the degree of - synchronization between system clocks and reference clocks (e.g., - clocks synchronizing within hundreds of milliseconds or tens of milliseconds). - Organizations may define different time granularities for different - system components. Time service can be critical to other security - capabilities such as access control and identification and authentication, - depending on the nature of the mechanisms used to support those capabilities. - - name: objective - props: - - name: label - value: AU-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-08a. - class: sp800-53A - prose: internal system clocks are used to generate timestamps for - audit records; - - name: objective - props: - - name: label - value: AU-08b. - class: sp800-53A - prose: "timestamps are recorded for audit records that meet {{ insert:\ - \ param, au-08_odp }} and that use Coordinated Universal Time,\ - \ have a fixed local time offset from Coordinated Universal Time,\ - \ or include the local time offset as part of the timestamp." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing timestamp generation - - system design documentation - - system configuration settings and associated documentation - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing timestamp generation - controls: - - id: au-8.1 - class: SP800-53-enhancement - title: Synchronization with Authoritative Time Source - props: - - name: label - value: AU-08(01) - - name: sort-id - value: au-08.01 - - name: status - value: withdrawn - links: - - href: "#sc-45.1" - rel: moved-to - - id: au-8.2 - class: SP800-53-enhancement - title: Secondary Authoritative Time Source - props: - - name: label - value: AU-08(02) - - name: sort-id - value: au-08.02 - - name: status - value: withdrawn - links: - - href: "#sc-45.2" - rel: moved-to - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - params: - - id: au-09_odp - props: - - name: legacy-identifier - value: au-9_prm_1 - - name: label - value: AU-09_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted upon detection of unauthorized - access, modification, or deletion of audit information is/are - defined; - props: - - name: label - value: AU-09 - - name: sort-id - value: au-09 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#au-6" - rel: related - - href: "#au-11" - rel: related - - href: "#au-14" - rel: related - - href: "#au-15" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-9_smt - name: statement - parts: - - id: au-9_smt.a - name: item - props: - - name: label - value: a. - prose: Protect audit information and audit logging tools from unauthorized - access, modification, and deletion; and - - id: au-9_smt.b - name: item - props: - - name: label - value: b. - prose: "Alert {{ insert: param, au-09_odp }} upon detection of unauthorized\ - \ access, modification, or deletion of audit information." - - id: au-9_gdn - name: guidance - prose: Audit information includes all information needed to successfully - audit system activity, such as audit records, audit log settings, - audit reports, and personally identifiable information. Audit logging - tools are those programs and devices used to conduct system audit - and logging activities. Protection of audit information focuses on - technical protection and limits the ability to access and execute - audit logging tools to authorized individuals. Physical protection - of audit information is addressed by both media protection controls - and physical and environmental protection controls. - - name: objective - props: - - name: label - value: AU-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-09a. - class: sp800-53A - prose: audit information and audit logging tools are protected from - unauthorized access, modification, and deletion; - - name: objective - props: - - name: label - value: AU-09b. - class: sp800-53A - prose: "{{ insert: param, au-09_odp }} are alerted upon detection\ - \ of unauthorized access, modification, or deletion of audit information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - access control policy and procedures - - procedures addressing protection of audit information - - system design documentation - - system configuration settings and associated documentation - - system audit records - - audit tools - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms implementing audit information protection - controls: - - id: au-9.1 - class: SP800-53-enhancement - title: Hardware Write-once Media - props: - - name: label - value: AU-09(01) - - name: sort-id - value: au-09.01 - links: - - href: "#au-9" - rel: required - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - parts: - - id: au-9.1_smt - name: statement - prose: Write audit trails to hardware-enforced, write-once media. - - id: au-9.1_gdn - name: guidance - prose: Writing audit trails to hardware-enforced, write-once media - applies to the initial generation of audit trails (i.e., the collection - of audit records that represents the information to be used for - detection, analysis, and reporting purposes) and to the backup - of those audit trails. Writing audit trails to hardware-enforced, - write-once media does not apply to the initial generation of audit - records prior to being written to an audit trail. Write-once, - read-many (WORM) media includes Compact Disc-Recordable (CD-R), - Blu-Ray Disc Recordable (BD-R), and Digital Versatile Disc-Recordable - (DVD-R). In contrast, the use of switchable write-protection media, - such as tape cartridges, Universal Serial Bus (USB) drives, Compact - Disc Re-Writeable (CD-RW), and Digital Versatile Disc-Read Write - (DVD-RW) results in write-protected but not write-once media. - - name: objective - props: - - name: label - value: AU-09(01) - class: sp800-53A - prose: audit trails are written to hardware-enforced, write-once - media. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system hardware settings - - - system configuration settings and associated documentation - - - system storage media - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: System media storing audit trails - - id: au-9.2 - class: SP800-53-enhancement - title: Store on Separate Physical Systems or Components - params: - - id: au-09.02_odp - props: - - name: legacy-identifier - value: au-9.2_prm_1 - - name: label - value: AU-09(02)_ODP - label: frequency - guidelines: - - prose: the frequency of storing audit records in a repository - is defined; - props: - - name: label - value: AU-09(02) - - name: sort-id - value: au-09.02 - links: - - href: "#au-9" - rel: required - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - parts: - - id: au-9.2_smt - name: statement - prose: "Store audit records {{ insert: param, au-09.02_odp }} in\ - \ a repository that is part of a physically different system or\ - \ system component than the system or component being audited." - - id: au-9.2_gdn - name: guidance - prose: Storing audit records in a repository separate from the audited - system or system component helps to ensure that a compromise of - the system being audited does not also result in a compromise - of the audit records. Storing audit records on separate physical - systems or components also preserves the confidentiality and integrity - of audit records and facilitates the management of audit records - as an organization-wide activity. Storing audit records on separate - systems or components applies to initial generation as well as - backup or long-term storage of audit records. - - name: objective - props: - - name: label - value: AU-09(02) - class: sp800-53A - prose: "audit records are stored {{ insert: param, au-09.02_odp\ - \ }} in a repository that is part of a physically different system\ - \ or system component than the system or component being audited." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing protection of audit information - - - system design documentation - - - system configuration settings and associated documentation - - - system or media storing backups of system audit records - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing the backing up of audit - records - - id: au-9.3 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: AU-09(03) - - name: sort-id - value: au-09.03 - links: - - href: "#au-9" - rel: required - - href: "#au-10" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: au-9.3_smt - name: statement - prose: Implement cryptographic mechanisms to protect the integrity - of audit information and audit tools. - - id: au-9.3_gdn - name: guidance - prose: Cryptographic mechanisms used for protecting the integrity - of audit information include signed hash functions using asymmetric - cryptography. This enables the distribution of the public key - to verify the hash information while maintaining the confidentiality - of the secret key used to generate the hash. - - name: objective - props: - - name: label - value: AU-09(03) - class: sp800-53A - prose: cryptographic mechanisms to protect the integrity of audit - information and audit tools are implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system hardware settings - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms protecting integrity of audit - information and tools - - id: au-9.4 - class: SP800-53-enhancement - title: Access by Subset of Privileged Users - params: - - id: au-09.04_odp - props: - - name: legacy-identifier - value: au-9.4_prm_1 - - name: label - value: AU-09(04)_ODP - label: subset of privileged users or roles - guidelines: - - prose: a subset of privileged users or roles authorized to access - management of audit logging functionality is defined; - props: - - name: label - value: AU-09(04) - - name: sort-id - value: au-09.04 - links: - - href: "#au-9" - rel: required - - href: "#ac-5" - rel: related - parts: - - id: au-9.4_smt - name: statement - prose: "Authorize access to management of audit logging functionality\ - \ to only {{ insert: param, au-09.04_odp }}." - - id: au-9.4_gdn - name: guidance - prose: Individuals or roles with privileged access to a system and - who are also the subject of an audit by that system may affect - the reliability of the audit information by inhibiting audit activities - or modifying audit records. Requiring privileged access to be - further defined between audit-related privileges and other privileges - limits the number of users or roles with audit-related privileges. - - name: objective - props: - - name: label - value: AU-09(04) - class: sp800-53A - prose: "access to management of audit logging functionality to only\ - \ {{ insert: param, au-09.04_odp }} is authorized." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of privileged users with access to management - of audit functionality - - - access authorizations - - - access control list - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms managing access to audit functionality - - id: au-9.5 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: au-09.05_odp.01 - props: - - name: legacy-identifier - value: au-9.5_prm_1 - - name: label - value: AU-09(05)_ODP[01] - select: - how-many: one-or-more - choice: - - movement - - deletion - - id: au-09.05_odp.02 - props: - - name: legacy-identifier - value: au-9.5_prm_2 - - name: label - value: AU-09(05)_ODP[02] - label: audit information - guidelines: - - prose: audit information for which dual authorization is to - be enforced is defined; - props: - - name: label - value: AU-09(05) - - name: sort-id - value: au-09.05 - links: - - href: "#au-9" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: au-9.5_smt - name: statement - prose: "Enforce dual authorization for {{ insert: param, au-09.05_odp.01\ - \ }} of {{ insert: param, au-09.05_odp.02 }}." - - id: au-9.5_gdn - name: guidance - prose: Organizations may choose different selection options for - different types of audit information. Dual authorization mechanisms - (also known as two-person control) require the approval of two - authorized individuals to execute audit functions. To reduce the - risk of collusion, organizations consider rotating dual authorization - duties to other individuals. Organizations do not require dual - authorization mechanisms when immediate responses are necessary - to ensure public and environmental safety. - - name: objective - props: - - name: label - value: AU-09(05) - class: sp800-53A - prose: "dual authorization is enforced for the {{ insert: param,\ - \ au-09.05_odp.01 }} of {{ insert: param, au-09.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system configuration settings and associated documentation - - - access authorizations - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing enforcement of dual - authorization - - id: au-9.6 - class: SP800-53-enhancement - title: Read-only Access - params: - - id: au-09.06_odp - props: - - name: legacy-identifier - value: au-9.6_prm_1 - - name: label - value: AU-09(06)_ODP - label: subset of privileged users or roles - guidelines: - - prose: a subset of privileged users or roles with authorized - read-only access to audit information is defined; - props: - - name: label - value: AU-09(06) - - name: sort-id - value: au-09.06 - links: - - href: "#au-9" - rel: required - parts: - - id: au-9.6_smt - name: statement - prose: "Authorize read-only access to audit information to {{ insert:\ - \ param, au-09.06_odp }}." - - id: au-9.6_gdn - name: guidance - prose: Restricting privileged user or role authorizations to read-only - helps to limit the potential damage to organizations that could - be initiated by such users or roles, such as deleting audit records - to cover up malicious activity. - - name: objective - props: - - name: label - value: AU-09(06) - class: sp800-53A - prose: "read-only access to audit information is authorized to {{\ - \ insert: param, au-09.06_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of privileged users with read-only access - to audit information - - - access authorizations - - - access control list - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms managing access to audit information - - id: au-9.7 - class: SP800-53-enhancement - title: Store on Component with Different Operating System - props: - - name: label - value: AU-09(07) - - name: sort-id - value: au-09.07 - links: - - href: "#au-9" - rel: required - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-11" - rel: related - - href: "#sc-29" - rel: related - parts: - - id: au-9.7_smt - name: statement - prose: Store audit information on a component running a different - operating system than the system or component being audited. - - id: au-9.7_gdn - name: guidance - prose: Storing auditing information on a system component running - a different operating system reduces the risk of a vulnerability - specific to the system, resulting in a compromise of the audit - records. - - name: objective - props: - - name: label - value: AU-09(07) - class: sp800-53A - prose: audit information is stored on a component running a different - operating system than the system or component being audited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-09(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - access control policy and procedures - - - procedures addressing protection of audit information - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-09(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit and accountability - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-09(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Mechanisms implementing operating system verification - capability - - - mechanisms verifying audit information storage location - - id: au-10 - class: SP800-53 - title: Non-repudiation - params: - - id: au-10_odp - props: - - name: legacy-identifier - value: au-10_prm_1 - - name: label - value: AU-10_ODP - label: actions to be covered by non-repudiation - guidelines: - - prose: actions to be covered by non-repudiation are defined; - props: - - name: label - value: AU-10 - - name: sort-id - value: au-10 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#1c71b420-2bd9-4e52-9fc8-390f58b85b59" - rel: reference - - href: "#au-9" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-17" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: au-10_smt - name: statement - prose: "Provide irrefutable evidence that an individual (or process\ - \ acting on behalf of an individual) has performed {{ insert: param,\ - \ au-10_odp }}." - - id: au-10_gdn - name: guidance - prose: Types of individual actions covered by non-repudiation include - creating information, sending and receiving messages, and approving - information. Non-repudiation protects against claims by authors of - not having authored certain documents, senders of not having transmitted - messages, receivers of not having received messages, and signatories - of not having signed documents. Non-repudiation services can be used - to determine if information originated from an individual or if an - individual took specific actions (e.g., sending an email, signing - a contract, approving a procurement request, or receiving specific - information). Organizations obtain non-repudiation services by employing - various techniques or mechanisms, including digital signatures and - digital message receipts. - - name: objective - props: - - name: label - value: AU-10 - class: sp800-53A - prose: "irrefutable evidence is provided that an individual (or process\ - \ acting on behalf of an individual) has performed {{ insert: param,\ - \ au-10_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing non-repudiation - - system design documentation - - system configuration settings and associated documentation - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - controls: - - id: au-10.1 - class: SP800-53-enhancement - title: Association of Identities - params: - - id: au-10.01_odp - props: - - name: legacy-identifier - value: au-10.1_prm_1 - - name: label - value: AU-10(01)_ODP - label: strength of binding - guidelines: - - prose: the strength of binding between the identity of the information - producer and the information is defined; - props: - - name: label - value: AU-10(01) - - name: sort-id - value: au-10.01 - links: - - href: "#au-10" - rel: required - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.1_smt - name: statement - parts: - - id: au-10.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Bind the identity of the information producer with the\ - \ information to {{ insert: param, au-10.01_odp }} ; and" - - id: au-10.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide the means for authorized individuals to determine - the identity of the producer of the information. - - id: au-10.1_gdn - name: guidance - prose: Binding identities to the information supports audit requirements - that provide organizational personnel with the means to identify - who produced specific information in the event of an information - transfer. Organizations determine and approve the strength of - attribute binding between the information producer and the information - based on the security category of the information and other relevant - risk factors. - - name: objective - props: - - name: label - value: AU-10(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-10(01)(a) - class: sp800-53A - prose: "the identity of the information producer is bound with\ - \ the information to {{ insert: param, au-10.01_odp }};" - - name: objective - props: - - name: label - value: AU-10(01)(b) - class: sp800-53A - prose: the means for authorized individuals to determine the - identity of the producer of the information is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-10(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing non-repudiation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-10(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-10(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - - id: au-10.2 - class: SP800-53-enhancement - title: Validate Binding of Information Producer Identity - params: - - id: au-10.02_odp.01 - props: - - name: legacy-identifier - value: au-10.2_prm_1 - - name: label - value: AU-10(02)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to validate the binding of the - information producer identity to the information is defined; - - id: au-10.02_odp.02 - props: - - name: legacy-identifier - value: au-10.2_prm_2 - - name: label - value: AU-10(02)_ODP[02] - label: actions - guidelines: - - prose: the actions to be performed in the event of a validation - error are defined; - props: - - name: label - value: AU-10(02) - - name: sort-id - value: au-10.02 - links: - - href: "#au-10" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.2_smt - name: statement - parts: - - id: au-10.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Validate the binding of the information producer identity\ - \ to the information at {{ insert: param, au-10.02_odp.01\ - \ }} ; and" - - id: au-10.2_smt.b - name: item - props: - - name: label - value: (b) - prose: "Perform {{ insert: param, au-10.02_odp.02 }} in the\ - \ event of a validation error." - - id: au-10.2_gdn - name: guidance - prose: Validating the binding of the information producer identity - to the information prevents the modification of information between - production and review. The validation of bindings can be achieved - by, for example, using cryptographic checksums. Organizations - determine if validations are in response to user requests or generated - automatically. - - name: objective - props: - - name: label - value: AU-10(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-10(02)(a) - class: sp800-53A - prose: "the binding of the information producer identity to\ - \ the information {{ insert: param, au-10.02_odp.01 }} is\ - \ validated;" - - name: objective - props: - - name: label - value: AU-10(02)(b) - class: sp800-53A - prose: "{{ insert: param, au-10.02_odp.02 }} in the event of\ - \ a validation error are performed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-10(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing non-repudiation - - - system design documentation - - - system configuration settings and associated documentation - - - validation records - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-10(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-10(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - - id: au-10.3 - class: SP800-53-enhancement - title: Chain of Custody - props: - - name: label - value: AU-10(03) - - name: sort-id - value: au-10.03 - links: - - href: "#au-10" - rel: required - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.3_smt - name: statement - prose: Maintain reviewer or releaser credentials within the established - chain of custody for information reviewed or released. - - id: au-10.3_gdn - name: guidance - prose: Chain of custody is a process that tracks the movement of - evidence through its collection, safeguarding, and analysis life - cycle by documenting each individual who handled the evidence, - the date and time the evidence was collected or transferred, and - the purpose for the transfer. If the reviewer is a human or if - the review function is automated but separate from the release - or transfer function, the system associates the identity of the - reviewer of the information to be released with the information - and the information label. In the case of human reviews, maintaining - the credentials of reviewers or releasers provides the organization - with the means to identify who reviewed and released the information. - In the case of automated reviews, it ensures that only approved - review functions are used. - - name: objective - props: - - name: label - value: AU-10(03) - class: sp800-53A - prose: reviewer or releaser credentials are maintained within the - established chain of custody for information reviewed or released. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-10(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing non-repudiation - - - system design documentation - - - system configuration settings and associated documentation - - - records of information reviews and releases - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-10(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-10(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - - id: au-10.4 - class: SP800-53-enhancement - title: Validate Binding of Information Reviewer Identity - params: - - id: au-10.04_odp.01 - props: - - name: legacy-identifier - value: au-10.4_prm_1 - - name: label - value: AU-10(04)_ODP[01] - label: security domains - guidelines: - - prose: security domains for which the binding of the information - reviewer identity to the information is to be validated at - transfer or release are defined; - - id: au-10.04_odp.02 - props: - - name: legacy-identifier - value: au-10.4_prm_2 - - name: label - value: AU-10(04)_ODP[02] - label: actions - guidelines: - - prose: actions to be performed in the event of a validation - error are defined; - props: - - name: label - value: AU-10(04) - - name: sort-id - value: au-10.04 - links: - - href: "#au-10" - rel: required - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.4_smt - name: statement - parts: - - id: au-10.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Validate the binding of the information reviewer identity\ - \ to the information at the transfer or release points prior\ - \ to release or transfer between {{ insert: param, au-10.04_odp.01\ - \ }} ; and" - - id: au-10.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Perform {{ insert: param, au-10.04_odp.02 }} in the\ - \ event of a validation error." - - id: au-10.4_gdn - name: guidance - prose: Validating the binding of the information reviewer identity - to the information at transfer or release points prevents the - unauthorized modification of information between review and the - transfer or release. The validation of bindings can be achieved - by using cryptographic checksums. Organizations determine if validations - are in response to user requests or generated automatically. - - name: objective - props: - - name: label - value: AU-10(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-10(04)(a) - class: sp800-53A - prose: "the binding of the information reviewer identity to\ - \ the information at the transfer or release points prior\ - \ to release or transfer between {{ insert: param, au-10.04_odp.01\ - \ }} is validated;" - - name: objective - props: - - name: label - value: AU-10(04)(b) - class: sp800-53A - prose: "{{ insert: param, au-10.04_odp.02 }} are performed in\ - \ the event of a validation error." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-10(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing non-repudiation - - - system design documentation - - - system configuration settings and associated documentation - - - validation records - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-10(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-10(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - - id: au-10.5 - class: SP800-53-enhancement - title: Digital Signatures - props: - - name: label - value: AU-10(05) - - name: sort-id - value: au-10.05 - - name: status - value: withdrawn - links: - - href: "#si-7" - rel: incorporated-into - - id: au-11 - class: SP800-53 - title: Audit Record Retention - params: - - id: au-11_odp - props: - - name: legacy-identifier - value: au-11_prm_1 - - name: label - value: AU-11_ODP - label: time period consistent with records retention policy - guidelines: - - prose: a time period to retain audit records that is consistent - with the records retention policy is defined; - props: - - name: label - value: AU-11 - - name: sort-id - value: au-11 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-14" - rel: related - - href: "#mp-6" - rel: related - - href: "#ra-5" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-11_smt - name: statement - prose: "Retain audit records for {{ insert: param, au-11_odp }} to provide\ - \ support for after-the-fact investigations of incidents and to meet\ - \ regulatory and organizational information retention requirements." - - id: au-11_gdn - name: guidance - prose: Organizations retain audit records until it is determined that - the records are no longer needed for administrative, legal, audit, - or other operational purposes. This includes the retention and availability - of audit records relative to Freedom of Information Act (FOIA) requests, - subpoenas, and law enforcement actions. Organizations develop standard - categories of audit records relative to such types of actions and - standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules - provide federal policy on records retention. - - name: objective - props: - - name: label - value: AU-11 - class: sp800-53A - prose: "audit records are retained for {{ insert: param, au-11_odp }}\ - \ to provide support for after-the-fact investigations of incidents\ - \ and to meet regulatory and organizational information retention\ - \ requirements." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-11-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - audit record retention policy and procedures - - security plan - - organization-defined retention period for audit records - - audit record archives - - audit logs - - audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record retention - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - controls: - - id: au-11.1 - class: SP800-53-enhancement - title: Long-term Retrieval Capability - params: - - id: au-11.01_odp - props: - - name: legacy-identifier - value: au-11.1_prm_1 - - name: label - value: AU-11(01)_ODP - label: measures - guidelines: - - prose: measures to be employed to ensure that long-term audit - records generated by the system can be retrieved are defined; - props: - - name: label - value: AU-11(01) - - name: sort-id - value: au-11.01 - links: - - href: "#au-11" - rel: required - parts: - - id: au-11.1_smt - name: statement - prose: "Employ {{ insert: param, au-11.01_odp }} to ensure that\ - \ long-term audit records generated by the system can be retrieved." - - id: au-11.1_gdn - name: guidance - prose: Organizations need to access and read audit records requiring - long-term storage (on the order of years). Measures employed to - help facilitate the retrieval of audit records include converting - records to newer formats, retaining equipment capable of reading - the records, and retaining the necessary documentation to help - personnel understand how to interpret the records. - - name: objective - props: - - name: label - value: AU-11(01) - class: sp800-53A - prose: "{{ insert: param, au-11.01_odp }} are employed to ensure\ - \ that long-term audit records generated by the system can be\ - \ retrieved." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - audit record retention policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - audit record archives - - - audit logs - - - audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record retention - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record retention - capability - - id: au-12 - class: SP800-53 - title: Audit Record Generation - params: - - id: au-12_odp.01 - props: - - name: legacy-identifier - value: au-12_prm_1 - - name: label - value: AU-12_ODP[01] - label: system components - guidelines: - - prose: system components that provide an audit record generation - capability for the events types (defined in AU-02_ODP[02]) are - defined; - - id: au-12_odp.02 - props: - - name: legacy-identifier - value: au-12_prm_2 - - name: label - value: AU-12_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles allowed to select the event types that - are to be logged by specific components of the system is/are defined; - props: - - name: label - value: AU-12 - - name: sort-id - value: au-12 - links: - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-14" - rel: related - - href: "#cm-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-18" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - parts: - - id: au-12_smt - name: statement - parts: - - id: au-12_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide audit record generation capability for the event\ - \ types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a)\ - \ on {{ insert: param, au-12_odp.01 }};" - - id: au-12_smt.b - name: item - props: - - name: label - value: b. - prose: "Allow {{ insert: param, au-12_odp.02 }} to select the event\ - \ types that are to be logged by specific components of the system;\ - \ and" - - id: au-12_smt.c - name: item - props: - - name: label - value: c. - prose: Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) - that include the audit record content defined in [AU-3](#au-3). - - id: au-12_gdn - name: guidance - prose: Audit records can be generated from many different system components. - The event types specified in [AU-2d](#au-2_smt.d) are the event types - for which audit logs are to be generated and are a subset of all event - types for which the system can generate audit records. - - name: objective - props: - - name: label - value: AU-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-12a. - class: sp800-53A - prose: "audit record generation capability for the event types the\ - \ system is capable of auditing, as defined in AU-2a, are provided\ - \ on {{ insert: param, au-12_odp.01 }};" - - name: objective - props: - - name: label - value: AU-12b. - class: sp800-53A - prose: "{{ insert: param, au-12_odp.02 }} is/are allowed to select\ - \ the event types that are to be logged by specific components\ - \ of the system;" - - name: objective - props: - - name: label - value: AU-12c. - class: sp800-53A - prose: audit records for the event types defined in AU-2c that include - the audit record content defined in AU-3 are generated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-12-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - procedures addressing audit record generation - - system security plan - - privacy plan - - system design documentation - - system configuration settings and associated documentation - - list of auditable events - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record generation - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record generation - capability - controls: - - id: au-12.1 - class: SP800-53-enhancement - title: System-wide and Time-correlated Audit Trail - params: - - id: au-12.01_odp.01 - props: - - name: legacy-identifier - value: au-12.1_prm_1 - - name: label - value: AU-12(01)_ODP[01] - label: system components - guidelines: - - prose: system components from which audit records are to be - compiled into a system-wide (logical or physical) audit trail - are defined; - - id: au-12.01_odp.02 - props: - - name: legacy-identifier - value: au-12.1_prm_2 - - name: label - value: AU-12(01)_ODP[02] - label: level of tolerance for the relationship between timestamps - of individual records in the audit trail - guidelines: - - prose: level of tolerance for the relationship between timestamps - of individual records in the audit trail is defined; - props: - - name: label - value: AU-12(01) - - name: sort-id - value: au-12.01 - links: - - href: "#au-12" - rel: required - - href: "#au-8" - rel: related - - href: "#sc-45" - rel: related - parts: - - id: au-12.1_smt - name: statement - prose: "Compile audit records from {{ insert: param, au-12.01_odp.01\ - \ }} into a system-wide (logical or physical) audit trail that\ - \ is time-correlated to within {{ insert: param, au-12.01_odp.02\ - \ }}." - - id: au-12.1_gdn - name: guidance - prose: Audit trails are time-correlated if the time stamps in the - individual audit records can be reliably related to the time stamps - in other audit records to achieve a time ordering of the records - within organizational tolerances. - - name: objective - props: - - name: label - value: AU-12(01) - class: sp800-53A - prose: "audit records from {{ insert: param, au-12.01_odp.01 }}\ - \ are compiled into a system-wide (logical or physical) audit\ - \ trail that is time-correlated to within {{ insert: param, au-12.01_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit record generation - - - system design documentation - - - system configuration settings and associated documentation - - - system-wide audit trail (logical or physical) - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record generation - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record generation - capability - - id: au-12.2 - class: SP800-53-enhancement - title: Standardized Formats - props: - - name: label - value: AU-12(02) - - name: sort-id - value: au-12.02 - links: - - href: "#au-12" - rel: required - parts: - - id: au-12.2_smt - name: statement - prose: Produce a system-wide (logical or physical) audit trail composed - of audit records in a standardized format. - - id: au-12.2_gdn - name: guidance - prose: Audit records that follow common standards promote interoperability - and information exchange between devices and systems. Promoting - interoperability and information exchange facilitates the production - of event information that can be readily analyzed and correlated. - If logging mechanisms do not conform to standardized formats, - systems may convert individual audit records into standardized - formats when compiling system-wide audit trails. - - name: objective - props: - - name: label - value: AU-12(02) - class: sp800-53A - prose: a system-wide (logical or physical) audit trail composed - of audit records is produced in a standardized format. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-12(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit record generation - - - system design documentation - - - system configuration settings and associated documentation - - - system-wide audit trail (logical or physical) - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-12(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record generation - responsibilities - - - organizational personnel with security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-12(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record generation - capability - - id: au-12.3 - class: SP800-53-enhancement - title: Changes by Authorized Individuals - params: - - id: au-12.03_odp.01 - props: - - name: legacy-identifier - value: au-12.3_prm_1 - - name: label - value: AU-12(03)_ODP[01] - label: individuals or roles - guidelines: - - prose: individuals or roles authorized to change logging on - system components are defined; - - id: au-12.03_odp.02 - props: - - name: legacy-identifier - value: au-12.3_prm_2 - - name: label - value: AU-12(03)_ODP[02] - label: system components - guidelines: - - prose: system components on which logging is to be performed - are defined; - - id: au-12.03_odp.03 - props: - - name: legacy-identifier - value: au-12.3_prm_3 - - name: label - value: AU-12(03)_ODP[03] - label: selectable event criteria - guidelines: - - prose: selectable event criteria with which change logging to - be performed are defined; - - id: au-12.03_odp.04 - props: - - name: legacy-identifier - value: au-12.3_prm_4 - - name: label - value: AU-12(03)_ODP[04] - label: time thresholds - guidelines: - - prose: time thresholds in which logging actions are to change - is defined; - props: - - name: label - value: AU-12(03) - - name: sort-id - value: au-12.03 - links: - - href: "#au-12" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: au-12.3_smt - name: statement - prose: "Provide and implement the capability for {{ insert: param,\ - \ au-12.03_odp.01 }} to change the logging to be performed on\ - \ {{ insert: param, au-12.03_odp.02 }} based on {{ insert: param,\ - \ au-12.03_odp.03 }} within {{ insert: param, au-12.03_odp.04\ - \ }}." - - id: au-12.3_gdn - name: guidance - prose: Permitting authorized individuals to make changes to system - logging enables organizations to extend or limit logging as necessary - to meet organizational requirements. Logging that is limited to - conserve system resources may be extended (either temporarily - or permanently) to address certain threat situations. In addition, - logging may be limited to a specific set of event types to facilitate - audit reduction, analysis, and reporting. Organizations can establish - time thresholds in which logging actions are changed (e.g., near - real-time, within minutes, or within hours). - - name: objective - props: - - name: label - value: AU-12(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-12(03)[01] - class: sp800-53A - prose: "the capability for {{ insert: param, au-12.03_odp.01\ - \ }} to change the logging to be performed on {{ insert: param,\ - \ au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03\ - \ }} within {{ insert: param, au-12.03_odp.04 }} are provided;" - - name: objective - props: - - name: label - value: AU-12(03)[02] - class: sp800-53A - prose: "the capability for {{ insert: param, au-12.03_odp.01\ - \ }} to change the logging to be performed on {{ insert: param,\ - \ au-12.03_odp.02 }} based on {{ insert: param, au-12.03_odp.03\ - \ }} within {{ insert: param, au-12.03_odp.04 }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-12(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit record generation - - - system design documentation - - - system configuration settings and associated documentation - - - system-generated list of individuals or roles authorized to - change auditing to be performed - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-12(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record generation - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-12(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record generation - capability - - id: au-12.4 - class: SP800-53-enhancement - title: Query Parameter Audits of Personally Identifiable Information - props: - - name: label - value: AU-12(04) - - name: sort-id - value: au-12.04 - links: - - href: "#au-12" - rel: required - parts: - - id: au-12.4_smt - name: statement - prose: Provide and implement the capability for auditing the parameters - of user query events for data sets containing personally identifiable - information. - - id: au-12.4_gdn - name: guidance - prose: Query parameters are explicit criteria that an individual - or automated system submits to a system to retrieve data. Auditing - of query parameters for datasets that contain personally identifiable - information augments the capability of an organization to track - and understand the access, usage, or sharing of personally identifiable - information by authorized personnel. - - name: objective - props: - - name: label - value: AU-12(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-12(04)[01] - class: sp800-53A - prose: the capability to audit the parameters of user query - events for data sets containing personally identifiable information - is provided; - - name: objective - props: - - name: label - value: AU-12(04)[02] - class: sp800-53A - prose: the capability to audit the parameters of user query - events for data sets containing personally identifiable information - is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-12(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing audit record generation - - - query event records - - - system design documentation - - - system configuration settings and associated documentation - - - map of system data actions - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-12(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with audit record generation - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-12(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing audit record generation - capability - - id: au-13 - class: SP800-53 - title: Monitoring for Information Disclosure - params: - - id: au-13_odp.01 - props: - - name: legacy-identifier - value: au-13_prm_1 - - name: label - value: AU-13_ODP[01] - label: open-source information and/or information sites - guidelines: - - prose: open-source information and/or information sites to be monitored - for evidence of unauthorized disclosure of organizational information - is/are defined; - - id: au-13_odp.02 - props: - - name: legacy-identifier - value: au-13_prm_2 - - name: label - value: AU-13_ODP[02] - label: frequency - guidelines: - - prose: frequency with which open-source information and/or information - sites are monitored for evidence of unauthorized disclosure of - organizational information is defined; - - id: au-13_odp.03 - props: - - name: legacy-identifier - value: au-13_prm_3 - - name: label - value: AU-13_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified if an information disclosure - is discovered is/are defined; - - id: au-13_odp.04 - props: - - name: legacy-identifier - value: au-13_prm_4 - - name: label - value: AU-13_ODP[04] - label: additional actions - guidelines: - - prose: additional actions to be taken if an information disclosure - is discovered are defined; - props: - - name: label - value: AU-13 - - name: sort-id - value: au-13 - links: - - href: "#ac-22" - rel: related - - href: "#pe-3" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-20" - rel: related - parts: - - id: au-13_smt - name: statement - parts: - - id: au-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor {{ insert: param, au-13_odp.01 }} {{ insert: param,\ - \ au-13_odp.02 }} for evidence of unauthorized disclosure of organizational\ - \ information; and" - - id: au-13_smt.b - name: item - props: - - name: label - value: b. - prose: "If an information disclosure is discovered:" - parts: - - id: au-13_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: "Notify {{ insert: param, au-13_odp.03 }} ; and" - - id: au-13_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: "Take the following additional actions: {{ insert: param,\ - \ au-13_odp.04 }}." - - id: au-13_gdn - name: guidance - prose: Unauthorized disclosure of information is a form of data leakage. - Open-source information includes social networking sites and code-sharing - platforms and repositories. Examples of organizational information - include personally identifiable information retained by the organization - or proprietary information generated by the organization. - - name: objective - props: - - name: label - value: AU-13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-13a. - class: sp800-53A - prose: "{{ insert: param, au-13_odp.01 }} are monitored {{ insert:\ - \ param, au-13_odp.02 }} for evidence of unauthorized disclosure\ - \ of organizational information;" - - name: objective - props: - - name: label - value: AU-13b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-13b.01 - class: sp800-53A - prose: "{{ insert: param, au-13_odp.03 }} are notified if an\ - \ information disclosure is discovered;" - - name: objective - props: - - name: label - value: AU-13b.02 - class: sp800-53A - prose: "{{ insert: param, au-13_odp.04 }} are taken if an information\ - \ disclosure is discovered." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-13-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing information disclosure monitoring - - system design documentation - - system configuration settings and associated documentation - - monitoring records - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - monitoring open-source information and/or information sites - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-13-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms implementing monitoring for information disclosure - controls: - - id: au-13.1 - class: SP800-53-enhancement - title: Use of Automated Tools - params: - - id: au-13.01_odp - props: - - name: legacy-identifier - value: au-13.1_prm_1 - - name: label - value: AU-13(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms for monitoring open-source information - and information sites are defined; - props: - - name: label - value: AU-13(01) - - name: sort-id - value: au-13.01 - links: - - href: "#au-13" - rel: required - parts: - - id: au-13.1_smt - name: statement - prose: "Monitor open-source information and information sites using\ - \ {{ insert: param, au-13.01_odp }}." - - id: au-13.1_gdn - name: guidance - prose: Automated mechanisms include commercial services that provide - notifications and alerts to organizations and automated scripts - to monitor new posts on websites. - - name: objective - props: - - name: label - value: AU-13(01) - class: sp800-53A - prose: "open-source information and information sites are monitored\ - \ using {{ insert: param, au-13.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-13(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing information disclosure monitoring - - - system design documentation - - - system configuration settings and associated documentation - - - automated monitoring tools - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-13(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - monitoring information disclosures - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-13(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing monitoring for information - disclosure - - id: au-13.2 - class: SP800-53-enhancement - title: Review of Monitored Sites - params: - - id: au-13.02_odp - props: - - name: legacy-identifier - value: au-13.2_prm_1 - - name: label - value: AU-13(02)_ODP - label: frequency - guidelines: - - prose: the frequency at which to review the open-source information - sites being monitored is defined; - props: - - name: label - value: AU-13(02) - - name: sort-id - value: au-13.02 - links: - - href: "#au-13" - rel: required - parts: - - id: au-13.2_smt - name: statement - prose: "Review the list of open-source information sites being monitored\ - \ {{ insert: param, au-13.02_odp }}." - - id: au-13.2_gdn - name: guidance - prose: Reviewing the current list of open-source information sites - being monitored on a regular basis helps to ensure that the selected - sites remain relevant. The review also provides the opportunity - to add new open-source information sites with the potential to - provide evidence of unauthorized disclosure of organizational - information. The list of sites monitored can be guided and informed - by threat intelligence of other credible sources of information. - - name: objective - props: - - name: label - value: AU-13(02) - class: sp800-53A - prose: "the list of open-source information sites being monitored\ - \ is reviewed {{ insert: param, au-13.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-13(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing information disclosure monitoring - - - system design documentation - - - system configuration settings and associated documentation - - - reviews for open-source information sites being monitored - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-13(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - monitoring open-source information sites - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-13(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing monitoring for information - disclosure - - id: au-13.3 - class: SP800-53-enhancement - title: Unauthorized Replication of Information - props: - - name: label - value: AU-13(03) - - name: sort-id - value: au-13.03 - links: - - href: "#au-13" - rel: required - parts: - - id: au-13.3_smt - name: statement - prose: Employ discovery techniques, processes, and tools to determine - if external entities are replicating organizational information - in an unauthorized manner. - - id: au-13.3_gdn - name: guidance - prose: The unauthorized use or replication of organizational information - by external entities can cause adverse impacts on organizational - operations and assets, including damage to reputation. Such activity - can include the replication of an organizational website by an - adversary or hostile threat actor who attempts to impersonate - the web-hosting organization. Discovery tools, techniques, and - processes used to determine if external entities are replicating - organizational information in an unauthorized manner include scanning - external websites, monitoring social media, and training staff - to recognize the unauthorized use of organizational information. - - name: objective - props: - - name: label - value: AU-13(03) - class: sp800-53A - prose: discovery techniques, processes, and tools are employed to - determine if external entities are replicating organizational - information in an unauthorized manner. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-13(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing information disclosure monitoring - - - procedures addressing information replication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - training resources for staff to recognize the unauthorized - use of organizational information - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-13(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - monitoring unauthorized replication of information - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-13(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Discovery tools for identifying unauthorized information - replication - - id: au-14 - class: SP800-53 - title: Session Audit - params: - - id: au-14_odp.01 - props: - - name: legacy-identifier - value: au-14_prm_1 - - name: label - value: AU-14_ODP[01] - label: users or roles - guidelines: - - prose: users or roles who can audit the content of a user session - are defined; - - id: au-14_odp.02 - props: - - name: legacy-identifier - value: au-14_prm_2 - - name: label - value: AU-14_ODP[02] - select: - how-many: one-or-more - choice: - - record - - view - - hear - - log - - id: au-14_odp.03 - props: - - name: legacy-identifier - value: au-14_prm_3 - - name: label - value: AU-14_ODP[03] - label: circumstances - guidelines: - - prose: circumstances under which the content of a user session can - be audited are defined; - props: - - name: label - value: AU-14 - - name: sort-id - value: au-14 - links: - - href: "#ac-3" - rel: related - - href: "#ac-8" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-8" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-14_smt - name: statement - parts: - - id: au-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide and implement the capability for {{ insert: param,\ - \ au-14_odp.01 }} to {{ insert: param, au-14_odp.02 }} the content\ - \ of a user session under {{ insert: param, au-14_odp.03 }} ;\ - \ and" - - id: au-14_smt.b - name: item - props: - - name: label - value: b. - prose: Develop, integrate, and use session auditing activities in - consultation with legal counsel and in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - id: au-14_gdn - name: guidance - prose: Session audits can include monitoring keystrokes, tracking websites - visited, and recording information and/or file transfers. Session - audit capability is implemented in addition to event logging and may - involve implementation of specialized session capture technology. - Organizations consider how session auditing can reveal information - about individuals that may give rise to privacy risk as well as how - to mitigate those risks. Because session auditing can impact system - and network performance, organizations activate the capability under - well-defined situations (e.g., the organization is suspicious of a - specific individual). Organizations consult with legal counsel, civil - liberties officials, and privacy officials to ensure that any legal, - privacy, civil rights, or civil liberties issues, including the use - of personally identifiable information, are appropriately addressed. - - name: objective - props: - - name: label - value: AU-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-14a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-14a.[01] - class: sp800-53A - prose: "{{ insert: param, au-14_odp.01 }} provided with the\ - \ capability to {{ insert: param, au-14_odp.02 }} the content\ - \ of a user session under {{ insert: param, au-14_odp.03 }};" - - name: objective - props: - - name: label - value: AU-14a.[02] - class: sp800-53A - prose: "the capability for {{ insert: param, au-14_odp.01 }}\ - \ to {{ insert: param, au-14_odp.02 }} the content of a user\ - \ session under {{ insert: param, au-14_odp.03 }} is implemented;" - - name: objective - props: - - name: label - value: AU-14b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-14b.[01] - class: sp800-53A - prose: session auditing activities are developed in consultation - with legal counsel and in accordance with applicable laws, - Executive Orders, directives, regulations, policies, standards, - and guidelines; - - name: objective - props: - - name: label - value: AU-14b.[02] - class: sp800-53A - prose: session auditing activities are integrated in consultation - with legal counsel and in accordance with applicable laws, - Executive Orders, directives, regulations, policies, standards, - and guidelines; - - name: objective - props: - - name: label - value: AU-14b.[03] - class: sp800-53A - prose: session auditing activities are used in consultation - with legal counsel and in accordance with applicable laws, - Executive Orders, directives, regulations, policies, standards, - and guidelines; - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-14-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Audit and accountability policy - - system security plan - - privacy plan - - procedures addressing user session auditing - - system design documentation - - system configuration settings and associated documentation - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - - legal counsel - - - personnel with civil liberties responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-14-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms implementing user session auditing capability - controls: - - id: au-14.1 - class: SP800-53-enhancement - title: System Start-up - props: - - name: label - value: AU-14(01) - - name: sort-id - value: au-14.01 - links: - - href: "#au-14" - rel: required - parts: - - id: au-14.1_smt - name: statement - prose: Initiate session audits automatically at system start-up. - - id: au-14.1_gdn - name: guidance - prose: The automatic initiation of session audits at startup helps - to ensure that the information being captured on selected individuals - is complete and not subject to compromise through tampering by - malicious threat actors. - - name: objective - props: - - name: label - value: AU-14(01) - class: sp800-53A - prose: session audits are initiated automatically at system start-up. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-14(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing user session auditing - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-14(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-14(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing user session auditing - capability - - id: au-14.2 - class: SP800-53-enhancement - title: Capture and Record Content - props: - - name: label - value: AU-14(02) - - name: sort-id - value: au-14.02 - - name: status - value: withdrawn - links: - - href: "#au-14" - rel: incorporated-into - - id: au-14.3 - class: SP800-53-enhancement - title: Remote Viewing and Listening - props: - - name: label - value: AU-14(03) - - name: sort-id - value: au-14.03 - links: - - href: "#au-14" - rel: required - - href: "#ac-17" - rel: related - parts: - - id: au-14.3_smt - name: statement - prose: Provide and implement the capability for authorized users - to remotely view and hear content related to an established user - session in real time. - - id: au-14.3_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: AU-14(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: AU-14(03)[01] - class: sp800-53A - prose: the capability for authorized users to remotely view - and hear content related to an established user session in - real time is provided; - - name: objective - props: - - name: label - value: AU-14(03)[02] - class: sp800-53A - prose: the capability for authorized users to remotely view - and hear content related to an established user session in - real time is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-14(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing user session auditing - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-14(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - system/network administrators - - - system developers - - - legal counsel - - - personnel with civil liberties responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-14(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing user session auditing - capability - - id: au-15 - class: SP800-53 - title: Alternate Audit Logging Capability - props: - - name: label - value: AU-15 - - name: sort-id - value: au-15 - - name: status - value: withdrawn - links: - - href: "#au-5.5" - rel: moved-to - - id: au-16 - class: SP800-53 - title: Cross-organizational Audit Logging - params: - - id: au-16_odp.01 - props: - - name: legacy-identifier - value: au-16_prm_1 - - name: label - value: AU-16_ODP[01] - label: methods - guidelines: - - prose: methods for coordinating audit information among external - organizations when audit information is transmitted across organizational - boundaries are defined; - - id: au-16_odp.02 - props: - - name: legacy-identifier - value: au-16_prm_2 - - name: label - value: AU-16_ODP[02] - label: audit information - guidelines: - - prose: audit information to be coordinated among external organizations - when audit information is transmitted across organizational boundaries - is defined; - props: - - name: label - value: AU-16 - - name: sort-id - value: au-16 - links: - - href: "#au-3" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ca-3" - rel: related - - href: "#pt-7" - rel: related - parts: - - id: au-16_smt - name: statement - prose: "Employ {{ insert: param, au-16_odp.01 }} for coordinating {{\ - \ insert: param, au-16_odp.02 }} among external organizations when\ - \ audit information is transmitted across organizational boundaries." - - id: au-16_gdn - name: guidance - prose: When organizations use systems or services of external organizations, - the audit logging capability necessitates a coordinated, cross-organization - approach. For example, maintaining the identity of individuals who - request specific services across organizational boundaries may often - be difficult, and doing so may prove to have significant performance - and privacy ramifications. Therefore, it is often the case that cross-organizational - audit logging simply captures the identity of individuals who issue - requests at the initial system, and subsequent systems record that - the requests originated from authorized individuals. Organizations - consider including processes for coordinating audit information requirements - and protection of audit information in information exchange agreements. - - name: objective - props: - - name: label - value: AU-16 - class: sp800-53A - prose: "{{ insert: param, au-16_odp.01 }} for coordinating {{ insert:\ - \ param, au-16_odp.02 }} among external organizations when audit information\ - \ is transmitted across organizational boundaries are employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing methods for coordinating audit information - among external organizations - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - coordinating audit information among external organizations - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-16-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing cross-organizational auditing - controls: - - id: au-16.1 - class: SP800-53-enhancement - title: Identity Preservation - props: - - name: label - value: AU-16(01) - - name: sort-id - value: au-16.01 - links: - - href: "#au-16" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: au-16.1_smt - name: statement - prose: Preserve the identity of individuals in cross-organizational - audit trails. - - id: au-16.1_gdn - name: guidance - prose: Identity preservation is applied when there is a need to - be able to trace actions that are performed across organizational - boundaries to a specific individual. - - name: objective - props: - - name: label - value: AU-16(01) - class: sp800-53A - prose: the identity of individuals in cross-organizational audit - trails is preserved. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-16(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing cross-organizational audit trails - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-16(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with cross-organizational audit - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-16(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing cross-organizational - auditing (if applicable) - - id: au-16.2 - class: SP800-53-enhancement - title: Sharing of Audit Information - params: - - id: au-16.02_odp.01 - props: - - name: legacy-identifier - value: au-16.2_prm_1 - - name: label - value: AU-16(02)_ODP[01] - label: organizations - guidelines: - - prose: organizations with which cross-organizational audit information - is to be shared are defined; - - id: au-16.02_odp.02 - props: - - name: legacy-identifier - value: au-16.2_prm_2 - - name: label - value: AU-16(02)_ODP[02] - label: cross-organizational sharing agreements - guidelines: - - prose: cross-organizational sharing agreements to be used when - providing cross-organizational audit information to organizations - are defined; - props: - - name: label - value: AU-16(02) - - name: sort-id - value: au-16.02 - links: - - href: "#au-16" - rel: required - - href: "#ir-4" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-16.2_smt - name: statement - prose: "Provide cross-organizational audit information to {{ insert:\ - \ param, au-16.02_odp.01 }} based on {{ insert: param, au-16.02_odp.02\ - \ }}." - - id: au-16.2_gdn - name: guidance - prose: Due to the distributed nature of the audit information, cross-organization - sharing of audit information may be essential for effective analysis - of the auditing being performed. For example, the audit records - of one organization may not provide sufficient information to - determine the appropriate or inappropriate use of organizational - information resources by individuals in other organizations. In - some instances, only individuals’ home organizations have the - appropriate knowledge to make such determinations, thus requiring - the sharing of audit information among organizations. - - name: objective - props: - - name: label - value: AU-16(02) - class: sp800-53A - prose: "cross-organizational audit information is provided to {{\ - \ insert: param, au-16.02_odp.01 }} based on {{ insert: param,\ - \ au-16.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-16(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing cross-organizational sharing of audit - information - - - information sharing agreements - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-16(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - sharing cross-organizational audit information - - - organizational personnel with information security and privacy - responsibilities - - id: au-16.3 - class: SP800-53-enhancement - title: Disassociability - params: - - id: au-16.03_odp - props: - - name: legacy-identifier - value: au-16.3_prm_1 - - name: label - value: AU-16(03)_ODP - label: measures - guidelines: - - prose: measures to disassociate individuals from audit information - transmitted across organizational boundaries are defined; - props: - - name: label - value: AU-16(03) - - name: sort-id - value: au-16.03 - links: - - href: "#au-16" - rel: required - parts: - - id: au-16.3_smt - name: statement - prose: "Implement {{ insert: param, au-16.03_odp }} to disassociate\ - \ individuals from audit information transmitted across organizational\ - \ boundaries." - - id: au-16.3_gdn - name: guidance - prose: Preserving identities in audit trails could have privacy - ramifications, such as enabling the tracking and profiling of - individuals, but may not be operationally necessary. These risks - could be further amplified when transmitting information across - organizational boundaries. Implementing privacy-enhancing cryptographic - techniques can disassociate individuals from audit information - and reduce privacy risk while maintaining accountability. - - name: objective - props: - - name: label - value: AU-16(03) - class: sp800-53A - prose: "{{ insert: param, au-16.03_odp }} are implemented to disassociate\ - \ individuals from audit information transmitted across organizational\ - \ boundaries." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: AU-16(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Audit and accountability policy - - - system security plan - - - privacy plan - - - procedures addressing cross-organizational sharing of audit - information - - - policy and/or procedures regarding the deidentification of - PII - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: AU-16(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - sharing cross-organizational audit information - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: AU-16(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing disassociability - - id: ca - class: family - title: Assessment, Authorization, and Monitoring - controls: - - id: ca-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ca-1_prm_1 - props: - - name: aggregates - value: ca-01_odp.01 - label: organization-defined personnel or roles - - id: ca-01_odp.01 - props: - - name: label - value: CA-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the assessment, authorization, - and monitoring policy is to be disseminated is/are defined; - - id: ca-01_odp.02 - props: - - name: label - value: CA-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the assessment, authorization, - and monitoring procedures are to be disseminated is/are defined; - - id: ca-01_odp.03 - props: - - name: legacy-identifier - value: ca-1_prm_2 - - name: label - value: CA-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ca-01_odp.04 - props: - - name: legacy-identifier - value: ca-1_prm_3 - - name: label - value: CA-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the assessment, authorization, and - monitoring policy and procedures is defined; - - id: ca-01_odp.05 - props: - - name: legacy-identifier - value: ca-1_prm_4 - - name: label - value: CA-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current assessment, authorization, - and monitoring policy is reviewed and updated is defined; - - id: ca-01_odp.06 - props: - - name: legacy-identifier - value: ca-1_prm_5 - - name: label - value: CA-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current assessment, authorization, - and monitoring policy to be reviewed and updated are defined; - - id: ca-01_odp.07 - props: - - name: legacy-identifier - value: ca-1_prm_6 - - name: label - value: CA-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current assessment, authorization, - and monitoring procedures are reviewed and updated is defined; - - id: ca-01_odp.08 - props: - - name: legacy-identifier - value: ca-1_prm_7 - - name: label - value: CA-01_ODP[08] - label: events - guidelines: - - prose: events that would require assessment, authorization, and - monitoring procedures to be reviewed and updated are defined; - props: - - name: label - value: CA-01 - - name: sort-id - value: ca-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#62ea77ca-e450-4323-b210-e0d75390e785" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-1_smt - name: statement - parts: - - id: ca-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ca-1_prm_1 }}:" - parts: - - id: ca-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ca-01_odp.03 }} assessment, authorization,\ - \ and monitoring policy that:" - parts: - - id: ca-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ca-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ca-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the assessment, - authorization, and monitoring policy and the associated assessment, - authorization, and monitoring controls; - - id: ca-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ca-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the assessment,\ - \ authorization, and monitoring policy and procedures; and" - - id: ca-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current assessment, authorization,\ - \ and monitoring:" - parts: - - id: ca-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ca-01_odp.05 }} and following\ - \ {{ insert: param, ca-01_odp.06 }} ; and" - - id: ca-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ca-01_odp.07 }} and following\ - \ {{ insert: param, ca-01_odp.08 }}." - - id: ca-1_gdn - name: guidance - prose: Assessment, authorization, and monitoring policy and procedures - address the controls in the CA family that are implemented within - systems and organizations. The risk management strategy is an important - factor in establishing such policies and procedures. Policies and - procedures contribute to security and privacy assurance. Therefore, - it is important that security and privacy programs collaborate on - the development of assessment, authorization, and monitoring policy - and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies that reflect the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to assessment, authorization, and monitoring - policy and procedures include assessment or audit findings, security - incidents or breaches, or changes in applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines. Simply - restating controls does not constitute an organizational policy or - procedure. - - name: objective - props: - - name: label - value: CA-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01a.[01] - class: sp800-53A - prose: an assessment, authorization, and monitoring policy is - developed and documented; - - name: objective - props: - - name: label - value: CA-01a.[02] - class: sp800-53A - prose: "the assessment, authorization, and monitoring policy\ - \ is disseminated to {{ insert: param, ca-01_odp.01 }};" - - name: objective - props: - - name: label - value: CA-01a.[03] - class: sp800-53A - prose: assessment, authorization, and monitoring procedures - to facilitate the implementation of the assessment, authorization, - and monitoring policy and associated assessment, authorization, - and monitoring controls are developed and documented; - - name: objective - props: - - name: label - value: CA-01a.[04] - class: sp800-53A - prose: "the assessment, authorization, and monitoring procedures\ - \ are disseminated to {{ insert: param, ca-01_odp.02 }};" - - name: objective - props: - - name: label - value: CA-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses purpose;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses scope;[03]\ - \ SELECTED PARAMETER(S)> assessment, authorization,\ - \ and monitoring policy addresses scope;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses roles;[03]\ - \ SELECTED PARAMETER(S)> assessment, authorization,\ - \ and monitoring policy addresses roles;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses responsibilities;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: CA-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy addresses compliance;" - - name: objective - props: - - name: label - value: CA-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.03 }} assessment,\ - \ authorization, and monitoring policy is consistent with\ - \ applicable laws, executive orders, directives, regulations,\ - \ policies, standards, and guidelines;" - - name: objective - props: - - name: label - value: CA-01b. - class: sp800-53A - prose: "the {{ insert: param, ca-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the assessment,\ - \ authorization, and monitoring policy and procedures;" - - name: objective - props: - - name: label - value: CA-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01c.01[01] - class: sp800-53A - prose: "the current assessment, authorization, and monitoring\ - \ policy is reviewed and updated {{ insert: param, ca-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: CA-01c.01[02] - class: sp800-53A - prose: "the current assessment, authorization, and monitoring\ - \ policy is reviewed and updated following {{ insert:\ - \ param, ca-01_odp.06 }};" - - name: objective - props: - - name: label - value: CA-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-01c.02[01] - class: sp800-53A - prose: "the current assessment, authorization, and monitoring\ - \ procedures are reviewed and updated {{ insert: param,\ - \ ca-01_odp.07 }};" - - name: objective - props: - - name: label - value: CA-01c.02[02] - class: sp800-53A - prose: "the current assessment, authorization, and monitoring\ - \ procedures are reviewed and updated following {{ insert:\ - \ param, ca-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-01-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy and - procedures - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment, authorization, and - monitoring policy responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ca-2 - class: SP800-53 - title: Control Assessments - params: - - id: ca-02_odp.01 - props: - - name: legacy-identifier - value: ca-2_prm_1 - - name: label - value: CA-02_ODP[01] - label: assessment frequency - guidelines: - - prose: the frequency at which to assess controls in the system and - its environment of operation is defined; - - id: ca-02_odp.02 - props: - - name: legacy-identifier - value: ca-2_prm_2 - - name: label - value: CA-02_ODP[02] - label: individuals or roles - guidelines: - - prose: individuals or roles to whom control assessment results are - to be provided are defined; - props: - - name: label - value: CA-02 - - name: sort-id - value: ca-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#30eb758a-2707-4bca-90ad-949a74d4eb16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#122177fa-c4ed-485d-8345-3082c0fb9a06" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#ac-20" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: ca-2_smt - name: statement - parts: - - id: ca-2_smt.a - name: item - props: - - name: label - value: a. - prose: Select the appropriate assessor or assessment team for the - type of assessment to be conducted; - - id: ca-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Develop a control assessment plan that describes the scope\ - \ of the assessment including:" - parts: - - id: ca-2_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: Controls and control enhancements under assessment; - - id: ca-2_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: Assessment procedures to be used to determine control - effectiveness; and - - id: ca-2_smt.b.3 - name: item - props: - - name: label - value: "03." - prose: Assessment environment, assessment team, and assessment - roles and responsibilities; - - id: ca-2_smt.c - name: item - props: - - name: label - value: c. - prose: Ensure the control assessment plan is reviewed and approved - by the authorizing official or designated representative prior - to conducting the assessment; - - id: ca-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Assess the controls in the system and its environment of\ - \ operation {{ insert: param, ca-02_odp.01 }} to determine the\ - \ extent to which the controls are implemented correctly, operating\ - \ as intended, and producing the desired outcome with respect\ - \ to meeting established security and privacy requirements;" - - id: ca-2_smt.e - name: item - props: - - name: label - value: e. - prose: Produce a control assessment report that document the results - of the assessment; and - - id: ca-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Provide the results of the control assessment to {{ insert:\ - \ param, ca-02_odp.02 }}." - - id: ca-2_gdn - name: guidance - prose: >- - Organizations ensure that control assessors possess the required - skills and technical expertise to develop effective assessment - plans and to conduct assessments of system-specific, hybrid, - common, and program management controls, as appropriate. The - required skills include general knowledge of risk management - concepts and approaches as well as comprehensive knowledge of - and experience with the hardware, software, and firmware system - components implemented. - - - Organizations assess controls in systems and the environments in which - those systems operate as part of initial and ongoing authorizations, - continuous monitoring, FISMA annual assessments, system design and - development, systems security engineering, privacy engineering, and - the system development life cycle. Assessments help to ensure that - organizations meet information security and privacy requirements, - identify weaknesses and deficiencies in the system design and development - process, provide essential information needed to make risk-based decisions - as part of authorization processes, and comply with vulnerability - mitigation procedures. Organizations conduct assessments on the implemented - controls as documented in security and privacy plans. Assessments - can also be conducted throughout the system development life cycle - as part of systems engineering and systems security engineering processes. - The design for controls can be assessed as RFPs are developed, responses - assessed, and design reviews conducted. If a design to implement controls - and subsequent implementation in accordance with the design are assessed - during development, the final control testing can be a simple confirmation - utilizing previously completed control assessment and aggregating - the outcomes. - - - Organizations may develop a single, consolidated security and privacy - assessment plan for the system or maintain separate plans. A consolidated - assessment plan clearly delineates the roles and responsibilities - for control assessment. If multiple organizations participate in assessing - a system, a coordinated approach can reduce redundancies and associated - costs. - - - Organizations can use other types of assessment activities, such as - vulnerability scanning and system monitoring, to maintain the security - and privacy posture of systems during the system life cycle. Assessment - reports document assessment results in sufficient detail, as deemed - necessary by organizations, to determine the accuracy and completeness - of the reports and whether the controls are implemented correctly, - operating as intended, and producing the desired outcome with respect - to meeting requirements. Assessment results are provided to the individuals - or roles appropriate for the types of assessments being conducted. - For example, assessments conducted in support of authorization decisions - are provided to authorizing officials, senior agency officials for - privacy, senior agency information security officers, and authorizing - official designated representatives. - - - To satisfy annual assessment requirements, organizations can use assessment - results from the following sources: initial or ongoing system authorizations, - continuous monitoring, systems engineering processes, or system development - life cycle activities. Organizations ensure that assessment results - are current, relevant to the determination of control effectiveness, - and obtained with the appropriate level of assessor independence. - Existing control assessment results can be reused to the extent that - the results are still valid and can also be supplemented with additional - assessments as needed. After the initial authorizations, organizations - assess controls during continuous monitoring. Organizations also establish - the frequency for ongoing assessments in accordance with organizational - continuous monitoring strategies. External audits, including audits - by external entities such as regulatory agencies, are outside of the - scope of [CA-2](#ca-2). - - name: objective - props: - - name: label - value: CA-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-02a. - class: sp800-53A - prose: an appropriate assessor or assessment team is selected for - the type of assessment to be conducted; - - name: objective - props: - - name: label - value: CA-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-02b.01 - class: sp800-53A - prose: a control assessment plan is developed that describes - the scope of the assessment, including controls and control - enhancements under assessment; - - name: objective - props: - - name: label - value: CA-02b.02 - class: sp800-53A - prose: a control assessment plan is developed that describes - the scope of the assessment, including assessment procedures - to be used to determine control effectiveness; - - name: objective - props: - - name: label - value: CA-02b.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-02b.03[01] - class: sp800-53A - prose: >- - a control assessment plan is developed that - describes the scope of the assessment, including the - assessment environment; - - - a control assessment plan is developed that describes - the scope of the assessment, including assessment roles - and responsibilities; - - name: objective - props: - - name: label - value: CA-02b.03[02] - class: sp800-53A - prose: a control assessment plan is developed that describes - the scope of the assessment, including the assessment - team; - - name: objective - props: - - name: label - value: CA-02c. - class: sp800-53A - prose: the control assessment plan is reviewed and approved by the - authorizing official or designated representative prior to conducting - the assessment; - - name: objective - props: - - name: label - value: CA-02d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-02d.[01] - class: sp800-53A - prose: "controls are assessed in the system and its environment\ - \ of operation {{ insert: param, ca-02_odp.01 }} to determine\ - \ the extent to which the controls are implemented correctly,\ - \ operating as intended, and producing the desired outcome\ - \ with respect to meeting established security requirements;" - - name: objective - props: - - name: label - value: CA-02d.[02] - class: sp800-53A - prose: "controls are assessed in the system and its environment\ - \ of operation {{ insert: param, ca-02_odp.01 }} to determine\ - \ the extent to which the controls are implemented correctly,\ - \ operating as intended, and producing the desired outcome\ - \ with respect to meeting established privacy requirements;" - - name: objective - props: - - name: label - value: CA-02e. - class: sp800-53A - prose: a control assessment report is produced that documents the - results of the assessment; - - name: objective - props: - - name: label - value: CA-02f. - class: sp800-53A - prose: "the results of the control assessment are provided to {{\ - \ insert: param, ca-02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing assessment planning - - procedures addressing control assessments - - control assessment plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with control assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-02-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting control assessment, control - assessment plan development, and/or control assessment reporting - controls: - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - props: - - name: label - value: CA-02(01) - - name: sort-id - value: ca-02.01 - links: - - href: "#ca-2" - rel: required - parts: - - id: ca-2.1_smt - name: statement - prose: Employ independent assessors or assessment teams to conduct - control assessments. - - id: ca-2.1_gdn - name: guidance - prose: >- - Independent assessors or assessment teams are individuals or - groups who conduct impartial assessments of systems. - Impartiality means that assessors are free from any - perceived or actual conflicts of interest regarding the - development, operation, sustainment, or management of the - systems under assessment or the determination of control - effectiveness. To achieve impartiality, assessors do not - create a mutual or conflicting interest with the - organizations where the assessments are being conducted, - assess their own work, act as management or employees of the - organizations they are serving, or place themselves in - positions of advocacy for the organizations acquiring their - services. - - - Independent assessments can be obtained from elements within organizations - or be contracted to public or private sector entities outside - of organizations. Authorizing officials determine the required - level of independence based on the security categories of systems - and/or the risk to organizational operations, organizational assets, - or individuals. Authorizing officials also determine if the level - of assessor independence provides sufficient assurance that the - results are sound and can be used to make credible, risk-based - decisions. Assessor independence determination includes whether - contracted assessment services have sufficient independence, such - as when system owners are not directly involved in contracting - processes or cannot influence the impartiality of the assessors - conducting the assessments. During the system design and development - phase, having independent assessors is analogous to having independent - SMEs involved in design reviews. - - - When organizations that own the systems are small or the structures - of the organizations require that assessments be conducted by - individuals that are in the developmental, operational, or management - chain of the system owners, independence in assessment processes - can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate - the completeness, accuracy, integrity, and reliability of the - results. Assessments performed for purposes other than to support - authorization decisions are more likely to be useable for such - decisions when performed by assessors with sufficient independence, - thereby reducing the need to repeat assessments. - - name: objective - props: - - name: label - value: CA-02(01) - class: sp800-53A - prose: independent assessors or assessment teams are employed to - conduct control assessments. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing control assessments - - previous control assessment plan - - previous control assessment report - - plan of action and milestones - - existing authorization statement - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ca-2.2 - class: SP800-53-enhancement - title: Specialized Assessments - params: - - id: ca-02.02_odp.01 - props: - - name: legacy-identifier - value: ca-2.2_prm_1 - - name: label - value: CA-02(02)_ODP[01] - label: specialized assessment frequency - guidelines: - - prose: frequency at which to include specialized assessments - as part of the control assessment is defined; - - id: ca-02.02_odp.02 - props: - - name: legacy-identifier - value: ca-2.2_prm_2 - - name: label - value: CA-02(02)_ODP[02] - select: - choice: - - announced - - unannounced - - id: ca-02.02_odp.03 - props: - - name: legacy-identifier - value: ca-2.2_prm_3 - - name: label - value: CA-02(02)_ODP[03] - select: - how-many: one-or-more - choice: - - in-depth monitoring - - security instrumentation - - automated security test cases - - vulnerability scanning - - malicious user testing - - insider threat assessment - - performance and load testing - - data leakage or data loss assessment - - " {{ insert: param, ca-02.02_odp.04 }} " - - id: ca-02.02_odp.04 - props: - - name: legacy-identifier - value: ca-2.2_prm_4 - - name: label - value: CA-02(02)_ODP[04] - label: other forms of assessment - guidelines: - - prose: other forms of assessment are defined (if selected); - props: - - name: label - value: CA-02(02) - - name: sort-id - value: ca-02.02 - links: - - href: "#ca-2" - rel: required - - href: "#pe-3" - rel: related - - href: "#si-2" - rel: related - parts: - - id: ca-2.2_smt - name: statement - prose: "Include as part of control assessments, {{ insert: param,\ - \ ca-02.02_odp.01 }}, {{ insert: param, ca-02.02_odp.02 }}, {{\ - \ insert: param, ca-02.02_odp.03 }}." - - id: ca-2.2_gdn - name: guidance - prose: Organizations can conduct specialized assessments, including - verification and validation, system monitoring, insider threat - assessments, malicious user testing, and other forms of testing. - These assessments can improve readiness by exercising organizational - capabilities and indicating current levels of performance as a - means of focusing actions to improve security and privacy. Organizations - conduct specialized assessments in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. - Organizations can include vulnerabilities uncovered during assessments - into vulnerability remediation processes. Specialized assessments - can also be conducted early in the system development life cycle - (e.g., during initial design, development, and unit testing). - - name: objective - props: - - name: label - value: CA-02(02) - class: sp800-53A - prose: "{{ insert: param, ca-02.02_odp.01 }} {{ insert: param, ca-02.02_odp.02\ - \ }} {{ insert: param, ca-02.02_odp.03 }} is/are included as part\ - \ of control assessments." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing control assessments - - control assessment plan - - control assessment report - - control assessment evidence - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with control assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting control assessment - - id: ca-2.3 - class: SP800-53-enhancement - title: Leveraging Results from External Organizations - params: - - id: ca-02.03_odp.01 - props: - - name: legacy-identifier - value: ca-2.3_prm_1 - - name: label - value: CA-02(03)_ODP[01] - label: external organizations - guidelines: - - prose: external organizations from which the results of control - assessments are leveraged are defined; - - id: ca-02.03_odp.02 - props: - - name: legacy-identifier - value: ca-2.3_prm_2 - - name: label - value: CA-02(03)_ODP[02] - label: system - guidelines: - - prose: system on which a control assessment was performed by - an external organization is defined; - - id: ca-02.03_odp.03 - props: - - name: legacy-identifier - value: ca-2.3_prm_3 - - name: label - value: CA-02(03)_ODP[03] - label: requirements - guidelines: - - prose: requirements to be met by the control assessment performed - by an external organization on the system are defined; - props: - - name: label - value: CA-02(03) - - name: sort-id - value: ca-02.03 - links: - - href: "#ca-2" - rel: required - - href: "#sa-4" - rel: related - parts: - - id: ca-2.3_smt - name: statement - prose: "Leverage the results of control assessments performed by\ - \ {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02\ - \ }} when the assessment meets {{ insert: param, ca-02.03_odp.03\ - \ }}." - - id: ca-2.3_gdn - name: guidance - prose: Organizations may rely on control assessments of organizational - systems by other (external) organizations. Using such assessments - and reusing existing assessment evidence can decrease the time - and resources required for assessments by limiting the independent - assessment activities that organizations need to perform. The - factors that organizations consider in determining whether to - accept assessment results from external organizations can vary. - Such factors include the organization’s past experience with the - organization that conducted the assessment, the reputation of - the assessment organization, the level of detail of supporting - assessment evidence provided, and mandates imposed by applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Accredited testing laboratories that support the - Common Criteria Program [ISO 15408-1](#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73) - , the NIST Cryptographic Module Validation Program (CMVP), or - the NIST Cryptographic Algorithm Validation Program (CAVP) can - provide independent assessment results that organizations can - leverage. - - name: objective - props: - - name: label - value: CA-02(03) - class: sp800-53A - prose: "the results of control assessments performed by {{ insert:\ - \ param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02\ - \ }} are leveraged when the assessment meets {{ insert: param,\ - \ ca-02.03_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing control assessments - - control assessment requirements - - control assessment plan - - control assessment report - - control assessment evidence - - plan of action and milestones - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with control assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - personnel performing control assessments for the specified - external organization - - id: ca-3 - class: SP800-53 - title: Information Exchange - params: - - id: ca-03_odp.01 - props: - - name: legacy-identifier - value: ca-3_prm_1 - - name: label - value: CA-03_ODP[01] - select: - how-many: one-or-more - choice: - - interconnection security agreements - - information exchange security agreements - - memoranda of understanding or agreement - - service level agreements - - user agreements - - non-disclosure agreements - - " {{ insert: param, ca-03_odp.02 }} " - - id: ca-03_odp.02 - props: - - name: legacy-identifier - value: ca-3_prm_2 - - name: label - value: CA-03_ODP[02] - label: type of agreement - guidelines: - - prose: the type of agreement used to approve and manage the exchange - of information is defined (if selected); - - id: ca-03_odp.03 - props: - - name: legacy-identifier - value: ca-3_prm_3 - - name: label - value: CA-03_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to review and update agreements is - defined; - props: - - name: label - value: CA-03 - - name: sort-id - value: ca-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#c3a76872-e160-4267-99e8-6952de967d04" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-20" - rel: related - - href: "#au-16" - rel: related - - href: "#ca-6" - rel: related - - href: "#ia-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-3_smt - name: statement - parts: - - id: ca-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Approve and manage the exchange of information between the\ - \ system and other systems using {{ insert: param, ca-03_odp.01\ - \ }};" - - id: ca-3_smt.b - name: item - props: - - name: label - value: b. - prose: Document, as part of each exchange agreement, the interface - characteristics, security and privacy requirements, controls, - and responsibilities for each system, and the impact level of - the information communicated; and - - id: ca-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the agreements {{ insert: param, ca-03_odp.03\ - \ }}." - - id: ca-3_gdn - name: guidance - prose: >- - System information exchange requirements apply to information - exchanges between two or more systems. System information - exchanges include connections via leased lines or virtual - private networks, connections to internet service providers, - database sharing or exchanges of database transaction - information, connections and exchanges with cloud services, - exchanges via web-based services, or exchanges of files via file - transfer protocols, network protocols (e.g., IPv4, IPv6), email, - or other organization-to-organization communications. - Organizations consider the risk related to new or increased - threats that may be introduced when systems exchange information - with other systems that may have different security and privacy - requirements and controls. This includes systems within the same - organization and systems that are external to the organization. - A joint authorization of the systems exchanging information, as - described in [CA-6(1)](#ca-6.1) or [CA-6(2)](#ca-6.2) , may help - to communicate and reduce risk. - - - Authorizing officials determine the risk associated with system information - exchange and the controls needed for appropriate risk mitigation. - The types of agreements selected are based on factors such as the - impact level of the information being exchanged, the relationship - between the organizations exchanging information (e.g., government - to government, government to business, business to business, government - or business to service provider, government or business to individual), - or the level of access to the organizational system by users of the - other system. If systems that exchange information have the same authorizing - official, organizations need not develop agreements. Instead, the - interface characteristics between the systems (e.g., how the information - is being exchanged. how the information is protected) are described - in the respective security and privacy plans. If the systems that - exchange information have different authorizing officials within the - same organization, the organizations can develop agreements or provide - the same information that would be provided in the appropriate agreement - type from [CA-3a](#ca-3_smt.a) in the respective security and privacy - plans for the systems. Organizations may incorporate agreement information - into formal contracts, especially for information exchanges established - between federal agencies and nonfederal organizations (including service - providers, contractors, system developers, and system integrators). - Risk considerations include systems that share the same networks. - - name: objective - props: - - name: label - value: CA-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-03a. - class: sp800-53A - prose: "the exchange of information between system and other systems\ - \ is approved and managed using {{ insert: param, ca-03_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: CA-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-03b.[01] - class: sp800-53A - prose: the interface characteristics are documented as part - of each exchange agreement; - - name: objective - props: - - name: label - value: CA-03b.[02] - class: sp800-53A - prose: security requirements are documented as part of each - exchange agreement; - - name: objective - props: - - name: label - value: CA-03b.[03] - class: sp800-53A - prose: privacy requirements are documented as part of each exchange - agreement; - - name: objective - props: - - name: label - value: CA-03b.[04] - class: sp800-53A - prose: controls are documented as part of each exchange agreement; - - name: objective - props: - - name: label - value: CA-03b.[05] - class: sp800-53A - prose: responsibilities for each system are documented as part - of each exchange agreement; - - name: objective - props: - - name: label - value: CA-03b.[06] - class: sp800-53A - prose: the impact level of the information communicated is documented - as part of each exchange agreement; - - name: objective - props: - - name: label - value: CA-03c. - class: sp800-53A - prose: "agreements are reviewed and updated {{ insert: param, ca-03_odp.03\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Access control policy - - procedures addressing system connections - - system and communications protection policy - - system interconnection security agreements - - information exchange security agreements - - memoranda of understanding or agreements - - service level agreements - - non-disclosure agreements - - system design documentation - - system configuration settings and associated documentation - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing, implementing, or approving system - interconnection agreements - - - organizational personnel with information security and privacy - responsibilities - - - personnel managing the system(s) to which the interconnection - security agreement applies - controls: - - id: ca-3.1 - class: SP800-53-enhancement - title: Unclassified National Security System Connections - props: - - name: label - value: CA-03(01) - - name: sort-id - value: ca-03.01 - - name: status - value: withdrawn - links: - - href: "#sc-7.25" - rel: moved-to - - id: ca-3.2 - class: SP800-53-enhancement - title: Classified National Security System Connections - props: - - name: label - value: CA-03(02) - - name: sort-id - value: ca-03.02 - - name: status - value: withdrawn - links: - - href: "#sc-7.26" - rel: moved-to - - id: ca-3.3 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - props: - - name: label - value: CA-03(03) - - name: sort-id - value: ca-03.03 - - name: status - value: withdrawn - links: - - href: "#sc-7.27" - rel: moved-to - - id: ca-3.4 - class: SP800-53-enhancement - title: Connections to Public Networks - props: - - name: label - value: CA-03(04) - - name: sort-id - value: ca-03.04 - - name: status - value: withdrawn - links: - - href: "#sc-7.28" - rel: moved-to - - id: ca-3.5 - class: SP800-53-enhancement - title: Restrictions on External System Connections - props: - - name: label - value: CA-03(05) - - name: sort-id - value: ca-03.05 - - name: status - value: withdrawn - links: - - href: "#sc-7.5" - rel: moved-to - - id: ca-3.6 - class: SP800-53-enhancement - title: Transfer Authorizations - props: - - name: label - value: CA-03(06) - - name: sort-id - value: ca-03.06 - links: - - href: "#ca-3" - rel: required - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ca-3.6_smt - name: statement - prose: Verify that individuals or systems transferring data between - interconnecting systems have the requisite authorizations (i.e., - write permissions or privileges) prior to accepting such data. - - id: ca-3.6_gdn - name: guidance - prose: To prevent unauthorized individuals and systems from making - information transfers to protected systems, the protected system - verifies—via independent means— whether the individual or system - attempting to transfer information is authorized to do so. Verification - of the authorization to transfer information also applies to control - plane traffic (e.g., routing and DNS) and services (e.g., authenticated - SMTP relays). - - name: objective - props: - - name: label - value: CA-03(06) - class: sp800-53A - prose: individuals or systems transferring data between interconnecting - systems have the requisite authorizations (i.e., write permissions - or privileges) prior to accepting such data. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-03(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing system connections - - - system and communications protection policy - - - system interconnection agreements - - - information exchange security agreements - - - memoranda of understanding or agreements - - - service level agreements - - - non-disclosure agreements - - - system design documentation - - - system configuration settings and associated documentation - - - control assessment report - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-03(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - managing connections to external systems - - - network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-03(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing restrictions on external - system connections - - id: ca-3.7 - class: SP800-53-enhancement - title: Transitive Information Exchanges - props: - - name: label - value: CA-03(07) - - name: sort-id - value: ca-03.07 - links: - - href: "#ca-3" - rel: required - - href: "#sc-7" - rel: related - parts: - - id: ca-3.7_smt - name: statement - parts: - - id: ca-3.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Identify transitive (downstream) information exchanges - with other systems through the systems identified in [CA-3a](#ca-3_smt.a) - ; and - - id: ca-3.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Take measures to ensure that transitive (downstream) - information exchanges cease when the controls on identified - transitive (downstream) systems cannot be verified or validated. - - id: ca-3.7_gdn - name: guidance - prose: Transitive or "downstream" information exchanges are information - exchanges between the system or systems with which the organizational - system exchanges information and other systems. For mission-essential - systems, services, and applications, including high value assets, - it is necessary to identify such information exchanges. The transparency - of the controls or protection measures in place in such downstream - systems connected directly or indirectly to organizational systems - is essential to understanding the security and privacy risks resulting - from those information exchanges. Organizational systems can inherit - risk from downstream systems through transitive connections and - information exchanges, which can make the organizational systems - more susceptible to threats, hazards, and adverse impacts. - - name: objective - props: - - name: label - value: CA-03(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-03(07)(a) - class: sp800-53A - prose: transitive (downstream) information exchanges with other - systems through the systems identified in CA-03a are identified; - - name: objective - props: - - name: label - value: CA-03(07)(b) - class: sp800-53A - prose: measures are taken to ensure that transitive (downstream) - information exchanges cease when the controls on identified - transitive (downstream) systems cannot be verified or validated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-03(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Access control policy - - - procedures addressing system connections - - - system and communications protection policy - - - system interconnection agreements - - - information exchange security agreements - - - memoranda of understanding or agreements - - - service level agreements - - - non-disclosure agreements - - - system design documentation - - - system configuration settings and associated documentation - - - control assessment report - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-03(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - managing connections to external systems - - - network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-03(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing restrictions on external - system connections - - id: ca-4 - class: SP800-53 - title: Security Certification - props: - - name: label - value: CA-04 - - name: sort-id - value: ca-04 - - name: status - value: withdrawn - links: - - href: "#ca-2" - rel: incorporated-into - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - params: - - id: ca-05_odp - props: - - name: legacy-identifier - value: ca-5_prm_1 - - name: label - value: CA-05_ODP - label: frequency - guidelines: - - prose: the frequency at which to update an existing plan of action - and milestones based on the findings from control assessments, - independent audits or reviews, and continuous monitoring activities - is defined; - props: - - name: label - value: CA-05 - - name: sort-id - value: ca-05 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-7" - rel: related - - href: "#si-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-5_smt - name: statement - parts: - - id: ca-5_smt.a - name: item - props: - - name: label - value: a. - prose: Develop a plan of action and milestones for the system to - document the planned remediation actions of the organization to - correct weaknesses or deficiencies noted during the assessment - of the controls and to reduce or eliminate known vulnerabilities - in the system; and - - id: ca-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Update existing plan of action and milestones {{ insert:\ - \ param, ca-05_odp }} based on the findings from control assessments,\ - \ independent audits or reviews, and continuous monitoring activities." - - id: ca-5_gdn - name: guidance - prose: Plans of action and milestones are useful for any type of organization - to track planned remedial actions. Plans of action and milestones - are required in authorization packages and subject to federal reporting - requirements established by OMB. - - name: objective - props: - - name: label - value: CA-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-05a. - class: sp800-53A - prose: a plan of action and milestones for the system is developed - to document the planned remediation actions of the organization - to correct weaknesses or deficiencies noted during the assessment - of the controls and to reduce or eliminate known vulnerabilities - in the system; - - name: objective - props: - - name: label - value: CA-05b. - class: sp800-53A - prose: "existing plan of action and milestones are updated {{ insert:\ - \ param, ca-05_odp }} based on the findings from control assessments,\ - \ independent audits or reviews, and continuous monitoring activities." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-05-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing plan of action and milestones - - control assessment plan - - control assessment report - - control assessment evidence - - plan of action and milestones - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with plan of action and milestones - development and implementation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-05-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms for developing, implementing, and maintaining - plan of action and milestones - controls: - - id: ca-5.1 - class: SP800-53-enhancement - title: Automation Support for Accuracy and Currency - params: - - id: ca-05.01_odp - props: - - name: legacy-identifier - value: ca-5.1_prm_1 - - name: label - value: CA-05(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to ensure the accuracy, currency, - and availability of the plan of action and milestones for - the system are defined; - props: - - name: label - value: CA-05(01) - - name: sort-id - value: ca-05.01 - links: - - href: "#ca-5" - rel: required - parts: - - id: ca-5.1_smt - name: statement - prose: "Ensure the accuracy, currency, and availability of the plan\ - \ of action and milestones for the system using {{ insert: param,\ - \ ca-05.01_odp }}." - - id: ca-5.1_gdn - name: guidance - prose: Using automated tools helps maintain the accuracy, currency, - and availability of the plan of action and milestones and facilitates - the coordination and sharing of security and privacy information - throughout the organization. Such coordination and information - sharing help to identify systemic weaknesses or deficiencies in - organizational systems and ensure that appropriate resources are - directed at the most critical system vulnerabilities in a timely - manner. - - name: objective - props: - - name: label - value: CA-05(01) - class: sp800-53A - prose: "{{ insert: param, ca-05.01_odp }} are used to ensure the\ - \ accuracy, currency, and availability of the plan of action and\ - \ milestones for the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - procedures addressing plan of action and milestones - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - plan of action and milestones - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with plan of action and - milestones development and implementation - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms for developing, implementing, and - maintaining a plan of action and milestones - - id: ca-6 - class: SP800-53 - title: Authorization - params: - - id: ca-06_odp - props: - - name: legacy-identifier - value: ca-6_prm_1 - - name: label - value: CA-06_ODP - label: frequency - guidelines: - - prose: frequency at which to update the authorizations is defined; - props: - - name: label - value: CA-06 - - name: sort-id - value: ca-06 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-6_smt - name: statement - parts: - - id: ca-6_smt.a - name: item - props: - - name: label - value: a. - prose: Assign a senior official as the authorizing official for - the system; - - id: ca-6_smt.b - name: item - props: - - name: label - value: b. - prose: Assign a senior official as the authorizing official for - common controls available for inheritance by organizational systems; - - id: ca-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Ensure that the authorizing official for the system, before\ - \ commencing operations:" - parts: - - id: ca-6_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: Accepts the use of common controls inherited by the system; - and - - id: ca-6_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: Authorizes the system to operate; - - id: ca-6_smt.d - name: item - props: - - name: label - value: d. - prose: Ensure that the authorizing official for common controls - authorizes the use of those controls for inheritance by organizational - systems; - - id: ca-6_smt.e - name: item - props: - - name: label - value: e. - prose: "Update the authorizations {{ insert: param, ca-06_odp }}." - - id: ca-6_gdn - name: guidance - prose: >- - Authorizations are official management decisions by senior - officials to authorize operation of systems, authorize the use - of common controls for inheritance by organizational systems, - and explicitly accept the risk to organizational operations and - assets, individuals, other organizations, and the Nation based - on the implementation of agreed-upon controls. Authorizing - officials provide budgetary oversight for organizational systems - and common controls or assume responsibility for the mission and - business functions supported by those systems or common - controls. The authorization process is a federal responsibility, - and therefore, authorizing officials must be federal employees. - Authorizing officials are both responsible and accountable for - security and privacy risks associated with the operation and use - of organizational systems. Nonfederal organizations may have - similar processes to authorize systems and senior officials that - assume the authorization role and associated responsibilities. - - - Authorizing officials issue ongoing authorizations of systems based - on evidence produced from implemented continuous monitoring programs. - Robust continuous monitoring programs reduce the need for separate - reauthorization processes. Through the employment of comprehensive - continuous monitoring processes, the information contained in authorization - packages (i.e., security and privacy plans, assessment reports, and - plans of action and milestones) is updated on an ongoing basis. This - provides authorizing officials, common control providers, and system - owners with an up-to-date status of the security and privacy posture - of their systems, controls, and operating environments. To reduce - the cost of reauthorization, authorizing officials can leverage the - results of continuous monitoring processes to the maximum extent possible - as the basis for rendering reauthorization decisions. - - name: objective - props: - - name: label - value: CA-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-06a. - class: sp800-53A - prose: a senior official is assigned as the authorizing official - for the system; - - name: objective - props: - - name: label - value: CA-06b. - class: sp800-53A - prose: a senior official is assigned as the authorizing official - for common controls available for inheritance by organizational - systems; - - name: objective - props: - - name: label - value: CA-06c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-06c.01 - class: sp800-53A - prose: before commencing operations, the authorizing official - for the system accepts the use of common controls inherited - by the system; - - name: objective - props: - - name: label - value: CA-06c.02 - class: sp800-53A - prose: before commencing operations, the authorizing official - for the system authorizes the system to operate; - - name: objective - props: - - name: label - value: CA-06d. - class: sp800-53A - prose: the authorizing official for common controls authorizes the - use of those controls for inheritance by organizational systems; - - name: objective - props: - - name: label - value: CA-06e. - class: sp800-53A - prose: "the authorizations are updated {{ insert: param, ca-06_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - procedures addressing authorization - - - system security plan, privacy plan, assessment report, plan of - action and milestones - - - authorization statement - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authorization responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-06-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that facilitate authorizations and updates - controls: - - id: ca-6.1 - class: SP800-53-enhancement - title: Joint Authorization — Intra-organization - props: - - name: label - value: CA-06(01) - - name: sort-id - value: ca-06.01 - links: - - href: "#ca-6" - rel: required - - href: "#ac-6" - rel: related - parts: - - id: ca-6.1_smt - name: statement - prose: Employ a joint authorization process for the system that - includes multiple authorizing officials from the same organization - conducting the authorization. - - id: ca-6.1_gdn - name: guidance - prose: Assigning multiple authorizing officials from the same organization - to serve as co-authorizing officials for the system increases - the level of independence in the risk-based decision-making process. - It also implements the concepts of separation of duties and dual - authorization as applied to the system authorization process. - The intra-organization joint authorization process is most relevant - for connected systems, shared systems, and systems with multiple - information owners. - - name: objective - props: - - name: label - value: CA-06(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-06(01)[01] - class: sp800-53A - prose: a joint authorization process is employed for the system; - - name: objective - props: - - name: label - value: CA-06(01)[02] - class: sp800-53A - prose: the joint authorization process employed for the system - includes multiple authorizing officials from the same organization - conducting the authorization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing authorization - - system security plan - - privacy plan - - assessment report - - plan of action and milestones - - authorization statement - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authorization - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that facilitate authorizations and - updates - - id: ca-6.2 - class: SP800-53-enhancement - title: Joint Authorization — Inter-organization - props: - - name: label - value: CA-06(02) - - name: sort-id - value: ca-06.02 - links: - - href: "#ca-6" - rel: required - - href: "#ac-6" - rel: related - parts: - - id: ca-6.2_smt - name: statement - prose: Employ a joint authorization process for the system that - includes multiple authorizing officials with at least one authorizing - official from an organization external to the organization conducting - the authorization. - - id: ca-6.2_gdn - name: guidance - prose: Assigning multiple authorizing officials, at least one of - whom comes from an external organization, to serve as co-authorizing - officials for the system increases the level of independence in - the risk-based decision-making process. It implements the concepts - of separation of duties and dual authorization as applied to the - system authorization process. Employing authorizing officials - from external organizations to supplement the authorizing official - from the organization that owns or hosts the system may be necessary - when the external organizations have a vested interest or equities - in the outcome of the authorization decision. The inter-organization - joint authorization process is relevant and appropriate for connected - systems, shared systems or services, and systems with multiple - information owners. The authorizing officials from the external - organizations are key stakeholders of the system undergoing authorization. - - name: objective - props: - - name: label - value: CA-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-06(02)[01] - class: sp800-53A - prose: a joint authorization process is employed for the system; - - name: objective - props: - - name: label - value: CA-06(02)[02] - class: sp800-53A - prose: the joint authorization process employed for the system - includes multiple authorizing officials with at least one - authorizing official from an organization external to the - organization conducting the authorization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing authorization - - system security plan - - privacy plan - - assessment report - - plan of action and milestones - - authorization statement - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authorization - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that facilitate authorizations and - updates - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - params: - - id: ca-7_prm_4 - props: - - name: aggregates - value: ca-07_odp.04 - label: organization-defined personnel or roles - - id: ca-7_prm_5 - props: - - name: aggregates - value: ca-07_odp.05 - label: organization-defined frequency - - id: ca-07_odp.01 - props: - - name: legacy-identifier - value: ca-7_prm_1 - - name: label - value: CA-07_ODP[01] - label: system-level metrics - guidelines: - - prose: system-level metrics to be monitored are defined; - - id: ca-07_odp.02 - props: - - name: legacy-identifier - value: ca-7_prm_2 - - name: label - value: CA-07_ODP[02] - label: frequencies - guidelines: - - prose: frequencies at which to monitor control effectiveness are - defined; - - id: ca-07_odp.03 - props: - - name: legacy-identifier - value: ca-7_prm_3 - - name: label - value: CA-07_ODP[03] - label: frequencies - guidelines: - - prose: frequencies at which to assess control effectiveness are - defined; - - id: ca-07_odp.04 - props: - - name: label - value: CA-07_ODP[04] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the security status of the system - is reported are defined; - - id: ca-07_odp.05 - props: - - name: label - value: CA-07_ODP[05] - label: frequency - guidelines: - - prose: frequency at which the security status of the system is reported - is defined; - - id: ca-07_odp.06 - props: - - name: label - value: CA-07_ODP[06] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the privacy status of the system - is reported are defined; - - id: ca-07_odp.07 - props: - - name: label - value: CA-07_ODP[07] - label: frequency - guidelines: - - prose: frequency at which the privacy status of the system is reported - is defined; - props: - - name: label - value: CA-07 - - name: sort-id - value: ca-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#122177fa-c4ed-485d-8345-3082c0fb9a06" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#bbac9fc2-df5b-4f2d-bf99-90d0ade45349" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#at-4" - rel: related - - href: "#au-6" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-16" - rel: related - - href: "#pe-20" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-6" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-12" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-28" - rel: related - - href: "#pm-31" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#ra-10" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: ca-7_smt - name: statement - prose: "Develop a system-level continuous monitoring strategy and implement\ - \ continuous monitoring in accordance with the organization-level\ - \ continuous monitoring strategy that includes:" - parts: - - id: ca-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Establishing the following system-level metrics to be monitored:\ - \ {{ insert: param, ca-07_odp.01 }};" - - id: ca-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Establishing {{ insert: param, ca-07_odp.02 }} for monitoring\ - \ and {{ insert: param, ca-07_odp.03 }} for assessment of control\ - \ effectiveness;" - - id: ca-7_smt.c - name: item - props: - - name: label - value: c. - prose: Ongoing control assessments in accordance with the continuous - monitoring strategy; - - id: ca-7_smt.d - name: item - props: - - name: label - value: d. - prose: Ongoing monitoring of system and organization-defined metrics - in accordance with the continuous monitoring strategy; - - id: ca-7_smt.e - name: item - props: - - name: label - value: e. - prose: Correlation and analysis of information generated by control - assessments and monitoring; - - id: ca-7_smt.f - name: item - props: - - name: label - value: f. - prose: Response actions to address results of the analysis of control - assessment and monitoring information; and - - id: ca-7_smt.g - name: item - props: - - name: label - value: g. - prose: "Reporting the security and privacy status of the system\ - \ to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5\ - \ }}." - - id: ca-7_gdn - name: guidance - prose: >- - Continuous monitoring at the system level facilitates ongoing - awareness of the system security and privacy posture to support - organizational risk management decisions. The terms "continuous" - and "ongoing" imply that organizations assess and monitor their - controls and risks at a frequency sufficient to support - risk-based decisions. Different types of controls may require - different monitoring frequencies. The results of continuous - monitoring generate risk response actions by organizations. When - monitoring the effectiveness of multiple controls that have been - grouped into capabilities, a root-cause analysis may be needed - to determine the specific control that has failed. Continuous - monitoring programs allow organizations to maintain the - authorizations of systems and common controls in highly dynamic - environments of operation with changing mission and business - needs, threats, vulnerabilities, and technologies. Having access - to security and privacy information on a continuing basis - through reports and dashboards gives organizational officials - the ability to make effective and timely risk management - decisions, including ongoing authorization decisions. - - - Automation supports more frequent updates to hardware, software, and - firmware inventories, authorization packages, and other system information. - Effectiveness is further enhanced when continuous monitoring outputs - are formatted to provide information that is specific, measurable, - actionable, relevant, and timely. Continuous monitoring activities - are scaled in accordance with the security categories of systems. - Monitoring requirements, including the need for specific monitoring, - may be referenced in other controls and control enhancements, such - as [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), - [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), - [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), - [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), - [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), - [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), - [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PM-31](#pm-31), - [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), [SR-4](#sr-4), [SC-5(3)(b)](#sc-5.3_smt.b), - [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), - [SC-43b](#sc-43_smt.b) , and [SI-4](#si-4). - - name: objective - props: - - name: label - value: CA-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-07[01] - class: sp800-53A - prose: a system-level continuous monitoring strategy is developed; - - name: objective - props: - - name: label - value: CA-07[02] - class: sp800-53A - prose: system-level continuous monitoring is implemented in accordance - with the organization-level continuous monitoring strategy; - - name: objective - props: - - name: label - value: CA-07a. - class: sp800-53A - prose: "system-level continuous monitoring includes establishment\ - \ of the following system-level metrics to be monitored {{ insert:\ - \ param, ca-07_odp.01 }};" - - name: objective - props: - - name: label - value: CA-07b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-07b.[01] - class: sp800-53A - prose: "system-level continuous monitoring includes established\ - \ {{ insert: param, ca-07_odp.02 }} for monitoring;" - - name: objective - props: - - name: label - value: CA-07b.[02] - class: sp800-53A - prose: "system-level continuous monitoring includes established\ - \ {{ insert: param, ca-07_odp.03 }} for assessment of control\ - \ effectiveness;" - - name: objective - props: - - name: label - value: CA-07c. - class: sp800-53A - prose: system-level continuous monitoring includes ongoing control - assessments in accordance with the continuous monitoring strategy; - - name: objective - props: - - name: label - value: CA-07d. - class: sp800-53A - prose: system-level continuous monitoring includes ongoing monitoring - of system and organization-defined metrics in accordance with - the continuous monitoring strategy; - - name: objective - props: - - name: label - value: CA-07e. - class: sp800-53A - prose: system-level continuous monitoring includes correlation and - analysis of information generated by control assessments and monitoring; - - name: objective - props: - - name: label - value: CA-07f. - class: sp800-53A - prose: system-level continuous monitoring includes response actions - to address the results of the analysis of control assessment and - monitoring information; - - name: objective - props: - - name: label - value: CA-07g. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-07g.[01] - class: sp800-53A - prose: "system-level continuous monitoring includes reporting\ - \ the security status of the system to {{ insert: param, ca-07_odp.04\ - \ }} {{ insert: param, ca-07_odp.05 }};" - - name: objective - props: - - name: label - value: CA-07g.[02] - class: sp800-53A - prose: "system-level continuous monitoring includes reporting\ - \ the privacy status of the system to {{ insert: param, ca-07_odp.06\ - \ }} {{ insert: param, ca-07_odp.07 }} ._ODP[07] frequency>." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - procedures addressing continuous monitoring of system controls - - - procedures addressing configuration management - - - control assessment report - - - plan of action and milestones - - - system monitoring records - - - configuration management records - - - impact analyses - - - status reports - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Mechanisms implementing continuous monitoring - - - mechanisms supporting response actions to address assessment and - monitoring results - - - mechanisms supporting security and privacy status reporting - controls: - - id: ca-7.1 - class: SP800-53-enhancement - title: Independent Assessment - props: - - name: label - value: CA-07(01) - - name: sort-id - value: ca-07.01 - links: - - href: "#ca-7" - rel: required - parts: - - id: ca-7.1_smt - name: statement - prose: Employ independent assessors or assessment teams to monitor - the controls in the system on an ongoing basis. - - id: ca-7.1_gdn - name: guidance - prose: Organizations maximize the value of control assessments by - requiring that assessments be conducted by assessors with appropriate - levels of independence. The level of required independence is - based on organizational continuous monitoring strategies. Assessor - independence provides a degree of impartiality to the monitoring - process. To achieve such impartiality, assessors do not create - a mutual or conflicting interest with the organizations where - the assessments are being conducted, assess their own work, act - as management or employees of the organizations they are serving, - or place themselves in advocacy positions for the organizations - acquiring their services. - - name: objective - props: - - name: label - value: CA-07(01) - class: sp800-53A - prose: independent assessors or assessment teams are employed to - monitor the controls in the system on an ongoing basis. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - procedures addressing continuous monitoring of system controls - - - control assessment report - - - plan of action and milestones - - - system monitoring records - - - impact analyses - - - status reports - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ca-7.2 - class: SP800-53-enhancement - title: Types of Assessments - props: - - name: label - value: CA-07(02) - - name: sort-id - value: ca-07.02 - - name: status - value: withdrawn - links: - - href: "#ca-2" - rel: incorporated-into - - id: ca-7.3 - class: SP800-53-enhancement - title: Trend Analyses - props: - - name: label - value: CA-07(03) - - name: sort-id - value: ca-07.03 - links: - - href: "#ca-7" - rel: required - parts: - - id: ca-7.3_smt - name: statement - prose: Employ trend analyses to determine if control implementations, - the frequency of continuous monitoring activities, and the types - of activities used in the continuous monitoring process need to - be modified based on empirical data. - - id: ca-7.3_gdn - name: guidance - prose: Trend analyses include examining recent threat information - that addresses the types of threat events that have occurred in - the organization or the Federal Government, success rates of certain - types of attacks, emerging vulnerabilities in technologies, evolving - social engineering techniques, the effectiveness of configuration - settings, results from multiple control assessments, and findings - from Inspectors General or auditors. - - name: objective - props: - - name: label - value: CA-07(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-07(03)[01] - class: sp800-53A - prose: trend analysis is employed to determine if control implementations - used in the continuous monitoring process need to be modified - based on empirical data; - - name: objective - props: - - name: label - value: CA-07(03)[02] - class: sp800-53A - prose: trend analysis is employed to determine if the frequency - of continuous monitoring activities used in the continuous - monitoring process needs to be modified based on empirical - data; - - name: objective - props: - - name: label - value: CA-07(03)[03] - class: sp800-53A - prose: trend analysis is employed to determine if the types - of activities used in the continuous monitoring process need - to be modified based on empirical data. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - assessment, authorization, and monitoring policy - - - procedures addressing continuous monitoring of system controls - - - privacy controls - - - assessment report - - - plan of action and milestones - - - system monitoring records - - - impact analyses - - - status reports - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-07(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms supporting trend analyses - - id: ca-7.4 - class: SP800-53-enhancement - title: Risk Monitoring - props: - - name: label - value: CA-07(04) - - name: sort-id - value: ca-07.04 - links: - - href: "#ca-7" - rel: required - parts: - - id: ca-7.4_smt - name: statement - prose: "Ensure risk monitoring is an integral part of the continuous\ - \ monitoring strategy that includes the following:" - parts: - - id: ca-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Effectiveness monitoring; - - id: ca-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Compliance monitoring; and - - id: ca-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Change monitoring. - - id: ca-7.4_gdn - name: guidance - prose: Risk monitoring is informed by the established organizational - risk tolerance. Effectiveness monitoring determines the ongoing - effectiveness of the implemented risk response measures. Compliance - monitoring verifies that required risk response measures are implemented. - It also verifies that security and privacy requirements are satisfied. - Change monitoring identifies changes to organizational systems - and environments of operation that may affect security and privacy - risk. - - name: objective - props: - - name: label - value: CA-07(04) - class: sp800-53A - prose: risk monitoring is an integral part of the continuous monitoring - strategy; - parts: - - name: objective - props: - - name: label - value: CA-07(04)(a) - class: sp800-53A - prose: effectiveness monitoring is included in risk monitoring; - - name: objective - props: - - name: label - value: CA-07(04)(b) - class: sp800-53A - prose: compliance monitoring is included in risk monitoring; - - name: objective - props: - - name: label - value: CA-07(04)(c) - class: sp800-53A - prose: change monitoring is included in risk monitoring. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - procedures addressing continuous monitoring of system controls - - - assessment report - - - plan of action and milestones - - - system monitoring records - - - impact analyses - - - status reports - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-07(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms supporting risk monitoring - - id: ca-7.5 - class: SP800-53-enhancement - title: Consistency Analysis - params: - - id: ca-7.5_prm_1 - props: - - name: aggregates - value: ca-07.05_odp.01 - label: organization-defined actions - - id: ca-07.05_odp.01 - props: - - name: label - value: CA-07(05)_ODP[01] - label: actions - guidelines: - - prose: actions to validate that policies are established are - defined; - - id: ca-07.05_odp.02 - props: - - name: label - value: CA-07(05)_ODP[02] - label: actions - guidelines: - - prose: actions to validate that implemented controls are operating - in a consistent manner are defined; - props: - - name: label - value: CA-07(05) - - name: sort-id - value: ca-07.05 - links: - - href: "#ca-7" - rel: required - parts: - - id: ca-7.5_smt - name: statement - prose: "Employ the following actions to validate that policies are\ - \ established and implemented controls are operating in a consistent\ - \ manner: {{ insert: param, ca-7.5_prm_1 }}." - - id: ca-7.5_gdn - name: guidance - prose: Security and privacy controls are often added incrementally - to a system. As a result, policies for selecting and implementing - controls may be inconsistent, and the controls could fail to work - together in a consistent or coordinated manner. At a minimum, - the lack of consistency and coordination could mean that there - are unacceptable security and privacy gaps in the system. At worst, - it could mean that some of the controls implemented in one location - or by one component are actually impeding the functionality of - other controls (e.g., encrypting internal network traffic can - impede monitoring). In other situations, failing to consistently - monitor all implemented network protocols (e.g., a dual stack - of IPv4 and IPv6) may create unintended vulnerabilities in the - system that could be exploited by adversaries. It is important - to validate—through testing, monitoring, and analysis—that the - implemented controls are operating in a consistent, coordinated, - non-interfering manner. - - name: objective - props: - - name: label - value: CA-07(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-07(05)[01] - class: sp800-53A - prose: "{{ insert: param, ca-07.05_odp.01 }} are employed to\ - \ validate that policies are established;" - - name: objective - props: - - name: label - value: CA-07(05)[02] - class: sp800-53A - prose: "{{ insert: param, ca-07.05_odp.02 }} are employed to\ - \ validate that implemented controls are operating in a consistent\ - \ manner." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - procedures addressing continuous monitoring of system security - controls - - - assessment report - - - plan of action and milestones - - - system monitoring records - - - security impact analyses - - - status reports - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-07(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms supporting consistency analyses - - id: ca-7.6 - class: SP800-53-enhancement - title: Automation Support for Monitoring - params: - - id: ca-07.06_odp - props: - - name: legacy-identifier - value: ca-7.6_prm_1 - - name: label - value: CA-07(06)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to ensure the accuracy, currency, - and availability of monitoring results for the system are - defined; - props: - - name: label - value: CA-07(06) - - name: sort-id - value: ca-07.06 - links: - - href: "#ca-7" - rel: required - parts: - - id: ca-7.6_smt - name: statement - prose: "Ensure the accuracy, currency, and availability of monitoring\ - \ results for the system using {{ insert: param, ca-07.06_odp\ - \ }}." - - id: ca-7.6_gdn - name: guidance - prose: Using automated tools for monitoring helps to maintain the - accuracy, currency, and availability of monitoring information - which in turns helps to increase the level of ongoing awareness - of the system security and privacy posture in support of organizational - risk management decisions. - - name: objective - props: - - name: label - value: CA-07(06) - class: sp800-53A - prose: "{{ insert: param, ca-07.06_odp }} are used to ensure the\ - \ accuracy, currency, and availability of monitoring results for\ - \ the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-07(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - organizational continuous monitoring strategy - - - system-level continuous monitoring strategy - - - procedures addressing continuous monitoring of system controls - - - assessment report - - - plan of action and milestones - - - system monitoring records - - - impact analyses - - - status reports - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-07(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with continuous monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-07(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms supporting automated monitoring - - id: ca-8 - class: SP800-53 - title: Penetration Testing - params: - - id: ca-08_odp.01 - props: - - name: legacy-identifier - value: ca-8_prm_1 - - name: label - value: CA-08_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to conduct penetration testing on systems - or system components is defined; - - id: ca-08_odp.02 - props: - - name: legacy-identifier - value: ca-8_prm_2 - - name: label - value: CA-08_ODP[02] - label: system(s) or system components - guidelines: - - prose: systems or system components on which penetration testing - is to be conducted are defined; - props: - - name: label - value: CA-08 - - name: sort-id - value: ca-08 - links: - - href: "#ra-5" - rel: related - - href: "#ra-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: ca-8_smt - name: statement - prose: "Conduct penetration testing {{ insert: param, ca-08_odp.01 }}\ - \ on {{ insert: param, ca-08_odp.02 }}." - - id: ca-8_gdn - name: guidance - prose: >- - Penetration testing is a specialized type of assessment - conducted on systems or individual system components to identify - vulnerabilities that could be exploited by adversaries. - Penetration testing goes beyond automated vulnerability scanning - and is conducted by agents and teams with demonstrable skills - and experience that include technical expertise in network, - operating system, and/or application level security. Penetration - testing can be used to validate vulnerabilities or determine the - degree of penetration resistance of systems to adversaries - within specified constraints. Such constraints include time, - resources, and skills. Penetration testing attempts to duplicate - the actions of adversaries and provides a more in-depth analysis - of security- and privacy-related weaknesses or deficiencies. - Penetration testing is especially important when organizations - are transitioning from older technologies to newer technologies - (e.g., transitioning from IPv4 to IPv6 network protocols). - - - Organizations can use the results of vulnerability analyses to support - penetration testing activities. Penetration testing can be conducted - internally or externally on the hardware, software, or firmware components - of a system and can exercise both physical and technical controls. - A standard method for penetration testing includes a pretest analysis - based on full knowledge of the system, pretest identification of potential - vulnerabilities based on the pretest analysis, and testing designed - to determine the exploitability of vulnerabilities. All parties agree - to the rules of engagement before commencing penetration testing scenarios. - Organizations correlate the rules of engagement for the penetration - tests with the tools, techniques, and procedures that are anticipated - to be employed by adversaries. Penetration testing may result in the - exposure of information that is protected by laws or regulations, - to individuals conducting the testing. Rules of engagement, contracts, - or other appropriate mechanisms can be used to communicate expectations - for how to protect this information. Risk assessments guide the decisions - on the level of independence required for the personnel conducting - penetration testing. - - name: objective - props: - - name: label - value: CA-08 - class: sp800-53A - prose: "penetration testing is conducted {{ insert: param, ca-08_odp.01\ - \ }} on {{ insert: param, ca-08_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing penetration testing - - assessment plan - - penetration test report - - assessment report - - assessment evidence - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with control assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting penetration testing - controls: - - id: ca-8.1 - class: SP800-53-enhancement - title: Independent Penetration Testing Agent or Team - props: - - name: label - value: CA-08(01) - - name: sort-id - value: ca-08.01 - links: - - href: "#ca-8" - rel: required - - href: "#ca-2" - rel: related - parts: - - id: ca-8.1_smt - name: statement - prose: Employ an independent penetration testing agent or team to - perform penetration testing on the system or system components. - - id: ca-8.1_gdn - name: guidance - prose: Independent penetration testing agents or teams are individuals - or groups who conduct impartial penetration testing of organizational - systems. Impartiality implies that penetration testing agents - or teams are free from perceived or actual conflicts of interest - with respect to the development, operation, or management of the - systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) - provides additional information on independent assessments that - can be applied to penetration testing. - - name: objective - props: - - name: label - value: CA-08(01) - class: sp800-53A - prose: an independent penetration testing agent or team is employed - to perform penetration testing on the system or system components. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing penetration testing - - assessment plan - - penetration test report - - assessment report - - security assessment evidence - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ca-8.2 - class: SP800-53-enhancement - title: Red Team Exercises - params: - - id: ca-08.02_odp - props: - - name: legacy-identifier - value: ca-8.2_prm_1 - - name: label - value: CA-08(02)_ODP - label: red team exercises - guidelines: - - prose: red team exercises to simulate attempts by adversaries - to compromise organizational systems are defined; - props: - - name: label - value: CA-08(02) - - name: sort-id - value: ca-08.02 - links: - - href: "#ca-8" - rel: required - parts: - - id: ca-8.2_smt - name: statement - prose: "Employ the following red-team exercises to simulate attempts\ - \ by adversaries to compromise organizational systems in accordance\ - \ with applicable rules of engagement: {{ insert: param, ca-08.02_odp\ - \ }}." - - id: ca-8.2_gdn - name: guidance - prose: Red team exercises extend the objectives of penetration testing - by examining the security and privacy posture of organizations - and the capability to implement effective cyber defenses. Red - team exercises simulate attempts by adversaries to compromise - mission and business functions and provide a comprehensive assessment - of the security and privacy posture of systems and organizations. - Such attempts may include technology-based attacks and social - engineering-based attacks. Technology-based attacks include interactions - with hardware, software, or firmware components and/or mission - and business processes. Social engineering-based attacks include - interactions via email, telephone, shoulder surfing, or personal - conversations. Red team exercises are most effective when conducted - by penetration testing agents and teams with knowledge of and - experience with current adversarial tactics, techniques, procedures, - and tools. While penetration testing may be primarily laboratory-based - testing, organizations can use red team exercises to provide more - comprehensive assessments that reflect real-world conditions. - The results from red team exercises can be used by organizations - to improve security and privacy awareness and training and to - assess control effectiveness. - - name: objective - props: - - name: label - value: CA-08(02) - class: sp800-53A - prose: "{{ insert: param, ca-08.02_odp }} are employed to simulate\ - \ attempts by adversaries to compromise organizational systems\ - \ in accordance with applicable rules of engagement." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing penetration testing - - procedures addressing red team exercises - - assessment plan - - results of red team exercises - - penetration test report - - assessment report - - rules of engagement - - assessment evidence - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting the employment of red - team exercises - - id: ca-8.3 - class: SP800-53-enhancement - title: Facility Penetration Testing - params: - - id: ca-08.03_odp.01 - props: - - name: legacy-identifier - value: ca-8.3_prm_1 - - name: label - value: CA-08(03)_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to employ penetration testing that - attempts to bypass or circumvent controls associated with - physical access points to the facility is defined; - - id: ca-08.03_odp.02 - props: - - name: legacy-identifier - value: ca-8.3_prm_2 - - name: label - value: CA-08(03)_ODP[02] - select: - how-many: one-or-more - choice: - - announced - - unannounced - props: - - name: label - value: CA-08(03) - - name: sort-id - value: ca-08.03 - links: - - href: "#ca-8" - rel: required - - href: "#ca-2" - rel: related - - href: "#pe-3" - rel: related - parts: - - id: ca-8.3_smt - name: statement - prose: "Employ a penetration testing process that includes {{ insert:\ - \ param, ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02\ - \ }} attempts to bypass or circumvent controls associated with\ - \ physical access points to the facility." - - id: ca-8.3_gdn - name: guidance - prose: Penetration testing of physical access points can provide - information on critical vulnerabilities in the operating environments - of organizational systems. Such information can be used to correct - weaknesses or deficiencies in physical controls that are necessary - to protect organizational systems. - - name: objective - props: - - name: label - value: CA-08(03) - class: sp800-53A - prose: "the penetration testing process includes {{ insert: param,\ - \ ca-08.03_odp.01 }} {{ insert: param, ca-08.03_odp.02 }} attempts\ - \ to bypass or circumvent controls associated with physical access\ - \ points to facility." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Assessment, authorization, and monitoring policy - - procedures addressing penetration testing - - procedures addressing red team exercises - - assessment plan - - results of red team exercises - - penetration test report - - assessment report - - rules of engagement - - assessment evidence - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting the employment of red - team exercises - - id: ca-9 - class: SP800-53 - title: Internal System Connections - params: - - id: ca-09_odp.01 - props: - - name: legacy-identifier - value: ca-9_prm_1 - - name: label - value: CA-09_ODP[01] - label: system components - guidelines: - - prose: system components or classes of components requiring internal - connections to the system are defined; - - id: ca-09_odp.02 - props: - - name: legacy-identifier - value: ca-9_prm_2 - - name: label - value: CA-09_ODP[02] - label: conditions - guidelines: - - prose: conditions requiring termination of internal connections - are defined; - - id: ca-09_odp.03 - props: - - name: legacy-identifier - value: ca-9_prm_3 - - name: label - value: CA-09_ODP[03] - label: frequency - guidelines: - - prose: frequency at which to review the continued need for each - internal connection is defined; - props: - - name: label - value: CA-09 - - name: sort-id - value: ca-09 - links: - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-9_smt - name: statement - parts: - - id: ca-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Authorize internal connections of {{ insert: param, ca-09_odp.01\ - \ }} to the system;" - - id: ca-9_smt.b - name: item - props: - - name: label - value: b. - prose: Document, for each internal connection, the interface characteristics, - security and privacy requirements, and the nature of the information - communicated; - - id: ca-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Terminate internal system connections after {{ insert: param,\ - \ ca-09_odp.02 }} ; and" - - id: ca-9_smt.d - name: item - props: - - name: label - value: d. - prose: "Review {{ insert: param, ca-09_odp.03 }} the continued need\ - \ for each internal connection." - - id: ca-9_gdn - name: guidance - prose: Internal system connections are connections between organizational - systems and separate constituent system components (i.e., connections - between components that are part of the same system) including components - used for system development. Intra-system connections include connections - with mobile devices, notebook and desktop computers, tablets, printers, - copiers, facsimile machines, scanners, sensors, and servers. Instead - of authorizing each internal system connection individually, organizations - can authorize internal connections for a class of system components - with common characteristics and/or configurations, including printers, - scanners, and copiers with a specified processing, transmission, and - storage capability or smart phones and tablets with a specific baseline - configuration. The continued need for an internal system connection - is reviewed from the perspective of whether it provides support for - organizational missions or business functions. - - name: objective - props: - - name: label - value: CA-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-09a. - class: sp800-53A - prose: "internal connections of {{ insert: param, ca-09_odp.01 }}\ - \ to the system are authorized;" - - name: objective - props: - - name: label - value: CA-09b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-09b.[01] - class: sp800-53A - prose: for each internal connection, the interface characteristics - are documented; - - name: objective - props: - - name: label - value: CA-09b.[02] - class: sp800-53A - prose: for each internal connection, the security requirements - are documented; - - name: objective - props: - - name: label - value: CA-09b.[03] - class: sp800-53A - prose: for each internal connection, the privacy requirements - are documented; - - name: objective - props: - - name: label - value: CA-09b.[04] - class: sp800-53A - prose: for each internal connection, the nature of the information - communicated is documented; - - name: objective - props: - - name: label - value: CA-09c. - class: sp800-53A - prose: "internal system connections are terminated after {{ insert:\ - \ param, ca-09_odp.02 }};" - - name: objective - props: - - name: label - value: CA-09d. - class: sp800-53A - prose: "the continued need for each internal connection is reviewed\ - \ {{ insert: param, ca-09_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - access control policy - - - procedures addressing system connections - - - system and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - list of components or classes of components authorized as internal - system connections - - - assessment report - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing, implementing, or authorizing internal system - connections - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-09-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms supporting internal system connections - controls: - - id: ca-9.1 - class: SP800-53-enhancement - title: Compliance Checks - props: - - name: label - value: CA-09(01) - - name: sort-id - value: ca-09.01 - links: - - href: "#ca-9" - rel: required - - href: "#cm-6" - rel: related - parts: - - id: ca-9.1_smt - name: statement - prose: Perform security and privacy compliance checks on constituent - system components prior to the establishment of the internal connection. - - id: ca-9.1_gdn - name: guidance - prose: Compliance checks include verification of the relevant baseline - configuration. - - name: objective - props: - - name: label - value: CA-09(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CA-09(01)[01] - class: sp800-53A - prose: security compliance checks are performed on constituent - system components prior to the establishment of the internal - connection; - - name: objective - props: - - name: label - value: CA-09(01)[02] - class: sp800-53A - prose: privacy compliance checks are performed on constituent - system components prior to the establishment of the internal - connection. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CA-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Assessment, authorization, and monitoring policy - - - access control policy - - - procedures addressing system connections - - - system and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - list of components or classes of components authorized as - internal system connections - - - assessment report - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CA-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing, implementing, or authorizing internal system - connections - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CA-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting compliance checks - - id: cm - class: family - title: Configuration Management - controls: - - id: cm-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: cm-1_prm_1 - props: - - name: aggregates - value: cm-01_odp.01 - label: organization-defined personnel or roles - - id: cm-01_odp.01 - props: - - name: label - value: CM-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the configuration management policy - is to be disseminated is/are defined; - - id: cm-01_odp.02 - props: - - name: label - value: CM-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the configuration management procedures - are to be disseminated is/are defined; - - id: cm-01_odp.03 - props: - - name: legacy-identifier - value: cm-1_prm_2 - - name: label - value: CM-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: cm-01_odp.04 - props: - - name: legacy-identifier - value: cm-1_prm_3 - - name: label - value: CM-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the configuration management policy - and procedures is defined; - - id: cm-01_odp.05 - props: - - name: legacy-identifier - value: cm-1_prm_4 - - name: label - value: CM-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current configuration management - policy is reviewed and updated is defined; - - id: cm-01_odp.06 - props: - - name: legacy-identifier - value: cm-1_prm_5 - - name: label - value: CM-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current configuration management - policy to be reviewed and updated are defined; - - id: cm-01_odp.07 - props: - - name: legacy-identifier - value: cm-1_prm_6 - - name: label - value: CM-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current configuration management - procedures are reviewed and updated is defined; - - id: cm-01_odp.08 - props: - - name: legacy-identifier - value: cm-1_prm_7 - - name: label - value: CM-01_ODP[08] - label: events - guidelines: - - prose: events that would require configuration management procedures - to be reviewed and updated are defined; - props: - - name: label - value: CM-01 - - name: sort-id - value: cm-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-1_smt - name: statement - parts: - - id: cm-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ cm-1_prm_1 }}:" - parts: - - id: cm-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, cm-01_odp.03 }} configuration management\ - \ policy that:" - parts: - - id: cm-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: cm-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: cm-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the configuration - management policy and the associated configuration management - controls; - - id: cm-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, cm-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the configuration\ - \ management policy and procedures; and" - - id: cm-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current configuration management:" - parts: - - id: cm-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, cm-01_odp.05 }} and following\ - \ {{ insert: param, cm-01_odp.06 }} ; and" - - id: cm-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, cm-01_odp.07 }} and following\ - \ {{ insert: param, cm-01_odp.08 }}." - - id: cm-1_gdn - name: guidance - prose: Configuration management policy and procedures address the controls - in the CM family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of configuration - management policy and procedures. Security and privacy program policies - and procedures at the organization level are preferable, in general, - and may obviate the need for mission- or system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or be represented by multiple policies - that reflect the complex nature of organizations. Procedures can be - established for security and privacy programs, for mission/business - processes, and for systems, if needed. Procedures describe how the - policies or controls are implemented and can be directed at the individual - or role that is the object of the procedure. Procedures can be documented - in system security and privacy plans or in one or more separate documents. - Events that may precipitate an update to configuration management - policy and procedures include, but are not limited to, assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: CM-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01a.[01] - class: sp800-53A - prose: a configuration management policy is developed and documented; - - name: objective - props: - - name: label - value: CM-01a.[02] - class: sp800-53A - prose: "the configuration management policy is disseminated\ - \ to {{ insert: param, cm-01_odp.01 }};" - - name: objective - props: - - name: label - value: CM-01a.[03] - class: sp800-53A - prose: configuration management procedures to facilitate the - implementation of the configuration management policy and - associated configuration management controls are developed - and documented; - - name: objective - props: - - name: label - value: CM-01a.[04] - class: sp800-53A - prose: "the configuration management procedures are disseminated\ - \ to {{ insert: param, cm-01_odp.02 }};" - - name: objective - props: - - name: label - value: CM-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses purpose;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses scope;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses roles;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses responsibilities;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: CM-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.03 }} of the\ - \ configuration management policy addresses compliance;" - - name: objective - props: - - name: label - value: CM-01a.01(b) - class: sp800-53A - prose: the configuration management policy is consistent - with applicable laws, Executive Orders, directives, regulations, - policies, standards, and guidelines; - - name: objective - props: - - name: label - value: CM-01b. - class: sp800-53A - prose: "the {{ insert: param, cm-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the configuration\ - \ management policy and procedures;" - - name: objective - props: - - name: label - value: CM-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01c.01[01] - class: sp800-53A - prose: "the current configuration management policy is reviewed\ - \ and updated {{ insert: param, cm-01_odp.05 }};" - - name: objective - props: - - name: label - value: CM-01c.01[02] - class: sp800-53A - prose: "the current configuration management policy is reviewed\ - \ and updated following {{ insert: param, cm-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: CM-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-01c.02[01] - class: sp800-53A - prose: "the current configuration management procedures\ - \ are reviewed and updated {{ insert: param, cm-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: CM-01c.02[02] - class: sp800-53A - prose: "the current configuration management procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ cm-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy and procedures - - security and privacy program policies and procedures - - assessment or audit findings - - documentation of security incidents or breaches - - system security plan - - privacy plan - - risk management strategy - - other relevant artifacts, documents, or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - params: - - id: cm-02_odp.01 - props: - - name: legacy-identifier - value: cm-2_prm_1 - - name: label - value: CM-02_ODP[01] - label: frequency - guidelines: - - prose: the frequency of baseline configuration review and update - is defined; - - id: cm-02_odp.02 - props: - - name: legacy-identifier - value: cm-2_prm_2 - - name: label - value: CM-02_ODP[02] - label: circumstances - guidelines: - - prose: the circumstances requiring baseline configuration review - and update are defined; - props: - - name: label - value: CM-02 - - name: sort-id - value: cm-02 - links: - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-1" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-9" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#ma-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-18" - rel: related - parts: - - id: cm-2_smt - name: statement - parts: - - id: cm-2_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, document, and maintain under configuration control, - a current baseline configuration of the system; and - - id: cm-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the baseline configuration of the system:" - parts: - - id: cm-2_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, cm-02_odp.01 }};" - - id: cm-2_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: "When required due to {{ insert: param, cm-02_odp.02\ - \ }} ; and" - - id: cm-2_smt.b.3 - name: item - props: - - name: label - value: "03." - prose: When system components are installed or upgraded. - - id: cm-2_gdn - name: guidance - prose: Baseline configurations for systems and system components include - connectivity, operational, and communications aspects of systems. - Baseline configurations are documented, formally reviewed, and agreed-upon - specifications for systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, - or changes to systems and include security and privacy control implementations, - operational procedures, information about system components, network - topology, and logical placement of components in the system architecture. - Maintaining baseline configurations requires creating new baselines - as organizational systems change over time. Baseline configurations - of systems reflect the current enterprise architecture. - - name: objective - props: - - name: label - value: CM-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02a.[01] - class: sp800-53A - prose: a current baseline configuration of the system is developed - and documented; - - name: objective - props: - - name: label - value: CM-02a.[02] - class: sp800-53A - prose: a current baseline configuration of the system is maintained - under configuration control; - - name: objective - props: - - name: label - value: CM-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02b.01 - class: sp800-53A - prose: "the baseline configuration of the system is reviewed\ - \ and updated {{ insert: param, cm-02_odp.01 }};" - - name: objective - props: - - name: label - value: CM-02b.02 - class: sp800-53A - prose: "the baseline configuration of the system is reviewed\ - \ and updated when required due to {{ insert: param, cm-02_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: CM-02b.03 - class: sp800-53A - prose: the baseline configuration of the system is reviewed - and updated when system components are installed or upgraded. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing the baseline configuration of the system - - - configuration management plan - - - enterprise architecture documentation - - - system design documentation - - - system security plan - - - privacy plan - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system component inventory - - - change control records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing baseline - configurations - - - automated mechanisms supporting configuration control of the baseline - configuration - controls: - - id: cm-2.1 - class: SP800-53-enhancement - title: Reviews and Updates - props: - - name: label - value: CM-02(01) - - name: sort-id - value: cm-02.01 - - name: status - value: withdrawn - links: - - href: "#cm-2" - rel: incorporated-into - - id: cm-2.2 - class: SP800-53-enhancement - title: Automation Support for Accuracy and Currency - params: - - id: cm-02.02_odp - props: - - name: legacy-identifier - value: cm-2.2_prm_1 - - name: label - value: CM-02(02)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms for maintaining baseline configuration - of the system are defined; - props: - - name: label - value: CM-02(02) - - name: sort-id - value: cm-02.02 - links: - - href: "#cm-2" - rel: required - - href: "#cm-7" - rel: related - - href: "#ia-3" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: cm-2.2_smt - name: statement - prose: "Maintain the currency, completeness, accuracy, and availability\ - \ of the baseline configuration of the system using {{ insert:\ - \ param, cm-02.02_odp }}." - - id: cm-2.2_gdn - name: guidance - prose: Automated mechanisms that help organizations maintain consistent - baseline configurations for systems include configuration management - tools, hardware, software, firmware inventory tools, and network - management tools. Automated tools can be used at the organization - level, mission and business process level, or system level on - workstations, servers, notebook computers, network components, - or mobile devices. Tools can be used to track version numbers - on operating systems, applications, types of software installed, - and current patch levels. Automation support for accuracy and - currency can be satisfied by the implementation of [CM-8(2)](#cm-8.2) - for organizations that combine system component inventory and - baseline configuration activities. - - name: objective - props: - - name: label - value: CM-02(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02(02)[01] - class: sp800-53A - prose: "the currency of the baseline configuration of the system\ - \ is maintained using {{ insert: param, cm-02.02_odp }};" - - name: objective - props: - - name: label - value: CM-02(02)[02] - class: sp800-53A - prose: "the completeness of the baseline configuration of the\ - \ system is maintained using {{ insert: param, cm-02.02_odp\ - \ }};" - - name: objective - props: - - name: label - value: CM-02(02)[03] - class: sp800-53A - prose: "the accuracy of the baseline configuration of the system\ - \ is maintained using {{ insert: param, cm-02.02_odp }};" - - name: objective - props: - - name: label - value: CM-02(02)[04] - class: sp800-53A - prose: "the availability of the baseline configuration of the\ - \ system is maintained using {{ insert: param, cm-02.02_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - configuration management policy - - - procedures addressing the baseline configuration of the - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system component inventory - - - configuration change control records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing baseline - configurations - - - automated mechanisms implementing baseline configuration maintenance - - id: cm-2.3 - class: SP800-53-enhancement - title: Retention of Previous Configurations - params: - - id: cm-02.03_odp - props: - - name: legacy-identifier - value: cm-2.3_prm_1 - - name: label - value: CM-02(03)_ODP - label: number - guidelines: - - prose: the number of previous baseline configuration versions - to be retained is defined; - props: - - name: label - value: CM-02(03) - - name: sort-id - value: cm-02.03 - links: - - href: "#cm-2" - rel: required - parts: - - id: cm-2.3_smt - name: statement - prose: "Retain {{ insert: param, cm-02.03_odp }} of previous versions\ - \ of baseline configurations of the system to support rollback." - - id: cm-2.3_gdn - name: guidance - prose: Retaining previous versions of baseline configurations to - support rollback include hardware, software, firmware, configuration - files, configuration records, and associated documentation. - - name: objective - props: - - name: label - value: CM-02(03) - class: sp800-53A - prose: "{{ insert: param, cm-02.03_odp }} of previous baseline configuration\ - \ version(s) of the system is/are retained to support rollback." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing the baseline configuration of the system - - - configuration management plan - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - copies of previous baseline configuration versions - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-02(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing baseline configurations - - id: cm-2.4 - class: SP800-53-enhancement - title: Unauthorized Software - props: - - name: label - value: CM-02(04) - - name: sort-id - value: cm-02.04 - - name: status - value: withdrawn - links: - - href: "#cm-7.4" - rel: incorporated-into - - id: cm-2.5 - class: SP800-53-enhancement - title: Authorized Software - props: - - name: label - value: CM-02(05) - - name: sort-id - value: cm-02.05 - - name: status - value: withdrawn - links: - - href: "#cm-7.5" - rel: incorporated-into - - id: cm-2.6 - class: SP800-53-enhancement - title: Development and Test Environments - props: - - name: label - value: CM-02(06) - - name: sort-id - value: cm-02.06 - links: - - href: "#cm-2" - rel: required - - href: "#cm-4" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-2.6_smt - name: statement - prose: Maintain a baseline configuration for system development - and test environments that is managed separately from the operational - baseline configuration. - - id: cm-2.6_gdn - name: guidance - prose: Establishing separate baseline configurations for development, - testing, and operational environments protects systems from unplanned - or unexpected events related to development and testing activities. - Separate baseline configurations allow organizations to apply - the configuration management that is most appropriate for each - type of configuration. For example, the management of operational - configurations typically emphasizes the need for stability, while - the management of development or test configurations requires - greater flexibility. Configurations in the test environment mirror - configurations in the operational environment to the extent practicable - so that the results of the testing are representative of the proposed - changes to the operational systems. Separate baseline configurations - do not necessarily require separate physical environments. - - name: objective - props: - - name: label - value: CM-02(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02(06)[01] - class: sp800-53A - prose: a baseline configuration for system development environments - that is managed separately from the operational baseline configuration - is maintained; - - name: objective - props: - - name: label - value: CM-02(06)[02] - class: sp800-53A - prose: a baseline configuration for test environments that is - managed separately from the operational baseline configuration - is maintained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing the baseline configuration of the system - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-02(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing baseline - configurations - - - automated mechanisms implementing separate baseline configurations - for development, test, and operational environments - - id: cm-2.7 - class: SP800-53-enhancement - title: Configure Systems and Components for High-risk Areas - params: - - id: cm-02.07_odp.01 - props: - - name: legacy-identifier - value: cm-2.7_prm_1 - - name: label - value: CM-02(07)_ODP[01] - label: systems or system components - guidelines: - - prose: the systems or system components to be issued when individuals - travel to high-risk areas are defined; - - id: cm-02.07_odp.02 - props: - - name: legacy-identifier - value: cm-2.7_prm_2 - - name: label - value: CM-02(07)_ODP[02] - label: configurations - guidelines: - - prose: configurations for systems or system components to be - issued when individuals travel to high-risk areas are defined; - - id: cm-02.07_odp.03 - props: - - name: legacy-identifier - value: cm-2.7_prm_3 - - name: label - value: CM-02(07)_ODP[03] - label: controls - guidelines: - - prose: the controls to be applied when the individuals return - from travel are defined; - props: - - name: label - value: CM-02(07) - - name: sort-id - value: cm-02.07 - links: - - href: "#cm-2" - rel: required - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - parts: - - id: cm-2.7_smt - name: statement - parts: - - id: cm-2.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Issue {{ insert: param, cm-02.07_odp.01 }} with {{ insert:\ - \ param, cm-02.07_odp.02 }} to individuals traveling to locations\ - \ that the organization deems to be of significant risk; and" - - id: cm-2.7_smt.b - name: item - props: - - name: label - value: (b) - prose: "Apply the following controls to the systems or components\ - \ when the individuals return from travel: {{ insert: param,\ - \ cm-02.07_odp.03 }}." - - id: cm-2.7_gdn - name: guidance - prose: When it is known that systems or system components will be - in high-risk areas external to the organization, additional controls - may be implemented to counter the increased threat in such areas. - For example, organizations can take actions for notebook computers - used by individuals departing on and returning from travel. Actions - include determining the locations that are of concern, defining - the required configurations for the components, ensuring that - components are configured as intended before travel is initiated, - and applying controls to the components after travel is completed. - Specially configured notebook computers include computers with - sanitized hard drives, limited applications, and more stringent - configuration settings. Controls applied to mobile devices upon - return from travel include examining the mobile device for signs - of physical tampering and purging and reimaging disk drives. Protecting - information that resides on mobile devices is addressed in the - [MP](#mp) (Media Protection) family. - - name: objective - props: - - name: label - value: CM-02(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-02(07)(a) - class: sp800-53A - prose: "{{ insert: param, cm-02.07_odp.01 }} with {{ insert:\ - \ param, cm-02.07_odp.02 }} are issued to individuals traveling\ - \ to locations that the organization deems to be of significant\ - \ risk;" - - name: objective - props: - - name: label - value: CM-02(07)(b) - class: sp800-53A - prose: "{{ insert: param, cm-02.07_odp.03 }} are applied to\ - \ the systems or system components when the individuals return\ - \ from travel." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-02(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - configuration management plan - - - procedures addressing the baseline configuration of the system - - - procedures addressing system component installations and upgrades - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system component inventory - - - records of system baseline configuration reviews and updates - - - system component installations/upgrades and associated records - - - change control records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-02(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-02(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing baseline configurations - - id: cm-3 - class: SP800-53 - title: Configuration Change Control - params: - - id: cm-3_prm_3 - props: - - name: aggregates - value: cm-03_odp.03 - select: - how-many: one-or-more - choice: - - " {{ insert: param, cm-3_prm_4 }} " - - "when{{ insert: param, cm-3_prm_5 }} " - - id: cm-3_prm_4 - depends-on: cm-3_prm_3 - props: - - name: aggregates - value: cm-03_odp.04 - label: organization-defined frequency - - id: cm-3_prm_5 - depends-on: cm-3_prm_3 - props: - - name: aggregates - value: cm-03_odp.05 - label: organization-defined configuration change conditions - - id: cm-03_odp.01 - props: - - name: legacy-identifier - value: cm-3_prm_1 - - name: label - value: CM-03_ODP[01] - label: time period - guidelines: - - prose: the time period to retain records of configuration-controlled - changes is defined; - - id: cm-03_odp.02 - props: - - name: legacy-identifier - value: cm-3_prm_2 - - name: label - value: CM-03_ODP[02] - label: configuration change control element - guidelines: - - prose: the configuration change control element responsible for - coordinating and overseeing change control activities is defined; - - id: cm-03_odp.03 - props: - - name: label - value: CM-03_ODP[03] - select: - how-many: one-or-more - choice: - - " {{ insert: param, cm-03_odp.04 }} " - - " {{ insert: param, cm-03_odp.05 }} " - - id: cm-03_odp.04 - props: - - name: label - value: CM-03_ODP[04] - label: frequency - guidelines: - - prose: the frequency at which the configuration control element - convenes is defined (if selected); - - id: cm-03_odp.05 - props: - - name: label - value: CM-03_ODP[05] - label: defined in change conditions - guidelines: - - prose: change conditions that prompt the configuration control element - to convene are defined (if selected); - props: - - name: label - value: CM-03 - - name: sort-id - value: cm-03 - links: - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#pe-16" - rel: related - - href: "#pt-6" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-2" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: cm-3_smt - name: statement - parts: - - id: cm-3_smt.a - name: item - props: - - name: label - value: a. - prose: Determine and document the types of changes to the system - that are configuration-controlled; - - id: cm-3_smt.b - name: item - props: - - name: label - value: b. - prose: Review proposed configuration-controlled changes to the system - and approve or disapprove such changes with explicit consideration - for security and privacy impact analyses; - - id: cm-3_smt.c - name: item - props: - - name: label - value: c. - prose: Document configuration change decisions associated with the - system; - - id: cm-3_smt.d - name: item - props: - - name: label - value: d. - prose: Implement approved configuration-controlled changes to the - system; - - id: cm-3_smt.e - name: item - props: - - name: label - value: e. - prose: "Retain records of configuration-controlled changes to the\ - \ system for {{ insert: param, cm-03_odp.01 }};" - - id: cm-3_smt.f - name: item - props: - - name: label - value: f. - prose: Monitor and review activities associated with configuration-controlled - changes to the system; and - - id: cm-3_smt.g - name: item - props: - - name: label - value: g. - prose: "Coordinate and provide oversight for configuration change\ - \ control activities through {{ insert: param, cm-03_odp.02 }}\ - \ that convenes {{ insert: param, cm-3_prm_3 }}." - - id: cm-3_gdn - name: guidance - prose: Configuration change control for organizational systems involves - the systematic proposal, justification, implementation, testing, review, - and disposition of system changes, including system upgrades and modifications. - Configuration change control includes changes to baseline configurations, - configuration items of systems, operational procedures, configuration - settings for system components, remediate vulnerabilities, and unscheduled - or unauthorized changes. Processes for managing configuration changes - to systems include Configuration Control Boards or Change Advisory - Boards that review and approve proposed changes. For changes that - impact privacy risk, the senior agency official for privacy updates - privacy impact assessments and system of records notices. For new - systems or major upgrades, organizations consider including representatives - from the development organizations on the Configuration Control Boards - or Change Advisory Boards. Auditing of changes includes activities - before and after changes are made to systems and the auditing activities - required to implement such changes. See also [SA-10](#sa-10). - - name: objective - props: - - name: label - value: CM-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03a. - class: sp800-53A - prose: the types of changes to the system that are configuration-controlled - are determined and documented; - - name: objective - props: - - name: label - value: CM-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03b.[01] - class: sp800-53A - prose: proposed configuration-controlled changes to the system - are reviewed; - - name: objective - props: - - name: label - value: CM-03b.[02] - class: sp800-53A - prose: proposed configuration-controlled changes to the system - are approved or disapproved with explicit consideration for - security and privacy impact analyses; - - name: objective - props: - - name: label - value: CM-03c. - class: sp800-53A - prose: configuration change decisions associated with the system - are documented; - - name: objective - props: - - name: label - value: CM-03d. - class: sp800-53A - prose: approved configuration-controlled changes to the system are - implemented; - - name: objective - props: - - name: label - value: CM-03e. - class: sp800-53A - prose: "records of configuration-controlled changes to the system\ - \ are retained for {{ insert: param, cm-03_odp.01 }};" - - name: objective - props: - - name: label - value: CM-03f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03f.[01] - class: sp800-53A - prose: activities associated with configuration-controlled changes - to the system are monitored; - - name: objective - props: - - name: label - value: CM-03f.[02] - class: sp800-53A - prose: activities associated with configuration-controlled changes - to the system are reviewed; - - name: objective - props: - - name: label - value: CM-03g. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03g.[01] - class: sp800-53A - prose: "configuration change control activities are coordinated\ - \ and overseen by {{ insert: param, cm-03_odp.02 }};" - - name: objective - props: - - name: label - value: CM-03g.[02] - class: sp800-53A - prose: "the configuration control element convenes {{ insert:\ - \ param, cm-03_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - system architecture and configuration documentation - - - change control records - - - system audit records - - - change control audit and review reports - - - agenda/minutes/documentation from configuration change control - oversight meetings - - - system security plan - - - privacy plan - - - privacy impact assessments - - - system of records notices - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change control - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change control - - - automated mechanisms that implement configuration change control - controls: - - id: cm-3.1 - class: SP800-53-enhancement - title: Automated Documentation, Notification, and Prohibition of Changes - params: - - id: cm-03.01_odp.01 - props: - - name: legacy-identifier - value: cm-3.1_prm_1 - - name: label - value: CM-03(01)_ODP[01] - label: automated mechanisms - guidelines: - - prose: mechanisms used to automate configuration change control - are defined; - - id: cm-03.01_odp.02 - props: - - name: legacy-identifier - value: cm-3.1_prm_2 - - name: label - value: CM-03(01)_ODP[02] - label: approval authorities - guidelines: - - prose: approval authorities to be notified of and request approval - for proposed changes to the system are defined; - - id: cm-03.01_odp.03 - props: - - name: legacy-identifier - value: cm-3.1_prm_3 - - name: label - value: CM-03(01)_ODP[03] - label: time period - guidelines: - - prose: the time period after which to highlight changes that - have not been approved or disapproved is defined; - - id: cm-03.01_odp.04 - props: - - name: legacy-identifier - value: cm-3.1_prm_4 - - name: label - value: CM-03(01)_ODP[04] - label: personnel - guidelines: - - prose: personnel to be notified when approved changes are complete - is/are defined; - props: - - name: label - value: CM-03(01) - - name: sort-id - value: cm-03.01 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.1_smt - name: statement - prose: "Use {{ insert: param, cm-03.01_odp.01 }} to:" - parts: - - id: cm-3.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Document proposed changes to the system; - - id: cm-3.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Notify {{ insert: param, cm-03.01_odp.02 }} of proposed\ - \ changes to the system and request change approval;" - - id: cm-3.1_smt.c - name: item - props: - - name: label - value: (c) - prose: "Highlight proposed changes to the system that have not\ - \ been approved or disapproved within {{ insert: param, cm-03.01_odp.03\ - \ }};" - - id: cm-3.1_smt.d - name: item - props: - - name: label - value: (d) - prose: Prohibit changes to the system until designated approvals - are received; - - id: cm-3.1_smt.e - name: item - props: - - name: label - value: (e) - prose: Document all changes to the system; and - - id: cm-3.1_smt.f - name: item - props: - - name: label - value: (f) - prose: "Notify {{ insert: param, cm-03.01_odp.04 }} when approved\ - \ changes to the system are completed." - - id: cm-3.1_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: CM-03(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03(01)(a) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to document\ - \ proposed changes to the system;" - - name: objective - props: - - name: label - value: CM-03(01)(b) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to notify\ - \ {{ insert: param, cm-03.01_odp.02 }} of proposed changes\ - \ to the system and request change approval;" - - name: objective - props: - - name: label - value: CM-03(01)(c) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to highlight\ - \ proposed changes to the system that have not been approved\ - \ or disapproved within {{ insert: param, cm-03.01_odp.03\ - \ }};" - - name: objective - props: - - name: label - value: CM-03(01)(d) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to prohibit\ - \ changes to the system until designated approvals are received;" - - name: objective - props: - - name: label - value: CM-03(01)(e) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to document\ - \ all changes to the system;" - - name: objective - props: - - name: label - value: CM-03(01)(f) - class: sp800-53A - prose: "{{ insert: param, cm-03.01_odp.01 }} are used to notify\ - \ {{ insert: param, cm-03.01_odp.04 }} when approved changes\ - \ to the system are completed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - automated configuration control mechanisms - - - system configuration settings and associated documentation - - - change control records - - - system audit records - - - change approval requests - - - change approvals - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - automated mechanisms implementing configuration change control - activities - - id: cm-3.2 - class: SP800-53-enhancement - title: Testing, Validation, and Documentation of Changes - props: - - name: label - value: CM-03(02) - - name: sort-id - value: cm-03.02 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.2_smt - name: statement - prose: Test, validate, and document changes to the system before - finalizing the implementation of the changes. - - id: cm-3.2_gdn - name: guidance - prose: Changes to systems include modifications to hardware, software, - or firmware components and configuration settings defined in [CM-6](#cm-6) - . Organizations ensure that testing does not interfere with system - operations that support organizational mission and business functions. - Individuals or groups conducting tests understand security and - privacy policies and procedures, system security and privacy policies - and procedures, and the health, safety, and environmental risks - associated with specific facilities or processes. Operational - systems may need to be taken offline, or replicated to the extent - feasible, before testing can be conducted. If systems must be - taken offline for testing, the tests are scheduled to occur during - planned system outages whenever possible. If the testing cannot - be conducted on operational systems, organizations employ compensating - controls. - - name: objective - props: - - name: label - value: CM-03(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03(02)[01] - class: sp800-53A - prose: changes to the system are tested before finalizing the - implementation of the changes; - - name: objective - props: - - name: label - value: CM-03(02)[02] - class: sp800-53A - prose: changes to the system are validated before finalizing - the implementation of the changes; - - name: objective - props: - - name: label - value: CM-03(02)[03] - class: sp800-53A - prose: changes to the system are documented before finalizing - the implementation of the changes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - configuration management plan - - - procedures addressing system configuration change control - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - test records - - - validation records - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - automated mechanisms supporting and/or implementing, testing, - validating, and documenting system changes - - id: cm-3.3 - class: SP800-53-enhancement - title: Automated Change Implementation - params: - - id: cm-03.03_odp - props: - - name: legacy-identifier - value: cm-3.3_prm_1 - - name: label - value: CM-03(03)_ODP - label: automated mechanisms - guidelines: - - prose: mechanisms used to automate the implementation of changes - and deployment of the updated baseline across the installed - base are defined; - props: - - name: label - value: CM-03(03) - - name: sort-id - value: cm-03.03 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.3_smt - name: statement - prose: "Implement changes to the current system baseline and deploy\ - \ the updated baseline across the installed base using {{ insert:\ - \ param, cm-03.03_odp }}." - - id: cm-3.3_gdn - name: guidance - prose: Automated tools can improve the accuracy, consistency, and - availability of configuration baseline information. Automation - can also provide data aggregation and data correlation capabilities, - alerting mechanisms, and dashboards to support risk-based decision-making - within the organization. - - name: objective - props: - - name: label - value: CM-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03(03)[01] - class: sp800-53A - prose: "changes to the current system baseline are implemented\ - \ using {{ insert: param, cm-03.03_odp }};" - - name: objective - props: - - name: label - value: CM-03(03)[02] - class: sp800-53A - prose: "the updated baseline is deployed across the installed\ - \ base using {{ insert: param, cm-03.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - configuration management plan - - - procedures addressing system configuration change control - - - system design documentation - - - system architecture and configuration documentation - - - automated configuration control mechanisms - - - change control records - - - system component inventory - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - automated mechanisms implementing changes to current system - baseline - - id: cm-3.4 - class: SP800-53-enhancement - title: Security and Privacy Representatives - params: - - id: cm-3.4_prm_1 - props: - - name: aggregates - value: cm-03.04_odp.01 - label: organization-defined security and privacy representatives - - id: cm-03.04_odp.01 - props: - - name: label - value: CM-03(04)_ODP[01] - label: security representatives - guidelines: - - prose: security representatives required to be members of the - change control element are defined; - - id: cm-03.04_odp.02 - props: - - name: label - value: CM-03(04)_ODP[02] - label: privacy representatives - guidelines: - - prose: privacy representatives required to be members of the - change control element are defined; - - id: cm-03.04_odp.03 - props: - - name: legacy-identifier - value: cm-3.4_prm_2 - - name: label - value: CM-03(04)_ODP[03] - label: configuration change control element - guidelines: - - prose: the configuration change control element of which the - security and privacy representatives are to be members is - defined; - props: - - name: label - value: CM-03(04) - - name: sort-id - value: cm-03.04 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.4_smt - name: statement - prose: "Require {{ insert: param, cm-3.4_prm_1 }} to be members\ - \ of the {{ insert: param, cm-03.04_odp.03 }}." - - id: cm-3.4_gdn - name: guidance - prose: Information security and privacy representatives include - system security officers, senior agency information security officers, - senior agency officials for privacy, or system privacy officers. - Representation by personnel with information security and privacy - expertise is important because changes to system configurations - can have unintended side effects, some of which may be security- - or privacy-relevant. Detecting such changes early in the process - can help avoid unintended, negative consequences that could ultimately - affect the security and privacy posture of systems. The configuration - change control element referred to in the second organization-defined - parameter reflects the change control elements defined by organizations - in [CM-3g](#cm-3_smt.g). - - name: objective - props: - - name: label - value: CM-03(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-03(04)[01] - class: sp800-53A - prose: "{{ insert: param, cm-03.04_odp.01 }} are required to\ - \ be members of the {{ insert: param, cm-03.04_odp.03 }};" - - name: objective - props: - - name: label - value: CM-03(04)[02] - class: sp800-53A - prose: "{{ insert: param, cm-03.04_odp.02 }} are required to\ - \ be members of the {{ insert: param, cm-03.04_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for configuration change control - - id: cm-3.5 - class: SP800-53-enhancement - title: Automated Security Response - params: - - id: cm-03.05_odp - props: - - name: legacy-identifier - value: cm-3.5_prm_1 - - name: label - value: CM-03(05)_ODP - label: security responses - guidelines: - - prose: security responses to be automatically implemented are - defined; - props: - - name: label - value: CM-03(05) - - name: sort-id - value: cm-03.05 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.5_smt - name: statement - prose: "Implement the following security responses automatically\ - \ if baseline configurations are changed in an unauthorized manner:\ - \ {{ insert: param, cm-03.05_odp }}." - - id: cm-3.5_gdn - name: guidance - prose: Automated security responses include halting selected system - functions, halting system processing, and issuing alerts or notifications - to organizational personnel when there is an unauthorized modification - of a configuration item. - - name: objective - props: - - name: label - value: CM-03(05) - class: sp800-53A - prose: "{{ insert: param, cm-03.05_odp }} are automatically implemented\ - \ if baseline configurations are changed in an unauthorized manner." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - alerts/notifications of unauthorized baseline configuration - changes - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - automated mechanisms implementing security responses to unauthorized - changes to the baseline configurations - - id: cm-3.6 - class: SP800-53-enhancement - title: Cryptography Management - params: - - id: cm-03.06_odp - props: - - name: legacy-identifier - value: cm-3.6_prm_1 - - name: label - value: CM-03(06)_ODP - label: controls - guidelines: - - prose: controls provided by cryptographic mechanisms that are - to be under configuration management are defined; - props: - - name: label - value: CM-03(06) - - name: sort-id - value: cm-03.06 - links: - - href: "#cm-3" - rel: required - - href: "#sc-12" - rel: related - parts: - - id: cm-3.6_smt - name: statement - prose: "Ensure that cryptographic mechanisms used to provide the\ - \ following controls are under configuration management: {{ insert:\ - \ param, cm-03.06_odp }}." - - id: cm-3.6_gdn - name: guidance - prose: The controls referenced in the control enhancement refer - to security and privacy controls from the control catalog. Regardless - of the cryptographic mechanisms employed, processes and procedures - are in place to manage those mechanisms. For example, if system - components use certificates for identification and authentication, - a process is implemented to address the expiration of those certificates. - - name: objective - props: - - name: label - value: CM-03(06) - class: sp800-53A - prose: "cryptographic mechanisms used to provide {{ insert: param,\ - \ cm-03.06_odp }} are under configuration management." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - cryptographic mechanisms implementing organizational security - safeguards (controls) - - id: cm-3.7 - class: SP800-53-enhancement - title: Review System Changes - params: - - id: cm-03.07_odp.01 - props: - - name: legacy-identifier - value: cm-3.7_prm_1 - - name: label - value: CM-03(07)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which changes are to be reviewed is - defined; - - id: cm-03.07_odp.02 - props: - - name: legacy-identifier - value: cm-3.7_prm_2 - - name: label - value: CM-03(07)_ODP[02] - label: circumstances - guidelines: - - prose: the circumstances under which changes are to be reviewed - are defined; - props: - - name: label - value: CM-03(07) - - name: sort-id - value: cm-03.07 - links: - - href: "#cm-3" - rel: required - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#cm-3" - rel: related - parts: - - id: cm-3.7_smt - name: statement - prose: "Review changes to the system {{ insert: param, cm-03.07_odp.01\ - \ }} or when {{ insert: param, cm-03.07_odp.02 }} to determine\ - \ whether unauthorized changes have occurred." - - id: cm-3.7_gdn - name: guidance - prose: Indications that warrant a review of changes to the system - and the specific circumstances justifying such reviews may be - obtained from activities carried out by organizations during the - configuration change process or continuous monitoring process. - - name: objective - props: - - name: label - value: CM-03(07) - class: sp800-53A - prose: "changes to the system are reviewed {{ insert: param, cm-03.07_odp.01\ - \ }} or when {{ insert: param, cm-03.07_odp.02 }} to determine\ - \ whether unauthorized changes have occurred." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - change control records - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system audit records - - - system component inventory - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-03(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with configuration change - control responsibilities - - - organizational personnel with security responsibilities - - - system/network administrators - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-03(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for configuration change - control - - - mechanisms implementing audit records for changes - - id: cm-3.8 - class: SP800-53-enhancement - title: Prevent or Restrict Configuration Changes - params: - - id: cm-03.08_odp - props: - - name: legacy-identifier - value: cm-3.8_prm_1 - - name: label - value: CM-03(08)_ODP - label: circumstances - guidelines: - - prose: the circumstances under which changes are to be prevented - or restricted are defined; - props: - - name: label - value: CM-03(08) - - name: sort-id - value: cm-03.08 - links: - - href: "#cm-3" - rel: required - parts: - - id: cm-3.8_smt - name: statement - prose: "Prevent or restrict changes to the configuration of the\ - \ system under the following circumstances: {{ insert: param,\ - \ cm-03.08_odp }}." - - id: cm-3.8_gdn - name: guidance - prose: System configuration changes can adversely affect critical - system security and privacy functionality. Change restrictions - can be enforced through automated mechanisms. - - name: objective - props: - - name: label - value: CM-03(08) - class: sp800-53A - prose: "changes to the configuration of the system are prevented\ - \ or restricted under {{ insert: param, cm-03.08_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-03(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system configuration change control - - - configuration management plan - - - change control records - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system component inventory - - - system audit records - - - system security plan - - - other relevant documents or records - - id: cm-4 - class: SP800-53 - title: Impact Analyses - props: - - name: label - value: CM-04 - - name: sort-id - value: cm-04 - links: - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-9" - rel: related - - href: "#ma-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-2" - rel: related - parts: - - id: cm-4_smt - name: statement - prose: Analyze changes to the system to determine potential security - and privacy impacts prior to change implementation. - - id: cm-4_gdn - name: guidance - prose: Organizational personnel with security or privacy responsibilities - conduct impact analyses. Individuals conducting impact analyses possess - the necessary skills and technical expertise to analyze the changes - to systems as well as the security or privacy ramifications. Impact - analyses include reviewing security and privacy plans, policies, and - procedures to understand control requirements; reviewing system design - documentation and operational procedures to understand control implementation - and how specific system changes might affect the controls; reviewing - the impact of changes on organizational supply chain partners with - stakeholders; and determining how potential changes to a system create - new risks to the privacy of individuals and the ability of implemented - controls to mitigate those risks. Impact analyses also include risk - assessments to understand the impact of the changes and determine - if additional controls are required. - - name: objective - props: - - name: label - value: CM-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-04[01] - class: sp800-53A - prose: changes to the system are analyzed to determine potential - security impacts prior to change implementation; - - name: objective - props: - - name: label - value: CM-04[02] - class: sp800-53A - prose: changes to the system are analyzed to determine potential - privacy impacts prior to change implementation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing security impact analyses for changes to - the system - - - procedures addressing privacy impact analyses for changes to the - system - - - configuration management plan - - - security impact analysis documentation - - - privacy impact analysis documentation - - - privacy impact assessment - - - privacy risk assessment documentation, system design documentation - - - analysis tools and associated outputs - - - change control records - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for conducting - security impact analyses - - - organizational personnel with responsibility for conducting privacy - impact analyses - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - system/network administrators - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-04-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for security impact analyses - - organizational processes for privacy impact analyses - controls: - - id: cm-4.1 - class: SP800-53-enhancement - title: Separate Test Environments - props: - - name: label - value: CM-04(01) - - name: sort-id - value: cm-04.01 - links: - - href: "#cm-4" - rel: required - - href: "#sa-11" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-4.1_smt - name: statement - prose: Analyze changes to the system in a separate test environment - before implementation in an operational environment, looking for - security and privacy impacts due to flaws, weaknesses, incompatibility, - or intentional malice. - - id: cm-4.1_gdn - name: guidance - prose: A separate test environment requires an environment that - is physically or logically separate and distinct from the operational - environment. The separation is sufficient to ensure that activities - in the test environment do not impact activities in the operational - environment and that information in the operational environment - is not inadvertently transmitted to the test environment. Separate - environments can be achieved by physical or logical means. If - physically separate test environments are not implemented, organizations - determine the strength of mechanism required when implementing - logical separation. - - name: objective - props: - - name: label - value: CM-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-04(01)[01] - class: sp800-53A - prose: changes to the system are analyzed in a separate test - environment before implementation in an operational environment; - - name: objective - props: - - name: label - value: CM-04(01)[02] - class: sp800-53A - prose: changes to the system are analyzed for security impacts - due to flaws; - - name: objective - props: - - name: label - value: CM-04(01)[03] - class: sp800-53A - prose: changes to the system are analyzed for privacy impacts - due to flaws; - - name: objective - props: - - name: label - value: CM-04(01)[04] - class: sp800-53A - prose: changes to the system are analyzed for security impacts - due to weaknesses; - - name: objective - props: - - name: label - value: CM-04(01)[05] - class: sp800-53A - prose: changes to the system are analyzed for privacy impacts - due to weaknesses; - - name: objective - props: - - name: label - value: CM-04(01)[06] - class: sp800-53A - prose: changes to the system are analyzed for security impacts - due to incompatibility; - - name: objective - props: - - name: label - value: CM-04(01)[07] - class: sp800-53A - prose: changes to the system are analyzed for privacy impacts - due to incompatibility; - - name: objective - props: - - name: label - value: CM-04(01)[08] - class: sp800-53A - prose: changes to the system are analyzed for security impacts - due to intentional malice; - - name: objective - props: - - name: label - value: CM-04(01)[09] - class: sp800-53A - prose: changes to the system are analyzed for privacy impacts - due to intentional malice. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing security impact analyses for changes - to the system - - - procedures addressing privacy impact analyses for changes - to the system - - - configuration management plan - - - security impact analysis documentation - - - privacy impact analysis documentation - - - privacy impact assessment - - - privacy risk assessment documentation - - - analysis tools and associated outputs system design documentation - - - system architecture and configuration documentation - - - change control records - - - procedures addressing the authority to test with PII - - - system audit records - - - documentation of separate test and operational environments - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - conducting security and privacy impact analyses - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - members of change control board or similar - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for security and privacy impact - analyses - - - automated mechanisms supporting and/or implementing security - and privacy impact analyses of changes - - id: cm-4.2 - class: SP800-53-enhancement - title: Verification of Controls - props: - - name: label - value: CM-04(02) - - name: sort-id - value: cm-04.02 - links: - - href: "#cm-4" - rel: required - - href: "#sa-11" - rel: related - - href: "#sc-3" - rel: related - - href: "#si-6" - rel: related - parts: - - id: cm-4.2_smt - name: statement - prose: After system changes, verify that the impacted controls are - implemented correctly, operating as intended, and producing the - desired outcome with regard to meeting the security and privacy - requirements for the system. - - id: cm-4.2_gdn - name: guidance - prose: Implementation in this context refers to installing changed - code in the operational system that may have an impact on security - or privacy controls. - - name: objective - props: - - name: label - value: CM-04(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-04(02)[01] - class: sp800-53A - prose: the impacted controls are implemented correctly with - regard to meeting the security requirements for the system - after system changes; - - name: objective - props: - - name: label - value: CM-04(02)[02] - class: sp800-53A - prose: the impacted controls are implemented correctly with - regard to meeting the privacy requirements for the system - after system changes; - - name: objective - props: - - name: label - value: CM-04(02)[03] - class: sp800-53A - prose: the impacted controls are operating as intended with - regard to meeting the security requirements for the system - after system changes; - - name: objective - props: - - name: label - value: CM-04(02)[04] - class: sp800-53A - prose: the impacted controls are operating as intended with - regard to meeting the privacy requirements for the system - after system changes; - - name: objective - props: - - name: label - value: CM-04(02)[05] - class: sp800-53A - prose: the impacted controls are producing the desired outcome - with regard to meeting the security requirements for the system - after system changes; - - name: objective - props: - - name: label - value: CM-04(02)[06] - class: sp800-53A - prose: the impacted controls are producing the desired outcome - with regard to meeting the privacy requirements for the system - after system changes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing security impact analyses for changes - to the system - - - procedures addressing privacy impact analyses for changes - to the system - - - privacy risk assessment documentation - - - configuration management plan - - - security and privacy impact analysis documentation - - - privacy impact assessment - - - analysis tools and associated outputs - - - change control records - - - control assessment results - - - system audit records - - - system component inventory - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - conducting security and privacy impact analyses - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - security and privacy assessors - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for security and privacy impact - analyses - - - automated mechanisms supporting and/or implementing security - and privacy impact analyses of changes - - id: cm-5 - class: SP800-53 - title: Access Restrictions for Change - props: - - name: label - value: CM-05 - - name: sort-id - value: cm-05 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#cm-9" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-2" - rel: related - - href: "#si-10" - rel: related - parts: - - id: cm-5_smt - name: statement - prose: Define, document, approve, and enforce physical and logical access - restrictions associated with changes to the system. - - id: cm-5_gdn - name: guidance - prose: Changes to the hardware, software, or firmware components of - systems or the operational procedures related to the system can potentially - have significant effects on the security of the systems or individuals’ - privacy. Therefore, organizations permit only qualified and authorized - individuals to access systems for purposes of initiating changes. - Access restrictions include physical and logical access controls (see - [AC-3](#ac-3) and [PE-3](#pe-3) ), software libraries, workflow automation, - media libraries, abstract layers (i.e., changes implemented into external - interfaces rather than directly into systems), and change windows - (i.e., changes occur only during specified times). - - name: objective - props: - - name: label - value: CM-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05[01] - class: sp800-53A - prose: physical access restrictions associated with changes to the - system are defined and documented; - - name: objective - props: - - name: label - value: CM-05[02] - class: sp800-53A - prose: physical access restrictions associated with changes to the - system are approved; - - name: objective - props: - - name: label - value: CM-05[03] - class: sp800-53A - prose: physical access restrictions associated with changes to the - system are enforced; - - name: objective - props: - - name: label - value: CM-05[04] - class: sp800-53A - prose: logical access restrictions associated with changes to the - system are defined and documented; - - name: objective - props: - - name: label - value: CM-05[05] - class: sp800-53A - prose: logical access restrictions associated with changes to the - system are approved; - - name: objective - props: - - name: label - value: CM-05[06] - class: sp800-53A - prose: logical access restrictions associated with changes to the - system are enforced. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing access restrictions for changes to the system - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - logical access approvals - - - physical access approvals - - - access credentials - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with logical access control - responsibilities - - - organizational personnel with physical access control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing access restrictions to - change - - - automated mechanisms supporting, implementing, or enforcing access - restrictions associated with changes to the system - controls: - - id: cm-5.1 - class: SP800-53-enhancement - title: Automated Access Enforcement and Audit Records - params: - - id: cm-05.01_odp - props: - - name: legacy-identifier - value: cm-5.1_prm_1 - - name: label - value: CM-05(01)_ODP - label: automated mechanisms - guidelines: - - prose: mechanisms used to automate the enforcement of access - restrictions are defined; - props: - - name: label - value: CM-05(01) - - name: sort-id - value: cm-05.01 - links: - - href: "#cm-5" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-5.1_smt - name: statement - parts: - - id: cm-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce access restrictions using {{ insert: param,\ - \ cm-05.01_odp }} ; and" - - id: cm-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Automatically generate audit records of the enforcement - actions. - - id: cm-5.1_gdn - name: guidance - prose: Organizations log system accesses associated with applying - configuration changes to ensure that configuration change control - is implemented and to support after-the-fact actions should organizations - discover any unauthorized changes. - - name: objective - props: - - name: label - value: CM-05(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05(01)(a) - class: sp800-53A - prose: "access restrictions for change are enforced using {{\ - \ insert: param, cm-05.01_odp }};" - - name: objective - props: - - name: label - value: CM-05(01)(b) - class: sp800-53A - prose: audit records of enforcement actions are automatically - generated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing access restrictions for changes to the - system - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with logical access control - responsibilities - - - organizational personnel with physical access control responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing access - restrictions to change - - - automated mechanisms implementing the enforcement of access - restrictions for changes to the system - - - automated mechanisms supporting auditing of enforcement actions - - id: cm-5.2 - class: SP800-53-enhancement - title: Review System Changes - props: - - name: label - value: CM-05(02) - - name: sort-id - value: cm-05.02 - - name: status - value: withdrawn - links: - - href: "#cm-3.7" - rel: incorporated-into - - id: cm-5.3 - class: SP800-53-enhancement - title: Signed Components - props: - - name: label - value: CM-05(03) - - name: sort-id - value: cm-05.03 - - name: status - value: withdrawn - links: - - href: "#cm-14" - rel: moved-to - - id: cm-5.4 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: cm-5.4_prm_1 - props: - - name: aggregates - value: cm-05.04_odp.01 - label: organization-defined system components and system-level information - - id: cm-05.04_odp.01 - props: - - name: label - value: CM-05(04)_ODP[01] - label: system components - guidelines: - - prose: system components requiring dual authorization for changes - are defined; - - id: cm-05.04_odp.02 - props: - - name: label - value: CM-05(04)_ODP[02] - label: system-level information - guidelines: - - prose: system-level information requiring dual authorization - for changes is defined; - props: - - name: label - value: CM-05(04) - - name: sort-id - value: cm-05.04 - links: - - href: "#cm-5" - rel: required - - href: "#ac-2" - rel: related - - href: "#ac-5" - rel: related - - href: "#cm-3" - rel: related - parts: - - id: cm-5.4_smt - name: statement - prose: "Enforce dual authorization for implementing changes to {{\ - \ insert: param, cm-5.4_prm_1 }}." - - id: cm-5.4_gdn - name: guidance - prose: Organizations employ dual authorization to help ensure that - any changes to selected system components and information cannot - occur unless two qualified individuals approve and implement such - changes. The two individuals possess the skills and expertise - to determine if the proposed changes are correct implementations - of approved changes. The individuals are also accountable for - the changes. Dual authorization may also be known as two-person - control. To reduce the risk of collusion, organizations consider - rotating dual authorization duties to other individuals. System-level - information includes operational procedures. - - name: objective - props: - - name: label - value: CM-05(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05(04)[01] - class: sp800-53A - prose: "dual authorization for implementing changes to {{ insert:\ - \ param, cm-05.04_odp.01 }} is enforced;" - - name: objective - props: - - name: label - value: CM-05(04)[02] - class: sp800-53A - prose: "dual authorization for implementing changes to {{ insert:\ - \ param, cm-05.04_odp.02 }} is enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-05(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing access restrictions for changes to the - system - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - change control records - - - system audit records - - - system component inventory - - - system information types information - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-05(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with dual authorization - enforcement responsibilities for implementing system - changes - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-05(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing access - restrictions to change - - - automated mechanisms implementing dual authorization enforcement - - id: cm-5.5 - class: SP800-53-enhancement - title: Privilege Limitation for Production and Operation - params: - - id: cm-5.5_prm_1 - props: - - name: aggregates - value: cm-05.05_odp.01 - label: organization-defined frequency - - id: cm-05.05_odp.01 - props: - - name: label - value: CM-05(05)_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to review privileges is defined; - - id: cm-05.05_odp.02 - props: - - name: label - value: CM-05(05)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to reevaluate privileges is defined; - props: - - name: label - value: CM-05(05) - - name: sort-id - value: cm-05.05 - links: - - href: "#cm-5" - rel: required - - href: "#ac-2" - rel: related - parts: - - id: cm-5.5_smt - name: statement - parts: - - id: cm-5.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Limit privileges to change system components and system-related - information within a production or operational environment; - and - - id: cm-5.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1\ - \ }}." - - id: cm-5.5_gdn - name: guidance - prose: In many organizations, systems support multiple mission and - business functions. Limiting privileges to change system components - with respect to operational systems is necessary because changes - to a system component may have far-reaching effects on mission - and business processes supported by the system. The relationships - between systems and mission/business processes are, in some cases, - unknown to developers. System-related information includes operational - procedures. - - name: objective - props: - - name: label - value: CM-05(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05(05)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05(05)(a)[01] - class: sp800-53A - prose: privileges to change system components within a production - or operational environment are limited; - - name: objective - props: - - name: label - value: CM-05(05)(a)[02] - class: sp800-53A - prose: privileges to change system-related information within - a production or operational environment are limited; - - name: objective - props: - - name: label - value: CM-05(05)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-05(05)(b)[01] - class: sp800-53A - prose: "privileges are reviewed {{ insert: param, cm-05.05_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: CM-05(05)(b)[02] - class: sp800-53A - prose: "privileges are reevaluated {{ insert: param, cm-05.05_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-05(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing access restrictions for changes to the - system - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - user privilege reviews - - - user privilege recertifications - - - system component inventory - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-05(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-05(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing access - restrictions to change - - - automated mechanisms supporting and/or implementing access - restrictions for change - - id: cm-5.6 - class: SP800-53-enhancement - title: Limit Library Privileges - props: - - name: label - value: CM-05(06) - - name: sort-id - value: cm-05.06 - links: - - href: "#cm-5" - rel: required - - href: "#ac-2" - rel: related - parts: - - id: cm-5.6_smt - name: statement - prose: Limit privileges to change software resident within software - libraries. - - id: cm-5.6_gdn - name: guidance - prose: Software libraries include privileged programs. - - name: objective - props: - - name: label - value: CM-05(06) - class: sp800-53A - prose: privileges to change software resident within software libraries - are limited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-05(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing access restrictions for changes to the - system - - - configuration management plan - - - system design documentation - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - system component inventory - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-05(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-05(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing access - restrictions to change - - - automated mechanisms supporting and/or implementing access - restrictions for change - - id: cm-5.7 - class: SP800-53-enhancement - title: Automatic Implementation of Security Safeguards - props: - - name: label - value: CM-05(07) - - name: sort-id - value: cm-05.07 - - name: status - value: withdrawn - links: - - href: "#si-7" - rel: incorporated-into - - id: cm-6 - class: SP800-53 - title: Configuration Settings - params: - - id: cm-06_odp.01 - props: - - name: legacy-identifier - value: cm-6_prm_1 - - name: label - value: CM-06_ODP[01] - label: common secure configurations - guidelines: - - prose: common secure configurations to establish and document configuration - settings for components employed within the system are defined; - - id: cm-06_odp.02 - props: - - name: legacy-identifier - value: cm-6_prm_2 - - name: label - value: CM-06_ODP[02] - label: system components - guidelines: - - prose: system components for which approval of deviations is needed - are defined; - - id: cm-06_odp.03 - props: - - name: legacy-identifier - value: cm-6_prm_3 - - name: label - value: CM-06_ODP[03] - label: operational requirements - guidelines: - - prose: operational requirements necessitating approval of deviations - are defined; - props: - - name: label - value: CM-06 - - name: sort-id - value: cm-06 - links: - - href: "#4895b4cd-34c5-4667-bf8a-27d443c12047" - rel: reference - - href: "#8016d2ed-d30f-4416-9c45-0f42c7aa3232" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#98498928-3ca3-44b3-8b1e-f48685373087" - rel: reference - - href: "#d744d9a3-73eb-4085-b9ff-79e82e9e2d6e" - rel: reference - - href: "#aa66e14f-e7cb-4a37-99d2-07578dfd4608" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#pl-8" - rel: related - - href: "#pl-9" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-2" - rel: related - - href: "#si-4" - rel: related - - href: "#si-6" - rel: related - parts: - - id: cm-6_smt - name: statement - parts: - - id: cm-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish and document configuration settings for components\ - \ employed within the system that reflect the most restrictive\ - \ mode consistent with operational requirements using {{ insert:\ - \ param, cm-06_odp.01 }};" - - id: cm-6_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the configuration settings; - - id: cm-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Identify, document, and approve any deviations from established\ - \ configuration settings for {{ insert: param, cm-06_odp.02 }}\ - \ based on {{ insert: param, cm-06_odp.03 }} ; and" - - id: cm-6_smt.d - name: item - props: - - name: label - value: d. - prose: Monitor and control changes to the configuration settings - in accordance with organizational policies and procedures. - - id: cm-6_gdn - name: guidance - prose: >- - Configuration settings are the parameters that can be changed in - the hardware, software, or firmware components of the system - that affect the security and privacy posture or functionality of - the system. Information technology products for which - configuration settings can be defined include mainframe - computers, servers, workstations, operating systems, mobile - devices, input/output devices, protocols, and applications. - Parameters that impact the security posture of systems include - registry settings; account, file, or directory permission - settings; and settings for functions, protocols, ports, - services, and remote connections. Privacy parameters are - parameters impacting the privacy posture of systems, including - the parameters required to satisfy other privacy controls. - Privacy parameters include settings for access controls, data - processing preferences, and processing and retention - permissions. Organizations establish organization-wide - configuration settings and subsequently derive specific - configuration settings for systems. The established settings - become part of the configuration baseline for the system. - - - Common secure configurations (also known as security configuration - checklists, lockdown and hardening guides, and security reference - guides) provide recognized, standardized, and established benchmarks - that stipulate secure configuration settings for information technology - products and platforms as well as instructions for configuring those - products or platforms to meet operational requirements. Common secure - configurations can be developed by a variety of organizations, including - information technology product developers, manufacturers, vendors, - federal agencies, consortia, academia, industry, and other organizations - in the public and private sectors. - - - Implementation of a common secure configuration may be mandated at - the organization level, mission and business process level, system - level, or at a higher level, including by a regulatory agency. Common - secure configurations include the United States Government Configuration - Baseline [USGCB](#98498928-3ca3-44b3-8b1e-f48685373087) and security - technical implementation guides (STIGs), which affect the implementation - of [CM-6](#cm-6) and other controls such as [AC-19](#ac-19) and [CM-7](#cm-7) - . The Security Content Automation Protocol (SCAP) and the defined - standards within the protocol provide an effective method to uniquely - identify, track, and control configuration settings. - - name: objective - props: - - name: label - value: CM-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-06a. - class: sp800-53A - prose: "configuration settings that reflect the most restrictive\ - \ mode consistent with operational requirements are established\ - \ and documented for components employed within the system using\ - \ {{ insert: param, cm-06_odp.01 }};" - - name: objective - props: - - name: label - value: CM-06b. - class: sp800-53A - prose: the configuration settings documented in CM-06a are implemented; - - name: objective - props: - - name: label - value: CM-06c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-06c.[01] - class: sp800-53A - prose: "any deviations from established configuration settings\ - \ for {{ insert: param, cm-06_odp.02 }} are identified and\ - \ documented based on {{ insert: param, cm-06_odp.03 }};" - - name: objective - props: - - name: label - value: CM-06c.[02] - class: sp800-53A - prose: "any deviations from established configuration settings\ - \ for {{ insert: param, cm-06_odp.02 }} are approved;" - - name: objective - props: - - name: label - value: CM-06d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-06d.[01] - class: sp800-53A - prose: changes to the configuration settings are monitored in - accordance with organizational policies and procedures; - - name: objective - props: - - name: label - value: CM-06d.[02] - class: sp800-53A - prose: changes to the configuration settings are controlled - in accordance with organizational policies and procedures. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing configuration settings for the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - common secure configuration checklists - - - system component inventory - - - evidence supporting approved deviations from established configuration - settings - - - change control records - - - system data processing and retention permissions - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security configuration - management responsibilities - - - organizational personnel with privacy configuration management - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing configuration settings - - - automated mechanisms that implement, monitor, and/or control system - configuration settings - - - automated mechanisms that identify and/or document deviations - from established configuration settings - controls: - - id: cm-6.1 - class: SP800-53-enhancement - title: Automated Management, Application, and Verification - params: - - id: cm-6.1_prm_1 - props: - - name: aggregates - value: cm-06.01_odp.01 - label: organization-defined system components - - id: cm-6.1_prm_2 - props: - - name: aggregates - value: cm-06.01_odp.02 - label: organization-defined automated mechanisms - - id: cm-06.01_odp.01 - props: - - name: label - value: CM-06(01)_ODP[01] - label: system components - guidelines: - - prose: system components for which to manage, apply, and verify - configuration settings are defined; - - id: cm-06.01_odp.02 - props: - - name: label - value: CM-06(01)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to manage configuration settings - are defined; - - id: cm-06.01_odp.03 - props: - - name: label - value: CM-06(01)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to apply configuration settings - are defined; - - id: cm-06.01_odp.04 - props: - - name: label - value: CM-06(01)_ODP[04] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to verify configuration settings - are defined; - props: - - name: label - value: CM-06(01) - - name: sort-id - value: cm-06.01 - links: - - href: "#cm-6" - rel: required - - href: "#ca-7" - rel: related - parts: - - id: cm-6.1_smt - name: statement - prose: "Manage, apply, and verify configuration settings for {{\ - \ insert: param, cm-6.1_prm_1 }} using {{ insert: param, cm-6.1_prm_2\ - \ }}." - - id: cm-6.1_gdn - name: guidance - prose: Automated tools (e.g., hardening tools, baseline configuration - tools) can improve the accuracy, consistency, and availability - of configuration settings information. Automation can also provide - data aggregation and data correlation capabilities, alerting mechanisms, - and dashboards to support risk-based decision-making within the - organization. - - name: objective - props: - - name: label - value: CM-06(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-06(01)[01] - class: sp800-53A - prose: "configuration settings for {{ insert: param, cm-06.01_odp.01\ - \ }} are managed using {{ insert: param, cm-06.01_odp.02 }};" - - name: objective - props: - - name: label - value: CM-06(01)[02] - class: sp800-53A - prose: "configuration settings for {{ insert: param, cm-06.01_odp.01\ - \ }} are applied using {{ insert: param, cm-06.01_odp.03 }};" - - name: objective - props: - - name: label - value: CM-06(01)[03] - class: sp800-53A - prose: "configuration settings for {{ insert: param, cm-06.01_odp.01\ - \ }} are verified using {{ insert: param, cm-06.01_odp.04\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing configuration settings for the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - system component inventory - - - common secure configuration checklists - - - change control records - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security configuration - management responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing configuration - settings - - - automated mechanisms implemented to manage, apply, and verify - system configuration settings - - id: cm-6.2 - class: SP800-53-enhancement - title: Respond to Unauthorized Changes - params: - - id: cm-06.02_odp.01 - props: - - name: legacy-identifier - value: cm-6.2_prm_2 - - name: label - value: CM-06(02)_ODP[01] - label: actions - guidelines: - - prose: actions to be taken upon an unauthorized change are defined; - - id: cm-06.02_odp.02 - props: - - name: legacy-identifier - value: cm-6.2_prm_1 - - name: label - value: CM-06(02)_ODP[02] - label: configuration settings - guidelines: - - prose: configuration settings requiring action upon an unauthorized - change are defined; - props: - - name: label - value: CM-06(02) - - name: sort-id - value: cm-06.02 - links: - - href: "#cm-6" - rel: required - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-6.2_smt - name: statement - prose: "Take the following actions in response to unauthorized changes\ - \ to {{ insert: param, cm-06.02_odp.02 }}: {{ insert: param, cm-06.02_odp.01\ - \ }}." - - id: cm-6.2_gdn - name: guidance - prose: Responses to unauthorized changes to configuration settings - include alerting designated organizational personnel, restoring - established configuration settings, or—in extreme cases—halting - affected system processing. - - name: objective - props: - - name: label - value: CM-06(02) - class: sp800-53A - prose: "{{ insert: param, cm-06.02_odp.01 }} are taken in response\ - \ to unauthorized changes to {{ insert: param, cm-06.02_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - privacy plan - - - configuration management policy - - - procedures addressing configuration settings for the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - alerts/notifications of unauthorized changes to system configuration - settings - - - system component inventory - - - documented responses to unauthorized changes to system configuration - settings - - - change control records - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security configuration - management responsibilities - - - organizational personnel with security and privacy responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for responding to unauthorized - changes to system configuration settings - - - automated mechanisms supporting and/or implementing actions - in response to unauthorized changes - - id: cm-6.3 - class: SP800-53-enhancement - title: Unauthorized Change Detection - props: - - name: label - value: CM-06(03) - - name: sort-id - value: cm-06.03 - - name: status - value: withdrawn - links: - - href: "#si-7" - rel: incorporated-into - - id: cm-6.4 - class: SP800-53-enhancement - title: Conformance Demonstration - props: - - name: label - value: CM-06(04) - - name: sort-id - value: cm-06.04 - - name: status - value: withdrawn - links: - - href: "#cm-4" - rel: incorporated-into - - id: cm-7 - class: SP800-53 - title: Least Functionality - params: - - id: cm-7_prm_2 - props: - - name: aggregates - value: cm-07_odp.02 - label: organization-defined prohibited or restricted functions, system - ports, protocols, software, and/or services - - id: cm-07_odp.01 - props: - - name: legacy-identifier - value: cm-7_prm_1 - - name: label - value: CM-07_ODP[01] - label: mission-essential capabilities - guidelines: - - prose: mission-essential capabilities for the system are defined; - - id: cm-07_odp.02 - props: - - name: label - value: CM-07_ODP[02] - label: functions - guidelines: - - prose: functions to be prohibited or restricted are defined; - - id: cm-07_odp.03 - props: - - name: label - value: CM-07_ODP[03] - label: ports - guidelines: - - prose: ports to be prohibited or restricted are defined; - - id: cm-07_odp.04 - props: - - name: label - value: CM-07_ODP[04] - label: protocols - guidelines: - - prose: protocols to be prohibited or restricted are defined; - - id: cm-07_odp.05 - props: - - name: label - value: CM-07_ODP[05] - label: software - guidelines: - - prose: software to be prohibited or restricted is defined; - - id: cm-07_odp.06 - props: - - name: label - value: CM-07_ODP[06] - label: services - guidelines: - - prose: services to be prohibited or restricted are defined; - props: - - name: label - value: CM-07 - - name: sort-id - value: cm-07 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#38f39739-1ebd-43b1-8b8c-00f591d89ebd" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-4" - rel: related - parts: - - id: cm-7_smt - name: statement - parts: - - id: cm-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Configure the system to provide only {{ insert: param, cm-07_odp.01\ - \ }} ; and" - - id: cm-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Prohibit or restrict the use of the following functions,\ - \ ports, protocols, software, and/or services: {{ insert: param,\ - \ cm-7_prm_2 }}." - - id: cm-7_gdn - name: guidance - prose: Systems provide a wide variety of functions and services. Some - of the functions and services routinely provided by default may not - be necessary to support essential organizational missions, functions, - or operations. Additionally, it is sometimes convenient to provide - multiple services from a single system component, but doing so increases - risk over limiting the services provided by that single component. - Where feasible, organizations limit component functionality to a single - function per component. Organizations consider removing unused or - unnecessary software and disabling unused or unnecessary physical - and logical ports and protocols to prevent unauthorized connection - of components, transfer of information, and tunneling. Organizations - employ network scanning tools, intrusion detection and prevention - systems, and end-point protection technologies, such as firewalls - and host-based intrusion detection systems, to identify and prevent - the use of prohibited functions, protocols, ports, and services. Least - functionality can also be achieved as part of the fundamental design - and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , - and [SC-3](#sc-3)). - - name: objective - props: - - name: label - value: CM-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07a. - class: sp800-53A - prose: "the system is configured to provide only {{ insert: param,\ - \ cm-07_odp.01 }};" - - name: objective - props: - - name: label - value: CM-07b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07b.[01] - class: sp800-53A - prose: "the use of {{ insert: param, cm-07_odp.02 }} is prohibited\ - \ or restricted;" - - name: objective - props: - - name: label - value: CM-07b.[02] - class: sp800-53A - prose: "the use of {{ insert: param, cm-07_odp.03 }} is prohibited\ - \ or restricted;" - - name: objective - props: - - name: label - value: CM-07b.[03] - class: sp800-53A - prose: "the use of {{ insert: param, cm-07_odp.04 }} is prohibited\ - \ or restricted;" - - name: objective - props: - - name: label - value: CM-07b.[04] - class: sp800-53A - prose: "the use of {{ insert: param, cm-07_odp.05 }} is prohibited\ - \ or restricted;" - - name: objective - props: - - name: label - value: CM-07b.[05] - class: sp800-53A - prose: "the use of {{ insert: param, cm-07_odp.06 }} is prohibited\ - \ or restricted." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing least functionality in the system - - configuration management plan - - system design documentation - - system configuration settings and associated documentation - - system component inventory - - common secure configuration checklists - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security configuration - management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes prohibiting or restricting - functions, ports, protocols, software, and/or services - - - automated mechanisms implementing restrictions or prohibition - of functions, ports, protocols, software, and/or services - controls: - - id: cm-7.1 - class: SP800-53-enhancement - title: Periodic Review - params: - - id: cm-7.1_prm_2 - props: - - name: aggregates - value: cm-07.01_odp.02 - label: organization-defined functions, ports, protocols, software, - and services within the system deemed to be unnecessary and/or - nonsecure - - id: cm-07.01_odp.01 - props: - - name: legacy-identifier - value: cm-7.1_prm_1 - - name: label - value: CM-07(01)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to review the system to identify - unnecessary and/or non-secure functions, ports, protocols, - software, and/or services is defined; - - id: cm-07.01_odp.02 - props: - - name: label - value: CM-07(01)_ODP[02] - label: functions - guidelines: - - prose: functions to be disabled or removed when deemed unnecessary - or non-secure are defined; - - id: cm-07.01_odp.03 - props: - - name: label - value: CM-07(01)_ODP[03] - label: ports - guidelines: - - prose: ports to be disabled or removed when deemed unnecessary - or non-secure are defined; - - id: cm-07.01_odp.04 - props: - - name: label - value: CM-07(01)_ODP[04] - label: protocols - guidelines: - - prose: protocols to be disabled or removed when deemed unnecessary - or non-secure are defined; - - id: cm-07.01_odp.05 - props: - - name: label - value: CM-07(01)_ODP[05] - label: software - guidelines: - - prose: software to be disabled or removed when deemed unnecessary - or non-secure is defined; - - id: cm-07.01_odp.06 - props: - - name: label - value: CM-07(01)_ODP[06] - label: services - guidelines: - - prose: services to be disabled or removed when deemed unnecessary - or non-secure are defined; - props: - - name: label - value: CM-07(01) - - name: sort-id - value: cm-07.01 - links: - - href: "#cm-7" - rel: required - - href: "#ac-18" - rel: related - parts: - - id: cm-7.1_smt - name: statement - parts: - - id: cm-7.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Review the system {{ insert: param, cm-07.01_odp.01\ - \ }} to identify unnecessary and/or nonsecure functions, ports,\ - \ protocols, software, and services; and" - - id: cm-7.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - - id: cm-7.1_gdn - name: guidance - prose: Organizations review functions, ports, protocols, and services - provided by systems or system components to determine the functions - and services that are candidates for elimination. Such reviews - are especially important during transition periods from older - technologies to newer technologies (e.g., transition from IPv4 - to IPv6). These technology transitions may require implementing - the older and newer technologies simultaneously during the transition - period and returning to minimum essential functions, ports, protocols, - and services at the earliest opportunity. Organizations can either - decide the relative security of the function, port, protocol, - and/or service or base the security decision on the assessment - of other entities. Unsecure protocols include Bluetooth, FTP, - and peer-to-peer networking. - - name: objective - props: - - name: label - value: CM-07(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(01)(a) - class: sp800-53A - prose: "the system is reviewed {{ insert: param, cm-07.01_odp.01\ - \ }} to identify unnecessary and/or non-secure functions,\ - \ ports, protocols, software, and services:" - - name: objective - props: - - name: label - value: CM-07(01)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(01)(b)[01] - class: sp800-53A - prose: "{{ insert: param, cm-07.01_odp.02 }} deemed to be\ - \ unnecessary and/or non-secure are disabled or removed;" - - name: objective - props: - - name: label - value: CM-07(01)(b)[02] - class: sp800-53A - prose: "{{ insert: param, cm-07.01_odp.03 }} deemed to be\ - \ unnecessary and/or non-secure are disabled or removed;" - - name: objective - props: - - name: label - value: CM-07(01)(b)[03] - class: sp800-53A - prose: "{{ insert: param, cm-07.01_odp.04 }} deemed to be\ - \ unnecessary and/or non-secure are disabled or removed;" - - name: objective - props: - - name: label - value: CM-07(01)(b)[04] - class: sp800-53A - prose: "{{ insert: param, cm-07.01_odp.05 }} deemed to be\ - \ unnecessary and/or non-secure is disabled or removed;" - - name: objective - props: - - name: label - value: CM-07(01)(b)[05] - class: sp800-53A - prose: "{{ insert: param, cm-07.01_odp.06 }} deemed to be\ - \ unnecessary and/or non-secure are disabled or removed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - common secure configuration checklists - - - documented reviews of functions, ports, protocols, and/or - services - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - reviewing functions, ports, protocols, and services on - the system - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for reviewing or disabling - functions, ports, protocols, and services on the system - - - automated mechanisms implementing review and disabling of - functions, ports, protocols, and/or services - - id: cm-7.2 - class: SP800-53-enhancement - title: Prevent Program Execution - params: - - id: cm-07.02_odp.01 - props: - - name: legacy-identifier - value: cm-7.2_prm_1 - - name: label - value: CM-07(02)_ODP[01] - select: - how-many: one-or-more - choice: - - " {{ insert: param, cm-07.02_odp.02 }} " - - rules authorizing the terms and conditions of software program - usage - - id: cm-07.02_odp.02 - props: - - name: legacy-identifier - value: cm-7.2_prm_2 - - name: label - value: CM-07(02)_ODP[02] - label: policies, rules of behavior, and/or access agreements regarding - software program usage and restrictions - guidelines: - - prose: policies, rules of behavior, and/or access agreements - regarding software program usage and restrictions are defined - (if selected); - props: - - name: label - value: CM-07(02) - - name: sort-id - value: cm-07.02 - links: - - href: "#cm-7" - rel: required - - href: "#cm-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: cm-7.2_smt - name: statement - prose: "Prevent program execution in accordance with {{ insert:\ - \ param, cm-07.02_odp.01 }}." - - id: cm-7.2_gdn - name: guidance - prose: Prevention of program execution addresses organizational - policies, rules of behavior, and/or access agreements that restrict - software usage and the terms and conditions imposed by the developer - or manufacturer, including software licensing and copyrights. - Restrictions include prohibiting auto-execute features, restricting - roles allowed to approve program execution, permitting or prohibiting - specific software programs, or restricting the number of program - instances executed at the same time. - - name: objective - props: - - name: label - value: CM-07(02) - class: sp800-53A - prose: "program execution is prevented in accordance with {{ insert:\ - \ param, cm-07.02_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - system component inventory - - - common secure configuration checklists - - - specifications for preventing software program execution - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes preventing program execution on - the system - - - organizational processes for software program usage and restrictions - - - automated mechanisms preventing program execution on the system - - - automated mechanisms supporting and/or implementing software - program usage and restrictions - - id: cm-7.3 - class: SP800-53-enhancement - title: Registration Compliance - params: - - id: cm-07.03_odp - props: - - name: legacy-identifier - value: cm-7.3_prm_1 - - name: label - value: CM-07(03)_ODP - label: registration requirements for functions, ports, protocols, - and services - guidelines: - - prose: registration requirements for functions, ports, protocols, - and services are defined; - props: - - name: label - value: CM-07(03) - - name: sort-id - value: cm-07.03 - links: - - href: "#cm-7" - rel: required - parts: - - id: cm-7.3_smt - name: statement - prose: "Ensure compliance with {{ insert: param, cm-07.03_odp }}." - - id: cm-7.3_gdn - name: guidance - prose: Organizations use the registration process to manage, track, - and provide oversight for systems and implemented functions, ports, - protocols, and services. - - name: objective - props: - - name: label - value: CM-07(03) - class: sp800-53A - prose: "{{ insert: param, cm-07.03_odp }} are complied with." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system configuration settings and associated documentation - - - system component inventory - - - audit and compliance reviews - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational personnel with security responsibilities - - system/network administrators - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes ensuring compliance with - registration requirements for functions, ports, - protocols, and/or services - - - automated mechanisms implementing compliance with registration - requirements for functions, ports, protocols, and/or services - - id: cm-7.4 - class: SP800-53-enhancement - title: Unauthorized Software — Deny-by-exception - params: - - id: cm-07.04_odp.01 - props: - - name: legacy-identifier - value: cm-7.4_prm_1 - - name: label - value: CM-07(04)_ODP[01] - label: software programs not authorized to execute on the system - guidelines: - - prose: software programs not authorized to execute on the system - are defined; - - id: cm-07.04_odp.02 - props: - - name: legacy-identifier - value: cm-7.4_prm_2 - - name: label - value: CM-07(04)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to review and update the list of unauthorized - software programs is defined; - props: - - name: label - value: CM-07(04) - - name: sort-id - value: cm-07.04 - links: - - href: "#cm-7" - rel: required - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-10" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - parts: - - id: cm-7.4_smt - name: statement - parts: - - id: cm-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Identify {{ insert: param, cm-07.04_odp.01 }};" - - id: cm-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ an allow-all, deny-by-exception policy to prohibit - the execution of unauthorized software programs on the system; - and - - id: cm-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Review and update the list of unauthorized software\ - \ programs {{ insert: param, cm-07.04_odp.02 }}." - - id: cm-7.4_gdn - name: guidance - prose: Unauthorized software programs can be limited to specific - versions or from a specific source. The concept of prohibiting - the execution of unauthorized software may also be applied to - user actions, system ports and protocols, IP addresses/ranges, - websites, and MAC addresses. - - name: objective - props: - - name: label - value: CM-07(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(04)(a) - class: sp800-53A - prose: "{{ insert: param, cm-07.04_odp.01 }} are identified;" - - name: objective - props: - - name: label - value: CM-07(04)(b) - class: sp800-53A - prose: an allow-all, deny-by-exception policy is employed to - prohibit the execution of unauthorized software programs on - the system; - - name: objective - props: - - name: label - value: CM-07(04)(c) - class: sp800-53A - prose: "the list of unauthorized software programs is reviewed\ - \ and updated {{ insert: param, cm-07.04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of software programs not authorized to execute on the - system - - - system component inventory - - - common secure configuration checklists - - - review and update records associated with list of unauthorized - software programs - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - identifying software not authorized to execute on the - system - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for identifying, reviewing, and - updating programs not authorized to execute on the - system - - - organizational process for implementing unauthorized software - policy - - - automated mechanisms supporting and/or implementing unauthorized - software policy - - id: cm-7.5 - class: SP800-53-enhancement - title: Authorized Software — Allow-by-exception - params: - - id: cm-07.05_odp.01 - props: - - name: legacy-identifier - value: cm-7.5_prm_1 - - name: label - value: CM-07(05)_ODP[01] - label: software programs authorized to execute on the system - guidelines: - - prose: software programs authorized to execute on the system - are defined; - - id: cm-07.05_odp.02 - props: - - name: legacy-identifier - value: cm-7.5_prm_2 - - name: label - value: CM-07(05)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to review and update the list of authorized - software programs is defined; - props: - - name: label - value: CM-07(05) - - name: sort-id - value: cm-07.05 - links: - - href: "#cm-7" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-10" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-7.5_smt - name: statement - parts: - - id: cm-7.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Identify {{ insert: param, cm-07.05_odp.01 }};" - - id: cm-7.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ a deny-all, permit-by-exception policy to allow - the execution of authorized software programs on the system; - and - - id: cm-7.5_smt.c - name: item - props: - - name: label - value: (c) - prose: "Review and update the list of authorized software programs\ - \ {{ insert: param, cm-07.05_odp.02 }}." - - id: cm-7.5_gdn - name: guidance - prose: Authorized software programs can be limited to specific versions - or from a specific source. To facilitate a comprehensive authorized - software process and increase the strength of protection for attacks - that bypass application level authorized software, software programs - may be decomposed into and monitored at different levels of detail. - These levels include applications, application programming interfaces, - application modules, scripts, system processes, system services, - kernel functions, registries, drivers, and dynamic link libraries. - The concept of permitting the execution of authorized software - may also be applied to user actions, system ports and protocols, - IP addresses/ranges, websites, and MAC addresses. Organizations - consider verifying the integrity of authorized software programs - using digital signatures, cryptographic checksums, or hash functions. - Verification of authorized software can occur either prior to - execution or at system startup. The identification of authorized - URLs for websites is addressed in [CA-3(5)](#ca-3.5) and [SC-7](#sc-7). - - name: objective - props: - - name: label - value: CM-07(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(05)(a) - class: sp800-53A - prose: "{{ insert: param, cm-07.05_odp.01 }} are identified;" - - name: objective - props: - - name: label - value: CM-07(05)(b) - class: sp800-53A - prose: a deny-all, permit-by-exception policy to allow the execution - of authorized software programs on the system is employed; - - name: objective - props: - - name: label - value: CM-07(05)(c) - class: sp800-53A - prose: "the list of authorized software programs is reviewed\ - \ and updated {{ insert: param, cm-07.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of software programs authorized to execute on the system - - - system component inventory - - - common secure configuration checklists - - - review and update records associated with list of authorized - software programs - - - change control records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - identifying software authorized to execute on the system - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for identifying, reviewing, and - updating programs authorized to execute on the system - - - organizational process for implementing authorized software - policy - - - automated mechanisms supporting and/or implementing authorized - software policy - - id: cm-7.6 - class: SP800-53-enhancement - title: Confined Environments with Limited Privileges - params: - - id: cm-07.06_odp - props: - - name: legacy-identifier - value: cm-7.6_prm_1 - - name: label - value: CM-07(06)_ODP - label: user-installed software - guidelines: - - prose: user-installed software required to be executed in a - confined environment is defined; - props: - - name: label - value: CM-07(06) - - name: sort-id - value: cm-07.06 - links: - - href: "#cm-7" - rel: required - - href: "#cm-11" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: cm-7.6_smt - name: statement - prose: "Require that the following user-installed software execute\ - \ in a confined physical or virtual machine environment with limited\ - \ privileges: {{ insert: param, cm-07.06_odp }}." - - id: cm-7.6_gdn - name: guidance - prose: Organizations identify software that may be of concern regarding - its origin or potential for containing malicious code. For this - type of software, user installations occur in confined environments - of operation to limit or contain damage from malicious code that - may be executed. - - name: objective - props: - - name: label - value: CM-07(06) - class: sp800-53A - prose: "{{ insert: param, cm-07.06_odp }} is required to be executed\ - \ in a confined physical or virtual machine environment with limited\ - \ privileges." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - list or record of software required to execute in a confined - environment - - - system component inventory - - - common secure configuration checklists - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - identifying and/or managing user-installed software and - associated privileges - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for identifying user-installed - software required to execute in a confined environment - - - automated mechanisms supporting and/or implementing the confinement - of user-installed software to physical or virtual machine - environments - - - automated mechanisms supporting and/or implementing privilege - limitations on user-installed software - - id: cm-7.7 - class: SP800-53-enhancement - title: Code Execution in Protected Environments - params: - - id: cm-07.07_odp - props: - - name: legacy-identifier - value: cm-7.7_prm_1 - - name: label - value: CM-07(07)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to explicitly approve execution of - binary or machine-executable code is/are defined; - props: - - name: label - value: CM-07(07) - - name: sort-id - value: cm-07.07 - links: - - href: "#cm-7" - rel: required - - href: "#cm-10" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: cm-7.7_smt - name: statement - prose: "Allow execution of binary or machine-executable code only\ - \ in confined physical or virtual machine environments and with\ - \ the explicit approval of {{ insert: param, cm-07.07_odp }} when\ - \ such code is:" - parts: - - id: cm-7.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Obtained from sources with limited or no warranty; and/or - - id: cm-7.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Without the provision of source code. - - id: cm-7.7_gdn - name: guidance - prose: Code execution in protected environments applies to all sources - of binary or machine-executable code, including commercial software - and firmware and open-source software. - - name: objective - props: - - name: label - value: CM-07(07) - class: sp800-53A - prose: the execution of binary or machine-executable code is only - allowed in confined physical or virtual machine environments; - parts: - - name: objective - props: - - name: label - value: CM-07(07)(a) - class: sp800-53A - prose: "the execution of binary or machine-executable code obtained\ - \ from sources with limited or no warranty is only allowed\ - \ with the explicit approval of {{ insert: param, cm-07.07_odp\ - \ }};" - - name: objective - props: - - name: label - value: CM-07(07)(b) - class: sp800-53A - prose: "the execution of binary or machine-executable code without\ - \ the provision of source code is only allowed with the explicit\ - \ approval of {{ insert: param, cm-07.07_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system design documentation - - - system configuration settings and associated documentation - - - list or record of binary or machine-executable code - - - system component inventory - - - common secure configuration checklists - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - approving execution of binary or machine-executable code - - - organizational personnel with information security responsibilities - - - organizational personnel with software management responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for approving execution of binary - or machine-executable code - - - organizational process for confining binary or machine-executable - code to physical or virtual machine environments - - - automated mechanisms supporting and/or implementing the confinement - of binary or machine-executable code to physical or virtual - machine environments - - id: cm-7.8 - class: SP800-53-enhancement - title: Binary or Machine Executable Code - props: - - name: label - value: CM-07(08) - - name: sort-id - value: cm-07.08 - links: - - href: "#cm-7" - rel: required - - href: "#sa-5" - rel: related - - href: "#sa-22" - rel: related - parts: - - id: cm-7.8_smt - name: statement - parts: - - id: cm-7.8_smt.a - name: item - props: - - name: label - value: (a) - prose: Prohibit the use of binary or machine-executable code - from sources with limited or no warranty or without the provision - of source code; and - - id: cm-7.8_smt.b - name: item - props: - - name: label - value: (b) - prose: Allow exceptions only for compelling mission or operational - requirements and with the approval of the authorizing official. - - id: cm-7.8_gdn - name: guidance - prose: Binary or machine executable code applies to all sources - of binary or machine-executable code, including commercial software - and firmware and open-source software. Organizations assess software - products without accompanying source code or from sources with - limited or no warranty for potential security impacts. The assessments - address the fact that software products without the provision - of source code may be difficult to review, repair, or extend. - In addition, there may be no owners to make such repairs on behalf - of organizations. If open-source software is used, the assessments - address the fact that there is no warranty, the open-source software - could contain back doors or malware, and there may be no support - available. - - name: objective - props: - - name: label - value: CM-07(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(08)(a) - class: sp800-53A - prose: the use of binary or machine-executable code is prohibited - when it originates from sources with limited or no warranty - or without the provision of source code; - - name: objective - props: - - name: label - value: CM-07(08)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(08)(b)[01] - class: sp800-53A - prose: exceptions to the prohibition of binary or machine-executable - code from sources with limited or no warranty or without - the provision of source code are allowed only for compelling - mission or operational requirements; - - name: objective - props: - - name: label - value: CM-07(08)(b)[02] - class: sp800-53A - prose: exceptions to the prohibition of binary or machine-executable - code from sources with limited or no warranty or without - the provision of source code are allowed only with the - approval of the authorizing official. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing least functionality in the system - - - configuration management plan - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - list or record of binary or machine-executable code - - - system component inventory - - - common secure configuration checklists - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - determining mission and operational requirements - - - authorizing official for the system - - - organizational personnel with information security responsibilities - - - organizational personnel with software management responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for approving execution of binary - or machine-executable code - - - automated mechanisms supporting and/or implementing the prohibition - of binary or machine-executable code - - id: cm-7.9 - class: SP800-53-enhancement - title: Prohibiting The Use of Unauthorized Hardware - params: - - id: cm-07.09_odp.01 - props: - - name: legacy-identifier - value: cm-7.9_prm_1 - - name: label - value: CM-07(09)_ODP[01] - label: hardware components authorized for system use - guidelines: - - prose: hardware components authorized for system use are defined; - - id: cm-07.09_odp.02 - props: - - name: legacy-identifier - value: cm-7.9_prm_2 - - name: label - value: CM-07(09)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to review and update the list of authorized - hardware components is defined; - props: - - name: label - value: CM-07(09) - - name: sort-id - value: cm-07.09 - links: - - href: "#cm-7" - rel: required - parts: - - id: cm-7.9_smt - name: statement - parts: - - id: cm-7.9_smt.a - name: item - props: - - name: label - value: (a) - prose: "Identify {{ insert: param, cm-07.09_odp.01 }};" - - id: cm-7.9_smt.b - name: item - props: - - name: label - value: (b) - prose: Prohibit the use or connection of unauthorized hardware - components; - - id: cm-7.9_smt.c - name: item - props: - - name: label - value: (c) - prose: "Review and update the list of authorized hardware components\ - \ {{ insert: param, cm-07.09_odp.02 }}." - - id: cm-7.9_gdn - name: guidance - prose: Hardware components provide the foundation for organizational - systems and the platform for the execution of authorized software - programs. Managing the inventory of hardware components and controlling - which hardware components are permitted to be installed or connected - to organizational systems is essential in order to provide adequate - security. - - name: objective - props: - - name: label - value: CM-07(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-07(09)(a) - class: sp800-53A - prose: "{{ insert: param, cm-07.09_odp.01 }} are identified;" - - name: objective - props: - - name: label - value: CM-07(09)(b) - class: sp800-53A - prose: the use or connection of unauthorized hardware components - is prohibited; - - name: objective - props: - - name: label - value: CM-07(09)(c) - class: sp800-53A - prose: "the list of authorized hardware components is reviewed\ - \ and updated {{ insert: param, cm-07.09_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-07(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - network connection policy and procedures - - configuration management plan - - system security plan - - system design documentation - - system component inventory - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-07(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system hardware management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-07(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for approving execution of binary - or machine-executable code - - - automated mechanisms supporting and/or implementing the prohibition - of binary or machine-executable code - - id: cm-8 - class: SP800-53 - title: System Component Inventory - params: - - id: cm-08_odp.01 - props: - - name: legacy-identifier - value: cm-8_prm_1 - - name: label - value: CM-08_ODP[01] - label: information deemed necessary to achieve effective system component - accountability - guidelines: - - prose: information deemed necessary to achieve effective system - component accountability is defined; - - id: cm-08_odp.02 - props: - - name: legacy-identifier - value: cm-8_prm_2 - - name: label - value: CM-08_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to review and update the system component - inventory is defined; - props: - - name: label - value: CM-08 - - name: sort-id - value: cm-08 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#70402863-5078-43af-9a6c-e11b0f3ec370" - rel: reference - - href: "#996241f8-f692-42d5-91f1-ce8b752e39e6" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-20" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: cm-8_smt - name: statement - parts: - - id: cm-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and document an inventory of system components that:" - parts: - - id: cm-8_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Accurately reflects the system; - - id: cm-8_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Includes all components within the system; - - id: cm-8_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Does not include duplicate accounting of components or - components assigned to any other system; - - id: cm-8_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Is at the level of granularity deemed necessary for tracking - and reporting; and - - id: cm-8_smt.a.5 - name: item - props: - - name: label - value: "05." - prose: "Includes the following information to achieve system\ - \ component accountability: {{ insert: param, cm-08_odp.01\ - \ }} ; and" - - id: cm-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the system component inventory {{ insert:\ - \ param, cm-08_odp.02 }}." - - id: cm-8_gdn - name: guidance - prose: >- - System components are discrete, identifiable information - technology assets that include hardware, software, and firmware. - Organizations may choose to implement centralized system - component inventories that include components from all - organizational systems. In such situations, organizations ensure - that the inventories include system-specific information - required for component accountability. The information necessary - for effective accountability of system components includes the - system name, software owners, software version numbers, hardware - inventory specifications, software license information, and for - networked components, the machine names and network addresses - across all implemented protocols (e.g., IPv4, IPv6). Inventory - specifications include date of receipt, cost, model, serial - number, manufacturer, supplier information, component type, and - physical location. - - - Preventing duplicate accounting of system components addresses the - lack of accountability that occurs when component ownership and system - association is not known, especially in large or complex connected - systems. Effective prevention of duplicate accounting of system components - necessitates use of a unique identifier for each component. For software - inventory, centrally managed software that is accessed via other systems - is addressed as a component of the system on which it is installed - and managed. Software installed on multiple organizational systems - and managed at the system level is addressed for each individual system - and may appear more than once in a centralized component inventory, - necessitating a system association for each software instance in the - centralized inventory to avoid duplicate accounting of components. - Scanning systems implementing multiple network protocols (e.g., IPv4 - and IPv6) can result in duplicate components being identified in different - address spaces. The implementation of [CM-8(7)](#cm-8.7) can help - to eliminate duplicate accounting of components. - - name: objective - props: - - name: label - value: CM-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08a.01 - class: sp800-53A - prose: an inventory of system components that accurately reflects - the system is developed and documented; - - name: objective - props: - - name: label - value: CM-08a.02 - class: sp800-53A - prose: an inventory of system components that includes all components - within the system is developed and documented; - - name: objective - props: - - name: label - value: CM-08a.03 - class: sp800-53A - prose: an inventory of system components that does not include - duplicate accounting of components or components assigned - to any other system is developed and documented; - - name: objective - props: - - name: label - value: CM-08a.04 - class: sp800-53A - prose: an inventory of system components that is at the level - of granularity deemed necessary for tracking and reporting - is developed and documented; - - name: objective - props: - - name: label - value: CM-08a.05 - class: sp800-53A - prose: "an inventory of system components that includes {{ insert:\ - \ param, cm-08_odp.01 }} is developed and documented;" - - name: objective - props: - - name: label - value: CM-08b. - class: sp800-53A - prose: "the system component inventory is reviewed and updated {{\ - \ insert: param, cm-08_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing system component inventory - - configuration management plan - - system security plan - - system design documentation - - system component inventory - - inventory reviews and update records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the system component - inventory - - - automated mechanisms supporting and/or implementing system component - inventory - controls: - - id: cm-8.1 - class: SP800-53-enhancement - title: Updates During Installation and Removal - props: - - name: label - value: CM-08(01) - - name: sort-id - value: cm-08.01 - links: - - href: "#cm-8" - rel: required - - href: "#pm-16" - rel: related - parts: - - id: cm-8.1_smt - name: statement - prose: Update the inventory of system components as part of component - installations, removals, and system updates. - - id: cm-8.1_gdn - name: guidance - prose: Organizations can improve the accuracy, completeness, and - consistency of system component inventories if the inventories - are updated as part of component installations or removals or - during general system updates. If inventories are not updated - at these key times, there is a greater likelihood that the information - will not be appropriately captured and documented. System updates - include hardware, software, and firmware components. - - name: objective - props: - - name: label - value: CM-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(01)[01] - class: sp800-53A - prose: the inventory of system components is updated as part - of component installations; - - name: objective - props: - - name: label - value: CM-08(01)[02] - class: sp800-53A - prose: the inventory of system components is updated as part - of component removals; - - name: objective - props: - - name: label - value: CM-08(01)[03] - class: sp800-53A - prose: the inventory of system components is updated as part - of system updates. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing system component inventory - - configuration management plan - - system security plan - - system component inventory - - inventory reviews and update records - - change control records - - component installation records - - component removal records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - updating responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for updating the system - component inventory - - - automated mechanisms supporting and/or implementing system - component inventory updates - - id: cm-8.2 - class: SP800-53-enhancement - title: Automated Maintenance - params: - - id: cm-8.2_prm_1 - props: - - name: aggregates - value: cm-08.02_odp.01 - label: organization-defined automated mechanisms - - id: cm-08.02_odp.01 - props: - - name: label - value: CM-08(02)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to maintain the currency of - the system component inventory are defined; - - id: cm-08.02_odp.02 - props: - - name: label - value: CM-08(02)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to maintain the completeness - of the system component inventory are defined; - - id: cm-08.02_odp.03 - props: - - name: label - value: CM-08(02)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to maintain the accuracy of - the system component inventory are defined; - - id: cm-08.02_odp.04 - props: - - name: label - value: CM-08(02)_ODP[04] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to maintain the availability - of the system component inventory are defined; - props: - - name: label - value: CM-08(02) - - name: sort-id - value: cm-08.02 - links: - - href: "#cm-8" - rel: required - parts: - - id: cm-8.2_smt - name: statement - prose: "Maintain the currency, completeness, accuracy, and availability\ - \ of the inventory of system components using {{ insert: param,\ - \ cm-8.2_prm_1 }}." - - id: cm-8.2_gdn - name: guidance - prose: Organizations maintain system inventories to the extent feasible. - For example, virtual machines can be difficult to monitor because - such machines are not visible to the network when not in use. - In such cases, organizations maintain as up-to-date, complete, - and accurate an inventory as is deemed reasonable. Automated maintenance - can be achieved by the implementation of [CM-2(2)](#cm-2.2) for - organizations that combine system component inventory and baseline - configuration activities. - - name: objective - props: - - name: label - value: CM-08(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(02)[01] - class: sp800-53A - prose: "{{ insert: param, cm-08.02_odp.01 }} are used to maintain\ - \ the currency of the system component inventory;" - - name: objective - props: - - name: label - value: CM-08(02)[02] - class: sp800-53A - prose: "{{ insert: param, cm-08.02_odp.02 }} are used to maintain\ - \ the completeness of the system component inventory;" - - name: objective - props: - - name: label - value: CM-08(02)[03] - class: sp800-53A - prose: "{{ insert: param, cm-08.02_odp.03 }} are used to maintain\ - \ the accuracy of the system component inventory;" - - name: objective - props: - - name: label - value: CM-08(02)[04] - class: sp800-53A - prose: "{{ insert: param, cm-08.02_odp.04 }} are used to maintain\ - \ the availability of the system component inventory." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing system component inventory - - configuration management plan - - system design documentation - - system security plan - - system component inventory - - change control records - - system maintenance records - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for maintaining the system - component inventory - - - automated mechanisms supporting and/or implementing the system - component inventory - - id: cm-8.3 - class: SP800-53-enhancement - title: Automated Unauthorized Component Detection - params: - - id: cm-8.3_prm_1 - props: - - name: aggregates - value: cm-08.03_odp.01 - label: organization-defined automated mechanisms - - id: cm-08.03_odp.01 - props: - - name: label - value: CM-08(03)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to detect the presence of unauthorized - hardware within the system are defined; - - id: cm-08.03_odp.02 - props: - - name: label - value: CM-08(03)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to detect the presence of unauthorized - software within the system are defined; - - id: cm-08.03_odp.03 - props: - - name: label - value: CM-08(03)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to detect the presence of unauthorized - firmware within the system are defined; - - id: cm-08.03_odp.04 - props: - - name: legacy-identifier - value: cm-8.3_prm_2 - - name: label - value: CM-08(03)_ODP[04] - label: frequency - guidelines: - - prose: frequency at which automated mechanisms are used to detect - the presence of unauthorized system components within the - system is defined; - - id: cm-08.03_odp.05 - props: - - name: legacy-identifier - value: cm-8.3_prm_3 - - name: label - value: CM-08(03)_ODP[05] - select: - how-many: one-or-more - choice: - - disable network access by unauthorized components - - isolate unauthorized components - - "notify{{ insert: param, cm-08.03_odp.06 }} " - - id: cm-08.03_odp.06 - props: - - name: legacy-identifier - value: cm-8.3_prm_4 - - name: label - value: CM-08(03)_ODP[06] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified when unauthorized components - are detected is/are defined (if selected); - props: - - name: label - value: CM-08(03) - - name: sort-id - value: cm-08.03 - links: - - href: "#cm-8" - rel: required - - href: "#ac-19" - rel: related - - href: "#ca-7" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-39" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-8.3_smt - name: statement - parts: - - id: cm-8.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect the presence of unauthorized hardware, software,\ - \ and firmware components within the system using {{ insert:\ - \ param, cm-8.3_prm_1 }} {{ insert: param, cm-08.03_odp.04\ - \ }} ; and" - - id: cm-8.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions when unauthorized components\ - \ are detected: {{ insert: param, cm-08.03_odp.05 }}." - - id: cm-8.3_gdn - name: guidance - prose: 'Automated unauthorized component detection is applied in - addition to the monitoring for unauthorized remote connections - and mobile devices. Monitoring for unauthorized system components - may be accomplished on an ongoing basis or by the periodic scanning - of systems for that purpose. Automated mechanisms may also be - used to prevent the connection of unauthorized components (see - [CM-7(9)](#cm-7.9) ). Automated mechanisms can be implemented - in systems or in separate system components. When acquiring and - implementing automated mechanisms, organizations consider whether - such mechanisms depend on the ability of the system component - to support an agent or supplicant in order to be detected since - some types of components do not have or cannot support agents - (e.g., IoT devices, sensors). Isolation can be achieved , for - example, by placing unauthorized system components in separate - domains or subnets or quarantining such components. This type - of component isolation is commonly referred to as "sandboxing." ' - - name: objective - props: - - name: label - value: CM-08(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(03)(a)[01] - class: sp800-53A - prose: "the presence of unauthorized hardware within the\ - \ system is detected using {{ insert: param, cm-08.03_odp.01\ - \ }} {{ insert: param, cm-08.03_odp.04 }};" - - name: objective - props: - - name: label - value: CM-08(03)(a)[02] - class: sp800-53A - prose: "the presence of unauthorized software within the\ - \ system is detected using {{ insert: param, cm-08.03_odp.02\ - \ }} {{ insert: param, cm-08.03_odp.04 }};" - - name: objective - props: - - name: label - value: CM-08(03)(a)[03] - class: sp800-53A - prose: "the presence of unauthorized firmware within the\ - \ system is detected using {{ insert: param, cm-08.03_odp.03\ - \ }} {{ insert: param, cm-08.03_odp.04 }};" - - name: objective - props: - - name: label - value: CM-08(03)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(03)(b)[01] - class: sp800-53A - prose: "{{ insert: param, cm-08.03_odp.05 }} are taken when\ - \ unauthorized hardware is detected;" - - name: objective - props: - - name: label - value: CM-08(03)(b)[02] - class: sp800-53A - prose: "{{ insert: param, cm-08.03_odp.05 }} are taken when\ - \ unauthorized software is detected;" - - name: objective - props: - - name: label - value: CM-08(03)(b)[03] - class: sp800-53A - prose: "{{ insert: param, cm-08.03_odp.05 }} are taken when\ - \ unauthorized firmware is detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system component inventory - - - configuration management plan - - - system design documentation - - - system security plan - - - system component inventory - - - change control records - - - alerts/notifications of unauthorized components within the - system - - - system monitoring records - - - system maintenance records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with responsibilities for managing - the automated mechanisms implementing unauthorized system - component detection - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for detection of unauthorized - system components - - - organizational processes for taking action when unauthorized - system components are detected - - - automated mechanisms supporting and/or implementing the detection - of unauthorized system components - - - automated mechanisms supporting and/or implementing actions - taken when unauthorized system components are detected - - id: cm-8.4 - class: SP800-53-enhancement - title: Accountability Information - params: - - id: cm-08.04_odp - props: - - name: legacy-identifier - value: cm-8.4_prm_1 - - name: label - value: CM-08(04)_ODP - select: - how-many: one-or-more - choice: - - name - - position - - role - props: - - name: label - value: CM-08(04) - - name: sort-id - value: cm-08.04 - links: - - href: "#cm-8" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: cm-8.4_smt - name: statement - prose: "Include in the system component inventory information, a\ - \ means for identifying by {{ insert: param, cm-08.04_odp }} ,\ - \ individuals responsible and accountable for administering those\ - \ components." - - id: cm-8.4_gdn - name: guidance - prose: Identifying individuals who are responsible and accountable - for administering system components ensures that the assigned - components are properly administered and that organizations can - contact those individuals if some action is required (e.g., when - the component is determined to be the source of a breach, needs - to be recalled or replaced, or needs to be relocated). - - name: objective - props: - - name: label - value: CM-08(04) - class: sp800-53A - prose: "individuals responsible and accountable for administering\ - \ system components are identified by {{ insert: param, cm-08.04_odp\ - \ }} in the system component inventory." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing system component inventory - - configuration management plan - - system security plan - - system component inventory - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the system - component inventory - - - automated mechanisms supporting and/or implementing the system - component inventory - - id: cm-8.5 - class: SP800-53-enhancement - title: No Duplicate Accounting of Components - props: - - name: label - value: CM-08(05) - - name: sort-id - value: cm-08.05 - - name: status - value: withdrawn - links: - - href: "#cm-8" - rel: incorporated-into - - id: cm-8.6 - class: SP800-53-enhancement - title: Assessed Configurations and Approved Deviations - props: - - name: label - value: CM-08(06) - - name: sort-id - value: cm-08.06 - links: - - href: "#cm-8" - rel: required - parts: - - id: cm-8.6_smt - name: statement - prose: Include assessed component configurations and any approved - deviations to current deployed configurations in the system component - inventory. - - id: cm-8.6_gdn - name: guidance - prose: Assessed configurations and approved deviations focus on - configuration settings established by organizations for system - components, the specific components that have been assessed to - determine compliance with the required configuration settings, - and any approved deviations from established configuration settings. - - name: objective - props: - - name: label - value: CM-08(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(06)[01] - class: sp800-53A - prose: assessed component configurations are included in the - system component inventory; - - name: objective - props: - - name: label - value: CM-08(06)[02] - class: sp800-53A - prose: any approved deviations to current deployed configurations - are included in the system component inventory. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system component inventory - - - configuration management plan - - - system security plan - - - system design documentation - - - system component inventory - - - system configuration settings and associated documentation - - - change control records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with assessment responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the system - component inventory - - - automated mechanisms supporting and/or implementing system - component inventory - - id: cm-8.7 - class: SP800-53-enhancement - title: Centralized Repository - props: - - name: label - value: CM-08(07) - - name: sort-id - value: cm-08.07 - links: - - href: "#cm-8" - rel: required - parts: - - id: cm-8.7_smt - name: statement - prose: Provide a centralized repository for the inventory of system - components. - - id: cm-8.7_gdn - name: guidance - prose: Organizations may implement centralized system component - inventories that include components from all organizational systems. - Centralized repositories of component inventories provide opportunities - for efficiencies in accounting for organizational hardware, software, - and firmware assets. Such repositories may also help organizations - rapidly identify the location and responsible individuals of components - that have been compromised, breached, or are otherwise in need - of mitigation actions. Organizations ensure that the resulting - centralized inventories include system-specific information required - for proper component accountability. - - name: objective - props: - - name: label - value: CM-08(07) - class: sp800-53A - prose: a centralized repository for the system component inventory - is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system component inventory - - - configuration management plan - - - system design documentation - - - system security plan - - - system component inventory - - - system configuration settings and associated documentation - - - change control records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >+ - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with security responsibilities - - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the system - component inventory - - - automated mechanisms supporting and/or implementing system - component inventory - - id: cm-8.8 - class: SP800-53-enhancement - title: Automated Location Tracking - params: - - id: cm-08.08_odp - props: - - name: legacy-identifier - value: cm-8.8_prm_1 - - name: label - value: CM-08(08)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms for tracking components are defined; - props: - - name: label - value: CM-08(08) - - name: sort-id - value: cm-08.08 - links: - - href: "#cm-8" - rel: required - parts: - - id: cm-8.8_smt - name: statement - prose: "Support the tracking of system components by geographic\ - \ location using {{ insert: param, cm-08.08_odp }}." - - id: cm-8.8_gdn - name: guidance - prose: The use of automated mechanisms to track the location of - system components can increase the accuracy of component inventories. - Such capability may help organizations rapidly identify the location - and responsible individuals of system components that have been - compromised, breached, or are otherwise in need of mitigation - actions. The use of tracking mechanisms can be coordinated with - senior agency officials for privacy if there are implications - that affect individual privacy. - - name: objective - props: - - name: label - value: CM-08(08) - class: sp800-53A - prose: "{{ insert: param, cm-08.08_odp }} are used to support the\ - \ tracking of system components by geographic location." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing system component inventory - - - configuration management plan - - - system design documentation - - - system component inventory - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the system - component inventory - - - automated mechanisms supporting and/or implementing system - component inventory - - - automated mechanisms supporting and/or implementing tracking - of components by geographic locations - - id: cm-8.9 - class: SP800-53-enhancement - title: Assignment of Components to Systems - params: - - id: cm-08.09_odp - props: - - name: legacy-identifier - value: cm-8.9_prm_1 - - name: label - value: CM-08(09)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles from which to receive an acknowledgement - is/are defined; - props: - - name: label - value: CM-08(09) - - name: sort-id - value: cm-08.09 - links: - - href: "#cm-8" - rel: required - parts: - - id: cm-8.9_smt - name: statement - parts: - - id: cm-8.9_smt.a - name: item - props: - - name: label - value: (a) - prose: Assign system components to a system; and - - id: cm-8.9_smt.b - name: item - props: - - name: label - value: (b) - prose: "Receive an acknowledgement from {{ insert: param, cm-08.09_odp\ - \ }} of this assignment." - - id: cm-8.9_gdn - name: guidance - prose: System components that are not assigned to a system may be - unmanaged, lack the required protection, and become an organizational - vulnerability. - - name: objective - props: - - name: label - value: CM-08(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-08(09)(a) - class: sp800-53A - prose: system components are assigned to a system; - - name: objective - props: - - name: label - value: CM-08(09)(b) - class: sp800-53A - prose: "an acknowledgement of the component assignment is received\ - \ from {{ insert: param, cm-08.09_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-08(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing system component inventory - - configuration management plan - - system security plan - - system design documentation - - system component inventory - - change control records - - acknowledgements of system component assignments - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-08(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component inventory - management responsibilities - - - system owner - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-08(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assigning components to - systems - - - organizational processes for acknowledging assignment of components - to systems - - - automated mechanisms implementing assignment of components - to the system - - - automated mechanisms implementing acknowledgment of assignment - of components to the system - - id: cm-9 - class: SP800-53 - title: Configuration Management Plan - params: - - id: cm-09_odp - props: - - name: legacy-identifier - value: cm-9_prm_1 - - name: label - value: CM-09_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to review and approve the configuration - management plan is/are defined; - props: - - name: label - value: CM-09 - - name: sort-id - value: cm-09 - links: - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-2" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-9_smt - name: statement - prose: "Develop, document, and implement a configuration management\ - \ plan for the system that:" - parts: - - id: cm-9_smt.a - name: item - props: - - name: label - value: a. - prose: Addresses roles, responsibilities, and configuration management - processes and procedures; - - id: cm-9_smt.b - name: item - props: - - name: label - value: b. - prose: Establishes a process for identifying configuration items - throughout the system development life cycle and for managing - the configuration of the configuration items; - - id: cm-9_smt.c - name: item - props: - - name: label - value: c. - prose: Defines the configuration items for the system and places - the configuration items under configuration management; - - id: cm-9_smt.d - name: item - props: - - name: label - value: d. - prose: "Is reviewed and approved by {{ insert: param, cm-09_odp\ - \ }} ; and" - - id: cm-9_smt.e - name: item - props: - - name: label - value: e. - prose: Protects the configuration management plan from unauthorized - disclosure and modification. - - id: cm-9_gdn - name: guidance - prose: >- - Configuration management activities occur throughout the system - development life cycle. As such, there are developmental - configuration management activities (e.g., the control of code - and software libraries) and operational configuration management - activities (e.g., control of installed components and how the - components are configured). Configuration management plans - satisfy the requirements in configuration management policies - while being tailored to individual systems. Configuration - management plans define processes and procedures for how - configuration management is used to support system development - life cycle activities. - - - Configuration management plans are generated during the development - and acquisition stage of the system development life cycle. The plans - describe how to advance changes through change management processes; - update configuration settings and baselines; maintain component inventories; - control development, test, and operational environments; and develop, - release, and update key documents. - - - Organizations can employ templates to help ensure the consistent and - timely development and implementation of configuration management - plans. Templates can represent a configuration management plan for - the organization with subsets of the plan implemented on a system - by system basis. Configuration management approval processes include - the designation of key stakeholders responsible for reviewing and - approving proposed changes to systems, and personnel who conduct security - and privacy impact analyses prior to the implementation of changes - to the systems. Configuration items are the system components, such - as the hardware, software, firmware, and documentation to be configuration-managed. - As systems continue through the system development life cycle, new - configuration items may be identified, and some existing configuration - items may no longer need to be under configuration control. - - name: objective - props: - - name: label - value: CM-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-09[01] - class: sp800-53A - prose: a configuration management plan for the system is developed - and documented; - - name: objective - props: - - name: label - value: CM-09[02] - class: sp800-53A - prose: a configuration management plan for the system is implemented; - - name: objective - props: - - name: label - value: CM-09a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-09a.[01] - class: sp800-53A - prose: the configuration management plan addresses roles; - - name: objective - props: - - name: label - value: CM-09a.[02] - class: sp800-53A - prose: the configuration management plan addresses responsibilities; - - name: objective - props: - - name: label - value: CM-09a.[03] - class: sp800-53A - prose: the configuration management plan addresses configuration - management processes and procedures; - - name: objective - props: - - name: label - value: CM-09b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-09b.[01] - class: sp800-53A - prose: the configuration management plan establishes a process - for identifying configuration items throughout the system - development life cycle; - - name: objective - props: - - name: label - value: CM-09b.[02] - class: sp800-53A - prose: the configuration management plan establishes a process - for managing the configuration of the configuration items; - - name: objective - props: - - name: label - value: CM-09c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-09c.[01] - class: sp800-53A - prose: the configuration management plan defines the configuration - items for the system; - - name: objective - props: - - name: label - value: CM-09c.[02] - class: sp800-53A - prose: the configuration management plan places the configuration - items under configuration management; - - name: objective - props: - - name: label - value: CM-09d. - class: sp800-53A - prose: "the configuration management plan is reviewed and approved\ - \ by {{ insert: param, cm-09_odp }};" - - name: objective - props: - - name: label - value: CM-09e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-09e.[01] - class: sp800-53A - prose: the configuration management plan is protected from unauthorized - disclosure; - - name: objective - props: - - name: label - value: CM-09e.[02] - class: sp800-53A - prose: the configuration management plan is protected from unauthorized - modification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing configuration management planning - - configuration management plan - - system design documentation - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing the configuration management plan - - - organizational personnel with responsibilities for implementing - and managing processes defined in the configuration management - plan - - - organizational personnel with responsibilities for protecting - the configuration management plan - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for developing and documenting the - configuration management plan - - - organizational processes for identifying and managing configuration - items - - - organizational processes for protecting the configuration management - plan - - - automated mechanisms implementing the configuration management - plan - - - automated mechanisms for managing configuration items - - - automated mechanisms for protecting the configuration management - plan - controls: - - id: cm-9.1 - class: SP800-53-enhancement - title: Assignment of Responsibility - props: - - name: label - value: CM-09(01) - - name: sort-id - value: cm-09.01 - links: - - href: "#cm-9" - rel: required - parts: - - id: cm-9.1_smt - name: statement - prose: Assign responsibility for developing the configuration management - process to organizational personnel that are not directly involved - in system development. - - id: cm-9.1_gdn - name: guidance - prose: In the absence of dedicated configuration management teams - assigned within organizations, system developers may be tasked - with developing configuration management processes using personnel - who are not directly involved in system development or system - integration. This separation of duties ensures that organizations - establish and maintain a sufficient degree of independence between - the system development and integration processes and configuration - management processes to facilitate quality control and more effective - oversight. - - name: objective - props: - - name: label - value: CM-09(01) - class: sp800-53A - prose: the responsibility for developing the configuration management - process is assigned to organizational personnel who are not directly - involved in system development. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing responsibilities for configuration management - process development - - - configuration management plan - - - system security plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - configuration management process development - - - organizational personnel with information security responsibilities - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - props: - - name: label - value: CM-10 - - name: sort-id - value: cm-10 - links: - - href: "#ac-17" - rel: related - - href: "#au-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#pm-30" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-10_smt - name: statement - parts: - - id: cm-10_smt.a - name: item - props: - - name: label - value: a. - prose: Use software and associated documentation in accordance with - contract agreements and copyright laws; - - id: cm-10_smt.b - name: item - props: - - name: label - value: b. - prose: Track the use of software and associated documentation protected - by quantity licenses to control copying and distribution; and - - id: cm-10_smt.c - name: item - props: - - name: label - value: c. - prose: Control and document the use of peer-to-peer file sharing - technology to ensure that this capability is not used for the - unauthorized distribution, display, performance, or reproduction - of copyrighted work. - - id: cm-10_gdn - name: guidance - prose: Software license tracking can be accomplished by manual or automated - methods, depending on organizational needs. Examples of contract agreements - include software license agreements and non-disclosure agreements. - - name: objective - props: - - name: label - value: CM-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-10a. - class: sp800-53A - prose: software and associated documentation are used in accordance - with contract agreements and copyright laws; - - name: objective - props: - - name: label - value: CM-10b. - class: sp800-53A - prose: the use of software and associated documentation protected - by quantity licenses is tracked to control copying and distribution; - - name: objective - props: - - name: label - value: CM-10c. - class: sp800-53A - prose: the use of peer-to-peer file sharing technology is controlled - and documented to ensure that peer-to-peer file sharing is not - used for the unauthorized distribution, display, performance, - or reproduction of copyrighted work. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - software usage restrictions - - software contract agreements and copyright laws - - site license documentation - - list of software usage restrictions - - software license tracking reports - - configuration management plan - - system security plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel operating, using, and/or - maintaining the system - - - organizational personnel with software license management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-10-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for tracking the use of software - protected by quantity licenses - - - organizational processes for controlling/documenting the use of - peer-to-peer file sharing technology - - - automated mechanisms implementing software license tracking - - - automated mechanisms implementing and controlling the use of peer-to-peer - files sharing technology - controls: - - id: cm-10.1 - class: SP800-53-enhancement - title: Open-source Software - params: - - id: cm-10.01_odp - props: - - name: legacy-identifier - value: cm-10.1_prm_1 - - name: label - value: CM-10(01)_ODP - label: restrictions - guidelines: - - prose: restrictions on the use of open-source software are defined; - props: - - name: label - value: CM-10(01) - - name: sort-id - value: cm-10.01 - links: - - href: "#cm-10" - rel: required - - href: "#si-7" - rel: related - parts: - - id: cm-10.1_smt - name: statement - prose: "Establish the following restrictions on the use of open-source\ - \ software: {{ insert: param, cm-10.01_odp }}." - - id: cm-10.1_gdn - name: guidance - prose: Open-source software refers to software that is available - in source code form. Certain software rights normally reserved - for copyright holders are routinely provided under software license - agreements that permit individuals to study, change, and improve - the software. From a security perspective, the major advantage - of open-source software is that it provides organizations with - the ability to examine the source code. In some cases, there is - an online community associated with the software that inspects, - tests, updates, and reports on issues found in software on an - ongoing basis. However, remediating vulnerabilities in open-source - software may be problematic. There may also be licensing issues - associated with open-source software, including the constraints - on derivative use of such software. Open-source software that - is available only in binary form may increase the level of risk - in using such software. - - name: objective - props: - - name: label - value: CM-10(01) - class: sp800-53A - prose: "{{ insert: param, cm-10.01_odp }} are established for the\ - \ use of open-source software." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-10(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - software usage restrictions - - software contract agreements and copyright laws - - site license documentation - - list of software usage restrictions - - software license tracking reports - - configuration management plan - - system security plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-10(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel operating, using, and/or - maintaining the system - - - organizational personnel with software license management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-10(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for tracking the use of - software protected by quantity licenses - - - organizational processes for controlling/documenting the use - of peer-to-peer file sharing technology - - - automated mechanisms implementing software license tracking - - - automated mechanisms implementing and controlling the use - of peer-to-peer files sharing technology - - id: cm-11 - class: SP800-53 - title: User-installed Software - params: - - id: cm-11_odp.01 - props: - - name: legacy-identifier - value: cm-11_prm_1 - - name: label - value: CM-11_ODP[01] - label: policies - guidelines: - - prose: policies governing the installation of software by users - are defined; - - id: cm-11_odp.02 - props: - - name: legacy-identifier - value: cm-11_prm_2 - - name: label - value: CM-11_ODP[02] - label: methods - guidelines: - - prose: methods used to enforce software installation policies are - defined; - - id: cm-11_odp.03 - props: - - name: legacy-identifier - value: cm-11_prm_3 - - name: label - value: CM-11_ODP[03] - label: frequency - guidelines: - - prose: frequency with which to monitor compliance is defined; - props: - - name: label - value: CM-11 - - name: sort-id - value: cm-11 - links: - - href: "#ac-3" - rel: related - - href: "#au-6" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-11_smt - name: statement - parts: - - id: cm-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish {{ insert: param, cm-11_odp.01 }} governing the\ - \ installation of software by users;" - - id: cm-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Enforce software installation policies through the following\ - \ methods: {{ insert: param, cm-11_odp.02 }} ; and" - - id: cm-11_smt.c - name: item - props: - - name: label - value: c. - prose: "Monitor policy compliance {{ insert: param, cm-11_odp.03\ - \ }}." - - id: cm-11_gdn - name: guidance - prose: If provided the necessary privileges, users can install software - in organizational systems. To maintain control over the software installed, - organizations identify permitted and prohibited actions regarding - software installation. Permitted software installations include updates - and security patches to existing software and downloading new applications - from organization-approved "app stores." Prohibited software installations - include software with unknown or suspect pedigrees or software that - organizations consider potentially malicious. Policies selected for - governing user-installed software are organization-developed or provided - by some external entity. Policy enforcement methods can include procedural - methods and automated methods. - - name: objective - props: - - name: label - value: CM-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-11a. - class: sp800-53A - prose: "{{ insert: param, cm-11_odp.01 }} governing the installation\ - \ of software by users are established;" - - name: objective - props: - - name: label - value: CM-11b. - class: sp800-53A - prose: "software installation policies are enforced through {{ insert:\ - \ param, cm-11_odp.02 }};" - - name: objective - props: - - name: label - value: CM-11c. - class: sp800-53A - prose: "compliance with {{ insert: param, cm-11_odp.01 }} is monitored\ - \ {{ insert: param, cm-11_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-11-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Configuration management policy - - procedures addressing user-installed software - - configuration management plan - - system security plan - - system design documentation - - system configuration settings and associated documentation - - list of rules governing user installed software - - system monitoring records - - system audit records - - continuous monitoring strategy - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for governing - user-installed software - - - organizational personnel operating, using, and/or maintaining - the system - - - organizational personnel monitoring compliance with user-installed - software policy - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-11-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing user-installed software - on the system - - - automated mechanisms enforcing policies and methods for governing - the installation of software by users - - - automated mechanisms monitoring policy compliance - controls: - - id: cm-11.1 - class: SP800-53-enhancement - title: Alerts for Unauthorized Installations - props: - - name: label - value: CM-11(01) - - name: sort-id - value: cm-11.01 - - name: status - value: withdrawn - links: - - href: "#cm-8.3" - rel: incorporated-into - - id: cm-11.2 - class: SP800-53-enhancement - title: Software Installation with Privileged Status - props: - - name: label - value: CM-11(02) - - name: sort-id - value: cm-11.02 - links: - - href: "#cm-11" - rel: required - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: cm-11.2_smt - name: statement - prose: Allow user installation of software only with explicit privileged - status. - - id: cm-11.2_gdn - name: guidance - prose: Privileged status can be obtained, for example, by serving - in the role of system administrator. - - name: objective - props: - - name: label - value: CM-11(02) - class: sp800-53A - prose: user installation of software is allowed only with explicit - privileged status. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-11(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing user-installed software - - - configuration management plan - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - alerts/notifications of unauthorized software installations - - - system audit records - - - continuous monitoring strategy - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-11(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - governing user-installed software - - - organizational personnel operating, using, and/or maintaining - the system - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-11(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing user-installed - software on the system - - - automated mechanisms for prohibiting installation of software - without privileged status (e.g. access controls) - - id: cm-11.3 - class: SP800-53-enhancement - title: Automated Enforcement and Monitoring - params: - - id: cm-11.3_prm_1 - props: - - name: aggregates - value: cm-11.03_odp.01 - label: organization-defined automated mechanisms - - id: cm-11.03_odp.01 - props: - - name: label - value: CM-11(03)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to enforce compliance are defined; - - id: cm-11.03_odp.02 - props: - - name: label - value: CM-11(03)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to monitor compliance are defined; - props: - - name: label - value: CM-11(03) - - name: sort-id - value: cm-11.03 - links: - - href: "#cm-11" - rel: required - parts: - - id: cm-11.3_smt - name: statement - prose: "Enforce and monitor compliance with software installation\ - \ policies using {{ insert: param, cm-11.3_prm_1 }}." - - id: cm-11.3_gdn - name: guidance - prose: Organizations enforce and monitor compliance with software - installation policies using automated mechanisms to more quickly - detect and respond to unauthorized software installation which - can be an indicator of an internal or external hostile attack. - - name: objective - props: - - name: label - value: CM-11(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-11(03)[01] - class: sp800-53A - prose: "compliance with software installation policies is enforced\ - \ using {{ insert: param, cm-11.03_odp.01 }};" - - name: objective - props: - - name: label - value: CM-11(03)[02] - class: sp800-53A - prose: "compliance with software installation policies is monitored\ - \ using {{ insert: param, cm-11.03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-11(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing user-installed software - - - configuration management plan - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of rules governing user installed software - - - system monitoring records - - - system audit records - - - continuous monitoring strategy - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-11(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - governing user-installed software - - - organizational personnel operating, using, and/or maintaining - the system - - - organizational personnel monitoring compliance with user-installed - software policy - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-11(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing user-installed - software on the system - - - automated mechanisms enforcing policies on installation of - software by users - - - automated mechanisms monitoring policy compliance - - id: cm-12 - class: SP800-53 - title: Information Location - params: - - id: cm-12_odp - props: - - name: legacy-identifier - value: cm-12_prm_1 - - name: label - value: CM-12_ODP - label: information - guidelines: - - prose: information for which the location is to be identified and - documented is defined; - props: - - name: label - value: CM-12 - - name: sort-id - value: cm-12 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-23" - rel: related - - href: "#cm-8" - rel: related - - href: "#pm-5" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-12_smt - name: statement - parts: - - id: cm-12_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document the location of {{ insert: param,\ - \ cm-12_odp }} and the specific system components on which the\ - \ information is processed and stored;" - - id: cm-12_smt.b - name: item - props: - - name: label - value: b. - prose: Identify and document the users who have access to the system - and system components where the information is processed and stored; - and - - id: cm-12_smt.c - name: item - props: - - name: label - value: c. - prose: Document changes to the location (i.e., system or system - components) where the information is processed and stored. - - id: cm-12_gdn - name: guidance - prose: Information location addresses the need to understand where information - is being processed and stored. Information location includes identifying - where specific information types and information reside in system - components and how information is being processed so that information - flow can be understood and adequate protection and policy management - provided for such information and system components. The security - category of the information is also a factor in determining the controls - necessary to protect the information and the system component where - the information resides (see [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) - ). The location of the information and system components is also a - factor in the architecture and design of the system (see [SA-4](#sa-4), - [SA-8](#sa-8), [SA-17](#sa-17)). - - name: objective - props: - - name: label - value: CM-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-12a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-12a.[01] - class: sp800-53A - prose: "the location of {{ insert: param, cm-12_odp }} is identified\ - \ and documented;" - - name: objective - props: - - name: label - value: CM-12a.[02] - class: sp800-53A - prose: "the specific system components on which {{ insert: param,\ - \ cm-12_odp }} is processed are identified and documented;" - - name: objective - props: - - name: label - value: CM-12a.[03] - class: sp800-53A - prose: "the specific system components on which {{ insert: param,\ - \ cm-12_odp }} is stored are identified and documented;" - - name: objective - props: - - name: label - value: CM-12b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-12b.[01] - class: sp800-53A - prose: "the users who have access to the system and system components\ - \ where {{ insert: param, cm-12_odp }} is processed are identified\ - \ and documented;" - - name: objective - props: - - name: label - value: CM-12b.[02] - class: sp800-53A - prose: "the users who have access to the system and system components\ - \ where {{ insert: param, cm-12_odp }} is stored are identified\ - \ and documented;" - - name: objective - props: - - name: label - value: CM-12c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-12c.[01] - class: sp800-53A - prose: "changes to the location (i.e., system or system components)\ - \ where {{ insert: param, cm-12_odp }} is processed are documented;" - - name: objective - props: - - name: label - value: CM-12c.[02] - class: sp800-53A - prose: "changes to the location (i.e., system or system components)\ - \ where {{ insert: param, cm-12_odp }} is stored are documented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-12-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing identification and documentation of information - location - - - configuration management plan - - - system design documentation - - - system architecture documentation - - - PII inventory documentation - - - data mapping documentation - - - audit records - - - list of users with system and system component access - - - change control records - - - system component inventory - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for managing - information location and user access to information - - - organizational personnel with responsibilities for operating, - using, and/or maintaining the system - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-12-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing information location - - - automated mechanisms enforcing policies and methods for governing - information location - controls: - - id: cm-12.1 - class: SP800-53-enhancement - title: Automated Tools to Support Information Location - params: - - id: cm-12.01_odp.01 - props: - - name: legacy-identifier - value: cm-12.1_prm_1 - - name: label - value: CM-12(01)_ODP[01] - label: information by information type - guidelines: - - prose: information to be protected is defined by information - type; - - id: cm-12.01_odp.02 - props: - - name: legacy-identifier - value: cm-12.1_prm_2 - - name: label - value: CM-12(01)_ODP[02] - label: system components - guidelines: - - prose: system components where the information is located are - defined; - props: - - name: label - value: CM-12(01) - - name: sort-id - value: cm-12.01 - links: - - href: "#cm-12" - rel: required - parts: - - id: cm-12.1_smt - name: statement - prose: "Use automated tools to identify {{ insert: param, cm-12.01_odp.01\ - \ }} on {{ insert: param, cm-12.01_odp.02 }} to ensure controls\ - \ are in place to protect organizational information and individual\ - \ privacy." - - id: cm-12.1_gdn - name: guidance - prose: The use of automated tools helps to increase the effectiveness - and efficiency of the information location capability implemented - within the system. Automation also helps organizations manage - the data produced during information location activities and share - such information across the organization. The output of automated - information location tools can be used to guide and inform system - architecture and design decisions. - - name: objective - props: - - name: label - value: CM-12(01) - class: sp800-53A - prose: "automated tools are used to identify {{ insert: param, cm-12.01_odp.01\ - \ }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls\ - \ are in place to protect organizational information and individual\ - \ privacy." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing identification and documentation of - information location - - - configuration management plan - - - system design documentation - - - PII inventory documentation - - - data mapping documentation - - - change control records - - - system component inventory - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - managing information location - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing information location - - - automated mechanisms enforcing policies and methods for governing - information location - - - automated tools used to identify information on system components - - id: cm-13 - class: SP800-53 - title: Data Action Mapping - props: - - name: label - value: CM-13 - - name: sort-id - value: cm-13 - links: - - href: "#ac-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-27" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: cm-13_smt - name: statement - prose: Develop and document a map of system data actions. - - id: cm-13_gdn - name: guidance - prose: Data actions are system operations that process personally identifiable - information. The processing of such information encompasses the full - information life cycle, which includes collection, generation, transformation, - use, disclosure, retention, and disposal. A map of system data actions - includes discrete data actions, elements of personally identifiable - information being processed in the data actions, system components - involved in the data actions, and the owners or operators of the system - components. Understanding what personally identifiable information - is being processed (e.g., the sensitivity of the personally identifiable - information), how personally identifiable information is being processed - (e.g., if the data action is visible to the individual or is processed - in another part of the system), and by whom (e.g., individuals may - have different privacy perceptions based on the entity that is processing - the personally identifiable information) provides a number of contextual - factors that are important to assessing the degree of privacy risk - created by the system. Data maps can be illustrated in different ways, - and the level of detail may vary based on the mission and business - needs of the organization. The data map may be an overlay of any system - design artifact that the organization is using. The development of - this map may necessitate coordination between the privacy and security - programs regarding the covered data actions and the components that - are identified as part of the system. - - name: objective - props: - - name: label - value: CM-13 - class: sp800-53A - prose: a map of system data actions is developed and documented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-13-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures for identification and documentation of information - location - - - procedures for mapping data actions - - - configuration management plan - - - system security plan - - - privacy plan - - - system design documentation - - - PII inventory documentation - - - data mapping documentation - - - change control records - - - system component inventory - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for managing - information location - - - organizational personnel responsible for data action mapping - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-13-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing information location - - - automated mechanisms supporting or implementing data action mapping - - id: cm-14 - class: SP800-53 - title: Signed Components - params: - - id: cm-14_prm_1 - props: - - name: aggregates - value: cm-14_odp.01 - label: organization-defined software and firmware components - - id: cm-14_odp.01 - props: - - name: label - value: CM-14_ODP[01] - label: software components - guidelines: - - prose: software components requiring verification of a digitally - signed certificate before installation are defined; - - id: cm-14_odp.02 - props: - - name: label - value: CM-14_ODP[02] - label: firmware components - guidelines: - - prose: firmware components requiring verification of a digitally - signed certificate before installation are defined; - props: - - name: label - value: CM-14 - - name: sort-id - value: cm-14 - links: - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#cm-7" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-14_smt - name: statement - prose: "Prevent the installation of {{ insert: param, cm-14_prm_1 }}\ - \ without verification that the component has been digitally signed\ - \ using a certificate that is recognized and approved by the organization." - - id: cm-14_gdn - name: guidance - prose: Software and firmware components prevented from installation - unless signed with recognized and approved certificates include software - and firmware version updates, patches, service packs, device drivers, - and basic input/output system updates. Organizations can identify - applicable software and firmware components by type, by specific items, - or a combination of both. Digital signatures and organizational verification - of such signatures is a method of code authentication. - - name: objective - props: - - name: label - value: CM-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CM-14[01] - class: sp800-53A - prose: "the installation of {{ insert: param, cm-14_odp.01 }} is\ - \ prevented unless it is verified that the software has been digitally\ - \ signed using a certificate recognized and approved by the organization;" - - name: objective - props: - - name: label - value: CM-14[02] - class: sp800-53A - prose: "the installation of {{ insert: param, cm-14_odp.02 }} is\ - \ prevented unless it is verified that the firmware has been digitally\ - \ signed using a certificate recognized and approved by the organization." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CM-14-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Configuration management policy - - - procedures addressing digitally signed certificates for software - and firmware components - - - configuration management plan - - - system security plan - - - system design documentation - - - change control records - - - system component inventory - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CM-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for verifying - digitally signed certificates for software and firmware - component installation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CM-14-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes governing information location - - - automated mechanisms enforcing policies and methods for governing - information location - - - automated tools supporting or implementing digitally signatures - for software and firmware components - - - automated tools supporting or implementing verification of digital - signatures for software and firmware component installation - - id: cp - class: family - title: Contingency Planning - controls: - - id: cp-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: cp-1_prm_1 - props: - - name: aggregates - value: cp-01_odp.01 - label: organization-defined personnel or roles - - id: cp-01_odp.01 - props: - - name: label - value: CP-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the contingency planning policy - is to be disseminated is/are defined; - - id: cp-01_odp.02 - props: - - name: label - value: CP-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the contingency planning procedures - are to be disseminated is/are defined; - - id: cp-01_odp.03 - props: - - name: legacy-identifier - value: cp-1_prm_2 - - name: label - value: CP-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: cp-01_odp.04 - props: - - name: legacy-identifier - value: cp-1_prm_3 - - name: label - value: CP-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the contingency planning policy and - procedures is defined; - - id: cp-01_odp.05 - props: - - name: legacy-identifier - value: cp-1_prm_4 - - name: label - value: CP-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current contingency planning policy - is reviewed and updated is defined; - - id: cp-01_odp.06 - props: - - name: legacy-identifier - value: cp-1_prm_5 - - name: label - value: CP-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current contingency planning - policy to be reviewed and updated are defined; - - id: cp-01_odp.07 - props: - - name: legacy-identifier - value: cp-1_prm_6 - - name: label - value: CP-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current contingency planning procedures - are reviewed and updated is defined; - - id: cp-01_odp.08 - props: - - name: legacy-identifier - value: cp-1_prm_7 - - name: label - value: CP-01_ODP[08] - label: events - guidelines: - - prose: events that would require procedures to be reviewed and updated - are defined; - props: - - name: label - value: CP-01 - - name: sort-id - value: cp-01 - links: - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cp-1_smt - name: statement - parts: - - id: cp-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ cp-1_prm_1 }}:" - parts: - - id: cp-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, cp-01_odp.03 }} contingency planning\ - \ policy that:" - parts: - - id: cp-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: cp-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: cp-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the contingency - planning policy and the associated contingency planning controls; - - id: cp-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, cp-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the contingency\ - \ planning policy and procedures; and" - - id: cp-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current contingency planning:" - parts: - - id: cp-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, cp-01_odp.05 }} and following\ - \ {{ insert: param, cp-01_odp.06 }} ; and" - - id: cp-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, cp-01_odp.07 }} and following\ - \ {{ insert: param, cp-01_odp.08 }}." - - id: cp-1_gdn - name: guidance - prose: Contingency planning policy and procedures address the controls - in the CP family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of contingency - planning policy and procedures. Security and privacy program policies - and procedures at the organization level are preferable, in general, - and may obviate the need for mission- or system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or be represented by multiple policies - that reflect the complex nature of organizations. Procedures can be - established for security and privacy programs, for mission or business - processes, and for systems, if needed. Procedures describe how the - policies or controls are implemented and can be directed at the individual - or role that is the object of the procedure. Procedures can be documented - in system security and privacy plans or in one or more separate documents. - Events that may precipitate an update to contingency planning policy - and procedures include assessment or audit findings, security incidents - or breaches, or changes in laws, executive orders, directives, regulations, - policies, standards, and guidelines. Simply restating controls does - not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: CP-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01a.[01] - class: sp800-53A - prose: a contingency planning policy is developed and documented; - - name: objective - props: - - name: label - value: CP-01a.[02] - class: sp800-53A - prose: "the contingency planning policy is disseminated to {{\ - \ insert: param, cp-01_odp.01 }};" - - name: objective - props: - - name: label - value: CP-01a.[03] - class: sp800-53A - prose: contingency planning procedures to facilitate the implementation - of the contingency planning policy and associated contingency - planning controls are developed and documented; - - name: objective - props: - - name: label - value: CP-01a.[04] - class: sp800-53A - prose: "the contingency planning procedures are disseminated\ - \ to {{ insert: param, cp-01_odp.02 }};" - - name: objective - props: - - name: label - value: CP-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses purpose;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses scope;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses roles;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses responsibilities;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses management commitment;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: CP-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy addresses compliance;" - - name: objective - props: - - name: label - value: CP-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.03 }} contingency\ - \ planning policy is consistent with applicable laws,\ - \ Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: CP-01b. - class: sp800-53A - prose: "the {{ insert: param, cp-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the contingency\ - \ planning policy and procedures;" - - name: objective - props: - - name: label - value: CP-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01c.01[01] - class: sp800-53A - prose: "the current contingency planning policy is reviewed\ - \ and updated {{ insert: param, cp-01_odp.05 }};" - - name: objective - props: - - name: label - value: CP-01c.01[02] - class: sp800-53A - prose: "the current contingency planning policy is reviewed\ - \ and updated following {{ insert: param, cp-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: CP-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-01c.02[01] - class: sp800-53A - prose: "the current contingency planning procedures are\ - \ reviewed and updated {{ insert: param, cp-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: CP-01c.02[02] - class: sp800-53A - prose: "the current contingency planning procedures are\ - \ reviewed and updated following {{ insert: param, cp-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: cp-2 - class: SP800-53 - title: Contingency Plan - params: - - id: cp-2_prm_1 - props: - - name: aggregates - value: cp-02_odp.01 - label: organization-defined personnel or roles - - id: cp-2_prm_3 - props: - - name: aggregates - value: cp-02_odp.05 - label: organization-defined frequency - - id: cp-02_odp.01 - props: - - name: label - value: CP-02_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to review a contingency plan is/are defined; - - id: cp-02_odp.02 - props: - - name: label - value: CP-02_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to approve a contingency plan is/are defined; - - id: cp-02_odp.03 - props: - - name: legacy-identifier - value: cp-2_prm_2 - - name: label - value: CP-02_ODP[03] - label: key contingency personnel (identified by name and/or by role) - guidelines: - - prose: key contingency personnel (identified by name and/or by role) - to whom copies of the contingency plan are distributed are defined; - - id: cp-02_odp.04 - props: - - name: label - value: CP-02_ODP[04] - label: organizational elements - guidelines: - - prose: key contingency organizational elements to which copies of - the contingency plan are distributed are defined; - - id: cp-02_odp.05 - props: - - name: label - value: CP-02_ODP[05] - label: frequency - guidelines: - - prose: frequency of contingency plan review is defined; - - id: cp-02_odp.06 - props: - - name: legacy-identifier - value: cp-2_prm_4 - - name: label - value: CP-02_ODP[06] - label: key contingency personnel (identified by name and/or by role) - guidelines: - - prose: key contingency personnel (identified by name and/or by role) - to communicate changes to are defined; - - id: cp-02_odp.07 - props: - - name: label - value: CP-02_ODP[07] - label: organizational elements - guidelines: - - prose: key contingency organizational elements to communicate changes - to are defined; - props: - - name: label - value: CP-02 - - name: sort-id - value: cp-02 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#d4296805-2dca-4c63-a95f-eeccaa826aec" - rel: reference - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-11" - rel: related - - href: "#cp-13" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - - href: "#ma-6" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-20" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-23" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cp-2_smt - name: statement - parts: - - id: cp-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop a contingency plan for the system that:" - parts: - - id: cp-2_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Identifies essential mission and business functions and - associated contingency requirements; - - id: cp-2_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Provides recovery objectives, restoration priorities, - and metrics; - - id: cp-2_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Addresses contingency roles, responsibilities, assigned - individuals with contact information; - - id: cp-2_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Addresses maintaining essential mission and business - functions despite a system disruption, compromise, or failure; - - id: cp-2_smt.a.5 - name: item - props: - - name: label - value: "05." - prose: Addresses eventual, full system restoration without deterioration - of the controls originally planned and implemented; - - id: cp-2_smt.a.6 - name: item - props: - - name: label - value: "06." - prose: Addresses the sharing of contingency information; and - - id: cp-2_smt.a.7 - name: item - props: - - name: label - value: "07." - prose: "Is reviewed and approved by {{ insert: param, cp-2_prm_1\ - \ }};" - - id: cp-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the contingency plan to {{ insert:\ - \ param, cp-02_odp.03 }};" - - id: cp-2_smt.c - name: item - props: - - name: label - value: c. - prose: Coordinate contingency planning activities with incident - handling activities; - - id: cp-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Review the contingency plan for the system {{ insert: param,\ - \ cp-2_prm_3 }};" - - id: cp-2_smt.e - name: item - props: - - name: label - value: e. - prose: Update the contingency plan to address changes to the organization, - system, or environment of operation and problems encountered during - contingency plan implementation, execution, or testing; - - id: cp-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Communicate contingency plan changes to {{ insert: param,\ - \ cp-02_odp.06 }};" - - id: cp-2_smt.g - name: item - props: - - name: label - value: g. - prose: Incorporate lessons learned from contingency plan testing, - training, or actual contingency activities into contingency testing - and training; and - - id: cp-2_smt.h - name: item - props: - - name: label - value: h. - prose: Protect the contingency plan from unauthorized disclosure - and modification. - - id: cp-2_gdn - name: guidance - prose: >- - Contingency planning for systems is part of an overall program - for achieving continuity of operations for organizational - mission and business functions. Contingency planning addresses - system restoration and implementation of alternative mission or - business processes when systems are compromised or breached. - Contingency planning is considered throughout the system - development life cycle and is a fundamental part of the system - design. Systems can be designed for redundancy, to provide - backup capabilities, and for resilience. Contingency plans - reflect the degree of restoration required for organizational - systems since not all systems need to fully recover to achieve - the level of continuity of operations desired. System recovery - objectives reflect applicable laws, executive orders, - directives, regulations, policies, standards, guidelines, - organizational risk tolerance, and system impact level. - - - Actions addressed in contingency plans include orderly system degradation, - system shutdown, fallback to a manual mode, alternate information - flows, and operating in modes reserved for when systems are under - attack. By coordinating contingency planning with incident handling - activities, organizations ensure that the necessary planning activities - are in place and activated in the event of an incident. Organizations - consider whether continuity of operations during an incident conflicts - with the capability to automatically disable the system, as specified - in [IR-4(5)](#ir-4.5) . Incident response planning is part of contingency - planning for organizations and is addressed in the [IR](#ir) (Incident - Response) family. - - name: objective - props: - - name: label - value: CP-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02a.01 - class: sp800-53A - prose: a contingency plan for the system is developed that identifies - essential mission and business functions and associated contingency - requirements; - - name: objective - props: - - name: label - value: CP-02a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02a.02[01] - class: sp800-53A - prose: a contingency plan for the system is developed that - provides recovery objectives; - - name: objective - props: - - name: label - value: CP-02a.02[02] - class: sp800-53A - prose: a contingency plan for the system is developed that - provides restoration priorities; - - name: objective - props: - - name: label - value: CP-02a.02[03] - class: sp800-53A - prose: a contingency plan for the system is developed that - provides metrics; - - name: objective - props: - - name: label - value: CP-02a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02a.03[01] - class: sp800-53A - prose: a contingency plan for the system is developed that - addresses contingency roles; - - name: objective - props: - - name: label - value: CP-02a.03[02] - class: sp800-53A - prose: a contingency plan for the system is developed that - addresses contingency responsibilities; - - name: objective - props: - - name: label - value: CP-02a.03[03] - class: sp800-53A - prose: a contingency plan for the system is developed that - addresses assigned individuals with contact information; - - name: objective - props: - - name: label - value: CP-02a.04 - class: sp800-53A - prose: a contingency plan for the system is developed that addresses - maintaining essential mission and business functions despite - a system disruption, compromise, or failure; - - name: objective - props: - - name: label - value: CP-02a.05 - class: sp800-53A - prose: a contingency plan for the system is developed that addresses - eventual, full-system restoration without deterioration of - the controls originally planned and implemented; - - name: objective - props: - - name: label - value: CP-02a.06 - class: sp800-53A - prose: a contingency plan for the system is developed that addresses - the sharing of contingency information; - - name: objective - props: - - name: label - value: CP-02a.07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02a.07[01] - class: sp800-53A - prose: "a contingency plan for the system is developed that\ - \ is reviewed by {{ insert: param, cp-02_odp.01 }};" - - name: objective - props: - - name: label - value: CP-02a.07[02] - class: sp800-53A - prose: "a contingency plan for the system is developed that\ - \ is approved by {{ insert: param, cp-02_odp.02 }};" - - name: objective - props: - - name: label - value: CP-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02b.[01] - class: sp800-53A - prose: "copies of the contingency plan are distributed to {{\ - \ insert: param, cp-02_odp.03 }};" - - name: objective - props: - - name: label - value: CP-02b.[02] - class: sp800-53A - prose: "copies of the contingency plan are distributed to {{\ - \ insert: param, cp-02_odp.04 }};" - - name: objective - props: - - name: label - value: CP-02c. - class: sp800-53A - prose: contingency planning activities are coordinated with incident - handling activities; - - name: objective - props: - - name: label - value: CP-02d. - class: sp800-53A - prose: "the contingency plan for the system is reviewed {{ insert:\ - \ param, cp-02_odp.05 }};" - - name: objective - props: - - name: label - value: CP-02e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02e.[01] - class: sp800-53A - prose: the contingency plan is updated to address changes to - the organization, system, or environment of operation; - - name: objective - props: - - name: label - value: CP-02e.[02] - class: sp800-53A - prose: the contingency plan is updated to address problems encountered - during contingency plan implementation, execution, or testing; - - name: objective - props: - - name: label - value: CP-02f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02f.[01] - class: sp800-53A - prose: "contingency plan changes are communicated to {{ insert:\ - \ param, cp-02_odp.06 }};" - - name: objective - props: - - name: label - value: CP-02f.[02] - class: sp800-53A - prose: "contingency plan changes are communicated to {{ insert:\ - \ param, cp-02_odp.07 }};" - - name: objective - props: - - name: label - value: CP-02g. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02g.[01] - class: sp800-53A - prose: lessons learned from contingency plan testing or actual - contingency activities are incorporated into contingency testing; - - name: objective - props: - - name: label - value: CP-02g.[02] - class: sp800-53A - prose: lessons learned from contingency plan training or actual - contingency activities are incorporated into contingency testing - and training; - - name: objective - props: - - name: label - value: CP-02h. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02h.[01] - class: sp800-53A - prose: the contingency plan is protected from unauthorized disclosure; - - name: objective - props: - - name: label - value: CP-02h.[02] - class: sp800-53A - prose: the contingency plan is protected from unauthorized modification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency operations for the system - - contingency plan - - evidence of contingency plan reviews and updates - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and plan - implementation responsibilities - - - organizational personnel with incident handling responsibilities - - - organizational personnel with knowledge of requirements for mission - and business functions - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency plan development, - review, update, and protection - - - automated mechanisms for developing, reviewing, updating, and/or - protecting the contingency plan - controls: - - id: cp-2.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - props: - - name: label - value: CP-02(01) - - name: sort-id - value: cp-02.01 - links: - - href: "#cp-2" - rel: required - parts: - - id: cp-2.1_smt - name: statement - prose: Coordinate contingency plan development with organizational - elements responsible for related plans. - - id: cp-2.1_gdn - name: guidance - prose: Plans that are related to contingency plans include Business - Continuity Plans, Disaster Recovery Plans, Critical Infrastructure - Plans, Continuity of Operations Plans, Crisis Communications Plans, - Insider Threat Implementation Plans, Data Breach Response Plans, - Cyber Incident Response Plans, Breach Response Plans, and Occupant - Emergency Plans. - - name: objective - props: - - name: label - value: CP-02(01) - class: sp800-53A - prose: contingency plan development is coordinated with organizational - elements responsible for related plans. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - business contingency plans - - - disaster recovery plans - - - continuity of operations plans - - - crisis communications plans - - - critical infrastructure plans - - - cyber incident response plan - - - insider threat implementation plans - - - occupant emergency plans - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with information security responsibilities - - - personnel with responsibility for related plans - - id: cp-2.2 - class: SP800-53-enhancement - title: Capacity Planning - props: - - name: label - value: CP-02(02) - - name: sort-id - value: cp-02.02 - links: - - href: "#cp-2" - rel: required - - href: "#pe-11" - rel: related - - href: "#pe-12" - rel: related - - href: "#pe-13" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-18" - rel: related - - href: "#sc-5" - rel: related - parts: - - id: cp-2.2_smt - name: statement - prose: Conduct capacity planning so that necessary capacity for - information processing, telecommunications, and environmental - support exists during contingency operations. - - id: cp-2.2_gdn - name: guidance - prose: Capacity planning is needed because different threats can - result in a reduction of the available processing, telecommunications, - and support services intended to support essential mission and - business functions. Organizations anticipate degraded operations - during contingency operations and factor the degradation into - capacity planning. For capacity planning, environmental support - refers to any environmental factor for which the organization - determines that it needs to provide support in a contingency situation, - even if in a degraded state. Such determinations are based on - an organizational assessment of risk, system categorization (impact - level), and organizational risk tolerance. - - name: objective - props: - - name: label - value: CP-02(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02(02)[01] - class: sp800-53A - prose: capacity planning is conducted so that the necessary - capacity exists during contingency operations for information - processing; - - name: objective - props: - - name: label - value: CP-02(02)[02] - class: sp800-53A - prose: capacity planning is conducted so that the necessary - capacity exists during contingency operations for telecommunications; - - name: objective - props: - - name: label - value: CP-02(02)[03] - class: sp800-53A - prose: capacity planning is conducted so that the necessary - capacity exists during contingency operations for environmental - support. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - capacity planning documents - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel responsible for capacity planning - - - organizational personnel with information security responsibilities - - id: cp-2.3 - class: SP800-53-enhancement - title: Resume Mission and Business Functions - params: - - id: cp-02.03_odp.01 - props: - - name: legacy-identifier - value: cp-2.3_prm_1 - - name: label - value: CP-02(03)_ODP[01] - select: - choice: - - all - - essential - - id: cp-02.03_odp.02 - props: - - name: legacy-identifier - value: cp-2.3_prm_2 - - name: label - value: CP-02(03)_ODP[02] - label: time period - guidelines: - - prose: the contingency plan activation time period within which - to resume mission and business functions is defined; - props: - - name: label - value: CP-02(03) - - name: sort-id - value: cp-02.03 - links: - - href: "#cp-2" - rel: required - parts: - - id: cp-2.3_smt - name: statement - prose: "Plan for the resumption of {{ insert: param, cp-02.03_odp.01\ - \ }} mission and business functions within {{ insert: param, cp-02.03_odp.02\ - \ }} of contingency plan activation." - - id: cp-2.3_gdn - name: guidance - prose: Organizations may choose to conduct contingency planning - activities to resume mission and business functions as part of - business continuity planning or as part of business impact analyses. - Organizations prioritize the resumption of mission and business - functions. The time period for resuming mission and business functions - may be dependent on the severity and extent of the disruptions - to the system and its supporting infrastructure. - - name: objective - props: - - name: label - value: CP-02(03) - class: sp800-53A - prose: "the resumption of {{ insert: param, cp-02.03_odp.01 }} mission\ - \ and business functions are planned for within {{ insert: param,\ - \ cp-02.03_odp.02 }} of contingency plan activation." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - business impact assessment - - - system security plan - - - privacy plan - - - other related plans - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with knowledge of requirements for - mission and business functions - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-02(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for resumption of missions and - business functions - - id: cp-2.4 - class: SP800-53-enhancement - title: Resume All Mission and Business Functions - props: - - name: label - value: CP-02(04) - - name: sort-id - value: cp-02.04 - - name: status - value: withdrawn - links: - - href: "#cp-2.3" - rel: incorporated-into - - id: cp-2.5 - class: SP800-53-enhancement - title: Continue Mission and Business Functions - params: - - id: cp-02.05_odp - props: - - name: legacy-identifier - value: cp-2.5_prm_1 - - name: label - value: CP-02(05)_ODP - select: - choice: - - all - - essential - props: - - name: label - value: CP-02(05) - - name: sort-id - value: cp-02.05 - links: - - href: "#cp-2" - rel: required - parts: - - id: cp-2.5_smt - name: statement - prose: "Plan for the continuance of {{ insert: param, cp-02.05_odp\ - \ }} mission and business functions with minimal or no loss of\ - \ operational continuity and sustains that continuity until full\ - \ system restoration at primary processing and/or storage sites." - - id: cp-2.5_gdn - name: guidance - prose: Organizations may choose to conduct the contingency planning - activities to continue mission and business functions as part - of business continuity planning or business impact analyses. Primary - processing and/or storage sites defined by organizations as part - of contingency planning may change depending on the circumstances - associated with the contingency. - - name: objective - props: - - name: label - value: CP-02(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02(05)[01] - class: sp800-53A - prose: "the continuance of {{ insert: param, cp-02.05_odp }}\ - \ mission and business functions with minimal or no loss of\ - \ operational continuity is planned for;" - - name: objective - props: - - name: label - value: CP-02(05)[02] - class: sp800-53A - prose: continuity is sustained until full system restoration - at primary processing and/or storage sites. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - business impact assessment - - - primary processing site agreements - - - primary storage site agreements - - - alternate processing site agreements - - - alternate storage site agreements - - - contingency plan test documentation - - - contingency plan test results - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with knowledge of requirements for - mission and business functions - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-02(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for continuing missions and - business functions - - id: cp-2.6 - class: SP800-53-enhancement - title: Alternate Processing and Storage Sites - params: - - id: cp-02.06_odp - props: - - name: legacy-identifier - value: cp-2.6_prm_1 - - name: label - value: CP-02(06)_ODP - select: - choice: - - all - - essential - props: - - name: label - value: CP-02(06) - - name: sort-id - value: cp-02.06 - links: - - href: "#cp-2" - rel: required - parts: - - id: cp-2.6_smt - name: statement - prose: "Plan for the transfer of {{ insert: param, cp-02.06_odp\ - \ }} mission and business functions to alternate processing and/or\ - \ storage sites with minimal or no loss of operational continuity\ - \ and sustain that continuity through system restoration to primary\ - \ processing and/or storage sites." - - id: cp-2.6_gdn - name: guidance - prose: Organizations may choose to conduct contingency planning - activities for alternate processing and storage sites as part - of business continuity planning or business impact analyses. Primary - processing and/or storage sites defined by organizations as part - of contingency planning may change depending on the circumstances - associated with the contingency. - - name: objective - props: - - name: label - value: CP-02(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-02(06)[01] - class: sp800-53A - prose: "the transfer of {{ insert: param, cp-02.06_odp }} mission\ - \ and business functions to alternate processing and/or storage\ - \ sites with minimal or no loss of operational continuity\ - \ is planned for;" - - name: objective - props: - - name: label - value: CP-02(06)[02] - class: sp800-53A - prose: operational continuity is sustained until full system - restoration at primary processing and/or storage sites. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - business impact assessment - - - alternate processing site agreements - - - alternate storage site agreements - - - contingency plan testing documentation - - - contingency plan test results - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with knowledge of requirements for - mission and business functions - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-02(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for transfer of essential mission - and business functions to alternate processing/storage sites - - id: cp-2.7 - class: SP800-53-enhancement - title: Coordinate with External Service Providers - props: - - name: label - value: CP-02(07) - - name: sort-id - value: cp-02.07 - links: - - href: "#cp-2" - rel: required - - href: "#sa-9" - rel: related - parts: - - id: cp-2.7_smt - name: statement - prose: Coordinate the contingency plan with the contingency plans - of external service providers to ensure that contingency requirements - can be satisfied. - - id: cp-2.7_gdn - name: guidance - prose: When the capability of an organization to carry out its mission - and business functions is dependent on external service providers, - developing a comprehensive and timely contingency plan may become - more challenging. When mission and business functions are dependent - on external service providers, organizations coordinate contingency - planning activities with the external entities to ensure that - the individual plans reflect the overall contingency needs of - the organization. - - name: objective - props: - - name: label - value: CP-02(07) - class: sp800-53A - prose: the contingency plan is coordinated with the contingency - plans of external service providers to ensure that contingency - requirements can be satisfied. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - contingency plans of external - - - service providers - - - service level agreements - - - contingency plan requirements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - external service providers - - - organizational personnel with information security responsibilities - - id: cp-2.8 - class: SP800-53-enhancement - title: Identify Critical Assets - params: - - id: cp-02.08_odp - props: - - name: legacy-identifier - value: cp-2.8_prm_1 - - name: label - value: CP-02(08)_ODP - select: - choice: - - all - - essential - props: - - name: label - value: CP-02(08) - - name: sort-id - value: cp-02.08 - links: - - href: "#cp-2" - rel: required - - href: "#cm-8" - rel: related - - href: "#ra-9" - rel: related - parts: - - id: cp-2.8_smt - name: statement - prose: "Identify critical system assets supporting {{ insert: param,\ - \ cp-02.08_odp }} mission and business functions." - - id: cp-2.8_gdn - name: guidance - prose: Organizations may choose to identify critical assets as part - of criticality analysis, business continuity planning, or business - impact analyses. Organizations identify critical system assets - so that additional controls can be employed (beyond the controls - routinely implemented) to help ensure that organizational mission - and business functions can continue to be conducted during contingency - operations. The identification of critical information assets - also facilitates the prioritization of organizational resources. - Critical system assets include technical and operational aspects. - Technical aspects include system components, information technology - services, information technology products, and mechanisms. Operational - aspects include procedures (i.e., manually executed operations) - and personnel (i.e., individuals operating technical controls - and/or executing manual procedures). Organizational program protection - plans can assist in identifying critical assets. If critical assets - are resident within or supported by external service providers, - organizations consider implementing [CP-2(7)](#cp-2.7) as a control - enhancement. - - name: objective - props: - - name: label - value: CP-02(08) - class: sp800-53A - prose: "critical system assets supporting {{ insert: param, cp-02.08_odp\ - \ }} mission and business functions are identified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-02(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing contingency operations for the system - - - contingency plan - - - business impact assessment - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-02(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with knowledge of requirements for - mission and business functions - - - organizational personnel with information security responsibilities - - id: cp-3 - class: SP800-53 - title: Contingency Training - params: - - id: cp-03_odp.01 - props: - - name: legacy-identifier - value: cp-3_prm_1 - - name: label - value: CP-03_ODP[01] - label: time period - guidelines: - - prose: the time period within which to provide contingency training - after assuming a contingency role or responsibility is defined; - - id: cp-03_odp.02 - props: - - name: legacy-identifier - value: cp-3_prm_2 - - name: label - value: CP-03_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to provide training to system users with - a contingency role or responsibility; - - id: cp-03_odp.03 - props: - - name: legacy-identifier - value: cp-3_prm_3 - - name: label - value: CP-03_ODP[03] - label: frequency - guidelines: - - prose: frequency at which to review and update contingency training - content; - - id: cp-03_odp.04 - props: - - name: legacy-identifier - value: cp-3_prm_4 - - name: label - value: CP-03_ODP[04] - label: events - guidelines: - - prose: events necessitating review and update of contingency training - are defined; - props: - - name: label - value: CP-03 - - name: sort-id - value: cp-03 - links: - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-8" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: cp-3_smt - name: statement - parts: - - id: cp-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide contingency training to system users consistent\ - \ with assigned roles and responsibilities:" - parts: - - id: cp-3_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "Within {{ insert: param, cp-03_odp.01 }} of assuming\ - \ a contingency role or responsibility;" - - id: cp-3_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: When required by system changes; and - - id: cp-3_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: "{{ insert: param, cp-03_odp.02 }} thereafter; and" - - id: cp-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update contingency training content {{ insert:\ - \ param, cp-03_odp.03 }} and following {{ insert: param, cp-03_odp.04\ - \ }}." - - id: cp-3_gdn - name: guidance - prose: Contingency training provided by organizations is linked to the - assigned roles and responsibilities of organizational personnel to - ensure that the appropriate content and level of detail is included - in such training. For example, some individuals may only need to know - when and where to report for duty during contingency operations and - if normal duties are affected; system administrators may require additional - training on how to establish systems at alternate processing and storage - sites; and organizational officials may receive more specific training - on how to conduct mission-essential functions in designated off-site - locations and how to establish communications with other governmental - entities for purposes of coordination on contingency-related activities. - Training for contingency roles or responsibilities reflects the specific - continuity requirements in the contingency plan. Events that may precipitate - an update to contingency training content include, but are not limited - to, contingency plan testing or an actual contingency (lessons learned), - assessment or audit findings, security incidents or breaches, or changes - in laws, executive orders, directives, regulations, policies, standards, - and guidelines. At the discretion of the organization, participation - in a contingency plan test or exercise, including lessons learned - sessions subsequent to the test or exercise, may satisfy contingency - plan training requirements. - - name: objective - props: - - name: label - value: CP-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-03a.01 - class: sp800-53A - prose: "contingency training is provided to system users consistent\ - \ with assigned roles and responsibilities within {{ insert:\ - \ param, cp-03_odp.01 }} of assuming a contingency role or\ - \ responsibility;" - - name: objective - props: - - name: label - value: CP-03a.02 - class: sp800-53A - prose: contingency training is provided to system users consistent - with assigned roles and responsibilities when required by - system changes; - - name: objective - props: - - name: label - value: CP-03a.03 - class: sp800-53A - prose: "contingency training is provided to system users consistent\ - \ with assigned roles and responsibilities {{ insert: param,\ - \ cp-03_odp.02 }} thereafter;" - - name: objective - props: - - name: label - value: CP-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-03b.[01] - class: sp800-53A - prose: "the contingency plan training content is reviewed and\ - \ updated {{ insert: param, cp-03_odp.03 }};" - - name: objective - props: - - name: label - value: CP-03b.[02] - class: sp800-53A - prose: "the contingency plan training content is reviewed and\ - \ updated following {{ insert: param, cp-03_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency training - - contingency plan - - contingency training curriculum - - contingency training material - - contingency training records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, plan - implementation, and training responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-03-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for contingency training - controls: - - id: cp-3.1 - class: SP800-53-enhancement - title: Simulated Events - props: - - name: label - value: CP-03(01) - - name: sort-id - value: cp-03.01 - links: - - href: "#cp-3" - rel: required - parts: - - id: cp-3.1_smt - name: statement - prose: Incorporate simulated events into contingency training to - facilitate effective response by personnel in crisis situations. - - id: cp-3.1_gdn - name: guidance - prose: The use of simulated events creates an environment for personnel - to experience actual threat events, including cyber-attacks that - disable websites, ransomware attacks that encrypt organizational - data on servers, hurricanes that damage or destroy organizational - facilities, or hardware or software failures. - - name: objective - props: - - name: label - value: CP-03(01) - class: sp800-53A - prose: simulated events are incorporated into contingency training - to facilitate effective response by personnel in crisis situations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency training - - contingency plan - - contingency training curriculum - - contingency training material - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, plan - implementation, and training responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for contingency training - - automated mechanisms for simulating contingency events - - id: cp-3.2 - class: SP800-53-enhancement - title: Mechanisms Used in Training Environments - props: - - name: label - value: CP-03(02) - - name: sort-id - value: cp-03.02 - links: - - href: "#cp-3" - rel: required - parts: - - id: cp-3.2_smt - name: statement - prose: Employ mechanisms used in operations to provide a more thorough - and realistic contingency training environment. - - id: cp-3.2_gdn - name: guidance - prose: Operational mechanisms refer to processes that have been - established to accomplish an organizational goal or a system that - supports a particular organizational mission or business objective. - Actual mission and business processes, systems, and/or facilities - may be used to generate simulated events and enhance the realism - of simulated events during contingency training. - - name: objective - props: - - name: label - value: CP-03(02) - class: sp800-53A - prose: mechanisms used in operations are employed to provide a more - thorough and realistic contingency training environment. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency training - - contingency plan - - contingency training curriculum - - contingency training material - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, plan - implementation, and training responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency training - - - automated mechanisms for providing contingency training environments - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - params: - - id: cp-4_prm_2 - props: - - name: aggregates - value: cp-04_odp.02 - label: organization-defined tests - - id: cp-04_odp.01 - props: - - name: legacy-identifier - value: cp-4_prm_1 - - name: label - value: CP-04_ODP[01] - label: frequency - guidelines: - - prose: frequency of testing the contingency plan for the system - is defined; - - id: cp-04_odp.02 - props: - - name: label - value: CP-04_ODP[02] - label: tests - guidelines: - - prose: tests for determining the effectiveness of the contingency - plan are defined; - - id: cp-04_odp.03 - props: - - name: label - value: CP-04_ODP[03] - label: tests - guidelines: - - prose: tests for determining readiness to execute the contingency - plan are defined; - props: - - name: label - value: CP-04 - - name: sort-id - value: cp-04 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-3" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-14" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: cp-4_smt - name: statement - parts: - - id: cp-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Test the contingency plan for the system {{ insert: param,\ - \ cp-04_odp.01 }} using the following tests to determine the effectiveness\ - \ of the plan and the readiness to execute the plan: {{ insert:\ - \ param, cp-4_prm_2 }}." - - id: cp-4_smt.b - name: item - props: - - name: label - value: b. - prose: Review the contingency plan test results; and - - id: cp-4_smt.c - name: item - props: - - name: label - value: c. - prose: Initiate corrective actions, if needed. - - id: cp-4_gdn - name: guidance - prose: Methods for testing contingency plans to determine the effectiveness - of the plans and identify potential weaknesses include checklists, - walk-through and tabletop exercises, simulations (parallel or full - interrupt), and comprehensive exercises. Organizations conduct testing - based on the requirements in contingency plans and include a determination - of the effects on organizational operations, assets, and individuals - due to contingency operations. Organizations have flexibility and - discretion in the breadth, depth, and timelines of corrective actions. - - name: objective - props: - - name: label - value: CP-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-04a.[01] - class: sp800-53A - prose: "the contingency plan for the system is tested {{ insert:\ - \ param, cp-04_odp.01 }};" - - name: objective - props: - - name: label - value: CP-04a.[02] - class: sp800-53A - prose: "{{ insert: param, cp-04_odp.02 }} are used to determine\ - \ the effectiveness of the plan;" - - name: objective - props: - - name: label - value: CP-04a.[03] - class: sp800-53A - prose: "{{ insert: param, cp-04_odp.03 }} are used to determine\ - \ the readiness to execute the plan;" - - name: objective - props: - - name: label - value: CP-04b. - class: sp800-53A - prose: the contingency plan test results are reviewed; - - name: objective - props: - - name: label - value: CP-04c. - class: sp800-53A - prose: corrective actions are initiated, if needed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency plan testing - - contingency plan - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - contingency plan testing, reviewing, or responding to - contingency plan tests - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency plan testing - - - automated mechanisms supporting the contingency plan and/or contingency - plan testing - controls: - - id: cp-4.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - props: - - name: label - value: CP-04(01) - - name: sort-id - value: cp-04.01 - links: - - href: "#cp-4" - rel: required - - href: "#ir-8" - rel: related - - href: "#pm-8" - rel: related - parts: - - id: cp-4.1_smt - name: statement - prose: Coordinate contingency plan testing with organizational elements - responsible for related plans. - - id: cp-4.1_gdn - name: guidance - prose: Plans related to contingency planning for organizational - systems include Business Continuity Plans, Disaster Recovery Plans, - Continuity of Operations Plans, Crisis Communications Plans, Critical - Infrastructure Plans, Cyber Incident Response Plans, and Occupant - Emergency Plans. Coordination of contingency plan testing does - not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. - However, it does require that if such organizational elements - are responsible for related plans, organizations coordinate with - those elements. - - name: objective - props: - - name: label - value: CP-04(01) - class: sp800-53A - prose: contingency plan testing is coordinated with organizational - elements responsible for related plans. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - incident response policy - - procedures addressing contingency plan testing - - contingency plan testing documentation - - contingency plan - - business continuity plans - - disaster recovery plans - - continuity of operations plans - - crisis communications plans - - critical infrastructure plans - - cyber incident response plans - - occupant emergency plans - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan testing - responsibilities - - - personnel with responsibilities for related plans - - - organizational personnel with information security responsibilities - - id: cp-4.2 - class: SP800-53-enhancement - title: Alternate Processing Site - props: - - name: label - value: CP-04(02) - - name: sort-id - value: cp-04.02 - links: - - href: "#cp-4" - rel: required - - href: "#cp-7" - rel: related - parts: - - id: cp-4.2_smt - name: statement - prose: "Test the contingency plan at the alternate processing site:" - parts: - - id: cp-4.2_smt.a - name: item - props: - - name: label - value: (a) - prose: To familiarize contingency personnel with the facility - and available resources; and - - id: cp-4.2_smt.b - name: item - props: - - name: label - value: (b) - prose: To evaluate the capabilities of the alternate processing - site to support contingency operations. - - id: cp-4.2_gdn - name: guidance - prose: Conditions at the alternate processing site may be significantly - different than the conditions at the primary site. Having the - opportunity to visit the alternate site and experience the actual - capabilities available at the site can provide valuable information - on potential vulnerabilities that could affect essential organizational - mission and business functions. The on-site visit can also provide - an opportunity to refine the contingency plan to address the vulnerabilities - discovered during testing. - - name: objective - props: - - name: label - value: CP-04(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-04(02)(a) - class: sp800-53A - prose: the contingency plan is tested at the alternate processing - site to familiarize contingency personnel with the facility - and available resources; - - name: objective - props: - - name: label - value: CP-04(02)(b) - class: sp800-53A - prose: the contingency plan is tested at the alternate processing - site to evaluate the capabilities of the alternate processing - site to support contingency operations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency plan testing - - contingency plan - - contingency plan test documentation - - contingency plan test results - - alternate processing site agreements - - service-level agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency plan testing - - - automated mechanisms supporting the contingency plan and/or - contingency plan testing - - id: cp-4.3 - class: SP800-53-enhancement - title: Automated Testing - params: - - id: cp-04.03_odp - props: - - name: legacy-identifier - value: cp-4.3_prm_1 - - name: label - value: CP-04(03)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms for contingency plan testing are - defined; - props: - - name: label - value: CP-04(03) - - name: sort-id - value: cp-04.03 - links: - - href: "#cp-4" - rel: required - parts: - - id: cp-4.3_smt - name: statement - prose: "Test the contingency plan using {{ insert: param, cp-04.03_odp\ - \ }}." - - id: cp-4.3_gdn - name: guidance - prose: Automated mechanisms facilitate thorough and effective testing - of contingency plans by providing more complete coverage of contingency - issues, selecting more realistic test scenarios and environments, - and effectively stressing the system and supported mission and - business functions. - - name: objective - props: - - name: label - value: CP-04(03) - class: sp800-53A - prose: "the contingency plan is tested using {{ insert: param, cp-04.03_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing contingency plan testing - - contingency plan - - automated mechanisms supporting contingency plan testing - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan testing - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for contingency plan testing - - automated mechanisms supporting contingency plan testing - - id: cp-4.4 - class: SP800-53-enhancement - title: Full Recovery and Reconstitution - props: - - name: label - value: CP-04(04) - - name: sort-id - value: cp-04.04 - links: - - href: "#cp-4" - rel: required - - href: "#cp-10" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: cp-4.4_smt - name: statement - prose: Include a full recovery and reconstitution of the system - to a known state as part of contingency plan testing. - - id: cp-4.4_gdn - name: guidance - prose: Recovery is executing contingency plan activities to restore - organizational mission and business functions. Reconstitution - takes place following recovery and includes activities for returning - systems to fully operational states. Organizations establish a - known state for systems that includes system state information - for hardware, software programs, and data. Preserving system state - information facilitates system restart and return to the operational - mode of organizations with less disruption of mission and business - processes. - - name: objective - props: - - name: label - value: CP-04(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-04(04)[01] - class: sp800-53A - prose: a full recovery of the system to a known state is included - as part of contingency plan testing; - - name: objective - props: - - name: label - value: CP-04(04)[02] - class: sp800-53A - prose: a full reconstitution of the system to a known state - is included as part of contingency plan testing. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system recovery and reconstitution - - contingency plan - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan testing - responsibilities - - - organizational personnel with system recovery and reconstitution - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency plan testing - - - automated mechanisms supporting contingency plan testing - - - automated mechanisms supporting recovery and reconstitution - of the system - - id: cp-4.5 - class: SP800-53-enhancement - title: Self-challenge - params: - - id: cp-04.05_odp.01 - props: - - name: legacy-identifier - value: cp-4.5_prm_1 - - name: label - value: CP-04(05)_ODP[01] - label: mechanism/mechanisms - guidelines: - - prose: mechanisms employed to disrupt and adversely affect the - system or system component are defined; - - id: cp-04.05_odp.02 - props: - - name: legacy-identifier - value: cp-4.5_prm_2 - - name: label - value: CP-04(05)_ODP[02] - label: system or system component - guidelines: - - prose: system or system component on which to apply disruption - mechanisms are defined; - props: - - name: label - value: CP-04(05) - - name: sort-id - value: cp-04.05 - links: - - href: "#cp-4" - rel: required - parts: - - id: cp-4.5_smt - name: statement - prose: "Employ {{ insert: param, cp-04.05_odp.01 }} to {{ insert:\ - \ param, cp-04.05_odp.02 }} to disrupt and adversely affect the\ - \ system or system component." - - id: cp-4.5_gdn - name: guidance - prose: Often, the best method of assessing system resilience is - to disrupt the system in some manner. The mechanisms used by the - organization could disrupt system functions or system services - in many ways, including terminating or disabling critical system - components, changing the configuration of system components, degrading - critical functionality (e.g., restricting network bandwidth), - or altering privileges. Automated, on-going, and simulated cyber-attacks - and service disruptions can reveal unexpected functional dependencies - and help the organization determine its ability to ensure resilience - in the face of an actual cyber-attack. - - name: objective - props: - - name: label - value: CP-04(05) - class: sp800-53A - prose: "{{ insert: param, cp-04.05_odp.01 }} is/are employed to\ - \ disrupt and adversely affect the {{ insert: param, cp-04.05_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system recovery and reconstitution - - contingency plan - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan testing - responsibilities - - - organizational personnel with system recovery and reconstitution - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for contingency plan testing - - mechanisms supporting contingency plan testing - - id: cp-5 - class: SP800-53 - title: Contingency Plan Update - props: - - name: label - value: CP-05 - - name: sort-id - value: cp-05 - - name: status - value: withdrawn - links: - - href: "#cp-2" - rel: incorporated-into - - id: cp-6 - class: SP800-53 - title: Alternate Storage Site - props: - - name: label - value: CP-06 - - name: sort-id - value: cp-06 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-36" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-6_smt - name: statement - parts: - - id: cp-6_smt.a - name: item - props: - - name: label - value: a. - prose: Establish an alternate storage site, including necessary - agreements to permit the storage and retrieval of system backup - information; and - - id: cp-6_smt.b - name: item - props: - - name: label - value: b. - prose: Ensure that the alternate storage site provides controls - equivalent to that of the primary site. - - id: cp-6_gdn - name: guidance - prose: Alternate storage sites are geographically distinct from primary - storage sites and maintain duplicate copies of information and data - if the primary storage site is not available. Similarly, alternate - processing sites provide processing capability if the primary processing - site is not available. Geographically distributed architectures that - support contingency requirements may be considered alternate storage - sites. Items covered by alternate storage site agreements include - environmental conditions at the alternate sites, access rules for - systems and facilities, physical and environmental protection requirements, - and coordination of delivery and retrieval of backup media. Alternate - storage sites reflect the requirements in contingency plans so that - organizations can maintain essential mission and business functions - despite compromise, failure, or disruption in organizational systems. - - name: objective - props: - - name: label - value: CP-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-06a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-06a.[01] - class: sp800-53A - prose: an alternate storage site is established; - - name: objective - props: - - name: label - value: CP-06a.[02] - class: sp800-53A - prose: establishment of the alternate storage site includes - necessary agreements to permit the storage and retrieval of - system backup information; - - name: objective - props: - - name: label - value: CP-06b. - class: sp800-53A - prose: the alternate storage site provides controls equivalent to - that of the primary site. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate storage sites - - contingency plan - - alternate storage site agreements - - primary storage site agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - storage site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for storing and retrieving system - backup information at the alternate storage site - - - automated mechanisms supporting and/or implementing storage and - retrieval of system backup information at the alternate storage - site - controls: - - id: cp-6.1 - class: SP800-53-enhancement - title: Separation from Primary Site - props: - - name: label - value: CP-06(01) - - name: sort-id - value: cp-06.01 - links: - - href: "#cp-6" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: cp-6.1_smt - name: statement - prose: Identify an alternate storage site that is sufficiently separated - from the primary storage site to reduce susceptibility to the - same threats. - - id: cp-6.1_gdn - name: guidance - prose: Threats that affect alternate storage sites are defined in - organizational risk assessments and include natural disasters, - structural failures, hostile attacks, and errors of omission or - commission. Organizations determine what is considered a sufficient - degree of separation between primary and alternate storage sites - based on the types of threats that are of concern. For threats - such as hostile attacks, the degree of separation between sites - is less relevant. - - name: objective - props: - - name: label - value: CP-06(01) - class: sp800-53A - prose: an alternate storage site that is sufficiently separated - from the primary storage site is identified to reduce susceptibility - to the same threats. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate storage sites - - contingency plan - - alternate storage site - - alternate storage site agreements - - primary storage site agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - storage site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - id: cp-6.2 - class: SP800-53-enhancement - title: Recovery Time and Recovery Point Objectives - props: - - name: label - value: CP-06(02) - - name: sort-id - value: cp-06.02 - links: - - href: "#cp-6" - rel: required - parts: - - id: cp-6.2_smt - name: statement - prose: Configure the alternate storage site to facilitate recovery - operations in accordance with recovery time and recovery point - objectives. - - id: cp-6.2_gdn - name: guidance - prose: Organizations establish recovery time and recovery point - objectives as part of contingency planning. Configuration of the - alternate storage site includes physical facilities and the systems - supporting recovery operations that ensure accessibility and correct - execution. - - name: objective - props: - - name: label - value: CP-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-06(02)[01] - class: sp800-53A - prose: the alternate storage site is configured to facilitate - recovery operations in accordance with recovery time objectives; - - name: objective - props: - - name: label - value: CP-06(02)[02] - class: sp800-53A - prose: the alternate storage site is configured to facilitate - recovery operations in accordance with recovery point objectives. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate storage sites - - contingency plan - - alternate storage site - - alternate storage site agreements - - alternate storage site configurations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan testing - responsibilities - - - organizational personnel with responsibilities for testing - related plans - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for contingency plan testing - - - automated mechanisms supporting recovery time and point objectives - - id: cp-6.3 - class: SP800-53-enhancement - title: Accessibility - props: - - name: label - value: CP-06(03) - - name: sort-id - value: cp-06.03 - links: - - href: "#cp-6" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: cp-6.3_smt - name: statement - prose: Identify potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster - and outline explicit mitigation actions. - - id: cp-6.3_gdn - name: guidance - prose: Area-wide disruptions refer to those types of disruptions - that are broad in geographic scope with such determinations made - by organizations based on organizational assessments of risk. - Explicit mitigation actions include duplicating backup information - at other alternate storage sites if access problems occur at originally - designated alternate sites or planning for physical access to - retrieve backup information if electronic accessibility to the - alternate site is disrupted. - - name: objective - props: - - name: label - value: CP-06(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-06(03)[01] - class: sp800-53A - prose: potential accessibility problems to the alternate storage - site in the event of an area-wide disruption or disaster are - identified; - - name: objective - props: - - name: label - value: CP-06(03)[02] - class: sp800-53A - prose: explicit mitigation actions to address identified accessibility - problems are outlined. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing alternate storage sites - - - contingency plan - - - alternate storage site - - - list of potential accessibility problems to alternate storage - site - - - mitigation actions for accessibility problems to alternate - storage site - - - organizational risk assessments - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - storage site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - id: cp-7 - class: SP800-53 - title: Alternate Processing Site - params: - - id: cp-07_odp.01 - props: - - name: legacy-identifier - value: cp-7_prm_1 - - name: label - value: CP-07_ODP[01] - label: system operations - guidelines: - - prose: system operations for essential mission and business functions - are defined; - - id: cp-07_odp.02 - props: - - name: legacy-identifier - value: cp-7_prm_2 - - name: label - value: CP-07_ODP[02] - label: time period - guidelines: - - prose: time period consistent with recovery time and recovery point - objectives is defined; - props: - - name: label - value: CP-07 - - name: sort-id - value: cp-07 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-11" - rel: related - - href: "#pe-12" - rel: related - - href: "#pe-17" - rel: related - - href: "#sc-36" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-7_smt - name: statement - parts: - - id: cp-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish an alternate processing site, including necessary\ - \ agreements to permit the transfer and resumption of {{ insert:\ - \ param, cp-07_odp.01 }} for essential mission and business functions\ - \ within {{ insert: param, cp-07_odp.02 }} when the primary processing\ - \ capabilities are unavailable;" - - id: cp-7_smt.b - name: item - props: - - name: label - value: b. - prose: Make available at the alternate processing site, the equipment - and supplies required to transfer and resume operations or put - contracts in place to support delivery to the site within the - organization-defined time period for transfer and resumption; - and - - id: cp-7_smt.c - name: item - props: - - name: label - value: c. - prose: Provide controls at the alternate processing site that are - equivalent to those at the primary site. - - id: cp-7_gdn - name: guidance - prose: Alternate processing sites are geographically distinct from primary - processing sites and provide processing capability if the primary - processing site is not available. The alternate processing capability - may be addressed using a physical processing site or other alternatives, - such as failover to a cloud-based service provider or other internally - or externally provided processing service. Geographically distributed - architectures that support contingency requirements may also be considered - alternate processing sites. Controls that are covered by alternate - processing site agreements include the environmental conditions at - alternate sites, access rules, physical and environmental protection - requirements, and the coordination for the transfer and assignment - of personnel. Requirements are allocated to alternate processing sites - that reflect the requirements in contingency plans to maintain essential - mission and business functions despite disruption, compromise, or - failure in organizational systems. - - name: objective - props: - - name: label - value: CP-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-07a. - class: sp800-53A - prose: "an alternate processing site, including necessary agreements\ - \ to permit the transfer and resumption of {{ insert: param, cp-07_odp.01\ - \ }} for essential mission and business functions, is established\ - \ within {{ insert: param, cp-07_odp.02 }} when the primary processing\ - \ capabilities are unavailable;" - - name: objective - props: - - name: label - value: CP-07b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-07b.[01] - class: sp800-53A - prose: "the equipment and supplies required to transfer operations\ - \ are made available at the alternate processing site or if\ - \ contracts are in place to support delivery to the site within\ - \ {{ insert: param, cp-07_odp.02 }} for transfer;" - - name: objective - props: - - name: label - value: CP-07b.[02] - class: sp800-53A - prose: "the equipment and supplies required to resume operations\ - \ are made available at the alternate processing site or if\ - \ contracts are in place to support delivery to the site within\ - \ {{ insert: param, cp-07_odp.02 }} for resumption;" - - name: objective - props: - - name: label - value: CP-07c. - class: sp800-53A - prose: controls provided at the alternate processing site are equivalent - to those at the primary site. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing alternate processing sites - - - contingency plan - - - alternate processing site agreements - - - primary processing site agreements - - - spare equipment and supplies inventory at alternate processing - site - - - equipment and supply contracts - - - service-level agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - contingency planning and/or alternate site arrangements - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for recovery at the alternate site - - - automated mechanisms supporting and/or implementing recovery at - the alternate processing site - controls: - - id: cp-7.1 - class: SP800-53-enhancement - title: Separation from Primary Site - props: - - name: label - value: CP-07(01) - - name: sort-id - value: cp-07.01 - links: - - href: "#cp-7" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: cp-7.1_smt - name: statement - prose: Identify an alternate processing site that is sufficiently - separated from the primary processing site to reduce susceptibility - to the same threats. - - id: cp-7.1_gdn - name: guidance - prose: Threats that affect alternate processing sites are defined - in organizational assessments of risk and include natural disasters, - structural failures, hostile attacks, and errors of omission or - commission. Organizations determine what is considered a sufficient - degree of separation between primary and alternate processing - sites based on the types of threats that are of concern. For threats - such as hostile attacks, the degree of separation between sites - is less relevant. - - name: objective - props: - - name: label - value: CP-07(01) - class: sp800-53A - prose: an alternate processing site that is sufficiently separated - from the primary processing site to reduce susceptibility to the - same threats is identified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate processing sites - - contingency plan - - alternate processing site - - alternate processing site agreements - - primary processing site agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - processing site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - id: cp-7.2 - class: SP800-53-enhancement - title: Accessibility - props: - - name: label - value: CP-07(02) - - name: sort-id - value: cp-07.02 - links: - - href: "#cp-7" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: cp-7.2_smt - name: statement - prose: Identify potential accessibility problems to alternate processing - sites in the event of an area-wide disruption or disaster and - outlines explicit mitigation actions. - - id: cp-7.2_gdn - name: guidance - prose: Area-wide disruptions refer to those types of disruptions - that are broad in geographic scope with such determinations made - by organizations based on organizational assessments of risk. - - name: objective - props: - - name: label - value: CP-07(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-07(02)[01] - class: sp800-53A - prose: potential accessibility problems to alternate processing - sites in the event of an area-wide disruption or disaster - are identified; - - name: objective - props: - - name: label - value: CP-07(02)[02] - class: sp800-53A - prose: explicit mitigation actions to address identified accessibility - problems are outlined. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate processing sites - - contingency plan - - alternate processing site - - alternate processing site agreements - - primary processing site agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - processing site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - id: cp-7.3 - class: SP800-53-enhancement - title: Priority of Service - props: - - name: label - value: CP-07(03) - - name: sort-id - value: cp-07.03 - links: - - href: "#cp-7" - rel: required - parts: - - id: cp-7.3_smt - name: statement - prose: Develop alternate processing site agreements that contain - priority-of-service provisions in accordance with availability - requirements (including recovery time objectives). - - id: cp-7.3_gdn - name: guidance - prose: Priority of service agreements refer to negotiated agreements - with service providers that ensure that organizations receive - priority treatment consistent with their availability requirements - and the availability of information resources for logical alternate - processing and/or at the physical alternate processing site. Organizations - establish recovery time objectives as part of contingency planning. - - name: objective - props: - - name: label - value: CP-07(03) - class: sp800-53A - prose: alternate processing site agreements that contain priority-of-service - provisions in accordance with availability requirements (including - recovery time objectives) are developed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate processing sites - - contingency plan - - alternate processing site agreements - - service-level agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - processing site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - id: cp-7.4 - class: SP800-53-enhancement - title: Preparation for Use - props: - - name: label - value: CP-07(04) - - name: sort-id - value: cp-07.04 - links: - - href: "#cp-7" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-4" - rel: related - parts: - - id: cp-7.4_smt - name: statement - prose: Prepare the alternate processing site so that the site can - serve as the operational site supporting essential mission and - business functions. - - id: cp-7.4_gdn - name: guidance - prose: Site preparation includes establishing configuration settings - for systems at the alternate processing site consistent with the - requirements for such settings at the primary site and ensuring - that essential supplies and logistical considerations are in place. - - name: objective - props: - - name: label - value: CP-07(04) - class: sp800-53A - prose: the alternate processing site is prepared so that the site - can serve as the operational site supporting essential mission - and business functions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate processing sites - - contingency plan - - alternate processing site - - alternate processing site agreements - - alternate processing site configurations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan alternate - processing site responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-07(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing recovery - at the alternate processing site - - id: cp-7.5 - class: SP800-53-enhancement - title: Equivalent Information Security Safeguards - props: - - name: label - value: CP-07(05) - - name: sort-id - value: cp-07.05 - - name: status - value: withdrawn - links: - - href: "#cp-7" - rel: incorporated-into - - id: cp-7.6 - class: SP800-53-enhancement - title: Inability to Return to Primary Site - props: - - name: label - value: CP-07(06) - - name: sort-id - value: cp-07.06 - links: - - href: "#cp-7" - rel: required - parts: - - id: cp-7.6_smt - name: statement - prose: Plan and prepare for circumstances that preclude returning - to the primary processing site. - - id: cp-7.6_gdn - name: guidance - prose: There may be situations that preclude an organization from - returning to the primary processing site such as if a natural - disaster (e.g., flood or a hurricane) damaged or destroyed a facility - and it was determined that rebuilding in the same location was - not prudent. - - name: objective - props: - - name: label - value: CP-07(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-07(06)[01] - class: sp800-53A - prose: circumstances that preclude returning to the primary - processing site are planned for; - - name: objective - props: - - name: label - value: CP-07(06)[02] - class: sp800-53A - prose: circumstances that preclude returning to the primary - processing site are prepared for. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-07(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate processing sites - - contingency plan - - alternate processing site - - alternate processing site agreements - - alternate processing site configurations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-07(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system reconstitution - responsibilities - - - organizational personnel with information security responsibilities - - id: cp-8 - class: SP800-53 - title: Telecommunications Services - params: - - id: cp-08_odp.01 - props: - - name: legacy-identifier - value: cp-8_prm_1 - - name: label - value: CP-08_ODP[01] - label: system operations - guidelines: - - prose: system operations to be resumed for essential mission and - business functions are defined; - - id: cp-08_odp.02 - props: - - name: legacy-identifier - value: cp-8_prm_2 - - name: label - value: CP-08_ODP[02] - label: time period - guidelines: - - prose: time period within which to resume essential mission and - business functions when the primary telecommunications capabilities - are unavailable is defined; - props: - - name: label - value: CP-08 - - name: sort-id - value: cp-08 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-11" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cp-8_smt - name: statement - prose: "Establish alternate telecommunications services, including necessary\ - \ agreements to permit the resumption of {{ insert: param, cp-08_odp.01\ - \ }} for essential mission and business functions within {{ insert:\ - \ param, cp-08_odp.02 }} when the primary telecommunications capabilities\ - \ are unavailable at either the primary or alternate processing or\ - \ storage sites." - - id: cp-8_gdn - name: guidance - prose: Telecommunications services (for data and voice) for primary - and alternate processing and storage sites are in scope for [CP-8](#cp-8) - . Alternate telecommunications services reflect the continuity requirements - in contingency plans to maintain essential mission and business functions - despite the loss of primary telecommunications services. Organizations - may specify different time periods for primary or alternate sites. - Alternate telecommunications services include additional organizational - or commercial ground-based circuits or lines, network-based approaches - to telecommunications, or the use of satellites. Organizations consider - factors such as availability, quality of service, and access when - entering into alternate telecommunications agreements. - - name: objective - props: - - name: label - value: CP-08 - class: sp800-53A - prose: "alternate telecommunications services, including necessary agreements\ - \ to permit the resumption of {{ insert: param, cp-08_odp.01 }} ,\ - \ are established for essential mission and business functions within\ - \ {{ insert: param, cp-08_odp.02 }} when the primary telecommunications\ - \ capabilities are unavailable at either the primary or alternate\ - \ processing or storage sites." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate telecommunications services - - contingency plan - - primary and alternate telecommunications service agreements - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan - telecommunications responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with knowledge of requirements for mission - and business functions - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting telecommunications - controls: - - id: cp-8.1 - class: SP800-53-enhancement - title: Priority of Service Provisions - props: - - name: label - value: CP-08(01) - - name: sort-id - value: cp-08.01 - links: - - href: "#cp-8" - rel: required - parts: - - id: cp-8.1_smt - name: statement - parts: - - id: cp-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Develop primary and alternate telecommunications service - agreements that contain priority-of-service provisions in - accordance with availability requirements (including recovery - time objectives); and - - id: cp-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Request Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness - if the primary and/or alternate telecommunications services - are provided by a common carrier. - - id: cp-8.1_gdn - name: guidance - prose: Organizations consider the potential mission or business - impact in situations where telecommunications service providers - are servicing other organizations with similar priority of service - provisions. Telecommunications Service Priority (TSP) is a Federal - Communications Commission (FCC) program that directs telecommunications - service providers (e.g., wireline and wireless phone companies) - to give preferential treatment to users enrolled in the program - when they need to add new lines or have their lines restored following - a disruption of service, regardless of the cause. The FCC sets - the rules and policies for the TSP program, and the Department - of Homeland Security manages the TSP program. The TSP program - is always in effect and not contingent on a major disaster or - attack taking place. Federal sponsorship is required to enroll - in the TSP program. - - name: objective - props: - - name: label - value: CP-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-08(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-08(01)(a)[01] - class: sp800-53A - prose: primary telecommunications service agreements that - contain priority-of-service provisions in accordance with - availability requirements (including recovery time objectives) - are developed; - - name: objective - props: - - name: label - value: CP-08(01)(a)[02] - class: sp800-53A - prose: alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with - availability requirements (including recovery time objectives) - are developed; - - name: objective - props: - - name: label - value: CP-08(01)(b) - class: sp800-53A - prose: Telecommunications Service Priority is requested for - all telecommunications services used for national security - emergency preparedness if the primary and/or alternate telecommunications - services are provided by a common carrier. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing primary and alternate telecommunications - services - - - contingency plan - - - primary and alternate telecommunications service agreements - - - Telecommunications Service Priority documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan - telecommunications responsibilities - - - organizational personnel with system recovery responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting telecommunications - - id: cp-8.2 - class: SP800-53-enhancement - title: Single Points of Failure - props: - - name: label - value: CP-08(02) - - name: sort-id - value: cp-08.02 - links: - - href: "#cp-8" - rel: required - parts: - - id: cp-8.2_smt - name: statement - prose: Obtain alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services. - - id: cp-8.2_gdn - name: guidance - prose: In certain circumstances, telecommunications service providers - or services may share the same physical lines, which increases - the vulnerability of a single failure point. It is important to - have provider transparency for the actual physical transmission - capability for telecommunication services. - - name: objective - props: - - name: label - value: CP-08(02) - class: sp800-53A - prose: alternate telecommunications services to reduce the likelihood - of sharing a single point of failure with primary telecommunications - services are obtained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing primary and alternate telecommunications - services - - - contingency plan - - - primary and alternate telecommunications service agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan - telecommunications responsibilities - - - organizational personnel with system recovery responsibilities - - - primary and alternate telecommunications service providers - - - organizational personnel with information security responsibilities - - id: cp-8.3 - class: SP800-53-enhancement - title: Separation of Primary and Alternate Providers - props: - - name: label - value: CP-08(03) - - name: sort-id - value: cp-08.03 - links: - - href: "#cp-8" - rel: required - parts: - - id: cp-8.3_smt - name: statement - prose: Obtain alternate telecommunications services from providers - that are separated from primary service providers to reduce susceptibility - to the same threats. - - id: cp-8.3_gdn - name: guidance - prose: Threats that affect telecommunications services are defined - in organizational assessments of risk and include natural disasters, - structural failures, cyber or physical attacks, and errors of - omission or commission. Organizations can reduce common susceptibilities - by minimizing shared infrastructure among telecommunications service - providers and achieving sufficient geographic separation between - services. Organizations may consider using a single service provider - in situations where the service provider can provide alternate - telecommunications services that meet the separation needs addressed - in the risk assessment. - - name: objective - props: - - name: label - value: CP-08(03) - class: sp800-53A - prose: alternate telecommunications services from providers that - are separated from primary service providers are obtained to reduce - susceptibility to the same threats. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing primary and alternate telecommunications - services - - - contingency plan - - - primary and alternate telecommunications service agreements - - - alternate telecommunications service provider site - - - primary telecommunications service provider site - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency plan - telecommunications responsibilities - - - organizational personnel with system recovery responsibilities - - - primary and alternate telecommunications service providers - - - organizational personnel with information security responsibilities - - id: cp-8.4 - class: SP800-53-enhancement - title: Provider Contingency Plan - params: - - id: cp-8.4_prm_1 - props: - - name: aggregates - value: cp-08.04_odp.01 - label: organization-defined frequency - - id: cp-08.04_odp.01 - props: - - name: label - value: CP-08(04)_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to obtain evidence of contingency - testing by providers is defined; - - id: cp-08.04_odp.02 - props: - - name: label - value: CP-08(04)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to obtain evidence of contingency - training by providers is defined; - props: - - name: label - value: CP-08(04) - - name: sort-id - value: cp-08.04 - links: - - href: "#cp-8" - rel: required - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - parts: - - id: cp-8.4_smt - name: statement - parts: - - id: cp-8.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Require primary and alternate telecommunications service - providers to have contingency plans; - - id: cp-8.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Review provider contingency plans to ensure that the - plans meet organizational contingency requirements; and - - id: cp-8.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Obtain evidence of contingency testing and training\ - \ by providers {{ insert: param, cp-8.4_prm_1 }}." - - id: cp-8.4_gdn - name: guidance - prose: Reviews of provider contingency plans consider the proprietary - nature of such plans. In some situations, a summary of provider - contingency plans may be sufficient evidence for organizations - to satisfy the review requirement. Telecommunications service - providers may also participate in ongoing disaster recovery exercises - in coordination with the Department of Homeland Security and state - and local governments. Organizations may use these types of activities - to satisfy evidentiary requirements related to service provider - contingency plan reviews, testing, and training. - - name: objective - props: - - name: label - value: CP-08(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-08(04)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-08(04)(a)[01] - class: sp800-53A - prose: primary telecommunications service providers are - required to have contingency plans; - - name: objective - props: - - name: label - value: CP-08(04)(a)[02] - class: sp800-53A - prose: alternate telecommunications service providers are - required to have contingency plans; - - name: objective - props: - - name: label - value: CP-08(04)(b) - class: sp800-53A - prose: provider contingency plans are reviewed to ensure that - the plans meet organizational contingency requirements; - - name: objective - props: - - name: label - value: CP-08(04)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-08(04)(c)[01] - class: sp800-53A - prose: "evidence of contingency testing by providers is\ - \ obtained {{ insert: param, cp-08.04_odp.01 }}." - - name: objective - props: - - name: label - value: CP-08(04)(c)[02] - class: sp800-53A - prose: "evidence of contingency training by providers is\ - \ obtained {{ insert: param, cp-08.04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing primary and alternate telecommunications - services - - - contingency plan - - - provider contingency plans - - - evidence of contingency testing/training by providers - - - primary and alternate telecommunications service agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, plan - implementation, and testing responsibilities - - - primary and alternate telecommunications service providers - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for acquisitions/contractual - agreements - - id: cp-8.5 - class: SP800-53-enhancement - title: Alternate Telecommunication Service Testing - params: - - id: cp-08.05_odp - props: - - name: legacy-identifier - value: cp-8.5_prm_1 - - name: label - value: CP-08(05)_ODP - label: frequency - guidelines: - - prose: frequency at which alternate telecommunications services - are tested is defined; - props: - - name: label - value: CP-08(05) - - name: sort-id - value: cp-08.05 - links: - - href: "#cp-8" - rel: required - - href: "#cp-3" - rel: related - parts: - - id: cp-8.5_smt - name: statement - prose: "Test alternate telecommunication services {{ insert: param,\ - \ cp-08.05_odp }}." - - id: cp-8.5_gdn - name: guidance - prose: Alternate telecommunications services testing is arranged - through contractual agreements with service providers. The testing - may occur in parallel with normal operations to ensure that there - is no degradation in organizational missions or functions. - - name: objective - props: - - name: label - value: CP-08(05) - class: sp800-53A - prose: "alternate telecommunications services are tested {{ insert:\ - \ param, cp-08.05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-08(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing alternate telecommunications services - - - contingency plan - - - evidence of testing alternate telecommunications services - - - alternate telecommunications service agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-08(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, plan - implementation, and testing responsibilities - - - alternate telecommunications service providers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-08(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting testing alternate telecommunications - services - - id: cp-9 - class: SP800-53 - title: System Backup - params: - - id: cp-09_odp.01 - props: - - name: legacy-identifier - value: cp-9_prm_1 - - name: label - value: CP-09_ODP[01] - label: system components - guidelines: - - prose: system components for which to conduct backups of user-level - information is defined; - - id: cp-09_odp.02 - props: - - name: legacy-identifier - value: cp-9_prm_2 - - name: label - value: CP-09_ODP[02] - label: frequency consistent with recovery time and recovery point objectives - guidelines: - - prose: frequency at which to conduct backups of user-level information - consistent with recovery time and recovery point objectives is - defined; - - id: cp-09_odp.03 - props: - - name: legacy-identifier - value: cp-9_prm_3 - - name: label - value: CP-09_ODP[03] - label: frequency consistent with recovery time and recovery point objectives - guidelines: - - prose: frequency at which to conduct backups of system-level information - consistent with recovery time and recovery point objectives is - defined; - - id: cp-09_odp.04 - props: - - name: legacy-identifier - value: cp-9_prm_4 - - name: label - value: CP-09_ODP[04] - label: frequency consistent with recovery time and recovery point objectives - guidelines: - - prose: frequency at which to conduct backups of system documentation - consistent with recovery time and recovery point objectives is - defined; - props: - - name: label - value: CP-09 - - name: sort-id - value: cp-09 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#3653e316-8923-430e-8943-b3b2b2562fc6" - rel: reference - - href: "#2494df28-9049-4196-b233-540e7440993f" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-9_smt - name: statement - parts: - - id: cp-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Conduct backups of user-level information contained in {{\ - \ insert: param, cp-09_odp.01 }} {{ insert: param, cp-09_odp.02\ - \ }};" - - id: cp-9_smt.b - name: item - props: - - name: label - value: b. - prose: "Conduct backups of system-level information contained in\ - \ the system {{ insert: param, cp-09_odp.03 }};" - - id: cp-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Conduct backups of system documentation, including security-\ - \ and privacy-related documentation {{ insert: param, cp-09_odp.04\ - \ }} ; and" - - id: cp-9_smt.d - name: item - props: - - name: label - value: d. - prose: Protect the confidentiality, integrity, and availability - of backup information. - - id: cp-9_gdn - name: guidance - prose: System-level information includes system state information, operating - system software, middleware, application software, and licenses. User-level - information includes information other than system-level information. - Mechanisms employed to protect the integrity of system backups include - digital signatures and cryptographic hashes. Protection of system - backup information while in transit is addressed by [MP-5](#mp-5) - and [SC-8](#sc-8) . System backups reflect the requirements in contingency - plans as well as other organizational requirements for backing up - information. Organizations may be subject to laws, executive orders, - directives, regulations, or policies with requirements regarding specific - categories of information (e.g., personal health information). Organizational - personnel consult with the senior agency official for privacy and - legal counsel regarding such requirements. - - name: objective - props: - - name: label - value: CP-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-09a. - class: sp800-53A - prose: "backups of user-level information contained in {{ insert:\ - \ param, cp-09_odp.01 }} are conducted {{ insert: param, cp-09_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: CP-09b. - class: sp800-53A - prose: "backups of system-level information contained in the system\ - \ are conducted {{ insert: param, cp-09_odp.03 }};" - - name: objective - props: - - name: label - value: CP-09c. - class: sp800-53A - prose: "backups of system documentation, including security- and\ - \ privacy-related documentation are conducted {{ insert: param,\ - \ cp-09_odp.04 }};" - - name: objective - props: - - name: label - value: CP-09d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-09d.[01] - class: sp800-53A - prose: the confidentiality of backup information is protected; - - name: objective - props: - - name: label - value: CP-09d.[02] - class: sp800-53A - prose: the integrity of backup information is protected; - - name: objective - props: - - name: label - value: CP-09d.[03] - class: sp800-53A - prose: the availability of backup information is protected. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system backup - - contingency plan - - backup storage location(s) - - system backup logs or records - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting system backups - - - automated mechanisms supporting and/or implementing system backups - controls: - - id: cp-9.1 - class: SP800-53-enhancement - title: Testing for Reliability and Integrity - params: - - id: cp-9.1_prm_1 - props: - - name: aggregates - value: cp-09.01_odp.01 - label: organization-defined frequency - - id: cp-09.01_odp.01 - props: - - name: label - value: CP-09(01)_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to test backup information for media - reliability is defined; - - id: cp-09.01_odp.02 - props: - - name: label - value: CP-09(01)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to test backup information for information - integrity is defined; - props: - - name: label - value: CP-09(01) - - name: sort-id - value: cp-09.01 - links: - - href: "#cp-9" - rel: required - - href: "#cp-4" - rel: related - parts: - - id: cp-9.1_smt - name: statement - prose: "Test backup information {{ insert: param, cp-9.1_prm_1 }}\ - \ to verify media reliability and information integrity." - - id: cp-9.1_gdn - name: guidance - prose: Organizations need assurance that backup information can - be reliably retrieved. Reliability pertains to the systems and - system components where the backup information is stored, the - operations used to retrieve the information, and the integrity - of the information being retrieved. Independent and specialized - tests can be used for each of the aspects of reliability. For - example, decrypting and transporting (or transmitting) a random - sample of backup files from the alternate storage or backup site - and comparing the information to the same information at the primary - processing site can provide such assurance. - - name: objective - props: - - name: label - value: CP-09(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-09(01)[01] - class: sp800-53A - prose: "backup information is tested {{ insert: param, cp-09.01_odp.01\ - \ }} to verify media reliability;" - - name: objective - props: - - name: label - value: CP-09(01)[02] - class: sp800-53A - prose: "backup information is tested {{ insert: param, cp-09.01_odp.02\ - \ }} to verify information integrity." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system backup - - contingency plan - - system backup test results - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting system backups - - - automated mechanisms supporting and/or implementing system - backups - - id: cp-9.2 - class: SP800-53-enhancement - title: Test Restoration Using Sampling - props: - - name: label - value: CP-09(02) - - name: sort-id - value: cp-09.02 - links: - - href: "#cp-9" - rel: required - - href: "#cp-4" - rel: related - parts: - - id: cp-9.2_smt - name: statement - prose: Use a sample of backup information in the restoration of - selected system functions as part of contingency plan testing. - - id: cp-9.2_gdn - name: guidance - prose: Organizations need assurance that system functions can be - restored correctly and can support established organizational - missions. To ensure that the selected system functions are thoroughly - exercised during contingency plan testing, a sample of backup - information is retrieved to determine whether the functions are - operating as intended. Organizations can determine the sample - size for the functions and backup information based on the level - of assurance needed. - - name: objective - props: - - name: label - value: CP-09(02) - class: sp800-53A - prose: a sample of backup information in the restoration of selected - system functions is used as part of contingency plan testing. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system backup - - contingency plan - - system backup test results - - contingency plan test documentation - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with contingency planning/contingency - plan testing responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting system backups - - - automated mechanisms supporting and/or implementing system - backups - - id: cp-9.3 - class: SP800-53-enhancement - title: Separate Storage for Critical Information - params: - - id: cp-09.03_odp - props: - - name: legacy-identifier - value: cp-9.3_prm_1 - - name: label - value: CP-09(03)_ODP - label: critical system software and other security-related information - guidelines: - - prose: critical system software and other security-related information - backups to be stored in a separate facility are defined; - props: - - name: label - value: CP-09(03) - - name: sort-id - value: cp-09.03 - links: - - href: "#cp-9" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - parts: - - id: cp-9.3_smt - name: statement - prose: "Store backup copies of {{ insert: param, cp-09.03_odp }}\ - \ in a separate facility or in a fire rated container that is\ - \ not collocated with the operational system." - - id: cp-9.3_gdn - name: guidance - prose: Separate storage for critical information applies to all - critical information regardless of the type of backup storage - media. Critical system software includes operating systems, middleware, - cryptographic key management systems, and intrusion detection - systems. Security-related information includes inventories of - system hardware, software, and firmware components. Alternate - storage sites, including geographically distributed architectures, - serve as separate storage facilities for organizations. Organizations - may provide separate storage by implementing automated backup - processes at alternative storage sites (e.g., data centers). The - General Services Administration (GSA) establishes standards and - specifications for security and fire rated containers. - - name: objective - props: - - name: label - value: CP-09(03) - class: sp800-53A - prose: "backup copies of {{ insert: param, cp-09.03_odp }} are stored\ - \ in a separate facility or in a fire rated container that is\ - \ not collocated with the operational system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system backup - - - contingency plan - - - backup storage location(s) - - - system backup configurations and associated documentation - - - system backup logs or records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and - plan implementation responsibilities - - - organizational personnel with system backup responsibilities - - - organizational personnel with information security responsibilities - - id: cp-9.4 - class: SP800-53-enhancement - title: Protection from Unauthorized Modification - props: - - name: label - value: CP-09(04) - - name: sort-id - value: cp-09.04 - - name: status - value: withdrawn - links: - - href: "#cp-9" - rel: incorporated-into - - id: cp-9.5 - class: SP800-53-enhancement - title: Transfer to Alternate Storage Site - params: - - id: cp-9.5_prm_1 - props: - - name: aggregates - value: cp-09.05_odp.01 - label: organization-defined time period and transfer rate consistent - with the recovery time and recovery point objectives - - id: cp-09.05_odp.01 - props: - - name: label - value: CP-09(05)_ODP[01] - label: time period consistent with the recovery time and recovery - point objectives - guidelines: - - prose: time period consistent with recovery time and recovery - point objectives is defined; - - id: cp-09.05_odp.02 - props: - - name: label - value: CP-09(05)_ODP[02] - label: transfer rate consistent with the recovery time and recovery - point objectives - guidelines: - - prose: transfer rate consistent with recovery time and recovery - point objectives is defined; - props: - - name: label - value: CP-09(05) - - name: sort-id - value: cp-09.05 - links: - - href: "#cp-9" - rel: required - - href: "#cp-7" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - parts: - - id: cp-9.5_smt - name: statement - prose: "Transfer system backup information to the alternate storage\ - \ site {{ insert: param, cp-9.5_prm_1 }}." - - id: cp-9.5_gdn - name: guidance - prose: System backup information can be transferred to alternate - storage sites either electronically or by the physical shipment - of storage media. - - name: objective - props: - - name: label - value: CP-09(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-09(05)[01] - class: sp800-53A - prose: "system backup information is transferred to the alternate\ - \ storage site for {{ insert: param, cp-09.05_odp.01 }};" - - name: objective - props: - - name: label - value: CP-09(05)[02] - class: sp800-53A - prose: "system backup information is transferred to the alternate\ - \ storage site {{ insert: param, cp-09.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system backup - - - contingency plan - - - system backup logs or records - - - evidence of system backup information transferred to alternate - storage site - - - alternate storage site agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for transferring system backups - to the alternate storage site - - - automated mechanisms supporting and/or implementing system - backups - - - automated mechanisms supporting and/or implementing information - transfer to the alternate storage site - - id: cp-9.6 - class: SP800-53-enhancement - title: Redundant Secondary System - props: - - name: label - value: CP-09(06) - - name: sort-id - value: cp-09.06 - links: - - href: "#cp-9" - rel: required - - href: "#cp-7" - rel: related - parts: - - id: cp-9.6_smt - name: statement - prose: Conduct system backup by maintaining a redundant secondary - system that is not collocated with the primary system and that - can be activated without loss of information or disruption to - operations. - - id: cp-9.6_gdn - name: guidance - prose: The effect of system backup can be achieved by maintaining - a redundant secondary system that mirrors the primary system, - including the replication of information. If this type of redundancy - is in place and there is sufficient geographic separation between - the two systems, the secondary system can also serve as the alternate - processing site. - - name: objective - props: - - name: label - value: CP-09(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-09(06)[01] - class: sp800-53A - prose: system backup is conducted by maintaining a redundant - secondary system that is not collocated with the primary system; - - name: objective - props: - - name: label - value: CP-09(06)[02] - class: sp800-53A - prose: system backup is conducted by maintaining a redundant - secondary system that can be activated without loss of information - or disruption to operations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system backup - - contingency plan - - system backup test results - - contingency plan test results - - contingency plan test documentation - - redundant secondary system for system backups - - location(s) of redundant secondary backup system(s) - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for the redundant - secondary system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for maintaining redundant - secondary systems - - - automated mechanisms supporting and/or implementing system - backups - - - automated mechanisms supporting and/or implementing information - transfer to a redundant secondary system - - id: cp-9.7 - class: SP800-53-enhancement - title: Dual Authorization for Deletion or Destruction - params: - - id: cp-09.07_odp - props: - - name: legacy-identifier - value: cp-9.7_prm_1 - - name: label - value: CP-09(07)_ODP - label: backup information - guidelines: - - prose: backup information for which to enforce dual authorization - in order to delete or destroy is defined; - props: - - name: label - value: CP-09(07) - - name: sort-id - value: cp-09.07 - links: - - href: "#cp-9" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#mp-2" - rel: related - parts: - - id: cp-9.7_smt - name: statement - prose: "Enforce dual authorization for the deletion or destruction\ - \ of {{ insert: param, cp-09.07_odp }}." - - id: cp-9.7_gdn - name: guidance - prose: Dual authorization ensures that deletion or destruction of - backup information cannot occur unless two qualified individuals - carry out the task. Individuals deleting or destroying backup - information possess the skills or expertise to determine if the - proposed deletion or destruction of information reflects organizational - policies and procedures. Dual authorization may also be known - as two-person control. To reduce the risk of collusion, organizations - consider rotating dual authorization duties to other individuals. - - name: objective - props: - - name: label - value: CP-09(07) - class: sp800-53A - prose: "dual authorization for the deletion or destruction of {{\ - \ insert: param, cp-09.07_odp }} is enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system backup - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - system generated list of dual authorization credentials or - rules - - - logs or records of deletion or destruction of backup information - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing dual - authorization - - - automated mechanisms supporting and/or implementing deletion/destruction - of backup information - - id: cp-9.8 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: cp-09.08_odp - props: - - name: legacy-identifier - value: cp-9.8_prm_1 - - name: label - value: CP-09(08)_ODP - label: backup information - guidelines: - - prose: backup information to protect against unauthorized disclosure - and modification is defined; - props: - - name: label - value: CP-09(08) - - name: sort-id - value: cp-09.08 - links: - - href: "#cp-9" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: cp-9.8_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent unauthorized\ - \ disclosure and modification of {{ insert: param, cp-09.08_odp\ - \ }}." - - id: cp-9.8_gdn - name: guidance - prose: The selection of cryptographic mechanisms is based on the - need to protect the confidentiality and integrity of backup information. - The strength of mechanisms selected is commensurate with the security - category or classification of the information. Cryptographic protection - applies to system backup information in storage at both primary - and alternate locations. Organizations that implement cryptographic - mechanisms to protect information at rest also consider cryptographic - key management solutions. - - name: objective - props: - - name: label - value: CP-09(08) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to prevent unauthorized\ - \ disclosure and modification of {{ insert: param, cp-09.08_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-09(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system backup - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-09(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system backup - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-09(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - protection of backup information - - id: cp-10 - class: SP800-53 - title: System Recovery and Reconstitution - params: - - id: cp-10_prm_1 - props: - - name: aggregates - value: cp-10_odp.01 - label: organization-defined time period consistent with recovery time - and recovery point objectives - - id: cp-10_odp.01 - props: - - name: label - value: CP-10_ODP[01] - label: time period consistent with recovery time and recovery point - objectives - guidelines: - - prose: time period consistent with recovery time and recovery point - objectives for the recovery of the system is determined; - - id: cp-10_odp.02 - props: - - name: label - value: CP-10_ODP[02] - label: time period consistent with recovery time and recovery point - objectives - guidelines: - - prose: time period consistent with recovery time and recovery point - objectives for the reconstitution of the system is determined; - props: - - name: label - value: CP-10 - - name: sort-id - value: cp-10 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - - href: "#ir-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-10_smt - name: statement - prose: "Provide for the recovery and reconstitution of the system to\ - \ a known state within {{ insert: param, cp-10_prm_1 }} after a disruption,\ - \ compromise, or failure." - - id: cp-10_gdn - name: guidance - prose: Recovery is executing contingency plan activities to restore - organizational mission and business functions. Reconstitution takes - place following recovery and includes activities for returning systems - to fully operational states. Recovery and reconstitution operations - reflect mission and business priorities; recovery point, recovery - time, and reconstitution objectives; and organizational metrics consistent - with contingency plan requirements. Reconstitution includes the deactivation - of interim system capabilities that may have been needed during recovery - operations. Reconstitution also includes assessments of fully restored - system capabilities, reestablishment of continuous monitoring activities, - system reauthorization (if required), and activities to prepare the - system and organization for future disruptions, breaches, compromises, - or failures. Recovery and reconstitution capabilities can include - automated mechanisms and manual procedures. Organizations establish - recovery time and recovery point objectives as part of contingency - planning. - - name: objective - props: - - name: label - value: CP-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: CP-10[01] - class: sp800-53A - prose: "the recovery of the system to a known state is provided\ - \ within {{ insert: param, cp-10_odp.01 }} after a disruption,\ - \ compromise, or failure;" - - name: objective - props: - - name: label - value: CP-10[02] - class: sp800-53A - prose: "a reconstitution of the system to a known state is provided\ - \ within {{ insert: param, cp-10_odp.02 }} after a disruption,\ - \ compromise, or failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing system backup - - contingency plan - - system backup test results - - contingency plan test results - - contingency plan test documentation - - redundant secondary system for system backups - - location(s) of redundant secondary backup system(s) - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning, - recovery, and/or reconstitution responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-10-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes implementing system recovery and - reconstitution operations - - - automated mechanisms supporting and/or implementing system recovery - and reconstitution operations - controls: - - id: cp-10.1 - class: SP800-53-enhancement - title: Contingency Plan Testing - props: - - name: label - value: CP-10(01) - - name: sort-id - value: cp-10.01 - - name: status - value: withdrawn - links: - - href: "#cp-4" - rel: incorporated-into - - id: cp-10.2 - class: SP800-53-enhancement - title: Transaction Recovery - props: - - name: label - value: CP-10(02) - - name: sort-id - value: cp-10.02 - links: - - href: "#cp-10" - rel: required - parts: - - id: cp-10.2_smt - name: statement - prose: Implement transaction recovery for systems that are transaction-based. - - id: cp-10.2_gdn - name: guidance - prose: Transaction-based systems include database management systems - and transaction processing systems. Mechanisms supporting transaction - recovery include transaction rollback and transaction journaling. - - name: objective - props: - - name: label - value: CP-10(02) - class: sp800-53A - prose: transaction recovery is implemented for systems that are - transaction-based. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-10(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system recovery and reconstitution - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - contingency plan test documentation - - - contingency plan test results - - - system transaction recovery records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-10(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - transaction recovery - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-10(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing transaction - recovery capability - - id: cp-10.3 - class: SP800-53-enhancement - title: Compensating Security Controls - props: - - name: label - value: CP-10(03) - - name: sort-id - value: cp-10.03 - - name: status - value: withdrawn - parts: - - id: cp-10.3_smt - name: statement - prose: Addressed through tailoring. - - id: cp-10.4 - class: SP800-53-enhancement - title: Restore Within Time Period - params: - - id: cp-10.04_odp - props: - - name: legacy-identifier - value: cp-10.4_prm_1 - - name: label - value: CP-10(04)_ODP - label: restoration time periods - guidelines: - - prose: restoration time period within which to restore system - components to a known, operational state is defined; - props: - - name: label - value: CP-10(04) - - name: sort-id - value: cp-10.04 - links: - - href: "#cp-10" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - parts: - - id: cp-10.4_smt - name: statement - prose: "Provide the capability to restore system components within\ - \ {{ insert: param, cp-10.04_odp }} from configuration-controlled\ - \ and integrity-protected information representing a known, operational\ - \ state for the components." - - id: cp-10.4_gdn - name: guidance - prose: Restoration of system components includes reimaging, which - restores the components to known, operational states. - - name: objective - props: - - name: label - value: CP-10(04) - class: sp800-53A - prose: "the capability to restore system components within {{ insert:\ - \ param, cp-10.04_odp }} from configuration-controlled and integrity-protected\ - \ information representing a known, operational state for the\ - \ components is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-10(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system recovery and reconstitution - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - contingency plan test documentation - - - contingency plan test results - - - evidence of system recovery and reconstitution operations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-10(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system recovery and - reconstitution responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-10(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing recovery/reconstitution - of system information - - id: cp-10.5 - class: SP800-53-enhancement - title: Failover Capability - props: - - name: label - value: CP-10(05) - - name: sort-id - value: cp-10.05 - - name: status - value: withdrawn - links: - - href: "#si-13" - rel: incorporated-into - - id: cp-10.6 - class: SP800-53-enhancement - title: Component Protection - props: - - name: label - value: CP-10(06) - - name: sort-id - value: cp-10.06 - links: - - href: "#cp-10" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: cp-10.6_smt - name: statement - prose: Protect system components used for recovery and reconstitution. - - id: cp-10.6_gdn - name: guidance - prose: Protection of system recovery and reconstitution components - (i.e., hardware, firmware, and software) includes physical and - technical controls. Backup and restoration components used for - recovery and reconstitution include router tables, compilers, - and other system software. - - name: objective - props: - - name: label - value: CP-10(06) - class: sp800-53A - prose: system components used for recovery and reconstitution are - protected. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-10(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing system recovery and reconstitution - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - logical access credentials - - - physical access credentials - - - logical access authorization records - - - physical access authorization records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-10(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system recovery and - reconstitution responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-10(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for protecting backup and - restoration of hardware, firmware, and software - - - automated mechanisms supporting and/or implementing protection - of backups and restoration of hardware, firmware, and software - - id: cp-11 - class: SP800-53 - title: Alternate Communications Protocols - params: - - id: cp-11_odp - props: - - name: legacy-identifier - value: cp-11_prm_1 - - name: label - value: CP-11_ODP - label: alternative communications protocols - guidelines: - - prose: alternative communications protocols in support of maintaining - continuity of operations are defined; - props: - - name: label - value: CP-11 - - name: sort-id - value: cp-11 - links: - - href: "#cp-2" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-13" - rel: related - parts: - - id: cp-11_smt - name: statement - prose: "Provide the capability to employ {{ insert: param, cp-11_odp\ - \ }} in support of maintaining continuity of operations." - - id: cp-11_gdn - name: guidance - prose: Contingency plans and the contingency training or testing associated - with those plans incorporate an alternate communications protocol - capability as part of establishing resilience in organizational systems. - Switching communications protocols may affect software applications - and operational aspects of systems. Organizations assess the potential - side effects of introducing alternate communications protocols prior - to implementation. - - name: objective - props: - - name: label - value: CP-11 - class: sp800-53A - prose: "the capability to employ {{ insert: param, cp-11_odp }} are\ - \ provided in support of maintaining continuity of operations." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Contingency planning policy - - - procedures addressing alternative communications protocols - - - contingency plan - - - continuity of operations plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of alternative communications protocols supporting continuity - of operations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with contingency planning and plan - implementation responsibilities - - - organizational personnel with continuity of operations planning - and plan implementation responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-11-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms employing alternative communications - protocols - - id: cp-12 - class: SP800-53 - title: Safe Mode - params: - - id: cp-12_odp.01 - props: - - name: legacy-identifier - value: cp-12_prm_2 - - name: label - value: CP-12_ODP[01] - label: restrictions for safe mode of operation - guidelines: - - prose: restrictions for safe mode of operation are defined; - - id: cp-12_odp.02 - props: - - name: legacy-identifier - value: cp-12_prm_1 - - name: label - value: CP-12_ODP[02] - label: conditions - guidelines: - - prose: conditions detected to enter a safe mode of operation are - defined; - props: - - name: label - value: CP-12 - - name: sort-id - value: cp-12 - links: - - href: "#cm-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - - href: "#si-17" - rel: related - parts: - - id: cp-12_smt - name: statement - prose: "When {{ insert: param, cp-12_odp.02 }} are detected, enter a\ - \ safe mode of operation with {{ insert: param, cp-12_odp.01 }}." - - id: cp-12_gdn - name: guidance - prose: For systems that support critical mission and business functions—including - military operations, civilian space operations, nuclear power plant - operations, and air traffic control operations (especially real-time - operational environments)—organizations can identify certain conditions - under which those systems revert to a predefined safe mode of operation. - The safe mode of operation, which can be activated either automatically - or manually, restricts the operations that systems can execute when - those conditions are encountered. Restriction includes allowing only - selected functions to execute that can be carried out under limited - power or with reduced communications bandwidth. - - name: objective - props: - - name: label - value: CP-12 - class: sp800-53A - prose: "a safe mode of operation is entered with {{ insert: param, cp-12_odp.01\ - \ }} when {{ insert: param, cp-12_odp.02 }} are detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-12-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing safe mode of operation for the system - - contingency plan - - system design documentation - - system configuration settings and associated documentation - - system administration manuals - - system operation manuals - - system installation manuals - - contingency plan test records - - incident handling records - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operation - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing safe mode of operation - - id: cp-13 - class: SP800-53 - title: Alternative Security Mechanisms - params: - - id: cp-13_odp.01 - props: - - name: legacy-identifier - value: cp-13_prm_1 - - name: label - value: CP-13_ODP[01] - label: alternative or supplemental security mechanisms - guidelines: - - prose: alternative or supplemental security mechanisms are defined; - - id: cp-13_odp.02 - props: - - name: legacy-identifier - value: cp-13_prm_2 - - name: label - value: CP-13_ODP[02] - label: security functions - guidelines: - - prose: security functions are defined; - props: - - name: label - value: CP-13 - - name: sort-id - value: cp-13 - links: - - href: "#cp-2" - rel: related - - href: "#cp-11" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-13_smt - name: statement - prose: "Employ {{ insert: param, cp-13_odp.01 }} for satisfying {{ insert:\ - \ param, cp-13_odp.02 }} when the primary means of implementing the\ - \ security function is unavailable or compromised." - - id: cp-13_gdn - name: guidance - prose: Use of alternative security mechanisms supports system resiliency, - contingency planning, and continuity of operations. To ensure mission - and business continuity, organizations can implement alternative or - supplemental security mechanisms. The mechanisms may be less effective - than the primary mechanisms. However, having the capability to readily - employ alternative or supplemental mechanisms enhances mission and - business continuity that might otherwise be adversely impacted if - operations had to be curtailed until the primary means of implementing - the functions was restored. Given the cost and level of effort required - to provide such alternative capabilities, the alternative or supplemental - mechanisms are only applied to critical security capabilities provided - by systems, system components, or system services. For example, an - organization may issue one-time pads to senior executives, officials, - and system administrators if multi-factor tokens—the standard means - for achieving secure authentication— are compromised. - - name: objective - props: - - name: label - value: CP-13 - class: sp800-53A - prose: "{{ insert: param, cp-13_odp.01 }} are employed for satisfying\ - \ {{ insert: param, cp-13_odp.02 }} when the primary means of implementing\ - \ the security function is unavailable or compromised." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: CP-13-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Contingency planning policy - - procedures addressing alternate security mechanisms - - contingency plan - - continuity of operations plan - - system design documentation - - system configuration settings and associated documentation - - contingency plan test records - - contingency plan test results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: CP-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operation - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: CP-13-Test - class: sp800-53A - parts: - - name: objects - prose: system capability implementing alternative security mechanisms - - id: ia - class: family - title: Identification and Authentication - controls: - - id: ia-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ia-1_prm_1 - props: - - name: aggregates - value: ia-01_odp.01 - label: organization-defined personnel or roles - - id: ia-01_odp.01 - props: - - name: label - value: IA-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the identification and authentication - policy is to be disseminated are defined; - - id: ia-01_odp.02 - props: - - name: label - value: IA-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the identification and authentication - procedures are to be disseminated is/are defined; - - id: ia-01_odp.03 - props: - - name: legacy-identifier - value: ia-1_prm_2 - - name: label - value: IA-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ia-01_odp.04 - props: - - name: legacy-identifier - value: ia-1_prm_3 - - name: label - value: IA-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the identification and authentication - policy and procedures is defined; - - id: ia-01_odp.05 - props: - - name: legacy-identifier - value: ia-1_prm_4 - - name: label - value: IA-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current identification and authentication - policy is reviewed and updated is defined; - - id: ia-01_odp.06 - props: - - name: legacy-identifier - value: ia-1_prm_5 - - name: label - value: IA-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current identification and - authentication policy to be reviewed and updated are defined; - - id: ia-01_odp.07 - props: - - name: legacy-identifier - value: ia-1_prm_6 - - name: label - value: IA-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current identification and authentication - procedures are reviewed and updated is defined; - - id: ia-01_odp.08 - props: - - name: legacy-identifier - value: ia-1_prm_7 - - name: label - value: IA-01_ODP[08] - label: events - guidelines: - - prose: events that would require identification and authentication - procedures to be reviewed and updated are defined; - props: - - name: label - value: IA-01 - - name: sort-id - value: ia-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#7f473f21-fdbf-4a6c-81a1-0ab95919609d" - rel: reference - - href: "#ac-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ia-1_smt - name: statement - parts: - - id: ia-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ia-1_prm_1 }}:" - parts: - - id: ia-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ia-01_odp.03 }} identification and\ - \ authentication policy that:" - parts: - - id: ia-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ia-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ia-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the identification - and authentication policy and the associated identification - and authentication controls; - - id: ia-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ia-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the identification\ - \ and authentication policy and procedures; and" - - id: ia-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current identification and authentication:" - parts: - - id: ia-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ia-01_odp.05 }} and following\ - \ {{ insert: param, ia-01_odp.06 }} ; and" - - id: ia-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ia-01_odp.07 }} and following\ - \ {{ insert: param, ia-01_odp.08 }}." - - id: ia-1_gdn - name: guidance - prose: Identification and authentication policy and procedures address - the controls in the IA family that are implemented within systems - and organizations. The risk management strategy is an important factor - in establishing such policies and procedures. Policies and procedures - contribute to security and privacy assurance. Therefore, it is important - that security and privacy programs collaborate on the development - of identification and authentication policy and procedures. Security - and privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission- - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies that reflect the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission or business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - identification and authentication policy and procedures include assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: IA-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01a.[01] - class: sp800-53A - prose: an identification and authentication policy is developed - and documented; - - name: objective - props: - - name: label - value: IA-01a.[02] - class: sp800-53A - prose: "the identification and authentication policy is disseminated\ - \ to {{ insert: param, ia-01_odp.01 }};" - - name: objective - props: - - name: label - value: IA-01a.[03] - class: sp800-53A - prose: identification and authentication procedures to facilitate - the implementation of the identification and authentication - policy and associated identification and authentication controls - are developed and documented; - - name: objective - props: - - name: label - value: IA-01a.[04] - class: sp800-53A - prose: "the identification and authentication procedures are\ - \ disseminated to {{ insert: param, ia-01_odp.02 }};" - - name: objective - props: - - name: label - value: IA-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses purpose;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses scope;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses roles;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses responsibilities;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses management commitment;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: IA-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy addresses compliance;" - - name: objective - props: - - name: label - value: IA-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.03 }} identification\ - \ and authentication policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: IA-01b. - class: sp800-53A - prose: "the {{ insert: param, ia-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the identification\ - \ and authentication policy and procedures;" - - name: objective - props: - - name: label - value: IA-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01c.01[01] - class: sp800-53A - prose: "the current identification and authentication policy\ - \ is reviewed and updated {{ insert: param, ia-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: IA-01c.01[02] - class: sp800-53A - prose: "the current identification and authentication policy\ - \ is reviewed and updated following {{ insert: param,\ - \ ia-01_odp.06 }};" - - name: objective - props: - - name: label - value: IA-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-01c.02[01] - class: sp800-53A - prose: "the current identification and authentication procedures\ - \ are reviewed and updated {{ insert: param, ia-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: IA-01c.02[02] - class: sp800-53A - prose: "the current identification and authentication procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ ia-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-01-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy and procedures - - - system security plan - - - privacy plan - - - risk management strategy documentation - - - list of events requiring identification and authentication procedures - to be reviewed and updated (e.g., audit findings) - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identification and - authentication responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - props: - - name: label - value: IA-02 - - name: sort-id - value: ia-02 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#10963761-58fc-4b20-b3d6-b44a54daba03" - rel: reference - - href: "#d9e036ba-6eec-46a6-9340-b0bf1fea23b4" - rel: reference - - href: "#e8552d48-cf41-40aa-8b06-f45f7fb4706c" - rel: reference - - href: "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c" - rel: reference - - href: "#4b38e961-1125-4a5b-aa35-1d6c02846dad" - rel: reference - - href: "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c" - rel: reference - - href: "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617" - rel: reference - - href: "#604774da-9e1d-48eb-9c62-4e959dc80737" - rel: reference - - href: "#7f473f21-fdbf-4a6c-81a1-0ab95919609d" - rel: reference - - href: "#3915a084-b87b-4f02-83d4-c369e746292f" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-1" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: ia-2_smt - name: statement - prose: Uniquely identify and authenticate organizational users and associate - that unique identification with processes acting on behalf of those - users. - - id: ia-2_gdn - name: guidance - prose: >- - Organizations can satisfy the identification and authentication - requirements by complying with the requirements in [HSPD - 12](#f16e438e-7114-4144-bfe2-2dfcad8cb2d0) . Organizational - users include employees or individuals who organizations - consider to have an equivalent status to employees (e.g., - contractors and guest researchers). Unique identification and - authentication of users applies to all accesses other than those - that are explicitly identified in [AC-14](#ac-14) and that occur - through the authorized use of group authenticators without - individual authentication. Since processes execute on behalf of - groups and roles, organizations may require unique - identification of individuals in group accounts or for detailed - accountability of individual activity. - - - Organizations employ passwords, physical authenticators, or biometrics - to authenticate user identities or, in the case of multi-factor authentication, - some combination thereof. Access to organizational systems is defined - as either local access or network access. Local access is any access - to organizational systems by users or processes acting on behalf of - users, where access is obtained through direct connections without - the use of networks. Network access is access to organizational systems - by users (or processes acting on behalf of users) where access is - obtained through network connections (i.e., nonlocal accesses). Remote - access is a type of network access that involves communication through - external networks. Internal networks include local area networks and - wide area networks. - - - The use of encrypted virtual private networks for network connections - between organization-controlled endpoints and non-organization-controlled - endpoints may be treated as internal networks with respect to protecting - the confidentiality and integrity of information traversing the network. - Identification and authentication requirements for non-organizational - users are described in [IA-8](#ia-8). - - name: objective - props: - - name: label - value: IA-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-02[01] - class: sp800-53A - prose: organizational users are uniquely identified and authenticated; - - name: objective - props: - - name: label - value: IA-02[02] - class: sp800-53A - prose: the unique identification of authenticated organizational - users is associated with processes acting on behalf of those users. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing user identification and authentication - - system security plan, system design documentation - - system configuration settings and associated documentation - - system audit records - - list of system accounts - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with account management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for uniquely identifying and - authenticating users - - - automated mechanisms supporting and/or implementing identification - and authentication capabilities - controls: - - id: ia-2.1 - class: SP800-53-enhancement - title: Multi-factor Authentication to Privileged Accounts - props: - - name: label - value: IA-02(01) - - name: sort-id - value: ia-02.01 - links: - - href: "#ia-2" - rel: required - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ia-2.1_smt - name: statement - prose: Implement multi-factor authentication for access to privileged - accounts. - - id: ia-2.1_gdn - name: guidance - prose: "Multi-factor authentication requires the use of two or more\ - \ different factors to achieve authentication. The authentication\ - \ factors are defined as follows: something you know (e.g., a\ - \ personal identification number [PIN]), something you have (e.g.,\ - \ a physical authenticator such as a cryptographic private key),\ - \ or something you are (e.g., a biometric). Multi-factor authentication\ - \ solutions that feature physical authenticators include hardware\ - \ authenticators that provide time-based or challenge-response\ - \ outputs and smart cards such as the U.S. Government Personal\ - \ Identity Verification (PIV) card or the Department of Defense\ - \ (DoD) Common Access Card (CAC). In addition to authenticating\ - \ users at the system level (i.e., at logon), organizations may\ - \ employ authentication mechanisms at the application level, at\ - \ their discretion, to provide increased security. Regardless\ - \ of the type of access (i.e., local, network, remote), privileged\ - \ accounts are authenticated using multi-factor options appropriate\ - \ for the level of risk. Organizations can add additional security\ - \ measures, such as additional or more rigorous authentication\ - \ mechanisms, for specific types of access." - - name: objective - props: - - name: label - value: IA-02(01) - class: sp800-53A - prose: multi-factor authentication is implemented for access to - privileged accounts. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing user identification and authentication - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system accounts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing multi-factor - authentication capability - - id: ia-2.2 - class: SP800-53-enhancement - title: Multi-factor Authentication to Non-privileged Accounts - props: - - name: label - value: IA-02(02) - - name: sort-id - value: ia-02.02 - links: - - href: "#ia-2" - rel: required - - href: "#ac-5" - rel: related - parts: - - id: ia-2.2_smt - name: statement - prose: Implement multi-factor authentication for access to non-privileged - accounts. - - id: ia-2.2_gdn - name: guidance - prose: "Multi-factor authentication requires the use of two or more\ - \ different factors to achieve authentication. The authentication\ - \ factors are defined as follows: something you know (e.g., a\ - \ personal identification number [PIN]), something you have (e.g.,\ - \ a physical authenticator such as a cryptographic private key),\ - \ or something you are (e.g., a biometric). Multi-factor authentication\ - \ solutions that feature physical authenticators include hardware\ - \ authenticators that provide time-based or challenge-response\ - \ outputs and smart cards such as the U.S. Government Personal\ - \ Identity Verification card or the DoD Common Access Card. In\ - \ addition to authenticating users at the system level, organizations\ - \ may also employ authentication mechanisms at the application\ - \ level, at their discretion, to provide increased information\ - \ security. Regardless of the type of access (i.e., local, network,\ - \ remote), non-privileged accounts are authenticated using multi-factor\ - \ options appropriate for the level of risk. Organizations can\ - \ provide additional security measures, such as additional or\ - \ more rigorous authentication mechanisms, for specific types\ - \ of access." - - name: objective - props: - - name: label - value: IA-02(02) - class: sp800-53A - prose: multi-factor authentication for access to non-privileged - accounts is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system accounts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing multi-factor - authentication capability - - id: ia-2.3 - class: SP800-53-enhancement - title: Local Access to Privileged Accounts - props: - - name: label - value: IA-02(03) - - name: sort-id - value: ia-02.03 - - name: status - value: withdrawn - links: - - href: "#ia-2.1" - rel: incorporated-into - - id: ia-2.4 - class: SP800-53-enhancement - title: Local Access to Non-privileged Accounts - props: - - name: label - value: IA-02(04) - - name: sort-id - value: ia-02.04 - - name: status - value: withdrawn - links: - - href: "#ia-2.2" - rel: incorporated-into - - id: ia-2.5 - class: SP800-53-enhancement - title: Individual Authentication with Group Authentication - props: - - name: label - value: IA-02(05) - - name: sort-id - value: ia-02.05 - links: - - href: "#ia-2" - rel: required - parts: - - id: ia-2.5_smt - name: statement - prose: When shared accounts or authenticators are employed, require - users to be individually authenticated before granting access - to the shared accounts or resources. - - id: ia-2.5_gdn - name: guidance - prose: Individual authentication prior to shared group authentication - mitigates the risk of using group accounts or authenticators. - - name: objective - props: - - name: label - value: IA-02(05) - class: sp800-53A - prose: users are required to be individually authenticated before - granting access to the shared accounts or resources when shared - accounts or authenticators are employed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system accounts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing authentication - capability for group accounts - - id: ia-2.6 - class: SP800-53-enhancement - title: Access to Accounts —separate Device - params: - - id: ia-02.06_odp.01 - props: - - name: legacy-identifier - value: ia-2.6_prm_1 - - name: label - value: IA-02(06)_ODP[01] - select: - how-many: one-or-more - choice: - - local - - network - - remote - - id: ia-02.06_odp.02 - props: - - name: legacy-identifier - value: ia-2.6_prm_2 - - name: label - value: IA-02(06)_ODP[02] - select: - how-many: one-or-more - choice: - - privileged accounts - - non-privileged accounts - - id: ia-02.06_odp.03 - props: - - name: legacy-identifier - value: ia-2.6_prm_3 - - name: label - value: IA-02(06)_ODP[03] - label: strength of mechanism requirements - guidelines: - - prose: the strength of mechanism requirements to be enforced - by a device separate from the system gaining access to accounts - is defined; - props: - - name: label - value: IA-02(06) - - name: sort-id - value: ia-02.06 - links: - - href: "#ia-2" - rel: required - - href: "#ac-6" - rel: related - parts: - - id: ia-2.6_smt - name: statement - prose: "Implement multi-factor authentication for {{ insert: param,\ - \ ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02\ - \ }} such that:" - parts: - - id: ia-2.6_smt.a - name: item - props: - - name: label - value: (a) - prose: One of the factors is provided by a device separate from - the system gaining access; and - - id: ia-2.6_smt.b - name: item - props: - - name: label - value: (b) - prose: "The device meets {{ insert: param, ia-02.06_odp.03 }}." - - id: ia-2.6_gdn - name: guidance - prose: The purpose of requiring a device that is separate from the - system to which the user is attempting to gain access for one - of the factors during multi-factor authentication is to reduce - the likelihood of compromising authenticators or credentials stored - on the system. Adversaries may be able to compromise such authenticators - or credentials and subsequently impersonate authorized users. - Implementing one of the factors on a separate device (e.g., a - hardware token), provides a greater strength of mechanism and - an increased level of assurance in the authentication process. - - name: objective - props: - - name: label - value: IA-02(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-02(06)(a) - class: sp800-53A - prose: "multi-factor authentication is implemented for {{ insert:\ - \ param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02\ - \ }} such that one of the factors is provided by a device\ - \ separate from the system gaining access;" - - name: objective - props: - - name: label - value: IA-02(06)(b) - class: sp800-53A - prose: "multi-factor authentication is implemented for {{ insert:\ - \ param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02\ - \ }} such that the device meets {{ insert: param, ia-02.06_odp.03\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system accounts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing multi-factor - authentication capability - - id: ia-2.7 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts — Separate Device - props: - - name: label - value: IA-02(07) - - name: sort-id - value: ia-02.07 - - name: status - value: withdrawn - links: - - href: "#ia-2.6" - rel: incorporated-into - - id: ia-2.8 - class: SP800-53-enhancement - title: Access to Accounts — Replay Resistant - params: - - id: ia-02.08_odp - props: - - name: legacy-identifier - value: ia-2.8_prm_1 - - name: label - value: IA-02(08)_ODP - select: - how-many: one-or-more - choice: - - privileged accounts - - non-privileged accounts - props: - - name: label - value: IA-02(08) - - name: sort-id - value: ia-02.08 - links: - - href: "#ia-2" - rel: required - parts: - - id: ia-2.8_smt - name: statement - prose: "Implement replay-resistant authentication mechanisms for\ - \ access to {{ insert: param, ia-02.08_odp }}." - - id: ia-2.8_gdn - name: guidance - prose: Authentication processes resist replay attacks if it is impractical - to achieve successful authentications by replaying previous authentication - messages. Replay-resistant techniques include protocols that use - nonces or challenges such as time synchronous or cryptographic - authenticators. - - name: objective - props: - - name: label - value: IA-02(08) - class: sp800-53A - prose: "replay-resistant authentication mechanisms for access to\ - \ {{ insert: param, ia-02.08_odp }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of privileged system accounts - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms supporting and/or implementing replay-resistant - authentication mechanisms - - id: ia-2.9 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts — Replay Resistant - props: - - name: label - value: IA-02(09) - - name: sort-id - value: ia-02.09 - - name: status - value: withdrawn - links: - - href: "#ia-2.8" - rel: incorporated-into - - id: ia-2.10 - class: SP800-53-enhancement - title: Single Sign-on - params: - - id: ia-02.10_odp - props: - - name: legacy-identifier - value: ia-2.10_prm_1 - - name: label - value: IA-02(10)_ODP - label: system accounts and services - guidelines: - - prose: system accounts and services for which a single sign-on - capability must be provided are defined; - props: - - name: label - value: IA-02(10) - - name: sort-id - value: ia-02.10 - links: - - href: "#ia-2" - rel: required - parts: - - id: ia-2.10_smt - name: statement - prose: "Provide a single sign-on capability for {{ insert: param,\ - \ ia-02.10_odp }}." - - id: ia-2.10_gdn - name: guidance - prose: Single sign-on enables users to log in once and gain access - to multiple system resources. Organizations consider the operational - efficiencies provided by single sign-on capabilities with the - risk introduced by allowing access to multiple systems via a single - authentication event. Single sign-on can present opportunities - to improve system security, for example by providing the ability - to add multi-factor authentication for applications and systems - (existing and new) that may not be able to natively support multi-factor - authentication. - - name: objective - props: - - name: label - value: IA-02(10) - class: sp800-53A - prose: "a single sign-on capability is provided for {{ insert: param,\ - \ ia-02.10_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing single sign-on capability for system - accounts and services - - - procedures addressing identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of system accounts and services requiring single sign-on - capability - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms supporting and/or implementing single - sign-on capability for system accounts and services - - id: ia-2.11 - class: SP800-53-enhancement - title: Remote Access — Separate Device - props: - - name: label - value: IA-02(11) - - name: sort-id - value: ia-02.11 - - name: status - value: withdrawn - links: - - href: "#ia-2.6" - rel: incorporated-into - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - props: - - name: label - value: IA-02(12) - - name: sort-id - value: ia-02.12 - links: - - href: "#ia-2" - rel: required - parts: - - id: ia-2.12_smt - name: statement - prose: Accept and electronically verify Personal Identity Verification-compliant - credentials. - - id: ia-2.12_gdn - name: guidance - prose: Acceptance of Personal Identity Verification (PIV)-compliant - credentials applies to organizations implementing logical access - control and physical access control systems. PIV-compliant credentials - are those credentials issued by federal agencies that conform - to FIPS Publication 201 and supporting guidance documents. The - adequacy and reliability of PIV card issuers are authorized using - [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03) . Acceptance - of PIV-compliant credentials includes derived PIV credentials, - the use of which is addressed in [SP 800-166](#e8552d48-cf41-40aa-8b06-f45f7fb4706c) - . The DOD Common Access Card (CAC) is an example of a PIV credential. - - name: objective - props: - - name: label - value: IA-02(12) - class: sp800-53A - prose: Personal Identity Verification-compliant credentials are - accepted and electronically verified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - PIV verification records - - - evidence of PIV credentials - - - PIV credential authorizations - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing acceptance - and verification of PIV credentials - - id: ia-2.13 - class: SP800-53-enhancement - title: Out-of-band Authentication - params: - - id: ia-02.13_odp.01 - props: - - name: legacy-identifier - value: ia-2.13_prm_2 - - name: label - value: IA-02(13)_ODP[01] - label: out-of-band authentication - guidelines: - - prose: out-of-band authentication mechanisms to be implemented - are defined; - - id: ia-02.13_odp.02 - props: - - name: legacy-identifier - value: ia-2.13_prm_1 - - name: label - value: IA-02(13)_ODP[02] - label: conditions - guidelines: - - prose: conditions under which out-of-band authentication is - to be implemented are defined; - props: - - name: label - value: IA-02(13) - - name: sort-id - value: ia-02.13 - links: - - href: "#ia-2" - rel: required - - href: "#ia-10" - rel: related - - href: "#ia-11" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ia-2.13_smt - name: statement - prose: "Implement the following out-of-band authentication mechanisms\ - \ under {{ insert: param, ia-02.13_odp.02 }}: {{ insert: param,\ - \ ia-02.13_odp.01 }}." - - id: ia-2.13_gdn - name: guidance - prose: Out-of-band authentication refers to the use of two separate - communication paths to identify and authenticate users or devices - to an information system. The first path (i.e., the in-band path) - is used to identify and authenticate users or devices and is generally - the path through which information flows. The second path (i.e., - the out-of-band path) is used to independently verify the authentication - and/or requested action. For example, a user authenticates via - a notebook computer to a remote server to which the user desires - access and requests some action of the server via that communication - path. Subsequently, the server contacts the user via the user’s - cell phone to verify that the requested action originated from - the user. The user may confirm the intended action to an individual - on the telephone or provide an authentication code via the telephone. - Out-of-band authentication can be used to mitigate actual or suspected - "man-in the-middle" attacks. The conditions or criteria for activation - include suspicious activities, new threat indicators, elevated - threat levels, or the impact or classification level of information - in requested transactions. - - name: objective - props: - - name: label - value: IA-02(13) - class: sp800-53A - prose: "{{ insert: param, ia-02.13_odp.01 }} mechanisms are implemented\ - \ under {{ insert: param, ia-02.13_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-02(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system-generated list of out-of-band authentication paths - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-02(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-02(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing out-of-band - authentication capability - - id: ia-3 - class: SP800-53 - title: Device Identification and Authentication - params: - - id: ia-03_odp.01 - props: - - name: legacy-identifier - value: ia-3_prm_1 - - name: label - value: IA-03_ODP[01] - label: devices and/or types of devices - guidelines: - - prose: devices and/or types of devices to be uniquely identified - and authenticated before establishing a connection are defined; - - id: ia-03_odp.02 - props: - - name: legacy-identifier - value: ia-3_prm_2 - - name: label - value: IA-03_ODP[02] - select: - how-many: one-or-more - choice: - - local - - remote - - network - props: - - name: label - value: IA-03 - - name: sort-id - value: ia-03 - links: - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-9" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-9" - rel: related - - href: "#ia-11" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ia-3_smt - name: statement - prose: "Uniquely identify and authenticate {{ insert: param, ia-03_odp.01\ - \ }} before establishing a {{ insert: param, ia-03_odp.02 }} connection." - - id: ia-3_gdn - name: guidance - prose: Devices that require unique device-to-device identification and - authentication are defined by type, device, or a combination of type - and device. Organization-defined device types include devices that - are not owned by the organization. Systems use shared known information - (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet - Protocol [TCP/IP] addresses) for device identification or organizational - authentication solutions (e.g., Institute of Electrical and Electronics - Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], - RADIUS server with EAP-Transport Layer Security [TLS] authentication, - Kerberos) to identify and authenticate devices on local and wide area - networks. Organizations determine the required strength of authentication - mechanisms based on the security categories of systems and mission - or business requirements. Because of the challenges of implementing - device authentication on a large scale, organizations can restrict - the application of the control to a limited number/type of devices - based on mission or business needs. - - name: objective - props: - - name: label - value: IA-03 - class: sp800-53A - prose: "{{ insert: param, ia-03_odp.01 }} are uniquely identified and\ - \ authenticated before establishing a {{ insert: param, ia-03_odp.02\ - \ }} connection." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing device identification and authentication - - - system design documentation - - - list of devices requiring unique identification and authentication - - - device connection reports - - - system configuration settings and associated documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with operational responsibilities - for device identification and authentication - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-03-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing device - identification and authentication capabilities - controls: - - id: ia-3.1 - class: SP800-53-enhancement - title: Cryptographic Bidirectional Authentication - params: - - id: ia-03.01_odp.01 - props: - - name: legacy-identifier - value: ia-3.1_prm_1 - - name: label - value: IA-03(01)_ODP[01] - label: devices and/or types of devices - guidelines: - - prose: devices and/or types of devices requiring use of cryptographically - based, bidirectional authentication to authenticate before - establishing one or more connections are defined; - - id: ia-03.01_odp.02 - props: - - name: legacy-identifier - value: ia-3.1_prm_2 - - name: label - value: IA-03(01)_ODP[02] - select: - how-many: one-or-more - choice: - - local - - remote - - network - props: - - name: label - value: IA-03(01) - - name: sort-id - value: ia-03.01 - links: - - href: "#ia-3" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ia-3.1_smt - name: statement - prose: "Authenticate {{ insert: param, ia-03.01_odp.01 }} before\ - \ establishing {{ insert: param, ia-03.01_odp.02 }} connection\ - \ using bidirectional authentication that is cryptographically\ - \ based." - - id: ia-3.1_gdn - name: guidance - prose: A local connection is a connection with a device that communicates - without the use of a network. A network connection is a connection - with a device that communicates through a network. A remote connection - is a connection with a device that communicates through an external - network. Bidirectional authentication provides stronger protection - to validate the identity of other devices for connections that - are of greater risk. - - name: objective - props: - - name: label - value: IA-03(01) - class: sp800-53A - prose: "{{ insert: param, ia-03.01_odp.01 }} are authenticated before\ - \ establishing {{ insert: param, ia-03.01_odp.02 }} connection\ - \ using bidirectional authentication that is cryptographically\ - \ based." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing device identification and authentication - - - system design documentation - - - list of devices requiring unique identification and authentication - - - device connection reports - - - system configuration settings and associated documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with operational - responsibilities for device identification and - authentication - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - device authentication capability - - - cryptographically based bidirectional authentication mechanisms - - id: ia-3.2 - class: SP800-53-enhancement - title: Cryptographic Bidirectional Network Authentication - props: - - name: label - value: IA-03(02) - - name: sort-id - value: ia-03.02 - - name: status - value: withdrawn - links: - - href: "#ia-3.1" - rel: incorporated-into - - id: ia-3.3 - class: SP800-53-enhancement - title: Dynamic Address Allocation - params: - - id: ia-03.03_odp - props: - - name: legacy-identifier - value: ia-3.3_prm_1 - - name: label - value: IA-03(03)_ODP - label: lease information and lease duration - guidelines: - - prose: lease information and lease duration to be employed to - standardize dynamic address allocation for devices are defined; - props: - - name: label - value: IA-03(03) - - name: sort-id - value: ia-03.03 - links: - - href: "#ia-3" - rel: required - - href: "#au-2" - rel: related - parts: - - id: ia-3.3_smt - name: statement - parts: - - id: ia-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Where addresses are allocated dynamically, standardize\ - \ dynamic address allocation lease information and the lease\ - \ duration assigned to devices in accordance with {{ insert:\ - \ param, ia-03.03_odp }} ; and" - - id: ia-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Audit lease information when assigned to a device. - - id: ia-3.3_gdn - name: guidance - prose: The Dynamic Host Configuration Protocol (DHCP) is an example - of a means by which clients can dynamically receive network address - assignments. - - name: objective - props: - - name: label - value: IA-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-03(03)(a) - class: sp800-53A - prose: "dynamic address allocation lease information and lease\ - \ duration assigned to devices where addresses are allocated\ - \ dynamically are standardized in accordance with {{ insert:\ - \ param, ia-03.03_odp }};" - - name: objective - props: - - name: label - value: IA-03(03)(b) - class: sp800-53A - prose: lease information is audited when assigned to a device. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing device identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - evidence of lease information and lease duration assigned - to devices - - - device connection reports - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with operational - responsibilities for device identification and - authentication - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - device identification and authentication capabilities - - - automated mechanisms supporting and/or implementing dynamic - address allocation - - - automated mechanisms supporting and/or implanting auditing - of lease information - - id: ia-3.4 - class: SP800-53-enhancement - title: Device Attestation - params: - - id: ia-03.04_odp - props: - - name: legacy-identifier - value: ia-3.4_prm_1 - - name: label - value: IA-03(04)_ODP - label: configuration management process - guidelines: - - prose: configuration management process to be employed to handle - device identification and authentication based on attestation - is defined; - props: - - name: label - value: IA-03(04) - - name: sort-id - value: ia-03.04 - links: - - href: "#ia-3" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-6" - rel: related - parts: - - id: ia-3.4_smt - name: statement - prose: "Handle device identification and authentication based on\ - \ attestation by {{ insert: param, ia-03.04_odp }}." - - id: ia-3.4_gdn - name: guidance - prose: Device attestation refers to the identification and authentication - of a device based on its configuration and known operating state. - Device attestation can be determined via a cryptographic hash - of the device. If device attestation is the means of identification - and authentication, then it is important that patches and updates - to the device are handled via a configuration management process - such that the patches and updates are done securely and do not - disrupt identification and authentication to other devices. - - name: objective - props: - - name: label - value: IA-03(04) - class: sp800-53A - prose: "device identification and authentication are handled based\ - \ on attestation by {{ insert: param, ia-03.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing device identification and authentication - - - procedures addressing device configuration management - - - system design documentation - - - system configuration settings and associated documentation - - - configuration management records - - - change control records - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with operational - responsibilities for device identification and - authentication - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - device identification and authentication capabilities - - - automated mechanisms supporting and/or implementing configuration - management - - - cryptographic mechanisms supporting device attestation - - id: ia-4 - class: SP800-53 - title: Identifier Management - params: - - id: ia-04_odp.01 - props: - - name: legacy-identifier - value: ia-4_prm_1 - - name: label - value: IA-04_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles from whom authorization must be received - to assign an identifier are defined; - - id: ia-04_odp.02 - props: - - name: legacy-identifier - value: ia-4_prm_2 - - name: label - value: IA-04_ODP[02] - label: time period - guidelines: - - prose: a time period for preventing reuse of identifiers is defined; - props: - - name: label - value: IA-04 - - name: sort-id - value: ia-04 - links: - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#ac-5" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ia-12" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ia-4_smt - name: statement - prose: "Manage system identifiers by:" - parts: - - id: ia-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Receiving authorization from {{ insert: param, ia-04_odp.01\ - \ }} to assign an individual, group, role, service, or device\ - \ identifier;" - - id: ia-4_smt.b - name: item - props: - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, - role, service, or device; - - id: ia-4_smt.c - name: item - props: - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, - role, service, or device; and - - id: ia-4_smt.d - name: item - props: - - name: label - value: d. - prose: "Preventing reuse of identifiers for {{ insert: param, ia-04_odp.02\ - \ }}." - - id: ia-4_gdn - name: guidance - prose: Common device identifiers include Media Access Control (MAC) - addresses, Internet Protocol (IP) addresses, or device-unique token - identifiers. The management of individual identifiers is not applicable - to shared system accounts. Typically, individual identifiers are the - usernames of the system accounts assigned to those individuals. In - such instances, the account management activities of [AC-2](#ac-2) - use account names provided by [IA-4](#ia-4) . Identifier management - also addresses individual identifiers not necessarily associated with - system accounts. Preventing the reuse of identifiers implies preventing - the assignment of previously used individual, group, role, service, - or device identifiers to different individuals, groups, roles, services, - or devices. - - name: objective - props: - - name: label - value: IA-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-04a. - class: sp800-53A - prose: "system identifiers are managed by receiving authorization\ - \ from {{ insert: param, ia-04_odp.01 }} to assign to an individual,\ - \ group, role, or device identifier;" - - name: objective - props: - - name: label - value: IA-04b. - class: sp800-53A - prose: system identifiers are managed by selecting an identifier - that identifies an individual, group, role, service, or device; - - name: objective - props: - - name: label - value: IA-04c. - class: sp800-53A - prose: system identifiers are managed by assigning the identifier - to the intended individual, group, role, service, or device; - - name: objective - props: - - name: label - value: IA-04d. - class: sp800-53A - prose: "system identifiers are managed by preventing reuse of identifiers\ - \ for {{ insert: param, ia-04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - procedures addressing account management - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of system accounts - - - list of identifiers generated from physical access control devices - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - controls: - - id: ia-4.1 - class: SP800-53-enhancement - title: Prohibit Account Identifiers as Public Identifiers - props: - - name: label - value: IA-04(01) - - name: sort-id - value: ia-04.01 - links: - - href: "#ia-4" - rel: required - - href: "#at-2" - rel: related - - href: "#pt-7" - rel: related - parts: - - id: ia-4.1_smt - name: statement - prose: Prohibit the use of system account identifiers that are the - same as public identifiers for individual accounts. - - id: ia-4.1_gdn - name: guidance - prose: Prohibiting account identifiers as public identifiers applies - to any publicly disclosed account identifier used for communication - such as, electronic mail and instant messaging. Prohibiting the - use of systems account identifiers that are the same as some public - identifier, such as the individual identifier section of an electronic - mail address, makes it more difficult for adversaries to guess - user identifiers. Prohibiting account identifiers as public identifiers - without the implementation of other supporting controls only complicates - guessing of identifiers. Additional protections are required for - authenticators and credentials to protect the account. - - name: objective - props: - - name: label - value: IA-04(01) - class: sp800-53A - prose: the use of system account identifiers that are the same as - public identifiers is prohibited for individual accounts. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing identifier management - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - - id: ia-4.2 - class: SP800-53-enhancement - title: Supervisor Authorization - props: - - name: label - value: IA-04(02) - - name: sort-id - value: ia-04.02 - - name: status - value: withdrawn - links: - - href: "#ia-12.1" - rel: incorporated-into - - id: ia-4.3 - class: SP800-53-enhancement - title: Multiple Forms of Certification - props: - - name: label - value: IA-04(03) - - name: sort-id - value: ia-04.03 - - name: status - value: withdrawn - links: - - href: "#ia-12.2" - rel: incorporated-into - - id: ia-4.4 - class: SP800-53-enhancement - title: Identify User Status - params: - - id: ia-04.04_odp - props: - - name: legacy-identifier - value: ia-4.4_prm_1 - - name: label - value: IA-04(04)_ODP - label: characteristics used to identify individual status - guidelines: - - prose: characteristics used to identify individual status is - defined; - props: - - name: label - value: IA-04(04) - - name: sort-id - value: ia-04.04 - links: - - href: "#ia-4" - rel: required - parts: - - id: ia-4.4_smt - name: statement - prose: "Manage individual identifiers by uniquely identifying each\ - \ individual as {{ insert: param, ia-04.04_odp }}." - - id: ia-4.4_gdn - name: guidance - prose: Characteristics that identify the status of individuals include - contractors, foreign nationals, and non-organizational users. - Identifying the status of individuals by these characteristics - provides additional information about the people with whom organizational - personnel are communicating. For example, it might be useful for - a government employee to know that one of the individuals on an - email message is a contractor. - - name: objective - props: - - name: label - value: IA-04(04) - class: sp800-53A - prose: "individual identifiers are managed by uniquely identifying\ - \ each individual as {{ insert: param, ia-04.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - system security plan - - procedures addressing identifier management - - procedures addressing account management - - list of characteristics identifying individual status - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - - id: ia-4.5 - class: SP800-53-enhancement - title: Dynamic Management - params: - - id: ia-04.05_odp - props: - - name: legacy-identifier - value: ia-4.5_prm_1 - - name: label - value: IA-04(05)_ODP - label: dynamic identifier policy - guidelines: - - prose: a dynamic identifier policy for managing individual identifiers - is defined; - props: - - name: label - value: IA-04(05) - - name: sort-id - value: ia-04.05 - links: - - href: "#ia-4" - rel: required - - href: "#ac-16" - rel: related - parts: - - id: ia-4.5_smt - name: statement - prose: "Manage individual identifiers dynamically in accordance\ - \ with {{ insert: param, ia-04.05_odp }}." - - id: ia-4.5_gdn - name: guidance - prose: In contrast to conventional approaches to identification - that presume static accounts for preregistered users, many distributed - systems establish identifiers at runtime for entities that were - previously unknown. When identifiers are established at runtime - for previously unknown entities, organizations can anticipate - and provision for the dynamic establishment of identifiers. Pre-established - trust relationships and mechanisms with appropriate authorities - to validate credentials and related identifiers are essential. - - name: objective - props: - - name: label - value: IA-04(05) - class: sp800-53A - prose: "individual identifiers are dynamically managed in accordance\ - \ with {{ insert: param, ia-04.05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing identifier management - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing dynamic - identifier management - - id: ia-4.6 - class: SP800-53-enhancement - title: Cross-organization Management - params: - - id: ia-04.06_odp - props: - - name: legacy-identifier - value: ia-4.6_prm_1 - - name: label - value: IA-04(06)_ODP - label: external organizations - guidelines: - - prose: external organizations with whom to coordinate the cross-organization - management of identifiers are defined; - props: - - name: label - value: IA-04(06) - - name: sort-id - value: ia-04.06 - links: - - href: "#ia-4" - rel: required - - href: "#au-16" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ia-4.6_smt - name: statement - prose: "Coordinate with the following external organizations for\ - \ cross-organization management of identifiers: {{ insert: param,\ - \ ia-04.06_odp }}." - - id: ia-4.6_gdn - name: guidance - prose: Cross-organization identifier management provides the capability - to identify individuals, groups, roles, or devices when conducting - cross-organization activities involving the processing, storage, - or transmission of information. - - name: objective - props: - - name: label - value: IA-04(06) - class: sp800-53A - prose: "cross-organization management of identifiers is coordinated\ - \ with {{ insert: param, ia-04.06_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identifier management - - procedures addressing account management - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - - id: ia-4.7 - class: SP800-53-enhancement - title: In-person Registration - props: - - name: label - value: IA-04(07) - - name: sort-id - value: ia-04.07 - - name: status - value: withdrawn - links: - - href: "#ia-12.4" - rel: incorporated-into - - id: ia-4.8 - class: SP800-53-enhancement - title: Pairwise Pseudonymous Identifiers - props: - - name: label - value: IA-04(08) - - name: sort-id - value: ia-04.08 - links: - - href: "#ia-4" - rel: required - - href: "#ia-5" - rel: related - parts: - - id: ia-4.8_smt - name: statement - prose: Generate pairwise pseudonymous identifiers. - - id: ia-4.8_gdn - name: guidance - prose: A pairwise pseudonymous identifier is an opaque unguessable - subscriber identifier generated by an identity provider for use - at a specific individual relying party. Generating distinct pairwise - pseudonymous identifiers with no identifying information about - a subscriber discourages subscriber activity tracking and profiling - beyond the operational requirements established by an organization. - The pairwise pseudonymous identifiers are unique to each relying - party except in situations where relying parties can show a demonstrable - relationship justifying an operational need for correlation, or - all parties consent to being correlated in such a manner. - - name: objective - props: - - name: label - value: IA-04(08) - class: sp800-53A - prose: pairwise pseudonymous identifiers are generated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing identifier management - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - - id: ia-4.9 - class: SP800-53-enhancement - title: Attribute Maintenance and Protection - params: - - id: ia-04.09_odp - props: - - name: legacy-identifier - value: ia-4.9_prm_1 - - name: label - value: IA-04(09)_ODP - label: protected central storage - guidelines: - - prose: protected central storage used to maintain the attributes - for each uniquely identified individual, device, or service - is defined; - props: - - name: label - value: IA-04(09) - - name: sort-id - value: ia-04.09 - links: - - href: "#ia-4" - rel: required - parts: - - id: ia-4.9_smt - name: statement - prose: "Maintain the attributes for each uniquely identified individual,\ - \ device, or service in {{ insert: param, ia-04.09_odp }}." - - id: ia-4.9_gdn - name: guidance - prose: For each of the entities covered in [IA-2](#ia-2), [IA-3](#ia-3), - [IA-8](#ia-8) , and [IA-9](#ia-9) , it is important to maintain - the attributes for each authenticated entity on an ongoing basis - in a central (protected) store. - - name: objective - props: - - name: label - value: IA-04(09) - class: sp800-53A - prose: "the attributes for each uniquely identified individual,\ - \ device, or service are maintained in {{ insert: param, ia-04.09_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-04(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing identifier management - - - procedures addressing account management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-04(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-04(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier - management - - id: ia-5 - class: SP800-53 - title: Authenticator Management - params: - - id: ia-05_odp.01 - props: - - name: legacy-identifier - value: ia-5_prm_1 - - name: label - value: IA-05_ODP[01] - label: time period by authenticator type - guidelines: - - prose: a time period for changing or refreshing authenticators by - authenticator type is defined; - - id: ia-05_odp.02 - props: - - name: legacy-identifier - value: ia-5_prm_2 - - name: label - value: IA-05_ODP[02] - label: events - guidelines: - - prose: events that trigger the change or refreshment of authenticators - are defined; - props: - - name: label - value: IA-05 - - name: sort-id - value: ia-05 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c" - rel: reference - - href: "#91701292-8bcd-4d2e-a5bd-59ab61e34b3c" - rel: reference - - href: "#4f5f51ac-2b8d-4b90-a3c7-46f56e967617" - rel: reference - - href: "#604774da-9e1d-48eb-9c62-4e959dc80737" - rel: reference - - href: "#81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#cm-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-7" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ia-5_smt - name: statement - prose: "Manage system authenticators by:" - parts: - - id: ia-5_smt.a - name: item - props: - - name: label - value: a. - prose: Verifying, as part of the initial authenticator distribution, - the identity of the individual, group, role, service, or device - receiving the authenticator; - - id: ia-5_smt.b - name: item - props: - - name: label - value: b. - prose: Establishing initial authenticator content for any authenticators - issued by the organization; - - id: ia-5_smt.c - name: item - props: - - name: label - value: c. - prose: Ensuring that authenticators have sufficient strength of - mechanism for their intended use; - - id: ia-5_smt.d - name: item - props: - - name: label - value: d. - prose: Establishing and implementing administrative procedures for - initial authenticator distribution, for lost or compromised or - damaged authenticators, and for revoking authenticators; - - id: ia-5_smt.e - name: item - props: - - name: label - value: e. - prose: Changing default authenticators prior to first use; - - id: ia-5_smt.f - name: item - props: - - name: label - value: f. - prose: "Changing or refreshing authenticators {{ insert: param,\ - \ ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;" - - id: ia-5_smt.g - name: item - props: - - name: label - value: g. - prose: Protecting authenticator content from unauthorized disclosure - and modification; - - id: ia-5_smt.h - name: item - props: - - name: label - value: h. - prose: Requiring individuals to take, and having devices implement, - specific controls to protect authenticators; and - - id: ia-5_smt.i - name: item - props: - - name: label - value: i. - prose: Changing authenticators for group or role accounts when membership - to those accounts changes. - - id: ia-5_gdn - name: guidance - prose: >- - Authenticators include passwords, cryptographic devices, - biometrics, certificates, one-time password devices, and ID - badges. Device authenticators include certificates and - passwords. Initial authenticator content is the actual content - of the authenticator (e.g., the initial password). In contrast, - the requirements for authenticator content contain specific - criteria or characteristics (e.g., minimum password length). - Developers may deliver system components with factory default - authentication credentials (i.e., passwords) to allow for - initial installation and configuration. Default authentication - credentials are often well known, easily discoverable, and - present a significant risk. The requirement to protect - individual authenticators may be implemented via control - [PL-4](#pl-4) or [PS-6](#ps-6) for authenticators in the - possession of individuals and by controls [AC-3](#ac-3), - [AC-6](#ac-6) , and [SC-28](#sc-28) for authenticators stored in - organizational systems, including passwords stored in hashed or - encrypted formats or files containing encrypted or hashed - passwords accessible with administrator privileges. - - - Systems support authenticator management by organization-defined settings - and restrictions for various authenticator characteristics (e.g., - minimum password length, validation time window for time synchronous - one-time tokens, and number of allowed rejections during the verification - stage of biometric authentication). Actions can be taken to safeguard - individual authenticators, including maintaining possession of authenticators, - not sharing authenticators with others, and immediately reporting - lost, stolen, or compromised authenticators. Authenticator management - includes issuing and revoking authenticators for temporary access - when no longer needed. - - name: objective - props: - - name: label - value: IA-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05a. - class: sp800-53A - prose: system authenticators are managed through the verification - of the identity of the individual, group, role, service, or device - receiving the authenticator as part of the initial authenticator - distribution; - - name: objective - props: - - name: label - value: IA-05b. - class: sp800-53A - prose: system authenticators are managed through the establishment - of initial authenticator content for any authenticators issued - by the organization; - - name: objective - props: - - name: label - value: IA-05c. - class: sp800-53A - prose: system authenticators are managed to ensure that authenticators - have sufficient strength of mechanism for their intended use; - - name: objective - props: - - name: label - value: IA-05d. - class: sp800-53A - prose: system authenticators are managed through the establishment - and implementation of administrative procedures for initial authenticator - distribution; lost, compromised, or damaged authenticators; and - the revocation of authenticators; - - name: objective - props: - - name: label - value: IA-05e. - class: sp800-53A - prose: system authenticators are managed through the change of default - authenticators prior to first use; - - name: objective - props: - - name: label - value: IA-05f. - class: sp800-53A - prose: "system authenticators are managed through the change or\ - \ refreshment of authenticators {{ insert: param, ia-05_odp.01\ - \ }} or when {{ insert: param, ia-05_odp.02 }} occur;" - - name: objective - props: - - name: label - value: IA-05g. - class: sp800-53A - prose: system authenticators are managed through the protection - of authenticator content from unauthorized disclosure and modification; - - name: objective - props: - - name: label - value: IA-05h. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05h.[01] - class: sp800-53A - prose: system authenticators are managed through the requirement - for individuals to take specific controls to protect authenticators; - - name: objective - props: - - name: label - value: IA-05h.[02] - class: sp800-53A - prose: system authenticators are managed through the requirement - for devices to implement specific controls to protect authenticators; - - name: objective - props: - - name: label - value: IA-05i. - class: sp800-53A - prose: system authenticators are managed through the change of authenticators - for group or role accounts when membership to those accounts changes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - addressing authenticator management - - - system design documentation - - - system configuration settings and associated documentation - - - list of system authenticator types - - - change control records associated with managing system authenticators - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing authenticator - management capability - controls: - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - params: - - id: ia-05.01_odp.01 - props: - - name: legacy-identifier - value: ia-5.1_prm_1 - - name: label - value: IA-05(01)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to update the list of commonly - used, expected, or compromised passwords is defined; - - id: ia-05.01_odp.02 - props: - - name: legacy-identifier - value: ia-5.1_prm_2 - - name: label - value: IA-05(01)_ODP[02] - label: composition and complexity rules - guidelines: - - prose: authenticator composition and complexity rules are defined; - props: - - name: label - value: IA-05(01) - - name: sort-id - value: ia-05.01 - links: - - href: "#ia-5" - rel: required - - href: "#ia-6" - rel: related - parts: - - id: ia-5.1_smt - name: statement - prose: "For password-based authentication:" - parts: - - id: ia-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Maintain a list of commonly-used, expected, or compromised\ - \ passwords and update the list {{ insert: param, ia-05.01_odp.01\ - \ }} and when organizational passwords are suspected to have\ - \ been compromised directly or indirectly;" - - id: ia-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify, when users create or update passwords, that the - passwords are not found on the list of commonly-used, expected, - or compromised passwords in IA-5(1)(a); - - id: ia-5.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Transmit passwords only over cryptographically-protected - channels; - - id: ia-5.1_smt.d - name: item - props: - - name: label - value: (d) - prose: Store passwords using an approved salted key derivation - function, preferably using a keyed hash; - - id: ia-5.1_smt.e - name: item - props: - - name: label - value: (e) - prose: Require immediate selection of a new password upon account - recovery; - - id: ia-5.1_smt.f - name: item - props: - - name: label - value: (f) - prose: Allow user selection of long passwords and passphrases, - including spaces and all printable characters; - - id: ia-5.1_smt.g - name: item - props: - - name: label - value: (g) - prose: Employ automated tools to assist the user in selecting - strong password authenticators; and - - id: ia-5.1_smt.h - name: item - props: - - name: label - value: (h) - prose: "Enforce the following composition and complexity rules:\ - \ {{ insert: param, ia-05.01_odp.02 }}." - - id: ia-5.1_gdn - name: guidance - prose: Password-based authentication applies to passwords regardless - of whether they are used in single-factor or multi-factor authentication. - Long passwords or passphrases are preferable over shorter passwords. - Enforced composition rules provide marginal security benefits - while decreasing usability. However, organizations may choose - to establish certain rules for password generation (e.g., minimum - character length for long passwords) under certain circumstances - and can enforce this requirement in IA-5(1)(h). Account recovery - can occur, for example, in situations when a password is forgotten. - Cryptographically protected passwords include salted one-way cryptographic - hashes of passwords. The list of commonly used, compromised, or - expected passwords includes passwords obtained from previous breach - corpuses, dictionary words, and repetitive or sequential characters. - The list includes context-specific words, such as the name of - the service, username, and derivatives thereof. - - name: objective - props: - - name: label - value: IA-05(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05(01)(a) - class: sp800-53A - prose: "for password-based authentication, a list of commonly\ - \ used, expected, or compromised passwords is maintained and\ - \ updated {{ insert: param, ia-05.01_odp.01 }} and when organizational\ - \ passwords are suspected to have been compromised directly\ - \ or indirectly;" - - name: objective - props: - - name: label - value: IA-05(01)(b) - class: sp800-53A - prose: for password-based authentication when passwords are - created or updated by users, the passwords are verified not - to be found on the list of commonly used, expected, or compromised - passwords in IA-05(01)(a); - - name: objective - props: - - name: label - value: IA-05(01)(c) - class: sp800-53A - prose: for password-based authentication, passwords are only - transmitted over cryptographically protected channels; - - name: objective - props: - - name: label - value: IA-05(01)(d) - class: sp800-53A - prose: for password-based authentication, passwords are stored - using an approved salted key derivation function, preferably - using a keyed hash; - - name: objective - props: - - name: label - value: IA-05(01)(e) - class: sp800-53A - prose: for password-based authentication, immediate selection - of a new password is required upon account recovery; - - name: objective - props: - - name: label - value: IA-05(01)(f) - class: sp800-53A - prose: for password-based authentication, user selection of - long passwords and passphrases is allowed, including spaces - and all printable characters; - - name: objective - props: - - name: label - value: IA-05(01)(g) - class: sp800-53A - prose: for password-based authentication, automated tools are - employed to assist the user in selecting strong password authenticators; - - name: objective - props: - - name: label - value: IA-05(01)(h) - class: sp800-53A - prose: "for password-based authentication, {{ insert: param,\ - \ ia-05.01_odp.02 }} are enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - password policy - - - procedures addressing authenticator management - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - password configurations and associated documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing password-based - authenticator management capability - - id: ia-5.2 - class: SP800-53-enhancement - title: Public Key-based Authentication - props: - - name: label - value: IA-05(02) - - name: sort-id - value: ia-05.02 - links: - - href: "#ia-5" - rel: required - - href: "#ia-3" - rel: related - - href: "#sc-17" - rel: related - parts: - - id: ia-5.2_smt - name: statement - parts: - - id: ia-5.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "For public key-based authentication:" - parts: - - id: ia-5.2_smt.a.1 - name: item - props: - - name: label - value: (01) - prose: Enforce authorized access to the corresponding private - key; and - - id: ia-5.2_smt.a.2 - name: item - props: - - name: label - value: (02) - prose: Map the authenticated identity to the account of - the individual or group; and - - id: ia-5.2_smt.b - name: item - props: - - name: label - value: (b) - prose: "When public key infrastructure (PKI) is used:" - parts: - - id: ia-5.2_smt.b.1 - name: item - props: - - name: label - value: (01) - prose: Validate certificates by constructing and verifying - a certification path to an accepted trust anchor, including - checking certificate status information; and - - id: ia-5.2_smt.b.2 - name: item - props: - - name: label - value: (02) - prose: Implement a local cache of revocation data to support - path discovery and validation. - - id: ia-5.2_gdn - name: guidance - prose: Public key cryptography is a valid authentication mechanism - for individuals, machines, and devices. For PKI solutions, status - information for certification paths includes certificate revocation - lists or certificate status protocol responses. For PIV cards, - certificate validation involves the construction and verification - of a certification path to the Common Policy Root trust anchor, - which includes certificate policy processing. Implementing a local - cache of revocation data to support path discovery and validation - also supports system availability in situations where organizations - are unable to access revocation information via the network. - - name: objective - props: - - name: label - value: IA-05(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05(02)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05(02)(a)(01) - class: sp800-53A - prose: authorized access to the corresponding private key - is enforced for public key-based authentication; - - name: objective - props: - - name: label - value: IA-05(02)(a)(02) - class: sp800-53A - prose: the authenticated identity is mapped to the account - of the individual or group for public key-based authentication; - - name: objective - props: - - name: label - value: IA-05(02)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05(02)(b)(01) - class: sp800-53A - prose: when public key infrastructure (PKI) is used, certificates - are validated by constructing and verifying a certification - path to an accepted trust anchor, including checking certificate - status information; - - name: objective - props: - - name: label - value: IA-05(02)(b)(02) - class: sp800-53A - prose: when public key infrastructure (PKI) is used, a local - cache of revocation data is implemented to support path - discovery and validation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing authenticator management - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - PKI certification validation records - - - PKI certification revocation lists - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with PKI-based, authenticator - management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing PKI-based, - authenticator management capability - - id: ia-5.3 - class: SP800-53-enhancement - title: In-person or Trusted External Party Registration - props: - - name: label - value: IA-05(03) - - name: sort-id - value: ia-05.03 - - name: status - value: withdrawn - links: - - href: "#ia-12.4" - rel: incorporated-into - - id: ia-5.4 - class: SP800-53-enhancement - title: Automated Support for Password Strength Determination - props: - - name: label - value: IA-05(04) - - name: sort-id - value: ia-05.04 - - name: status - value: withdrawn - links: - - href: "#ia-5.1" - rel: incorporated-into - - id: ia-5.5 - class: SP800-53-enhancement - title: Change Authenticators Prior to Delivery - props: - - name: label - value: IA-05(05) - - name: sort-id - value: ia-05.05 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.5_smt - name: statement - prose: Require developers and installers of system components to - provide unique authenticators or change default authenticators - prior to delivery and installation. - - id: ia-5.5_gdn - name: guidance - prose: Changing authenticators prior to the delivery and installation - of system components extends the requirement for organizations - to change default authenticators upon system installation by requiring - developers and/or installers to provide unique authenticators - or change default authenticators for system components prior to - delivery and/or installation. However, it typically does not apply - to developers of commercial off-the-shelf information technology - products. Requirements for unique authenticators can be included - in acquisition documents prepared by organizations when procuring - systems or system components. - - name: objective - props: - - name: label - value: IA-05(05) - class: sp800-53A - prose: developers and installers of system components are required - to provide unique authenticators or change default authenticators - prior to delivery and installation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - system and services acquisition policy - - - procedures addressing authenticator management - - - procedures addressing the integration of security requirements - into the acquisition process - - - acquisition documentation - - - acquisition contracts for system procurements or services - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security, acquisition, - and contracting responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing authenticator - management capability - - id: ia-5.6 - class: SP800-53-enhancement - title: Protection of Authenticators - props: - - name: label - value: IA-05(06) - - name: sort-id - value: ia-05.06 - links: - - href: "#ia-5" - rel: required - - href: "#ra-2" - rel: related - parts: - - id: ia-5.6_smt - name: statement - prose: Protect authenticators commensurate with the security category - of the information to which use of the authenticator permits access. - - id: ia-5.6_gdn - name: guidance - prose: For systems that contain multiple security categories of - information without reliable physical or logical separation between - categories, authenticators used to grant access to the systems - are protected commensurate with the highest security category - of information on the systems. Security categories of information - are determined as part of the security categorization process. - - name: objective - props: - - name: label - value: IA-05(06) - class: sp800-53A - prose: authenticators are protected commensurate with the security - category of the information to which use of the authenticator - permits access. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing authenticator management - - security categorization documentation for the system - - security assessments of authenticator protections - - risk assessment results - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel implementing and/or maintaining authenticator - protections - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - authenticator management capability - - - automated mechanisms protecting authenticators - - id: ia-5.7 - class: SP800-53-enhancement - title: No Embedded Unencrypted Static Authenticators - props: - - name: label - value: IA-05(07) - - name: sort-id - value: ia-05.07 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.7_smt - name: statement - prose: Ensure that unencrypted static authenticators are not embedded - in applications or other forms of static storage. - - id: ia-5.7_gdn - name: guidance - prose: In addition to applications, other forms of static storage - include access scripts and function keys. Organizations exercise - caution when determining whether embedded or stored authenticators - are in encrypted or unencrypted form. If authenticators are used - in the manner stored, then those representations are considered - unencrypted authenticators. - - name: objective - props: - - name: label - value: IA-05(07) - class: sp800-53A - prose: unencrypted static authenticators are not embedded in applications - or other forms of static storage. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing authenticator management - - - system design documentation - - - system configuration settings and associated documentation - - - logical access scripts - - - application code reviews for detecting unencrypted static - authenticators - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - authenticator management capability - - - automated mechanisms implementing authentication in applications - - id: ia-5.8 - class: SP800-53-enhancement - title: Multiple System Accounts - params: - - id: ia-05.08_odp - props: - - name: legacy-identifier - value: ia-5.8_prm_1 - - name: label - value: IA-05(08)_ODP - label: security controls - guidelines: - - prose: security controls implemented to manage the risk of compromise - due to individuals having accounts on multiple systems are - defined; - props: - - name: label - value: IA-05(08) - - name: sort-id - value: ia-05.08 - links: - - href: "#ia-5" - rel: required - - href: "#ps-6" - rel: related - parts: - - id: ia-5.8_smt - name: statement - prose: "Implement {{ insert: param, ia-05.08_odp }} to manage the\ - \ risk of compromise due to individuals having accounts on multiple\ - \ systems." - - id: ia-5.8_gdn - name: guidance - prose: When individuals have accounts on multiple systems and use - the same authenticators such as passwords, there is the risk that - a compromise of one account may lead to the compromise of other - accounts. Alternative approaches include having different authenticators - (passwords) on all systems, employing a single sign-on or federation - mechanism, or using some form of one-time passwords on all systems. - Organizations can also use rules of behavior (see [PL-4](#pl-4) - ) and access agreements (see [PS-6](#ps-6) ) to mitigate the risk - of multiple system accounts. - - name: objective - props: - - name: label - value: IA-05(08) - class: sp800-53A - prose: "{{ insert: param, ia-05.08_odp }} are implemented to manage\ - \ the risk of compromise due to individuals having accounts on\ - \ multiple systems." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing authenticator management - - - system security plan - - - list of individuals having accounts on multiple systems - - - list of security safeguards intended to manage risk of compromise - due to individuals having accounts on multiple systems - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing safeguards - for authenticator management - - id: ia-5.9 - class: SP800-53-enhancement - title: Federated Credential Management - params: - - id: ia-05.09_odp - props: - - name: legacy-identifier - value: ia-5.9_prm_1 - - name: label - value: IA-05(09)_ODP - label: external organizations - guidelines: - - prose: external organizations to be used for federating credentials - are defined; - props: - - name: label - value: IA-05(09) - - name: sort-id - value: ia-05.09 - links: - - href: "#ia-5" - rel: required - - href: "#au-7" - rel: related - - href: "#au-16" - rel: related - parts: - - id: ia-5.9_smt - name: statement - prose: "Use the following external organizations to federate credentials:\ - \ {{ insert: param, ia-05.09_odp }}." - - id: ia-5.9_gdn - name: guidance - prose: Federation provides organizations with the capability to - authenticate individuals and devices when conducting cross-organization - activities involving the processing, storage, or transmission - of information. Using a specific list of approved external organizations - for authentication helps to ensure that those organizations are - vetted and trusted. - - name: objective - props: - - name: label - value: IA-05(09) - class: sp800-53A - prose: "{{ insert: param, ia-05.09_odp }} are used to federate credentials." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing authenticator management - - procedures addressing account management - - system security plan - - security agreements - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(09)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing safeguards - for authenticator management - - id: ia-5.10 - class: SP800-53-enhancement - title: Dynamic Credential Binding - params: - - id: ia-05.10_odp - props: - - name: legacy-identifier - value: ia-5.10_prm_1 - - name: label - value: IA-05(10)_ODP - label: binding rules - guidelines: - - prose: rules for dynamically binding identities and authenticators - are defined; - props: - - name: label - value: IA-05(10) - - name: sort-id - value: ia-05.10 - links: - - href: "#ia-5" - rel: required - - href: "#au-16" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ia-5.10_smt - name: statement - prose: "Bind identities and authenticators dynamically using the\ - \ following rules: {{ insert: param, ia-05.10_odp }}." - - id: ia-5.10_gdn - name: guidance - prose: Authentication requires some form of binding between an identity - and the authenticator that is used to confirm the identity. In - conventional approaches, binding is established by pre-provisioning - both the identity and the authenticator to the system. For example, - the binding between a username (i.e., identity) and a password - (i.e., authenticator) is accomplished by provisioning the identity - and authenticator as a pair in the system. New authentication - techniques allow the binding between the identity and the authenticator - to be implemented external to a system. For example, with smartcard - credentials, the identity and authenticator are bound together - on the smartcard. Using these credentials, systems can authenticate - identities that have not been pre-provisioned, dynamically provisioning - the identity after authentication. In these situations, organizations - can anticipate the dynamic provisioning of identities. Pre-established - trust relationships and mechanisms with appropriate authorities - to validate identities and related credentials are essential. - - name: objective - props: - - name: label - value: IA-05(10) - class: sp800-53A - prose: "identities and authenticators are dynamically bound using\ - \ {{ insert: param, ia-05.10_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - system security plan - - - system design documentation - - - automated mechanisms providing dynamic binding of identifiers - and authenticators - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identifier management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing identifier management - capability - - - automated mechanisms implementing dynamic binding of identities - and authenticators - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - props: - - name: label - value: IA-05(11) - - name: sort-id - value: ia-05.11 - - name: status - value: withdrawn - links: - - href: "#ia-2.1" - rel: incorporated-into - - href: "#ia-2.2" - rel: incorporated-into - - id: ia-5.12 - class: SP800-53-enhancement - title: Biometric Authentication Performance - params: - - id: ia-05.12_odp - props: - - name: legacy-identifier - value: ia-5.12_prm_1 - - name: label - value: IA-05(12)_ODP - label: biometric quality requirements - guidelines: - - prose: biometric quality requirements for biometric-based authentication - are defined; - props: - - name: label - value: IA-05(12) - - name: sort-id - value: ia-05.12 - links: - - href: "#ia-5" - rel: required - - href: "#ac-7" - rel: related - parts: - - id: ia-5.12_smt - name: statement - prose: "For biometric-based authentication, employ mechanisms that\ - \ satisfy the following biometric quality requirements {{ insert:\ - \ param, ia-05.12_odp }}." - - id: ia-5.12_gdn - name: guidance - prose: Unlike password-based authentication, which provides exact - matches of user-input passwords to stored passwords, biometric - authentication does not provide exact matches. Depending on the - type of biometric and the type of collection mechanism, there - is likely to be some divergence from the presented biometric and - the stored biometric that serves as the basis for comparison. - Matching performance is the rate at which a biometric algorithm - correctly results in a match for a genuine user and rejects other - users. Biometric performance requirements include the match rate, - which reflects the accuracy of the biometric matching algorithm - used by a system. - - name: objective - props: - - name: label - value: IA-05(12) - class: sp800-53A - prose: "mechanisms that satisfy {{ insert: param, ia-05.12_odp }}\ - \ are employed for biometric-based authentication." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing authenticator management - - - system security plan - - - system design documentation - - - automated mechanisms employing biometric-based authentication - for the system - - - list of biometric quality requirements - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing biometric-based - authenticator management capability - - id: ia-5.13 - class: SP800-53-enhancement - title: Expiration of Cached Authenticators - params: - - id: ia-05.13_odp - props: - - name: legacy-identifier - value: ia-5.13_prm_1 - - name: label - value: IA-05(13)_ODP - label: time period - guidelines: - - prose: the time period after which the use of cached authenticators - is prohibited is defined; - props: - - name: label - value: IA-05(13) - - name: sort-id - value: ia-05.13 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.13_smt - name: statement - prose: "Prohibit the use of cached authenticators after {{ insert:\ - \ param, ia-05.13_odp }}." - - id: ia-5.13_gdn - name: guidance - prose: Cached authenticators are used to authenticate to the local - machine when the network is not available. If cached authentication - information is out of date, the validity of the authentication - information may be questionable. - - name: objective - props: - - name: label - value: IA-05(13) - class: sp800-53A - prose: "the use of cached authenticators is prohibited after {{\ - \ insert: param, ia-05.13_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing authenticator management - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing authenticator - management capability - - id: ia-5.14 - class: SP800-53-enhancement - title: Managing Content of PKI Trust Stores - props: - - name: label - value: IA-05(14) - - name: sort-id - value: ia-05.14 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.14_smt - name: statement - prose: For PKI-based authentication, employ an organization-wide - methodology for managing the content of PKI trust stores installed - across all platforms, including networks, operating systems, browsers, - and applications. - - id: ia-5.14_gdn - name: guidance - prose: An organization-wide methodology for managing the content - of PKI trust stores helps improve the accuracy and currency of - PKI-based authentication credentials across the organization. - - name: objective - props: - - name: label - value: IA-05(14) - class: sp800-53A - prose: an organization-wide methodology for managing the content - of PKI trust stores is employed across all platforms, including - networks, operating systems, browsers, and applications for PKI-based - authentication. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing authenticator management - - - system security plan - - - organizational methodology for managing content of PKI trust - stores across installed all platforms - - - system design documentation - - - system configuration settings and associated documentation - - - enterprise security architecture documentation - - - enterprise architecture documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with authenticator management - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - PKI-based authenticator management capability - - - automated mechanisms supporting and/or implementing the PKI - trust store capability - - id: ia-5.15 - class: SP800-53-enhancement - title: Gsa-approved Products and Services - props: - - name: label - value: IA-05(15) - - name: sort-id - value: ia-05.15 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.15_smt - name: statement - prose: Use only General Services Administration-approved products - and services for identity, credential, and access management. - - id: ia-5.15_gdn - name: guidance - prose: General Services Administration (GSA)-approved products and - services are products and services that have been approved through - the GSA conformance program, where applicable, and posted to the - GSA Approved Products List. GSA provides guidance for teams to - design and build functional and secure systems that comply with - Federal Identity, Credential, and Access Management (FICAM) policies, - technologies, and implementation patterns. - - name: objective - props: - - name: label - value: IA-05(15) - class: sp800-53A - prose: only General Services Administration-approved products and - services are used for identity, credential, and access management. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - system security plan - - - system design documentation - - - automated mechanisms providing dynamic binding of identifiers - and authenticators - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identification and - authentication management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(15)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - account management capability - - - automated mechanisms supporting and/or implementing identification - and authentication management capabilities for the system - - id: ia-5.16 - class: SP800-53-enhancement - title: In-person or Trusted External Party Authenticator Issuance - params: - - id: ia-05.16_odp.01 - props: - - name: legacy-identifier - value: ia-5.16_prm_1 - - name: label - value: IA-05(16)_ODP[01] - label: types of and/or specific authenticators - guidelines: - - prose: types of and/or specific authenticators to be issued - are defined; - - id: ia-05.16_odp.02 - props: - - name: legacy-identifier - value: ia-5.16_prm_2 - - name: label - value: IA-05(16)_ODP[02] - select: - choice: - - in person - - by a trusted external party - - id: ia-05.16_odp.03 - props: - - name: legacy-identifier - value: ia-5.16_prm_3 - - name: label - value: IA-05(16)_ODP[03] - label: registration authority - guidelines: - - prose: the registration authority that issues authenticators - is defined; - - id: ia-05.16_odp.04 - props: - - name: legacy-identifier - value: ia-5.16_prm_4 - - name: label - value: IA-05(16)_ODP[04] - label: personnel or roles - guidelines: - - prose: the personnel or roles who authorize the issuance of - authenticators are defined; - props: - - name: label - value: IA-05(16) - - name: sort-id - value: ia-05.16 - links: - - href: "#ia-5" - rel: required - - href: "#ia-12" - rel: related - parts: - - id: ia-5.16_smt - name: statement - prose: "Require that the issuance of {{ insert: param, ia-05.16_odp.01\ - \ }} be conducted {{ insert: param, ia-05.16_odp.02 }} before\ - \ {{ insert: param, ia-05.16_odp.03 }} with authorization by {{\ - \ insert: param, ia-05.16_odp.04 }}." - - id: ia-5.16_gdn - name: guidance - prose: Issuing authenticators in person or by a trusted external - party enhances and reinforces the trustworthiness of the identity - proofing process. - - name: objective - props: - - name: label - value: IA-05(16) - class: sp800-53A - prose: "the issuance of {{ insert: param, ia-05.16_odp.01 }} is\ - \ required to be conducted {{ insert: param, ia-05.16_odp.02 }}\ - \ before {{ insert: param, ia-05.16_odp.03 }} with authorization\ - \ by {{ insert: param, ia-05.16_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(16)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - system security plan - - - system design documentation - - - automated mechanisms providing dynamic binding of identifiers - and authenticators - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(16)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identification and - authentication management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(16)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - account management capability - - - automated mechanisms supporting and/or implementing identification - and authentication management capabilities for the system - - id: ia-5.17 - class: SP800-53-enhancement - title: Presentation Attack Detection for Biometric Authenticators - props: - - name: label - value: IA-05(17) - - name: sort-id - value: ia-05.17 - links: - - href: "#ia-5" - rel: required - - href: "#ac-7" - rel: related - parts: - - id: ia-5.17_smt - name: statement - prose: Employ presentation attack detection mechanisms for biometric-based - authentication. - - id: ia-5.17_gdn - name: guidance - prose: Biometric characteristics do not constitute secrets. Such - characteristics can be obtained by online web accesses, taking - a picture of someone with a camera phone to obtain facial images - with or without their knowledge, lifting from objects that someone - has touched (e.g., a latent fingerprint), or capturing a high-resolution - image (e.g., an iris pattern). Presentation attack detection technologies - including liveness detection, can mitigate the risk of these types - of attacks by making it difficult to produce artifacts intended - to defeat the biometric sensor. - - name: objective - props: - - name: label - value: IA-05(17) - class: sp800-53A - prose: presentation attack detection mechanisms are employed for - biometric-based authentication. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - system security plan - - - system design documentation - - - automated mechanisms providing dynamic binding of identifiers - and authenticators - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identification and - authentication management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(17)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - account management capability - - - automated mechanisms supporting and/or implementing identification - and authentication management capabilities for the system - - id: ia-5.18 - class: SP800-53-enhancement - title: Password Managers - params: - - id: ia-05.18_odp.01 - props: - - name: legacy-identifier - value: ia-5.18_prm_1 - - name: label - value: IA-05(18)_ODP[01] - label: password managers - guidelines: - - prose: password managers employed for generating and managing - passwords are defined; - - id: ia-05.18_odp.02 - props: - - name: legacy-identifier - value: ia-5.18_prm_2 - - name: label - value: IA-05(18)_ODP[02] - label: controls - guidelines: - - prose: controls for protecting passwords are defined; - props: - - name: label - value: IA-05(18) - - name: sort-id - value: ia-05.18 - links: - - href: "#ia-5" - rel: required - parts: - - id: ia-5.18_smt - name: statement - parts: - - id: ia-5.18_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ {{ insert: param, ia-05.18_odp.01 }} to generate\ - \ and manage passwords; and" - - id: ia-5.18_smt.b - name: item - props: - - name: label - value: (b) - prose: "Protect the passwords using {{ insert: param, ia-05.18_odp.02\ - \ }}." - - id: ia-5.18_gdn - name: guidance - prose: For systems where static passwords are employed, it is often - a challenge to ensure that the passwords are suitably complex - and that the same passwords are not employed on multiple systems. - A password manager is a solution to this problem as it automatically - generates and stores strong and different passwords for various - accounts. A potential risk of using password managers is that - adversaries can target the collection of passwords generated by - the password manager. Therefore, the collection of passwords requires - protection including encrypting the passwords (see [IA-5(1)(d)](#ia-5.1_smt.d) - ) and storing the collection offline in a token. - - name: objective - props: - - name: label - value: IA-05(18) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-05(18)(a) - class: sp800-53A - prose: "{{ insert: param, ia-05.18_odp.01 }} are employed to\ - \ generate and manage passwords;" - - name: objective - props: - - name: label - value: IA-05(18)(b) - class: sp800-53A - prose: "the passwords are protected using {{ insert: param,\ - \ ia-05.18_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-05(18)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing identifier management - - - system security plan - - - system design documentation - - - automated mechanisms providing dynamic binding of identifiers - and authenticators - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-05(18)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with identification and - authentication management responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-05(18)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - account management capability - - - automated mechanisms supporting and/or implementing identification - and authentication management capabilities for the system - - id: ia-6 - class: SP800-53 - title: Authentication Feedback - props: - - name: label - value: IA-06 - - name: sort-id - value: ia-06 - links: - - href: "#ac-3" - rel: related - parts: - - id: ia-6_smt - name: statement - prose: Obscure feedback of authentication information during the authentication - process to protect the information from possible exploitation and - use by unauthorized individuals. - - id: ia-6_gdn - name: guidance - prose: Authentication feedback from systems does not provide information - that would allow unauthorized individuals to compromise authentication - mechanisms. For some types of systems, such as desktops or notebooks - with relatively large monitors, the threat (referred to as shoulder - surfing) may be significant. For other types of systems, such as mobile - devices with small displays, the threat may be less significant and - is balanced against the increased likelihood of typographic input - errors due to small keyboards. Thus, the means for obscuring authentication - feedback is selected accordingly. Obscuring authentication feedback - includes displaying asterisks when users type passwords into input - devices or displaying feedback for a very limited time before obscuring - it. - - name: objective - props: - - name: label - value: IA-06 - class: sp800-53A - prose: the feedback of authentication information is obscured during - the authentication process to protect the information from possible - exploitation and use by unauthorized individuals. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - system security plan - - procedures addressing authenticator feedback - - system design documentation - - system configuration settings and associated documentation - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-06-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the obscuring - of feedback of authentication information during authentication - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - props: - - name: label - value: IA-07 - - name: sort-id - value: ia-07 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ia-7_smt - name: statement - prose: Implement mechanisms for authentication to a cryptographic module - that meet the requirements of applicable laws, executive orders, directives, - policies, regulations, standards, and guidelines for such authentication. - - id: ia-7_gdn - name: guidance - prose: Authentication mechanisms may be required within a cryptographic - module to authenticate an operator accessing the module and to verify - that the operator is authorized to assume the requested role and perform - services within that role. - - name: objective - props: - - name: label - value: IA-07 - class: sp800-53A - prose: mechanisms for authentication to a cryptographic module are implemented - that meet the requirements of applicable laws, Executive Orders, directives, - policies, regulations, standards, and guidelines for such authentication. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - system security plan - - procedures addressing cryptographic module authentication - - system design documentation - - system configuration settings and associated documentation - - system audit records - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - cryptographic module authentication - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-07-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - module authentication - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - props: - - name: label - value: IA-08 - - name: sort-id - value: ia-08 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#a1555677-2b9d-4868-a97b-a1363aff32f5" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#10963761-58fc-4b20-b3d6-b44a54daba03" - rel: reference - - href: "#2100332a-16a5-4598-bacf-7261baea9711" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-10" - rel: related - - href: "#ia-11" - rel: related - - href: "#ma-4" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: ia-8_smt - name: statement - prose: Uniquely identify and authenticate non-organizational users or - processes acting on behalf of non-organizational users. - - id: ia-8_gdn - name: guidance - prose: Non-organizational users include system users other than organizational - users explicitly covered by [IA-2](#ia-2) . Non-organizational users - are uniquely identified and authenticated for accesses other than - those explicitly identified and documented in [AC-14](#ac-14) . Identification - and authentication of non-organizational users accessing federal systems - may be required to protect federal, proprietary, or privacy-related - information (with exceptions noted for national security systems). - Organizations consider many factors—including security, privacy, scalability, - and practicality—when balancing the need to ensure ease of use for - access to federal information and systems with the need to protect - and adequately mitigate risk. - - name: objective - props: - - name: label - value: IA-08 - class: sp800-53A - prose: non-organizational users or processes acting on behalf of non-organizational - users are uniquely identified and authenticated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - system security plan - - privacy plan - - procedures addressing user identification and authentication - - system design documentation - - system configuration settings and associated documentation - - system audit records - - list of system accounts - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - controls: - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - props: - - name: label - value: IA-08(01) - - name: sort-id - value: ia-08.01 - links: - - href: "#ia-8" - rel: required - - href: "#pe-3" - rel: related - parts: - - id: ia-8.1_smt - name: statement - prose: Accept and electronically verify Personal Identity Verification-compliant - credentials from other federal agencies. - - id: ia-8.1_gdn - name: guidance - prose: Acceptance of Personal Identity Verification (PIV) credentials - from other federal agencies applies to both logical and physical - access control systems. PIV credentials are those credentials - issued by federal agencies that conform to FIPS Publication 201 - and supporting guidelines. The adequacy and reliability of PIV - card issuers are addressed and authorized using [SP 800-79-2](#10963761-58fc-4b20-b3d6-b44a54daba03). - - name: objective - props: - - name: label - value: IA-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-08(01)[01] - class: sp800-53A - prose: Personal Identity Verification-compliant credentials - from other federal agencies are accepted; - - name: objective - props: - - name: label - value: IA-08(01)[02] - class: sp800-53A - prose: Personal Identity Verification-compliant credentials - from other federal agencies are electronically verified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - PIV verification records - - - evidence of PIV credentials - - - PIV credential authorizations - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms that accept and verify PIV credentials - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of External Authenticators - props: - - name: label - value: IA-08(02) - - name: sort-id - value: ia-08.02 - links: - - href: "#ia-8" - rel: required - parts: - - id: ia-8.2_smt - name: statement - parts: - - id: ia-8.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Accept only external authenticators that are NIST-compliant; - and - - id: ia-8.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Document and maintain a list of accepted external authenticators. - - id: ia-8.2_gdn - name: guidance - prose: Acceptance of only NIST-compliant external authenticators - applies to organizational systems that are accessible to the public - (e.g., public-facing websites). External authenticators are issued - by nonfederal government entities and are compliant with [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) - . Approved external authenticators meet or exceed the minimum - Federal Government-wide technical, security, privacy, and organizational - maturity requirements. Meeting or exceeding Federal requirements - allows Federal Government relying parties to trust external authenticators - in connection with an authentication transaction at a specified - authenticator assurance level. - - name: objective - props: - - name: label - value: IA-08(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-08(02)(a) - class: sp800-53A - prose: only external authenticators that are NIST-compliant - are accepted; - - name: objective - props: - - name: label - value: IA-08(02)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-08(02)(b)[01] - class: sp800-53A - prose: a list of accepted external authenticators is documented; - - name: objective - props: - - name: label - value: IA-08(02)(b)[02] - class: sp800-53A - prose: a list of accepted external authenticators is maintained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of third-party credentialing products, components, or - services procured and implemented by organization - - - third-party credential verification records - - - evidence of third-party credentials - - - third-party credential authorizations - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms that accept external credentials - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - props: - - name: label - value: IA-08(03) - - name: sort-id - value: ia-08.03 - - name: status - value: withdrawn - links: - - href: "#ia-8.2" - rel: incorporated-into - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Defined Profiles - params: - - id: ia-08.04_odp - props: - - name: legacy-identifier - value: ia-8.4_prm_1 - - name: label - value: IA-08(04)_ODP - label: identity management profiles - guidelines: - - prose: identity management profiles are defined; - props: - - name: label - value: IA-08(04) - - name: sort-id - value: ia-08.04 - links: - - href: "#ia-8" - rel: required - parts: - - id: ia-8.4_smt - name: statement - prose: "Conform to the following profiles for identity management\ - \ {{ insert: param, ia-08.04_odp }}." - - id: ia-8.4_gdn - name: guidance - prose: Organizations define profiles for identity management based - on open identity management standards. To ensure that open identity - management standards are viable, robust, reliable, sustainable, - and interoperable as documented, the Federal Government assesses - and scopes the standards and technology implementations against - applicable laws, executive orders, directives, policies, regulations, - standards, and guidelines. - - name: objective - props: - - name: label - value: IA-08(04) - class: sp800-53A - prose: "there is conformance with {{ insert: param, ia-08.04_odp\ - \ }} for identity management." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms supporting and/or implementing conformance - with profiles - - id: ia-8.5 - class: SP800-53-enhancement - title: Acceptance of PIV-I Credentials - params: - - id: ia-08.05_odp - props: - - name: legacy-identifier - value: ia-8.5_prm_1 - - name: label - value: IA-08(05)_ODP - label: policy - guidelines: - - prose: a policy for using federated or PKI credentials is defined; - props: - - name: label - value: IA-08(05) - - name: sort-id - value: ia-08.05 - links: - - href: "#ia-8" - rel: required - parts: - - id: ia-8.5_smt - name: statement - prose: "Accept and verify federated or PKI credentials that meet\ - \ {{ insert: param, ia-08.05_odp }}." - - id: ia-8.5_gdn - name: guidance - prose: Acceptance of PIV-I credentials can be implemented by PIV, - PIV-I, and other commercial or external identity providers. The - acceptance and verification of PIV-I-compliant credentials apply - to both logical and physical access control systems. The acceptance - and verification of PIV-I credentials address nonfederal issuers - of identity cards that desire to interoperate with United States - Government PIV systems and that can be trusted by Federal Government-relying - parties. The X.509 certificate policy for the Federal Bridge Certification - Authority (FBCA) addresses PIV-I requirements. The PIV-I card - is commensurate with the PIV credentials as defined in cited references. - PIV-I credentials are the credentials issued by a PIV-I provider - whose PIV-I certificate policy maps to the Federal Bridge PIV-I - Certificate Policy. A PIV-I provider is cross-certified with the - FBCA (directly or through another PKI bridge) with policies that - have been mapped and approved as meeting the requirements of the - PIV-I policies defined in the FBCA certificate policy. - - name: objective - props: - - name: label - value: IA-08(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-08(05)[01] - class: sp800-53A - prose: "federated or PKI credentials that meet {{ insert: param,\ - \ ia-08.05_odp }} are accepted;" - - name: objective - props: - - name: label - value: IA-08(05)[02] - class: sp800-53A - prose: "federated or PKI credentials that meet {{ insert: param,\ - \ ia-08.05_odp }} are verified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - PIV-I verification records - - - evidence of PIV-I credentials - - - PIV-I credential authorizations - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - identification and authentication capabilities - - - automated mechanisms that accept and verify PIV-I credentials - - id: ia-8.6 - class: SP800-53-enhancement - title: Disassociability - params: - - id: ia-08.06_odp - props: - - name: legacy-identifier - value: ia-8.6_prm_1 - - name: label - value: IA-08(06)_ODP - label: measures - guidelines: - - prose: disassociability measures are defined; - props: - - name: label - value: IA-08(06) - - name: sort-id - value: ia-08.06 - links: - - href: "#ia-8" - rel: required - parts: - - id: ia-8.6_smt - name: statement - prose: "Implement the following measures to disassociate user attributes\ - \ or identifier assertion relationships among individuals, credential\ - \ service providers, and relying parties: {{ insert: param, ia-08.06_odp\ - \ }}." - - id: ia-8.6_gdn - name: guidance - prose: Federated identity solutions can create increased privacy - risks due to the tracking and profiling of individuals. Using - identifier mapping tables or cryptographic techniques to blind - credential service providers and relying parties from each other - or to make identity attributes less visible to transmitting parties - can reduce these privacy risks. - - name: objective - props: - - name: label - value: IA-08(06) - class: sp800-53A - prose: "{{ insert: param, ia-08.06_odp }} to disassociate user attributes\ - \ or identifier assertion relationships among individuals, credential\ - \ service providers, and relying parties are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-08(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - system security plan - - - privacy plan - - - procedures addressing user identification and authentication - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-08(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with account management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-08(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-9 - class: SP800-53 - title: Service Identification and Authentication - params: - - id: ia-09_odp - props: - - name: legacy-identifier - value: ia-9_prm_1 - - name: label - value: IA-09_ODP - label: system services and applications - guidelines: - - prose: system services and applications to be uniquely identified - and authenticated are defined; - props: - - name: label - value: IA-09 - - name: sort-id - value: ia-09 - links: - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: ia-9_smt - name: statement - prose: "Uniquely identify and authenticate {{ insert: param, ia-09_odp\ - \ }} before establishing communications with devices, users, or other\ - \ services or applications." - - id: ia-9_gdn - name: guidance - prose: Services that may require identification and authentication include - web applications using digital certificates or services or applications - that query a database. Identification and authentication methods for - system services and applications include information or code signing, - provenance graphs, and electronic signatures that indicate the sources - of services. Decisions regarding the validity of identification and - authentication claims can be made by services separate from the services - acting on those decisions. This can occur in distributed system architectures. - In such situations, the identification and authentication decisions - (instead of actual identifiers and authentication data) are provided - to the services that need to act on those decisions. - - name: objective - props: - - name: label - value: IA-09 - class: sp800-53A - prose: "{{ insert: param, ia-09_odp }} are uniquely identified and authenticated\ - \ before establishing communications with devices, users, or other\ - \ services or applications." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing service identification and authentication - - - system security plan - - - system design documentation - - - security safeguards used to identify and authenticate system services - - - system configuration settings and associated documentation - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-09-Test - class: sp800-53A - parts: - - name: objects - prose: Security safeguards implementing service identification and - authentication capabilities - controls: - - id: ia-9.1 - class: SP800-53-enhancement - title: Information Exchange - props: - - name: label - value: IA-09(01) - - name: sort-id - value: ia-09.01 - - name: status - value: withdrawn - links: - - href: "#ia-9" - rel: incorporated-into - - id: ia-9.2 - class: SP800-53-enhancement - title: Transmission of Decisions - props: - - name: label - value: IA-09(02) - - name: sort-id - value: ia-09.02 - - name: status - value: withdrawn - links: - - href: "#ia-9" - rel: incorporated-into - - id: ia-10 - class: SP800-53 - title: Adaptive Authentication - params: - - id: ia-10_odp.01 - props: - - name: legacy-identifier - value: ia-10_prm_1 - - name: label - value: IA-10_ODP[01] - label: supplemental authentication techniques or mechanisms - guidelines: - - prose: supplemental authentication techniques or mechanisms to be - employed when accessing the system under specific circumstances - or situations are defined; - - id: ia-10_odp.02 - props: - - name: legacy-identifier - value: ia-10_prm_2 - - name: label - value: IA-10_ODP[02] - label: circumstances or situations - guidelines: - - prose: circumstances or situations that require individuals accessing - the system to employ supplemental authentication techniques or - mechanisms are defined; - props: - - name: label - value: IA-10 - - name: sort-id - value: ia-10 - links: - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-10_smt - name: statement - prose: "Require individuals accessing the system to employ {{ insert:\ - \ param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02\ - \ }}." - - id: ia-10_gdn - name: guidance - prose: Adversaries may compromise individual authentication mechanisms - employed by organizations and subsequently attempt to impersonate - legitimate users. To address this threat, organizations may employ - specific techniques or mechanisms and establish protocols to assess - suspicious behavior. Suspicious behavior may include accessing information - that individuals do not typically access as part of their duties, - roles, or responsibilities; accessing greater quantities of information - than individuals would routinely access; or attempting to access information - from suspicious network addresses. When pre-established conditions - or triggers occur, organizations can require individuals to provide - additional authentication information. Another potential use for adaptive - authentication is to increase the strength of mechanism based on the - number or types of records being accessed. Adaptive authentication - does not replace and is not used to avoid the use of multi-factor - authentication mechanisms but can augment implementations of multi-factor - authentication. - - name: objective - props: - - name: label - value: IA-10 - class: sp800-53A - prose: "individuals accessing the system are required to employ {{ insert:\ - \ param, ia-10_odp.01 }} under specific {{ insert: param, ia-10_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing adaptive/supplemental identification and - authentication techniques or mechanisms - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - supplemental identification and authentication techniques or mechanisms - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-11 - class: SP800-53 - title: Re-authentication - params: - - id: ia-11_odp - props: - - name: legacy-identifier - value: ia-11_prm_1 - - name: label - value: IA-11_ODP - label: circumstances or situations requiring re-authentication - guidelines: - - prose: circumstances or situations requiring re-authentication are - defined; - props: - - name: label - value: IA-11 - - name: sort-id - value: ia-11 - links: - - href: "#ac-3" - rel: related - - href: "#ac-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-11_smt - name: statement - prose: "Require users to re-authenticate when {{ insert: param, ia-11_odp\ - \ }}." - - id: ia-11_gdn - name: guidance - prose: In addition to the re-authentication requirements associated - with device locks, organizations may require re-authentication of - individuals in certain situations, including when roles, authenticators - or credentials change, when security categories of systems change, - when the execution of privileged functions occurs, after a fixed time - period, or periodically. - - name: objective - props: - - name: label - value: IA-11 - class: sp800-53A - prose: "users are required to re-authenticate when {{ insert: param,\ - \ ia-11_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Identification and authentication policy - - - procedures addressing user and device re-authentication - - - system security plan - - - system design documentation - - - system configuration settings and associated documentation - - - list of circumstances or situations requiring re-authentication - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-11-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12 - class: SP800-53 - title: Identity Proofing - props: - - name: label - value: IA-12 - - name: sort-id - value: ia-12 - links: - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#9099ed2c-922a-493d-bcb4-d896192243ff" - rel: reference - - href: "#10963761-58fc-4b20-b3d6-b44a54daba03" - rel: reference - - href: "#ac-5" - rel: related - - href: "#ia-1" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-6" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-12_smt - name: statement - parts: - - id: ia-12_smt.a - name: item - props: - - name: label - value: a. - prose: Identity proof users that require accounts for logical access - to systems based on appropriate identity assurance level requirements - as specified in applicable standards and guidelines; - - id: ia-12_smt.b - name: item - props: - - name: label - value: b. - prose: Resolve user identities to a unique individual; and - - id: ia-12_smt.c - name: item - props: - - name: label - value: c. - prose: Collect, validate, and verify identity evidence. - - id: ia-12_gdn - name: guidance - prose: Identity proofing is the process of collecting, validating, and - verifying a user’s identity information for the purposes of establishing - credentials for accessing a system. Identity proofing is intended - to mitigate threats to the registration of users and the establishment - of their accounts. Standards and guidelines specifying identity assurance - levels for identity proofing include [SP 800-63-3](#737513fa-6758-403f-831d-5ddab5e23cb3) - and [SP 800-63A](#9099ed2c-922a-493d-bcb4-d896192243ff) . Organizations - may be subject to laws, executive orders, directives, regulations, - or policies that address the collection of identity evidence. Organizational - personnel consult with the senior agency official for privacy and - legal counsel regarding such requirements. - - name: objective - props: - - name: label - value: IA-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-12a. - class: sp800-53A - prose: users who require accounts for logical access to systems - based on appropriate identity assurance level requirements as - specified in applicable standards and guidelines are identity - proofed; - - name: objective - props: - - name: label - value: IA-12b. - class: sp800-53A - prose: user identities are resolved to a unique individual; - - name: objective - props: - - name: label - value: IA-12c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IA-12c.[01] - class: sp800-53A - prose: identity evidence is collected; - - name: objective - props: - - name: label - value: IA-12c.[02] - class: sp800-53A - prose: identity evidence is validated; - - name: objective - props: - - name: label - value: IA-12c.[03] - class: sp800-53A - prose: identity evidence is verified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - legal counsel - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - controls: - - id: ia-12.1 - class: SP800-53-enhancement - title: Supervisor Authorization - props: - - name: label - value: IA-12(01) - - name: sort-id - value: ia-12.01 - links: - - href: "#ia-12" - rel: required - parts: - - id: ia-12.1_smt - name: statement - prose: Require that the registration process to receive an account - for logical access includes supervisor or sponsor authorization. - - id: ia-12.1_gdn - name: guidance - prose: Including supervisor or sponsor authorization as part of - the registration process provides an additional level of scrutiny - to ensure that the user’s management chain is aware of the account, - the account is essential to carry out organizational missions - and functions, and the user’s privileges are appropriate for the - anticipated responsibilities and authorities within the organization. - - name: objective - props: - - name: label - value: IA-12(01) - class: sp800-53A - prose: the registration process to receive an account for logical - access includes supervisor or sponsor authorization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12.2 - class: SP800-53-enhancement - title: Identity Evidence - props: - - name: label - value: IA-12(02) - - name: sort-id - value: ia-12.02 - links: - - href: "#ia-12" - rel: required - parts: - - id: ia-12.2_smt - name: statement - prose: Require evidence of individual identification be presented - to the registration authority. - - id: ia-12.2_gdn - name: guidance - prose: Identity evidence, such as documentary evidence or a combination - of documents and biometrics, reduces the likelihood of individuals - using fraudulent identification to establish an identity or at - least increases the work factor of potential adversaries. The - forms of acceptable evidence are consistent with the risks to - the systems, roles, and privileges associated with the user’s - account. - - name: objective - props: - - name: label - value: IA-12(02) - class: sp800-53A - prose: evidence of individual identification is presented to the - registration authority. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12.3 - class: SP800-53-enhancement - title: Identity Evidence Validation and Verification - params: - - id: ia-12.03_odp - props: - - name: legacy-identifier - value: ia-12.3_prm_1 - - name: label - value: IA-12(03)_ODP - label: methods of validation and verification - guidelines: - - prose: methods of validation and verification of identity evidence - are defined; - props: - - name: label - value: IA-12(03) - - name: sort-id - value: ia-12.03 - links: - - href: "#ia-12" - rel: required - parts: - - id: ia-12.3_smt - name: statement - prose: "Require that the presented identity evidence be validated\ - \ and verified through {{ insert: param, ia-12.03_odp }}." - - id: ia-12.3_gdn - name: guidance - prose: Validation and verification of identity evidence increases - the assurance that accounts and identifiers are being established - for the correct user and authenticators are being bound to that - user. Validation refers to the process of confirming that the - evidence is genuine and authentic, and the data contained in the - evidence is correct, current, and related to an individual. Verification - confirms and establishes a linkage between the claimed identity - and the actual existence of the user presenting the evidence. - Acceptable methods for validating and verifying identity evidence - are consistent with the risks to the systems, roles, and privileges - associated with the users account. - - name: objective - props: - - name: label - value: IA-12(03) - class: sp800-53A - prose: "the presented identity evidence is validated and verified\ - \ through {{ insert: param, ia-12.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12.4 - class: SP800-53-enhancement - title: In-person Validation and Verification - props: - - name: label - value: IA-12(04) - - name: sort-id - value: ia-12.04 - links: - - href: "#ia-12" - rel: required - parts: - - id: ia-12.4_smt - name: statement - prose: Require that the validation and verification of identity - evidence be conducted in person before a designated registration - authority. - - id: ia-12.4_gdn - name: guidance - prose: In-person proofing reduces the likelihood of fraudulent credentials - being issued because it requires the physical presence of individuals, - the presentation of physical identity documents, and actual face-to-face - interactions with designated registration authorities. - - name: objective - props: - - name: label - value: IA-12(04) - class: sp800-53A - prose: the validation and verification of identity evidence is conducted - in person before a designated registration authority. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12.5 - class: SP800-53-enhancement - title: Address Confirmation - params: - - id: ia-12.05_odp - props: - - name: legacy-identifier - value: ia-12.5_prm_1 - - name: label - value: IA-12(05)_ODP - select: - choice: - - registration code - - notice of proofing - props: - - name: label - value: IA-12(05) - - name: sort-id - value: ia-12.05 - links: - - href: "#ia-12" - rel: required - - href: "#ia-12" - rel: related - parts: - - id: ia-12.5_smt - name: statement - prose: "Require that a {{ insert: param, ia-12.05_odp }} be delivered\ - \ through an out-of-band channel to verify the users address (physical\ - \ or digital) of record." - - id: ia-12.5_gdn - name: guidance - prose: To make it more difficult for adversaries to pose as legitimate - users during the identity proofing process, organizations can - use out-of-band methods to ensure that the individual associated - with an address of record is the same individual that participated - in the registration. Confirmation can take the form of a temporary - enrollment code or a notice of proofing. The delivery address - for these artifacts is obtained from records and not self-asserted - by the user. The address can include a physical or digital address. - A home address is an example of a physical address. Email addresses - and telephone numbers are examples of digital addresses. - - name: objective - props: - - name: label - value: IA-12(05) - class: sp800-53A - prose: "a {{ insert: param, ia-12.05_odp }} is delivered through\ - \ an out-of-band channel to verify the user’s address (physical\ - \ or digital) of record." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ia-12.6 - class: SP800-53-enhancement - title: Accept Externally-proofed Identities - params: - - id: ia-12.06_odp - props: - - name: legacy-identifier - value: ia-12.6_prm_1 - - name: label - value: IA-12(06)_ODP - label: identity assurance level - guidelines: - - prose: an identity assurance level for accepting externally - proofed identities is defined; - props: - - name: label - value: IA-12(06) - - name: sort-id - value: ia-12.06 - links: - - href: "#ia-12" - rel: required - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-12.6_smt - name: statement - prose: "Accept externally-proofed identities at {{ insert: param,\ - \ ia-12.06_odp }}." - - id: ia-12.6_gdn - name: guidance - prose: To limit unnecessary re-proofing of identities, particularly - of non-PIV users, organizations accept proofing conducted at a - commensurate level of assurance by other agencies or organizations. - Proofing is consistent with organizational security policy and - the identity assurance level appropriate for the system, application, - or information accessed. Accepting externally-proofed identities - is a fundamental component of managing federated identities across - agencies and organizations. - - name: objective - props: - - name: label - value: IA-12(06) - class: sp800-53A - prose: "externally proofed identities are accepted {{ insert: param,\ - \ ia-12.06_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IA-12(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Identification and authentication policy - - procedures addressing identity proofing - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IA-12(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system operations - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with identification and authentication - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IA-12(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing identification - and authentication capabilities - - id: ir - class: family - title: Incident Response - controls: - - id: ir-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ir-1_prm_1 - props: - - name: aggregates - value: ir-01_odp.01 - label: organization-defined personnel or roles - - id: ir-01_odp.01 - props: - - name: label - value: IR-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the incident response policy is - to be disseminated is/are defined; - - id: ir-01_odp.02 - props: - - name: label - value: IR-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the incident response procedures - are to be disseminated is/are defined; - - id: ir-01_odp.03 - props: - - name: legacy-identifier - value: ir-1_prm_2 - - name: label - value: IR-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ir-01_odp.04 - props: - - name: legacy-identifier - value: ir-1_prm_3 - - name: label - value: IR-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the incident response policy and procedures - is defined; - - id: ir-01_odp.05 - props: - - name: legacy-identifier - value: ir-1_prm_4 - - name: label - value: IR-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current incident response policy - is reviewed and updated is defined; - - id: ir-01_odp.06 - props: - - name: legacy-identifier - value: ir-1_prm_5 - - name: label - value: IR-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current incident response policy - to be reviewed and updated are defined; - - id: ir-01_odp.07 - props: - - name: legacy-identifier - value: ir-1_prm_6 - - name: label - value: IR-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current incident response procedures - are reviewed and updated is defined; - - id: ir-01_odp.08 - props: - - name: legacy-identifier - value: ir-1_prm_7 - - name: label - value: IR-01_ODP[08] - label: events - guidelines: - - prose: events that would require the incident response procedures - to be reviewed and updated are defined; - props: - - name: label - value: IR-01 - - name: sort-id - value: ir-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ir-1_smt - name: statement - parts: - - id: ir-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ir-1_prm_1 }}:" - parts: - - id: ir-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ir-01_odp.03 }} incident response\ - \ policy that:" - parts: - - id: ir-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ir-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ir-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the incident - response policy and the associated incident response controls; - - id: ir-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ir-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the incident\ - \ response policy and procedures; and" - - id: ir-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current incident response:" - parts: - - id: ir-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ir-01_odp.05 }} and following\ - \ {{ insert: param, ir-01_odp.06 }} ; and" - - id: ir-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ir-01_odp.07 }} and following\ - \ {{ insert: param, ir-01_odp.08 }}." - - id: ir-1_gdn - name: guidance - prose: Incident response policy and procedures address the controls - in the IR family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of incident response - policy and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies that reflect the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to incident response policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: IR-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01a.[01] - class: sp800-53A - prose: an incident response policy is developed and documented; - - name: objective - props: - - name: label - value: IR-01a.[02] - class: sp800-53A - prose: "the incident response policy is disseminated to {{ insert:\ - \ param, ir-01_odp.01 }};" - - name: objective - props: - - name: label - value: IR-01a.[03] - class: sp800-53A - prose: incident response procedures to facilitate the implementation - of the incident response policy and associated incident response - controls are developed and documented; - - name: objective - props: - - name: label - value: IR-01a.[04] - class: sp800-53A - prose: "the incident response procedures are disseminated to\ - \ {{ insert: param, ir-01_odp.02 }};" - - name: objective - props: - - name: label - value: IR-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses purpose;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses scope;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses roles;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses responsibilities;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses management commitment;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: IR-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident\ - \ response policy addresses compliance;" - - name: objective - props: - - name: label - value: IR-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.03 }} incident response\ - \ policy is consistent with applicable laws, Executive\ - \ Orders, directives, regulations, policies, standards,\ - \ and guidelines;" - - name: objective - props: - - name: label - value: IR-01b. - class: sp800-53A - prose: "the {{ insert: param, ir-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the incident\ - \ response policy and procedures;" - - name: objective - props: - - name: label - value: IR-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01c.01[01] - class: sp800-53A - prose: "the current incident response policy is reviewed\ - \ and updated {{ insert: param, ir-01_odp.05 }};" - - name: objective - props: - - name: label - value: IR-01c.01[02] - class: sp800-53A - prose: "the current incident response policy is reviewed\ - \ and updated following {{ insert: param, ir-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: IR-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-01c.02[01] - class: sp800-53A - prose: "the current incident response procedures are reviewed\ - \ and updated {{ insert: param, ir-01_odp.07 }};" - - name: objective - props: - - name: label - value: IR-01c.02[02] - class: sp800-53A - prose: "the current incident response procedures are reviewed\ - \ and updated following {{ insert: param, ir-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ir-2 - class: SP800-53 - title: Incident Response Training - params: - - id: ir-02_odp.01 - props: - - name: legacy-identifier - value: ir-2_prm_1 - - name: label - value: IR-02_ODP[01] - label: time period - guidelines: - - prose: a time period within which incident response training is - to be provided to system users assuming an incident response role - or responsibility is defined; - - id: ir-02_odp.02 - props: - - name: legacy-identifier - value: ir-2_prm_2 - - name: label - value: IR-02_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to provide incident response training - to users is defined; - - id: ir-02_odp.03 - props: - - name: legacy-identifier - value: ir-2_prm_3 - - name: label - value: IR-02_ODP[03] - label: frequency - guidelines: - - prose: frequency at which to review and update incident response - training content is defined; - - id: ir-02_odp.04 - props: - - name: legacy-identifier - value: ir-2_prm_4 - - name: label - value: IR-02_ODP[04] - label: events - guidelines: - - prose: events that initiate a review of the incident response training - content are defined; - props: - - name: label - value: IR-02 - - name: sort-id - value: ir-02 - links: - - href: "#5f4705ac-8d17-438c-b23a-ac7f12362ae4" - rel: reference - - href: "#511f6832-23ca-49a3-8c0f-ce493373cab8" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: ir-2_smt - name: statement - parts: - - id: ir-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide incident response training to system users consistent\ - \ with assigned roles and responsibilities:" - parts: - - id: ir-2_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "Within {{ insert: param, ir-02_odp.01 }} of assuming\ - \ an incident response role or responsibility or acquiring\ - \ system access;" - - id: ir-2_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: When required by system changes; and - - id: ir-2_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: "{{ insert: param, ir-02_odp.02 }} thereafter; and" - - id: ir-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update incident response training content {{\ - \ insert: param, ir-02_odp.03 }} and following {{ insert: param,\ - \ ir-02_odp.04 }}." - - id: ir-2_gdn - name: guidance - prose: Incident response training is associated with the assigned roles - and responsibilities of organizational personnel to ensure that the - appropriate content and level of detail are included in such training. - For example, users may only need to know who to call or how to recognize - an incident; system administrators may require additional training - on how to handle incidents; and incident responders may receive more - specific training on forensics, data collection techniques, reporting, - system recovery, and system restoration. Incident response training - includes user training in identifying and reporting suspicious activities - from external and internal sources. Incident response training for - users may be provided as part of [AT-2](#at-2) or [AT-3](#at-3) . - Events that may precipitate an update to incident response training - content include, but are not limited to, incident response plan testing - or response to an actual incident (lessons learned), assessment or - audit findings, or changes in applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. - - name: objective - props: - - name: label - value: IR-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-02a.01 - class: sp800-53A - prose: "incident response training is provided to system users\ - \ consistent with assigned roles and responsibilities within\ - \ {{ insert: param, ir-02_odp.01 }} of assuming an incident\ - \ response role or responsibility or acquiring system access;" - - name: objective - props: - - name: label - value: IR-02a.02 - class: sp800-53A - prose: incident response training is provided to system users - consistent with assigned roles and responsibilities when required - by system changes; - - name: objective - props: - - name: label - value: IR-02a.03 - class: sp800-53A - prose: "incident response training is provided to system users\ - \ consistent with assigned roles and responsibilities {{ insert:\ - \ param, ir-02_odp.02 }} thereafter;" - - name: objective - props: - - name: label - value: IR-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-02b.[01] - class: sp800-53A - prose: "incident response training content is reviewed and updated\ - \ {{ insert: param, ir-02_odp.03 }};" - - name: objective - props: - - name: label - value: IR-02b.[02] - class: sp800-53A - prose: "incident response training content is reviewed and updated\ - \ following {{ insert: param, ir-02_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response training - - incident response training curriculum - - incident response training materials - - privacy plan - - incident response plan - - incident response training records - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response training and - operational responsibilities - - - organizational personnel with information security and privacy - responsibilities - controls: - - id: ir-2.1 - class: SP800-53-enhancement - title: Simulated Events - props: - - name: label - value: IR-02(01) - - name: sort-id - value: ir-02.01 - links: - - href: "#ir-2" - rel: required - parts: - - id: ir-2.1_smt - name: statement - prose: Incorporate simulated events into incident response training - to facilitate the required response by personnel in crisis situations. - - id: ir-2.1_gdn - name: guidance - prose: Organizations establish requirements for responding to incidents - in incident response plans. Incorporating simulated events into - incident response training helps to ensure that personnel understand - their individual responsibilities and what specific actions to - take in crisis situations. - - name: objective - props: - - name: label - value: IR-02(01) - class: sp800-53A - prose: simulated events are incorporated into incident response - training to facilitate the required response by personnel in crisis - situations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response training - - incident response training curriculum - - incident response training materials - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response training - and operational responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that support and/or implement simulated - events for incident response training - - id: ir-2.2 - class: SP800-53-enhancement - title: Automated Training Environments - params: - - id: ir-02.02_odp - props: - - name: legacy-identifier - value: ir-2.2_prm_1 - - name: label - value: IR-02(02)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used in an incident response training - environment are defined; - props: - - name: label - value: IR-02(02) - - name: sort-id - value: ir-02.02 - links: - - href: "#ir-2" - rel: required - parts: - - id: ir-2.2_smt - name: statement - prose: "Provide an incident response training environment using\ - \ {{ insert: param, ir-02.02_odp }}." - - id: ir-2.2_gdn - name: guidance - prose: Automated mechanisms can provide a more thorough and realistic - incident response training environment. This can be accomplished, - for example, by providing more complete coverage of incident response - issues, selecting more realistic training scenarios and environments, - and stressing the response capability. - - name: objective - props: - - name: label - value: IR-02(02) - class: sp800-53A - prose: "an incident response training environment is provided using\ - \ {{ insert: param, ir-02.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident response training - - - incident response training curriculum - - - incident response training materials - - - automated mechanisms supporting incident response training - - - incident response plan - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response training - and operational responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that provide a thorough and realistic - incident response training environment - - id: ir-2.3 - class: SP800-53-enhancement - title: Breach - props: - - name: label - value: IR-02(03) - - name: sort-id - value: ir-02.03 - links: - - href: "#ir-2" - rel: required - parts: - - id: ir-2.3_smt - name: statement - prose: Provide incident response training on how to identify and - respond to a breach, including the organization’s process for - reporting a breach. - - id: ir-2.3_gdn - name: guidance - prose: For federal agencies, an incident that involves personally - identifiable information is considered a breach. A breach results - in the loss of control, compromise, unauthorized disclosure, unauthorized - acquisition, or a similar occurrence where a person other than - an authorized user accesses or potentially accesses personally - identifiable information or an authorized user accesses or potentially - accesses such information for other than authorized purposes. - The incident response training emphasizes the obligation of individuals - to report both confirmed and suspected breaches involving information - in any medium or form, including paper, oral, and electronic. - Incident response training includes tabletop exercises that simulate - a breach. See [IR-2(1)](#ir-2.1). - - name: objective - props: - - name: label - value: IR-02(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-02(03)[01] - class: sp800-53A - prose: incident response training on how to identify and respond - to a breach is provided; - - name: objective - props: - - name: label - value: IR-02(03)[02] - class: sp800-53A - prose: incident response training on the organization’s process - for reporting a breach is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident response testing - - procedures addressing contingency plan testing - - incident response testing material - - incident response test results - - incident response test plan - - incident response plan - - contingency plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response training - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ir-3 - class: SP800-53 - title: Incident Response Testing - params: - - id: ir-03_odp.01 - props: - - name: legacy-identifier - value: ir-3_prm_1 - - name: label - value: IR-03_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to test the effectiveness of the incident - response capability for the system is defined; - - id: ir-03_odp.02 - props: - - name: legacy-identifier - value: ir-3_prm_2 - - name: label - value: IR-03_ODP[02] - label: tests - guidelines: - - prose: tests used to test the effectiveness of the incident response - capability for the system are defined; - props: - - name: label - value: IR-03 - - name: sort-id - value: ir-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#53be2fcf-cfd1-4bcb-896b-9a3b65c22098" - rel: reference - - href: "#122177fa-c4ed-485d-8345-3082c0fb9a06" - rel: reference - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#pm-14" - rel: related - parts: - - id: ir-3_smt - name: statement - prose: "Test the effectiveness of the incident response capability for\ - \ the system {{ insert: param, ir-03_odp.01 }} using the following\ - \ tests: {{ insert: param, ir-03_odp.02 }}." - - id: ir-3_gdn - name: guidance - prose: Organizations test incident response capabilities to determine - their effectiveness and identify potential weaknesses or deficiencies. - Incident response testing includes the use of checklists, walk-through - or tabletop exercises, and simulations (parallel or full interrupt). - Incident response testing can include a determination of the effects - on organizational operations and assets and individuals due to incident - response. The use of qualitative and quantitative data aids in determining - the effectiveness of incident response processes. - - name: objective - props: - - name: label - value: IR-03 - class: sp800-53A - prose: "the effectiveness of the incident response capability for the\ - \ system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert:\ - \ param, ir-03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident response testing - - procedures addressing contingency plan testing - - incident response testing material - - incident response test results - - incident response test plan - - incident response plan - - contingency plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response testing - responsibilities - - - organizational personnel with information security and privacy - responsibilities - controls: - - id: ir-3.1 - class: SP800-53-enhancement - title: Automated Testing - params: - - id: ir-03.01_odp - props: - - name: legacy-identifier - value: ir-3.1_prm_1 - - name: label - value: IR-03(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to test the incident response - capability are defined; - props: - - name: label - value: IR-03(01) - - name: sort-id - value: ir-03.01 - links: - - href: "#ir-3" - rel: required - parts: - - id: ir-3.1_smt - name: statement - prose: "Test the incident response capability using {{ insert: param,\ - \ ir-03.01_odp }}." - - id: ir-3.1_gdn - name: guidance - prose: Organizations use automated mechanisms to more thoroughly - and effectively test incident response capabilities. This can - be accomplished by providing more complete coverage of incident - response issues, selecting realistic test scenarios and environments, - and stressing the response capability. - - name: objective - props: - - name: label - value: IR-03(01) - class: sp800-53A - prose: "the incident response capability is tested using {{ insert:\ - \ param, ir-03.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident response testing - - procedures addressing contingency plan testing - - incident response testing documentation - - incident response test results - - incident response test plan - - incident response plan - - contingency plan - - system security plan - - automated mechanisms supporting incident response tests - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response testing - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that more thoroughly and effectively - test the incident response capability - - id: ir-3.2 - class: SP800-53-enhancement - title: Coordination with Related Plans - props: - - name: label - value: IR-03(02) - - name: sort-id - value: ir-03.02 - links: - - href: "#ir-3" - rel: required - parts: - - id: ir-3.2_smt - name: statement - prose: Coordinate incident response testing with organizational - elements responsible for related plans. - - id: ir-3.2_gdn - name: guidance - prose: Organizational plans related to incident response testing - include business continuity plans, disaster recovery plans, continuity - of operations plans, contingency plans, crisis communications - plans, critical infrastructure plans, and occupant emergency plans. - - name: objective - props: - - name: label - value: IR-03(02) - class: sp800-53A - prose: incident response testing is coordinated with organizational - elements responsible for related plans. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident response testing - - incident response testing documentation - - incident response plan - - business continuity plans - - contingency plans - - disaster recovery plans - - continuity of operations plans - - crisis communications plans - - critical infrastructure plans - - occupant emergency plans - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response testing - responsibilities - - - organizational personnel with responsibilities for testing - organizational plans related to incident response testing - - - organizational personnel with information security and privacy - responsibilities - - id: ir-3.3 - class: SP800-53-enhancement - title: Continuous Improvement - props: - - name: label - value: IR-03(03) - - name: sort-id - value: ir-03.03 - links: - - href: "#ir-3" - rel: required - parts: - - id: ir-3.3_smt - name: statement - prose: "Use qualitative and quantitative data from testing to:" - parts: - - id: ir-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Determine the effectiveness of incident response processes; - - id: ir-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Continuously improve incident response processes; and - - id: ir-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Provide incident response measures and metrics that are - accurate, consistent, and in a reproducible format. - - id: ir-3.3_gdn - name: guidance - prose: To help incident response activities function as intended, - organizations may use metrics and evaluation criteria to assess - incident response programs as part of an effort to continually - improve response performance. These efforts facilitate improvement - in incident response efficacy and lessen the impact of incidents. - - name: objective - props: - - name: label - value: IR-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-03(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-03(03)(a)[01] - class: sp800-53A - prose: qualitative data from testing are used to determine - the effectiveness of incident response processes; - - name: objective - props: - - name: label - value: IR-03(03)(a)[02] - class: sp800-53A - prose: quantitative data from testing are used to determine - the effectiveness of incident response processes; - - name: objective - props: - - name: label - value: IR-03(03)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-03(03)(b)[01] - class: sp800-53A - prose: qualitative and quantitative data from testing are - used to continuously improve incident response processes; - - name: objective - props: - - name: label - value: IR-03(03)(b)[02] - class: sp800-53A - prose: quantitative data from testing are used to continuously - improve incident response processes; - - name: objective - props: - - name: label - value: IR-03(03)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-03(03)(c)[01] - class: sp800-53A - prose: qualitative data from testing are used to provide - incident response measures and metrics that are accurate; - - name: objective - props: - - name: label - value: IR-03(03)(c)[02] - class: sp800-53A - prose: quantitative data from testing are used to provide - incident response measures and metrics that are accurate; - - name: objective - props: - - name: label - value: IR-03(03)(c)[03] - class: sp800-53A - prose: qualitative data from testing are used to provide - incident response measures and metrics that are consistent; - - name: objective - props: - - name: label - value: IR-03(03)(c)[04] - class: sp800-53A - prose: quantitative data from testing are used to provide - incident response measures and metrics that are consistent; - - name: objective - props: - - name: label - value: IR-03(03)(c)[05] - class: sp800-53A - prose: qualitative data from testing are used to provide - incident response measures and metrics in a reproducible - format; - - name: objective - props: - - name: label - value: IR-03(03)(c)[06] - class: sp800-53A - prose: quantitative data from testing are used to provide - incident response measures and metrics in a reproducible - format. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident response testing - - incident response testing documentation - - incident response plan - - business continuity plans - - contingency plans - - disaster recovery plans - - continuity of operations plans - - crisis communications plans - - critical infrastructure plans - - occupant emergency plans - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response testing - responsibilities - - - organizational personnel with responsibilities for testing - organizational plans related to incident response testing - - - organizational personnel with information security and privacy - responsibilities - - id: ir-4 - class: SP800-53 - title: Incident Handling - props: - - name: label - value: IR-04 - - name: sort-id - value: ir-04 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#5f4705ac-8d17-438c-b23a-ac7f12362ae4" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#cfdb1858-c473-46b3-89f9-a700308d0be2" - rel: reference - - href: "#10cf2fad-a216-41f9-bb1a-531b7e3119e3" - rel: reference - - href: "#9ef4b43c-42a4-4316-87dc-ffaf528bc05c" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#31ae65ab-3f26-46b7-9d64-f25a4dac5778" - rel: reference - - href: "#2be7b163-e50a-435c-8906-f1162f2a457a" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-5" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#pe-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ir-4_smt - name: statement - parts: - - id: ir-4_smt.a - name: item - props: - - name: label - value: a. - prose: Implement an incident handling capability for incidents that - is consistent with the incident response plan and includes preparation, - detection and analysis, containment, eradication, and recovery; - - id: ir-4_smt.b - name: item - props: - - name: label - value: b. - prose: Coordinate incident handling activities with contingency - planning activities; - - id: ir-4_smt.c - name: item - props: - - name: label - value: c. - prose: Incorporate lessons learned from ongoing incident handling - activities into incident response procedures, training, and testing, - and implement the resulting changes accordingly; and - - id: ir-4_smt.d - name: item - props: - - name: label - value: d. - prose: Ensure the rigor, intensity, scope, and results of incident - handling activities are comparable and predictable across the - organization. - - id: ir-4_gdn - name: guidance - prose: Organizations recognize that incident response capabilities are - dependent on the capabilities of organizational systems and the mission - and business processes being supported by those systems. Organizations - consider incident response as part of the definition, design, and - development of mission and business processes and systems. Incident-related - information can be obtained from a variety of sources, including audit - monitoring, physical access monitoring, and network monitoring; user - or administrator reports; and reported supply chain events. An effective - incident handling capability includes coordination among many organizational - entities (e.g., mission or business owners, system owners, authorizing - officials, human resources offices, physical security offices, personnel - security offices, legal departments, risk executive [function], operations - personnel, procurement offices). Suspected security incidents include - the receipt of suspicious email communications that can contain malicious - code. Suspected supply chain incidents include the insertion of counterfeit - hardware or malicious code into organizational systems or system components. - For federal agencies, an incident that involves personally identifiable - information is considered a breach. A breach results in unauthorized - disclosure, the loss of control, unauthorized acquisition, compromise, - or a similar occurrence where a person other than an authorized user - accesses or potentially accesses personally identifiable information - or an authorized user accesses or potentially accesses such information - for other than authorized purposes. - - name: objective - props: - - name: label - value: IR-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(a)[01] - class: sp800-53A - prose: an incident handling capability for incidents is implemented - that is consistent with the incident response plan; - - name: objective - props: - - name: label - value: IR-04(a)[02] - class: sp800-53A - prose: an incident handling capability for incidents includes - preparation; - - name: objective - props: - - name: label - value: IR-04(a)[03] - class: sp800-53A - prose: an incident handling capability for incidents includes - detection and analysis; - - name: objective - props: - - name: label - value: IR-04(a)[04] - class: sp800-53A - prose: an incident handling capability for incidents includes - containment; - - name: objective - props: - - name: label - value: IR-04(a)[05] - class: sp800-53A - prose: an incident handling capability for incidents includes - eradication; - - name: objective - props: - - name: label - value: IR-04(a)[06] - class: sp800-53A - prose: an incident handling capability for incidents includes - recovery; - - name: objective - props: - - name: label - value: IR-04(b) - class: sp800-53A - prose: incident handling activities are coordinated with contingency - planning activities; - - name: objective - props: - - name: label - value: IR-04(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(c)[01] - class: sp800-53A - prose: lessons learned from ongoing incident handling activities - are incorporated into incident response procedures, training, - and testing; - - name: objective - props: - - name: label - value: IR-04(c)[02] - class: sp800-53A - prose: the changes resulting from the incorporated lessons learned - are implemented accordingly; - - name: objective - props: - - name: label - value: IR-04(d) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(d)[01] - class: sp800-53A - prose: the rigor of incident handling activities is comparable - and predictable across the organization; - - name: objective - props: - - name: label - value: IR-04(d)[02] - class: sp800-53A - prose: the intensity of incident handling activities is comparable - and predictable across the organization; - - name: objective - props: - - name: label - value: IR-04(d)[03] - class: sp800-53A - prose: the scope of incident handling activities is comparable - and predictable across the organization; - - name: objective - props: - - name: label - value: IR-04(d)[04] - class: sp800-53A - prose: the results of incident handling activities are comparable - and predictable across the organization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - contingency planning policy - - procedures addressing incident handling - - incident response plan - - contingency plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with contingency planning responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04-Test - class: sp800-53A - parts: - - name: objects - prose: Incident handling capability for the organization - controls: - - id: ir-4.1 - class: SP800-53-enhancement - title: Automated Incident Handling Processes - params: - - id: ir-04.01_odp - props: - - name: legacy-identifier - value: ir-4.1_prm_1 - - name: label - value: IR-04(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to support the incident handling - process are defined; - props: - - name: label - value: IR-04(01) - - name: sort-id - value: ir-04.01 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.1_smt - name: statement - prose: "Support the incident handling process using {{ insert: param,\ - \ ir-04.01_odp }}." - - id: ir-4.1_gdn - name: guidance - prose: Automated mechanisms that support incident handling processes - include online incident management systems and tools that support - the collection of live response data, full network packet capture, - and forensic analysis. - - name: objective - props: - - name: label - value: IR-04(01) - class: sp800-53A - prose: "the incident handling process is supported using {{ insert:\ - \ param, ir-04.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - automated mechanisms supporting incident handling - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - incident response plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that support and/or implement the - incident handling process - - id: ir-4.2 - class: SP800-53-enhancement - title: Dynamic Reconfiguration - params: - - id: ir-04.02_odp.01 - props: - - name: legacy-identifier - value: ir-4.2_prm_2 - - name: label - value: IR-04(02)_ODP[01] - label: types of dynamic reconfiguration - guidelines: - - prose: types of dynamic reconfiguration for system components - are defined; - - id: ir-04.02_odp.02 - props: - - name: legacy-identifier - value: ir-4.2_prm_1 - - name: label - value: IR-04(02)_ODP[02] - label: system components - guidelines: - - prose: system components that require dynamic reconfiguration - are defined; - props: - - name: label - value: IR-04(02) - - name: sort-id - value: ir-04.02 - links: - - href: "#ir-4" - rel: required - - href: "#ac-2" - rel: related - - href: "#ac-4" - rel: related - - href: "#cm-2" - rel: related - parts: - - id: ir-4.2_smt - name: statement - prose: "Include the following types of dynamic reconfiguration for\ - \ {{ insert: param, ir-04.02_odp.02 }} as part of the incident\ - \ response capability: {{ insert: param, ir-04.02_odp.01 }}." - - id: ir-4.2_gdn - name: guidance - prose: Dynamic reconfiguration includes changes to router rules, - access control lists, intrusion detection or prevention system - parameters, and filter rules for guards or firewalls. Organizations - may perform dynamic reconfiguration of systems to stop attacks, - misdirect attackers, and isolate components of systems, thus limiting - the extent of the damage from breaches or compromises. Organizations - include specific time frames for achieving the reconfiguration - of systems in the definition of the reconfiguration capability, - considering the potential need for rapid response to effectively - address cyber threats. - - name: objective - props: - - name: label - value: IR-04(02) - class: sp800-53A - prose: "{{ insert: param, ir-04.02_odp.01 }} for {{ insert: param,\ - \ ir-04.02_odp.02 }} are included as part of the incident response\ - \ capability." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - automated mechanisms supporting incident handling - - - list of system components to be dynamically reconfigured as - part of incident response capability - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - incident response plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that support and/or implement dynamic - reconfiguration of components as part of incident response - - id: ir-4.3 - class: SP800-53-enhancement - title: Continuity of Operations - params: - - id: ir-04.03_odp.01 - props: - - name: legacy-identifier - value: ir-4.3_prm_1 - - name: label - value: IR-04(03)_ODP[01] - label: classes of incidents - guidelines: - - prose: classes of incidents requiring an organization-defined - action (defined in IR-04(03)_ODP[02]) to be taken are defined; - - id: ir-04.03_odp.02 - props: - - name: legacy-identifier - value: ir-4.3_prm_2 - - name: label - value: IR-04(03)_ODP[02] - label: actions - guidelines: - - prose: actions to be taken in response to organization-defined - classes of incidents are defined; - props: - - name: label - value: IR-04(03) - - name: sort-id - value: ir-04.03 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.3_smt - name: statement - prose: "Identify {{ insert: param, ir-04.03_odp.01 }} and take the\ - \ following actions in response to those incidents to ensure continuation\ - \ of organizational mission and business functions: {{ insert:\ - \ param, ir-04.03_odp.02 }}." - - id: ir-4.3_gdn - name: guidance - prose: Classes of incidents include malfunctions due to design or - implementation errors and omissions, targeted malicious attacks, - and untargeted malicious attacks. Incident response actions include - orderly system degradation, system shutdown, fall back to manual - mode or activation of alternative technology whereby the system - operates differently, employing deceptive measures, alternate - information flows, or operating in a mode that is reserved for - when systems are under attack. Organizations consider whether - continuity of operations requirements during an incident conflict - with the capability to automatically disable the system as specified - as part of [IR-4(5)](#ir-4.5). - - name: objective - props: - - name: label - value: IR-04(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(03)[01] - class: sp800-53A - prose: "{{ insert: param, ir-04.03_odp.01 }} are identified;" - - name: objective - props: - - name: label - value: IR-04(03)[02] - class: sp800-53A - prose: "{{ insert: param, ir-04.03_odp.02 }} are taken in response\ - \ to those incidents to ensure the continuation of organizational\ - \ mission and business functions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident handling - - incident response plan - - privacy plan - - list of classes of incidents - - list of appropriate incident response actions - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms that support and/or implement continuity - of operations - - id: ir-4.4 - class: SP800-53-enhancement - title: Information Correlation - props: - - name: label - value: IR-04(04) - - name: sort-id - value: ir-04.04 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.4_smt - name: statement - prose: Correlate incident information and individual incident responses - to achieve an organization-wide perspective on incident awareness - and response. - - id: ir-4.4_gdn - name: guidance - prose: Sometimes, a threat event, such as a hostile cyber-attack, - can only be observed by bringing together information from different - sources, including various reports and reporting procedures established - by organizations. - - name: objective - props: - - name: label - value: IR-04(04) - class: sp800-53A - prose: incident information and individual incident responses are - correlated to achieve an organization-wide perspective on incident - awareness and response. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - incident response plan - - - privacy plan - - - automated mechanisms supporting incident and event correlation - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - incident management correlation logs - - - event management correlation logs - - - security information and event management logs - - - incident management correlation reports - - - event management correlation reports - - - security information and event management reports - - - audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with whom incident information and - individual incident responses are to be correlated - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for correlating incident - information and individual incident responses - - - automated mechanisms that support and or implement the correlation - of incident response information with individual incident - responses - - id: ir-4.5 - class: SP800-53-enhancement - title: Automatic Disabling of System - params: - - id: ir-04.05_odp - props: - - name: legacy-identifier - value: ir-4.5_prm_1 - - name: label - value: IR-04(05)_ODP - label: security violations - guidelines: - - prose: security violations that automatically disable a system - are defined; - props: - - name: label - value: IR-04(05) - - name: sort-id - value: ir-04.05 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.5_smt - name: statement - prose: "Implement a configurable capability to automatically disable\ - \ the system if {{ insert: param, ir-04.05_odp }} are detected." - - id: ir-4.5_gdn - name: guidance - prose: Organizations consider whether the capability to automatically - disable the system conflicts with continuity of operations requirements - specified as part of [CP-2](#cp-2) or [IR-4(3)](#ir-4.3) . Security - violations include cyber-attacks that have compromised the integrity - of the system or exfiltrated organizational information and serious - errors in software programs that could adversely impact organizational - missions or functions or jeopardize the safety of individuals. - - name: objective - props: - - name: label - value: IR-04(05) - class: sp800-53A - prose: "a configurable capability is implemented to automatically\ - \ disable the system if {{ insert: param, ir-04.05_odp }} are\ - \ detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - automated mechanisms supporting incident handling - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - incident response plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Incident handling capability for the organization - - - automated mechanisms supporting and/or implementing automatic - disabling of the system - - id: ir-4.6 - class: SP800-53-enhancement - title: Insider Threats - props: - - name: label - value: IR-04(06) - - name: sort-id - value: ir-04.06 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.6_smt - name: statement - prose: Implement an incident handling capability for incidents involving - insider threats. - - id: ir-4.6_gdn - name: guidance - prose: Explicit focus on handling incidents involving insider threats - provides additional emphasis on this type of threat and the need - for specific incident handling capabilities to provide appropriate - and timely responses. - - name: objective - props: - - name: label - value: IR-04(06) - class: sp800-53A - prose: an incident handling capability is implemented for incidents - involving insider threats. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - automated mechanisms supporting incident handling - - - system design documentation - - - system configuration settings and associated documentation - - - incident response plan - - - system security plan - - - audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Incident handling capability for the organization - - id: ir-4.7 - class: SP800-53-enhancement - title: Insider Threats — Intra-organization Coordination - params: - - id: ir-04.07_odp - props: - - name: legacy-identifier - value: ir-4.7_prm_1 - - name: label - value: IR-04(07)_ODP - label: entities - guidelines: - - prose: entities that require coordination for an incident handling - capability for insider threats are defined; - props: - - name: label - value: IR-04(07) - - name: sort-id - value: ir-04.07 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.7_smt - name: statement - prose: "Coordinate an incident handling capability for insider threats\ - \ that includes the following organizational entities {{ insert:\ - \ param, ir-04.07_odp }}." - - id: ir-4.7_gdn - name: guidance - prose: Incident handling for insider threat incidents (e.g., preparation, - detection and analysis, containment, eradication, and recovery) - requires coordination among many organizational entities, including - mission or business owners, system owners, human resources offices, - procurement offices, personnel offices, physical security offices, - senior agency information security officer, operations personnel, - risk executive (function), senior agency official for privacy, - and legal counsel. In addition, organizations may require external - support from federal, state, and local law enforcement agencies. - - name: objective - props: - - name: label - value: IR-04(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(07)[01] - class: sp800-53A - prose: an incident handling capability is coordinated for insider - threats; - - name: objective - props: - - name: label - value: IR-04(07)[02] - class: sp800-53A - prose: "the coordinated incident handling capability includes\ - \ {{ insert: param, ir-04.07_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident handling - - incident response plan - - insider threat program plan - - insider threat CONOPS - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel/elements with whom the incident handling - capability is to be coordinated - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for coordinating incident handling - - id: ir-4.8 - class: SP800-53-enhancement - title: Correlation with External Organizations - params: - - id: ir-04.08_odp.01 - props: - - name: legacy-identifier - value: ir-4.8_prm_1 - - name: label - value: IR-04(08)_ODP[01] - label: external organizations - guidelines: - - prose: external organizations with whom organizational incident - information is to be coordinated and shared are defined; - - id: ir-04.08_odp.02 - props: - - name: legacy-identifier - value: ir-4.8_prm_2 - - name: label - value: IR-04(08)_ODP[02] - label: incident information - guidelines: - - prose: incident information to be correlated and shared with - organization-defined external organizations are defined; - props: - - name: label - value: IR-04(08) - - name: sort-id - value: ir-04.08 - links: - - href: "#ir-4" - rel: required - - href: "#au-16" - rel: related - - href: "#pm-16" - rel: related - parts: - - id: ir-4.8_smt - name: statement - prose: "Coordinate with {{ insert: param, ir-04.08_odp.01 }} to\ - \ correlate and share {{ insert: param, ir-04.08_odp.02 }} to\ - \ achieve a cross-organization perspective on incident awareness\ - \ and more effective incident responses." - - id: ir-4.8_gdn - name: guidance - prose: The coordination of incident information with external organizations—including - mission or business partners, military or coalition partners, - customers, and developers—can provide significant benefits. Cross-organizational - coordination can serve as an important risk management capability. - This capability allows organizations to leverage information from - a variety of sources to effectively respond to incidents and breaches - that could potentially affect the organization’s operations, assets, - and individuals. - - name: objective - props: - - name: label - value: IR-04(08) - class: sp800-53A - prose: "there is coordination with {{ insert: param, ir-04.08_odp.01\ - \ }} to correlate and share {{ insert: param, ir-04.08_odp.02\ - \ }} to achieve a cross-organization perspective on incident awareness\ - \ and more effective incident responses." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - list of external organizations - - - records of incident handling coordination with external organizations - - - incident response plan - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - personnel from external organizations with whom incident response - information is to be coordinated, shared, and correlated - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for coordinating incident handling - information with external organizations - - id: ir-4.9 - class: SP800-53-enhancement - title: Dynamic Response Capability - params: - - id: ir-04.09_odp - props: - - name: legacy-identifier - value: ir-4.9_prm_1 - - name: label - value: IR-04(09)_ODP - label: dynamic response capabilities - guidelines: - - prose: dynamic response capabilities to be employed to respond - to incidents are defined; - props: - - name: label - value: IR-04(09) - - name: sort-id - value: ir-04.09 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.9_smt - name: statement - prose: "Employ {{ insert: param, ir-04.09_odp }} to respond to incidents." - - id: ir-4.9_gdn - name: guidance - prose: The dynamic response capability addresses the timely deployment - of new or replacement organizational capabilities in response - to incidents. This includes capabilities implemented at the mission - and business process level and at the system level. - - name: objective - props: - - name: label - value: IR-04(09) - class: sp800-53A - prose: "{{ insert: param, ir-04.09_odp }} are employed to respond\ - \ to incidents." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - automated mechanisms supporting dynamic response capabilities - - - system design documentation - - - system configuration settings and associated documentation - - - incident response plan - - - system security plan - - - audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for dynamic response capability - - - automated mechanisms supporting and/or implementing the dynamic - response capability for the organization - - id: ir-4.10 - class: SP800-53-enhancement - title: Supply Chain Coordination - props: - - name: label - value: IR-04(10) - - name: sort-id - value: ir-04.10 - links: - - href: "#ir-4" - rel: required - - href: "#ca-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#sa-9" - rel: related - - href: "#sr-8" - rel: related - parts: - - id: ir-4.10_smt - name: statement - prose: Coordinate incident handling activities involving supply - chain events with other organizations involved in the supply chain. - - id: ir-4.10_gdn - name: guidance - prose: Organizations involved in supply chain activities include - product developers, system integrators, manufacturers, packagers, - assemblers, distributors, vendors, and resellers. Supply chain - incidents can occur anywhere through or to the supply chain and - include compromises or breaches that involve primary or sub-tier - providers, information technology products, system components, - development processes or personnel, and distribution processes - or warehousing facilities. Organizations consider including processes - for protecting and sharing incident information in information - exchange agreements and their obligations for reporting incidents - to government oversight bodies (e.g., Federal Acquisition Security - Council). - - name: objective - props: - - name: label - value: IR-04(10) - class: sp800-53A - prose: incident handling activities involving supply chain events - are coordinated with other organizations involved in the supply - chain. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing supply chain coordination and supply - chain risk information sharing with the Federal Acquisition - Security Council - - - acquisition contracts - - - service-level agreements - - - incident response plan - - - supply chain risk management plan - - - system security plan - - - incident response plans of other organization involved in - supply chain activities - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with mission and business responsibilities - - - organizational personnel with legal responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with acquisition responsibilities - - id: ir-4.11 - class: SP800-53-enhancement - title: Integrated Incident Response Team - params: - - id: ir-04.11_odp - props: - - name: legacy-identifier - value: ir-4.11_prm_1 - - name: label - value: IR-04(11)_ODP - label: time period - guidelines: - - prose: the time period within which an integrated incident response - team can be deployed is defined; - props: - - name: label - value: IR-04(11) - - name: sort-id - value: ir-04.11 - links: - - href: "#ir-4" - rel: required - - href: "#at-3" - rel: related - parts: - - id: ir-4.11_smt - name: statement - prose: "Establish and maintain an integrated incident response team\ - \ that can be deployed to any location identified by the organization\ - \ in {{ insert: param, ir-04.11_odp }}." - - id: ir-4.11_gdn - name: guidance - prose: >- - An integrated incident response team is a team of experts - that assesses, documents, and responds to incidents so that - organizational systems and networks can recover quickly and - implement the necessary controls to avoid future incidents. - Incident response team personnel include forensic and - malicious code analysts, tool developers, systems security - and privacy engineers, and real-time operations personnel. - The incident handling capability includes performing rapid - forensic preservation of evidence and analysis of and - response to intrusions. For some organizations, the incident - response team can be a cross-organizational entity. - - - An integrated incident response team facilitates information sharing - and allows organizational personnel (e.g., developers, implementers, - and operators) to leverage team knowledge of the threat and implement - defensive measures that enable organizations to deter intrusions - more effectively. Moreover, integrated teams promote the rapid - detection of intrusions, the development of appropriate mitigations, - and the deployment of effective defensive measures. For example, - when an intrusion is detected, the integrated team can rapidly - develop an appropriate response for operators to implement, correlate - the new incident with information on past intrusions, and augment - ongoing cyber intelligence development. Integrated incident response - teams are better able to identify adversary tactics, techniques, - and procedures that are linked to the operations tempo or specific - mission and business functions and to define responsive actions - in a way that does not disrupt those mission and business functions. - Incident response teams can be distributed within organizations - to make the capability resilient. - - name: objective - props: - - name: label - value: IR-04(11) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(11)[01] - class: sp800-53A - prose: an integrated incident response team is established and - maintained; - - name: objective - props: - - name: label - value: IR-04(11)[02] - class: sp800-53A - prose: "the integrated incident response team can be deployed\ - \ to any location identified by the organization in {{ insert:\ - \ param, ir-04.11_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident handling - - procedures addressing incident response planning - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - members of the integrated incident response team - - id: ir-4.12 - class: SP800-53-enhancement - title: Malicious Code and Forensic Analysis - props: - - name: label - value: IR-04(12) - - name: sort-id - value: ir-04.12 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.12_smt - name: statement - prose: Analyze malicious code and/or other residual artifacts remaining - in the system after the incident. - - id: ir-4.12_gdn - name: guidance - prose: When conducted carefully in an isolated environment, analysis - of malicious code and other residual artifacts of a security incident - or breach can give the organization insight into adversary tactics, - techniques, and procedures. It can also indicate the identity - or some defining characteristics of the adversary. In addition, - malicious code analysis can help the organization develop responses - to future incidents. - - name: objective - props: - - name: label - value: IR-04(12) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(12)[01] - class: sp800-53A - prose: malicious code remaining in the system is analyzed after - the incident; - - name: objective - props: - - name: label - value: IR-04(12)[02] - class: sp800-53A - prose: other residual artifacts remaining in the system (if - any) are analyzed after the incident. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident handling - - - procedures addressing code and forensic analysis - - - procedures addressing incident response - - - incident response plan - - - system design documentation - - - malicious code protection mechanisms, tools, and techniques - - - results from malicious code analyses - - - system security plan - - - system audit records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel with responsibility for malicious - code protection - - - organizational personnel responsible for incident response/management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for incident response - - - organizational processes for conducting forensic analysis - - - tools and techniques for analysis of malicious code characteristics - and behavior - - id: ir-4.13 - class: SP800-53-enhancement - title: Behavior Analysis - params: - - id: ir-04.13_odp - props: - - name: legacy-identifier - value: ir-4.13_prm_1 - - name: label - value: IR-04(13)_ODP - label: environments or resources - guidelines: - - prose: environments or resources which may contain or may be - related to anomalous or suspected adversarial behavior are - defined; - props: - - name: label - value: IR-04(13) - - name: sort-id - value: ir-04.13 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.13_smt - name: statement - prose: "Analyze anomalous or suspected adversarial behavior in or\ - \ related to {{ insert: param, ir-04.13_odp }}." - - id: ir-4.13_gdn - name: guidance - prose: If the organization maintains a deception environment, an - analysis of behaviors in that environment, including resources - targeted by the adversary and timing of the incident or event, - can provide insight into adversarial tactics, techniques, and - procedures. External to a deception environment, the analysis - of anomalous adversarial behavior (e.g., changes in system performance - or usage patterns) or suspected behavior (e.g., changes in searches - for the location of specific resources) can give the organization - such insight. - - name: objective - props: - - name: label - value: IR-04(13) - class: sp800-53A - prose: "anomalous or suspected adversarial behavior in or related\ - \ to {{ insert: param, ir-04.13_odp }} are analyzed." - - name: objective - props: - - name: label - value: IR-04(13)-Examine[SELECT - class: sp800-53A - prose: "FROM: Incident response policy; procedures addressing system\ - \ monitoring tools and techniques; incident response plan; system\ - \ monitoring logs or records; system monitoring tools and techniques\ - \ documentation; system configuration settings and associated\ - \ documentation; security plan; system component inventory; network\ - \ diagram; system protocols documentation; list of acceptable\ - \ thresholds for false positives and false negatives; system security\ - \ plan; other relevant documents or records]." - - name: objective - props: - - name: label - value: IR-04(13)-Interview[SELECT - class: sp800-53A - prose: "FROM: Organizational personnel with information security\ - \ responsibilities; system/network administrators]." - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for detecting anomalous behavior - - id: ir-4.14 - class: SP800-53-enhancement - title: Security Operations Center - props: - - name: label - value: IR-04(14) - - name: sort-id - value: ir-04.14 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.14_smt - name: statement - prose: Establish and maintain a security operations center. - - id: ir-4.14_gdn - name: guidance - prose: A security operations center (SOC) is the focal point for - security operations and computer network defense for an organization. - The purpose of the SOC is to defend and monitor an organization’s - systems and networks (i.e., cyber infrastructure) on an ongoing - basis. The SOC is also responsible for detecting, analyzing, and - responding to cybersecurity incidents in a timely manner. The - organization staffs the SOC with skilled technical and operational - personnel (e.g., security analysts, incident response personnel, - systems security engineers) and implements a combination of technical, - management, and operational controls (including monitoring, scanning, - and forensics tools) to monitor, fuse, correlate, analyze, and - respond to threat and security-relevant event data from multiple - sources. These sources include perimeter defenses, network devices - (e.g., routers, switches), and endpoint agent data feeds. The - SOC provides a holistic situational awareness capability to help - organizations determine the security posture of the system and - organization. A SOC capability can be obtained in a variety of - ways. Larger organizations may implement a dedicated SOC while - smaller organizations may employ third-party organizations to - provide such a capability. - - name: objective - props: - - name: label - value: IR-04(14) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(14)[01] - class: sp800-53A - prose: a security operations center is established; - - name: objective - props: - - name: label - value: IR-04(14)[02] - class: sp800-53A - prose: a security operations center is maintained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - contingency planning policy - - - procedures addressing incident handling - - - procedures addressing the security operations center operations - - - automated mechanisms supporting dynamic response capabilities - - - incident response plan - - - contingency plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with contingency planning responsibilities - - - security operations center personnel - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-04(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms that support and/or implement the - security operations center capability - - - automated mechanisms that support and/or implement the incident - handling process - - id: ir-4.15 - class: SP800-53-enhancement - title: Public Relations and Reputation Repair - props: - - name: label - value: IR-04(15) - - name: sort-id - value: ir-04.15 - links: - - href: "#ir-4" - rel: required - parts: - - id: ir-4.15_smt - name: statement - parts: - - id: ir-4.15_smt.a - name: item - props: - - name: label - value: (a) - prose: Manage public relations associated with an incident; - and - - id: ir-4.15_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ measures to repair the reputation of the organization. - - id: ir-4.15_gdn - name: guidance - prose: It is important for an organization to have a strategy in - place for addressing incidents that have been brought to the attention - of the general public, have cast the organization in a negative - light, or have affected the organization’s constituents (e.g., - partners, customers). Such publicity can be extremely harmful - to the organization and affect its ability to carry out its mission - and business functions. Taking proactive steps to repair the organization’s - reputation is an essential aspect of reestablishing the trust - and confidence of its constituents. - - name: objective - props: - - name: label - value: IR-04(15) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-04(15)(a) - class: sp800-53A - prose: public relations associated with an incident are managed; - - name: objective - props: - - name: label - value: IR-04(15)(b) - class: sp800-53A - prose: measures are employed to repair the reputation of the - organization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-04(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response - - procedures addressing incident handling - - incident response plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-04(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident handling - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with communications or public relations - responsibilities - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - props: - - name: label - value: IR-05 - - name: sort-id - value: ir-05 - links: - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#pe-6" - rel: related - - href: "#pm-5" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ir-5_smt - name: statement - prose: Track and document incidents. - - id: ir-5_gdn - name: guidance - prose: Documenting incidents includes maintaining records about each - incident, the status of the incident, and other pertinent information - necessary for forensics as well as evaluating incident details, trends, - and handling. Incident information can be obtained from a variety - of sources, including network monitoring, incident reports, incident - response teams, user complaints, supply chain partners, audit monitoring, - physical access monitoring, and user and administrator reports. [IR-4](#ir-4) - provides information on the types of incidents that are appropriate - for monitoring. - - name: objective - props: - - name: label - value: IR-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-05[01] - class: sp800-53A - prose: incidents are tracked; - - name: objective - props: - - name: label - value: IR-05[02] - class: sp800-53A - prose: incidents are documented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-05-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident monitoring - - incident response records and documentation - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Incident monitoring capability for the organization - - - automated mechanisms supporting and/or implementing tracking and - documenting of system security incidents - controls: - - id: ir-5.1 - class: SP800-53-enhancement - title: Automated Tracking, Data Collection, and Analysis - params: - - id: ir-5.1_prm_1 - props: - - name: aggregates - value: ir-05.01_odp.01 - label: organization-defined automated mechanisms - - id: ir-05.01_odp.01 - props: - - name: label - value: IR-05(01)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to track incidents are defined; - - id: ir-05.01_odp.02 - props: - - name: label - value: IR-05(01)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to collect incident information - are defined; - - id: ir-05.01_odp.03 - props: - - name: label - value: IR-05(01)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to analyze incident information - are defined; - props: - - name: label - value: IR-05(01) - - name: sort-id - value: ir-05.01 - links: - - href: "#ir-5" - rel: required - parts: - - id: ir-5.1_smt - name: statement - prose: "Track incidents and collect and analyze incident information\ - \ using {{ insert: param, ir-5.1_prm_1 }}." - - id: ir-5.1_gdn - name: guidance - prose: Automated mechanisms for tracking incidents and collecting - and analyzing incident information include Computer Incident Response - Centers or other electronic databases of incidents and network - monitoring devices. - - name: objective - props: - - name: label - value: IR-05(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-05(01)[01] - class: sp800-53A - prose: "incidents are tracked using {{ insert: param, ir-05.01_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: IR-05(01)[02] - class: sp800-53A - prose: "incident information is collected using {{ insert: param,\ - \ ir-05.01_odp.02 }};" - - name: objective - props: - - name: label - value: IR-05(01)[03] - class: sp800-53A - prose: "incident information is analyzed using {{ insert: param,\ - \ ir-05.01_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident monitoring - - incident response records and documentation - - system security plan - - incident response plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident monitoring - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Incident monitoring capability for the organization - - - automated mechanisms supporting and/or implementing tracking - and documenting of system security incidents - - id: ir-6 - class: SP800-53 - title: Incident Reporting - params: - - id: ir-06_odp.01 - props: - - name: legacy-identifier - value: ir-6_prm_1 - - name: label - value: IR-06_ODP[01] - label: time period - guidelines: - - prose: time period for personnel to report suspected incidents to - the organizational incident response capability is defined; - - id: ir-06_odp.02 - props: - - name: legacy-identifier - value: ir-6_prm_2 - - name: label - value: IR-06_ODP[02] - label: authorities - guidelines: - - prose: authorities to whom incident information is to be reported - are defined; - props: - - name: label - value: IR-06 - - name: sort-id - value: ir-06 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#40b78258-c892-480e-9af8-77ac36648301" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#cm-6" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-5" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: ir-6_smt - name: statement - parts: - - id: ir-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Require personnel to report suspected incidents to the organizational\ - \ incident response capability within {{ insert: param, ir-06_odp.01\ - \ }} ; and" - - id: ir-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Report incident information to {{ insert: param, ir-06_odp.02\ - \ }}." - - id: ir-6_gdn - name: guidance - prose: The types of incidents reported, the content and timeliness of - the reports, and the designated reporting authorities reflect applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Incident information can inform risk assessments, - control effectiveness assessments, security requirements for acquisitions, - and selection criteria for technology products. - - name: objective - props: - - name: label - value: IR-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-06(a) - class: sp800-53A - prose: "personnel is/are required to report suspected incidents\ - \ to the organizational incident response capability within {{\ - \ insert: param, ir-06_odp.01 }};" - - name: objective - props: - - name: label - value: IR-06(b) - class: sp800-53A - prose: "incident information is reported to {{ insert: param, ir-06_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident reporting - - incident reporting records and documentation - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident reporting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - personnel who have/should have reported incidents - - - personnel (authorities) to whom incident information is to be - reported - - - system users - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident reporting - - - automated mechanisms supporting and/or implementing incident reporting - controls: - - id: ir-6.1 - class: SP800-53-enhancement - title: Automated Reporting - params: - - id: ir-06.01_odp - props: - - name: legacy-identifier - value: ir-6.1_prm_1 - - name: label - value: IR-06(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used for reporting incidents are - defined; - props: - - name: label - value: IR-06(01) - - name: sort-id - value: ir-06.01 - links: - - href: "#ir-6" - rel: required - - href: "#ir-7" - rel: related - parts: - - id: ir-6.1_smt - name: statement - prose: "Report incidents using {{ insert: param, ir-06.01_odp }}." - - id: ir-6.1_gdn - name: guidance - prose: The recipients of incident reports are specified in [IR-6b](#ir-6_smt.b) - . Automated reporting mechanisms include email, posting on websites - (with automatic updates), and automated incident response tools - and programs. - - name: objective - props: - - name: label - value: IR-06(01) - class: sp800-53A - prose: "incidents are reported using {{ insert: param, ir-06.01_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident reporting - - - automated mechanisms supporting incident reporting - - - system design documentation - - - system configuration settings and associated documentation - - - incident response plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident reporting - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident reporting - - - automated mechanisms supporting and/or implementing reporting - of security incidents - - id: ir-6.2 - class: SP800-53-enhancement - title: Vulnerabilities Related to Incidents - params: - - id: ir-06.02_odp - props: - - name: legacy-identifier - value: ir-6.2_prm_1 - - name: label - value: IR-06(02)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to whom system vulnerabilities associated - with reported incidents are reported to is/are defined; - props: - - name: label - value: IR-06(02) - - name: sort-id - value: ir-06.02 - links: - - href: "#ir-6" - rel: required - parts: - - id: ir-6.2_smt - name: statement - prose: "Report system vulnerabilities associated with reported incidents\ - \ to {{ insert: param, ir-06.02_odp }}." - - id: ir-6.2_gdn - name: guidance - prose: Reported incidents that uncover system vulnerabilities are - analyzed by organizational personnel including system owners, - mission and business owners, senior agency information security - officers, senior agency officials for privacy, authorizing officials, - and the risk executive (function). The analysis can serve to prioritize - and initiate mitigation actions to address the discovered system - vulnerability. - - name: objective - props: - - name: label - value: IR-06(02) - class: sp800-53A - prose: "system vulnerabilities associated with reported incidents\ - \ are reported to {{ insert: param, ir-06.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident reporting - - - incident response plan - - - system security plan - - - privacy plan - - - security incident reports and associated system vulnerabilities - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident reporting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - personnel to whom vulnerabilities associated with security - incidents are to be reported - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident reporting - - - automated mechanisms supporting and/or implementing the reporting - of vulnerabilities associated with security incidents - - id: ir-6.3 - class: SP800-53-enhancement - title: Supply Chain Coordination - props: - - name: label - value: IR-06(03) - - name: sort-id - value: ir-06.03 - links: - - href: "#ir-6" - rel: required - - href: "#sr-8" - rel: related - parts: - - id: ir-6.3_smt - name: statement - prose: Provide incident information to the provider of the product - or service and other organizations involved in the supply chain - or supply chain governance for systems or system components related - to the incident. - - id: ir-6.3_gdn - name: guidance - prose: Organizations involved in supply chain activities include - product developers, system integrators, manufacturers, packagers, - assemblers, distributors, vendors, and resellers. Entities that - provide supply chain governance include the Federal Acquisition - Security Council (FASC). Supply chain incidents include compromises - or breaches that involve information technology products, system - components, development processes or personnel, distribution processes, - or warehousing facilities. Organizations determine the appropriate - information to share and consider the value gained from informing - external organizations about supply chain incidents, including - the ability to improve processes or to identify the root cause - of an incident. - - name: objective - props: - - name: label - value: IR-06(03) - class: sp800-53A - prose: incident information is provided to the provider of the product - or service and other organizations involved in the supply chain - or supply chain governance for systems or system components related - to the incident. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing supply chain coordination and supply - chain risk information sharing with the Federal Acquisition - Security Council - - - acquisition policy - - - acquisition contracts - - - service-level agreements - - - incident response plan - - - supply chain risk management plan - - - system security plan - - - plans of other organizations involved in supply chain activities - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident reporting - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organization personnel with acquisition responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident reporting - - - organizational processes for supply chain risk information - sharing - - - automated mechanisms supporting and/or implementing reporting - of incident information involved in the supply chain - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - props: - - name: label - value: IR-07 - - name: sort-id - value: ir-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#2be7b163-e50a-435c-8906-f1162f2a457a" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-26" - rel: related - - href: "#sa-9" - rel: related - - href: "#si-18" - rel: related - parts: - - id: ir-7_smt - name: statement - prose: Provide an incident response support resource, integral to the - organizational incident response capability, that offers advice and - assistance to users of the system for the handling and reporting of - incidents. - - id: ir-7_gdn - name: guidance - prose: Incident response support resources provided by organizations - include help desks, assistance groups, automated ticketing systems - to open and track incident response tickets, and access to forensics - services or consumer redress services, when required. - - name: objective - props: - - name: label - value: IR-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-07[01] - class: sp800-53A - prose: an incident response support resource, integral to the organizational - incident response capability, is provided; - - name: objective - props: - - name: label - value: IR-07[02] - class: sp800-53A - prose: the incident response support resource offers advice and - assistance to users of the system for the response and reporting - of incidents. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response assistance - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response assistance - and support responsibilities - - - organizational personnel with access to incident response support - and assistance capability - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident response assistance - - - automated mechanisms supporting and/or implementing incident response - assistance - controls: - - id: ir-7.1 - class: SP800-53-enhancement - title: Automation Support for Availability of Information and Support - params: - - id: ir-07.01_odp - props: - - name: legacy-identifier - value: ir-7.1_prm_1 - - name: label - value: IR-07(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to increase the availability - of incident response information and support are defined; - props: - - name: label - value: IR-07(01) - - name: sort-id - value: ir-07.01 - links: - - href: "#ir-7" - rel: required - parts: - - id: ir-7.1_smt - name: statement - prose: "Increase the availability of incident response information\ - \ and support using {{ insert: param, ir-07.01_odp }}." - - id: ir-7.1_gdn - name: guidance - prose: Automated mechanisms can provide a push or pull capability - for users to obtain incident response assistance. For example, - individuals may have access to a website to query the assistance - capability, or the assistance capability can proactively send - incident response information to users (general distribution or - targeted) as part of increasing understanding of current response - capabilities and support. - - name: objective - props: - - name: label - value: IR-07(01) - class: sp800-53A - prose: "the availability of incident response information and support\ - \ is increased using {{ insert: param, ir-07.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident response assistance - - - automated mechanisms supporting incident response support - and assistance - - - system design documentation - - - system configuration settings and associated documentation - - - incident response plan - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response support - and assistance responsibilities - - - organizational personnel with access to incident response - support and assistance capability - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incident response - assistance - - - automated mechanisms supporting and/or implementing an increase - in the availability of incident response information and support - - id: ir-7.2 - class: SP800-53-enhancement - title: Coordination with External Providers - props: - - name: label - value: IR-07(02) - - name: sort-id - value: ir-07.02 - links: - - href: "#ir-7" - rel: required - parts: - - id: ir-7.2_smt - name: statement - parts: - - id: ir-7.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Establish a direct, cooperative relationship between - its incident response capability and external providers of - system protection capability; and - - id: ir-7.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Identify organizational incident response team members - to the external providers. - - id: ir-7.2_gdn - name: guidance - prose: External providers of a system protection capability include - the Computer Network Defense program within the U.S. Department - of Defense. External providers help to protect, monitor, analyze, - detect, and respond to unauthorized activity within organizational - information systems and networks. It may be beneficial to have - agreements in place with external providers to clarify the roles - and responsibilities of each party before an incident occurs. - - name: objective - props: - - name: label - value: IR-07(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-07(02)(a) - class: sp800-53A - prose: a direct, cooperative relationship is established between - its incident response capability and external providers of - the system protection capability; - - name: objective - props: - - name: label - value: IR-07(02)(b) - class: sp800-53A - prose: organizational incident response team members are identified - to the external providers. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response assistance - - incident response plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response support - and assistance responsibilities - - - external providers of system protection capability - - - organizational personnel with information security and privacy - responsibilities - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - params: - - id: ir-8_prm_5 - props: - - name: aggregates - value: ir-08_odp.06 - label: organization-defined incident response personnel (identified - by name and/or by role) and organizational elements - - id: ir-08_odp.01 - props: - - name: legacy-identifier - value: ir-8_prm_1 - - name: label - value: IR-08_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles that review and approve the incident response - plan is/are identified; - - id: ir-08_odp.02 - props: - - name: legacy-identifier - value: ir-8_prm_2 - - name: label - value: IR-08_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to review and approve the incident - response plan is defined; - - id: ir-08_odp.03 - props: - - name: legacy-identifier - value: ir-8_prm_3 - - name: label - value: IR-08_ODP[03] - label: entities, personnel, or roles - guidelines: - - prose: entities, personnel, or roles with designated responsibility - for incident response are defined; - - id: ir-08_odp.04 - props: - - name: legacy-identifier - value: ir-8_prm_4 - - name: label - value: IR-08_ODP[04] - label: incident response personnel (identified by name and/or by role) - guidelines: - - prose: incident response personnel (identified by name and/or by - role) to whom copies of the incident response plan are to be distributed - is/are defined; - - id: ir-08_odp.05 - props: - - name: label - value: IR-08_ODP[05] - label: organizational elements - guidelines: - - prose: organizational elements to which copies of the incident response - plan are to be distributed are defined; - - id: ir-08_odp.06 - props: - - name: label - value: IR-08_ODP[06] - label: incident response personnel (identified by name and/or by role) - guidelines: - - prose: incident response personnel (identified by name and/or by - role) to whom changes to the incident response plan are communicated - are defined; - - id: ir-08_odp.07 - props: - - name: label - value: IR-08_ODP[07] - label: organizational elements - guidelines: - - prose: organizational elements to which changes to the incident - response plan are communicated are defined; - props: - - name: label - value: IR-08 - - name: sort-id - value: ir-08 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#5f4705ac-8d17-438c-b23a-ac7f12362ae4" - rel: reference - - href: "#ac-2" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pe-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-8" - rel: related - parts: - - id: ir-8_smt - name: statement - parts: - - id: ir-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop an incident response plan that:" - parts: - - id: ir-8_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Provides the organization with a roadmap for implementing - its incident response capability; - - id: ir-8_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Describes the structure and organization of the incident - response capability; - - id: ir-8_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Provides a high-level approach for how the incident response - capability fits into the overall organization; - - id: ir-8_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Meets the unique requirements of the organization, which - relate to mission, size, structure, and functions; - - id: ir-8_smt.a.5 - name: item - props: - - name: label - value: "05." - prose: Defines reportable incidents; - - id: ir-8_smt.a.6 - name: item - props: - - name: label - value: "06." - prose: Provides metrics for measuring the incident response - capability within the organization; - - id: ir-8_smt.a.7 - name: item - props: - - name: label - value: "07." - prose: Defines the resources and management support needed to - effectively maintain and mature an incident response capability; - - id: ir-8_smt.a.8 - name: item - props: - - name: label - value: "08." - prose: Addresses the sharing of incident information; - - id: ir-8_smt.a.9 - name: item - props: - - name: label - value: "09." - prose: "Is reviewed and approved by {{ insert: param, ir-08_odp.01\ - \ }} {{ insert: param, ir-08_odp.02 }} ; and" - - id: ir-8_smt.a.10 - name: item - props: - - name: label - value: "10." - prose: "Explicitly designates responsibility for incident response\ - \ to {{ insert: param, ir-08_odp.03 }}." - - id: ir-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the incident response plan to {{ insert:\ - \ param, ir-08_odp.04 }};" - - id: ir-8_smt.c - name: item - props: - - name: label - value: c. - prose: Update the incident response plan to address system and organizational - changes or problems encountered during plan implementation, execution, - or testing; - - id: ir-8_smt.d - name: item - props: - - name: label - value: d. - prose: "Communicate incident response plan changes to {{ insert:\ - \ param, ir-8_prm_5 }} ; and" - - id: ir-8_smt.e - name: item - props: - - name: label - value: e. - prose: Protect the incident response plan from unauthorized disclosure - and modification. - - id: ir-8_gdn - name: guidance - prose: It is important that organizations develop and implement a coordinated - approach to incident response. Organizational mission and business - functions determine the structure of incident response capabilities. - As part of the incident response capabilities, organizations consider - the coordination and sharing of information with external organizations, - including external service providers and other organizations involved - in the supply chain. For incidents involving personally identifiable - information (i.e., breaches), include a process to determine whether - notice to oversight organizations or affected individuals is appropriate - and provide that notice accordingly. - - name: objective - props: - - name: label - value: IR-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08a.01 - class: sp800-53A - prose: an incident response plan is developed that provides - the organization with a roadmap for implementing its incident - response capability; - - name: objective - props: - - name: label - value: IR-08a.02 - class: sp800-53A - prose: an incident response plan is developed that describes - the structure and organization of the incident response capability; - - name: objective - props: - - name: label - value: IR-08a.03 - class: sp800-53A - prose: an incident response plan is developed that provides - a high-level approach for how the incident response capability - fits into the overall organization; - - name: objective - props: - - name: label - value: IR-08a.04 - class: sp800-53A - prose: an incident response plan is developed that meets the - unique requirements of the organization with regard to mission, - size, structure, and functions; - - name: objective - props: - - name: label - value: IR-08a.05 - class: sp800-53A - prose: an incident response plan is developed that defines reportable - incidents; - - name: objective - props: - - name: label - value: IR-08a.06 - class: sp800-53A - prose: an incident response plan is developed that provides - metrics for measuring the incident response capability within - the organization; - - name: objective - props: - - name: label - value: IR-08a.07 - class: sp800-53A - prose: an incident response plan is developed that defines the - resources and management support needed to effectively maintain - and mature an incident response capability; - - name: objective - props: - - name: label - value: IR-08a.08 - class: sp800-53A - prose: an incident response plan is developed that addresses - the sharing of incident information; - - name: objective - props: - - name: label - value: IR-08a.09 - class: sp800-53A - prose: "an incident response plan is developed that is reviewed\ - \ and approved by {{ insert: param, ir-08_odp.01 }} {{ insert:\ - \ param, ir-08_odp.02 }};" - - name: objective - props: - - name: label - value: IR-08a.10 - class: sp800-53A - prose: "an incident response plan is developed that explicitly\ - \ designates responsibility for incident response to {{ insert:\ - \ param, ir-08_odp.03 }}." - - name: objective - props: - - name: label - value: IR-08b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08b.[01] - class: sp800-53A - prose: "copies of the incident response plan are distributed\ - \ to {{ insert: param, ir-08_odp.04 }};" - - name: objective - props: - - name: label - value: IR-08b.[02] - class: sp800-53A - prose: "copies of the incident response plan are distributed\ - \ to {{ insert: param, ir-08_odp.05 }};" - - name: objective - props: - - name: label - value: IR-08c. - class: sp800-53A - prose: the incident response plan is updated to address system and - organizational changes or problems encountered during plan implementation, - execution, or testing; - - name: objective - props: - - name: label - value: IR-08d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08d.[01] - class: sp800-53A - prose: "incident response plan changes are communicated to {{\ - \ insert: param, ir-08_odp.06 }};" - - name: objective - props: - - name: label - value: IR-08d.[02] - class: sp800-53A - prose: "incident response plan changes are communicated to {{\ - \ insert: param, ir-08_odp.07 }};" - - name: objective - props: - - name: label - value: IR-08e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08e.[01] - class: sp800-53A - prose: the incident response plan is protected from unauthorized - disclosure; - - name: objective - props: - - name: label - value: IR-08e.[02] - class: sp800-53A - prose: the incident response plan is protected from unauthorized - modification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response planning - - incident response plan - - system security plan - - privacy plan - - records of incident response plan reviews and approvals - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response planning - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-08-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational incident response plan and related organizational - processes - controls: - - id: ir-8.1 - class: SP800-53-enhancement - title: Breaches - props: - - name: label - value: IR-08(01) - - name: sort-id - value: ir-08.01 - links: - - href: "#ir-8" - rel: required - - href: "#pt-1" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-4" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-7" - rel: related - parts: - - id: ir-8.1_smt - name: statement - prose: "Include the following in the Incident Response Plan for\ - \ breaches involving personally identifiable information:" - parts: - - id: ir-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: A process to determine if notice to individuals or other - organizations, including oversight organizations, is needed; - - id: ir-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: An assessment process to determine the extent of the - harm, embarrassment, inconvenience, or unfairness to affected - individuals and any mechanisms to mitigate such harms; and - - id: ir-8.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Identification of applicable privacy requirements. - - id: ir-8.1_gdn - name: guidance - prose: Organizations may be required by law, regulation, or policy - to follow specific procedures relating to breaches, including - notice to individuals, affected organizations, and oversight bodies; - standards of harm; and mitigation or other specific requirements. - - name: objective - props: - - name: label - value: IR-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-08(01)(a) - class: sp800-53A - prose: the incident response plan for breaches involving personally - identifiable information includes a process to determine if - notice to individuals or other organizations, including oversight - organizations, is needed; - - name: objective - props: - - name: label - value: IR-08(01)(b) - class: sp800-53A - prose: the incident response plan for breaches involving personally - identifiable information includes an assessment process to - determine the extent of the harm, embarrassment, inconvenience, - or unfairness to affected individuals and any mechanisms to - mitigate such harms; - - name: objective - props: - - name: label - value: IR-08(01)(c) - class: sp800-53A - prose: the incident response plan for breaches involving personally - identifiable information includes the identification of applicable - privacy requirements. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response planning - - incident response plan - - system security plan - - privacy plan - - records of incident response plan reviews and approvals - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response planning - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational incident response plan and related organizational - processes - - id: ir-9 - class: SP800-53 - title: Information Spillage Response - params: - - id: ir-09_odp.01 - props: - - name: legacy-identifier - value: ir-9_prm_1 - - name: label - value: IR-09_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles assigned the responsibility for responding - to information spills is/are defined; - - id: ir-09_odp.02 - props: - - name: legacy-identifier - value: ir-9_prm_2 - - name: label - value: IR-09_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted of the information spill - using a method of communication not associated with the spill - is/are defined; - - id: ir-09_odp.03 - props: - - name: legacy-identifier - value: ir-9_prm_3 - - name: label - value: IR-09_ODP[03] - label: actions - guidelines: - - prose: actions to be performed are defined; - props: - - name: label - value: IR-09 - - name: sort-id - value: ir-09 - links: - - href: "#cp-2" - rel: related - - href: "#ir-6" - rel: related - - href: "#pm-26" - rel: related - - href: "#pm-27" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: ir-9_smt - name: statement - prose: "Respond to information spills by:" - parts: - - id: ir-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Assigning {{ insert: param, ir-09_odp.01 }} with responsibility\ - \ for responding to information spills;" - - id: ir-9_smt.b - name: item - props: - - name: label - value: b. - prose: Identifying the specific information involved in the system - contamination; - - id: ir-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Alerting {{ insert: param, ir-09_odp.02 }} of the information\ - \ spill using a method of communication not associated with the\ - \ spill;" - - id: ir-9_smt.d - name: item - props: - - name: label - value: d. - prose: Isolating the contaminated system or system component; - - id: ir-9_smt.e - name: item - props: - - name: label - value: e. - prose: Eradicating the information from the contaminated system - or component; - - id: ir-9_smt.f - name: item - props: - - name: label - value: f. - prose: Identifying other systems or system components that may have - been subsequently contaminated; and - - id: ir-9_smt.g - name: item - props: - - name: label - value: g. - prose: "Performing the following additional actions: {{ insert:\ - \ param, ir-09_odp.03 }}." - - id: ir-9_gdn - name: guidance - prose: Information spillage refers to instances where information is - placed on systems that are not authorized to process such information. - Information spills occur when information that is thought to be a - certain classification or impact level is transmitted to a system - and subsequently is determined to be of a higher classification or - impact level. At that point, corrective action is required. The nature - of the response is based on the classification or impact level of - the spilled information, the security capabilities of the system, - the specific nature of the contaminated storage media, and the access - authorizations of individuals with authorized access to the contaminated - system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the - actual spill to minimize the risk of further spreading the contamination - before such contamination is isolated and eradicated. - - name: objective - props: - - name: label - value: IR-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: IR-09(a) - class: sp800-53A - prose: "{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility\ - \ to respond to information spills;" - - name: objective - props: - - name: label - value: IR-09(b) - class: sp800-53A - prose: the specific information involved in the system contamination - is identified in response to information spills; - - name: objective - props: - - name: label - value: IR-09(c) - class: sp800-53A - prose: "{{ insert: param, ir-09_odp.02 }} is/are alerted of the\ - \ information spill using a method of communication not associated\ - \ with the spill;" - - name: objective - props: - - name: label - value: IR-09(d) - class: sp800-53A - prose: the contaminated system or system component is isolated in - response to information spills; - - name: objective - props: - - name: label - value: IR-09(e) - class: sp800-53A - prose: the information is eradicated from the contaminated system - or component in response to information spills; - - name: objective - props: - - name: label - value: IR-09(f) - class: sp800-53A - prose: other systems or system components that may have been subsequently - contaminated are identified in response to information spills; - - name: objective - props: - - name: label - value: IR-09(g) - class: sp800-53A - prose: "{{ insert: param, ir-09_odp.03 }} are performed in response\ - \ to information spills." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing information spillage - - - incident response plan - - - system security plan - - - records of information spillage alerts/notifications - - - list of personnel who should receive alerts of information spillage - - - list of actions to be performed regarding information spillage - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for information spillage response - - - automated mechanisms supporting and/or implementing information - spillage response actions and related communications - controls: - - id: ir-9.1 - class: SP800-53-enhancement - title: Responsible Personnel - props: - - name: label - value: IR-09(01) - - name: sort-id - value: ir-09.01 - - name: status - value: withdrawn - links: - - href: "#ir-9" - rel: incorporated-into - - id: ir-9.2 - class: SP800-53-enhancement - title: Training - params: - - id: ir-09.02_odp - props: - - name: legacy-identifier - value: ir-9.2_prm_1 - - name: label - value: IR-09(02)_ODP - label: frequency - guidelines: - - prose: frequency at which to provide information spillage response - training is defined; - props: - - name: label - value: IR-09(02) - - name: sort-id - value: ir-09.02 - links: - - href: "#ir-9" - rel: required - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - parts: - - id: ir-9.2_smt - name: statement - prose: "Provide information spillage response training {{ insert:\ - \ param, ir-09.02_odp }}." - - id: ir-9.2_gdn - name: guidance - prose: Organizations establish requirements for responding to information - spillage incidents in incident response plans. Incident response - training on a regular basis helps to ensure that organizational - personnel understand their individual responsibilities and what - specific actions to take when spillage incidents occur. - - name: objective - props: - - name: label - value: IR-09(02) - class: sp800-53A - prose: "information spillage response training is provided {{ insert:\ - \ param, ir-09.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing information spillage response training - - - information spillage response training curriculum - - - information spillage response training materials - - - incident response plan - - - system security plan - - - information spillage response training records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response training - responsibilities - - - organizational personnel with information security responsibilities - - id: ir-9.3 - class: SP800-53-enhancement - title: Post-spill Operations - params: - - id: ir-09.03_odp - props: - - name: legacy-identifier - value: ir-9.3_prm_1 - - name: label - value: IR-09(03)_ODP - label: procedures - guidelines: - - prose: procedures to be implemented to ensure that organizational - personnel impacted by information spills can continue to carry - out assigned tasks while contaminated systems are undergoing - corrective actions are defined; - props: - - name: label - value: IR-09(03) - - name: sort-id - value: ir-09.03 - links: - - href: "#ir-9" - rel: required - parts: - - id: ir-9.3_smt - name: statement - prose: "Implement the following procedures to ensure that organizational\ - \ personnel impacted by information spills can continue to carry\ - \ out assigned tasks while contaminated systems are undergoing\ - \ corrective actions: {{ insert: param, ir-09.03_odp }}." - - id: ir-9.3_gdn - name: guidance - prose: Corrective actions for systems contaminated due to information - spillages may be time-consuming. Personnel may not have access - to the contaminated systems while corrective actions are being - taken, which may potentially affect their ability to conduct organizational - business. - - name: objective - props: - - name: label - value: IR-09(03) - class: sp800-53A - prose: "{{ insert: param, ir-09.03_odp }} are implemented to ensure\ - \ that organizational personnel impacted by information spills\ - \ can continue to carry out assigned tasks while contaminated\ - \ systems are undergoing corrective actions." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-09(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Incident response policy - - procedures addressing incident response - - procedures addressing information spillage - - incident response plan - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-09(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-09(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for post-spill operations - - id: ir-9.4 - class: SP800-53-enhancement - title: Exposure to Unauthorized Personnel - params: - - id: ir-09.04_odp - props: - - name: legacy-identifier - value: ir-9.4_prm_1 - - name: label - value: IR-09(04)_ODP - label: controls - guidelines: - - prose: controls employed for personnel exposed to information - not within assigned access authorizations are defined; - props: - - name: label - value: IR-09(04) - - name: sort-id - value: ir-09.04 - links: - - href: "#ir-9" - rel: required - parts: - - id: ir-9.4_smt - name: statement - prose: "Employ the following controls for personnel exposed to information\ - \ not within assigned access authorizations: {{ insert: param,\ - \ ir-09.04_odp }}." - - id: ir-9.4_gdn - name: guidance - prose: Controls include ensuring that personnel who are exposed - to spilled information are made aware of the laws, executive orders, - directives, regulations, policies, standards, and guidelines regarding - the information and the restrictions imposed based on exposure - to such information. - - name: objective - props: - - name: label - value: IR-09(04) - class: sp800-53A - prose: "{{ insert: param, ir-09.04_odp }} are employed for personnel\ - \ exposed to information not within assigned access authorizations." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: IR-09(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Incident response policy - - - procedures addressing incident response - - - procedures addressing information spillage - - - incident response plan - - - system security plan - - - security safeguards regarding information spillage/exposure - to unauthorized personnel - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: IR-09(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with incident response - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: IR-09(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for dealing with information - exposed to unauthorized personnel - - - automated mechanisms supporting and/or implementing safeguards - for personnel exposed to information not within assigned access - authorizations - - id: ir-10 - class: SP800-53 - title: Integrated Information Security Analysis Team - props: - - name: label - value: IR-10 - - name: sort-id - value: ir-10 - - name: status - value: withdrawn - links: - - href: "#ir-4.11" - rel: moved-to - - id: ma - class: family - title: Maintenance - controls: - - id: ma-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ma-1_prm_1 - props: - - name: aggregates - value: ma-01_odp.01 - label: organization-defined personnel or roles - - id: ma-01_odp.01 - props: - - name: label - value: MA-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the maintenance policy is to be - disseminated is/are defined; - - id: ma-01_odp.02 - props: - - name: label - value: MA-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the maintenance procedures are - to be disseminated is/are defined; - - id: ma-01_odp.03 - props: - - name: legacy-identifier - value: ma-1_prm_2 - - name: label - value: MA-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ma-01_odp.04 - props: - - name: legacy-identifier - value: ma-1_prm_3 - - name: label - value: MA-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the maintenance policy and procedures - is defined; - - id: ma-01_odp.05 - props: - - name: legacy-identifier - value: ma-1_prm_4 - - name: label - value: MA-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency with which the current maintenance policy is - reviewed and updated is defined; - - id: ma-01_odp.06 - props: - - name: legacy-identifier - value: ma-1_prm_5 - - name: label - value: MA-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current maintenance policy - to be reviewed and updated are defined; - - id: ma-01_odp.07 - props: - - name: legacy-identifier - value: ma-1_prm_6 - - name: label - value: MA-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency with which the current maintenance procedures - are reviewed and updated is defined; - - id: ma-01_odp.08 - props: - - name: legacy-identifier - value: ma-1_prm_7 - - name: label - value: MA-01_ODP[08] - label: events - guidelines: - - prose: events that would require the maintenance procedures to be - reviewed and updated are defined; - props: - - name: label - value: MA-01 - - name: sort-id - value: ma-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ma-1_smt - name: statement - parts: - - id: ma-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ma-1_prm_1 }}:" - parts: - - id: ma-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ma-01_odp.03 }} maintenance policy\ - \ that:" - parts: - - id: ma-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ma-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ma-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the maintenance - policy and the associated maintenance controls; - - id: ma-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ma-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the maintenance\ - \ policy and procedures; and" - - id: ma-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current maintenance:" - parts: - - id: ma-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ma-01_odp.05 }} and following\ - \ {{ insert: param, ma-01_odp.06 }} ; and" - - id: ma-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ma-01_odp.07 }} and following\ - \ {{ insert: param, ma-01_odp.08 }}." - - id: ma-1_gdn - name: guidance - prose: Maintenance policy and procedures address the controls in the - MA family that are implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures contribute to security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on the development of maintenance policy - and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies that reflect the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to maintenance policy and procedures assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: MA-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01a.[01] - class: sp800-53A - prose: a maintenance policy is developed and documented; - - name: objective - props: - - name: label - value: MA-01a.[02] - class: sp800-53A - prose: "the maintenance policy is disseminated to {{ insert:\ - \ param, ma-01_odp.01 }};" - - name: objective - props: - - name: label - value: MA-01a.[03] - class: sp800-53A - prose: maintenance procedures to facilitate the implementation - of the maintenance policy and associated maintenance controls - are developed and documented; - - name: objective - props: - - name: label - value: MA-01a.[04] - class: sp800-53A - prose: "the maintenance procedures are disseminated to {{ insert:\ - \ param, ma-01_odp.02 }};" - - name: objective - props: - - name: label - value: MA-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses purpose;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses scope;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses roles;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses responsibilities;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses management commitment;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: MA-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy addresses compliance;" - - name: objective - props: - - name: label - value: MA-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.03 }} maintenance\ - \ policy is consistent with applicable laws, Executive\ - \ Orders, directives, regulations, policies, standards,\ - \ and guidelines;" - - name: objective - props: - - name: label - value: MA-01b. - class: sp800-53A - prose: "the {{ insert: param, ma-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the maintenance\ - \ policy and procedures;" - - name: objective - props: - - name: label - value: MA-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01c.01[01] - class: sp800-53A - prose: "the current maintenance policy is reviewed and updated\ - \ {{ insert: param, ma-01_odp.05 }};" - - name: objective - props: - - name: label - value: MA-01c.01[02] - class: sp800-53A - prose: "the current maintenance policy is reviewed and updated\ - \ following {{ insert: param, ma-01_odp.06 }};" - - name: objective - props: - - name: label - value: MA-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-01c.02[01] - class: sp800-53A - prose: "the current maintenance procedures are reviewed\ - \ and updated {{ insert: param, ma-01_odp.07 }};" - - name: objective - props: - - name: label - value: MA-01c.02[02] - class: sp800-53A - prose: "the current maintenance procedures are reviewed\ - \ and updated following {{ insert: param, ma-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy and procedures - - system security plan - - privacy plan - - organizational risk management strategy - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with maintenance responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - params: - - id: ma-02_odp.01 - props: - - name: legacy-identifier - value: ma-2_prm_1 - - name: label - value: MA-02_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles required to explicitly approve the removal - of the system or system components from organizational facilities - for off-site maintenance or repairs is/are defined; - - id: ma-02_odp.02 - props: - - name: legacy-identifier - value: ma-2_prm_2 - - name: label - value: MA-02_ODP[02] - label: information - guidelines: - - prose: information to be removed from associated media prior to - removal from organizational facilities for off-site maintenance, - repair, or replacement is defined; - - id: ma-02_odp.03 - props: - - name: legacy-identifier - value: ma-2_prm_3 - - name: label - value: MA-02_ODP[03] - label: information - guidelines: - - prose: information to be included in organizational maintenance - records is defined; - props: - - name: label - value: MA-02 - - name: sort-id - value: ma-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pe-16" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: ma-2_smt - name: statement - parts: - - id: ma-2_smt.a - name: item - props: - - name: label - value: a. - prose: Schedule, document, and review records of maintenance, repair, - and replacement on system components in accordance with manufacturer - or vendor specifications and/or organizational requirements; - - id: ma-2_smt.b - name: item - props: - - name: label - value: b. - prose: Approve and monitor all maintenance activities, whether performed - on site or remotely and whether the system or system components - are serviced on site or removed to another location; - - id: ma-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Require that {{ insert: param, ma-02_odp.01 }} explicitly\ - \ approve the removal of the system or system components from\ - \ organizational facilities for off-site maintenance, repair,\ - \ or replacement;" - - id: ma-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Sanitize equipment to remove the following information from\ - \ associated media prior to removal from organizational facilities\ - \ for off-site maintenance, repair, or replacement: {{ insert:\ - \ param, ma-02_odp.02 }};" - - id: ma-2_smt.e - name: item - props: - - name: label - value: e. - prose: Check all potentially impacted controls to verify that the - controls are still functioning properly following maintenance, - repair, or replacement actions; and - - id: ma-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Include the following information in organizational maintenance\ - \ records: {{ insert: param, ma-02_odp.03 }}." - - id: ma-2_gdn - name: guidance - prose: Controlling system maintenance addresses the information security - aspects of the system maintenance program and applies to all types - of maintenance to system components conducted by local or nonlocal - entities. Maintenance includes peripherals such as scanners, copiers, - and printers. Information necessary for creating effective maintenance - records includes the date and time of maintenance, a description of - the maintenance performed, names of the individuals or group performing - the maintenance, name of the escort, and system components or equipment - that are removed or replaced. Organizations consider supply chain-related - risks associated with replacement components for systems. - - name: objective - props: - - name: label - value: MA-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02a.[01] - class: sp800-53A - prose: maintenance, repair, and replacement of system components - are scheduled in accordance with manufacturer or vendor specifications - and/or organizational requirements; - - name: objective - props: - - name: label - value: MA-02a.[02] - class: sp800-53A - prose: maintenance, repair, and replacement of system components - are documented in accordance with manufacturer or vendor specifications - and/or organizational requirements; - - name: objective - props: - - name: label - value: MA-02a.[03] - class: sp800-53A - prose: records of maintenance, repair, and replacement of system - components are reviewed in accordance with manufacturer or - vendor specifications and/or organizational requirements; - - name: objective - props: - - name: label - value: MA-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02b.[01] - class: sp800-53A - prose: all maintenance activities, whether performed on site - or remotely and whether the system or system components are - serviced on site or removed to another location, are approved; - - name: objective - props: - - name: label - value: MA-02b.[02] - class: sp800-53A - prose: all maintenance activities, whether performed on site - or remotely and whether the system or system components are - serviced on site or removed to another location, are monitored; - - name: objective - props: - - name: label - value: MA-02c. - class: sp800-53A - prose: "{{ insert: param, ma-02_odp.01 }} is/are required to explicitly\ - \ approve the removal of the system or system components from\ - \ organizational facilities for off-site maintenance, repair,\ - \ or replacement;" - - name: objective - props: - - name: label - value: MA-02d. - class: sp800-53A - prose: "equipment is sanitized to remove {{ insert: param, ma-02_odp.02\ - \ }} from associated media prior to removal from organizational\ - \ facilities for off-site maintenance, repair, or replacement;" - - name: objective - props: - - name: label - value: MA-02e. - class: sp800-53A - prose: all potentially impacted controls are checked to verify that - the controls are still functioning properly following maintenance, - repair, or replacement actions; - - name: objective - props: - - name: label - value: MA-02f. - class: sp800-53A - prose: "{{ insert: param, ma-02_odp.03 }} is included in organizational\ - \ maintenance records." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing controlled system maintenance - - maintenance records - - manufacturer/vendor maintenance specifications - - equipment sanitization records - - media sanitization records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for media sanitization - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for scheduling, performing, - documenting, reviewing, approving, and monitoring - maintenance and repairs for the system - - - organizational processes for sanitizing system components - - - automated mechanisms supporting and/or implementing controlled - maintenance - - - automated mechanisms implementing sanitization of system components - controls: - - id: ma-2.1 - class: SP800-53-enhancement - title: Record Content - props: - - name: label - value: MA-02(01) - - name: sort-id - value: ma-02.01 - - name: status - value: withdrawn - links: - - href: "#ma-2" - rel: incorporated-into - - id: ma-2.2 - class: SP800-53-enhancement - title: Automated Maintenance Activities - params: - - id: ma-2.2_prm_1 - props: - - name: aggregates - value: ma-02.02_odp.01 - label: organization-defined automated mechanisms - - id: ma-02.02_odp.01 - props: - - name: label - value: MA-02(02)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to schedule maintenance, repair, - and replacement actions for the system are defined; - - id: ma-02.02_odp.02 - props: - - name: label - value: MA-02(02)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to conduct maintenance, repair, - and replacement actions for the system are defined; - - id: ma-02.02_odp.03 - props: - - name: label - value: MA-02(02)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to document maintenance, repair, - and replacement actions for the system are defined; - props: - - name: label - value: MA-02(02) - - name: sort-id - value: ma-02.02 - links: - - href: "#ma-2" - rel: required - - href: "#ma-3" - rel: related - parts: - - id: ma-2.2_smt - name: statement - parts: - - id: ma-2.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Schedule, conduct, and document maintenance, repair,\ - \ and replacement actions for the system using {{ insert:\ - \ param, ma-2.2_prm_1 }} ; and" - - id: ma-2.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Produce up-to date, accurate, and complete records of - all maintenance, repair, and replacement actions requested, - scheduled, in process, and completed. - - id: ma-2.2_gdn - name: guidance - prose: The use of automated mechanisms to manage and control system - maintenance programs and activities helps to ensure the generation - of timely, accurate, complete, and consistent maintenance records. - - name: objective - props: - - name: label - value: MA-02(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02(02)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02(02)(a)[01] - class: sp800-53A - prose: "{{ insert: param, ma-02.02_odp.01 }} are used to\ - \ schedule maintenance, repair, and replacement actions\ - \ for the system;" - - name: objective - props: - - name: label - value: MA-02(02)(a)[02] - class: sp800-53A - prose: "{{ insert: param, ma-02.02_odp.02 }} are used to\ - \ conduct maintenance, repair, and replacement actions\ - \ for the system;" - - name: objective - props: - - name: label - value: MA-02(02)(a)[03] - class: sp800-53A - prose: "{{ insert: param, ma-02.02_odp.03 }} are used to\ - \ document maintenance, repair, and replacement actions\ - \ for the system;" - - name: objective - props: - - name: label - value: MA-02(02)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-02(02)(b)[01] - class: sp800-53A - prose: up-to date, accurate, and complete records of all - maintenance actions requested, scheduled, in process, - and completed are produced. - - name: objective - props: - - name: label - value: MA-02(02)(b)[02] - class: sp800-53A - prose: up-to date, accurate, and complete records of all - repair actions requested, scheduled, in process, and completed - are produced. - - name: objective - props: - - name: label - value: MA-02(02)(b)[03] - class: sp800-53A - prose: up-to date, accurate, and complete records of all - replacement actions requested, scheduled, in process, - and completed are produced. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing controlled system maintenance - - - automated mechanisms supporting system maintenance activities - - - system configuration settings and associated documentation - - - maintenance records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - controlled maintenance - - - automated mechanisms supporting and/or implementing production - of records of maintenance and repair actions - - id: ma-3 - class: SP800-53 - title: Maintenance Tools - params: - - id: ma-03_odp - props: - - name: legacy-identifier - value: ma-3_prm_1 - - name: label - value: MA-03_ODP - label: frequency - guidelines: - - prose: frequency at which to review previously approved system maintenance - tools is defined; - props: - - name: label - value: MA-03 - - name: sort-id - value: ma-03 - links: - - href: "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6" - rel: reference - - href: "#ma-2" - rel: related - - href: "#pe-16" - rel: related - parts: - - id: ma-3_smt - name: statement - parts: - - id: ma-3_smt.a - name: item - props: - - name: label - value: a. - prose: Approve, control, and monitor the use of system maintenance - tools; and - - id: ma-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Review previously approved system maintenance tools {{ insert:\ - \ param, ma-03_odp }}." - - id: ma-3_gdn - name: guidance - prose: Approving, controlling, monitoring, and reviewing maintenance - tools address security-related issues associated with maintenance - tools that are not within system authorization boundaries and are - used specifically for diagnostic and repair actions on organizational - systems. Organizations have flexibility in determining roles for the - approval of maintenance tools and how that approval is documented. - A periodic review of maintenance tools facilitates the withdrawal - of approval for outdated, unsupported, irrelevant, or no-longer-used - tools. Maintenance tools can include hardware, software, and firmware - items and may be pre-installed, brought in with maintenance personnel - on media, cloud-based, or downloaded from a website. Such tools can - be vehicles for transporting malicious code, either intentionally - or unintentionally, into a facility and subsequently into systems. - Maintenance tools can include hardware and software diagnostic test - equipment and packet sniffers. The hardware and software components - that support maintenance and are a part of the system (including the - software implementing utilities such as "ping," "ls," "ipconfig," - or the hardware and software implementing the monitoring port of an - Ethernet switch) are not addressed by maintenance tools. - - name: objective - props: - - name: label - value: MA-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-03(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-03(a)[01] - class: sp800-53A - prose: the use of system maintenance tools is approved; - - name: objective - props: - - name: label - value: MA-03(a)[02] - class: sp800-53A - prose: the use of system maintenance tools is controlled; - - name: objective - props: - - name: label - value: MA-03(a)[03] - class: sp800-53A - prose: the use of system maintenance tools is monitored; - - name: objective - props: - - name: label - value: MA-03(b) - class: sp800-53A - prose: "previously approved system maintenance tools are reviewed\ - \ {{ insert: param, ma-03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for approving, controlling, and - monitoring maintenance tools - - - automated mechanisms supporting and/or implementing approval, - control, and/or monitoring of maintenance tools - controls: - - id: ma-3.1 - class: SP800-53-enhancement - title: Inspect Tools - props: - - name: label - value: MA-03(01) - - name: sort-id - value: ma-03.01 - links: - - href: "#ma-3" - rel: required - - href: "#si-7" - rel: related - parts: - - id: ma-3.1_smt - name: statement - prose: Inspect the maintenance tools used by maintenance personnel - for improper or unauthorized modifications. - - id: ma-3.1_gdn - name: guidance - prose: Maintenance tools can be directly brought into a facility - by maintenance personnel or downloaded from a vendor’s website. - If, upon inspection of the maintenance tools, organizations determine - that the tools have been modified in an improper manner or the - tools contain malicious code, the incident is handled consistent - with organizational policies and procedures for incident handling. - - name: objective - props: - - name: label - value: MA-03(01) - class: sp800-53A - prose: maintenance tools used by maintenance personnel are inspected - for improper or unauthorized modifications. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - maintenance tool inspection records - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for inspecting maintenance - tools - - - automated mechanisms supporting and/or implementing inspection - of maintenance tools - - id: ma-3.2 - class: SP800-53-enhancement - title: Inspect Media - props: - - name: label - value: MA-03(02) - - name: sort-id - value: ma-03.02 - links: - - href: "#ma-3" - rel: required - - href: "#si-3" - rel: related - parts: - - id: ma-3.2_smt - name: statement - prose: Check media containing diagnostic and test programs for malicious - code before the media are used in the system. - - id: ma-3.2_gdn - name: guidance - prose: If, upon inspection of media containing maintenance, diagnostic, - and test programs, organizations determine that the media contains - malicious code, the incident is handled consistent with organizational - incident handling policies and procedures. - - name: objective - props: - - name: label - value: MA-03(02) - class: sp800-53A - prose: media containing diagnostic and test programs are checked - for malicious code before the media are used in the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for inspecting media for - malicious code - - - automated mechanisms supporting and/or implementing inspection - of media used for maintenance - - id: ma-3.3 - class: SP800-53-enhancement - title: Prevent Unauthorized Removal - params: - - id: ma-03.03_odp - props: - - name: legacy-identifier - value: ma-3.3_prm_1 - - name: label - value: MA-03(03)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles who can authorize removal of equipment - from the facility is/are defined; - props: - - name: label - value: MA-03(03) - - name: sort-id - value: ma-03.03 - links: - - href: "#ma-3" - rel: required - - href: "#mp-6" - rel: related - parts: - - id: ma-3.3_smt - name: statement - prose: "Prevent the removal of maintenance equipment containing\ - \ organizational information by:" - parts: - - id: ma-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Verifying that there is no organizational information - contained on the equipment; - - id: ma-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Sanitizing or destroying the equipment; - - id: ma-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Retaining the equipment within the facility; or - - id: ma-3.3_smt.d - name: item - props: - - name: label - value: (d) - prose: "Obtaining an exemption from {{ insert: param, ma-03.03_odp\ - \ }} explicitly authorizing removal of the equipment from\ - \ the facility." - - id: ma-3.3_gdn - name: guidance - prose: Organizational information includes all information owned - by organizations and any information provided to organizations - for which the organizations serve as information stewards. - - name: objective - props: - - name: label - value: MA-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-03(03)(a) - class: sp800-53A - prose: the removal of maintenance equipment containing organizational - information is prevented by verifying that there is no organizational - information contained on the equipment; or - - name: objective - props: - - name: label - value: MA-03(03)(b) - class: sp800-53A - prose: the removal of maintenance equipment containing organizational - information is prevented by sanitizing or destroying the equipment; - or - - name: objective - props: - - name: label - value: MA-03(03)(c) - class: sp800-53A - prose: the removal of maintenance equipment containing organizational - information is prevented by retaining the equipment within - the facility; or - - name: objective - props: - - name: label - value: MA-03(03)(d) - class: sp800-53A - prose: "the removal of maintenance equipment containing organizational\ - \ information is prevented by obtaining an exemption from\ - \ {{ insert: param, ma-03.03_odp }} explicitly authorizing\ - \ removal of the equipment from the facility." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - maintenance records - - equipment sanitization records - - media sanitization records - - exemptions for equipment removal - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for media sanitization - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for preventing unauthorized - removal of information - - - automated mechanisms supporting media sanitization or destruction - of equipment - - - automated mechanisms supporting verification of media sanitization - - id: ma-3.4 - class: SP800-53-enhancement - title: Restricted Tool Use - props: - - name: label - value: MA-03(04) - - name: sort-id - value: ma-03.04 - links: - - href: "#ma-3" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.4_smt - name: statement - prose: Restrict the use of maintenance tools to authorized personnel - only. - - id: ma-3.4_gdn - name: guidance - prose: Restricting the use of maintenance tools to only authorized - personnel applies to systems that are used to carry out maintenance - functions. - - name: objective - props: - - name: label - value: MA-03(04) - class: sp800-53A - prose: the use of maintenance tools is restricted to authorized - personnel only. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - list of personnel authorized to use maintenance tools - - maintenance tool usage records - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for restricting the use of - maintenance tools - - - automated mechanisms supporting and/or implementing restricted - use of maintenance tools - - id: ma-3.5 - class: SP800-53-enhancement - title: Execution with Privilege - props: - - name: label - value: MA-03(05) - - name: sort-id - value: ma-03.05 - links: - - href: "#ma-3" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.5_smt - name: statement - prose: Monitor the use of maintenance tools that execute with increased - privilege. - - id: ma-3.5_gdn - name: guidance - prose: Maintenance tools that execute with increased system privilege - can result in unauthorized access to organizational information - and assets that would otherwise be inaccessible. - - name: objective - props: - - name: label - value: MA-03(05) - class: sp800-53A - prose: the use of maintenance tools that execute with increased - privilege is monitored. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - list of personnel authorized to use maintenance tools - - maintenance tool usage records - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for restricting the use of - maintenance tools - - - organizational process for monitoring maintenance tools and - maintenance tool usage - - - automated mechanisms monitoring the use of maintenance tools - - id: ma-3.6 - class: SP800-53-enhancement - title: Software Updates and Patches - props: - - name: label - value: MA-03(06) - - name: sort-id - value: ma-03.06 - links: - - href: "#ma-3" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.6_smt - name: statement - prose: Inspect maintenance tools to ensure the latest software updates - and patches are installed. - - id: ma-3.6_gdn - name: guidance - prose: Maintenance tools using outdated and/or unpatched software - can provide a threat vector for adversaries and result in a significant - vulnerability for organizations. - - name: objective - props: - - name: label - value: MA-03(06) - class: sp800-53A - prose: maintenance tools are inspected to ensure that the latest - software updates and patches are installed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-03(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance tools - - system maintenance tools and associated documentation - - list of personnel authorized to use maintenance tools - - maintenance tool usage records - - maintenance records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-03(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-03(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for inspecting maintenance - tools - - - organizational processes for maintenance tools updates - - - automated mechanisms supporting and/or implementing inspection - of maintenance tools - - - automated mechanisms supporting and/or implementing maintenance - tool updates. - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - props: - - name: label - value: MA-04 - - name: sort-id - value: ma-04 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#736d6310-e403-4b57-a79d-9967970c66d7" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-5" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-10" - rel: related - parts: - - id: ma-4_smt - name: statement - parts: - - id: ma-4_smt.a - name: item - props: - - name: label - value: a. - prose: Approve and monitor nonlocal maintenance and diagnostic activities; - - id: ma-4_smt.b - name: item - props: - - name: label - value: b. - prose: Allow the use of nonlocal maintenance and diagnostic tools - only as consistent with organizational policy and documented in - the security plan for the system; - - id: ma-4_smt.c - name: item - props: - - name: label - value: c. - prose: Employ strong authentication in the establishment of nonlocal - maintenance and diagnostic sessions; - - id: ma-4_smt.d - name: item - props: - - name: label - value: d. - prose: Maintain records for nonlocal maintenance and diagnostic - activities; and - - id: ma-4_smt.e - name: item - props: - - name: label - value: e. - prose: Terminate session and network connections when nonlocal maintenance - is completed. - - id: ma-4_gdn - name: guidance - prose: Nonlocal maintenance and diagnostic activities are conducted - by individuals who communicate through either an external or internal - network. Local maintenance and diagnostic activities are carried out - by individuals who are physically present at the system location and - not communicating across a network connection. Authentication techniques - used to establish nonlocal maintenance and diagnostic sessions reflect - the network access requirements in [IA-2](#ia-2) . Strong authentication - requires authenticators that are resistant to replay attacks and employ - multi-factor authentication. Strong authenticators include PKI where - certificates are stored on a token protected by a password, passphrase, - or biometric. Enforcing requirements in [MA-4](#ma-4) is accomplished, - in part, by other controls. [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) - provides additional guidance on strong authentication and authenticators. - - name: objective - props: - - name: label - value: MA-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04a.[01] - class: sp800-53A - prose: nonlocal maintenance and diagnostic activities are approved; - - name: objective - props: - - name: label - value: MA-04a.[02] - class: sp800-53A - prose: nonlocal maintenance and diagnostic activities are monitored; - - name: objective - props: - - name: label - value: MA-04b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04b.[01] - class: sp800-53A - prose: the use of nonlocal maintenance and diagnostic tools - are allowed only as consistent with organizational policy; - - name: objective - props: - - name: label - value: MA-04b.[02] - class: sp800-53A - prose: the use of nonlocal maintenance and diagnostic tools - are documented in the security plan for the system; - - name: objective - props: - - name: label - value: MA-04c. - class: sp800-53A - prose: strong authentication is employed in the establishment of - nonlocal maintenance and diagnostic sessions; - - name: objective - props: - - name: label - value: MA-04d. - class: sp800-53A - prose: records for nonlocal maintenance and diagnostic activities - are maintained; - - name: objective - props: - - name: label - value: MA-04e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04e.[01] - class: sp800-53A - prose: session connections are terminated when nonlocal maintenance - is completed; - - name: objective - props: - - name: label - value: MA-04e.[02] - class: sp800-53A - prose: network connections are terminated when nonlocal maintenance - is completed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing nonlocal system maintenance - - remote access policy - - remote access procedures - - system design documentation - - system configuration settings and associated documentation - - maintenance records - - records of remote access - - diagnostic records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing nonlocal maintenance - - - automated mechanisms implementing, supporting, and/or managing - nonlocal maintenance - - - automated mechanisms for strong authentication of nonlocal maintenance - diagnostic sessions - - - automated mechanisms for terminating nonlocal maintenance sessions - and network connections - controls: - - id: ma-4.1 - class: SP800-53-enhancement - title: Logging and Review - params: - - id: ma-4.1_prm_1 - props: - - name: aggregates - value: ma-04.01_odp.01 - label: organization-defined audit events - - id: ma-04.01_odp.01 - props: - - name: label - value: MA-04(01)_ODP[01] - label: audit events - guidelines: - - prose: audit events to be logged for nonlocal maintenance are - defined; - - id: ma-04.01_odp.02 - props: - - name: label - value: MA-04(01)_ODP[02] - label: audit events - guidelines: - - prose: audit events to be logged for diagnostic sessions are - defined; - props: - - name: label - value: MA-04(01) - - name: sort-id - value: ma-04.01 - links: - - href: "#ma-4" - rel: required - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ma-4.1_smt - name: statement - parts: - - id: ma-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance\ - \ and diagnostic sessions; and" - - id: ma-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Review the audit records of the maintenance and diagnostic - sessions to detect anomalous behavior. - - id: ma-4.1_gdn - name: guidance - prose: Audit logging for nonlocal maintenance is enforced by [AU-2](#au-2) - . Audit events are defined in [AU-2a](#au-2_smt.a). - - name: objective - props: - - name: label - value: MA-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(01)(a)[01] - class: sp800-53A - prose: "{{ insert: param, ma-04.01_odp.01 }} are logged\ - \ for nonlocal maintenance sessions;" - - name: objective - props: - - name: label - value: MA-04(01)(a)[02] - class: sp800-53A - prose: "{{ insert: param, ma-04.01_odp.02 }} are logged\ - \ for nonlocal diagnostic sessions;" - - name: objective - props: - - name: label - value: MA-04(01)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(01)(b)[01] - class: sp800-53A - prose: the audit records of the maintenance sessions are - reviewed to detect anomalous behavior; - - name: objective - props: - - name: label - value: MA-04(01)(b)[02] - class: sp800-53A - prose: the audit records of the diagnostic sessions are - reviewed to detect anomalous behavior. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing nonlocal system maintenance - - - list of audit events - - - system configuration settings and associated documentation - - - maintenance records - - - diagnostic records - - - audit records - - - reviews of maintenance and diagnostic session records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with audit and review responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for audit and review of - nonlocal maintenance - - - automated mechanisms supporting and/or implementing audit - and review of nonlocal maintenance - - id: ma-4.2 - class: SP800-53-enhancement - title: Document Nonlocal Maintenance - props: - - name: label - value: MA-04(02) - - name: sort-id - value: ma-04.02 - - name: status - value: withdrawn - links: - - href: "#ma-1" - rel: incorporated-into - - href: "#ma-4" - rel: incorporated-into - - id: ma-4.3 - class: SP800-53-enhancement - title: Comparable Security and Sanitization - props: - - name: label - value: MA-04(03) - - name: sort-id - value: ma-04.03 - links: - - href: "#ma-4" - rel: required - - href: "#mp-6" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ma-4.3_smt - name: statement - parts: - - id: ma-4.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Require that nonlocal maintenance and diagnostic services - be performed from a system that implements a security capability - comparable to the capability implemented on the system being - serviced; or - - id: ma-4.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Remove the component to be serviced from the system prior - to nonlocal maintenance or diagnostic services; sanitize the - component (for organizational information); and after the - service is performed, inspect and sanitize the component (for - potentially malicious software) before reconnecting the component - to the system. - - id: ma-4.3_gdn - name: guidance - prose: Comparable security capability on systems, diagnostic tools, - and equipment providing maintenance services implies that the - implemented controls on those systems, tools, and equipment are - at least as comprehensive as the controls on the system being - serviced. - - name: objective - props: - - name: label - value: MA-04(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(03)(a)[01] - class: sp800-53A - prose: nonlocal maintenance services are required to be - performed from a system that implements a security capability - comparable to the capability implemented on the system - being serviced; - - name: objective - props: - - name: label - value: MA-04(03)(a)[02] - class: sp800-53A - prose: nonlocal diagnostic services are required to be performed - from a system that implements a security capability comparable - to the capability implemented on the system being serviced; - or - - name: objective - props: - - name: label - value: MA-04(03)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(03)(b)[01] - class: sp800-53A - prose: the component to be serviced is removed from the - system prior to nonlocal maintenance or diagnostic services; - - name: objective - props: - - name: label - value: MA-04(03)(b)[02] - class: sp800-53A - prose: the component to be serviced is sanitized (for organizational - information); - - name: objective - props: - - name: label - value: MA-04(03)(b)[03] - class: sp800-53A - prose: the component is inspected and sanitized (for potentially - malicious software) after the service is performed and - before reconnecting the component to the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing nonlocal system maintenance - - - service provider contracts and/or service-level agreements - - - maintenance records - - - inspection records - - - audit records - - - equipment sanitization records - - - media sanitization records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - system maintenance provider - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for media sanitization - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for comparable security and - sanitization for nonlocal maintenance - - - organizational processes for the removal, sanitization, and - inspection of components serviced via nonlocal maintenance - - - automated mechanisms supporting and/or implementing component - sanitization and inspection - - id: ma-4.4 - class: SP800-53-enhancement - title: Authentication and Separation of Maintenance Sessions - params: - - id: ma-04.04_odp - props: - - name: legacy-identifier - value: ma-4.4_prm_1 - - name: label - value: MA-04(04)_ODP - label: authenticators that are replay resistant - guidelines: - - prose: authenticators that are replay resistant are defined; - props: - - name: label - value: MA-04(04) - - name: sort-id - value: ma-04.04 - links: - - href: "#ma-4" - rel: required - parts: - - id: ma-4.4_smt - name: statement - prose: "Protect nonlocal maintenance sessions by:" - parts: - - id: ma-4.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employing {{ insert: param, ma-04.04_odp }} ; and" - - id: ma-4.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Separating the maintenance sessions from other network\ - \ sessions with the system by either:" - parts: - - id: ma-4.4_smt.b.1 - name: item - props: - - name: label - value: (01) - prose: Physically separated communications paths; or - - id: ma-4.4_smt.b.2 - name: item - props: - - name: label - value: (02) - prose: Logically separated communications paths. - - id: ma-4.4_gdn - name: guidance - prose: Communications paths can be logically separated using encryption. - - name: objective - props: - - name: label - value: MA-04(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(04)(a) - class: sp800-53A - prose: "nonlocal maintenance sessions are protected by employing\ - \ {{ insert: param, ma-04.04_odp }};" - - name: objective - props: - - name: label - value: MA-04(04)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(04)(b)(01) - class: sp800-53A - prose: nonlocal maintenance sessions are protected by separating - maintenance sessions from other network sessions with - the system by physically separated communication paths; - or - - name: objective - props: - - name: label - value: MA-04(04)(b)(02) - class: sp800-53A - prose: nonlocal maintenance sessions are protected by logically - separated communication paths. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing nonlocal system maintenance - - - system design documentation - - - system configuration settings and associated documentation - - - maintenance records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - network engineers - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for protecting nonlocal - maintenance sessions - - - automated mechanisms implementing replay-resistant authenticators - - - automated mechanisms implementing logically separated/encrypted - communication paths - - id: ma-4.5 - class: SP800-53-enhancement - title: Approvals and Notifications - params: - - id: ma-04.05_odp.01 - props: - - name: legacy-identifier - value: ma-4.5_prm_1 - - name: label - value: MA-04(05)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles required to approve each nonlocal - maintenance session is/are defined; - - id: ma-04.05_odp.02 - props: - - name: legacy-identifier - value: ma-4.5_prm_2 - - name: label - value: MA-04(05)_ODP[02] - label: personnel and roles - guidelines: - - prose: personnel and roles to be notified of the date and time - of planned nonlocal maintenance is/are defined; - props: - - name: label - value: MA-04(05) - - name: sort-id - value: ma-04.05 - links: - - href: "#ma-4" - rel: required - parts: - - id: ma-4.5_smt - name: statement - parts: - - id: ma-4.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require the approval of each nonlocal maintenance session\ - \ by {{ insert: param, ma-04.05_odp.01 }} ; and" - - id: ma-4.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Notify the following personnel or roles of the date\ - \ and time of planned nonlocal maintenance: {{ insert: param,\ - \ ma-04.05_odp.02 }}." - - id: ma-4.5_gdn - name: guidance - prose: Notification may be performed by maintenance personnel. Approval - of nonlocal maintenance is accomplished by personnel with sufficient - information security and system knowledge to determine the appropriateness - of the proposed maintenance. - - name: objective - props: - - name: label - value: MA-04(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(05)(a) - class: sp800-53A - prose: "the approval of each nonlocal maintenance session is\ - \ required by {{ insert: param, ma-04.05_odp.01 }};" - - name: objective - props: - - name: label - value: MA-04(05)(b) - class: sp800-53A - prose: "{{ insert: param, ma-04.05_odp.02 }} is/are notified\ - \ of the date and time of planned nonlocal maintenance." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing nonlocal system maintenance - - notifications supporting nonlocal maintenance sessions - - maintenance records - - audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with notification responsibilities - - - organizational personnel with approval responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for approving and notifying - personnel regarding nonlocal maintenance - - - automated mechanisms supporting notification and approval - of nonlocal maintenance - - id: ma-4.6 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: ma-04.06_odp - props: - - name: legacy-identifier - value: ma-4.6_prm_1 - - name: label - value: MA-04(06)_ODP - label: cryptographic mechanisms - guidelines: - - prose: cryptographic mechanisms to be implemented to protect - the integrity and confidentiality of nonlocal maintenance - and diagnostic communications are defined; - props: - - name: label - value: MA-04(06) - - name: sort-id - value: ma-04.06 - links: - - href: "#ma-4" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ma-4.6_smt - name: statement - prose: "Implement the following cryptographic mechanisms to protect\ - \ the integrity and confidentiality of nonlocal maintenance and\ - \ diagnostic communications: {{ insert: param, ma-04.06_odp }}." - - id: ma-4.6_gdn - name: guidance - prose: Failure to protect nonlocal maintenance and diagnostic communications - can result in unauthorized individuals gaining access to organizational - information. Unauthorized access during remote maintenance sessions - can result in a variety of hostile actions, including malicious - code insertion, unauthorized changes to system parameters, and - exfiltration of organizational information. Such actions can result - in the loss or degradation of mission or business capabilities. - - name: objective - props: - - name: label - value: MA-04(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(06)[01] - class: sp800-53A - prose: "{{ insert: param, ma-04.06_odp }} are implemented to\ - \ protect the integrity of nonlocal maintenance and diagnostic\ - \ communications;" - - name: objective - props: - - name: label - value: MA-04(06)[02] - class: sp800-53A - prose: "{{ insert: param, ma-04.06_odp }} are implemented to\ - \ protect the confidentiality of nonlocal maintenance and\ - \ diagnostic communications." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing nonlocal system maintenance - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms protecting nonlocal maintenance activities - - - maintenance records - - - diagnostic records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - network engineers - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms protecting nonlocal maintenance - and diagnostic communications - - id: ma-4.7 - class: SP800-53-enhancement - title: Disconnect Verification - props: - - name: label - value: MA-04(07) - - name: sort-id - value: ma-04.07 - links: - - href: "#ma-4" - rel: required - - href: "#ac-12" - rel: related - parts: - - id: ma-4.7_smt - name: statement - prose: Verify session and network connection termination after the - completion of nonlocal maintenance and diagnostic sessions. - - id: ma-4.7_gdn - name: guidance - prose: Verifying the termination of a connection once maintenance - is completed ensures that connections established during nonlocal - maintenance and diagnostic sessions have been terminated and are - no longer available for use. - - name: objective - props: - - name: label - value: MA-04(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-04(07)[01] - class: sp800-53A - prose: session connection termination is verified after the - completion of nonlocal maintenance and diagnostic sessions; - - name: objective - props: - - name: label - value: MA-04(07)[02] - class: sp800-53A - prose: network connection termination is verified after the - completion of nonlocal maintenance and diagnostic sessions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-04(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing nonlocal system maintenance - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms protecting nonlocal maintenance activities - - - maintenance records - - - diagnostic records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-04(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - network engineers - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-04(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing remote disconnect verifications - of terminated nonlocal maintenance and diagnostic sessions - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - props: - - name: label - value: MA-05 - - name: sort-id - value: ma-05 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#ps-7" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: ma-5_smt - name: statement - parts: - - id: ma-5_smt.a - name: item - props: - - name: label - value: a. - prose: Establish a process for maintenance personnel authorization - and maintain a list of authorized maintenance organizations or - personnel; - - id: ma-5_smt.b - name: item - props: - - name: label - value: b. - prose: Verify that non-escorted personnel performing maintenance - on the system possess the required access authorizations; and - - id: ma-5_smt.c - name: item - props: - - name: label - value: c. - prose: Designate organizational personnel with required access authorizations - and technical competence to supervise the maintenance activities - of personnel who do not possess the required access authorizations. - - id: ma-5_gdn - name: guidance - prose: Maintenance personnel refers to individuals who perform hardware - or software maintenance on organizational systems, while [PE-2](#pe-2) - addresses physical access for individuals whose maintenance duties - place them within the physical protection perimeter of the systems. - Technical competence of supervising individuals relates to the maintenance - performed on the systems, while having required access authorizations - refers to maintenance on and near the systems. Individuals not previously - identified as authorized maintenance personnel—such as information - technology manufacturers, vendors, systems integrators, and consultants—may - require privileged access to organizational systems, such as when - they are required to conduct maintenance activities with little or - no notice. Based on organizational assessments of risk, organizations - may issue temporary credentials to these individuals. Temporary credentials - may be for one-time use or for very limited time periods. - - name: objective - props: - - name: label - value: MA-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(a)[01] - class: sp800-53A - prose: a process for maintenance personnel authorization is - established; - - name: objective - props: - - name: label - value: MA-05(a)[02] - class: sp800-53A - prose: a list of authorized maintenance organizations or personnel - is maintained; - - name: objective - props: - - name: label - value: MA-05(b) - class: sp800-53A - prose: non-escorted personnel performing maintenance on the system - possess the required access authorizations; - - name: objective - props: - - name: label - value: MA-05(c) - class: sp800-53A - prose: organizational personnel with required access authorizations - and technical competence is/are designated to supervise the maintenance - activities of personnel who do not possess the required access - authorizations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing maintenance personnel - - service provider contracts - - service-level agreements - - list of authorized personnel - - maintenance records - - access control records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing and managing - maintenance personnel - - - automated mechanisms supporting and/or implementing authorization - of maintenance personnel - controls: - - id: ma-5.1 - class: SP800-53-enhancement - title: Individuals Without Appropriate Access - params: - - id: ma-05.01_odp - props: - - name: legacy-identifier - value: ma-5.1_prm_1 - - name: label - value: MA-05(01)_ODP - label: alternate controls - guidelines: - - prose: alternate controls to be developed and implemented in - the event that a system component cannot be sanitized, removed, - or disconnected from the system are defined; - props: - - name: label - value: MA-05(01) - - name: sort-id - value: ma-05.01 - links: - - href: "#ma-5" - rel: required - - href: "#mp-6" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: ma-5.1_smt - name: statement - parts: - - id: ma-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Implement procedures for the use of maintenance personnel\ - \ that lack appropriate security clearances or are not U.S.\ - \ citizens, that include the following requirements:" - parts: - - id: ma-5.1_smt.a.1 - name: item - props: - - name: label - value: (01) - prose: Maintenance personnel who do not have needed access - authorizations, clearances, or formal access approvals - are escorted and supervised during the performance of - maintenance and diagnostic activities on the system by - approved organizational personnel who are fully cleared, - have appropriate access authorizations, and are technically - qualified; and - - id: ma-5.1_smt.a.2 - name: item - props: - - name: label - value: (02) - prose: Prior to initiating maintenance or diagnostic activities - by personnel who do not have needed access authorizations, - clearances or formal access approvals, all volatile information - storage components within the system are sanitized and - all nonvolatile storage media are removed or physically - disconnected from the system and secured; and - - id: ma-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Develop and implement {{ insert: param, ma-05.01_odp\ - \ }} in the event a system component cannot be sanitized,\ - \ removed, or disconnected from the system." - - id: ma-5.1_gdn - name: guidance - prose: Procedures for individuals who lack appropriate security - clearances or who are not U.S. citizens are intended to deny visual - and electronic access to classified or controlled unclassified - information contained on organizational systems. Procedures for - the use of maintenance personnel can be documented in security - plans for the systems. - - name: objective - props: - - name: label - value: MA-05(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(01)(a)(01) - class: sp800-53A - prose: procedures for the use of maintenance personnel who - lack appropriate security clearances or are not U.S. citizens - are implemented and include approved organizational personnel - who are fully cleared, have appropriate access authorizations, - and are technically qualified escorting and supervising - maintenance personnel without the needed access authorization - during the performance of maintenance and diagnostic activities; - - name: objective - props: - - name: label - value: MA-05(01)(a)(02) - class: sp800-53A - prose: procedures for the use of maintenance personnel who - lack appropriate security clearances or are not U.S. citizens - are implemented and include all volatile information storage - components within the system being sanitized and all non-volatile - storage media being removed or physically disconnected - from the system and secured prior to initiating maintenance - or diagnostic activities; - - name: objective - props: - - name: label - value: MA-05(01)(b) - class: sp800-53A - prose: "{{ insert: param, ma-05.01_odp }} are developed and\ - \ implemented in the event that a system cannot be sanitized,\ - \ removed, or disconnected from the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing maintenance personnel - - - system media protection policy - - - physical and environmental protection policy - - - list of maintenance personnel requiring escort/supervision - - - maintenance records - - - access control records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with personnel security responsibilities - - - organizational personnel with physical access control responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for media sanitization - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing maintenance - personnel without appropriate access - - - automated mechanisms supporting and/or implementing alternative - security safeguards - - - automated mechanisms supporting and/or implementing information - storage component sanitization - - id: ma-5.2 - class: SP800-53-enhancement - title: Security Clearances for Classified Systems - props: - - name: label - value: MA-05(02) - - name: sort-id - value: ma-05.02 - links: - - href: "#ma-5" - rel: required - - href: "#ps-3" - rel: related - parts: - - id: ma-5.2_smt - name: statement - prose: Verify that personnel performing maintenance and diagnostic - activities on a system processing, storing, or transmitting classified - information possess security clearances and formal access approvals - for at least the highest classification level and for compartments - of information on the system. - - id: ma-5.2_gdn - name: guidance - prose: Personnel who conduct maintenance on organizational systems - may be exposed to classified information during the course of - their maintenance activities. To mitigate the inherent risk of - such exposure, organizations use maintenance personnel that are - cleared (i.e., possess security clearances) to the classification - level of the information stored on the system. - - name: objective - props: - - name: label - value: MA-05(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(02)[01] - class: sp800-53A - prose: personnel performing maintenance and diagnostic activities - on a system processing, storing, or transmitting classified - information possess security clearances for at least the highest - classification level and for compartments of information on - the system; - - name: objective - props: - - name: label - value: MA-05(02)[02] - class: sp800-53A - prose: personnel performing maintenance and diagnostic activities - on a system processing, storing, or transmitting classified - information possess formal access approvals for at least the - highest classification level and for compartments of information - on the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing maintenance personnel - - personnel records - - maintenance records - - access control records - - access credentials - - access authorizations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with personnel security responsibilities - - - organizational personnel with physical access control responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing security clearances - for maintenance personnel - - id: ma-5.3 - class: SP800-53-enhancement - title: Citizenship Requirements for Classified Systems - props: - - name: label - value: MA-05(03) - - name: sort-id - value: ma-05.03 - links: - - href: "#ma-5" - rel: required - - href: "#ps-3" - rel: related - parts: - - id: ma-5.3_smt - name: statement - prose: Verify that personnel performing maintenance and diagnostic - activities on a system processing, storing, or transmitting classified - information are U.S. citizens. - - id: ma-5.3_gdn - name: guidance - prose: Personnel who conduct maintenance on organizational systems - may be exposed to classified information during the course of - their maintenance activities. If access to classified information - on organizational systems is restricted to U.S. citizens, the - same restriction is applied to personnel performing maintenance - on those systems. - - name: objective - props: - - name: label - value: MA-05(03) - class: sp800-53A - prose: personnel performing maintenance and diagnostic activities - on a system processing, storing, or transmitting classified information - are U.S. citizens. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing maintenance personnel - - personnel records - - maintenance records - - access control records - - access credentials - - access authorizations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with personnel security responsibilities - - - organizational personnel with information security responsibilities - - id: ma-5.4 - class: SP800-53-enhancement - title: Foreign Nationals - props: - - name: label - value: MA-05(04) - - name: sort-id - value: ma-05.04 - links: - - href: "#ma-5" - rel: required - - href: "#ps-3" - rel: related - parts: - - id: ma-5.4_smt - name: statement - prose: "Ensure that:" - parts: - - id: ma-5.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Foreign nationals with appropriate security clearances - are used to conduct maintenance and diagnostic activities - on classified systems only when the systems are jointly owned - and operated by the United States and foreign allied governments, - or owned and operated solely by foreign allied governments; - and - - id: ma-5.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Approvals, consents, and detailed operational conditions - regarding the use of foreign nationals to conduct maintenance - and diagnostic activities on classified systems are fully - documented within Memoranda of Agreements. - - id: ma-5.4_gdn - name: guidance - prose: Personnel who conduct maintenance and diagnostic activities - on organizational systems may be exposed to classified information. - If non-U.S. citizens are permitted to perform maintenance and - diagnostics activities on classified systems, then additional - vetting is required to ensure agreements and restrictions are - not being violated. - - name: objective - props: - - name: label - value: MA-05(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(04)(a) - class: sp800-53A - prose: foreign nationals with appropriate security clearances - are used to conduct maintenance and diagnostic activities - on classified systems only when the systems are jointly owned - and operated by the United States and foreign allied governments - or owned and operated solely by foreign allied governments; - - name: objective - props: - - name: label - value: MA-05(04)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MA-05(04)(b)[01] - class: sp800-53A - prose: approvals regarding the use of foreign nationals - to conduct maintenance and diagnostic activities on classified - systems are fully documented within memoranda of agreements; - - name: objective - props: - - name: label - value: MA-05(04)(b)[02] - class: sp800-53A - prose: consents regarding the use of foreign nationals to - conduct maintenance and diagnostic activities on classified - systems are fully documented within memoranda of agreements; - - name: objective - props: - - name: label - value: MA-05(04)(b)[03] - class: sp800-53A - prose: detailed operational conditions regarding the use - of foreign nationals to conduct maintenance and diagnostic - activities on classified systems are fully documented - within memoranda of agreements. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing maintenance personnel - - - system media protection policy - - - access control policy and procedures - - - physical and environmental protection policy and procedures - - - memorandum of agreement - - - maintenance records - - - access control records - - - access credentials - - - access authorizations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities, organizational personnel with - personnel security responsibilities - - - organizational personnel managing memoranda of agreements - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-05(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing foreign national - maintenance personnel - - id: ma-5.5 - class: SP800-53-enhancement - title: Non-system Maintenance - props: - - name: label - value: MA-05(05) - - name: sort-id - value: ma-05.05 - links: - - href: "#ma-5" - rel: required - parts: - - id: ma-5.5_smt - name: statement - prose: Ensure that non-escorted personnel performing maintenance - activities not directly associated with the system but in the - physical proximity of the system, have required access authorizations. - - id: ma-5.5_gdn - name: guidance - prose: Personnel who perform maintenance activities in other capacities - not directly related to the system include physical plant personnel - and custodial personnel. - - name: objective - props: - - name: label - value: MA-05(05) - class: sp800-53A - prose: non-escorted personnel performing maintenance activities - not directly associated with the system but in the physical proximity - of the system have required access authorizations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-05(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing maintenance personnel - - - system media protection policy - - - access control policy and procedures - - - physical and environmental protection policy and procedures - - - maintenance records - - - access control records - - - access authorizations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-05(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with personnel security responsibilities - - - organizational personnel with physical access control responsibilities - - - organizational personnel with information security responsibilities - - id: ma-6 - class: SP800-53 - title: Timely Maintenance - params: - - id: ma-06_odp.01 - props: - - name: legacy-identifier - value: ma-6_prm_1 - - name: label - value: MA-06_ODP[01] - label: system components - guidelines: - - prose: system components for which maintenance support and/or spare - parts are obtained are defined; - - id: ma-06_odp.02 - props: - - name: legacy-identifier - value: ma-6_prm_2 - - name: label - value: MA-06_ODP[02] - label: time period - guidelines: - - prose: time period within which maintenance support and/or spare - parts are to be obtained after a failure are defined; - props: - - name: label - value: MA-06 - - name: sort-id - value: ma-06 - links: - - href: "#cm-8" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-13" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: ma-6_smt - name: statement - prose: "Obtain maintenance support and/or spare parts for {{ insert:\ - \ param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }}\ - \ of failure." - - id: ma-6_gdn - name: guidance - prose: Organizations specify the system components that result in increased - risk to organizational operations and assets, individuals, other organizations, - or the Nation when the functionality provided by those components - is not operational. Organizational actions to obtain maintenance support - include having appropriate contracts in place. - - name: objective - props: - - name: label - value: MA-06 - class: sp800-53A - prose: "maintenance support and/or spare parts are obtained for {{ insert:\ - \ param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }}\ - \ of failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing system maintenance - - service provider contracts - - service-level agreements - - inventory and availability of spare parts - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-06-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for ensuring timely maintenance - controls: - - id: ma-6.1 - class: SP800-53-enhancement - title: Preventive Maintenance - params: - - id: ma-06.01_odp.01 - props: - - name: legacy-identifier - value: ma-6.1_prm_1 - - name: label - value: MA-06(01)_ODP[01] - label: system components - guidelines: - - prose: system components on which preventive maintenance is - to be performed are defined; - - id: ma-06.01_odp.02 - props: - - name: legacy-identifier - value: ma-6.1_prm_2 - - name: label - value: MA-06(01)_ODP[02] - label: time intervals - guidelines: - - prose: time intervals within which preventive maintenance is - to be performed on system components are defined; - props: - - name: label - value: MA-06(01) - - name: sort-id - value: ma-06.01 - links: - - href: "#ma-6" - rel: required - parts: - - id: ma-6.1_smt - name: statement - prose: "Perform preventive maintenance on {{ insert: param, ma-06.01_odp.01\ - \ }} at {{ insert: param, ma-06.01_odp.02 }}." - - id: ma-6.1_gdn - name: guidance - prose: Preventive maintenance includes proactive care and the servicing - of system components to maintain organizational equipment and - facilities in satisfactory operating condition. Such maintenance - provides for the systematic inspection, tests, measurements, adjustments, - parts replacement, detection, and correction of incipient failures - either before they occur or before they develop into major defects. - The primary goal of preventive maintenance is to avoid or mitigate - the consequences of equipment failures. Preventive maintenance - is designed to preserve and restore equipment reliability by replacing - worn components before they fail. Methods of determining what - preventive (or other) failure management policies to apply include - original equipment manufacturer recommendations; statistical failure - records; expert opinion; maintenance that has already been conducted - on similar equipment; requirements of codes, laws, or regulations - within a jurisdiction; or measured values and performance indications. - - name: objective - props: - - name: label - value: MA-06(01) - class: sp800-53A - prose: "preventive maintenance is performed on {{ insert: param,\ - \ ma-06.01_odp.01 }} at {{ insert: param, ma-06.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing system maintenance - - - service provider contracts - - - service-level agreements - - - maintenance records - - - list of system components requiring preventive maintenance - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for preventive maintenance - - - automated mechanisms supporting and/or implementing preventive - maintenance - - id: ma-6.2 - class: SP800-53-enhancement - title: Predictive Maintenance - params: - - id: ma-06.02_odp.01 - props: - - name: legacy-identifier - value: ma-6.2_prm_1 - - name: label - value: MA-06(02)_ODP[01] - label: system components - guidelines: - - prose: system components on which predictive maintenance is - to be performed are defined; - - id: ma-06.02_odp.02 - props: - - name: legacy-identifier - value: ma-6.2_prm_2 - - name: label - value: MA-06(02)_ODP[02] - label: time intervals - guidelines: - - prose: time intervals within which predictive maintenance is - to be performed are defined; - props: - - name: label - value: MA-06(02) - - name: sort-id - value: ma-06.02 - links: - - href: "#ma-6" - rel: required - parts: - - id: ma-6.2_smt - name: statement - prose: "Perform predictive maintenance on {{ insert: param, ma-06.02_odp.01\ - \ }} at {{ insert: param, ma-06.02_odp.02 }}." - - id: ma-6.2_gdn - name: guidance - prose: Predictive maintenance evaluates the condition of equipment - by performing periodic or continuous (online) equipment condition - monitoring. The goal of predictive maintenance is to perform maintenance - at a scheduled time when the maintenance activity is most cost-effective - and before the equipment loses performance within a threshold. - The predictive component of predictive maintenance stems from - the objective of predicting the future trend of the equipment's - condition. The predictive maintenance approach employs principles - of statistical process control to determine at what point in the - future maintenance activities will be appropriate. Most predictive - maintenance inspections are performed while equipment is in service, - thus minimizing disruption of normal system operations. Predictive - maintenance can result in substantial cost savings and higher - system reliability. - - name: objective - props: - - name: label - value: MA-06(02) - class: sp800-53A - prose: "predictive maintenance is performed on {{ insert: param,\ - \ ma-06.02_odp.01 }} at {{ insert: param, ma-06.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing system maintenance - - - service provider contracts - - - service-level agreements - - - maintenance records - - - list of system components requiring predictive maintenance - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for predictive maintenance - - - automated mechanisms supporting and/or implementing predictive - maintenance - - id: ma-6.3 - class: SP800-53-enhancement - title: Automated Support for Predictive Maintenance - params: - - id: ma-06.03_odp - props: - - name: legacy-identifier - value: ma-6.3_prm_1 - - name: label - value: MA-06(03)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to transfer predictive maintenance - data to a maintenance management system are defined; - props: - - name: label - value: MA-06(03) - - name: sort-id - value: ma-06.03 - links: - - href: "#ma-6" - rel: required - parts: - - id: ma-6.3_smt - name: statement - prose: "Transfer predictive maintenance data to a maintenance management\ - \ system using {{ insert: param, ma-06.03_odp }}." - - id: ma-6.3_gdn - name: guidance - prose: A computerized maintenance management system maintains a - database of information about the maintenance operations of organizations - and automates the processing of equipment condition data to trigger - maintenance planning, execution, and reporting. - - name: objective - props: - - name: label - value: MA-06(03) - class: sp800-53A - prose: "predictive maintenance data is transferred to a maintenance\ - \ management system using {{ insert: param, ma-06.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Maintenance policy - - - procedures addressing system maintenance - - - service provider contracts - - - service-level agreements - - - maintenance records - - - list of system components requiring predictive maintenance - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing the transfer of - predictive maintenance data to a computerized - maintenance management system - - - operations of the computer maintenance management system - - id: ma-7 - class: SP800-53 - title: Field Maintenance - params: - - id: ma-07_odp.01 - props: - - name: legacy-identifier - value: ma-7_prm_1 - - name: label - value: MA-07_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components on which field maintenance is - restricted or prohibited to trusted maintenance facilities are - defined; - - id: ma-07_odp.02 - props: - - name: legacy-identifier - value: ma-7_prm_2 - - name: label - value: MA-07_ODP[02] - label: trusted maintenance facilities - guidelines: - - prose: trusted maintenance facilities that are not restricted or - prohibited from conducting field maintenance are defined; - props: - - name: label - value: MA-07 - - name: sort-id - value: ma-07 - links: - - href: "#ma-2" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - parts: - - id: ma-7_smt - name: statement - prose: "Restrict or prohibit field maintenance on {{ insert: param,\ - \ ma-07_odp.01 }} to {{ insert: param, ma-07_odp.02 }}." - - id: ma-7_gdn - name: guidance - prose: Field maintenance is the type of maintenance conducted on a system - or system component after the system or component has been deployed - to a specific site (i.e., operational environment). In certain instances, - field maintenance (i.e., local maintenance at the site) may not be - executed with the same degree of rigor or with the same quality control - checks as depot maintenance. For critical systems designated as such - by the organization, it may be necessary to restrict or prohibit field - maintenance at the local site and require that such maintenance be - conducted in trusted facilities with additional controls. - - name: objective - props: - - name: label - value: MA-07 - class: sp800-53A - prose: "field maintenance on {{ insert: param, ma-07_odp.01 }} are restricted\ - \ or prohibited to {{ insert: param, ma-07_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MA-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Maintenance policy - - procedures addressing field maintenance - - system design documentation - - system configuration settings and associated documentation - - maintenance records - - diagnostic records - - system security plan - - other relevant documents or records. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MA-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system maintenance - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MA-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing field maintenance - - - automated mechanisms implementing, supporting, and/or managing - field maintenance - - - automated mechanisms for strong authentication of field maintenance - diagnostic sessions - - - automated mechanisms for terminating field maintenance sessions - and network connections - - id: mp - class: family - title: Media Protection - controls: - - id: mp-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: mp-1_prm_1 - props: - - name: aggregates - value: mp-01_odp.01 - label: organization-defined personnel or roles - - id: mp-01_odp.01 - props: - - name: label - value: MP-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the media protection policy is - to be disseminated is/are defined; - - id: mp-01_odp.02 - props: - - name: label - value: MP-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the media protection procedures - are to be disseminated is/are defined; - - id: mp-01_odp.03 - props: - - name: legacy-identifier - value: mp-1_prm_2 - - name: label - value: MP-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: mp-01_odp.04 - props: - - name: legacy-identifier - value: mp-1_prm_3 - - name: label - value: MP-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the media protection policy and procedures - is defined; - - id: mp-01_odp.05 - props: - - name: legacy-identifier - value: mp-1_prm_4 - - name: label - value: MP-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency with which the current media protection policy - is reviewed and updated is defined; - - id: mp-01_odp.06 - props: - - name: legacy-identifier - value: mp-1_prm_5 - - name: label - value: MP-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current media protection policy - to be reviewed and updated are defined; - - id: mp-01_odp.07 - props: - - name: legacy-identifier - value: mp-1_prm_6 - - name: label - value: MP-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency with which the current media protection procedures - are reviewed and updated is defined; - - id: mp-01_odp.08 - props: - - name: legacy-identifier - value: mp-1_prm_7 - - name: label - value: MP-01_ODP[08] - label: events - guidelines: - - prose: events that would require media protection procedures to - be reviewed and updated are defined; - props: - - name: label - value: MP-01 - - name: sort-id - value: mp-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-1_smt - name: statement - parts: - - id: mp-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ mp-1_prm_1 }}:" - parts: - - id: mp-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, mp-01_odp.03 }} media protection policy\ - \ that:" - parts: - - id: mp-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: mp-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: mp-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the media - protection policy and the associated media protection controls; - - id: mp-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, mp-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the media\ - \ protection policy and procedures; and" - - id: mp-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current media protection:" - parts: - - id: mp-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, mp-01_odp.05 }} and following\ - \ {{ insert: param, mp-01_odp.06 }} ; and" - - id: mp-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, mp-01_odp.07 }} and following\ - \ {{ insert: param, mp-01_odp.08 }}." - - id: mp-1_gdn - name: guidance - prose: Media protection policy and procedures address the controls in - the MP family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of media protection - policy and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies that reflect the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to media protection policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. Simply restating controls does not constitute - an organizational policy or procedure. - - name: objective - props: - - name: label - value: MP-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01a.[01] - class: sp800-53A - prose: a media protection policy is developed and documented; - - name: objective - props: - - name: label - value: MP-01a.[02] - class: sp800-53A - prose: "the media protection policy is disseminated to {{ insert:\ - \ param, mp-01_odp.01 }};" - - name: objective - props: - - name: label - value: MP-01a.[03] - class: sp800-53A - prose: media protection procedures to facilitate the implementation - of the media protection policy and associated media protection - controls are developed and documented; - - name: objective - props: - - name: label - value: MP-01a.[04] - class: sp800-53A - prose: "the media protection procedures are disseminated to\ - \ {{ insert: param, mp-01_odp.02 }};" - - name: objective - props: - - name: label - value: MP-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses purpose;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses scope;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses roles;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses responsibilities;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses management commitment;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: MP-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.03 }} media\ - \ protection policy compliance;" - - name: objective - props: - - name: label - value: MP-01a.01(b) - class: sp800-53A - prose: the media protection policy is consistent with applicable - laws, Executive Orders, directives, regulations, policies, - standards, and guidelines; - - name: objective - props: - - name: label - value: MP-01b. - class: sp800-53A - prose: "the {{ insert: param, mp-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the media\ - \ protection policy and procedures." - - name: objective - props: - - name: label - value: MP-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01c.01[01] - class: sp800-53A - prose: "the current media protection policy is reviewed\ - \ and updated {{ insert: param, mp-01_odp.05 }};" - - name: objective - props: - - name: label - value: MP-01c.01[02] - class: sp800-53A - prose: "the current media protection policy is reviewed\ - \ and updated following {{ insert: param, mp-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: MP-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-01c.02[01] - class: sp800-53A - prose: "the current media protection procedures are reviewed\ - \ and updated {{ insert: param, mp-01_odp.07 }};" - - name: objective - props: - - name: label - value: MP-01c.02[02] - class: sp800-53A - prose: "the current media protection procedures are reviewed\ - \ and updated following {{ insert: param, mp-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Media protection policy and procedures - - organizational risk management strategy - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with media protection - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: mp-2 - class: SP800-53 - title: Media Access - params: - - id: mp-2_prm_1 - props: - - name: aggregates - value: mp-02_odp.01 - label: organization-defined types of digital and/or non-digital media - - id: mp-2_prm_2 - props: - - name: aggregates - value: mp-02_odp.02 - label: organization-defined personnel or roles - - id: mp-02_odp.01 - props: - - name: label - value: MP-02_ODP[01] - label: types of digital media - guidelines: - - prose: types of digital media to which access is restricted are - defined; - - id: mp-02_odp.02 - props: - - name: label - value: MP-02_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles authorized to access digital media is/are - defined; - - id: mp-02_odp.03 - props: - - name: label - value: MP-02_ODP[03] - label: types of non-digital media - guidelines: - - prose: types of non-digital media to which access is restricted - are defined; - - id: mp-02_odp.04 - props: - - name: label - value: MP-02_ODP[04] - label: personnel or roles - guidelines: - - prose: personnel or roles authorized to access non-digital media - is/are defined; - props: - - name: label - value: MP-02 - - name: sort-id - value: mp-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#22f2d4f0-4365-4e88-a30d-275c1f5473ea" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-2_smt - name: statement - prose: "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert:\ - \ param, mp-2_prm_2 }}." - - id: mp-2_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (e.g., solid state, magnetic), compact - discs, and digital versatile discs. Non-digital media includes paper - and microfilm. Denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are - authorized healthcare providers is an example of restricting access - to non-digital media. Limiting access to the design specifications - stored on compact discs in the media library to individuals on the - system development team is an example of restricting access to digital - media. - - name: objective - props: - - name: label - value: MP-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-02[01] - class: sp800-53A - prose: "access to {{ insert: param, mp-02_odp.01 }} is restricted\ - \ to {{ insert: param, mp-02_odp.02 }};" - - name: objective - props: - - name: label - value: MP-02[02] - class: sp800-53A - prose: "access to {{ insert: param, mp-02_odp.03 }} is restricted\ - \ to {{ insert: param, mp-02_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media access restrictions - - access control policy and procedures - - physical and environmental protection policy and procedures - - media storage facilities - - access control records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media protection - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for restricting information media - - - automated mechanisms supporting and/or implementing media access - restrictions - controls: - - id: mp-2.1 - class: SP800-53-enhancement - title: Automated Restricted Access - props: - - name: label - value: MP-02(01) - - name: sort-id - value: mp-02.01 - - name: status - value: withdrawn - links: - - href: "#mp-4.2" - rel: incorporated-into - - id: mp-2.2 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-02(02) - - name: sort-id - value: mp-02.02 - - name: status - value: withdrawn - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-3 - class: SP800-53 - title: Media Marking - params: - - id: mp-03_odp.01 - props: - - name: legacy-identifier - value: mp-3_prm_1 - - name: label - value: MP-03_ODP[01] - label: types of media exempted from marking - guidelines: - - prose: types of system media exempt from marking when remaining - in controlled areas are defined; - - id: mp-03_odp.02 - props: - - name: legacy-identifier - value: mp-3_prm_2 - - name: label - value: MP-03_ODP[02] - label: controlled areas - guidelines: - - prose: controlled areas where media is exempt from marking are defined; - props: - - name: label - value: MP-03 - - name: sort-id - value: mp-03 - links: - - href: "#34a5571f-e252-4309-a8a1-2fdb2faefbcd" - rel: reference - - href: "#91f992fb-f668-4c91-a50f-0f05b95ccee3" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#ac-16" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-22" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-3_smt - name: statement - parts: - - id: mp-3_smt.a - name: item - props: - - name: label - value: a. - prose: Mark system media indicating the distribution limitations, - handling caveats, and applicable security markings (if any) of - the information; and - - id: mp-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Exempt {{ insert: param, mp-03_odp.01 }} from marking if\ - \ the media remain within {{ insert: param, mp-03_odp.02 }}." - - id: mp-3_gdn - name: guidance - prose: Security marking refers to the application or use of human-readable - security attributes. Digital media includes diskettes, magnetic tapes, - external or removable hard disk drives (e.g., solid state, magnetic), - flash drives, compact discs, and digital versatile discs. Non-digital - media includes paper and microfilm. Controlled unclassified information - is defined by the National Archives and Records Administration along - with the appropriate safeguarding and dissemination requirements for - such information and is codified in [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) - . Security markings are generally not required for media that contains - information determined by organizations to be in the public domain - or to be publicly releasable. Some organizations may require markings - for public information indicating that the information is publicly - releasable. System media marking reflects applicable laws, executive - orders, directives, policies, regulations, standards, and guidelines. - - name: objective - props: - - name: label - value: MP-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-03a. - class: sp800-53A - prose: system media is marked to indicate distribution limitations, - handling caveats, and applicable security markings (if any) of - the information; - - name: objective - props: - - name: label - value: MP-03b. - class: sp800-53A - prose: "{{ insert: param, mp-03_odp.01 }} remain within {{ insert:\ - \ param, mp-03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media marking - - physical and environmental protection policy and procedures - - list of system media marking security attributes - - designated controlled areas - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media protection and - marking responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for marking information media - - - automated mechanisms supporting and/or implementing media marking - - id: mp-4 - class: SP800-53 - title: Media Storage - params: - - id: mp-4_prm_1 - props: - - name: aggregates - value: mp-04_odp.01 - label: organization-defined types of digital and/or non-digital media - - id: mp-4_prm_2 - props: - - name: aggregates - value: mp-04_odp.05 - label: organization-defined controlled areas - - id: mp-04_odp.01 - props: - - name: label - value: MP-04_ODP[01] - label: types of digital media - guidelines: - - prose: types of digital media to be physically controlled are defined; - - id: mp-04_odp.02 - props: - - name: label - value: MP-04_ODP[02] - label: types of non-digital media - guidelines: - - prose: types of non-digital media to be physically controlled are - defined; - - id: mp-04_odp.03 - props: - - name: label - value: MP-04_ODP[03] - label: types of digital media - guidelines: - - prose: types of digital media to be securely stored are defined; - - id: mp-04_odp.04 - props: - - name: label - value: MP-04_ODP[04] - label: types of non-digital media - guidelines: - - prose: types of non-digital media to be securely stored are defined; - - id: mp-04_odp.05 - props: - - name: label - value: MP-04_ODP[05] - label: controlled areas - guidelines: - - prose: controlled areas within which to securely store digital media - are defined; - - id: mp-04_odp.06 - props: - - name: label - value: MP-04_ODP[06] - label: controlled areas - guidelines: - - prose: controlled areas within which to securely store non-digital - media are defined; - props: - - name: label - value: MP-04 - - name: sort-id - value: mp-04 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e" - rel: reference - - href: "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75" - rel: reference - - href: "#eef62b16-c796-4554-955c-505824135b8a" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#22f2d4f0-4365-4e88-a30d-275c1f5473ea" - rel: reference - - href: "#ac-19" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-7" - rel: related - - href: "#pe-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-4_smt - name: statement - parts: - - id: mp-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Physically control and securely store {{ insert: param,\ - \ mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }} ; and" - - id: mp-4_smt.b - name: item - props: - - name: label - value: b. - prose: Protect system media types defined in MP-4a until the media - are destroyed or sanitized using approved equipment, techniques, - and procedures. - - id: mp-4_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (e.g., solid state, magnetic), compact - discs, and digital versatile discs. Non-digital media includes paper - and microfilm. Physically controlling stored media includes conducting - inventories, ensuring procedures are in place to allow individuals - to check out and return media to the library, and maintaining accountability - for stored media. Secure storage includes a locked drawer, desk, or - cabinet or a controlled media library. The type of media storage is - commensurate with the security category or classification of the information - on the media. Controlled areas are spaces that provide physical and - procedural controls to meet the requirements established for protecting - information and systems. Fewer controls may be needed for media that - contains information determined to be in the public domain, publicly - releasable, or have limited adverse impacts on organizations, operations, - or individuals if accessed by other than authorized personnel. In - these situations, physical access controls provide adequate protection. - - name: objective - props: - - name: label - value: MP-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-04[01] - class: sp800-53A - prose: "{{ insert: param, mp-04_odp.01 }} are physically controlled;" - - name: objective - props: - - name: label - value: MP-04[02] - class: sp800-53A - prose: "{{ insert: param, mp-04_odp.02 }} are physically controlled;" - - name: objective - props: - - name: label - value: MP-04[03] - class: sp800-53A - prose: "{{ insert: param, mp-04_odp.03 }} are securely stored within\ - \ {{ insert: param, mp-04_odp.05 }};" - - name: objective - props: - - name: label - value: MP-04[04] - class: sp800-53A - prose: "{{ insert: param, mp-04_odp.04 }} are securely stored within\ - \ {{ insert: param, mp-04_odp.06 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media storage - - physical and environmental protection policy and procedures - - access control policy and procedures - - system media - - designated controlled areas - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media protection and - storage responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for storing information media - - - automated mechanisms supporting and/or implementing secure media - storage/media protection - controls: - - id: mp-4.1 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-04(01) - - name: sort-id - value: mp-04.01 - - name: status - value: withdrawn - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-4.2 - class: SP800-53-enhancement - title: Automated Restricted Access - params: - - id: mp-4.2_prm_1 - props: - - name: aggregates - value: mp-04.02_odp.01 - label: organization-defined automated mechanisms - - id: mp-04.02_odp.01 - props: - - name: label - value: MP-04(02)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to restrict access to media storage - areas are defined; - - id: mp-04.02_odp.02 - props: - - name: label - value: MP-04(02)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to log access attempts and access - granted to media storage areas are defined; - props: - - name: label - value: MP-04(02) - - name: sort-id - value: mp-04.02 - links: - - href: "#mp-4" - rel: required - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#pe-3" - rel: related - parts: - - id: mp-4.2_smt - name: statement - prose: "Restrict access to media storage areas and log access attempts\ - \ and access granted using {{ insert: param, mp-4.2_prm_1 }}." - - id: mp-4.2_gdn - name: guidance - prose: Automated mechanisms include keypads, biometric readers, - or card readers on the external entries to media storage areas. - - name: objective - props: - - name: label - value: MP-04(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-04(02)[01] - class: sp800-53A - prose: "access to media storage areas is restricted using {{\ - \ insert: param, mp-04.02_odp.01 }};" - - name: objective - props: - - name: label - value: MP-04(02)[02] - class: sp800-53A - prose: "access attempts to media storage areas are logged using\ - \ {{ insert: param, mp-04.02_odp.02 }};" - - name: objective - props: - - name: label - value: MP-04(02)[03] - class: sp800-53A - prose: "access granted to media storage areas is logged using\ - \ {{ insert: param, mp-04.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media storage - - - access control policy and procedures - - - physical and environmental protection policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - media storage facilities - - - access control devices - - - access control records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media protection - and storage responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms restricting access to media storage - areas - - - automated mechanisms auditing access attempts and access granted - to media storage areas - - id: mp-5 - class: SP800-53 - title: Media Transport - params: - - id: mp-5_prm_2 - props: - - name: aggregates - value: mp-05_odp.02 - label: organization-defined controls - - id: mp-05_odp.01 - props: - - name: legacy-identifier - value: mp-5_prm_1 - - name: label - value: MP-05_ODP[01] - label: types of system media - guidelines: - - prose: types of system media to protect and control during transport - outside of controlled areas are defined; - - id: mp-05_odp.02 - props: - - name: label - value: MP-05_ODP[02] - label: controls - guidelines: - - prose: controls used to protect system media outside of controlled - areas are defined; - - id: mp-05_odp.03 - props: - - name: label - value: MP-05_ODP[03] - label: controls - guidelines: - - prose: controls used to control system media outside of controlled - areas are defined; - props: - - name: label - value: MP-05 - - name: sort-id - value: mp-05 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#ac-7" - rel: related - - href: "#ac-19" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - parts: - - id: mp-5_smt - name: statement - parts: - - id: mp-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Protect and control {{ insert: param, mp-05_odp.01 }} during\ - \ transport outside of controlled areas using {{ insert: param,\ - \ mp-5_prm_2 }};" - - id: mp-5_smt.b - name: item - props: - - name: label - value: b. - prose: Maintain accountability for system media during transport - outside of controlled areas; - - id: mp-5_smt.c - name: item - props: - - name: label - value: c. - prose: Document activities associated with the transport of system - media; and - - id: mp-5_smt.d - name: item - props: - - name: label - value: d. - prose: Restrict the activities associated with the transport of - system media to authorized personnel. - - id: mp-5_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (e.g., solid state and magnetic), compact - discs, and digital versatile discs. Non-digital media includes microfilm - and paper. Controlled areas are spaces for which organizations provide - physical or procedural controls to meet requirements established for - protecting information and systems. Controls to protect media during - transport include cryptography and locked containers. Cryptographic - mechanisms can provide confidentiality and integrity protections depending - on the mechanisms implemented. Activities associated with media transport - include releasing media for transport, ensuring that media enters - the appropriate transport processes, and the actual transport. Authorized - transport and courier personnel may include individuals external to - the organization. Maintaining accountability of media during transport - includes restricting transport activities to authorized personnel - and tracking and/or obtaining records of transport activities as the - media moves through the transportation system to prevent and detect - loss, destruction, or tampering. Organizations establish documentation - requirements for activities associated with the transport of system - media in accordance with organizational assessments of risk. Organizations - maintain the flexibility to define record-keeping methods for the - different types of media transport as part of a system of transport-related - records. - - name: objective - props: - - name: label - value: MP-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-05a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-05a.[01] - class: sp800-53A - prose: "{{ insert: param, mp-05_odp.01 }} are protected during\ - \ transport outside of controlled areas using {{ insert: param,\ - \ mp-05_odp.02 }};" - - name: objective - props: - - name: label - value: MP-05a.[02] - class: sp800-53A - prose: "{{ insert: param, mp-05_odp.01 }} are controlled during\ - \ transport outside of controlled areas using {{ insert: param,\ - \ mp-05_odp.03 }};" - - name: objective - props: - - name: label - value: MP-05b. - class: sp800-53A - prose: accountability for system media is maintained during transport - outside of controlled areas; - - name: objective - props: - - name: label - value: MP-05c. - class: sp800-53A - prose: activities associated with the transport of system media - are documented; - - name: objective - props: - - name: label - value: MP-05d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-05d.[01] - class: sp800-53A - prose: personnel authorized to conduct media transport activities - is/are identified; - - name: objective - props: - - name: label - value: MP-05d.[02] - class: sp800-53A - prose: activities associated with the transport of system media - are restricted to identified authorized personnel. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-05-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media storage - - physical and environmental protection policy and procedures - - access control policy and procedures - - authorized personnel list - - system media - - designated controlled areas - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media protection and - storage responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for storing information media - - - automated mechanisms supporting and/or implementing media storage/media - protection - controls: - - id: mp-5.1 - class: SP800-53-enhancement - title: Protection Outside of Controlled Areas - props: - - name: label - value: MP-05(01) - - name: sort-id - value: mp-05.01 - - name: status - value: withdrawn - links: - - href: "#mp-5" - rel: incorporated-into - - id: mp-5.2 - class: SP800-53-enhancement - title: Documentation of Activities - props: - - name: label - value: MP-05(02) - - name: sort-id - value: mp-05.02 - - name: status - value: withdrawn - links: - - href: "#mp-5" - rel: incorporated-into - - id: mp-5.3 - class: SP800-53-enhancement - title: Custodians - props: - - name: label - value: MP-05(03) - - name: sort-id - value: mp-05.03 - links: - - href: "#mp-5" - rel: required - parts: - - id: mp-5.3_smt - name: statement - prose: Employ an identified custodian during transport of system - media outside of controlled areas. - - id: mp-5.3_gdn - name: guidance - prose: Identified custodians provide organizations with specific - points of contact during the media transport process and facilitate - individual accountability. Custodial responsibilities can be transferred - from one individual to another if an unambiguous custodian is - identified. - - name: objective - props: - - name: label - value: MP-05(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-05(03)[01] - class: sp800-53A - prose: a custodian to transport system media outside of controlled - areas is identified; - - name: objective - props: - - name: label - value: MP-05(03)[02] - class: sp800-53A - prose: the identified custodian is employed during the transport - of system media outside of controlled areas. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-05(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media transport - - - physical and environmental protection policy and procedures - - - system media transport records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-05(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media transport - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-05(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for identifying and employing - a custodian to transport media outside of controlled areas - - id: mp-5.4 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-05(04) - - name: sort-id - value: mp-05.04 - - name: status - value: withdrawn - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-6 - class: SP800-53 - title: Media Sanitization - params: - - id: mp-6_prm_1 - props: - - name: aggregates - value: mp-06_odp.01 - label: organization-defined system media - - id: mp-6_prm_2 - props: - - name: aggregates - value: mp-06_odp.04 - label: organization-defined sanitization techniques and procedures - - id: mp-06_odp.01 - props: - - name: label - value: MP-06_ODP[01] - label: system media - guidelines: - - prose: system media to be sanitized prior to disposal is defined; - - id: mp-06_odp.02 - props: - - name: label - value: MP-06_ODP[02] - label: system media - guidelines: - - prose: system media to be sanitized prior to release from organizational - control is defined; - - id: mp-06_odp.03 - props: - - name: label - value: MP-06_ODP[03] - label: system media - guidelines: - - prose: system media to be sanitized prior to release for reuse is - defined; - - id: mp-06_odp.04 - props: - - name: label - value: MP-06_ODP[04] - label: sanitization techniques and procedures - guidelines: - - prose: sanitization techniques and procedures to be used for sanitization - prior to disposal are defined; - - id: mp-06_odp.05 - props: - - name: label - value: MP-06_ODP[05] - label: sanitization techniques and procedures - guidelines: - - prose: sanitization techniques and procedures to be used for sanitization - prior to release from organizational control are defined; - - id: mp-06_odp.06 - props: - - name: label - value: MP-06_ODP[06] - label: sanitization techniques and procedures - guidelines: - - prose: sanitization techniques and procedures to be used for sanitization - prior to release for reuse are defined; - props: - - name: label - value: MP-06 - - name: sort-id - value: mp-06 - links: - - href: "#91f992fb-f668-4c91-a50f-0f05b95ccee3" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#a5b1d18d-e670-4586-9e6d-4a88b7ba3df6" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-7" - rel: related - - href: "#au-11" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - - href: "#si-19" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: mp-6_smt - name: statement - parts: - - id: mp-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal,\ - \ release out of organizational control, or release for reuse\ - \ using {{ insert: param, mp-6_prm_2 }} ; and" - - id: mp-6_smt.b - name: item - props: - - name: label - value: b. - prose: Employ sanitization mechanisms with the strength and integrity - commensurate with the security category or classification of the - information. - - id: mp-6_gdn - name: guidance - prose: Media sanitization applies to all digital and non-digital system - media subject to disposal or reuse, whether or not the media is considered - removable. Examples include digital media in scanners, copiers, printers, - notebook computers, workstations, network components, mobile devices, - and non-digital media (e.g., paper and microfilm). The sanitization - process removes information from system media such that the information - cannot be retrieved or reconstructed. Sanitization techniques—including - clearing, purging, cryptographic erase, de-identification of personally - identifiable information, and destruction—prevent the disclosure of - information to unauthorized individuals when such media is reused - or released for disposal. Organizations determine the appropriate - sanitization methods, recognizing that destruction is sometimes necessary - when other methods cannot be applied to media requiring sanitization. - Organizations use discretion on the employment of approved sanitization - techniques and procedures for media that contains information deemed - to be in the public domain or publicly releasable or information deemed - to have no adverse impact on organizations or individuals if released - for reuse or disposal. Sanitization of non-digital media includes - destruction, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document - by obscuring the redacted sections or words in a manner equivalent - in effectiveness to removing them from the document. NSA standards - and policies control the sanitization process for media that contains - classified information. NARA policies control the sanitization process - for controlled unclassified information. - - name: objective - props: - - name: label - value: MP-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-06a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-06a.[01] - class: sp800-53A - prose: "{{ insert: param, mp-06_odp.01 }} is sanitized using\ - \ {{ insert: param, mp-06_odp.04 }} prior to disposal;" - - name: objective - props: - - name: label - value: MP-06a.[02] - class: sp800-53A - prose: "{{ insert: param, mp-06_odp.02 }} is sanitized using\ - \ {{ insert: param, mp-06_odp.05 }} prior to release from\ - \ organizational control;" - - name: objective - props: - - name: label - value: MP-06a.[03] - class: sp800-53A - prose: "{{ insert: param, mp-06_odp.03 }} is sanitized using\ - \ {{ insert: param, mp-06_odp.06 }} prior to release for reuse;" - - name: objective - props: - - name: label - value: MP-06b. - class: sp800-53A - prose: sanitization mechanisms with strength and integrity commensurate - with the security category or classification of the information - are employed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - applicable federal standards and policies addressing media sanitization - policy - - - media sanitization records - - - system audit records - - - system design documentation - - - records retention and disposition policy - - - records retention and disposition procedures - - - system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with media sanitization - responsibilities - - - organizational personnel with records retention and disposition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media sanitization - - - automated mechanisms supporting and/or implementing media sanitization - controls: - - id: mp-6.1 - class: SP800-53-enhancement - title: Review, Approve, Track, Document, and Verify - props: - - name: label - value: MP-06(01) - - name: sort-id - value: mp-06.01 - links: - - href: "#mp-6" - rel: required - parts: - - id: mp-6.1_smt - name: statement - prose: Review, approve, track, document, and verify media sanitization - and disposal actions. - - id: mp-6.1_gdn - name: guidance - prose: Organizations review and approve media to be sanitized to - ensure compliance with records retention policies. Tracking and - documenting actions include listing personnel who reviewed and - approved sanitization and disposal actions, types of media sanitized, - files stored on the media, sanitization methods used, date and - time of the sanitization actions, personnel who performed the - sanitization, verification actions taken and personnel who performed - the verification, and the disposal actions taken. Organizations - verify that the sanitization of the media was effective prior - to disposal. - - name: objective - props: - - name: label - value: MP-06(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-06(01)[01] - class: sp800-53A - prose: media sanitization and disposal actions are reviewed; - - name: objective - props: - - name: label - value: MP-06(01)[02] - class: sp800-53A - prose: media sanitization and disposal actions are approved; - - name: objective - props: - - name: label - value: MP-06(01)[03] - class: sp800-53A - prose: media sanitization and disposal actions are tracked; - - name: objective - props: - - name: label - value: MP-06(01)[04] - class: sp800-53A - prose: media sanitization and disposal actions are documented; - - name: objective - props: - - name: label - value: MP-06(01)[05] - class: sp800-53A - prose: media sanitization and disposal actions are verified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - records retention and disposition policy - - - records retention and disposition procedures - - - media sanitization and disposal records - - - review records for media sanitization and disposal actions - - - approvals for media sanitization and disposal actions - - - tracking records - - - verification records - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media sanitization - and disposal responsibilities - - - organizational personnel with records retention and disposition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media sanitization - - - automated mechanisms supporting and/or implementing media - sanitization - - - automated mechanisms supporting and/or implementing verification - of media sanitization - - id: mp-6.2 - class: SP800-53-enhancement - title: Equipment Testing - params: - - id: mp-6.2_prm_1 - props: - - name: aggregates - value: mp-06.02_odp.01 - label: organization-defined frequency - - id: mp-06.02_odp.01 - props: - - name: label - value: MP-06(02)_ODP[01] - label: frequency - guidelines: - - prose: frequency with which to test sanitization equipment is - defined; - - id: mp-06.02_odp.02 - props: - - name: label - value: MP-06(02)_ODP[02] - label: frequency - guidelines: - - prose: frequency with which to test sanitization procedures - is defined; - props: - - name: label - value: MP-06(02) - - name: sort-id - value: mp-06.02 - links: - - href: "#mp-6" - rel: required - parts: - - id: mp-6.2_smt - name: statement - prose: "Test sanitization equipment and procedures {{ insert: param,\ - \ mp-6.2_prm_1 }} to ensure that the intended sanitization is\ - \ being achieved." - - id: mp-6.2_gdn - name: guidance - prose: Testing of sanitization equipment and procedures may be conducted - by qualified and authorized external entities, including federal - agencies or external service providers. - - name: objective - props: - - name: label - value: MP-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-06(02)[01] - class: sp800-53A - prose: "sanitization equipment is tested {{ insert: param, mp-06.02_odp.01\ - \ }} to ensure that the intended sanitization is being achieved;" - - name: objective - props: - - name: label - value: MP-06(02)[02] - class: sp800-53A - prose: "sanitization procedures are tested {{ insert: param,\ - \ mp-06.02_odp.02 }} to ensure that the intended sanitization\ - \ is being achieved." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - procedures addressing testing of media sanitization equipment - - - results of media sanitization equipment and procedures testing - - - system audit records - - - records retention and disposition policy - - - records retention and disposition procedures - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media sanitization - responsibilities - - - organizational personnel with records retention and disposition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media sanitization - - - automated mechanisms supporting and/or implementing media - sanitization - - - automated mechanisms supporting and/or implementing media - sanitization procedures - - - sanitization equipment - - id: mp-6.3 - class: SP800-53-enhancement - title: Nondestructive Techniques - params: - - id: mp-06.03_odp - props: - - name: legacy-identifier - value: mp-6.3_prm_1 - - name: label - value: MP-06(03)_ODP - label: circumstances requiring sanitization of portable storage - devices - guidelines: - - prose: circumstances requiring sanitization of portable storage - devices are defined; - props: - - name: label - value: MP-06(03) - - name: sort-id - value: mp-06.03 - links: - - href: "#mp-6" - rel: required - parts: - - id: mp-6.3_smt - name: statement - prose: "Apply nondestructive sanitization techniques to portable\ - \ storage devices prior to connecting such devices to the system\ - \ under the following circumstances: {{ insert: param, mp-06.03_odp\ - \ }}." - - id: mp-6.3_gdn - name: guidance - prose: Portable storage devices include external or removable hard - disk drives (e.g., solid state, magnetic), optical discs, magnetic - or optical tapes, flash memory devices, flash memory cards, and - other external or removable disks. Portable storage devices can - be obtained from untrustworthy sources and contain malicious code - that can be inserted into or transferred to organizational systems - through USB ports or other entry portals. While scanning storage - devices is recommended, sanitization provides additional assurance - that such devices are free of malicious code. Organizations consider - nondestructive sanitization of portable storage devices when the - devices are purchased from manufacturers or vendors prior to initial - use or when organizations cannot maintain a positive chain of - custody for the devices. - - name: objective - props: - - name: label - value: MP-06(03) - class: sp800-53A - prose: "non-destructive sanitization techniques are applied to portable\ - \ storage devices prior to connecting such devices to the system\ - \ under {{ insert: param, mp-06.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - information on portable storage devices for the system - - - list of circumstances requiring sanitization of portable storage - devices - - - media sanitization records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media sanitization - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media sanitization of - portable storage devices - - - automated mechanisms supporting and/or implementing media - sanitization - - id: mp-6.4 - class: SP800-53-enhancement - title: Controlled Unclassified Information - props: - - name: label - value: MP-06(04) - - name: sort-id - value: mp-06.04 - - name: status - value: withdrawn - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.5 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: MP-06(05) - - name: sort-id - value: mp-06.05 - - name: status - value: withdrawn - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.6 - class: SP800-53-enhancement - title: Media Destruction - props: - - name: label - value: MP-06(06) - - name: sort-id - value: mp-06.06 - - name: status - value: withdrawn - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.7 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: mp-06.07_odp - props: - - name: legacy-identifier - value: mp-6.7_prm_1 - - name: label - value: MP-06(07)_ODP - label: system media - guidelines: - - prose: system media to be sanitized using dual authorization - is defined; - props: - - name: label - value: MP-06(07) - - name: sort-id - value: mp-06.07 - links: - - href: "#mp-6" - rel: required - - href: "#ac-3" - rel: related - - href: "#mp-2" - rel: related - parts: - - id: mp-6.7_smt - name: statement - prose: "Enforce dual authorization for the sanitization of {{ insert:\ - \ param, mp-06.07_odp }}." - - id: mp-6.7_gdn - name: guidance - prose: Organizations employ dual authorization to help ensure that - system media sanitization cannot occur unless two technically - qualified individuals conduct the designated task. Individuals - who sanitize system media possess sufficient skills and expertise - to determine if the proposed sanitization reflects applicable - federal and organizational standards, policies, and procedures. - Dual authorization also helps to ensure that sanitization occurs - as intended, protecting against errors and false claims of having - performed the sanitization actions. Dual authorization may also - be known as two-person control. To reduce the risk of collusion, - organizations consider rotating dual authorization duties to other - individuals. - - name: objective - props: - - name: label - value: MP-06(07) - class: sp800-53A - prose: "dual authorization for sanitization of {{ insert: param,\ - \ mp-06.07_odp }} is enforced." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - dual authorization policy and procedures - - - list of system media requiring dual authorization for sanitization - - - authorization records - - - media sanitization records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media sanitization - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes requiring dual authorization - for media sanitization - - - automated mechanisms supporting and/or implementing media - sanitization - - - automated mechanisms supporting and/or implementing dual authorization - - id: mp-6.8 - class: SP800-53-enhancement - title: Remote Purging or Wiping of Information - params: - - id: mp-06.08_odp.01 - props: - - name: legacy-identifier - value: mp-6.8_prm_1 - - name: label - value: MP-06(08)_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components to purge or wipe information - either remotely or under specific conditions are defined; - - id: mp-06.08_odp.02 - props: - - name: legacy-identifier - value: mp-6.8_prm_2 - - name: label - value: MP-06(08)_ODP[02] - select: - choice: - - remotely - - "under{{ insert: param, mp-06.08_odp.03 }} " - - id: mp-06.08_odp.03 - props: - - name: legacy-identifier - value: mp-6.8_prm_3 - - name: label - value: MP-06(08)_ODP[03] - label: conditions - guidelines: - - prose: conditions under which information is to be purged or - wiped are defined (if selected); - props: - - name: label - value: MP-06(08) - - name: sort-id - value: mp-06.08 - links: - - href: "#mp-6" - rel: required - parts: - - id: mp-6.8_smt - name: statement - prose: "Provide the capability to purge or wipe information from\ - \ {{ insert: param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02\ - \ }}." - - id: mp-6.8_gdn - name: guidance - prose: Remote purging or wiping of information protects information - on organizational systems and system components if systems or - components are obtained by unauthorized individuals. Remote purge - or wipe commands require strong authentication to help mitigate - the risk of unauthorized individuals purging or wiping the system, - component, or device. The purge or wipe function can be implemented - in a variety of ways, including by overwriting data or information - multiple times or by destroying the key necessary to decrypt encrypted - data. - - name: objective - props: - - name: label - value: MP-06(08) - class: sp800-53A - prose: "the capability to purge or wipe information from {{ insert:\ - \ param, mp-06.08_odp.01 }} {{ insert: param, mp-06.08_odp.02\ - \ }} is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-06(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media sanitization and disposal - - - system design documentation - - - system configuration settings and associated documentation - - - authorization records - - - media sanitization records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-06(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media sanitization - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-06(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for purging/wiping media - - - automated mechanisms supporting and/or implementing purge/wipe - capabilities - - id: mp-7 - class: SP800-53 - title: Media Use - params: - - id: mp-07_odp.01 - props: - - name: legacy-identifier - value: mp-7_prm_2 - - name: label - value: MP-07_ODP[01] - label: types of system media - guidelines: - - prose: types of system media to be restricted or prohibited from - use on systems or system components are defined; - - id: mp-07_odp.02 - props: - - name: legacy-identifier - value: mp-7_prm_1 - - name: label - value: MP-07_ODP[02] - select: - choice: - - restrict - - prohibit - - id: mp-07_odp.03 - props: - - name: legacy-identifier - value: mp-7_prm_3 - - name: label - value: MP-07_ODP[03] - label: systems or system components - guidelines: - - prose: systems or system components on which the use of specific - types of system media to be restricted or prohibited are defined; - - id: mp-07_odp.04 - props: - - name: legacy-identifier - value: mp-7_prm_4 - - name: label - value: MP-07_ODP[04] - label: controls - guidelines: - - prose: controls to restrict or prohibit the use of specific types - of system media on systems or system components are defined; - props: - - name: label - value: MP-07 - - name: sort-id - value: mp-07 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#22f2d4f0-4365-4e88-a30d-275c1f5473ea" - rel: reference - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: mp-7_smt - name: statement - parts: - - id: mp-7_smt.a - name: item - props: - - name: label - value: a. - prose: "{{ insert: param, mp-07_odp.02 }} the use of {{ insert:\ - \ param, mp-07_odp.01 }} on {{ insert: param, mp-07_odp.03 }}\ - \ using {{ insert: param, mp-07_odp.04 }} ; and" - - id: mp-7_smt.b - name: item - props: - - name: label - value: b. - prose: Prohibit the use of portable storage devices in organizational - systems when such devices have no identifiable owner. - - id: mp-7_gdn - name: guidance - prose: System media includes both digital and non-digital media. Digital - media includes diskettes, magnetic tapes, flash drives, compact discs, - digital versatile discs, and removable hard disk drives. Non-digital - media includes paper and microfilm. Media use protections also apply - to mobile devices with information storage capabilities. In contrast - to [MP-2](#mp-2) , which restricts user access to media, MP-7 restricts - the use of certain types of media on systems, for example, restricting - or prohibiting the use of flash drives or external hard disk drives. - Organizations use technical and nontechnical controls to restrict - the use of system media. Organizations may restrict the use of portable - storage devices, for example, by using physical cages on workstations - to prohibit access to certain external ports or disabling or removing - the ability to insert, read, or write to such devices. Organizations - may also limit the use of portable storage devices to only approved - devices, including devices provided by the organization, devices provided - by other approved organizations, and devices that are not personally - owned. Finally, organizations may restrict the use of portable storage - devices based on the type of device, such as by prohibiting the use - of writeable, portable storage devices and implementing this restriction - by disabling or removing the capability to write to such devices. - Requiring identifiable owners for storage devices reduces the risk - of using such devices by allowing organizations to assign responsibility - for addressing known vulnerabilities in the devices. - - name: objective - props: - - name: label - value: MP-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-07a. - class: sp800-53A - prose: "the use of {{ insert: param, mp-07_odp.01 }} is {{ insert:\ - \ param, mp-07_odp.02 }} on {{ insert: param, mp-07_odp.03 }}\ - \ using {{ insert: param, mp-07_odp.04 }};" - - name: objective - props: - - name: label - value: MP-07b. - class: sp800-53A - prose: the use of portable storage devices in organizational systems - is prohibited when such devices have no identifiable owner. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - system use policy - - procedures addressing media usage restrictions - - rules of behavior - - system design documentation - - system configuration settings and associated documentation - - audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media use - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media use - - - automated mechanisms restricting or prohibiting use of system - media on systems or system components - controls: - - id: mp-7.1 - class: SP800-53-enhancement - title: Prohibit Use Without Owner - props: - - name: label - value: MP-07(01) - - name: sort-id - value: mp-07.01 - - name: status - value: withdrawn - links: - - href: "#mp-7" - rel: incorporated-into - - id: mp-7.2 - class: SP800-53-enhancement - title: Prohibit Use of Sanitization-resistant Media - props: - - name: label - value: MP-07(02) - - name: sort-id - value: mp-07.02 - links: - - href: "#mp-7" - rel: required - - href: "#mp-6" - rel: related - parts: - - id: mp-7.2_smt - name: statement - prose: Prohibit the use of sanitization-resistant media in organizational - systems. - - id: mp-7.2_gdn - name: guidance - prose: Sanitization resistance refers to how resistant media are - to non-destructive sanitization techniques with respect to the - capability to purge information from media. Certain types of media - do not support sanitization commands, or if supported, the interfaces - are not supported in a standardized way across these devices. - Sanitization-resistant media includes compact flash, embedded - flash on boards and devices, solid state drives, and USB removable - media. - - name: objective - props: - - name: label - value: MP-07(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-07(02)[01] - class: sp800-53A - prose: sanitization-resistant media is identified; - - name: objective - props: - - name: label - value: MP-07(02)[02] - class: sp800-53A - prose: the use of sanitization-resistant media in organizational - systems is prohibited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - system use policy - - - procedures addressing media usage restrictions - - - rules of behavior - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media use - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-07(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media use - - - automated mechanisms prohibiting use of media on systems or - system components - - id: mp-8 - class: SP800-53 - title: Media Downgrading - params: - - id: mp-08_odp.01 - props: - - name: legacy-identifier - value: mp-8_prm_1 - - name: label - value: MP-08_ODP[01] - label: system media downgrading process - guidelines: - - prose: a system media downgrading process is defined; - - id: mp-08_odp.02 - props: - - name: legacy-identifier - value: mp-8_prm_2 - - name: label - value: MP-08_ODP[02] - label: system media requiring downgrading - guidelines: - - prose: system media requiring downgrading is defined; - props: - - name: label - value: MP-08 - - name: sort-id - value: mp-08 - links: - - href: "#91f992fb-f668-4c91-a50f-0f05b95ccee3" - rel: reference - - href: "#df9f87e9-71e7-4c74-9ac3-3cabd4e92f21" - rel: reference - parts: - - id: mp-8_smt - name: statement - parts: - - id: mp-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish {{ insert: param, mp-08_odp.01 }} that includes\ - \ employing downgrading mechanisms with strength and integrity\ - \ commensurate with the security category or classification of\ - \ the information;" - - id: mp-8_smt.b - name: item - props: - - name: label - value: b. - prose: Verify that the system media downgrading process is commensurate - with the security category and/or classification level of the - information to be removed and the access authorizations of the - potential recipients of the downgraded information; - - id: mp-8_smt.c - name: item - props: - - name: label - value: c. - prose: "Identify {{ insert: param, mp-08_odp.02 }} ; and" - - id: mp-8_smt.d - name: item - props: - - name: label - value: d. - prose: Downgrade the identified system media using the established - process. - - id: mp-8_gdn - name: guidance - prose: Media downgrading applies to digital and non-digital media subject - to release outside of the organization, whether the media is considered - removable or not. When applied to system media, the downgrading process - removes information from the media, typically by security category - or classification level, such that the information cannot be retrieved - or reconstructed. Downgrading of media includes redacting information - to enable wider release and distribution. Downgrading ensures that - empty space on the media is devoid of information. - - name: objective - props: - - name: label - value: MP-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08a.[01] - class: sp800-53A - prose: "a {{ insert: param, mp-08_odp.01 }} is established;" - - name: objective - props: - - name: label - value: MP-08a.[02] - class: sp800-53A - prose: "the {{ insert: param, mp-08_odp.01 }} includes employing\ - \ downgrading mechanisms with strength and integrity commensurate\ - \ with the security category or classification of the information;" - - name: objective - props: - - name: label - value: MP-08b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08b.[01] - class: sp800-53A - prose: there is verification that the system media downgrading - process is commensurate with the security category and/or - classification level of the information to be removed; - - name: objective - props: - - name: label - value: MP-08b.[02] - class: sp800-53A - prose: there is verification that the system media downgrading - process is commensurate with the access authorizations of - the potential recipients of the downgraded information; - - name: objective - props: - - name: label - value: MP-08c. - class: sp800-53A - prose: "{{ insert: param, mp-08_odp.02 }} is identified;" - - name: objective - props: - - name: label - value: MP-08d. - class: sp800-53A - prose: "the identified system media is downgraded using the {{ insert:\ - \ param, mp-08_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media downgrading - - system categorization documentation - - list of media requiring downgrading - - records of media downgrading - - audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media downgrading - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media downgrading - - - automated mechanisms supporting and/or implementing media downgrading - controls: - - id: mp-8.1 - class: SP800-53-enhancement - title: Documentation of Process - props: - - name: label - value: MP-08(01) - - name: sort-id - value: mp-08.01 - links: - - href: "#mp-8" - rel: required - parts: - - id: mp-8.1_smt - name: statement - prose: Document system media downgrading actions. - - id: mp-8.1_gdn - name: guidance - prose: Organizations can document the media downgrading process - by providing information, such as the downgrading technique employed, - the identification number of the downgraded media, and the identity - of the individual that authorized and/or performed the downgrading - action. - - name: objective - props: - - name: label - value: MP-08(01) - class: sp800-53A - prose: system media downgrading actions are documented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System media protection policy - - procedures addressing media downgrading - - system categorization documentation - - list of media requiring downgrading - - records of media downgrading - - audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media downgrading - responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media downgrading - - - automated mechanisms supporting and/or implementing media - downgrading - - id: mp-8.2 - class: SP800-53-enhancement - title: Equipment Testing - params: - - id: mp-8.2_prm_1 - props: - - name: aggregates - value: mp-08.02_odp.01 - label: organization-defined frequency - - id: mp-08.02_odp.01 - props: - - name: label - value: MP-08(02)_ODP[01] - label: frequency - guidelines: - - prose: the frequency with which to test downgrading equipment - is defined; - - id: mp-08.02_odp.02 - props: - - name: label - value: MP-08(02)_ODP[02] - label: frequency - guidelines: - - prose: the frequency with which to test downgrading procedures - is defined; - props: - - name: label - value: MP-08(02) - - name: sort-id - value: mp-08.02 - links: - - href: "#mp-8" - rel: required - parts: - - id: mp-8.2_smt - name: statement - prose: "Test downgrading equipment and procedures {{ insert: param,\ - \ mp-8.2_prm_1 }} to ensure that downgrading actions are being\ - \ achieved." - - id: mp-8.2_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: MP-08(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08(02)[01] - class: sp800-53A - prose: "downgrading equipment is tested {{ insert: param, mp-08.02_odp.01\ - \ }} to ensure that downgrading actions are being achieved;" - - name: objective - props: - - name: label - value: MP-08(02)[02] - class: sp800-53A - prose: "downgrading procedures are tested {{ insert: param,\ - \ mp-08.02_odp.02 }} to ensure that downgrading actions are\ - \ being achieved." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - procedures addressing media downgrading - - - procedures addressing testing of media downgrading equipment - - - results of downgrading equipment and procedures testing - - - records of media downgrading - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media downgrading - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media downgrading - - - automated mechanisms supporting and/or implementing media - downgrading - - id: mp-8.3 - class: SP800-53-enhancement - title: Controlled Unclassified Information - props: - - name: label - value: MP-08(03) - - name: sort-id - value: mp-08.03 - links: - - href: "#mp-8" - rel: required - parts: - - id: mp-8.3_smt - name: statement - prose: Downgrade system media containing controlled unclassified - information prior to public release. - - id: mp-8.3_gdn - name: guidance - prose: The downgrading of controlled unclassified information uses - approved sanitization tools, techniques, and procedures. - - name: objective - props: - - name: label - value: MP-08(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08(03)[01] - class: sp800-53A - prose: system media containing controlled unclassified information - is identified; - - name: objective - props: - - name: label - value: MP-08(03)[02] - class: sp800-53A - prose: system media containing controlled unclassified information - is downgraded prior to public release. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - access authorization policy - - - procedures addressing downgrading of media containing CUI - - - applicable federal and organizational standards and policies - regarding protection of CUI - - - media downgrading records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media downgrading - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media downgrading - - - automated mechanisms supporting and/or implementing media - downgrading - - id: mp-8.4 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: MP-08(04) - - name: sort-id - value: mp-08.04 - links: - - href: "#mp-8" - rel: required - parts: - - id: mp-8.4_smt - name: statement - prose: Downgrade system media containing classified information - prior to release to individuals without required access authorizations. - - id: mp-8.4_gdn - name: guidance - prose: Downgrading of classified information uses approved sanitization - tools, techniques, and procedures to transfer information confirmed - to be unclassified from classified systems to unclassified media. - - name: objective - props: - - name: label - value: MP-08(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: MP-08(04)[01] - class: sp800-53A - prose: system media containing classified information is identified; - - name: objective - props: - - name: label - value: MP-08(04)[02] - class: sp800-53A - prose: system media containing classified information is downgraded - prior to release to individuals without required access authorizations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: MP-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System media protection policy - - - access authorization policy - - - procedures addressing downgrading of media containing classified - information - - - procedures addressing handling of classified information - - - NSA standards and policies regarding protection of classified - information - - - media downgrading records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: MP-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system media downgrading - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: MP-08(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for media downgrading - - - automated mechanisms supporting and/or implementing media - downgrading - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - id: pe-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pe-1_prm_1 - props: - - name: aggregates - value: pe-01_odp.01 - label: organization-defined personnel or roles - - id: pe-01_odp.01 - props: - - name: label - value: PE-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the physical and environmental - protection policy is to be disseminated is/are defined; - - id: pe-01_odp.02 - props: - - name: label - value: PE-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the physical and environmental - protection procedures are to be disseminated is/are defined; - - id: pe-01_odp.03 - props: - - name: legacy-identifier - value: pe-1_prm_2 - - name: label - value: PE-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pe-01_odp.04 - props: - - name: legacy-identifier - value: pe-1_prm_3 - - name: label - value: PE-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the physical and environmental protection - policy and procedures is defined; - - id: pe-01_odp.05 - props: - - name: legacy-identifier - value: pe-1_prm_4 - - name: label - value: PE-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current physical and environmental - protection policy is reviewed and updated is defined; - - id: pe-01_odp.06 - props: - - name: legacy-identifier - value: pe-1_prm_5 - - name: label - value: PE-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current physical and environmental - protection policy to be reviewed and updated are defined; - - id: pe-01_odp.07 - props: - - name: legacy-identifier - value: pe-1_prm_6 - - name: label - value: PE-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current physical and environmental - protection procedures are reviewed and updated is defined; - - id: pe-01_odp.08 - props: - - name: legacy-identifier - value: pe-1_prm_7 - - name: label - value: PE-01_ODP[08] - label: events - guidelines: - - prose: events that would require the physical and environmental - protection procedures to be reviewed and updated are defined; - props: - - name: label - value: PE-01 - - name: sort-id - value: pe-01 - links: - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#at-3" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pe-1_smt - name: statement - parts: - - id: pe-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pe-1_prm_1 }}:" - parts: - - id: pe-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, pe-01_odp.03 }} physical and environmental\ - \ protection policy that:" - parts: - - id: pe-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pe-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pe-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the physical - and environmental protection policy and the associated physical - and environmental protection controls; - - id: pe-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pe-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the physical\ - \ and environmental protection policy and procedures; and" - - id: pe-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current physical and environmental\ - \ protection:" - parts: - - id: pe-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, pe-01_odp.05 }} and following\ - \ {{ insert: param, pe-01_odp.06 }} ; and" - - id: pe-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, pe-01_odp.07 }} and following\ - \ {{ insert: param, pe-01_odp.08 }}." - - id: pe-1_gdn - name: guidance - prose: Physical and environmental protection policy and procedures address - the controls in the PE family that are implemented within systems - and organizations. The risk management strategy is an important factor - in establishing such policies and procedures. Policies and procedures - contribute to security and privacy assurance. Therefore, it is important - that security and privacy programs collaborate on the development - of physical and environmental protection policy and procedures. Security - and privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission- - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies that reflect the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission or business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - physical and environmental protection policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. Simply restating controls does not constitute - an organizational policy or procedure. - - name: objective - props: - - name: label - value: PE-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01a.[01] - class: sp800-53A - prose: a physical and environmental protection policy is developed - and documented; - - name: objective - props: - - name: label - value: PE-01a.[02] - class: sp800-53A - prose: "the physical and environmental protection policy is\ - \ disseminated to {{ insert: param, pe-01_odp.01 }};" - - name: objective - props: - - name: label - value: PE-01a.[03] - class: sp800-53A - prose: physical and environmental protection procedures to facilitate - the implementation of the physical and environmental protection - policy and associated physical and environmental protection - controls are developed and documented; - - name: objective - props: - - name: label - value: PE-01a.[04] - class: sp800-53A - prose: "the physical and environmental protection procedures\ - \ are disseminated to {{ insert: param, pe-01_odp.02 }};" - - name: objective - props: - - name: label - value: PE-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses purpose;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses scope;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses roles;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses responsibilities;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: PE-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical\ - \ and environmental protection policy addresses compliance;" - - name: objective - props: - - name: label - value: PE-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.03 }} physical and\ - \ environmental protection policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: PE-01b. - class: sp800-53A - prose: "the {{ insert: param, pe-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the physical\ - \ and environmental protection policy and procedures;" - - name: objective - props: - - name: label - value: PE-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01c.01[01] - class: sp800-53A - prose: "the current physical and environmental protection\ - \ policy is reviewed and updated {{ insert: param, pe-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: PE-01c.01[02] - class: sp800-53A - prose: "the current physical and environmental protection\ - \ policy is reviewed and updated following {{ insert:\ - \ param, pe-01_odp.06 }};" - - name: objective - props: - - name: label - value: PE-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-01c.02[01] - class: sp800-53A - prose: "the current physical and environmental protection\ - \ procedures are reviewed and updated {{ insert: param,\ - \ pe-01_odp.07 }};" - - name: objective - props: - - name: label - value: PE-01c.02[02] - class: sp800-53A - prose: "the current physical and environmental protection\ - \ procedures are reviewed and updated following {{ insert:\ - \ param, pe-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy and procedures - - system security plan - - privacy plan - - organizational risk management strategy - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical and environmental - protection responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - params: - - id: pe-02_odp - props: - - name: legacy-identifier - value: pe-2_prm_1 - - name: label - value: PE-02_ODP - label: frequency - guidelines: - - prose: frequency at which to review the access list detailing authorized - facility access by individuals is defined; - props: - - name: label - value: PE-02 - - name: sort-id - value: pe-02 - links: - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#at-3" - rel: related - - href: "#au-9" - rel: related - - href: "#ia-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-8" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: pe-2_smt - name: statement - parts: - - id: pe-2_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, approve, and maintain a list of individuals with - authorized access to the facility where the system resides; - - id: pe-2_smt.b - name: item - props: - - name: label - value: b. - prose: Issue authorization credentials for facility access; - - id: pe-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review the access list detailing authorized facility access\ - \ by individuals {{ insert: param, pe-02_odp }} ; and" - - id: pe-2_smt.d - name: item - props: - - name: label - value: d. - prose: Remove individuals from the facility access list when access - is no longer required. - - id: pe-2_gdn - name: guidance - prose: Physical access authorizations apply to employees and visitors. - Individuals with permanent physical access authorization credentials - are not considered visitors. Authorization credentials include ID - badges, identification cards, and smart cards. Organizations determine - the strength of authorization credentials needed consistent with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Physical access authorizations may not be necessary - to access certain areas within facilities that are designated as publicly - accessible. - - name: objective - props: - - name: label - value: PE-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-02a.[01] - class: sp800-53A - prose: a list of individuals with authorized access to the facility - where the system resides has been developed; - - name: objective - props: - - name: label - value: PE-02a.[02] - class: sp800-53A - prose: the list of individuals with authorized access to the - facility where the system resides has been approved; - - name: objective - props: - - name: label - value: PE-02a.[03] - class: sp800-53A - prose: the list of individuals with authorized access to the - facility where the system resides has been maintained; - - name: objective - props: - - name: label - value: PE-02b. - class: sp800-53A - prose: authorization credentials are issued for facility access; - - name: objective - props: - - name: label - value: PE-02c. - class: sp800-53A - prose: "the access list detailing authorized facility access by\ - \ individuals is reviewed {{ insert: param, pe-02_odp }};" - - name: objective - props: - - name: label - value: PE-02d. - class: sp800-53A - prose: individuals are removed from the facility access list when - access is no longer required. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access authorizations - - - authorized personnel access list - - - authorization credentials - - - physical access list reviews - - - physical access termination records and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access authorization - responsibilities - - - organizational personnel with physical access to system facility - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access authorizations - - - automated mechanisms supporting and/or implementing physical access - authorizations - controls: - - id: pe-2.1 - class: SP800-53-enhancement - title: Access by Position or Role - props: - - name: label - value: PE-02(01) - - name: sort-id - value: pe-02.01 - links: - - href: "#pe-2" - rel: required - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: pe-2.1_smt - name: statement - prose: Authorize physical access to the facility where the system - resides based on position or role. - - id: pe-2.1_gdn - name: guidance - prose: Role-based facility access includes access by authorized - permanent and regular/routine maintenance personnel, duty officers, - and emergency medical staff. - - name: objective - props: - - name: label - value: PE-02(01) - class: sp800-53A - prose: physical access to the facility where the system resides - is authorized based on position or role. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access authorizations - - - physical access control logs or records - - - list of positions/roles and corresponding physical access - authorizations - - - system entry and exit points - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access - authorization responsibilities - - - organizational personnel with physical access to system facility - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access - authorizations - - - automated mechanisms supporting and/or implementing physical - access authorizations - - id: pe-2.2 - class: SP800-53-enhancement - title: Two Forms of Identification - params: - - id: pe-02.02_odp - props: - - name: legacy-identifier - value: pe-2.2_prm_1 - - name: label - value: PE-02(02)_ODP - label: list of acceptable forms of identification - guidelines: - - prose: a list of acceptable forms of identification for visitor - access to the facility where the system resides is defined; - props: - - name: label - value: PE-02(02) - - name: sort-id - value: pe-02.02 - links: - - href: "#pe-2" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: pe-2.2_smt - name: statement - prose: "Require two forms of identification from the following forms\ - \ of identification for visitor access to the facility where the\ - \ system resides: {{ insert: param, pe-02.02_odp }}." - - id: pe-2.2_gdn - name: guidance - prose: Acceptable forms of identification include passports, REAL - ID-compliant drivers’ licenses, and Personal Identity Verification - (PIV) cards. For gaining access to facilities using automated - mechanisms, organizations may use PIV cards, key cards, PINs, - and biometrics. - - name: objective - props: - - name: label - value: PE-02(02) - class: sp800-53A - prose: "two forms of identification are required from {{ insert:\ - \ param, pe-02.02_odp }} for visitor access to the facility where\ - \ the system resides." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access authorizations - - - list of acceptable forms of identification for visitor access - to the facility where the system resides - - - access authorization forms - - - access credentials - - - physical access control logs or records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access - authorization responsibilities - - - organizational personnel with physical access to the system - facility - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access - authorizations - - - automated mechanisms supporting and/or implementing physical - access authorizations - - id: pe-2.3 - class: SP800-53-enhancement - title: Restrict Unescorted Access - params: - - id: pe-02.03_odp.01 - props: - - name: legacy-identifier - value: pe-2.3_prm_1 - - name: label - value: PE-02(03)_ODP[01] - select: - how-many: one-or-more - choice: - - security clearances for all information contained within the - system - - formal access authorizations for all information contained - within the system - - need for access to all information contained within the system - - " {{ insert: param, pe-02.03_odp.02 }} " - - id: pe-02.03_odp.02 - props: - - name: legacy-identifier - value: pe-2.3_prm_2 - - name: label - value: PE-02(03)_ODP[02] - label: physical access authorizations - guidelines: - - prose: physical access authorizations for unescorted access - to the facility where the system resides are defined (if selected); - props: - - name: label - value: PE-02(03) - - name: sort-id - value: pe-02.03 - links: - - href: "#pe-2" - rel: required - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: pe-2.3_smt - name: statement - prose: "Restrict unescorted access to the facility where the system\ - \ resides to personnel with {{ insert: param, pe-02.03_odp.01\ - \ }}." - - id: pe-2.3_gdn - name: guidance - prose: Individuals without required security clearances, access - approvals, or need to know are escorted by individuals with appropriate - physical access authorizations to ensure that information is not - exposed or otherwise compromised. - - name: objective - props: - - name: label - value: PE-02(03) - class: sp800-53A - prose: "unescorted access to the facility where the system resides\ - \ is restricted to personnel with {{ insert: param, pe-02.03_odp.01\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access authorizations - - authorized personnel access list - - security clearances - - access authorizations - - access credentials - - physical access control logs or records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access - authorization responsibilities - - - organizational personnel with physical access to the system - facility - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-02(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access - authorizations - - - automated mechanisms supporting and/or implementing physical - access authorizations - - id: pe-3 - class: SP800-53 - title: Physical Access Control - params: - - id: pe-3_prm_9 - props: - - name: aggregates - value: pe-03_odp.09 - label: organization-defined frequency - - id: pe-03_odp.01 - props: - - name: legacy-identifier - value: pe-3_prm_1 - - name: label - value: PE-03_ODP[01] - label: entry and exit points - guidelines: - - prose: entry and exit points to the facility in which the system - resides are defined; - - id: pe-03_odp.02 - props: - - name: legacy-identifier - value: pe-3_prm_2 - - name: label - value: PE-03_ODP[02] - select: - how-many: one-or-more - choice: - - " {{ insert: param, pe-03_odp.03 }} " - - guards - - id: pe-03_odp.03 - props: - - name: legacy-identifier - value: pe-3_prm_3 - - name: label - value: PE-03_ODP[03] - label: systems or devices - guidelines: - - prose: physical access control systems or devices used to control - ingress and egress to the facility are defined (if selected); - - id: pe-03_odp.04 - props: - - name: legacy-identifier - value: pe-3_prm_4 - - name: label - value: PE-03_ODP[04] - label: entry or exit points - guidelines: - - prose: entry or exit points for which physical access logs are maintained - are defined; - - id: pe-03_odp.05 - props: - - name: legacy-identifier - value: pe-3_prm_5 - - name: label - value: PE-03_ODP[05] - label: physical access controls - guidelines: - - prose: physical access controls to control access to areas within - the facility designated as publicly accessible are defined; - - id: pe-03_odp.06 - props: - - name: legacy-identifier - value: pe-3_prm_6 - - name: label - value: PE-03_ODP[06] - label: circumstances - guidelines: - - prose: circumstances requiring visitor escorts and control of visitor - activity are defined; - - id: pe-03_odp.07 - props: - - name: legacy-identifier - value: pe-3_prm_7 - - name: label - value: PE-03_ODP[07] - label: physical access devices - guidelines: - - prose: physical access devices to be inventoried are defined; - - id: pe-03_odp.08 - props: - - name: legacy-identifier - value: pe-3_prm_8 - - name: label - value: PE-03_ODP[08] - label: frequency - guidelines: - - prose: frequency at which to inventory physical access devices is - defined; - - id: pe-03_odp.09 - props: - - name: label - value: PE-03_ODP[09] - label: frequency - guidelines: - - prose: frequency at which to change combinations is defined; - - id: pe-03_odp.10 - props: - - name: label - value: PE-03_ODP[10] - label: frequency - guidelines: - - prose: frequency at which to change keys is defined; - props: - - name: label - value: PE-03 - - name: sort-id - value: pe-03 - links: - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#2100332a-16a5-4598-bacf-7261baea9711" - rel: reference - - href: "#at-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-13" - rel: related - - href: "#cp-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-8" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-4" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: pe-3_smt - name: statement - parts: - - id: pe-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Enforce physical access authorizations at {{ insert: param,\ - \ pe-03_odp.01 }} by:" - parts: - - id: pe-3_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Verifying individual access authorizations before granting - access to the facility; and - - id: pe-3_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: "Controlling ingress and egress to the facility using\ - \ {{ insert: param, pe-03_odp.02 }};" - - id: pe-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Maintain physical access audit logs for {{ insert: param,\ - \ pe-03_odp.04 }};" - - id: pe-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Control access to areas within the facility designated as\ - \ publicly accessible by implementing the following controls:\ - \ {{ insert: param, pe-03_odp.05 }};" - - id: pe-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Escort visitors and control visitor activity {{ insert:\ - \ param, pe-03_odp.06 }};" - - id: pe-3_smt.e - name: item - props: - - name: label - value: e. - prose: Secure keys, combinations, and other physical access devices; - - id: pe-3_smt.f - name: item - props: - - name: label - value: f. - prose: "Inventory {{ insert: param, pe-03_odp.07 }} every {{ insert:\ - \ param, pe-03_odp.08 }} ; and" - - id: pe-3_smt.g - name: item - props: - - name: label - value: g. - prose: "Change combinations and keys {{ insert: param, pe-3_prm_9\ - \ }} and/or when keys are lost, combinations are compromised,\ - \ or when individuals possessing the keys or combinations are\ - \ transferred or terminated." - - id: pe-3_gdn - name: guidance - prose: Physical access control applies to employees and visitors. Individuals - with permanent physical access authorizations are not considered visitors. - Physical access controls for publicly accessible areas may include - physical access control logs/records, guards, or physical access devices - and barriers to prevent movement from publicly accessible areas to - non-public areas. Organizations determine the types of guards needed, - including professional security staff, system users, or administrative - staff. Physical access devices include keys, locks, combinations, - biometric readers, and card readers. Physical access control systems - comply with applicable laws, executive orders, directives, policies, - regulations, standards, and guidelines. Organizations have flexibility - in the types of audit logs employed. Audit logs can be procedural, - automated, or some combination thereof. Physical access points can - include facility access points, interior access points to systems - that require supplemental access controls, or both. Components of - systems may be in areas designated as publicly accessible with organizations - controlling access to the components. - - name: objective - props: - - name: label - value: PE-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03a.01 - class: sp800-53A - prose: "physical access authorizations are enforced at {{ insert:\ - \ param, pe-03_odp.01 }} by verifying individual access authorizations\ - \ before granting access to the facility;" - - name: objective - props: - - name: label - value: PE-03a.02 - class: sp800-53A - prose: "physical access authorizations are enforced at {{ insert:\ - \ param, pe-03_odp.01 }} by controlling ingress and egress\ - \ to the facility using {{ insert: param, pe-03_odp.02 }};" - - name: objective - props: - - name: label - value: PE-03b. - class: sp800-53A - prose: "physical access audit logs are maintained for {{ insert:\ - \ param, pe-03_odp.04 }};" - - name: objective - props: - - name: label - value: PE-03c. - class: sp800-53A - prose: "access to areas within the facility designated as publicly\ - \ accessible are maintained by implementing {{ insert: param,\ - \ pe-03_odp.05 }};" - - name: objective - props: - - name: label - value: PE-03d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03d.[01] - class: sp800-53A - prose: visitors are escorted; - - name: objective - props: - - name: label - value: PE-03d.[02] - class: sp800-53A - prose: "visitor activity is controlled {{ insert: param, pe-03_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: PE-03e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03e.[01] - class: sp800-53A - prose: keys are secured; - - name: objective - props: - - name: label - value: PE-03e.[02] - class: sp800-53A - prose: combinations are secured; - - name: objective - props: - - name: label - value: PE-03e.[03] - class: sp800-53A - prose: other physical access devices are secured; - - name: objective - props: - - name: label - value: PE-03f. - class: sp800-53A - prose: "{{ insert: param, pe-03_odp.07 }} are inventoried {{ insert:\ - \ param, pe-03_odp.08 }};" - - name: objective - props: - - name: label - value: PE-03g. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03g.[01] - class: sp800-53A - prose: "combinations are changed {{ insert: param, pe-03_odp.09\ - \ }} , when combinations are compromised, or when individuals\ - \ possessing the combinations are transferred or terminated;" - - name: objective - props: - - name: label - value: PE-03g.[02] - class: sp800-53A - prose: "keys are changed {{ insert: param, pe-03_odp.10 }} ,\ - \ when keys are lost, or when individuals possessing the keys\ - \ are transferred or terminated." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access control - - - physical access control logs or records - - - inventory records of physical access control devices - - - system entry and exit points - - - records of key and lock combination changes - - - storage locations for physical access control devices - - - physical access control devices - - - list of security safeguards controlling access to designated publicly - accessible areas within facility - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access control - - - automated mechanisms supporting and/or implementing physical access - control - - - physical access control devices - controls: - - id: pe-3.1 - class: SP800-53-enhancement - title: System Access - params: - - id: pe-03.01_odp - props: - - name: legacy-identifier - value: pe-3.1_prm_1 - - name: label - value: PE-03(01)_ODP - label: physical spaces - guidelines: - - prose: physical spaces containing one or more components of - the system are defined; - props: - - name: label - value: PE-03(01) - - name: sort-id - value: pe-03.01 - links: - - href: "#pe-3" - rel: required - parts: - - id: pe-3.1_smt - name: statement - prose: "Enforce physical access authorizations to the system in\ - \ addition to the physical access controls for the facility at\ - \ {{ insert: param, pe-03.01_odp }}." - - id: pe-3.1_gdn - name: guidance - prose: Control of physical access to the system provides additional - physical security for those areas within facilities where there - is a concentration of system components. - - name: objective - props: - - name: label - value: PE-03(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-03(01)[01] - class: sp800-53A - prose: physical access authorizations to the system are enforced; - - name: objective - props: - - name: label - value: PE-03(01)02] - class: sp800-53A - prose: "physical access controls are enforced for the facility\ - \ at {{ insert: param, pe-03.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access control - - - physical access control logs or records - - - physical access control devices - - - access authorizations - - - access credentials - - - system entry and exit points - - - list of areas within the facility containing concentrations - of system components or system components requiring additional - physical protection - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access - authorization responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access control to - the information system/components - - - automated mechanisms supporting and/or implementing physical - access control for facility areas containing system components - - id: pe-3.2 - class: SP800-53-enhancement - title: Facility and Systems - params: - - id: pe-03.02_odp - props: - - name: legacy-identifier - value: pe-3.2_prm_1 - - name: label - value: PE-03(02)_ODP - label: frequency - guidelines: - - prose: the frequency at which to perform security checks at - the physical perimeter of the facility or system for exfiltration - of information or removal of system components is defined; - props: - - name: label - value: PE-03(02) - - name: sort-id - value: pe-03.02 - links: - - href: "#pe-3" - rel: required - - href: "#ac-4" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: pe-3.2_smt - name: statement - prose: "Perform security checks {{ insert: param, pe-03.02_odp }}\ - \ at the physical perimeter of the facility or system for exfiltration\ - \ of information or removal of system components." - - id: pe-3.2_gdn - name: guidance - prose: Organizations determine the extent, frequency, and/or randomness - of security checks to adequately mitigate risk associated with - exfiltration. - - name: objective - props: - - name: label - value: PE-03(02) - class: sp800-53A - prose: "security checks are performed {{ insert: param, pe-03.02_odp\ - \ }} at the physical perimeter of the facility or system for exfiltration\ - \ of information or removal of system components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access control - - physical access control logs or records - - records of security checks - - security audit reports - - security inspection reports - - facility layout documentation - - system entry and exit points - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access control to - the facility and/or system - - - automated mechanisms supporting and/or implementing physical - access control for the facility or system - - - automated mechanisms supporting and/or implementing security - checks for unauthorized exfiltration of information - - id: pe-3.3 - class: SP800-53-enhancement - title: Continuous Guards - params: - - id: pe-03.03_odp - props: - - name: legacy-identifier - value: pe-3.3_prm_1 - - name: label - value: PE-03(03)_ODP - label: physical access points - guidelines: - - prose: physical access points to the facility where the system - resides are defined; - props: - - name: label - value: PE-03(03) - - name: sort-id - value: pe-03.03 - links: - - href: "#pe-3" - rel: required - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: pe-3.3_smt - name: statement - prose: "Employ guards to control {{ insert: param, pe-03.03_odp\ - \ }} to the facility where the system resides 24 hours per day,\ - \ 7 days per week." - - id: pe-3.3_gdn - name: guidance - prose: Employing guards at selected physical access points to the - facility provides a more rapid response capability for organizations. - Guards also provide the opportunity for human surveillance in - areas of the facility not covered by video surveillance. - - name: objective - props: - - name: label - value: PE-03(03) - class: sp800-53A - prose: "guards are employed to control {{ insert: param, pe-03.03_odp\ - \ }} to the facility where the system resides 24 hours per day,\ - \ 7 days per week." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access control - - physical access control logs or records - - physical access control devices - - facility surveillance records - - facility layout documentation - - system entry and exit points - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for physical access control to - the facility where the system resides - - - automated mechanisms supporting and/or implementing physical - access control for the facility where the system resides - - id: pe-3.4 - class: SP800-53-enhancement - title: Lockable Casings - params: - - id: pe-03.04_odp - props: - - name: legacy-identifier - value: pe-3.4_prm_1 - - name: label - value: PE-03(04)_ODP - label: system components - guidelines: - - prose: system components to be protected from unauthorized physical - access are defined; - props: - - name: label - value: PE-03(04) - - name: sort-id - value: pe-03.04 - links: - - href: "#pe-3" - rel: required - parts: - - id: pe-3.4_smt - name: statement - prose: "Use lockable physical casings to protect {{ insert: param,\ - \ pe-03.04_odp }} from unauthorized physical access." - - id: pe-3.4_gdn - name: guidance - prose: The greatest risk from the use of portable devices—such as - smart phones, tablets, and notebook computers—is theft. Organizations - can employ lockable, physical casings to reduce or eliminate the - risk of equipment theft. Such casings come in a variety of sizes, - from units that protect a single notebook computer to full cabinets - that can protect multiple servers, computers, and peripherals. - Lockable physical casings can be used in conjunction with cable - locks or lockdown plates to prevent the theft of the locked casing - containing the computer equipment. - - name: objective - props: - - name: label - value: PE-03(04) - class: sp800-53A - prose: "lockable physical casings are used to protect {{ insert:\ - \ param, pe-03.04_odp }} from unauthorized access." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access control - - - list of system components requiring protection through lockable - physical casings - - - lockable physical casings - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Lockable physical casings - - id: pe-3.5 - class: SP800-53-enhancement - title: Tamper Protection - params: - - id: pe-03.05_odp.01 - props: - - name: legacy-identifier - value: pe-3.5_prm_1 - - name: label - value: PE-03(05)_ODP[01] - label: anti-tamper technologies - guidelines: - - prose: anti-tamper technologies to be employed are defined; - - id: pe-03.05_odp.02 - props: - - name: legacy-identifier - value: pe-3.5_prm_2 - - name: label - value: PE-03(05)_ODP[02] - select: - how-many: one-or-more - choice: - - detect - - prevent - - id: pe-03.05_odp.03 - props: - - name: legacy-identifier - value: pe-3.5_prm_3 - - name: label - value: PE-03(05)_ODP[03] - label: hardware components - guidelines: - - prose: hardware components to be protected from physical tampering - or alteration are defined; - props: - - name: label - value: PE-03(05) - - name: sort-id - value: pe-03.05 - links: - - href: "#pe-3" - rel: required - - href: "#sa-16" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: pe-3.5_smt - name: statement - prose: "Employ {{ insert: param, pe-03.05_odp.01 }} to {{ insert:\ - \ param, pe-03.05_odp.02 }} physical tampering or alteration of\ - \ {{ insert: param, pe-03.05_odp.03 }} within the system." - - id: pe-3.5_gdn - name: guidance - prose: Organizations can implement tamper detection and prevention - at selected hardware components or implement tamper detection - at some components and tamper prevention at other components. - Detection and prevention activities can employ many types of anti-tamper - technologies, including tamper-detection seals and anti-tamper - coatings. Anti-tamper programs help to detect hardware alterations - through counterfeiting and other supply chain-related risks. - - name: objective - props: - - name: label - value: PE-03(05) - class: sp800-53A - prose: "{{ insert: param, pe-03.05_odp.01 }} are employed to {{\ - \ insert: param, pe-03.05_odp.02 }} physical tampering or alteration\ - \ of {{ insert: param, pe-03.05_odp.03 }} within the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access control - - - list of security safeguards to detect/prevent physical tampering - or alteration of system hardware components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes to detect/prevent physical - tampering or alteration of system hardware components - - - automated mechanisms/security safeguards supporting and/or - implementing detection/prevention of physical tampering/alternation - of system hardware components - - id: pe-3.6 - class: SP800-53-enhancement - title: Facility Penetration Testing - props: - - name: label - value: PE-03(06) - - name: sort-id - value: pe-03.06 - - name: status - value: withdrawn - links: - - href: "#ca-8" - rel: incorporated-into - - id: pe-3.7 - class: SP800-53-enhancement - title: Physical Barriers - props: - - name: label - value: PE-03(07) - - name: sort-id - value: pe-03.07 - links: - - href: "#pe-3" - rel: required - parts: - - id: pe-3.7_smt - name: statement - prose: Limit access using physical barriers. - - id: pe-3.7_gdn - name: guidance - prose: Physical barriers include bollards, concrete slabs, jersey - walls, and hydraulic active vehicle barriers. - - name: objective - props: - - name: label - value: PE-03(07) - class: sp800-53A - prose: physical barriers are used to limit access. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access control - - list of physical barriers to limit access to the system - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - id: pe-3.8 - class: SP800-53-enhancement - title: Access Control Vestibules - params: - - id: pe-03.08_odp - props: - - name: legacy-identifier - value: pe-3.8_prm_1 - - name: label - value: PE-03(08)_ODP - label: locations - guidelines: - - prose: locations within the facility where access control vestibules - are to be employed are defined; - props: - - name: label - value: PE-03(08) - - name: sort-id - value: pe-03.08 - links: - - href: "#pe-3" - rel: required - parts: - - id: pe-3.8_smt - name: statement - prose: "Employ access control vestibules at {{ insert: param, pe-03.08_odp\ - \ }}." - - id: pe-3.8_gdn - name: guidance - prose: An access control vestibule is part of a physical access - control system that typically provides a space between two sets - of interlocking doors. Vestibules are designed to prevent unauthorized - individuals from following authorized individuals into facilities - with controlled access. This activity, also known as piggybacking - or tailgating, results in unauthorized access to the facility. - Interlocking door controllers can be used to limit the number - of individuals who enter controlled access points and to provide - containment areas while authorization for physical access is verified. - Interlocking door controllers can be fully automated (i.e., controlling - the opening and closing of the doors) or partially automated (i.e., - using security guards to control the number of individuals entering - the containment area). - - name: objective - props: - - name: label - value: PE-03(08) - class: sp800-53A - prose: "access control vestibules are employed at {{ insert: param,\ - \ pe-03.08_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-03(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access control - - list of access control vestibules and locations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-03(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-03(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for vestibules to prevent unauthorized - access. - - id: pe-4 - class: SP800-53 - title: Access Control for Transmission - params: - - id: pe-04_odp.01 - props: - - name: legacy-identifier - value: pe-4_prm_1 - - name: label - value: PE-04_ODP[01] - label: system distribution and transmission lines - guidelines: - - prose: system distribution and transmission lines requiring physical - access controls are defined; - - id: pe-04_odp.02 - props: - - name: legacy-identifier - value: pe-4_prm_2 - - name: label - value: PE-04_ODP[02] - label: security controls - guidelines: - - prose: security controls to be implemented to control physical access - to system distribution and transmission lines within the organizational - facility are defined; - props: - - name: label - value: PE-04 - - name: sort-id - value: pe-04 - links: - - href: "#at-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-9" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: pe-4_smt - name: statement - prose: "Control physical access to {{ insert: param, pe-04_odp.01 }}\ - \ within organizational facilities using {{ insert: param, pe-04_odp.02\ - \ }}." - - id: pe-4_gdn - name: guidance - prose: Security controls applied to system distribution and transmission - lines prevent accidental damage, disruption, and physical tampering. - Such controls may also be necessary to prevent eavesdropping or modification - of unencrypted transmissions. Security controls used to control physical - access to system distribution and transmission lines include disconnected - or locked spare jacks, locked wiring closets, protection of cabling - by conduit or cable trays, and wiretapping sensors. - - name: objective - props: - - name: label - value: PE-04 - class: sp800-53A - prose: "physical access to {{ insert: param, pe-04_odp.01 }} within\ - \ organizational facilities is controlled using {{ insert: param,\ - \ pe-04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing access control for transmission mediums - - - system design documentation - - - facility communications and wiring diagrams - - - list of physical security safeguards applied to system distribution - and transmission lines - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for access control to distribution - and transmission lines - - - automated mechanisms/security safeguards supporting and/or implementing - access control to distribution and transmission lines - - id: pe-5 - class: SP800-53 - title: Access Control for Output Devices - params: - - id: pe-05_odp - props: - - name: legacy-identifier - value: pe-5_prm_1 - - name: label - value: PE-05_ODP - label: output devices - guidelines: - - prose: output devices that require physical access control to output - are defined; - props: - - name: label - value: PE-05 - - name: sort-id - value: pe-05 - links: - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-18" - rel: related - parts: - - id: pe-5_smt - name: statement - prose: "Control physical access to output from {{ insert: param, pe-05_odp\ - \ }} to prevent unauthorized individuals from obtaining the output." - - id: pe-5_gdn - name: guidance - prose: Controlling physical access to output devices includes placing - output devices in locked rooms or other secured areas with keypad - or card reader access controls and allowing access to authorized individuals - only, placing output devices in locations that can be monitored by - personnel, installing monitor or screen filters, and using headphones. - Examples of output devices include monitors, printers, scanners, audio - devices, facsimile machines, and copiers. - - name: objective - props: - - name: label - value: PE-05 - class: sp800-53A - prose: "physical access to output from {{ insert: param, pe-05_odp }}\ - \ is controlled to prevent unauthorized individuals from obtaining\ - \ the output." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing access control for display medium - - - facility layout of system components - - - actual displays from system components - - - list of output devices and associated outputs requiring physical - access controls - - - physical access control logs or records for areas containing output - devices and related outputs - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for access control to output - devices - - - automated mechanisms supporting and/or implementing access control - to output devices - controls: - - id: pe-5.1 - class: SP800-53-enhancement - title: Access to Output by Authorized Individuals - props: - - name: label - value: PE-05(01) - - name: sort-id - value: pe-05.01 - - name: status - value: withdrawn - links: - - href: "#pe-5" - rel: incorporated-into - - id: pe-5.2 - class: SP800-53-enhancement - title: Link to Individual Identity - props: - - name: label - value: PE-05(02) - - name: sort-id - value: pe-05.02 - links: - - href: "#pe-5" - rel: required - parts: - - id: pe-5.2_smt - name: statement - prose: Link individual identity to receipt of output from output - devices. - - id: pe-5.2_gdn - name: guidance - prose: Methods for linking individual identity to the receipt of - output from output devices include installing security functionality - on facsimile machines, copiers, and printers. Such functionality - allows organizations to implement authentication on output devices - prior to the release of output to individuals. - - name: objective - props: - - name: label - value: PE-05(02) - class: sp800-53A - prose: individual identity is linked to the receipt of output from - output devices. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access control - - - system design documentation - - - system configuration settings and associated documentation - - - list of output devices and associated outputs requiring physical - access controls - - - physical access control logs or records for areas containing - output devices and related outputs - - - system audit records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access control - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for access control to output - devices - - - automated mechanisms supporting and/or implementing access - control to output devices - - id: pe-5.3 - class: SP800-53-enhancement - title: Marking Output Devices - props: - - name: label - value: PE-05(03) - - name: sort-id - value: pe-05.03 - - name: status - value: withdrawn - links: - - href: "#pe-22" - rel: incorporated-into - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - params: - - id: pe-06_odp.01 - props: - - name: legacy-identifier - value: pe-6_prm_1 - - name: label - value: PE-06_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to review physical access logs is - defined; - - id: pe-06_odp.02 - props: - - name: legacy-identifier - value: pe-6_prm_2 - - name: label - value: PE-06_ODP[02] - label: events - guidelines: - - prose: events or potential indication of events requiring physical - access logs to be reviewed are defined; - props: - - name: label - value: PE-06 - - name: sort-id - value: pe-06 - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - parts: - - id: pe-6_smt - name: statement - parts: - - id: pe-6_smt.a - name: item - props: - - name: label - value: a. - prose: Monitor physical access to the facility where the system - resides to detect and respond to physical security incidents; - - id: pe-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Review physical access logs {{ insert: param, pe-06_odp.01\ - \ }} and upon occurrence of {{ insert: param, pe-06_odp.02 }}\ - \ ; and" - - id: pe-6_smt.c - name: item - props: - - name: label - value: c. - prose: Coordinate results of reviews and investigations with the - organizational incident response capability. - - id: pe-6_gdn - name: guidance - prose: Physical access monitoring includes publicly accessible areas - within organizational facilities. Examples of physical access monitoring - include the employment of guards, video surveillance equipment (i.e., - cameras), and sensor devices. Reviewing physical access logs can help - identify suspicious activity, anomalous events, or potential threats. - The reviews can be supported by audit logging controls, such as [AU-2](#au-2) - , if the access logs are part of an automated system. Organizational - incident response capabilities include investigations of physical - security incidents and responses to the incidents. Incidents include - security violations or suspicious physical access activities. Suspicious - physical access activities include accesses outside of normal work - hours, repeated accesses to areas not normally accessed, accesses - for unusual lengths of time, and out-of-sequence accesses. - - name: objective - props: - - name: label - value: PE-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06a. - class: sp800-53A - prose: physical access to the facility where the system resides - is monitored to detect and respond to physical security incidents; - - name: objective - props: - - name: label - value: PE-06b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06b.[01] - class: sp800-53A - prose: "physical access logs are reviewed {{ insert: param,\ - \ pe-06_odp.01 }};" - - name: objective - props: - - name: label - value: PE-06b.[02] - class: sp800-53A - prose: "physical access logs are reviewed upon occurrence of\ - \ {{ insert: param, pe-06_odp.02 }};" - - name: objective - props: - - name: label - value: PE-06c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06c.[01] - class: sp800-53A - prose: results of reviews are coordinated with organizational - incident response capabilities; - - name: objective - props: - - name: label - value: PE-06c.[02] - class: sp800-53A - prose: results of investigations are coordinated with organizational - incident response capabilities. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access monitoring - - physical access logs or records - - physical access monitoring records - - physical access log reviews - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access monitoring - responsibilities - - - organizational personnel with incident response responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring physical access - - - automated mechanisms supporting and/or implementing physical access - monitoring - - - automated mechanisms supporting and/or implementing the review - of physical access logs - controls: - - id: pe-6.1 - class: SP800-53-enhancement - title: Intrusion Alarms and Surveillance Equipment - props: - - name: label - value: PE-06(01) - - name: sort-id - value: pe-06.01 - links: - - href: "#pe-6" - rel: required - parts: - - id: pe-6.1_smt - name: statement - prose: Monitor physical access to the facility where the system - resides using physical intrusion alarms and surveillance equipment. - - id: pe-6.1_gdn - name: guidance - prose: Physical intrusion alarms can be employed to alert security - personnel when unauthorized access to the facility is attempted. - Alarm systems work in conjunction with physical barriers, physical - access control systems, and security guards by triggering a response - when these other forms of security have been compromised or breached. - Physical intrusion alarms can include different types of sensor - devices, such as motion sensors, contact sensors, and broken glass - sensors. Surveillance equipment includes video cameras installed - at strategic locations throughout the facility. - - name: objective - props: - - name: label - value: PE-06(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06(01)[01] - class: sp800-53A - prose: physical access to the facility where the system resides - is monitored using physical intrusion alarms; - - name: objective - props: - - name: label - value: PE-06(01)[02] - class: sp800-53A - prose: physical access to the facility where the system resides - is monitored using physical surveillance equipment. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing physical access monitoring - - physical access logs or records - - physical access monitoring records - - physical access log reviews - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access monitoring - responsibilities - - - organizational personnel with incident response responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring physical - intrusion alarms and surveillance equipment - - - automated mechanisms supporting and/or implementing physical - access monitoring - - - automated mechanisms supporting and/or implementing physical - intrusion alarms and surveillance equipment - - id: pe-6.2 - class: SP800-53-enhancement - title: Automated Intrusion Recognition and Responses - params: - - id: pe-06.02_odp.01 - props: - - name: legacy-identifier - value: pe-6.2_prm_1 - - name: label - value: PE-06(02)_ODP[01] - label: classes or types of intrusions - guidelines: - - prose: classes or types of intrusions to be recognized by automated - mechanisms are defined; - - id: pe-06.02_odp.02 - props: - - name: legacy-identifier - value: pe-6.2_prm_2 - - name: label - value: PE-06(02)_ODP[02] - label: response actions - guidelines: - - prose: response actions to be initiated by automated mechanisms - when organization-defined classes or types of intrusions are - recognized are defined; - - id: pe-06.02_odp.03 - props: - - name: legacy-identifier - value: pe-6.2_prm_3 - - name: label - value: PE-06(02)_ODP[03] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to recognize classes or types - of intrusions and initiate response actions (defined in PE-06(02)_ODP) - are defined; - props: - - name: label - value: PE-06(02) - - name: sort-id - value: pe-06.02 - links: - - href: "#pe-6" - rel: required - - href: "#si-4" - rel: related - parts: - - id: pe-6.2_smt - name: statement - prose: "Recognize {{ insert: param, pe-06.02_odp.01 }} and initiate\ - \ {{ insert: param, pe-06.02_odp.02 }} using {{ insert: param,\ - \ pe-06.02_odp.03 }}." - - id: pe-6.2_gdn - name: guidance - prose: Response actions can include notifying selected organizational - personnel or law enforcement personnel. Automated mechanisms implemented - to initiate response actions include system alert notifications, - email and text messages, and activating door locking mechanisms. - Physical access monitoring can be coordinated with intrusion detection - systems and system monitoring capabilities to provide integrated - threat coverage for the organization. - - name: objective - props: - - name: label - value: PE-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06(02)[01] - class: sp800-53A - prose: "{{ insert: param, pe-06.02_odp.01 }} are recognized;" - - name: objective - props: - - name: label - value: PE-06(02)[02] - class: sp800-53A - prose: "{{ insert: param, pe-06.02_odp.02 }} are initiated using\ - \ {{ insert: param, pe-06.02_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access monitoring - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of response actions to be initiated when specific classes/types - of intrusions are recognized - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring physical access - - - automated mechanisms supporting and/or implementing physical - access monitoring - - - automated mechanisms supporting and/or implementing recognition - of classes/types of intrusions and initiation of a response - - id: pe-6.3 - class: SP800-53-enhancement - title: Video Surveillance - params: - - id: pe-06.03_odp.01 - props: - - name: legacy-identifier - value: pe-6.3_prm_1 - - name: label - value: PE-06(03)_ODP[01] - label: operational areas - guidelines: - - prose: operational areas where video surveillance is to be employed - are defined; - - id: pe-06.03_odp.02 - props: - - name: legacy-identifier - value: pe-6.3_prm_2 - - name: label - value: PE-06(03)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to review video recordings is defined; - - id: pe-06.03_odp.03 - props: - - name: legacy-identifier - value: pe-6.3_prm_3 - - name: label - value: PE-06(03)_ODP[03] - label: time period - guidelines: - - prose: time period for which to retain video recordings is defined; - props: - - name: label - value: PE-06(03) - - name: sort-id - value: pe-06.03 - links: - - href: "#pe-6" - rel: required - parts: - - id: pe-6.3_smt - name: statement - parts: - - id: pe-6.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ video surveillance of {{ insert: param, pe-06.03_odp.01\ - \ }};" - - id: pe-6.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Review video recordings {{ insert: param, pe-06.03_odp.02\ - \ }} ; and" - - id: pe-6.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "Retain video recordings for {{ insert: param, pe-06.03_odp.03\ - \ }}." - - id: pe-6.3_gdn - name: guidance - prose: Video surveillance focuses on recording activity in specified - areas for the purposes of subsequent review, if circumstances - so warrant. Video recordings are typically reviewed to detect - anomalous events or incidents. Monitoring the surveillance video - is not required, although organizations may choose to do so. There - may be legal considerations when performing and retaining video - surveillance, especially if such surveillance is in a public location. - - name: objective - props: - - name: label - value: PE-06(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-06(03)(a) - class: sp800-53A - prose: "video surveillance of {{ insert: param, pe-06.03_odp.01\ - \ }} is employed;" - - name: objective - props: - - name: label - value: PE-06(03)(b) - class: sp800-53A - prose: "video recording are reviewed {{ insert: param, pe-06.03_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: PE-06(03)(c) - class: sp800-53A - prose: "video recordings are retained for {{ insert: param,\ - \ pe-06.03_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access monitoring - - - video surveillance equipment used to monitor operational areas - - - video recordings of operational areas where video surveillance - is employed - - - video surveillance equipment logs or records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring physical access - - - automated mechanisms supporting and/or implementing physical - access monitoring - - - automated mechanisms supporting and/or implementing video - surveillance - - id: pe-6.4 - class: SP800-53-enhancement - title: Monitoring Physical Access to Systems - params: - - id: pe-06.04_odp - props: - - name: legacy-identifier - value: pe-6.4_prm_1 - - name: label - value: PE-06(04)_ODP - label: physical spaces - guidelines: - - prose: physical spaces containing one or more components of - the system are defined; - props: - - name: label - value: PE-06(04) - - name: sort-id - value: pe-06.04 - links: - - href: "#pe-6" - rel: required - parts: - - id: pe-6.4_smt - name: statement - prose: "Monitor physical access to the system in addition to the\ - \ physical access monitoring of the facility at {{ insert: param,\ - \ pe-06.04_odp }}." - - id: pe-6.4_gdn - name: guidance - prose: Monitoring physical access to systems provides additional - monitoring for those areas within facilities where there is a - concentration of system components, including server rooms, media - storage areas, and communications centers. Physical access monitoring - can be coordinated with intrusion detection systems and system - monitoring capabilities to provide comprehensive and integrated - threat coverage for the organization. - - name: objective - props: - - name: label - value: PE-06(04) - class: sp800-53A - prose: "physical access to the system is monitored in addition to\ - \ the physical access monitoring of the facility at {{ insert:\ - \ param, pe-06.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-06(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing physical access monitoring - - - physical access control logs or records - - - physical access control devices - - - access authorizations - - - access credentials - - - list of areas within the facility containing concentrations - of system components or system components requiring additional - physical access monitoring - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-06(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with physical access monitoring - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-06(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring physical access - to the system - - - automated mechanisms supporting and/or implementing physical - access monitoring for facility areas containing system components - - id: pe-7 - class: SP800-53 - title: Visitor Control - props: - - name: label - value: PE-07 - - name: sort-id - value: pe-07 - - name: status - value: withdrawn - links: - - href: "#pe-2" - rel: incorporated-into - - href: "#pe-3" - rel: incorporated-into - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - params: - - id: pe-08_odp.01 - props: - - name: legacy-identifier - value: pe-8_prm_1 - - name: label - value: PE-08_ODP[01] - label: time period - guidelines: - - prose: time period for which to maintain visitor access records - for the facility where the system resides is defined; - - id: pe-08_odp.02 - props: - - name: legacy-identifier - value: pe-8_prm_2 - - name: label - value: PE-08_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to review visitor access records is - defined; - - id: pe-08_odp.03 - props: - - name: legacy-identifier - value: pe-8_prm_3 - - name: label - value: PE-08_ODP[03] - label: personnel - guidelines: - - prose: personnel to whom visitor access records anomalies are reported - to is/are defined; - props: - - name: label - value: PE-08 - - name: sort-id - value: pe-08 - links: - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: pe-8_smt - name: statement - parts: - - id: pe-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Maintain visitor access records to the facility where the\ - \ system resides for {{ insert: param, pe-08_odp.01 }};" - - id: pe-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review visitor access records {{ insert: param, pe-08_odp.02\ - \ }} ; and" - - id: pe-8_smt.c - name: item - props: - - name: label - value: c. - prose: "Report anomalies in visitor access records to {{ insert:\ - \ param, pe-08_odp.03 }}." - - id: pe-8_gdn - name: guidance - prose: Visitor access records include the names and organizations of - individuals visiting, visitor signatures, forms of identification, - dates of access, entry and departure times, purpose of visits, and - the names and organizations of individuals visited. Access record - reviews determine if access authorizations are current and are still - required to support organizational mission and business functions. - Access records are not required for publicly accessible areas. - - name: objective - props: - - name: label - value: PE-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-08a. - class: sp800-53A - prose: "visitor access records for the facility where the system\ - \ resides are maintained for {{ insert: param, pe-08_odp.01 }};" - - name: objective - props: - - name: label - value: PE-08b. - class: sp800-53A - prose: "visitor access records are reviewed {{ insert: param, pe-08_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: PE-08c. - class: sp800-53A - prose: "visitor access records anomalies are reported to {{ insert:\ - \ param, pe-08_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing visitor access records - - visitor access control logs or records - - visitor access record or log reviews - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with visitor access record - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for maintaining and reviewing - visitor access records - - - automated mechanisms supporting and/or implementing maintenance - and review of visitor access records - controls: - - id: pe-8.1 - class: SP800-53-enhancement - title: Automated Records Maintenance and Review - params: - - id: pe-8.1_prm_1 - props: - - name: aggregates - value: pe-08.01_odp.01 - label: organization-defined automated mechanisms - - id: pe-08.01_odp.01 - props: - - name: label - value: PE-08(01)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to maintain visitor access - records are defined; - - id: pe-08.01_odp.02 - props: - - name: label - value: PE-08(01)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to review visitor access records - are defined; - props: - - name: label - value: PE-08(01) - - name: sort-id - value: pe-08.01 - links: - - href: "#pe-8" - rel: required - parts: - - id: pe-8.1_smt - name: statement - prose: "Maintain and review visitor access records using {{ insert:\ - \ param, pe-8.1_prm_1 }}." - - id: pe-8.1_gdn - name: guidance - prose: Visitor access records may be stored and maintained in a - database management system that is accessible by organizational - personnel. Automated access to such records facilitates record - reviews on a regular basis to determine if access authorizations - are current and still required to support organizational mission - and business functions. - - name: objective - props: - - name: label - value: PE-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-08(01)[01] - class: sp800-53A - prose: "visitor access records are maintained using {{ insert:\ - \ param, pe-08.01_odp.01 }};" - - name: objective - props: - - name: label - value: PE-08(01)[02] - class: sp800-53A - prose: "visitor access records are reviewed using {{ insert:\ - \ param, pe-08.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing visitor access records - - - automated mechanisms supporting management of visitor access - records - - - visitor access control logs or records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with visitor access record - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for maintaining and reviewing - visitor access records - - - automated mechanisms supporting and/or implementing maintenance - and review of visitor access records - - id: pe-8.2 - class: SP800-53-enhancement - title: Physical Access Records - props: - - name: label - value: PE-08(02) - - name: sort-id - value: pe-08.02 - - name: status - value: withdrawn - links: - - href: "#pe-2" - rel: incorporated-into - - id: pe-8.3 - class: SP800-53-enhancement - title: Limit Personally Identifiable Information Elements - params: - - id: pe-08.03_odp - props: - - name: legacy-identifier - value: pe-8.3_prm_1 - - name: label - value: PE-08(03)_ODP - label: elements - guidelines: - - prose: elements identified in the privacy risk assessment to - limit personally identifiable information contained in visitor - access logs are defined; - props: - - name: label - value: PE-08(03) - - name: sort-id - value: pe-08.03 - links: - - href: "#pe-8" - rel: required - - href: "#ra-3" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: pe-8.3_smt - name: statement - prose: "Limit personally identifiable information contained in visitor\ - \ access records to the following elements identified in the privacy\ - \ risk assessment: {{ insert: param, pe-08.03_odp }}." - - id: pe-8.3_gdn - name: guidance - prose: Organizations may have requirements that specify the contents - of visitor access records. Limiting personally identifiable information - in visitor access records when such information is not needed - for operational purposes helps reduce the level of privacy risk - created by a system. - - name: objective - props: - - name: label - value: PE-08(03) - class: sp800-53A - prose: "personally identifiable information contained in visitor\ - \ access records is limited to {{ insert: param, pe-08.03_odp\ - \ }} identified in the privacy risk assessment." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - personally identifiable information processing policy - - privacy risk assessment documentation - - privacy impact assessment - - visitor access records - - personally identifiable information inventory - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with visitor access records - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for maintaining and reviewing - visitor access records - - id: pe-9 - class: SP800-53 - title: Power Equipment and Cabling - props: - - name: label - value: PE-09 - - name: sort-id - value: pe-09 - links: - - href: "#pe-4" - rel: related - parts: - - id: pe-9_smt - name: statement - prose: Protect power equipment and power cabling for the system from - damage and destruction. - - id: pe-9_gdn - name: guidance - prose: Organizations determine the types of protection necessary for - the power equipment and cabling employed at different locations that - are both internal and external to organizational facilities and environments - of operation. Types of power equipment and cabling include internal - cabling and uninterruptable power sources in offices or data centers, - generators and power cabling outside of buildings, and power sources - for self-contained components such as satellites, vehicles, and other - deployable systems. - - name: objective - props: - - name: label - value: PE-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-09[01] - class: sp800-53A - prose: power equipment for the system is protected from damage and - destruction; - - name: objective - props: - - name: label - value: PE-09[02] - class: sp800-53A - prose: power cabling for the system is protected from damage and - destruction. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing power equipment/cabling protection - - facilities housing power equipment/cabling - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility to protect - power equipment/cabling - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-09-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing protection - of power equipment/cabling - controls: - - id: pe-9.1 - class: SP800-53-enhancement - title: Redundant Cabling - params: - - id: pe-09.01_odp - props: - - name: legacy-identifier - value: pe-9.1_prm_1 - - name: label - value: PE-09(01)_ODP - label: distance - guidelines: - - prose: distance by which redundant power cabling paths are to - be physically separated is defined; - props: - - name: label - value: PE-09(01) - - name: sort-id - value: pe-09.01 - links: - - href: "#pe-9" - rel: required - parts: - - id: pe-9.1_smt - name: statement - prose: "Employ redundant power cabling paths that are physically\ - \ separated by {{ insert: param, pe-09.01_odp }}." - - id: pe-9.1_gdn - name: guidance - prose: Physically separate and redundant power cables ensure that - power continues to flow in the event that one of the cables is - cut or otherwise damaged. - - name: objective - props: - - name: label - value: PE-09(01) - class: sp800-53A - prose: "redundant power cabling paths that are physically separated\ - \ by {{ insert: param, pe-09.01_odp }} are employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing power equipment/cabling protection - - facilities housing power equipment/cabling - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility to - protect power equipment/cabling - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing protection - of power equipment/cabling - - id: pe-9.2 - class: SP800-53-enhancement - title: Automatic Voltage Controls - params: - - id: pe-09.02_odp - props: - - name: legacy-identifier - value: pe-9.2_prm_1 - - name: label - value: PE-09(02)_ODP - label: critical system components - guidelines: - - prose: the critical system components that require automatic - voltage controls are defined; - props: - - name: label - value: PE-09(02) - - name: sort-id - value: pe-09.02 - links: - - href: "#pe-9" - rel: required - parts: - - id: pe-9.2_smt - name: statement - prose: "Employ automatic voltage controls for {{ insert: param,\ - \ pe-09.02_odp }}." - - id: pe-9.2_gdn - name: guidance - prose: Automatic voltage controls can monitor and control voltage. - Such controls include voltage regulators, voltage conditioners, - and voltage stabilizers. - - name: objective - props: - - name: label - value: PE-09(02) - class: sp800-53A - prose: "automatic voltage controls for {{ insert: param, pe-09.02_odp\ - \ }} are employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing voltage control - - - security plan - - - list of critical system components requiring automatic voltage - controls - - - automatic voltage control mechanisms and associated configurations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - environmental protection of system components - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-09(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing automatic - voltage controls - - id: pe-10 - class: SP800-53 - title: Emergency Shutoff - params: - - id: pe-10_odp.01 - props: - - name: legacy-identifier - value: pe-10_prm_1 - - name: label - value: PE-10_ODP[01] - label: system or individual system components - guidelines: - - prose: system or individual system components that require the capability - to shut off power in emergency situations is/are defined; - - id: pe-10_odp.02 - props: - - name: legacy-identifier - value: pe-10_prm_2 - - name: label - value: PE-10_ODP[02] - label: location - guidelines: - - prose: location of emergency shutoff switches or devices by system - or system component are defined; - props: - - name: label - value: PE-10 - - name: sort-id - value: pe-10 - links: - - href: "#pe-15" - rel: related - parts: - - id: pe-10_smt - name: statement - parts: - - id: pe-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide the capability of shutting off power to {{ insert:\ - \ param, pe-10_odp.01 }} in emergency situations;" - - id: pe-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Place emergency shutoff switches or devices in {{ insert:\ - \ param, pe-10_odp.02 }} to facilitate access for authorized personnel;\ - \ and" - - id: pe-10_smt.c - name: item - props: - - name: label - value: c. - prose: Protect emergency power shutoff capability from unauthorized - activation. - - id: pe-10_gdn - name: guidance - prose: Emergency power shutoff primarily applies to organizational facilities - that contain concentrations of system resources, including data centers, - mainframe computer rooms, server rooms, and areas with computer-controlled - machinery. - - name: objective - props: - - name: label - value: PE-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-10(a) - class: sp800-53A - prose: "the capability to shut off power to {{ insert: param, pe-10_odp.01\ - \ }} in emergency situations is provided;" - - name: objective - props: - - name: label - value: PE-10(b) - class: sp800-53A - prose: "emergency shutoff switches or devices are placed in {{ insert:\ - \ param, pe-10_odp.02 }} to facilitate access for authorized personnel;" - - name: objective - props: - - name: label - value: PE-10(c) - class: sp800-53A - prose: the emergency power shutoff capability is protected from - unauthorized activation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing power source emergency shutoff - - - emergency shutoff controls or switches - - - locations housing emergency shutoff switches and devices - - - security safeguards protecting the emergency power shutoff capability - from unauthorized activation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for the - emergency power shutoff capability (both implementing and - using the capability) - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing emergency - power shutoff - controls: - - id: pe-10.1 - class: SP800-53-enhancement - title: Accidental and Unauthorized Activation - props: - - name: label - value: PE-10(01) - - name: sort-id - value: pe-10.01 - - name: status - value: withdrawn - links: - - href: "#pe-10" - rel: incorporated-into - - id: pe-11 - class: SP800-53 - title: Emergency Power - params: - - id: pe-11_odp - props: - - name: legacy-identifier - value: pe-11_prm_1 - - name: label - value: PE-11_ODP - select: - choice: - - an orderly shutdown of the system - - transition of the system to long-term alternate power - props: - - name: label - value: PE-11 - - name: sort-id - value: pe-11 - links: - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-11_smt - name: statement - prose: "Provide an uninterruptible power supply to facilitate {{ insert:\ - \ param, pe-11_odp }} in the event of a primary power source loss." - - id: pe-11_gdn - name: guidance - prose: An uninterruptible power supply (UPS) is an electrical system - or mechanism that provides emergency power when there is a failure - of the main power source. A UPS is typically used to protect computers, - data centers, telecommunication equipment, or other electrical equipment - where an unexpected power disruption could cause injuries, fatalities, - serious mission or business disruption, or loss of data or information. - A UPS differs from an emergency power system or backup generator in - that the UPS provides near-instantaneous protection from unanticipated - power interruptions from the main power source by providing energy - stored in batteries, supercapacitors, or flywheels. The battery duration - of a UPS is relatively short but provides sufficient time to start - a standby power source, such as a backup generator, or properly shut - down the system. - - name: objective - props: - - name: label - value: PE-11 - class: sp800-53A - prose: "an uninterruptible power supply is provided to facilitate {{\ - \ insert: param, pe-11_odp }} in the event of a primary power source\ - \ loss." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-11-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing emergency power - - uninterruptible power supply - - uninterruptible power supply documentation - - uninterruptible power supply test records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - emergency power and/or planning - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-11-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - uninterruptible power supply - - - the uninterruptable power supply - controls: - - id: pe-11.1 - class: SP800-53-enhancement - title: Alternate Power Supply — Minimal Operational Capability - params: - - id: pe-11.01_odp - props: - - name: legacy-identifier - value: pe-11.1_prm_1 - - name: label - value: PE-11(01)_ODP - select: - choice: - - manually - - automatically - props: - - name: label - value: PE-11(01) - - name: sort-id - value: pe-11.01 - links: - - href: "#pe-11" - rel: required - parts: - - id: pe-11.1_smt - name: statement - prose: "Provide an alternate power supply for the system that is\ - \ activated {{ insert: param, pe-11.01_odp }} and that can maintain\ - \ minimally required operational capability in the event of an\ - \ extended loss of the primary power source." - - id: pe-11.1_gdn - name: guidance - prose: Provision of an alternate power supply with minimal operating - capability can be satisfied by accessing a secondary commercial - power supply or other external power supply. - - name: objective - props: - - name: label - value: PE-11(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-11(01)[01] - class: sp800-53A - prose: "an alternate power supply provided for the system is\ - \ activated {{ insert: param, pe-11.01_odp }};" - - name: objective - props: - - name: label - value: PE-11(01)[02] - class: sp800-53A - prose: the alternate power supply provided for the system can - maintain minimally required operational capability in the - event of an extended loss of the primary power source. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing emergency power - - alternate power supply - - alternate power supply documentation - - alternate power supply test records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - emergency power and/or planning - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - alternate power supply - - - the alternate power supply - - id: pe-11.2 - class: SP800-53-enhancement - title: Alternate Power Supply — Self-contained - params: - - id: pe-11.02_odp.01 - props: - - name: legacy-identifier - value: pe-11.2_prm_1 - - name: label - value: PE-11(02)_ODP[01] - select: - choice: - - manually - - automatically - - id: pe-11.02_odp.02 - props: - - name: legacy-identifier - value: pe-11.2_prm_2 - - name: label - value: PE-11(02)_ODP[02] - select: - choice: - - minimally required operational capability - - full operational capability - props: - - name: label - value: PE-11(02) - - name: sort-id - value: pe-11.02 - links: - - href: "#pe-11" - rel: required - parts: - - id: pe-11.2_smt - name: statement - prose: "Provide an alternate power supply for the system that is\ - \ activated {{ insert: param, pe-11.02_odp.01 }} and that is:" - parts: - - id: pe-11.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Self-contained; - - id: pe-11.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Not reliant on external power generation; and - - id: pe-11.2_smt.c - name: item - props: - - name: label - value: (c) - prose: "Capable of maintaining {{ insert: param, pe-11.02_odp.02\ - \ }} in the event of an extended loss of the primary power\ - \ source." - - id: pe-11.2_gdn - name: guidance - prose: The provision of a long-term, self-contained power supply - can be satisfied by using one or more generators with sufficient - capacity to meet the needs of the organization. - - name: objective - props: - - name: label - value: PE-11(02) - class: sp800-53A - prose: "an alternate power supply provided for the system is activated\ - \ {{ insert: param, pe-11.02_odp.01 }};" - parts: - - name: objective - props: - - name: label - value: PE-11(02)(a) - class: sp800-53A - prose: the alternate power supply provided for the system is - self-contained; - - name: objective - props: - - name: label - value: PE-11(02)(b) - class: sp800-53A - prose: the alternate power supply provided for the system is - not reliant on external power generation; - - name: objective - props: - - name: label - value: PE-11(02)(c) - class: sp800-53A - prose: "the alternate power supply provided for the system is\ - \ capable of maintaining {{ insert: param, pe-11.02_odp.02\ - \ }} in the event of an extended loss of the primary power\ - \ source." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-11(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing emergency power - - alternate power supply - - alternate power supply documentation - - alternate power supply test records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-11(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - emergency power and/or planning - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-11(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - alternate power supply - - - the alternate power supply - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - props: - - name: label - value: PE-12 - - name: sort-id - value: pe-12 - links: - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-12_smt - name: statement - prose: Employ and maintain automatic emergency lighting for the system - that activates in the event of a power outage or disruption and that - covers emergency exits and evacuation routes within the facility. - - id: pe-12_gdn - name: guidance - prose: The provision of emergency lighting applies primarily to organizational - facilities that contain concentrations of system resources, including - data centers, server rooms, and mainframe computer rooms. Emergency - lighting provisions for the system are described in the contingency - plan for the organization. If emergency lighting for the system fails - or cannot be provided, organizations consider alternate processing - sites for power-related contingencies. - - name: objective - props: - - name: label - value: PE-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-12[01] - class: sp800-53A - prose: automatic emergency lighting that activates in the event - of a power outage or disruption is employed for the system; - - name: objective - props: - - name: label - value: PE-12[02] - class: sp800-53A - prose: automatic emergency lighting that activates in the event - of a power outage or disruption is maintained for the system; - - name: objective - props: - - name: label - value: PE-12[03] - class: sp800-53A - prose: automatic emergency lighting for the system covers emergency - exits within the facility; - - name: objective - props: - - name: label - value: PE-12[04] - class: sp800-53A - prose: automatic emergency lighting for the system covers evacuation - routes within the facility. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-12-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing emergency lighting - - emergency lighting documentation - - emergency lighting test records - - emergency exits and evacuation routes - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - emergency lighting and/or planning - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the emergency - lighting capability - controls: - - id: pe-12.1 - class: SP800-53-enhancement - title: Essential Mission and Business Functions - props: - - name: label - value: PE-12(01) - - name: sort-id - value: pe-12.01 - links: - - href: "#pe-12" - rel: required - parts: - - id: pe-12.1_smt - name: statement - prose: Provide emergency lighting for all areas within the facility - supporting essential mission and business functions. - - id: pe-12.1_gdn - name: guidance - prose: Organizations define their essential missions and functions. - - name: objective - props: - - name: label - value: PE-12(01) - class: sp800-53A - prose: emergency lighting is provided for all areas within the facility - supporting essential mission and business functions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing emergency lighting - - - emergency lighting documentation - - - emergency lighting test records - - - emergency exits and evacuation routes - - - areas/locations within facility supporting essential missions - and business functions - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - emergency lighting and/or planning - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - emergency lighting capability - - id: pe-13 - class: SP800-53 - title: Fire Protection - props: - - name: label - value: PE-13 - - name: sort-id - value: pe-13 - links: - - href: "#at-3" - rel: related - parts: - - id: pe-13_smt - name: statement - prose: Employ and maintain fire detection and suppression systems that - are supported by an independent energy source. - - id: pe-13_gdn - name: guidance - prose: The provision of fire detection and suppression systems applies - primarily to organizational facilities that contain concentrations - of system resources, including data centers, server rooms, and mainframe - computer rooms. Fire detection and suppression systems that may require - an independent energy source include sprinkler systems and smoke detectors. - An independent energy source is an energy source, such as a microgrid, - that is separate, or can be separated, from the energy sources providing - power for the other parts of the facility. - - name: objective - props: - - name: label - value: PE-13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-13[01] - class: sp800-53A - prose: fire detection systems are employed by an independent energy - source; - - name: objective - props: - - name: label - value: PE-13[02] - class: sp800-53A - prose: fire detection systems are maintained by an independent energy - source; - - name: objective - props: - - name: label - value: PE-13[03] - class: sp800-53A - prose: fire suppression systems are employed by an independent energy - source; - - name: objective - props: - - name: label - value: PE-13[04] - class: sp800-53A - prose: fire suppression systems are maintained by an independent - energy source. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-13-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing fire protection - - - fire suppression and detection devices/systems - - - fire suppression and detection devices/systems documentation - - - test records of fire suppression and detection devices/systems - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for fire - detection and suppression devices/systems - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-13-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing fire - suppression/detection devices/systems - controls: - - id: pe-13.1 - class: SP800-53-enhancement - title: Detection Systems — Automatic Activation and Notification - params: - - id: pe-13.01_odp.01 - props: - - name: legacy-identifier - value: pe-13.1_prm_1 - - name: label - value: PE-13(01)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified in the event of a fire - is/are defined; - - id: pe-13.01_odp.02 - props: - - name: legacy-identifier - value: pe-13.1_prm_2 - - name: label - value: PE-13(01)_ODP[02] - label: emergency responders - guidelines: - - prose: emergency responders to be notified in the event of a - fire are defined; - props: - - name: label - value: PE-13(01) - - name: sort-id - value: pe-13.01 - links: - - href: "#pe-13" - rel: required - parts: - - id: pe-13.1_smt - name: statement - prose: "Employ fire detection systems that activate automatically\ - \ and notify {{ insert: param, pe-13.01_odp.01 }} and {{ insert:\ - \ param, pe-13.01_odp.02 }} in the event of a fire." - - id: pe-13.1_gdn - name: guidance - prose: Organizations can identify personnel, roles, and emergency - responders if individuals on the notification list need to have - access authorizations or clearances (e.g., to enter to facilities - where access is restricted due to the classification or impact - level of information within the facility). Notification mechanisms - may require independent energy sources to ensure that the notification - capability is not adversely affected by the fire. - - name: objective - props: - - name: label - value: PE-13(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-13(01)[01] - class: sp800-53A - prose: fire detection systems that activate automatically are - employed in the event of a fire; - - name: objective - props: - - name: label - value: PE-13(01)[02] - class: sp800-53A - prose: "fire detection systems that notify {{ insert: param,\ - \ pe-13.01_odp.01 }} automatically are employed in the event\ - \ of a fire;" - - name: objective - props: - - name: label - value: PE-13(01)[03] - class: sp800-53A - prose: "fire detection systems that notify {{ insert: param,\ - \ pe-13.01_odp.02 }} automatically are employed in the event\ - \ of a fire." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-13(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing fire protection - - - facility housing the information system - - - alarm service-level agreements - - - test records of fire suppression and detection devices/systems - - - fire suppression and detection devices/systems documentation - - - alerts/notifications of fire events - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-13(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for fire - detection and suppression devices/systems - - - organizational personnel with responsibilities for notifying - appropriate personnel, roles, and emergency responders of - fires - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-13(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing fire - detection devices/systems - - - activation of fire detection devices/systems (simulated) - - - automated notifications - - id: pe-13.2 - class: SP800-53-enhancement - title: Suppression Systems — Automatic Activation and Notification - params: - - id: pe-13.02_odp.01 - props: - - name: legacy-identifier - value: pe-13.2_prm_1 - - name: label - value: PE-13(02)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified in the event of a fire - is/are defined; - - id: pe-13.02_odp.02 - props: - - name: legacy-identifier - value: pe-13.2_prm_2 - - name: label - value: PE-13(02)_ODP[02] - label: emergency responders - guidelines: - - prose: emergency responders to be notified in the event of a - fire are defined; - props: - - name: label - value: PE-13(02) - - name: sort-id - value: pe-13.02 - links: - - href: "#pe-13" - rel: required - parts: - - id: pe-13.2_smt - name: statement - parts: - - id: pe-13.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ fire suppression systems that activate automatically\ - \ and notify {{ insert: param, pe-13.02_odp.01 }} and {{ insert:\ - \ param, pe-13.02_odp.02 }} ; and" - - id: pe-13.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ an automatic fire suppression capability when - the facility is not staffed on a continuous basis. - - id: pe-13.2_gdn - name: guidance - prose: Organizations can identify specific personnel, roles, and - emergency responders if individuals on the notification list need - to have appropriate access authorizations and/or clearances (e.g., - to enter to facilities where access is restricted due to the impact - level or classification of information within the facility). Notification - mechanisms may require independent energy sources to ensure that - the notification capability is not adversely affected by the fire. - - name: objective - props: - - name: label - value: PE-13(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-13(02)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-13(02)(a)[01] - class: sp800-53A - prose: fire suppression systems that activate automatically - are employed; - - name: objective - props: - - name: label - value: PE-13(02)(a)[02] - class: sp800-53A - prose: "fire suppression systems that notify {{ insert:\ - \ param, pe-13.02_odp.01 }} automatically are employed;" - - name: objective - props: - - name: label - value: PE-13(02)(a)[03] - class: sp800-53A - prose: "fire suppression systems that notify {{ insert:\ - \ param, pe-13.02_odp.02 }} automatically are employed;" - - name: objective - props: - - name: label - value: PE-13(02)(b) - class: sp800-53A - prose: an automatic fire suppression capability is employed - when the facility is not staffed on a continuous basis. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-13(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing fire protection - - - fire suppression and detection devices/systems documentation - - - facility housing the system - - - alarm service-level agreements - - - test records of fire suppression and detection devices/systems - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-13(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for fire - detection and suppression devices/systems - - - organizational personnel with responsibilities for providing - automatic notifications of any activation of fire suppression - devices/systems to appropriate personnel, roles, and emergency - responders - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-13(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing fire - suppression devices/systems - - - activation of fire suppression devices/systems (simulated) - - - automated notifications - - id: pe-13.3 - class: SP800-53-enhancement - title: Automatic Fire Suppression - props: - - name: label - value: PE-13(03) - - name: sort-id - value: pe-13.03 - - name: status - value: withdrawn - links: - - href: "#pe-13.2" - rel: incorporated-into - - id: pe-13.4 - class: SP800-53-enhancement - title: Inspections - params: - - id: pe-13.04_odp.01 - props: - - name: legacy-identifier - value: pe-13.4_prm_1 - - name: label - value: PE-13(04)_ODP[01] - label: frequency - guidelines: - - prose: the frequency for conducting fire protection inspections - on the facility is defined; - - id: pe-13.04_odp.02 - props: - - name: legacy-identifier - value: pe-13.4_prm_2 - - name: label - value: PE-13(04)_ODP[02] - label: time period - guidelines: - - prose: a time period for resolving deficiencies identified by - fire protection inspections is defined; - props: - - name: label - value: PE-13(04) - - name: sort-id - value: pe-13.04 - links: - - href: "#pe-13" - rel: required - parts: - - id: pe-13.4_smt - name: statement - prose: "Ensure that the facility undergoes {{ insert: param, pe-13.04_odp.01\ - \ }} fire protection inspections by authorized and qualified inspectors\ - \ and identified deficiencies are resolved within {{ insert: param,\ - \ pe-13.04_odp.02 }}." - - id: pe-13.4_gdn - name: guidance - prose: Authorized and qualified personnel within the jurisdiction - of the organization include state, county, and city fire inspectors - and fire marshals. Organizations provide escorts during inspections - in situations where the systems that reside within the facilities - contain sensitive information. - - name: objective - props: - - name: label - value: PE-13(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-13(04)[01] - class: sp800-53A - prose: "the facility undergoes fire protection inspections {{\ - \ insert: param, pe-13.04_odp.01 }} by authorized and qualified\ - \ inspectors;" - - name: objective - props: - - name: label - value: PE-13(04)[02] - class: sp800-53A - prose: "the identified deficiencies from fire protection inspections\ - \ are resolved within {{ insert: param, pe-13.04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-13(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing fire protection - - - facility housing the system - - - inspection plans - - - inspection results - - - inspect reports - - - test records of fire suppression and detection devices/systems - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-13(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - planning, approving, and executing fire inspections - - - organizational personnel with information security responsibilities - - id: pe-14 - class: SP800-53 - title: Environmental Controls - params: - - id: pe-14_odp.01 - props: - - name: legacy-identifier - value: pe-14_prm_1 - - name: label - value: PE-14_ODP[01] - select: - how-many: one-or-more - choice: - - temperature - - humidity - - pressure - - radiation - - " {{ insert: param, pe-14_odp.02 }} " - - id: pe-14_odp.02 - props: - - name: legacy-identifier - value: pe-14_prm_2 - - name: label - value: PE-14_ODP[02] - label: environmental control - guidelines: - - prose: environmental control levels to be maintained in the facility - where the system resides are defined (if selected); - - id: pe-14_odp.03 - props: - - name: legacy-identifier - value: pe-14_prm_3 - - name: label - value: PE-14_ODP[03] - label: acceptable levels - guidelines: - - prose: acceptable levels for environmental controls are defined; - - id: pe-14_odp.04 - props: - - name: legacy-identifier - value: pe-14_prm_4 - - name: label - value: PE-14_ODP[04] - label: frequency - guidelines: - - prose: frequency at which to monitor environmental control levels - is defined; - props: - - name: label - value: PE-14 - - name: sort-id - value: pe-14 - links: - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - parts: - - id: pe-14_smt - name: statement - parts: - - id: pe-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Maintain {{ insert: param, pe-14_odp.01 }} levels within\ - \ the facility where the system resides at {{ insert: param, pe-14_odp.03\ - \ }} ; and" - - id: pe-14_smt.b - name: item - props: - - name: label - value: b. - prose: "Monitor environmental control levels {{ insert: param, pe-14_odp.04\ - \ }}." - - id: pe-14_gdn - name: guidance - prose: The provision of environmental controls applies primarily to - organizational facilities that contain concentrations of system resources - (e.g., data centers, mainframe computer rooms, and server rooms). - Insufficient environmental controls, especially in very harsh environments, - can have a significant adverse impact on the availability of systems - and system components that are needed to support organizational mission - and business functions. - - name: objective - props: - - name: label - value: PE-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-14a. - class: sp800-53A - prose: "{{ insert: param, pe-14_odp.01 }} levels are maintained\ - \ at {{ insert: param, pe-14_odp.03 }} within the facility where\ - \ the system resides;" - - name: objective - props: - - name: label - value: PE-14b. - class: sp800-53A - prose: "environmental control levels are monitored {{ insert: param,\ - \ pe-14_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-14-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing temperature and humidity control - - temperature and humidity controls - - facility housing the system - - temperature and humidity controls documentation - - temperature and humidity records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for system - environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-14-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the maintenance - and monitoring of temperature and humidity levels - controls: - - id: pe-14.1 - class: SP800-53-enhancement - title: Automatic Controls - params: - - id: pe-14.01_odp - props: - - name: legacy-identifier - value: pe-14.1_prm_1 - - name: label - value: PE-14(01)_ODP - label: automatic environmental controls - guidelines: - - prose: automatic environmental controls to prevent fluctuations - that are potentially harmful to the system are defined; - props: - - name: label - value: PE-14(01) - - name: sort-id - value: pe-14.01 - links: - - href: "#pe-14" - rel: required - parts: - - id: pe-14.1_smt - name: statement - prose: "Employ the following automatic environmental controls in\ - \ the facility to prevent fluctuations potentially harmful to\ - \ the system: {{ insert: param, pe-14.01_odp }}." - - id: pe-14.1_gdn - name: guidance - prose: The implementation of automatic environmental controls provides - an immediate response to environmental conditions that can damage, - degrade, or destroy organizational systems or systems components. - - name: objective - props: - - name: label - value: PE-14(01) - class: sp800-53A - prose: "{{ insert: param, pe-14.01_odp }} are employed in the facility\ - \ to prevent fluctuations that are potentially harmful to the\ - \ system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-14(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing temperature and humidity controls - - facility housing the system - - automated mechanisms for temperature and humidity - - temperature and humidity controls - - temperature and humidity documentation - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-14(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - system environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-14(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing temperature - and humidity levels - - id: pe-14.2 - class: SP800-53-enhancement - title: Monitoring with Alarms and Notifications - params: - - id: pe-14.02_odp - props: - - name: legacy-identifier - value: pe-14.2_prm_1 - - name: label - value: PE-14(02)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified by environmental control - monitoring when environmental changes are potentially harmful - to personnel or equipment is/are defined; - props: - - name: label - value: PE-14(02) - - name: sort-id - value: pe-14.02 - links: - - href: "#pe-14" - rel: required - parts: - - id: pe-14.2_smt - name: statement - prose: "Employ environmental control monitoring that provides an\ - \ alarm or notification of changes potentially harmful to personnel\ - \ or equipment to {{ insert: param, pe-14.02_odp }}." - - id: pe-14.2_gdn - name: guidance - prose: The alarm or notification may be an audible alarm or a visual - message in real time to personnel or roles defined by the organization. - Such alarms and notifications can help minimize harm to individuals - and damage to organizational assets by facilitating a timely incident - response. - - name: objective - props: - - name: label - value: PE-14(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-14(02)[01] - class: sp800-53A - prose: environmental control monitoring is employed; - - name: objective - props: - - name: label - value: PE-14(02)[02] - class: sp800-53A - prose: "the environmental control monitoring capability provides\ - \ an alarm or notification to {{ insert: param, pe-14.02_odp\ - \ }} when changes are potentially harmful to personnel or\ - \ equipment." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-14(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing temperature and humidity monitoring - - - facility housing the system - - - logs or records of temperature and humidity monitoring - - - records of changes to temperature and humidity levels that - generate alarms or notifications - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-14(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - system environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-14(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing temperature - and humidity monitoring - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - props: - - name: label - value: PE-15 - - name: sort-id - value: pe-15 - links: - - href: "#at-3" - rel: related - - href: "#pe-10" - rel: related - parts: - - id: pe-15_smt - name: statement - prose: Protect the system from damage resulting from water leakage by - providing master shutoff or isolation valves that are accessible, - working properly, and known to key personnel. - - id: pe-15_gdn - name: guidance - prose: The provision of water damage protection primarily applies to - organizational facilities that contain concentrations of system resources, - including data centers, server rooms, and mainframe computer rooms. - Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern - without affecting entire organizations. - - name: objective - props: - - name: label - value: PE-15 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-15[01] - class: sp800-53A - prose: the system is protected from damage resulting from water - leakage by providing master shutoff or isolation valves; - - name: objective - props: - - name: label - value: PE-15[02] - class: sp800-53A - prose: the master shutoff or isolation valves are accessible; - - name: objective - props: - - name: label - value: PE-15[03] - class: sp800-53A - prose: the master shutoff or isolation valves are working properly; - - name: objective - props: - - name: label - value: PE-15[04] - class: sp800-53A - prose: the master shutoff or isolation valves are known to key personnel. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-15-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing water damage protection - - - facility housing the system - - - master shutoff valves - - - list of key personnel with knowledge of location and activation - procedures for master shutoff valves for the plumbing system - - - master shutoff valve documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-15-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for system - environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-15-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Master water-shutoff valves - - organizational process for activating master water shutoff - controls: - - id: pe-15.1 - class: SP800-53-enhancement - title: Automation Support - params: - - id: pe-15.01_odp.01 - props: - - name: legacy-identifier - value: pe-15.1_prm_1 - - name: label - value: PE-15(01)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted when the presence of - water is detected near the system is/are defined; - - id: pe-15.01_odp.02 - props: - - name: legacy-identifier - value: pe-15.1_prm_2 - - name: label - value: PE-15(01)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to detect the presence of water - near the system are defined; - props: - - name: label - value: PE-15(01) - - name: sort-id - value: pe-15.01 - links: - - href: "#pe-15" - rel: required - parts: - - id: pe-15.1_smt - name: statement - prose: "Detect the presence of water near the system and alert {{\ - \ insert: param, pe-15.01_odp.01 }} using {{ insert: param, pe-15.01_odp.02\ - \ }}." - - id: pe-15.1_gdn - name: guidance - prose: Automated mechanisms include notification systems, water - detection sensors, and alarms. - - name: objective - props: - - name: label - value: PE-15(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-15(01)[01] - class: sp800-53A - prose: the presence of water near the system can be detected - automatically; - - name: objective - props: - - name: label - value: PE-15(01)[02] - class: sp800-53A - prose: "{{ insert: param, pe-15.01_odp.01 }} is/are alerted\ - \ using {{ insert: param, pe-15.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-15(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing water damage protection - - - facility housing the system - - - automated mechanisms for water shutoff valves - - - automated mechanisms for detecting the presence of water in - the vicinity of the system - - - alerts/notifications of water detection in system facility - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-15(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - system environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-15(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing water - detection capabilities and alerts for the system - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - params: - - id: pe-16_prm_1 - props: - - name: aggregates - value: pe-16_odp.01 - label: organization-defined types of system components - - id: pe-16_odp.01 - props: - - name: label - value: PE-16_ODP[01] - label: types of system components - guidelines: - - prose: types of system components to be authorized and controlled - when entering the facility are defined; - - id: pe-16_odp.02 - props: - - name: label - value: PE-16_ODP[02] - label: types of system components - guidelines: - - prose: types of system components to be authorized and controlled - when exiting the facility are defined; - props: - - name: label - value: PE-16 - - name: sort-id - value: pe-16 - links: - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-20" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: pe-16_smt - name: statement - parts: - - id: pe-16_smt.a - name: item - props: - - name: label - value: a. - prose: "Authorize and control {{ insert: param, pe-16_prm_1 }} entering\ - \ and exiting the facility; and" - - id: pe-16_smt.b - name: item - props: - - name: label - value: b. - prose: Maintain records of the system components. - - id: pe-16_gdn - name: guidance - prose: Enforcing authorizations for entry and exit of system components - may require restricting access to delivery areas and isolating the - areas from the system and media libraries. - - name: objective - props: - - name: label - value: PE-16 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-16a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-16a.[01] - class: sp800-53A - prose: "{{ insert: param, pe-16_odp.01 }} are authorized when\ - \ entering the facility;" - - name: objective - props: - - name: label - value: PE-16a.[02] - class: sp800-53A - prose: "{{ insert: param, pe-16_odp.01 }} are controlled when\ - \ entering the facility;" - - name: objective - props: - - name: label - value: PE-16a.[03] - class: sp800-53A - prose: "{{ insert: param, pe-16_odp.02 }} are authorized when\ - \ exiting the facility;" - - name: objective - props: - - name: label - value: PE-16a.[04] - class: sp800-53A - prose: "{{ insert: param, pe-16_odp.02 }} are controlled when\ - \ exiting the facility;" - - name: objective - props: - - name: label - value: PE-16b. - class: sp800-53A - prose: records of the system components are maintained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing the delivery and removal of system components - from the facility - - - facility housing the system - - - records of items entering and exiting the facility - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - controlling system components entering and exiting the - facility - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-16-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for authorizing, monitoring, and - controlling system-related items entering and exiting the - facility - - - automated mechanisms supporting and/or implementing, authorizing, - monitoring, and controlling system-related items entering and - exiting the facility - - id: pe-17 - class: SP800-53 - title: Alternate Work Site - params: - - id: pe-17_odp.01 - props: - - name: legacy-identifier - value: pe-17_prm_1 - - name: label - value: PE-17_ODP[01] - label: alternate work sites - guidelines: - - prose: alternate work sites allowed for use by employees are defined; - - id: pe-17_odp.02 - props: - - name: legacy-identifier - value: pe-17_prm_2 - - name: label - value: PE-17_ODP[02] - label: controls - guidelines: - - prose: controls to be employed at alternate work sites are defined; - props: - - name: label - value: PE-17 - - name: sort-id - value: pe-17 - links: - - href: "#83b9d63b-66b1-467c-9f3b-3a0b108771e9" - rel: reference - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-17_smt - name: statement - parts: - - id: pe-17_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine and document the {{ insert: param, pe-17_odp.01\ - \ }} allowed for use by employees;" - - id: pe-17_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following controls at alternate work sites: {{\ - \ insert: param, pe-17_odp.02 }};" - - id: pe-17_smt.c - name: item - props: - - name: label - value: c. - prose: Assess the effectiveness of controls at alternate work sites; - and - - id: pe-17_smt.d - name: item - props: - - name: label - value: d. - prose: Provide a means for employees to communicate with information - security and privacy personnel in case of incidents. - - id: pe-17_gdn - name: guidance - prose: Alternate work sites include government facilities or the private - residences of employees. While distinct from alternative processing - sites, alternate work sites can provide readily available alternate - locations during contingency operations. Organizations can define - different sets of controls for specific alternate work sites or types - of sites depending on the work-related activities conducted at the - sites. Implementing and assessing the effectiveness of organization-defined - controls and providing a means to communicate incidents at alternate - work sites supports the contingency planning activities of organizations. - - name: objective - props: - - name: label - value: PE-17 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-17a. - class: sp800-53A - prose: "{{ insert: param, pe-17_odp.01 }} are determined and documented;" - - name: objective - props: - - name: label - value: PE-17b. - class: sp800-53A - prose: "{{ insert: param, pe-17_odp.02 }} are employed at alternate\ - \ work sites;" - - name: objective - props: - - name: label - value: PE-17c. - class: sp800-53A - prose: the effectiveness of controls at alternate work sites is - assessed; - - name: objective - props: - - name: label - value: PE-17d. - class: sp800-53A - prose: a means for employees to communicate with information security - and privacy personnel in case of incidents is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-17-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing alternate work sites for organizational - personnel - - - list of security controls required for alternate work sites - - - assessments of security controls at alternate work sites - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel approving the use of alternate work - sites - - - organizational personnel using alternate work sites - - - organizational personnel assessing controls at alternate work - sites - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-17-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for security and privacy at - alternate work sites - - - automated mechanisms supporting alternate work sites - - - security and privacy controls employed at alternate work sites - - - means of communication between personnel at alternate work sites - and security and privacy personnel - - id: pe-18 - class: SP800-53 - title: Location of System Components - params: - - id: pe-18_odp - props: - - name: legacy-identifier - value: pe-18_prm_1 - - name: label - value: PE-18_ODP - label: physical and environmental hazards - guidelines: - - prose: physical and environmental hazards that could result in potential - damage to system components within the facility are defined; - props: - - name: label - value: PE-18 - - name: sort-id - value: pe-18 - links: - - href: "#cp-2" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-19" - rel: related - - href: "#pe-20" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: pe-18_smt - name: statement - prose: "Position system components within the facility to minimize potential\ - \ damage from {{ insert: param, pe-18_odp }} and to minimize the opportunity\ - \ for unauthorized access." - - id: pe-18_gdn - name: guidance - prose: Physical and environmental hazards include floods, fires, tornadoes, - earthquakes, hurricanes, terrorism, vandalism, an electromagnetic - pulse, electrical interference, and other forms of incoming electromagnetic - radiation. Organizations consider the location of entry points where - unauthorized individuals, while not being granted access, might nonetheless - be near systems. Such proximity can increase the risk of unauthorized - access to organizational communications using wireless packet sniffers - or microphones, or unauthorized disclosure of information. - - name: objective - props: - - name: label - value: PE-18 - class: sp800-53A - prose: "system components are positioned within the facility to minimize\ - \ potential damage from {{ insert: param, pe-18_odp }} and to minimize\ - \ the opportunity for unauthorized access." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-18-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing the positioning of system components - - - documentation providing the location and position of system components - within the facility - - - locations housing system components within the facility - - - list of physical and environmental hazards with the potential - to damage system components within the facility - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-18-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - positioning system components - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-18-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for positioning system components - controls: - - id: pe-18.1 - class: SP800-53-enhancement - title: Facility Site - props: - - name: label - value: PE-18(01) - - name: sort-id - value: pe-18.01 - - name: status - value: withdrawn - links: - - href: "#pe-23" - rel: moved-to - - id: pe-19 - class: SP800-53 - title: Information Leakage - props: - - name: label - value: PE-19 - - name: sort-id - value: pe-19 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#ac-18" - rel: related - - href: "#pe-18" - rel: related - - href: "#pe-20" - rel: related - parts: - - id: pe-19_smt - name: statement - prose: Protect the system from information leakage due to electromagnetic - signals emanations. - - id: pe-19_gdn - name: guidance - prose: Information leakage is the intentional or unintentional release - of data or information to an untrusted environment from electromagnetic - signals emanations. The security categories or classifications of - systems (with respect to confidentiality), organizational security - policies, and risk tolerance guide the selection of controls employed - to protect systems against information leakage due to electromagnetic - signals emanations. - - name: objective - props: - - name: label - value: PE-19 - class: sp800-53A - prose: the system is protected from information leakage due to electromagnetic - signal emanations. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-19-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing information leakage due to electromagnetic - signal emanations - - - mechanisms protecting the system against electronic signal emanations - - - facility housing the system - - - records from electromagnetic signal emanation tests - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-19-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for system - environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-19-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing protection - from information leakage due to electromagnetic signal emanations - controls: - - id: pe-19.1 - class: SP800-53-enhancement - title: National Emissions Policies and Procedures - props: - - name: label - value: PE-19(01) - - name: sort-id - value: pe-19.01 - links: - - href: "#pe-19" - rel: required - parts: - - id: pe-19.1_smt - name: statement - prose: Protect system components, associated data communications, - and networks in accordance with national Emissions Security policies - and procedures based on the security category or classification - of the information. - - id: pe-19.1_gdn - name: guidance - prose: Emissions Security (EMSEC) policies include the former TEMPEST - policies. - - name: objective - props: - - name: label - value: PE-19(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-19(01)[01] - class: sp800-53A - prose: system components are protected in accordance with national - emissions security policies and procedures based on the security - category or classification of the information; - - name: objective - props: - - name: label - value: PE-19(01)[02] - class: sp800-53A - prose: associated data communications are protected in accordance - with national emissions security policies and procedures based - on the security category or classification of the information; - - name: objective - props: - - name: label - value: PE-19(01)[03] - class: sp800-53A - prose: networks are protected in accordance with national emissions - security policies and procedures based on the security category - or classification of the information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-19(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing information leakage that comply with - national emissions and TEMPEST policies and procedures - - - system component design documentation - - - system configuration settings and associated documentation - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-19(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - system environmental controls - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-19(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Information system components for compliance with national - emissions and TEMPEST policies and procedures - - id: pe-20 - class: SP800-53 - title: Asset Monitoring and Tracking - params: - - id: pe-20_odp.01 - props: - - name: legacy-identifier - value: pe-20_prm_1 - - name: label - value: PE-20_ODP[01] - label: asset location technologies - guidelines: - - prose: asset location technologies to be employed to track and monitor - the location and movement of assets is defined; - - id: pe-20_odp.02 - props: - - name: legacy-identifier - value: pe-20_prm_2 - - name: label - value: PE-20_ODP[02] - label: assets - guidelines: - - prose: assets whose location and movement are to be tracked and - monitored are defined; - - id: pe-20_odp.03 - props: - - name: legacy-identifier - value: pe-20_prm_3 - - name: label - value: PE-20_ODP[03] - label: controlled areas - guidelines: - - prose: controlled areas within which asset location and movement - are to be tracked and monitored are defined; - props: - - name: label - value: PE-20 - - name: sort-id - value: pe-20 - links: - - href: "#cm-8" - rel: related - - href: "#pe-16" - rel: related - - href: "#pm-8" - rel: related - parts: - - id: pe-20_smt - name: statement - prose: "Employ {{ insert: param, pe-20_odp.01 }} to track and monitor\ - \ the location and movement of {{ insert: param, pe-20_odp.02 }} within\ - \ {{ insert: param, pe-20_odp.03 }}." - - id: pe-20_gdn - name: guidance - prose: Asset location technologies can help ensure that critical assets—including - vehicles, equipment, and system components—remain in authorized locations. - Organizations consult with the Office of the General Counsel and senior - agency official for privacy regarding the deployment and use of asset - location technologies to address potential privacy concerns. - - name: objective - props: - - name: label - value: PE-20 - class: sp800-53A - prose: "{{ insert: param, pe-20_odp.01 }} are employed to track and\ - \ monitor the location and movement of {{ insert: param, pe-20_odp.02\ - \ }} within {{ insert: param, pe-20_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing asset monitoring and tracking - - - documentation showing the use of asset location technologies - - - system configuration documentation - - - list of organizational assets requiring tracking and monitoring - - - asset monitoring and tracking records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with asset monitoring and tracking - responsibilities - - - legal counsel - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-20-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for tracking and monitoring assets - - - automated mechanisms supporting and/or implementing the tracking - and monitoring of assets - - id: pe-21 - class: SP800-53 - title: Electromagnetic Pulse Protection - params: - - id: pe-21_odp.01 - props: - - name: legacy-identifier - value: pe-21_prm_1 - - name: label - value: PE-21_ODP[01] - label: protective measures - guidelines: - - prose: protective measures to be employed against electromagnetic - pulse damage are defined; - - id: pe-21_odp.02 - props: - - name: legacy-identifier - value: pe-21_prm_2 - - name: label - value: PE-21_ODP[02] - label: system and system components - guidelines: - - prose: system and system components requiring protection against - electromagnetic pulse damage are defined; - props: - - name: label - value: PE-21 - - name: sort-id - value: pe-21 - links: - - href: "#pe-18" - rel: related - - href: "#pe-19" - rel: related - parts: - - id: pe-21_smt - name: statement - prose: "Employ {{ insert: param, pe-21_odp.01 }} against electromagnetic\ - \ pulse damage for {{ insert: param, pe-21_odp.02 }}." - - id: pe-21_gdn - name: guidance - prose: An electromagnetic pulse (EMP) is a short burst of electromagnetic - energy that is spread over a range of frequencies. Such energy bursts - may be natural or man-made. EMP interference may be disruptive or - damaging to electronic equipment. Protective measures used to mitigate - EMP risk include shielding, surge suppressors, ferro-resonant transformers, - and earth grounding. EMP protection may be especially significant - for systems and applications that are part of the U.S. critical infrastructure. - - name: objective - props: - - name: label - value: PE-21 - class: sp800-53A - prose: "{{ insert: param, pe-21_odp.01 }} are employed against electromagnetic\ - \ pulse damage for {{ insert: param, pe-21_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-21-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Physical and environmental protection policy - - - procedures addressing protective measures to mitigate EMP risk - to systems and components - - - documentation detailing protective measures to mitigate EMP risk - - - list of locations where protective measures to mitigate EMP risk - are implemented - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for physical - and environmental protection - - - system developers/integrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-21-Test - class: sp800-53A - parts: - - name: objects - prose: Mechanisms for mitigating EMP risk - - id: pe-22 - class: SP800-53 - title: Component Marking - params: - - id: pe-22_odp - props: - - name: legacy-identifier - value: pe-22_prm_1 - - name: label - value: PE-22_ODP - label: system hardware components - guidelines: - - prose: system hardware components to be marked indicating the impact - level or classification level of the information permitted to - be processed, stored, or transmitted by the hardware component - are defined; - props: - - name: label - value: PE-22 - - name: sort-id - value: pe-22 - links: - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - - href: "#mp-3" - rel: related - parts: - - id: pe-22_smt - name: statement - prose: "Mark {{ insert: param, pe-22_odp }} indicating the impact level\ - \ or classification level of the information permitted to be processed,\ - \ stored, or transmitted by the hardware component." - - id: pe-22_gdn - name: guidance - prose: Hardware components that may require marking include input and - output devices. Input devices include desktop and notebook computers, - keyboards, tablets, and smart phones. Output devices include printers, - monitors/video displays, facsimile machines, scanners, copiers, and - audio devices. Permissions controlling output to the output devices - are addressed in [AC-3](#ac-3) or [AC-4](#ac-4) . Components are marked - to indicate the impact level or classification level of the system - to which the devices are connected, or the impact level or classification - level of the information permitted to be output. Security marking - refers to the use of human-readable security attributes. Security - labeling refers to the use of security attributes for internal system - data structures. Security marking is generally not required for hardware - components that process, store, or transmit information determined - by organizations to be in the public domain or to be publicly releasable. - However, organizations may require markings for hardware components - that process, store, or transmit public information in order to indicate - that such information is publicly releasable. Marking of system hardware - components reflects applicable laws, executive orders, directives, - policies, regulations, and standards. - - name: objective - props: - - name: label - value: PE-22 - class: sp800-53A - prose: "{{ insert: param, pe-22_odp }} are marked indicating the impact\ - \ level or classification level of the information permitted to be\ - \ processed, stored, or transmitted by the hardware component." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-22-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - procedures addressing component marking - - list of component marking security attributes - - component inventory - - information types and their impact/classification level - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with component marking - responsibilities - - - organizational personnel with component inventory responsibilities - - - organizational personnel with information categorization/classification - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-22-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for component marking - - - automated mechanisms supporting and/or implementing component - marking - - id: pe-23 - class: SP800-53 - title: Facility Location - props: - - name: label - value: PE-23 - - name: sort-id - value: pe-23 - links: - - href: "#cp-2" - rel: related - - href: "#pe-18" - rel: related - - href: "#pe-19" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: pe-23_smt - name: statement - parts: - - id: pe-23_smt.a - name: item - props: - - name: label - value: a. - prose: Plan the location or site of the facility where the system - resides considering physical and environmental hazards; and - - id: pe-23_smt.b - name: item - props: - - name: label - value: b. - prose: For existing facilities, consider the physical and environmental - hazards in the organizational risk management strategy. - - id: pe-23_gdn - name: guidance - prose: Physical and environmental hazards include floods, fires, tornadoes, - earthquakes, hurricanes, terrorism, vandalism, an electromagnetic - pulse, electrical interference, and other forms of incoming electromagnetic - radiation. The location of system components within the facility is - addressed in [PE-18](#pe-18). - - name: objective - props: - - name: label - value: PE-23 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PE-23a. - class: sp800-53A - prose: the location or site of the facility where the system resides - is planned considering physical and environmental hazards; - - name: objective - props: - - name: label - value: PE-23b. - class: sp800-53A - prose: for existing facilities, physical and environmental hazards - are considered in the organizational risk management strategy. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PE-23-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Physical and environmental protection policy - - physical site planning documents - - organizational assessment of risk - - contingency plan - - risk mitigation strategy documentation - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PE-23-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with site selection - responsibilities for the facility housing the system - - - organizational personnel with risk mitigation responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PE-23-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for site planning - - id: pl - class: family - title: Planning - controls: - - id: pl-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pl-1_prm_1 - props: - - name: aggregates - value: pl-01_odp.01 - label: organization-defined personnel or roles - - id: pl-01_odp.01 - props: - - name: label - value: PL-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the planning policy is to be disseminated - is/are defined; - - id: pl-01_odp.02 - props: - - name: label - value: PL-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the planning procedures are to - be disseminated is/are defined; - - id: pl-01_odp.03 - props: - - name: legacy-identifier - value: pl-1_prm_2 - - name: label - value: PL-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pl-01_odp.04 - props: - - name: legacy-identifier - value: pl-1_prm_3 - - name: label - value: PL-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the planning policy and procedures - is defined; - - id: pl-01_odp.05 - props: - - name: legacy-identifier - value: pl-1_prm_4 - - name: label - value: PL-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency with which the current planning policy is reviewed - and updated is defined; - - id: pl-01_odp.06 - props: - - name: legacy-identifier - value: pl-1_prm_5 - - name: label - value: PL-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current planning policy to - be reviewed and updated are defined; - - id: pl-01_odp.07 - props: - - name: legacy-identifier - value: pl-1_prm_6 - - name: label - value: PL-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency with which the current planning procedures - are reviewed and updated is defined; - - id: pl-01_odp.08 - props: - - name: legacy-identifier - value: pl-1_prm_7 - - name: label - value: PL-01_ODP[08] - label: events - guidelines: - - prose: events that would require procedures to be reviewed and updated - are defined; - props: - - name: label - value: PL-01 - - name: sort-id - value: pl-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#30eb758a-2707-4bca-90ad-949a74d4eb16" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-1_smt - name: statement - parts: - - id: pl-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pl-1_prm_1 }}:" - parts: - - id: pl-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, pl-01_odp.03 }} planning policy that:" - parts: - - id: pl-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pl-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pl-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the planning - policy and the associated planning controls; - - id: pl-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pl-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the planning\ - \ policy and procedures; and" - - id: pl-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current planning:" - parts: - - id: pl-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, pl-01_odp.05 }} and following\ - \ {{ insert: param, pl-01_odp.06 }} ; and" - - id: pl-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, pl-01_odp.07 }} and following\ - \ {{ insert: param, pl-01_odp.08 }}." - - id: pl-1_gdn - name: guidance - prose: Planning policy and procedures for the controls in the PL family - implemented within systems and organizations. The risk management - strategy is an important factor in establishing such policies and - procedures. Policies and procedures contribute to security and privacy - assurance. Therefore, it is important that security and privacy programs - collaborate on their development. Security and privacy program policies - and procedures at the organization level are preferable, in general, - and may obviate the need for mission level or system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or be represented by multiple policies - that reflect the complex nature of organizations. Procedures can be - established for security and privacy programs, for mission/business - processes, and for systems, if needed. Procedures describe how the - policies or controls are implemented and can be directed at the individual - or role that is the object of the procedure. Procedures can be documented - in system security and privacy plans or in one or more separate documents. - Events that may precipitate an update to planning policy and procedures - include, but are not limited to, assessment or audit findings, security - incidents or breaches, or changes in laws, executive orders, directives, - regulations, policies, standards, and guidelines. Simply restating - controls does not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: PL-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01a.[01] - class: sp800-53A - prose: a planning policy is developed and documented. - - name: objective - props: - - name: label - value: PL-01a.[02] - class: sp800-53A - prose: "the planning policy is disseminated to {{ insert: param,\ - \ pl-01_odp.01 }};" - - name: objective - props: - - name: label - value: PL-01a.[03] - class: sp800-53A - prose: planning procedures to facilitate the implementation - of the planning policy and associated planning controls are - developed and documented; - - name: objective - props: - - name: label - value: PL-01a.[04] - class: sp800-53A - prose: "the planning procedures are disseminated to {{ insert:\ - \ param, pl-01_odp.02 }};" - - name: objective - props: - - name: label - value: PL-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses purpose;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses scope;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses roles;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses responsibilities;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses management commitment;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: PL-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning\ - \ policy addresses compliance;" - - name: objective - props: - - name: label - value: PL-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.03 }} planning policy\ - \ is consistent with applicable laws, Executive Orders,\ - \ directives, regulations, policies, standards, and guidelines;" - - name: objective - props: - - name: label - value: PL-01b. - class: sp800-53A - prose: "the {{ insert: param, pl-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the planning\ - \ policy and procedures;" - - name: objective - props: - - name: label - value: PL-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01c.01[01] - class: sp800-53A - prose: "the current planning policy is reviewed and updated\ - \ {{ insert: param, pl-01_odp.05 }};" - - name: objective - props: - - name: label - value: PL-01c.01[02] - class: sp800-53A - prose: "the current planning policy is reviewed and updated\ - \ following {{ insert: param, pl-01_odp.06 }};" - - name: objective - props: - - name: label - value: PL-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-01c.02[01] - class: sp800-53A - prose: "the current planning procedures are reviewed and\ - \ updated {{ insert: param, pl-01_odp.07 }};" - - name: objective - props: - - name: label - value: PL-01c.02[02] - class: sp800-53A - prose: "the current planning procedures are reviewed and\ - \ updated following {{ insert: param, pl-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Planning policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with planning responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: pl-2 - class: SP800-53 - title: System Security and Privacy Plans - params: - - id: pl-02_odp.01 - props: - - name: legacy-identifier - value: pl-2_prm_1 - - name: label - value: PL-02_ODP[01] - label: individuals or groups - guidelines: - - prose: individuals or groups with whom security and privacy-related - activities affecting the system that require planning and coordination - is/are assigned; - - id: pl-02_odp.02 - props: - - name: legacy-identifier - value: pl-2_prm_2 - - name: label - value: PL-02_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles for distributed copies of the system security - and privacy plans is/are assigned; - - id: pl-02_odp.03 - props: - - name: legacy-identifier - value: pl-2_prm_3 - - name: label - value: PL-02_ODP[03] - label: frequency - guidelines: - - prose: frequency to review system security and privacy plans is - defined; - props: - - name: label - value: PL-02 - - name: sort-id - value: pl-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#30eb758a-2707-4bca-90ad-949a74d4eb16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pl-7" - rel: related - - href: "#pl-8" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-1" - rel: related - - href: "#pm-7" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-11" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-22" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: pl-2_smt - name: statement - parts: - - id: pl-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop security and privacy plans for the system that:" - parts: - - id: pl-2_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Are consistent with the organization’s enterprise architecture; - - id: pl-2_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Explicitly define the constituent system components; - - id: pl-2_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Describe the operational context of the system in terms - of mission and business processes; - - id: pl-2_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Identify the individuals that fulfill system roles and - responsibilities; - - id: pl-2_smt.a.5 - name: item - props: - - name: label - value: "05." - prose: Identify the information types processed, stored, and - transmitted by the system; - - id: pl-2_smt.a.6 - name: item - props: - - name: label - value: "06." - prose: Provide the security categorization of the system, including - supporting rationale; - - id: pl-2_smt.a.7 - name: item - props: - - name: label - value: "07." - prose: Describe any specific threats to the system that are - of concern to the organization; - - id: pl-2_smt.a.8 - name: item - props: - - name: label - value: "08." - prose: Provide the results of a privacy risk assessment for - systems processing personally identifiable information; - - id: pl-2_smt.a.9 - name: item - props: - - name: label - value: "09." - prose: Describe the operational environment for the system and - any dependencies on or connections to other systems or system - components; - - id: pl-2_smt.a.10 - name: item - props: - - name: label - value: "10." - prose: Provide an overview of the security and privacy requirements - for the system; - - id: pl-2_smt.a.11 - name: item - props: - - name: label - value: "11." - prose: Identify any relevant control baselines or overlays, - if applicable; - - id: pl-2_smt.a.12 - name: item - props: - - name: label - value: "12." - prose: Describe the controls in place or planned for meeting - the security and privacy requirements, including a rationale - for any tailoring decisions; - - id: pl-2_smt.a.13 - name: item - props: - - name: label - value: "13." - prose: Include risk determinations for security and privacy - architecture and design decisions; - - id: pl-2_smt.a.14 - name: item - props: - - name: label - value: "14." - prose: "Include security- and privacy-related activities affecting\ - \ the system that require planning and coordination with {{\ - \ insert: param, pl-02_odp.01 }} ; and" - - id: pl-2_smt.a.15 - name: item - props: - - name: label - value: "15." - prose: Are reviewed and approved by the authorizing official - or designated representative prior to plan implementation. - - id: pl-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the plans and communicate subsequent\ - \ changes to the plans to {{ insert: param, pl-02_odp.02 }};" - - id: pl-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review the plans {{ insert: param, pl-02_odp.03 }};" - - id: pl-2_smt.d - name: item - props: - - name: label - value: d. - prose: Update the plans to address changes to the system and environment - of operation or problems identified during plan implementation - or control assessments; and - - id: pl-2_smt.e - name: item - props: - - name: label - value: e. - prose: Protect the plans from unauthorized disclosure and modification. - - id: pl-2_gdn - name: guidance - prose: >- - System security and privacy plans are scoped to the system and - system components within the defined authorization boundary and - contain an overview of the security and privacy requirements for - the system and the controls selected to satisfy the - requirements. The plans describe the intended application of - each selected control in the context of the system with a - sufficient level of detail to correctly implement the control - and to subsequently assess the effectiveness of the control. The - control documentation describes how system-specific and hybrid - controls are implemented and the plans and expectations - regarding the functionality of the system. System security and - privacy plans can also be used in the design and development of - systems in support of life cycle-based security and privacy - engineering processes. System security and privacy plans are - living documents that are updated and adapted throughout the - system development life cycle (e.g., during capability - determination, analysis of alternatives, requests for proposal, - and design reviews). [Section - 2.1](#c3397cc9-83c6-4459-adb2-836739dc1b94) describes the - different types of requirements that are relevant to - organizations during the system development life cycle and the - relationship between requirements and controls. - - - Organizations may develop a single, integrated security and privacy - plan or maintain separate plans. Security and privacy plans relate - security and privacy requirements to a set of controls and control - enhancements. The plans describe how the controls and control enhancements - meet the security and privacy requirements but do not provide detailed, - technical descriptions of the design or implementation of the controls - and control enhancements. Security and privacy plans contain sufficient - information (including specifications of control parameter values - for selection and assignment operations explicitly or by reference) - to enable a design and implementation that is unambiguously compliant - with the intent of the plans and subsequent determinations of risk - to organizational operations and assets, individuals, other organizations, - and the Nation if the plan is implemented. - - - Security and privacy plans need not be single documents. The plans - can be a collection of various documents, including documents that - already exist. Effective security and privacy plans make extensive - use of references to policies, procedures, and additional documents, - including design and implementation specifications where more detailed - information can be obtained. The use of references helps reduce the - documentation associated with security and privacy programs and maintains - the security- and privacy-related information in other established - management and operational areas, including enterprise architecture, - system development life cycle, systems engineering, and acquisition. - Security and privacy plans need not contain detailed contingency plan - or incident response plan information but can instead provide—explicitly - or by reference—sufficient information to define what needs to be - accomplished by those plans. - - - Security- and privacy-related activities that may require coordination - and planning with other individuals or groups within the organization - include assessments, audits, inspections, hardware and software maintenance, - acquisition and supply chain risk management, patch management, and - contingency plan testing. Planning and coordination include emergency - and nonemergency (i.e., planned or non-urgent unplanned) situations. - The process defined by organizations to plan and coordinate security- - and privacy-related activities can also be included in other documents, - as appropriate. - - name: objective - props: - - name: label - value: PL-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.01[01] - class: sp800-53A - prose: a security plan for the system is developed that - is consistent with the organization’s enterprise architecture; - - name: objective - props: - - name: label - value: PL-02a.01[02] - class: sp800-53A - prose: a privacy plan for the system is developed that is - consistent with the organization’s enterprise architecture; - - name: objective - props: - - name: label - value: PL-02a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.02[01] - class: sp800-53A - prose: a security plan for the system is developed that - explicitly defines the constituent system components; - - name: objective - props: - - name: label - value: PL-02a.02[02] - class: sp800-53A - prose: a privacy plan for the system is developed that explicitly - defines the constituent system components; - - name: objective - props: - - name: label - value: PL-02a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.03[01] - class: sp800-53A - prose: a security plan for the system is developed that - describes the operational context of the system in terms - of mission and business processes; - - name: objective - props: - - name: label - value: PL-02a.03[02] - class: sp800-53A - prose: a privacy plan for the system is developed that describes - the operational context of the system in terms of mission - and business processes; - - name: objective - props: - - name: label - value: PL-02a.04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.04[01] - class: sp800-53A - prose: a security plan for the system is developed that - identifies the individuals that fulfill system roles and - responsibilities; - - name: objective - props: - - name: label - value: PL-02a.04[02] - class: sp800-53A - prose: a privacy plan for the system is developed that identifies - the individuals that fulfill system roles and responsibilities; - - name: objective - props: - - name: label - value: PL-02a.05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.05[01] - class: sp800-53A - prose: a security plan for the system is developed that - identifies the information types processed, stored, and - transmitted by the system; - - name: objective - props: - - name: label - value: PL-02a.05[02] - class: sp800-53A - prose: a privacy plan for the system is developed that identifies - the information types processed, stored, and transmitted - by the system; - - name: objective - props: - - name: label - value: PL-02a.06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.06[01] - class: sp800-53A - prose: a security plan for the system is developed that - provides the security categorization of the system, including - supporting rationale; - - name: objective - props: - - name: label - value: PL-02a.06[02] - class: sp800-53A - prose: a privacy plan for the system is developed that provides - the security categorization of the system, including supporting - rationale; - - name: objective - props: - - name: label - value: PL-02a.07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.07[01] - class: sp800-53A - prose: a security plan for the system is developed that - describes any specific threats to the system that are - of concern to the organization; - - name: objective - props: - - name: label - value: PL-02a.07[02] - class: sp800-53A - prose: a privacy plan for the system is developed that describes - any specific threats to the system that are of concern - to the organization; - - name: objective - props: - - name: label - value: PL-02a.08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.08[01] - class: sp800-53A - prose: a security plan for the system is developed that - provides the results of a privacy risk assessment for - systems processing personally identifiable information; - - name: objective - props: - - name: label - value: PL-02a.08[02] - class: sp800-53A - prose: a privacy plan for the system is developed that provides - the results of a privacy risk assessment for systems processing - personally identifiable information; - - name: objective - props: - - name: label - value: PL-02a.09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.09[01] - class: sp800-53A - prose: a security plan for the system is developed that - describes the operational environment for the system and - any dependencies on or connections to other systems or - system components; - - name: objective - props: - - name: label - value: PL-02a.09[02] - class: sp800-53A - prose: a privacy plan for the system is developed that describes - the operational environment for the system and any dependencies - on or connections to other systems or system components; - - name: objective - props: - - name: label - value: PL-02a.10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.10[01] - class: sp800-53A - prose: a security plan for the system is developed that - provides an overview of the security requirements for - the system; - - name: objective - props: - - name: label - value: PL-02a.10[02] - class: sp800-53A - prose: a privacy plan for the system is developed that provides - an overview of the privacy requirements for the system; - - name: objective - props: - - name: label - value: PL-02a.11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.11[01] - class: sp800-53A - prose: a security plan for the system is developed that - identifies any relevant control baselines or overlays, - if applicable; - - name: objective - props: - - name: label - value: PL-02a.11[02] - class: sp800-53A - prose: a privacy plan for the system is developed that identifies - any relevant control baselines or overlays, if applicable; - - name: objective - props: - - name: label - value: PL-02a.12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.12[01] - class: sp800-53A - prose: a security plan for the system is developed that - describes the controls in place or planned for meeting - the security requirements, including rationale for any - tailoring decisions; - - name: objective - props: - - name: label - value: PL-02a.12[02] - class: sp800-53A - prose: a privacy plan for the system is developed that describes - the controls in place or planned for meeting the privacy - requirements, including rationale for any tailoring decisions; - - name: objective - props: - - name: label - value: PL-02a.13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.13[01] - class: sp800-53A - prose: a security plan for the system is developed that - includes risk determinations for security architecture - and design decisions; - - name: objective - props: - - name: label - value: PL-02a.13[02] - class: sp800-53A - prose: a privacy plan for the system is developed that includes - risk determinations for privacy architecture and design - decisions; - - name: objective - props: - - name: label - value: PL-02a.14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.14[01] - class: sp800-53A - prose: "a security plan for the system is developed that\ - \ includes security-related activities affecting the system\ - \ that require planning and coordination with {{ insert:\ - \ param, pl-02_odp.01 }};" - - name: objective - props: - - name: label - value: PL-02a.14[02] - class: sp800-53A - prose: "a privacy plan for the system is developed that\ - \ includes privacy-related activities affecting the system\ - \ that require planning and coordination with {{ insert:\ - \ param, pl-02_odp.01 }};" - - name: objective - props: - - name: label - value: PL-02a.15 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02a.15[01] - class: sp800-53A - prose: a security plan for the system is developed that - is reviewed and approved by the authorizing official or - designated representative prior to plan implementation; - - name: objective - props: - - name: label - value: PL-02a.15[02] - class: sp800-53A - prose: a privacy plan for the system is developed that is - reviewed and approved by the authorizing official or designated - representative prior to plan implementation. - - name: objective - props: - - name: label - value: PL-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02b.[01] - class: sp800-53A - prose: "copies of the plans were distributed to {{ insert: param,\ - \ pl-02_odp.02 }};" - - name: objective - props: - - name: label - value: PL-02b.[02] - class: sp800-53A - prose: "subsequent changes to the plans are communicated to\ - \ {{ insert: param, pl-02_odp.02 }};" - - name: objective - props: - - name: label - value: PL-02c. - class: sp800-53A - prose: "plans are reviewed {{ insert: param, pl-02_odp.03 }};" - - name: objective - props: - - name: label - value: PL-02d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-02d.[01] - class: sp800-53A - prose: plans are updated to address changes to the system and - environment of operations; - - name: objective - props: - - name: label - value: PL-02d.[02] - class: sp800-53A - prose: plans are updated to address problems identified during - the plan implementation; - - name: objective - props: - - name: label - value: PL-02d.[03] - class: sp800-53A - prose: plans are updated to address problems identified during - control assessments; - - name: objective - props: - - name: label - value: PL-02e. - class: sp800-53A - prose: plans are protected from unauthorized disclosure and modification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing system security and privacy plan development - and implementation - - - procedures addressing security and privacy plan reviews and updates - - - enterprise architecture documentation - - - system security plan - - - privacy plan - - - records of system security and privacy plan reviews and updates - - - security and privacy architecture and design documentation - - - risk assessments - - - risk assessment results - - - control assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system security and privacy - planning and plan implementation responsibilities - - - system developers - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system security and privacy - plan development, review, update, and approval - - - automated mechanisms supporting the system security and privacy - plan - controls: - - id: pl-2.1 - class: SP800-53-enhancement - title: Concept of Operations - props: - - name: label - value: PL-02(01) - - name: sort-id - value: pl-02.01 - - name: status - value: withdrawn - links: - - href: "#pl-7" - rel: incorporated-into - - id: pl-2.2 - class: SP800-53-enhancement - title: Functional Architecture - props: - - name: label - value: PL-02(02) - - name: sort-id - value: pl-02.02 - - name: status - value: withdrawn - links: - - href: "#pl-8" - rel: incorporated-into - - id: pl-2.3 - class: SP800-53-enhancement - title: Plan and Coordinate with Other Organizational Entities - props: - - name: label - value: PL-02(03) - - name: sort-id - value: pl-02.03 - - name: status - value: withdrawn - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-3 - class: SP800-53 - title: System Security Plan Update - props: - - name: label - value: PL-03 - - name: sort-id - value: pl-03 - - name: status - value: withdrawn - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - params: - - id: pl-04_odp.01 - props: - - name: legacy-identifier - value: pl-4_prm_1 - - name: label - value: PL-04_ODP[01] - label: frequency - guidelines: - - prose: frequency for reviewing and updating the rules of behavior - is defined; - - id: pl-04_odp.02 - props: - - name: legacy-identifier - value: pl-4_prm_2 - - name: label - value: PL-04_ODP[02] - select: - how-many: one-or-more - choice: - - " {{ insert: param, pl-04_odp.03 }} " - - when the rules are revised or updated - - id: pl-04_odp.03 - props: - - name: legacy-identifier - value: pl-4_prm_3 - - name: label - value: PL-04_ODP[03] - label: frequency - guidelines: - - prose: frequency for individuals to read and re-acknowledge the - rules of behavior is defined (if selected); - props: - - name: label - value: PL-04 - - name: sort-id - value: pl-04 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#30eb758a-2707-4bca-90ad-949a74d4eb16" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-9" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#mp-7" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-5" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-4_smt - name: statement - parts: - - id: pl-4_smt.a - name: item - props: - - name: label - value: a. - prose: Establish and provide to individuals requiring access to - the system, the rules that describe their responsibilities and - expected behavior for information and system usage, security, - and privacy; - - id: pl-4_smt.b - name: item - props: - - name: label - value: b. - prose: Receive a documented acknowledgment from such individuals, - indicating that they have read, understand, and agree to abide - by the rules of behavior, before authorizing access to information - and the system; - - id: pl-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the rules of behavior {{ insert: param,\ - \ pl-04_odp.01 }} ; and" - - id: pl-4_smt.d - name: item - props: - - name: label - value: d. - prose: "Require individuals who have acknowledged a previous version\ - \ of the rules of behavior to read and re-acknowledge {{ insert:\ - \ param, pl-04_odp.02 }}." - - id: pl-4_gdn - name: guidance - prose: Rules of behavior represent a type of access agreement for organizational - users. Other types of access agreements include nondisclosure agreements, - conflict-of-interest agreements, and acceptable use agreements (see - [PS-6](#ps-6) ). Organizations consider rules of behavior based on - individual user roles and responsibilities and differentiate between - rules that apply to privileged users and rules that apply to general - users. Establishing rules of behavior for some types of non-organizational - users, including individuals who receive information from federal - systems, is often not feasible given the large number of such users - and the limited nature of their interactions with the systems. Rules - of behavior for organizational and non-organizational users can also - be established in [AC-8](#ac-8) . The related controls section provides - a list of controls that are relevant to organizational rules of behavior. - [PL-4b](#pl-4_smt.b) , the documented acknowledgment portion of the - control, may be satisfied by the literacy training and awareness and - role-based training programs conducted by organizations if such training - includes rules of behavior. Documented acknowledgements for rules - of behavior include electronic or physical signatures and electronic - agreement check boxes or radio buttons. - - name: objective - props: - - name: label - value: PL-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-04a.[01] - class: sp800-53A - prose: rules that describe responsibilities and expected behavior - for information and system usage, security, and privacy are - established for individuals requiring access to the system; - - name: objective - props: - - name: label - value: PL-04a.[02] - class: sp800-53A - prose: rules that describe responsibilities and expected behavior - for information and system usage, security, and privacy are - provided to individuals requiring access to the system; - - name: objective - props: - - name: label - value: PL-04b. - class: sp800-53A - prose: before authorizing access to information and the system, - a documented acknowledgement from such individuals indicating - that they have read, understand, and agree to abide by the rules - of behavior is received; - - name: objective - props: - - name: label - value: PL-04c. - class: sp800-53A - prose: "rules of behavior are reviewed and updated {{ insert: param,\ - \ pl-04_odp.01 }};" - - name: objective - props: - - name: label - value: PL-04d. - class: sp800-53A - prose: "individuals who have acknowledged a previous version of\ - \ the rules of behavior are required to read and reacknowledge\ - \ {{ insert: param, pl-04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Security and privacy planning policy - - procedures addressing rules of behavior for system users - - rules of behavior - - signed acknowledgements - - records for rules of behavior reviews and updates - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - establishing, reviewing, and updating rules of behavior - - - organizational personnel with responsibility for literacy training - and awareness and role-based training - - - organizational personnel who are authorized users of the system - and have signed and resigned rules of behavior - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for establishing, reviewing, - disseminating, and updating rules of behavior - - - automated mechanisms supporting and/or implementing the establishment, - review, dissemination, and update of rules of behavior - controls: - - id: pl-4.1 - class: SP800-53-enhancement - title: Social Media and External Site/application Usage Restrictions - props: - - name: label - value: PL-04(01) - - name: sort-id - value: pl-04.01 - links: - - href: "#pl-4" - rel: required - - href: "#ac-22" - rel: related - - href: "#au-13" - rel: related - parts: - - id: pl-4.1_smt - name: statement - prose: "Include in the rules of behavior, restrictions on:" - parts: - - id: pl-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Use of social media, social networking sites, and external - sites/applications; - - id: pl-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Posting organizational information on public websites; - and - - id: pl-4.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Use of organization-provided identifiers (e.g., email - addresses) and authentication secrets (e.g., passwords) for - creating accounts on external sites/applications. - - id: pl-4.1_gdn - name: guidance - prose: Social media, social networking, and external site/application - usage restrictions address rules of behavior related to the use - of social media, social networking, and external sites when organizational - personnel are using such sites for official duties or in the conduct - of official business, when organizational information is involved - in social media and social networking transactions, and when personnel - access social media and networking sites from organizational systems. - Organizations also address specific rules that prevent unauthorized - entities from obtaining non-public organizational information - from social media and networking sites either directly or through - inference. Non-public information includes personally identifiable - information and system account information. - - name: objective - props: - - name: label - value: PL-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-04(01)(a) - class: sp800-53A - prose: the rules of behavior include restrictions on the use - of social media, social networking sites, and external sites/applications; - - name: objective - props: - - name: label - value: PL-04(01)(b) - class: sp800-53A - prose: the rules of behavior include restrictions on posting - organizational information on public websites; - - name: objective - props: - - name: label - value: PL-04(01)(c) - class: sp800-53A - prose: the rules of behavior include restrictions on the use - of organization-provided identifiers (e.g., email addresses) - and authentication secrets (e.g., passwords) for creating - accounts on external sites/applications. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Security and privacy planning policy - - procedures addressing rules of behavior for system users - - rules of behavior - - training policy - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibility for - establishing, reviewing, and updating rules of behavior - - - organizational personnel with responsibility for literacy - training and awareness and role-based training - - - organizational personnel who are authorized users of the system - and have signed rules of behavior - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for establishing rules of - behavior - - - automated mechanisms supporting and/or implementing the establishment - of rules of behavior - - id: pl-5 - class: SP800-53 - title: Privacy Impact Assessment - props: - - name: label - value: PL-05 - - name: sort-id - value: pl-05 - - name: status - value: withdrawn - links: - - href: "#ra-8" - rel: incorporated-into - - id: pl-6 - class: SP800-53 - title: Security-related Activity Planning - props: - - name: label - value: PL-06 - - name: sort-id - value: pl-06 - - name: status - value: withdrawn - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-7 - class: SP800-53 - title: Concept of Operations - params: - - id: pl-07_odp - props: - - name: legacy-identifier - value: pl-7_prm_1 - - name: label - value: PL-07_ODP - label: frequency - guidelines: - - prose: frequency for review and update of the Concept of Operations - (CONOPS) is defined; - props: - - name: label - value: PL-07 - - name: sort-id - value: pl-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#pl-2" - rel: related - - href: "#sa-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-7_smt - name: statement - parts: - - id: pl-7_smt.a - name: item - props: - - name: label - value: a. - prose: Develop a Concept of Operations (CONOPS) for the system describing - how the organization intends to operate the system from the perspective - of information security and privacy; and - - id: pl-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the CONOPS {{ insert: param, pl-07_odp\ - \ }}." - - id: pl-7_gdn - name: guidance - prose: The CONOPS may be included in the security or privacy plans for - the system or in other system development life cycle documents. The - CONOPS is a living document that requires updating throughout the - system development life cycle. For example, during system design reviews, - the concept of operations is checked to ensure that it remains consistent - with the design for controls, the system architecture, and the operational - procedures. Changes to the CONOPS are reflected in ongoing updates - to the security and privacy plans, security and privacy architectures, - and other organizational documents, such as procurement specifications, - system development life cycle documents, and systems engineering documents. - - name: objective - props: - - name: label - value: PL-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-07a. - class: sp800-53A - prose: a CONOPS for the system describing how the organization intends - to operate the system from the perspective of information security - and privacy is developed; - - name: objective - props: - - name: label - value: PL-07b. - class: sp800-53A - prose: "a CONOPS is reviewed and updated {{ insert: param, pl-07_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing security and privacy CONOPS development - - - procedures addressing security and privacy CONOPS reviews and - updates - - - security and privacy CONOPS for the system - - - system security plan - - - privacy plan - - - records of security and privacy CONOPS reviews and updates - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy planning - and plan implementation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for developing, reviewing, and - updating the security CONOPS - - - automated mechanisms supporting and/or implementing the development, - review, and update of the security CONOPS - - id: pl-8 - class: SP800-53 - title: Security and Privacy Architectures - params: - - id: pl-08_odp - props: - - name: legacy-identifier - value: pl-8_prm_1 - - name: label - value: PL-08_ODP - label: frequency - guidelines: - - prose: frequency for review and update to reflect changes in the - enterprise architecture; - props: - - name: label - value: PL-08 - - name: sort-id - value: pl-08 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-7" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: pl-8_smt - name: statement - parts: - - id: pl-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop security and privacy architectures for the system\ - \ that:" - parts: - - id: pl-8_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Describe the requirements and approach to be taken for - protecting the confidentiality, integrity, and availability - of organizational information; - - id: pl-8_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Describe the requirements and approach to be taken for - processing personally identifiable information to minimize - privacy risk to individuals; - - id: pl-8_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Describe how the architectures are integrated into and - support the enterprise architecture; and - - id: pl-8_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Describe any assumptions about, and dependencies on, - external systems and services; - - id: pl-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the architectures {{ insert: param, pl-08_odp\ - \ }} to reflect changes in the enterprise architecture; and" - - id: pl-8_smt.c - name: item - props: - - name: label - value: c. - prose: Reflect planned architecture changes in security and privacy - plans, Concept of Operations (CONOPS), criticality analysis, organizational - procedures, and procurements and acquisitions. - - id: pl-8_gdn - name: guidance - prose: >- - The security and privacy architectures at the system level are - consistent with the organization-wide security and privacy - architectures described in [PM-7](#pm-7) , which are integral to - and developed as part of the enterprise architecture. The - architectures include an architectural description, the - allocation of security and privacy functionality (including - controls), security- and privacy-related information for - external interfaces, information being exchanged across the - interfaces, and the protection mechanisms associated with each - interface. The architectures can also include other information, - such as user roles and the access privileges assigned to each - role; security and privacy requirements; types of information - processed, stored, and transmitted by the system; supply chain - risk management requirements; restoration priorities of - information and system services; and other protection needs. - - - [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provides guidance - on the use of security architectures as part of the system development - life cycle process. [OMB M-19-03](#c5e11048-1d38-4af3-b00b-0d88dc26860c) - requires the use of the systems security engineering concepts described - in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) for high - value assets. Security and privacy architectures are reviewed and - updated throughout the system development life cycle, from analysis - of alternatives through review of the proposed architecture in the - RFP responses to the design reviews before and during implementation - (e.g., during preliminary design reviews and critical design reviews). - - - In today’s modern computing architectures, it is becoming less common - for organizations to control all information resources. There may - be key dependencies on external information services and service providers. - Describing such dependencies in the security and privacy architectures - is necessary for developing a comprehensive mission and business protection - strategy. Establishing, developing, documenting, and maintaining under - configuration control a baseline configuration for organizational - systems is critical to implementing and maintaining effective architectures. - The development of the architectures is coordinated with the senior - agency information security officer and the senior agency official - for privacy to ensure that the controls needed to support security - and privacy requirements are identified and effectively implemented. - In many circumstances, there may be no distinction between the security - and privacy architecture for a system. In other circumstances, security - objectives may be adequately satisfied, but privacy objectives may - only be partially satisfied by the security requirements. In these - cases, consideration of the privacy requirements needed to achieve - satisfaction will result in a distinct privacy architecture. The documentation, - however, may simply reflect the combined architectures. - - - [PL-8](#pl-8) is primarily directed at organizations to ensure that - architectures are developed for the system and, moreover, that the - architectures are integrated with or tightly coupled to the enterprise - architecture. In contrast, [SA-17](#sa-17) is primarily directed at - the external information technology product and system developers - and integrators. [SA-17](#sa-17) , which is complementary to [PL-8](#pl-8) - , is selected when organizations outsource the development of systems - or components to external entities and when there is a need to demonstrate - consistency with the organization’s enterprise architecture and security - and privacy architectures. - - name: objective - props: - - name: label - value: PL-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08a.01 - class: sp800-53A - prose: a security architecture for the system describes the - requirements and approach to be taken for protecting the confidentiality, - integrity, and availability of organizational information; - - name: objective - props: - - name: label - value: PL-08a.02 - class: sp800-53A - prose: a privacy architecture describes the requirements and - approach to be taken for processing personally identifiable - information to minimize privacy risk to individuals; - - name: objective - props: - - name: label - value: PL-08a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08a.03[01] - class: sp800-53A - prose: a security architecture for the system describes - how the architecture is integrated into and supports the - enterprise architecture; - - name: objective - props: - - name: label - value: PL-08a.03[02] - class: sp800-53A - prose: a privacy architecture for the system describes how - the architecture is integrated into and supports the enterprise - architecture; - - name: objective - props: - - name: label - value: PL-08a.04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08a.04[01] - class: sp800-53A - prose: a security architecture for the system describes - any assumptions about and dependencies on external systems - and services; - - name: objective - props: - - name: label - value: PL-08a.04[02] - class: sp800-53A - prose: a privacy architecture for the system describes any - assumptions about and dependencies on external systems - and services; - - name: objective - props: - - name: label - value: PL-08b. - class: sp800-53A - prose: "changes in the enterprise architecture are reviewed and\ - \ updated {{ insert: param, pl-08_odp }};" - - name: objective - props: - - name: label - value: PL-08c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08c.[01] - class: sp800-53A - prose: planned architecture changes in the security plan are - reflected; - - name: objective - props: - - name: label - value: PL-08c.[02] - class: sp800-53A - prose: planned architecture changes in the privacy plan are - reflected; - - name: objective - props: - - name: label - value: PL-08c.[03] - class: sp800-53A - prose: planned architecture changes in the Concept of Operations - (CONOPS) are reflected; - - name: objective - props: - - name: label - value: PL-08c.[04] - class: sp800-53A - prose: planned architecture changes in criticality analysis - are reflected; - - name: objective - props: - - name: label - value: PL-08c.[05] - class: sp800-53A - prose: planned architecture changes in organizational procedures - are reflected; - - name: objective - props: - - name: label - value: PL-08c.[06] - class: sp800-53A - prose: planned architecture changes in procurements and acquisitions - are reflected. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing information security and privacy architecture - development - - - procedures addressing information security and privacy architecture - reviews and updates - - - enterprise architecture documentation - - - information security and privacy architecture documentation - - - system security plan - - - privacy plan - - - security and privacy CONOPS for the system - - - records of information security and privacy architecture reviews - and updates - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy planning - and plan implementation responsibilities - - - organizational personnel with information security and privacy - architecture development responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for developing, reviewing, and - updating the information security and privacy architecture - - - automated mechanisms supporting and/or implementing the development, - review, and update of the information security and privacy architecture - controls: - - id: pl-8.1 - class: SP800-53-enhancement - title: Defense in Depth - params: - - id: pl-08.01_odp.01 - props: - - name: legacy-identifier - value: pl-8.1_prm_1 - - name: label - value: PL-08(01)_ODP[01] - label: controls - guidelines: - - prose: controls to be allocated are defined; - - id: pl-08.01_odp.02 - props: - - name: legacy-identifier - value: pl-8.1_prm_2 - - name: label - value: PL-08(01)_ODP[02] - label: locations and architectural layers - guidelines: - - prose: locations and architectural layers are defined; - props: - - name: label - value: PL-08(01) - - name: sort-id - value: pl-08.01 - links: - - href: "#pl-8" - rel: required - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-36" - rel: related - parts: - - id: pl-8.1_smt - name: statement - prose: "Design the security and privacy architectures for the system\ - \ using a defense-in-depth approach that:" - parts: - - id: pl-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Allocates {{ insert: param, pl-08.01_odp.01 }} to {{\ - \ insert: param, pl-08.01_odp.02 }} ; and" - - id: pl-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Ensures that the allocated controls operate in a coordinated - and mutually reinforcing manner. - - id: pl-8.1_gdn - name: guidance - prose: Organizations strategically allocate security and privacy - controls in the security and privacy architectures so that adversaries - must overcome multiple controls to achieve their objective. Requiring - adversaries to defeat multiple controls makes it more difficult - to attack information resources by increasing the work factor - of the adversary; it also increases the likelihood of detection. - The coordination of allocated controls is essential to ensure - that an attack that involves one control does not create adverse, - unintended consequences by interfering with other controls. Unintended - consequences can include system lockout and cascading alarms. - The placement of controls in systems and organizations is an important - activity that requires thoughtful analysis. The value of organizational - assets is an important consideration in providing additional layering. - Defense-in-depth architectural approaches include modularity and - layering (see [SA-8(3)](#sa-8.3) ), separation of system and user - functionality (see [SC-2](#sc-2) ), and security function isolation - (see [SC-3](#sc-3)). - - name: objective - props: - - name: label - value: PL-08(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08(01)(a)[01] - class: sp800-53A - prose: "the security architecture for the system is designed\ - \ using a defense-in-depth approach that allocates {{\ - \ insert: param, pl-08.01_odp.01 }} to {{ insert: param,\ - \ pl-08.01_odp.02 }};" - - name: objective - props: - - name: label - value: PL-08(01)(a)[02] - class: sp800-53A - prose: "the privacy architecture for the system is designed\ - \ using a defense-in-depth approach that allocates {{\ - \ insert: param, pl-08.01_odp.01 }} to {{ insert: param,\ - \ pl-08.01_odp.02 }};" - - name: objective - props: - - name: label - value: PL-08(01)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PL-08(01)(b)[01] - class: sp800-53A - prose: the security architecture for the system is designed - using a defense-in-depth approach that ensures the allocated - controls operate in a coordinated and mutually reinforcing - manner; - - name: objective - props: - - name: label - value: PL-08(01)(b)[02] - class: sp800-53A - prose: the privacy architecture for the system is designed - using a defense-in-depth approach that ensures the allocated - controls operate in a coordinated and mutually reinforcing - manner. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing information security and privacy architecture - development - - - enterprise architecture documentation - - - information security and privacy architecture documentation - - - system security plan - - - privacy plan - - - security and privacy CONOPS for the system - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy - planning and plan implementation responsibilities - - - organizational personnel with information security and privacy - architecture development responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for designing the information - security and privacy architecture - - - automated mechanisms supporting and/or implementing the design - of the information security and privacy architecture - - id: pl-8.2 - class: SP800-53-enhancement - title: Supplier Diversity - params: - - id: pl-08.02_odp.01 - props: - - name: legacy-identifier - value: pl-8.2_prm_1 - - name: label - value: PL-08(02)_ODP[01] - label: controls - guidelines: - - prose: controls to be allocated are defined; - - id: pl-08.02_odp.02 - props: - - name: legacy-identifier - value: pl-8.2_prm_2 - - name: label - value: PL-08(02)_ODP[02] - label: locations and architectural layers - guidelines: - - prose: locations and architectural layers are defined; - props: - - name: label - value: PL-08(02) - - name: sort-id - value: pl-08.02 - links: - - href: "#pl-8" - rel: required - - href: "#sc-29" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: pl-8.2_smt - name: statement - prose: "Require that {{ insert: param, pl-08.02_odp.01 }} allocated\ - \ to {{ insert: param, pl-08.02_odp.02 }} are obtained from different\ - \ suppliers." - - id: pl-8.2_gdn - name: guidance - prose: Information technology products have different strengths - and weaknesses. Providing a broad spectrum of products complements - the individual offerings. For example, vendors offering malicious - code protection typically update their products at different times, - often developing solutions for known viruses, Trojans, or worms - based on their priorities and development schedules. By deploying - different products at different locations, there is an increased - likelihood that at least one of the products will detect the malicious - code. With respect to privacy, vendors may offer products that - track personally identifiable information in systems. Products - may use different tracking methods. Using multiple products may - result in more assurance that personally identifiable information - is inventoried. - - name: objective - props: - - name: label - value: PL-08(02) - class: sp800-53A - prose: "{{ insert: param, pl-08.02_odp.01 }} that are allocated\ - \ to {{ insert: param, pl-08.02_odp.02 }} are required to be obtained\ - \ from different suppliers." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing information security and privacy architecture - development - - - enterprise architecture documentation - - - information security and privacy architecture documentation - - - system security plan - - - privacy plan - - - security and privacy CONOPS for the system - - - IT acquisitions policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy - planning and plan implementation responsibilities - - - organizational personnel with information security and privacy - architecture development responsibilities - - - organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for obtaining information security - and privacy safeguards from different suppliers - - id: pl-9 - class: SP800-53 - title: Central Management - params: - - id: pl-09_odp - props: - - name: legacy-identifier - value: pl-9_prm_1 - - name: label - value: PL-09_ODP - label: controls and related processes - guidelines: - - prose: security and privacy controls and related processes to be - centrally managed are defined; - props: - - name: label - value: PL-09 - - name: sort-id - value: pl-09 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#pl-8" - rel: related - - href: "#pm-9" - rel: related - parts: - - id: pl-9_smt - name: statement - prose: "Centrally manage {{ insert: param, pl-09_odp }}." - - id: pl-9_gdn - name: guidance - prose: >- - Central management refers to organization-wide management and - implementation of selected controls and processes. This includes - planning, implementing, assessing, authorizing, and monitoring - the organization-defined, centrally managed controls and - processes. As the central management of controls is generally - associated with the concept of common (inherited) controls, such - management promotes and facilitates standardization of control - implementations and management and the judicious use of - organizational resources. Centrally managed controls and - processes may also meet independence requirements for - assessments in support of initial and ongoing authorizations to - operate and as part of organizational continuous monitoring. - - - Automated tools (e.g., security information and event management tools - or enterprise security monitoring and management tools) can improve - the accuracy, consistency, and availability of information associated - with centrally managed controls and processes. Automation can also - provide data aggregation and data correlation capabilities; alerting - mechanisms; and dashboards to support risk-based decision-making within - the organization. - - - As part of the control selection processes, organizations determine - the controls that may be suitable for central management based on - resources and capabilities. It is not always possible to centrally - manage every aspect of a control. In such cases, the control can be - treated as a hybrid control with the control managed and implemented - centrally or at the system level. The controls and control enhancements - that are candidates for full or partial central management include - but are not limited to: [AC-2(1)](#ac-2.1), [AC-2(2)](#ac-2.2), [AC-2(3)](#ac-2.3), - [AC-2(4)](#ac-2.4), [AC-4(all)](#ac-4), [AC-17(1)](#ac-17.1), [AC-17(2)](#ac-17.2), - [AC-17(3)](#ac-17.3), [AC-17(9)](#ac-17.9), [AC-18(1)](#ac-18.1), - [AC-18(3)](#ac-18.3), [AC-18(4)](#ac-18.4), [AC-18(5)](#ac-18.5), - [AC-19(4)](#ac-19.4), [AC-22](#ac-22), [AC-23](#ac-23), [AT-2(1)](#at-2.1), - [AT-2(2)](#at-2.2), [AT-3(1)](#at-3.1), [AT-3(2)](#at-3.2), [AT-3(3)](#at-3.3), - [AT-4](#at-4), [AU-3](#au-3), [AU-6(1)](#au-6.1), [AU-6(3)](#au-6.3), - [AU-6(5)](#au-6.5), [AU-6(6)](#au-6.6), [AU-6(9)](#au-6.9), [AU-7(1)](#au-7.1), - [AU-7(2)](#au-7.2), [AU-11](#au-11), [AU-13](#au-13), [AU-16](#au-16), - [CA-2(1)](#ca-2.1), [CA-2(2)](#ca-2.2), [CA-2(3)](#ca-2.3), [CA-3(1)](#ca-3.1), - [CA-3(2)](#ca-3.2), [CA-3(3)](#ca-3.3), [CA-7(1)](#ca-7.1), [CA-9](#ca-9), - [CM-2(2)](#cm-2.2), [CM-3(1)](#cm-3.1), [CM-3(4)](#cm-3.4), [CM-4](#cm-4), - [CM-6](#cm-6), [CM-6(1)](#cm-6.1), [CM-7(2)](#cm-7.2), [CM-7(4)](#cm-7.4), - [CM-7(5)](#cm-7.5), [CM-8(all)](#cm-8), [CM-9(1)](#cm-9.1), [CM-10](#cm-10), - [CM-11](#cm-11), [CP-7(all)](#cp-7), [CP-8(all)](#cp-8), [SC-43](#sc-43), - [SI-2](#si-2), [SI-3](#si-3), [SI-4(all)](#si-4), [SI-7](#si-7), [SI-8](#si-8). - - name: objective - props: - - name: label - value: PL-09 - class: sp800-53A - prose: "{{ insert: param, pl-09_odp }} are centrally managed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing security and privacy plan development and - implementation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy planning - and plan implementation responsibilities - - - organizational personnel with responsibilities for planning/implementing - central management of controls and related processes - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PL-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the central management of - controls and related processes - - - automated mechanisms supporting and/or implementing central management - of controls and related processes - - id: pl-10 - class: SP800-53 - title: Baseline Selection - props: - - name: label - value: PL-10 - - name: sort-id - value: pl-10 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#599fb53d-5041-444e-a7fe-640d6d30ad05" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#46d9e201-840e-440e-987c-2c773333c752" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#4e4fbc93-333d-45e6-a875-de36b878b6b9" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pl-11" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: pl-10_smt - name: statement - prose: Select a control baseline for the system. - - id: pl-10_gdn - name: guidance - prose: Control baselines are predefined sets of controls specifically - assembled to address the protection needs of a group, organization, - or community of interest. Controls are chosen for baselines to either - satisfy mandates imposed by laws, executive orders, directives, regulations, - policies, standards, and guidelines or address threats common to all - users of the baseline under the assumptions specific to the baseline. - Baselines represent a starting point for the protection of individuals’ - privacy, information, and information systems with subsequent tailoring - actions to manage risk in accordance with mission, business, or other - constraints (see [PL-11](#pl-11) ). Federal control baselines are - provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) . - The selection of a control baseline is determined by the needs of - stakeholders. Stakeholder needs consider mission and business requirements - as well as mandates imposed by applicable laws, executive orders, - directives, policies, regulations, standards, and guidelines. For - example, the control baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) - are based on the requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9) - and [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) . The requirements, - along with the NIST standards and guidelines implementing the legislation, - direct organizations to select one of the control baselines after - the reviewing the information types and the information that is processed, - stored, and transmitted on the system; analyzing the potential adverse - impact of the loss or compromise of the information or system on the - organization’s operations and assets, individuals, other organizations, - or the Nation; and considering the results from system and organizational - risk assessments. [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) - provides guidance on control baselines for national security systems. - - name: objective - props: - - name: label - value: PL-10 - class: sp800-53A - prose: a control baseline for the system is selected. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing system security and privacy plan development - and implementation - - - procedures addressing system security and privacy plan reviews - and updates - - - system design documentation - - - system architecture and configuration documentation - - - system categorization decision - - - information types stored, transmitted, and processed by the system - - - system element/component information - - - stakeholder needs analysis - - - list of security and privacy requirements allocated to the system, - system elements, and environment of operation - - - list of contractual requirements allocated to external providers - of the system or system element - - - business impact analysis or criticality analysis - - - risk assessments - - - risk management strategy - - - organizational security and privacy policy - - - federal or organization-approved or mandated baselines or overlays - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy planning - and plan implementation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with responsibility for organizational - risk management activities - - id: pl-11 - class: SP800-53 - title: Baseline Tailoring - props: - - name: label - value: PL-11 - - name: sort-id - value: pl-11 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#599fb53d-5041-444e-a7fe-640d6d30ad05" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#46d9e201-840e-440e-987c-2c773333c752" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#4e4fbc93-333d-45e6-a875-de36b878b6b9" - rel: reference - - href: "#pl-10" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: pl-11_smt - name: statement - prose: Tailor the selected control baseline by applying specified tailoring - actions. - - id: pl-11_gdn - name: guidance - prose: The concept of tailoring allows organizations to specialize or - customize a set of baseline controls by applying a defined set of - tailoring actions. Tailoring actions facilitate such specialization - and customization by allowing organizations to develop security and - privacy plans that reflect their specific mission and business functions, - the environments where their systems operate, the threats and vulnerabilities - that can affect their systems, and any other conditions or situations - that can impact their mission or business success. Tailoring guidance - is provided in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) - . Tailoring a control baseline is accomplished by identifying and - designating common controls, applying scoping considerations, selecting - compensating controls, assigning values to control parameters, supplementing - the control baseline with additional controls as needed, and providing - information for control implementation. The general tailoring actions - in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) can be supplemented - with additional actions based on the needs of organizations. Tailoring - actions can be applied to the baselines in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) - in accordance with the security and privacy requirements from [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) - . Alternatively, other communities of interest adopting different - control baselines can apply the tailoring actions in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752) - to specialize or customize the controls that represent the specific - needs and concerns of those entities. - - name: objective - props: - - name: label - value: PL-11 - class: sp800-53A - prose: the selected control baseline is tailored by applying specified - tailoring actions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PL-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Security and privacy planning policy - - - procedures addressing system security and privacy plan development - and implementation - - - system design documentation - - - system categorization decision - - - information types stored, transmitted, and processed by the system - - - system element/component information - - - stakeholder needs analysis - - - list of security and privacy requirements allocated to the system, - system elements, and environment of operation - - - list of contractual requirements allocated to external providers - of the system or system element - - - business impact analysis or criticality analysis - - - risk assessments - - - risk management strategy - - - organizational security and privacy policy - - - federal or organization-approved or mandated baselines or overlays - - - baseline tailoring rationale - - - system security plan - - - privacy plan - - - records of system security and privacy plan reviews and updates - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PL-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy planning - and plan implementation responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: pm - class: family - title: Program Management - parts: - - id: pm_ovw - name: overview - title: Program Management Controls - prose: >- - [FISMA](#0c67b2a9-bede-43d2-b86d-5f35b8be36e9), - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) , and [OMB - A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) require federal - agencies to develop, implement, and provide oversight for - organization-wide information security and privacy programs to help - ensure the confidentiality, integrity, and availability of federal - information processed, stored, and transmitted by federal - information systems and to protect individual privacy. The program - management (PM) controls described in this section are implemented - at the organization level and not directed at individual information - systems. The PM controls have been designed to facilitate - organizational compliance with applicable federal laws, executive - orders, directives, policies, regulations, and standards. The - controls are independent of [FIPS - 200](#599fb53d-5041-444e-a7fe-640d6d30ad05) impact levels and, - therefore, are not associated with the control baselines described - in [SP 800-53B](#46d9e201-840e-440e-987c-2c773333c752). - - - Organizations document program management controls in the information - security and privacy program plans. The organization-wide information - security program plan (see [PM-1](#pm-1) ) and privacy program plan (see - [PM-18](#pm-18) ) supplement system security and privacy plans (see [PL-2](#pl-2) - ) developed for organizational information systems. Together, the system - security and privacy plans for the individual information systems and - the information security and privacy program plans cover the totality - of security and privacy controls employed by the organization. - controls: - - id: pm-1 - class: SP800-53 - title: Information Security Program Plan - params: - - id: pm-01_odp.01 - props: - - name: legacy-identifier - value: pm-1_prm_1 - - name: label - value: PM-01_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to review and update the organization-wide - information security program plan is defined; - - id: pm-01_odp.02 - props: - - name: legacy-identifier - value: pm-1_prm_2 - - name: label - value: PM-01_ODP[02] - label: events - guidelines: - - prose: events that trigger the review and update of the organization-wide - information security program plan are defined; - props: - - name: label - value: PM-01 - - name: sort-id - value: pm-01 - links: - - href: "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pm-18" - rel: related - - href: "#pm-30" - rel: related - - href: "#ra-9" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: pm-1_smt - name: statement - parts: - - id: pm-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and disseminate an organization-wide information\ - \ security program plan that:" - parts: - - id: pm-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Provides an overview of the requirements for the security - program and a description of the security program management - controls and common controls in place or planned for meeting - those requirements; - - id: pm-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Includes the identification and assignment of roles, - responsibilities, management commitment, coordination among - organizational entities, and compliance; - - id: pm-1_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Reflects the coordination among organizational entities - responsible for information security; and - - id: pm-1_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Is approved by a senior official with responsibility - and accountability for the risk being incurred to organizational - operations (including mission, functions, image, and reputation), - organizational assets, individuals, other organizations, and - the Nation; - - id: pm-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the organization-wide information security\ - \ program plan {{ insert: param, pm-01_odp.01 }} and following\ - \ {{ insert: param, pm-01_odp.02 }} ; and" - - id: pm-1_smt.c - name: item - props: - - name: label - value: c. - prose: Protect the information security program plan from unauthorized - disclosure and modification. - - id: pm-1_gdn - name: guidance - prose: >- - An information security program plan is a formal document that - provides an overview of the security requirements for an - organization-wide information security program and describes the - program management controls and common controls in place or - planned for meeting those requirements. An information security - program plan can be represented in a single document or - compilations of documents. Privacy program plans and supply - chain risk management plans are addressed separately in - [PM-18](#pm-18) and [SR-2](#sr-2) , respectively. - - - An information security program plan documents implementation details - about program management and common controls. The plan provides sufficient - information about the controls (including specification of parameters - for assignment and selection operations, explicitly or by reference) - to enable implementations that are unambiguously compliant with the - intent of the plan and a determination of the risk to be incurred - if the plan is implemented as intended. Updates to information security - program plans include organizational changes and problems identified - during plan implementation or control assessments. - - - Program management controls may be implemented at the organization - level or the mission or business process level, and are essential - for managing the organization’s information security program. Program - management controls are distinct from common, system-specific, and - hybrid controls because program management controls are independent - of any particular system. Together, the individual system security - plans and the organization-wide information security program plan - provide complete coverage for the security controls employed within - the organization. - - - Common controls available for inheritance by organizational systems - are documented in an appendix to the organization’s information security - program plan unless the controls are included in a separate security - plan for a system. The organization-wide information security program - plan indicates which separate security plans contain descriptions - of common controls. - - - Events that may precipitate an update to the information security - program plan include, but are not limited to, organization-wide assessment - or audit findings, security incidents or breaches, or changes in laws, - executive orders, directives, regulations, policies, standards, and - guidelines. - - name: objective - props: - - name: label - value: PM-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-01a.[01] - class: sp800-53A - prose: an organization-wide information security program plan - is developed; - - name: objective - props: - - name: label - value: PM-01a.[02] - class: sp800-53A - prose: the information security program plan is disseminated; - - name: objective - props: - - name: label - value: PM-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-01a.01[01] - class: sp800-53A - prose: the information security program plan provides an - overview of the requirements for the security program; - - name: objective - props: - - name: label - value: PM-01a.01[02] - class: sp800-53A - prose: the information security program plan provides a - description of the security program management controls - in place or planned for meeting those requirements; - - name: objective - props: - - name: label - value: PM-01a.01[03] - class: sp800-53A - prose: the information security program plan provides a - description of the common controls in place or planned - for meeting those requirements; - - name: objective - props: - - name: label - value: PM-01a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-01a.02[01] - class: sp800-53A - prose: the information security program plan includes the - identification and assignment of roles; - - name: objective - props: - - name: label - value: PM-01a.02[02] - class: sp800-53A - prose: the information security program plan includes the - identification and assignment of responsibilities; - - name: objective - props: - - name: label - value: PM-01a.02[03] - class: sp800-53A - prose: the information security program plan addresses management - commitment; - - name: objective - props: - - name: label - value: PM-01a.02[04] - class: sp800-53A - prose: the information security program plan addresses coordination - among organizational entities; - - name: objective - props: - - name: label - value: PM-01a.02[05] - class: sp800-53A - prose: the information security program plan addresses compliance; - - name: objective - props: - - name: label - value: PM-01a.03 - class: sp800-53A - prose: the information security program plan reflects the coordination - among the organizational entities responsible for information - security; - - name: objective - props: - - name: label - value: PM-01a.04 - class: sp800-53A - prose: the information security program plan is approved by - a senior official with responsibility and accountability for - the risk being incurred to organizational operations (including - mission, functions, image, and reputation), organizational - assets, individuals, other organizations, and the Nation; - - name: objective - props: - - name: label - value: PM-01b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-01b.[01] - class: sp800-53A - prose: "the information security program plan is reviewed and\ - \ updated {{ insert: param, pm-01_odp.01 }};" - - name: objective - props: - - name: label - value: PM-01b.[02] - class: sp800-53A - prose: "the information security program plan is reviewed and\ - \ updated following {{ insert: param, pm-01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-01-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - procedures addressing program plan development and implementation - - - procedures addressing program plan reviews and updates - - - procedures addressing coordination of the program plan with relevant - entities - - - procedures for program plan approvals - - - records of program plan reviews and updates - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security program - planning and plan implementation responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-01-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for information security program - plan development, review, update, and approval - - - automated mechanisms supporting and/or implementing the information - security program plan - - id: pm-2 - class: SP800-53 - title: Information Security Program Leadership Role - props: - - name: label - value: PM-02 - - name: sort-id - value: pm-02 - links: - - href: "#81c44706-0227-4258-a920-620a4d259990" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - parts: - - id: pm-2_smt - name: statement - prose: Appoint a senior agency information security officer with the - mission and resources to coordinate, develop, implement, and maintain - an organization-wide information security program. - - id: pm-2_gdn - name: guidance - prose: The senior agency information security officer is an organizational - official. For federal agencies (as defined by applicable laws, executive - orders, regulations, directives, policies, and standards), this official - is the senior agency information security officer. Organizations may - also refer to this official as the senior information security officer - or chief information security officer. - - name: objective - props: - - name: label - value: PM-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-02[01] - class: sp800-53A - prose: a senior agency information security officer is appointed; - - name: objective - props: - - name: label - value: PM-02[02] - class: sp800-53A - prose: the senior agency information security officer is provided - with the mission and resources to coordinate an organization-wide - information security program; - - name: objective - props: - - name: label - value: PM-02[03] - class: sp800-53A - prose: the senior agency information security officer is provided - with the mission and resources to develop an organization-wide - information security program; - - name: objective - props: - - name: label - value: PM-02[04] - class: sp800-53A - prose: the senior agency information security officer is provided - with the mission and resources to implement an organization-wide - information security program; - - name: objective - props: - - name: label - value: PM-02[05] - class: sp800-53A - prose: the senior agency information security officer is provided - with the mission and resources to maintain an organization-wide - information security program. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - procedures addressing program plan development and implementation - - - procedures addressing program plan reviews and updates - - - procedures addressing coordination of the program plan with relevant - entities - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security program - planning and plan implementation responsibilities - - - senior information security officer - - - organizational personnel with information security responsibilities - - id: pm-3 - class: SP800-53 - title: Information Security and Privacy Resources - props: - - name: label - value: PM-03 - - name: sort-id - value: pm-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#pm-4" - rel: related - - href: "#sa-2" - rel: related - parts: - - id: pm-3_smt - name: statement - parts: - - id: pm-3_smt.a - name: item - props: - - name: label - value: a. - prose: Include the resources needed to implement the information - security and privacy programs in capital planning and investment - requests and document all exceptions to this requirement; - - id: pm-3_smt.b - name: item - props: - - name: label - value: b. - prose: Prepare documentation required for addressing information - security and privacy programs in capital planning and investment - requests in accordance with applicable laws, executive orders, - directives, policies, regulations, standards; and - - id: pm-3_smt.c - name: item - props: - - name: label - value: c. - prose: Make available for expenditure, the planned information security - and privacy resources. - - id: pm-3_gdn - name: guidance - prose: Organizations consider establishing champions for information - security and privacy and, as part of including the necessary resources, - assign specialized expertise and resources as needed. Organizations - may designate and empower an Investment Review Board or similar group - to manage and provide oversight for the information security and privacy - aspects of the capital planning and investment control process. - - name: objective - props: - - name: label - value: PM-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-03a.[01] - class: sp800-53A - prose: the resources needed to implement the information security - program are included in capital planning and investment requests, - and all exceptions are documented; - - name: objective - props: - - name: label - value: PM-03a.[02] - class: sp800-53A - prose: the resources needed to implement the privacy program - are included in capital planning and investment requests, - and all exceptions are documented; - - name: objective - props: - - name: label - value: PM-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-03b.[01] - class: sp800-53A - prose: the documentation required for addressing the information - security program in capital planning and investment requests - is prepared in accordance with applicable laws, Executive - Orders, directives, policies, regulations, standards; - - name: objective - props: - - name: label - value: PM-03b.[02] - class: sp800-53A - prose: the documentation required for addressing the privacy - program in capital planning and investment requests is prepared - in accordance with applicable laws, Executive Orders, directives, - policies, regulations, standards; - - name: objective - props: - - name: label - value: PM-03c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-03c.[01] - class: sp800-53A - prose: information security resources are made available for - expenditure as planned; - - name: objective - props: - - name: label - value: PM-03c.[02] - class: sp800-53A - prose: privacy resources are made available for expenditure - as planned. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Information security program plan - - Exhibit 300 - - Exhibit 53 - - business cases for capital planning and investment - - procedures for capital planning and investment - - documentation of exceptions to capital planning requirements - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security program - planning responsibilities - - - organizational personnel responsible for capital planning and - investment - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for capital planning and investment - - - organizational processes for business case, Exhibit 300, and Exhibit - 53 development - - - automated mechanisms supporting the capital planning and investment - process - - id: pm-4 - class: SP800-53 - title: Plan of Action and Milestones Process - props: - - name: label - value: PM-04 - - name: sort-id - value: pm-04 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#ca-5" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-3" - rel: related - - href: "#ra-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pm-4_smt - name: statement - parts: - - id: pm-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement a process to ensure that plans of action and milestones\ - \ for the information security, privacy, and supply chain risk\ - \ management programs and associated organizational systems:" - parts: - - id: pm-4_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Are developed and maintained; - - id: pm-4_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Document the remedial information security, privacy, - and supply chain risk management actions to adequately respond - to risk to organizational operations and assets, individuals, - other organizations, and the Nation; and - - id: pm-4_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Are reported in accordance with established reporting - requirements. - - id: pm-4_smt.b - name: item - props: - - name: label - value: b. - prose: Review plans of action and milestones for consistency with - the organizational risk management strategy and organization-wide - priorities for risk response actions. - - id: pm-4_gdn - name: guidance - prose: The plan of action and milestones is a key organizational document - and is subject to reporting requirements established by the Office - of Management and Budget. Organizations develop plans of action and - milestones with an organization-wide perspective, prioritizing risk - response actions and ensuring consistency with the goals and objectives - of the organization. Plan of action and milestones updates are based - on findings from control assessments and continuous monitoring activities. - There can be multiple plans of action and milestones corresponding - to the information system level, mission/business process level, and - organizational/governance level. While plans of action and milestones - are required for federal organizations, other types of organizations - can help reduce risk by documenting and tracking planned remediations. - Specific guidance on plans of action and milestones at the system - level is provided in [CA-5](#ca-5). - - name: objective - props: - - name: label - value: PM-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04a.01[01] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the information security program and associated organizational - systems are developed; - - name: objective - props: - - name: label - value: PM-04a.01[02] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the information security program and associated organizational - systems are maintained; - - name: objective - props: - - name: label - value: PM-04a.01[03] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the privacy program and associated organizational - systems are developed; - - name: objective - props: - - name: label - value: PM-04a.01[04] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the privacy program and associated organizational - systems are maintained; - - name: objective - props: - - name: label - value: PM-04a.01[05] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the supply chain risk management program and associated - organizational systems are developed; - - name: objective - props: - - name: label - value: PM-04a.01[06] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the supply chain risk management program and associated - organizational systems are maintained; - - name: objective - props: - - name: label - value: PM-04a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04a.02[01] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the information security program and associated organizational - systems document remedial information security risk management - actions to adequately respond to risks to organizational - operations and assets, individuals, other organizations, - and the Nation; - - name: objective - props: - - name: label - value: PM-04a.02[02] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the privacy program and associated organizational - systems document remedial privacy risk management actions - to adequately respond to risks to organizational operations - and assets, individuals, other organizations, and the - Nation; - - name: objective - props: - - name: label - value: PM-04a.02[03] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the supply chain risk management program and associated - organizational systems document remedial supply chain - risk management actions to adequately respond to risks - to organizational operations and assets, individuals, - other organizations, and the Nation; - - name: objective - props: - - name: label - value: PM-04a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04a.03[01] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the information security risk management programs - and associated organizational systems are reported in - accordance with established reporting requirements; - - name: objective - props: - - name: label - value: PM-04a.03[02] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the privacy risk management programs and associated - organizational systems are reported in accordance with - established reporting requirements; - - name: objective - props: - - name: label - value: PM-04a.03[03] - class: sp800-53A - prose: a process to ensure that plans of action and milestones - for the supply chain risk management programs and associated - organizational systems are reported in accordance with - established reporting requirements; - - name: objective - props: - - name: label - value: PM-04b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-04b.[01] - class: sp800-53A - prose: plans of action and milestones are reviewed for consistency - with the organizational risk management strategy; - - name: objective - props: - - name: label - value: PM-04b.[02] - class: sp800-53A - prose: plans of action and milestones are reviewed for consistency - with organization-wide priorities for risk response actions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - plans of action and milestones - - - procedures addressing plans of action and milestones development - and maintenance - - - procedures addressing plans of action and milestones reporting - - - procedures for reviewing plans of action and milestones for consistency - with risk management strategy and risk response priorities - - - results of risk assessments associated with plans of action and - milestones - - - OMB FISMA reporting requirements - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing, maintaining, reviewing, and reporting plans of - action and milestones - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for plan of action and milestones - development, review, maintenance, and reporting - - - automated mechanisms supporting plans of action and milestones - - id: pm-5 - class: SP800-53 - title: System Inventory - params: - - id: pm-05_odp - props: - - name: legacy-identifier - value: pm-5_prm_1 - - name: label - value: PM-05_ODP - label: frequency - guidelines: - - prose: the frequency at which to update the inventory of organizational - systems is defined; - props: - - name: label - value: PM-05 - - name: sort-id - value: pm-05 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - parts: - - id: pm-5_smt - name: statement - prose: "Develop and update {{ insert: param, pm-05_odp }} an inventory\ - \ of organizational systems." - - id: pm-5_gdn - name: guidance - prose: "[OMB A-130](#27847491-5ce1-4f6a-a1e4-9e483782f0ef) provides\ - \ guidance on developing systems inventories and associated reporting\ - \ requirements. System inventory refers to an organization-wide inventory\ - \ of systems, not system components as described in [CM-8](#cm-8)." - - name: objective - props: - - name: label - value: PM-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-05[01] - class: sp800-53A - prose: an inventory of organizational systems is developed; - - name: objective - props: - - name: label - value: PM-05[02] - class: sp800-53A - prose: "the inventory of organizational systems is updated {{ insert:\ - \ param, pm-05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - system inventory - - - procedures addressing system inventory development and maintenance - - - OMB FISMA reporting guidance - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security program - planning and plan implementation responsibilities - - - organizational personnel responsible for developing and maintaining - the system inventory - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system inventory development - and maintenance - - - automated mechanisms supporting the system inventory - controls: - - id: pm-5.1 - class: SP800-53-enhancement - title: Inventory of Personally Identifiable Information - params: - - id: pm-05.01_odp - props: - - name: legacy-identifier - value: pm-5.1_prm_1 - - name: label - value: PM-05(01)_ODP - label: frequency - guidelines: - - prose: the frequency at which to update the inventory of systems, - applications, and projects that process personally identifiable - information is defined; - props: - - name: label - value: PM-05(01) - - name: sort-id - value: pm-05.01 - links: - - href: "#pm-5" - rel: required - - href: "#ac-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-12" - rel: related - - href: "#cm-13" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-5.1_smt - name: statement - prose: "Establish, maintain, and update {{ insert: param, pm-05.01_odp\ - \ }} an inventory of all systems, applications, and projects that\ - \ process personally identifiable information." - - id: pm-5.1_gdn - name: guidance - prose: An inventory of systems, applications, and projects that - process personally identifiable information supports the mapping - of data actions, providing individuals with privacy notices, maintaining - accurate personally identifiable information, and limiting the - processing of personally identifiable information when such information - is not needed for operational purposes. Organizations may use - this inventory to ensure that systems only process the personally - identifiable information for authorized purposes and that this - processing is still relevant and necessary for the purpose specified - therein. - - name: objective - props: - - name: label - value: PM-05(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-05(01)[01] - class: sp800-53A - prose: an inventory of all systems, applications, and projects - that process personally identifiable information is established; - - name: objective - props: - - name: label - value: PM-05(01)[02] - class: sp800-53A - prose: an inventory of all systems, applications, and projects - that process personally identifiable information is maintained; - - name: objective - props: - - name: label - value: PM-05(01)[03] - class: sp800-53A - prose: "an inventory of all systems, applications, and projects\ - \ that process personally identifiable information is updated\ - \ {{ insert: param, pm-05.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Procedures addressing system inventory development, - maintenance, and updates - - - OMB FISMA reporting guidance - - - privacy program plan - - - information security program plan - - - personally identifiable information processing policy - - - system inventory - - - personally identifiable information inventory - - - data mapping documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program planning - and plan implementation responsibilities - - - organizational personnel responsible for developing and maintaining - the system inventory - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system inventory - development, maintenance, and updates - - - automated mechanisms supporting the system inventory - - id: pm-6 - class: SP800-53 - title: Measures of Performance - props: - - name: label - value: PM-06 - - name: sort-id - value: pm-06 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#7798067b-4ed0-4adc-a505-79dad4741693" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - parts: - - id: pm-6_smt - name: statement - prose: Develop, monitor, and report on the results of information security - and privacy measures of performance. - - id: pm-6_gdn - name: guidance - prose: Measures of performance are outcome-based metrics used by an - organization to measure the effectiveness or efficiency of the information - security and privacy programs and the controls employed in support - of the program. To facilitate security and privacy risk management, - organizations consider aligning measures of performance with the organizational - risk tolerance as defined in the risk management strategy. - - name: objective - props: - - name: label - value: PM-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-06[01] - class: sp800-53A - prose: information security measures of performance are developed; - - name: objective - props: - - name: label - value: PM-06[02] - class: sp800-53A - prose: information security measures of performance are monitored; - - name: objective - props: - - name: label - value: PM-06[03] - class: sp800-53A - prose: the results of information security measures of performance - are reported; - - name: objective - props: - - name: label - value: PM-06[04] - class: sp800-53A - prose: privacy measures of performance are developed; - - name: objective - props: - - name: label - value: PM-06[05] - class: sp800-53A - prose: privacy measures of performance are monitored; - - name: objective - props: - - name: label - value: PM-06[06] - class: sp800-53A - prose: the results of privacy measures of performance are reported. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - information security measures of performance - - - privacy measures of performance - - - procedures addressing the development, monitoring, and reporting - of information security and privacy measures of performance - - - risk management strategy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for developing, monitoring, - and reporting information security and privacy measures of performance - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for developing, monitoring, and - reporting information security and privacy measures of - performance - - - automated mechanisms supporting the development, monitoring, and - reporting of information security and privacy measures of performance - - id: pm-7 - class: SP800-53 - title: Enterprise Architecture - props: - - name: label - value: PM-07 - - name: sort-id - value: pm-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#au-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-11" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - parts: - - id: pm-7_smt - name: statement - prose: Develop and maintain an enterprise architecture with consideration - for information security, privacy, and the resulting risk to organizational - operations and assets, individuals, other organizations, and the Nation. - - id: pm-7_gdn - name: guidance - prose: The integration of security and privacy requirements and controls - into the enterprise architecture helps to ensure that security and - privacy considerations are addressed throughout the system development - life cycle and are explicitly related to the organization’s mission - and business processes. The process of security and privacy requirements - integration also embeds into the enterprise architecture and the organization’s - security and privacy architectures consistent with the organizational - risk management strategy. For PM-7, security and privacy architectures - are developed at a system-of-systems level, representing all organizational - systems. For [PL-8](#pl-8) , the security and privacy architectures - are developed at a level that represents an individual system. The - system-level architectures are consistent with the security and privacy - architectures defined for the organization. Security and privacy requirements - and control integration are most effectively accomplished through - the rigorous application of the Risk Management Framework [SP 800-37](#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8) - and supporting security standards and guidelines. - - name: objective - props: - - name: label - value: PM-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-07[01] - class: sp800-53A - prose: an enterprise architecture is developed with consideration - for information security; - - name: objective - props: - - name: label - value: PM-07[02] - class: sp800-53A - prose: an enterprise architecture is maintained with consideration - for information security; - - name: objective - props: - - name: label - value: PM-07[03] - class: sp800-53A - prose: an enterprise architecture is developed with consideration - for privacy; - - name: objective - props: - - name: label - value: PM-07[04] - class: sp800-53A - prose: an enterprise architecture is maintained with consideration - for privacy; - - name: objective - props: - - name: label - value: PM-07[05] - class: sp800-53A - prose: an enterprise architecture is developed with consideration - for the resulting risk to organizational operations and assets, - individuals, other organizations, and the Nation; - - name: objective - props: - - name: label - value: PM-07[06] - class: sp800-53A - prose: an enterprise architecture is maintained with consideration - for the resulting risk to organizational operations and assets, - individuals, other organizations, and the Nation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Information security program plan - - privacy program plan - - enterprise architecture documentation - - procedures addressing enterprise architecture development - - results of risk assessments of enterprise architecture - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for developing enterprise - architecture - - - organizational personnel responsible for risk assessments of enterprise - architecture - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for enterprise architecture - development - - - automated mechanisms supporting the enterprise architecture and - its development - controls: - - id: pm-7.1 - class: SP800-53-enhancement - title: Offloading - params: - - id: pm-07.01_odp - props: - - name: legacy-identifier - value: pm-7.1_prm_1 - - name: label - value: PM-07(01)_ODP - label: non-essential functions or services - guidelines: - - prose: non-essential functions or services to be offloaded are - defined; - props: - - name: label - value: PM-07(01) - - name: sort-id - value: pm-07.01 - links: - - href: "#pm-7" - rel: required - - href: "#sa-8" - rel: related - parts: - - id: pm-7.1_smt - name: statement - prose: "Offload {{ insert: param, pm-07.01_odp }} to other systems,\ - \ system components, or an external provider." - - id: pm-7.1_gdn - name: guidance - prose: Not every function or service that a system provides is essential - to organizational mission or business functions. Printing or copying - is an example of a non-essential but supporting service for an - organization. Whenever feasible, such supportive but non-essential - functions or services are not co-located with the functions or - services that support essential mission or business functions. - Maintaining such functions on the same system or system component - increases the attack surface of the organization’s mission-essential - functions or services. Moving supportive but non-essential functions - to a non-critical system, system component, or external provider - can also increase efficiency by putting those functions or services - under the control of individuals or providers who are subject - matter experts in the functions or services. - - name: objective - props: - - name: label - value: PM-07(01) - class: sp800-53A - prose: "{{ insert: param, pm-07.01_odp }} are offloaded to other\ - \ systems, system components, or an external provider." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - enterprise architecture documentation - - - procedures addressing enterprise architecture development - - - procedures for identifying and offloading functions or services - - - results of risk assessments of enterprise architecture - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for developing enterprise - architecture - - - organizational personnel responsible for risk assessments - of enterprise architecture - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for enterprise architecture - development - - - automated mechanisms supporting the enterprise architecture - and its development - - - mechanisms for offloading functions and services - - id: pm-8 - class: SP800-53 - title: Critical Infrastructure Plan - props: - - name: label - value: PM-08 - - name: sort-id - value: pm-08 - links: - - href: "#3406fdc0-d61c-44a9-a5ca-84180544c83a" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#488d6934-00b2-4252-bf23-1b3c2d71eb13" - rel: reference - - href: "#b9951d04-6385-478c-b1a3-ab68c19d9041" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#pe-18" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-11" - rel: related - - href: "#pm-18" - rel: related - - href: "#ra-3" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pm-8_smt - name: statement - prose: Address information security and privacy issues in the development, - documentation, and updating of a critical infrastructure and key resources - protection plan. - - id: pm-8_gdn - name: guidance - prose: Protection strategies are based on the prioritization of critical - assets and resources. The requirement and guidance for defining critical - infrastructure and key resources and for preparing an associated critical - infrastructure protection plan are found in applicable laws, executive - orders, directives, policies, regulations, standards, and guidelines. - - name: objective - props: - - name: label - value: PM-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-08[01] - class: sp800-53A - prose: information security issues are addressed in the development - of a critical infrastructure and key resources protection plan; - - name: objective - props: - - name: label - value: PM-08[02] - class: sp800-53A - prose: information security issues are addressed in the documentation - of a critical infrastructure and key resources protection plan; - - name: objective - props: - - name: label - value: PM-08[03] - class: sp800-53A - prose: information security issues are addressed in the update of - a critical infrastructure and key resources protection plan; - - name: objective - props: - - name: label - value: PM-08[04] - class: sp800-53A - prose: privacy issues are addressed in the development of a critical - infrastructure and key resources protection plan; - - name: objective - props: - - name: label - value: PM-08[05] - class: sp800-53A - prose: privacy issues are addressed in the documentation of a critical - infrastructure and key resources protection plan; - - name: objective - props: - - name: label - value: PM-08[06] - class: sp800-53A - prose: privacy issues are addressed in the update of a critical - infrastructure and key resources protection plan. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - critical infrastructure and key resources protection plan - - - procedures addressing the development, documentation, and updating - of the critical infrastructure and key resources protection plan - - - HSPD 7 - - - National Infrastructure Protection Plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for developing, documenting, - and updating the critical infrastructure and key resources protection - plan - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for developing, documenting, and - updating the critical infrastructure and key resources - protection plan - - - automated mechanisms supporting the development, documentation, - and updating of the critical infrastructure and key resources - protection plan - - id: pm-9 - class: SP800-53 - title: Risk Management Strategy - params: - - id: pm-09_odp - props: - - name: legacy-identifier - value: pm-9_prm_1 - - name: label - value: PM-09_ODP - label: frequency - guidelines: - - prose: the frequency at which to review and update the risk management - strategy is defined; - props: - - name: label - value: PM-09 - - name: sort-id - value: pm-09 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#ac-1" - rel: related - - href: "#au-1" - rel: related - - href: "#at-1" - rel: related - - href: "#ca-1" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-1" - rel: related - - href: "#cp-1" - rel: related - - href: "#ia-1" - rel: related - - href: "#ir-1" - rel: related - - href: "#ma-1" - rel: related - - href: "#mp-1" - rel: related - - href: "#pe-1" - rel: related - - href: "#pl-1" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-2" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-18" - rel: related - - href: "#pm-28" - rel: related - - href: "#pm-30" - rel: related - - href: "#ps-1" - rel: related - - href: "#pt-1" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-1" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-1" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-1" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-1" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-1" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: pm-9_smt - name: statement - parts: - - id: pm-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Develops a comprehensive strategy to manage:" - parts: - - id: pm-9_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Security risk to organizational operations and assets, - individuals, other organizations, and the Nation associated - with the operation and use of organizational systems; and - - id: pm-9_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Privacy risk to individuals resulting from the authorized - processing of personally identifiable information; - - id: pm-9_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the risk management strategy consistently across - the organization; and - - id: pm-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the risk management strategy {{ insert:\ - \ param, pm-09_odp }} or as required, to address organizational\ - \ changes." - - id: pm-9_gdn - name: guidance - prose: An organization-wide risk management strategy includes an expression - of the security and privacy risk tolerance for the organization, security - and privacy risk mitigation strategies, acceptable risk assessment - methodologies, a process for evaluating security and privacy risk - across the organization with respect to the organization’s risk tolerance, - and approaches for monitoring risk over time. The senior accountable - official for risk management (agency head or designated official) - aligns information security management processes with strategic, operational, - and budgetary planning processes. The risk executive function, led - by the senior accountable official for risk management, can facilitate - consistent application of the risk management strategy organization-wide. - The risk management strategy can be informed by security and privacy - risk-related inputs from other sources, both internal and external - to the organization, to ensure that the strategy is broad-based and - comprehensive. The supply chain risk management strategy described - in [PM-30](#pm-30) can also provide useful inputs to the organization-wide - risk management strategy. - - name: objective - props: - - name: label - value: PM-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-09a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-09a.01 - class: sp800-53A - prose: a comprehensive strategy is developed to manage security - risk to organizational operations and assets, individuals, - other organizations, and the Nation associated with the operation - and use of organizational systems; - - name: objective - props: - - name: label - value: PM-09a.02 - class: sp800-53A - prose: a comprehensive strategy is developed to manage privacy - risk to individuals resulting from the authorized processing - of personally identifiable information; - - name: objective - props: - - name: label - value: PM-09b. - class: sp800-53A - prose: the risk management strategy is implemented consistently - across the organization; - - name: objective - props: - - name: label - value: PM-09c. - class: sp800-53A - prose: "the risk management strategy is reviewed and updated {{\ - \ insert: param, pm-09_odp }} or as required to address organizational\ - \ changes." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - risk management strategy - - - supply chain risk management strategy - - - procedures addressing the development, implementation, review, - and update of the risk management strategy - - - risk assessment results relevant to the risk management strategy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for the development, implementation, - review, and update of the risk management strategy - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the development, - implementation, review, and update of the risk management - strategy - - - automated mechanisms supporting the development, implementation, - review, and update of the risk management strategy - - id: pm-10 - class: SP800-53 - title: Authorization Process - props: - - name: label - value: PM-10 - - name: sort-id - value: pm-10 - links: - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: pm-10_smt - name: statement - parts: - - id: pm-10_smt.a - name: item - props: - - name: label - value: a. - prose: Manage the security and privacy state of organizational systems - and the environments in which those systems operate through authorization - processes; - - id: pm-10_smt.b - name: item - props: - - name: label - value: b. - prose: Designate individuals to fulfill specific roles and responsibilities - within the organizational risk management process; and - - id: pm-10_smt.c - name: item - props: - - name: label - value: c. - prose: Integrate the authorization processes into an organization-wide - risk management program. - - id: pm-10_gdn - name: guidance - prose: Authorization processes for organizational systems and environments - of operation require the implementation of an organization-wide risk - management process and associated security and privacy standards and - guidelines. Specific roles for risk management processes include a - risk executive (function) and designated authorizing officials for - each organizational system and common control provider. The authorization - processes for the organization are integrated with continuous monitoring - processes to facilitate ongoing understanding and acceptance of security - and privacy risks to organizational operations, organizational assets, - individuals, other organizations, and the Nation. - - name: objective - props: - - name: label - value: PM-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-10a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-10a.[01] - class: sp800-53A - prose: the security state of organizational systems and the - environments in which those systems operate are managed through - authorization processes; - - name: objective - props: - - name: label - value: PM-10a.[02] - class: sp800-53A - prose: the privacy state of organizational systems and the environments - in which those systems operate are managed through authorization - processes; - - name: objective - props: - - name: label - value: PM-10b. - class: sp800-53A - prose: individuals are designated to fulfill specific roles and - responsibilities within the organizational risk management process; - - name: objective - props: - - name: label - value: PM-10c. - class: sp800-53A - prose: the authorization processes are integrated into an organization-wide - risk management program. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - procedures addressing management (i.e., documentation, tracking, - and reporting) of the authorization process - - - assessment, authorization, and monitoring policy - - - assessment, authorization, and monitoring procedures - - - system authorization documentation - - - lists or other documentation about authorization process roles - and responsibilities - - - risk assessment results relevant to the authorization process - and the organization-wide risk management program - - - organizational risk management strategy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for management of the authorization - process - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-10-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for authorization - - automated mechanisms supporting the authorization process - - id: pm-11 - class: SP800-53 - title: Mission and Business Process Definition - params: - - id: pm-11_odp - props: - - name: legacy-identifier - value: pm-11_prm_1 - - name: label - value: PM-11_ODP - label: frequency - guidelines: - - prose: the frequency at which to review and revise the mission and - business processes is defined; - props: - - name: label - value: PM-11 - - name: sort-id - value: pm-11 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#cp-2" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-7" - rel: related - - href: "#pm-8" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-2" - rel: related - parts: - - id: pm-11_smt - name: statement - parts: - - id: pm-11_smt.a - name: item - props: - - name: label - value: a. - prose: Define organizational mission and business processes with - consideration for information security and privacy and the resulting - risk to organizational operations, organizational assets, individuals, - other organizations, and the Nation; and - - id: pm-11_smt.b - name: item - props: - - name: label - value: b. - prose: Determine information protection and personally identifiable - information processing needs arising from the defined mission - and business processes; and - - id: pm-11_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and revise the mission and business processes {{\ - \ insert: param, pm-11_odp }}." - - id: pm-11_gdn - name: guidance - prose: Protection needs are technology-independent capabilities that - are required to counter threats to organizations, individuals, systems, - and the Nation through the compromise of information (i.e., loss of - confidentiality, integrity, availability, or privacy). Information - protection and personally identifiable information processing needs - are derived from the mission and business needs defined by organizational - stakeholders, the mission and business processes designed to meet - those needs, and the organizational risk management strategy. Information - protection and personally identifiable information processing needs - determine the required controls for the organization and the systems. - Inherent to defining protection and personally identifiable information - processing needs is an understanding of the adverse impact that could - result if a compromise or breach of information occurs. The categorization - process is used to make such potential impact determinations. Privacy - risks to individuals can arise from the compromise of personally identifiable - information, but they can also arise as unintended consequences or - a byproduct of the processing of personally identifiable information - at any stage of the information life cycle. Privacy risk assessments - are used to prioritize the risks that are created for individuals - from system processing of personally identifiable information. These - risk assessments enable the selection of the required privacy controls - for the organization and systems. Mission and business process definitions - and the associated protection requirements are documented in accordance - with organizational policies and procedures. - - name: objective - props: - - name: label - value: PM-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-11a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-11a.[01] - class: sp800-53A - prose: organizational mission and business processes are defined - with consideration for information security; - - name: objective - props: - - name: label - value: PM-11a.[02] - class: sp800-53A - prose: organizational mission and business processes are defined - with consideration for privacy; - - name: objective - props: - - name: label - value: PM-11a.[03] - class: sp800-53A - prose: organizational mission and business processes are defined - with consideration for the resulting risk to organizational - operations, organizational assets, individuals, other organizations, - and the Nation; - - name: objective - props: - - name: label - value: PM-11b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-11b.[01] - class: sp800-53A - prose: information protection needs arising from the defined - mission and business processes are determined; - - name: objective - props: - - name: label - value: PM-11b.[02] - class: sp800-53A - prose: personally identifiable information processing needs - arising from the defined mission and business processes are - determined; - - name: objective - props: - - name: label - value: PM-11c. - class: sp800-53A - prose: "the mission and business processes are reviewed and revised\ - \ {{ insert: param, pm-11_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - risk management strategy - - - procedures for determining mission and business protection needs - - - information security and privacy risk assessment results relevant - to the determination of mission and business protection needs - - - personally identifiable information processing policy - - - personally identifiable information inventory - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for enterprise risk management - - - organizational personnel responsible for determining information - protection needs for mission and business processes - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-11-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for defining mission and business - processes and their information protection needs - - id: pm-12 - class: SP800-53 - title: Insider Threat Program - props: - - name: label - value: PM-12 - - name: sort-id - value: pm-12 - links: - - href: "#0af071a6-cf8e-48ee-8c82-fe91efa20f94" - rel: reference - - href: "#528135e3-c65b-461a-93d3-46513610f792" - rel: reference - - href: "#06d74ea9-2178-449c-a9c5-b2980f804ac8" - rel: reference - - href: "#ac-6" - rel: related - - href: "#at-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-7" - rel: related - - href: "#ia-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#mp-7" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-16" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-7" - rel: related - - href: "#ps-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-4" - rel: related - - href: "#pm-14" - rel: related - parts: - - id: pm-12_smt - name: statement - prose: Implement an insider threat program that includes a cross-discipline - insider threat incident handling team. - - id: pm-12_gdn - name: guidance - prose: >- - Organizations that handle classified information are required, - under Executive Order 13587 [EO - 13587](#0af071a6-cf8e-48ee-8c82-fe91efa20f94) and the National - Insider Threat Policy [ODNI - NITP](#06d74ea9-2178-449c-a9c5-b2980f804ac8) , to establish - insider threat programs. The same standards and guidelines that - apply to insider threat programs in classified environments can - also be employed effectively to improve the security of - controlled unclassified and other information in non-national - security systems. Insider threat programs include controls to - detect and prevent malicious insider activity through the - centralized integration and analysis of both technical and - nontechnical information to identify potential insider threat - concerns. A senior official is designated by the department or - agency head as the responsible individual to implement and - provide oversight for the program. In addition to the - centralized integration and analysis capability, insider threat - programs require organizations to prepare department or agency - insider threat policies and implementation plans, conduct - host-based user monitoring of individual employee activities on - government-owned classified computers, provide insider threat - awareness training to employees, receive access to information - from offices in the department or agency for insider threat - analysis, and conduct self-assessments of department or agency - insider threat posture. - - - Insider threat programs can leverage the existence of incident handling - teams that organizations may already have in place, such as computer - security incident response teams. Human resources records are especially - important in this effort, as there is compelling evidence to show - that some types of insider crimes are often preceded by nontechnical - behaviors in the workplace, including ongoing patterns of disgruntled - behavior and conflicts with coworkers and other colleagues. These - precursors can guide organizational officials in more focused, targeted - monitoring efforts. However, the use of human resource records could - raise significant concerns for privacy. The participation of a legal - team, including consultation with the senior agency official for privacy, - ensures that monitoring activities are performed in accordance with - applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. - - name: objective - props: - - name: label - value: PM-12 - class: sp800-53A - prose: an insider threat program that includes a cross-discipline insider - threat incident handling team is implemented. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for the insider threat program - - - members of the cross-discipline insider threat incident handling - team - - - legal counsel - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-12-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing the insider threat - program and the cross-discipline insider threat incident - handling team - - - automated mechanisms supporting and/or implementing the insider - threat program and the cross-discipline insider threat incident - handling team - - id: pm-13 - class: SP800-53 - title: Security and Privacy Workforce - props: - - name: label - value: PM-13 - - name: sort-id - value: pm-13 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - parts: - - id: pm-13_smt - name: statement - prose: Establish a security and privacy workforce development and improvement - program. - - id: pm-13_gdn - name: guidance - prose: Security and privacy workforce development and improvement programs - include defining the knowledge, skills, and abilities needed to perform - security and privacy duties and tasks; developing role-based training - programs for individuals assigned security and privacy roles and responsibilities; - and providing standards and guidelines for measuring and building - individual qualifications for incumbents and applicants for security- - and privacy-related positions. Such workforce development and improvement - programs can also include security and privacy career paths to encourage - security and privacy professionals to advance in the field and fill - positions with greater responsibility. The programs encourage organizations - to fill security- and privacy-related positions with qualified personnel. - Security and privacy workforce development and improvement programs - are complementary to organizational security awareness and training - programs and focus on developing and institutionalizing the core security - and privacy capabilities of personnel needed to protect organizational - operations, assets, and individuals. - - name: objective - props: - - name: label - value: PM-13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-13[01] - class: sp800-53A - prose: a security workforce development and improvement program - is established; - - name: objective - props: - - name: label - value: PM-13[02] - class: sp800-53A - prose: a privacy workforce development and improvement program is - established. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-13-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - information security and privacy workforce development and improvement - program documentation - - - procedures for the information security and privacy workforce - development and improvement program - - - information security and privacy role-based training program documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for the information security - and privacy workforce development and improvement program - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-13-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing the information - security and privacy workforce development and improvement - program - - - automated mechanisms supporting and/or implementing the information - security and privacy workforce development and improvement program - - id: pm-14 - class: SP800-53 - title: Testing, Training, and Monitoring - props: - - name: label - value: PM-14 - - name: sort-id - value: pm-14 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#122177fa-c4ed-485d-8345-3082c0fb9a06" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-3" - rel: related - - href: "#pm-12" - rel: related - - href: "#si-4" - rel: related - parts: - - id: pm-14_smt - name: statement - parts: - - id: pm-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement a process for ensuring that organizational plans\ - \ for conducting security and privacy testing, training, and monitoring\ - \ activities associated with organizational systems:" - parts: - - id: pm-14_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Are developed and maintained; and - - id: pm-14_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Continue to be executed; and - - id: pm-14_smt.b - name: item - props: - - name: label - value: b. - prose: Review testing, training, and monitoring plans for consistency - with the organizational risk management strategy and organization-wide - priorities for risk response actions. - - id: pm-14_gdn - name: guidance - prose: A process for organization-wide security and privacy testing, - training, and monitoring helps ensure that organizations provide oversight - for testing, training, and monitoring activities and that those activities - are coordinated. With the growing importance of continuous monitoring - programs, the implementation of information security and privacy across - the three levels of the risk management hierarchy and the widespread - use of common controls, organizations coordinate and consolidate the - testing and monitoring activities that are routinely conducted as - part of ongoing assessments supporting a variety of controls. Security - and privacy training activities, while focused on individual systems - and specific roles, require coordination across all organizational - elements. Testing, training, and monitoring plans and activities are - informed by current threat and vulnerability assessments. - - name: objective - props: - - name: label - value: PM-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-14a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-14a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-14a.01[01] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting security testing, training, and monitoring - activities associated with organizational systems are - developed; - - name: objective - props: - - name: label - value: PM-14a.01[02] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting security testing, training, and monitoring - activities associated with organizational systems are - maintained; - - name: objective - props: - - name: label - value: PM-14a.01[03] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting privacy testing, training, and monitoring - activities associated with organizational systems are - developed; - - name: objective - props: - - name: label - value: PM-14a.01[04] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting privacy testing, training, and monitoring - activities associated with organizational systems are - maintained; - - name: objective - props: - - name: label - value: PM-14a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-14a.02[01] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting security testing, training, and monitoring - activities associated with organizational systems continue - to be executed; - - name: objective - props: - - name: label - value: PM-14a.02[02] - class: sp800-53A - prose: a process is implemented for ensuring that organizational - plans for conducting privacy testing, training, and monitoring - activities associated with organizational systems continue - to be executed; - - name: objective - props: - - name: label - value: PM-14b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-14b.[01] - class: sp800-53A - prose: testing, training, and monitoring plans are reviewed - for consistency with the organizational risk management strategy; - - name: objective - props: - - name: label - value: PM-14b.[02] - class: sp800-53A - prose: training plans are reviewed for consistency with the - organizational risk management strategy; - - name: objective - props: - - name: label - value: PM-14b.[03] - class: sp800-53A - prose: monitoring plans are reviewed for consistency with the - organizational risk management strategy; - - name: objective - props: - - name: label - value: PM-14b.[04] - class: sp800-53A - prose: testing plans are reviewed for consistency with organization-wide - priorities for risk response actions; - - name: objective - props: - - name: label - value: PM-14b.[05] - class: sp800-53A - prose: training plans are reviewed for consistency with organization-wide - priorities for risk response actions; - - name: objective - props: - - name: label - value: PM-14b.[06] - class: sp800-53A - prose: monitoring plans are reviewed for consistency with organization-wide - priorities for risk response actions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-14-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - plans for conducting security and privacy testing, training, and - monitoring activities - - - organizational procedures addressing the development and maintenance - of plans for conducting security and privacy testing, training, - and monitoring activities - - - risk management strategy - - - procedures for the review of plans for conducting security and - privacy testing, training, and monitoring activities for consistency - with risk management strategy and risk response priorities - - - results of risk assessments associated with conducting security - and privacy testing, training, and monitoring activities - - - documentation of the timely execution of plans for conducting - security and privacy testing, training, and monitoring activities - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with responsibilities for - developing and maintaining plans for conducting security and - privacy testing, training, and monitoring activities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-14-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the development and maintenance - of plans for conducting security and privacy testing, - training, and monitoring activities - - - automated mechanisms supporting the development and maintenance - of plans for conducting security and privacy testing, training, - and monitoring activities - - id: pm-15 - class: SP800-53 - title: Security and Privacy Groups and Associations - props: - - name: label - value: PM-15 - - name: sort-id - value: pm-15 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#sa-11" - rel: related - - href: "#si-5" - rel: related - parts: - - id: pm-15_smt - name: statement - prose: "Establish and institutionalize contact with selected groups\ - \ and associations within the security and privacy communities:" - parts: - - id: pm-15_smt.a - name: item - props: - - name: label - value: a. - prose: To facilitate ongoing security and privacy education and - training for organizational personnel; - - id: pm-15_smt.b - name: item - props: - - name: label - value: b. - prose: To maintain currency with recommended security and privacy - practices, techniques, and technologies; and - - id: pm-15_smt.c - name: item - props: - - name: label - value: c. - prose: To share current security and privacy information, including - threats, vulnerabilities, and incidents. - - id: pm-15_gdn - name: guidance - prose: Ongoing contact with security and privacy groups and associations - is important in an environment of rapidly changing technologies and - threats. Groups and associations include special interest groups, - professional associations, forums, news groups, users’ groups, and - peer groups of security and privacy professionals in similar organizations. - Organizations select security and privacy groups and associations - based on mission and business functions. Organizations share threat, - vulnerability, and incident information as well as contextual insights, - compliance techniques, and privacy problems consistent with applicable - laws, executive orders, directives, policies, regulations, standards, - and guidelines. - - name: objective - props: - - name: label - value: PM-15 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-15a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-15a.[01] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the security community to facilitate - ongoing security education and training for organizational - personnel; - - name: objective - props: - - name: label - value: PM-15a.[02] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the privacy community to facilitate - ongoing privacy education and training for organizational - personnel; - - name: objective - props: - - name: label - value: PM-15b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-15b.[01] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the security community to maintain - currency with recommended security practices, techniques, - and technologies; - - name: objective - props: - - name: label - value: PM-15b.[02] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the privacy community to maintain - currency with recommended privacy practices, techniques, and - technologies; - - name: objective - props: - - name: label - value: PM-15c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-15c.[01] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the security community to share - current security information, including threats, vulnerabilities, - and incidents; - - name: objective - props: - - name: label - value: PM-15c.[02] - class: sp800-53A - prose: contact is established and institutionalized with selected - groups and associations within the privacy community to share - current privacy information, including threats, vulnerabilities, - and incidents. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-15-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - risk management strategy - - - procedures for establishing and institutionalizing contacts with - security and privacy groups and associations - - - lists or other records of contacts with and/or membership in security - and privacy groups and associations - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-15-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for establishing and institutionalizing - contact with security and privacy groups and associations - - - organizational personnel with information security and privacy - responsibilities - - - personnel from selected groups and associations with which the - organization has established and institutionalized contact - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-15-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for establishing and - institutionalizing contact with security and privacy groups - and associations - - - automated mechanisms supporting contact with security and privacy - groups and associations - - id: pm-16 - class: SP800-53 - title: Threat Awareness Program - props: - - name: label - value: PM-16 - - name: sort-id - value: pm-16 - links: - - href: "#ir-4" - rel: related - - href: "#pm-12" - rel: related - parts: - - id: pm-16_smt - name: statement - prose: Implement a threat awareness program that includes a cross-organization - information-sharing capability for threat intelligence. - - id: pm-16_gdn - name: guidance - prose: Because of the constantly changing and increasing sophistication - of adversaries, especially the advanced persistent threat (APT), it - may be more likely that adversaries can successfully breach or compromise - organizational systems. One of the best techniques to address this - concern is for organizations to share threat information, including - threat events (i.e., tactics, techniques, and procedures) that organizations - have experienced, mitigations that organizations have found are effective - against certain types of threats, and threat intelligence (i.e., indications - and warnings about threats). Threat information sharing may be bilateral - or multilateral. Bilateral threat sharing includes government-to-commercial - and government-to-government cooperatives. Multilateral threat sharing - includes organizations taking part in threat-sharing consortia. Threat - information may require special agreements and protection, or it may - be freely shared. - - name: objective - props: - - name: label - value: PM-16 - class: sp800-53A - prose: a threat awareness program that includes a cross-organization - information-sharing capability for threat intelligence is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - threat awareness program policy - - - threat awareness program procedures - - - risk assessment results relevant to threat awareness - - - documentation about the cross-organization information-sharing - capability - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for the threat awareness - program - - - organizational personnel responsible for the cross-organization - information-sharing capability - - - organizational personnel with information security and privacy - responsibilities - - - external personnel with whom threat awareness information is shared - by the organization - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-16-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing the threat - awareness program - - - organizational processes for implementing the cross-organization - information-sharing capability - - - automated mechanisms supporting and/or implementing the threat - awareness program - - - automated mechanisms supporting and/or implementing the cross-organization - information-sharing capability - controls: - - id: pm-16.1 - class: SP800-53-enhancement - title: Automated Means for Sharing Threat Intelligence - props: - - name: label - value: PM-16(01) - - name: sort-id - value: pm-16.01 - links: - - href: "#pm-16" - rel: required - parts: - - id: pm-16.1_smt - name: statement - prose: Employ automated mechanisms to maximize the effectiveness - of sharing threat intelligence information. - - id: pm-16.1_gdn - name: guidance - prose: To maximize the effectiveness of monitoring, it is important - to know what threat observables and indicators the sensors need - to be searching for. By using well-established frameworks, services, - and automated tools, organizations improve their ability to rapidly - share and feed the relevant threat detection signatures into monitoring - tools. - - name: objective - props: - - name: label - value: PM-16(01) - class: sp800-53A - prose: automated mechanisms are employed to maximize the effectiveness - of sharing threat intelligence information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-16(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - threat awareness program policy - - - threat awareness program procedures - - - risk assessment results related to threat awareness - - - documentation about the cross-organization information-sharing - capability - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-16(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy program planning and plan implementation - responsibilities - - - organizational personnel responsible for the threat awareness - program - - - organizational personnel responsible for the cross-organization - information-sharing capability - - - organizational personnel with information security and privacy - responsibilities - - - external personnel with whom threat awareness information - is shared by the organization - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-16(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing the threat - awareness program - - - organizational processes for implementing the cross-organization - information-sharing capability - - - automated mechanisms supporting and/or implementing the threat - awareness program - - - automated mechanisms supporting and/or implementing the cross-organization - information-sharing capability - - id: pm-17 - class: SP800-53 - title: Protecting Controlled Unclassified Information on External Systems - params: - - id: pm-17_odp - props: - - name: legacy-identifier - value: pm-17_prm_1 - - name: label - value: PM-17_ODP - label: frequency - guidelines: - - prose: the frequency at which to review and update the policy and - procedures is defined; - props: - - name: label - value: PM-17 - - name: sort-id - value: pm-17 - links: - - href: "#91f992fb-f668-4c91-a50f-0f05b95ccee3" - rel: reference - - href: "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849" - rel: reference - - href: "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e" - rel: reference - - href: "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94" - rel: reference - - href: "#ca-6" - rel: related - - href: "#pm-10" - rel: related - parts: - - id: pm-17_smt - name: statement - parts: - - id: pm-17_smt.a - name: item - props: - - name: label - value: a. - prose: Establish policy and procedures to ensure that requirements - for the protection of controlled unclassified information that - is processed, stored or transmitted on external systems, are implemented - in accordance with applicable laws, executive orders, directives, - policies, regulations, and standards; and - - id: pm-17_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the policy and procedures {{ insert: param,\ - \ pm-17_odp }}." - - id: pm-17_gdn - name: guidance - prose: Controlled unclassified information is defined by the National - Archives and Records Administration along with the safeguarding and - dissemination requirements for such information and is codified in - [32 CFR 2002](#91f992fb-f668-4c91-a50f-0f05b95ccee3) and, specifically - for systems external to the federal organization, [32 CFR 2002.14h](https://www.govinfo.gov/content/pkg/CFR-2017-title32-vol6/xml/CFR-2017-title32-vol6-part2002.xml) - . The policy prescribes the specific use and conditions to be implemented - in accordance with organizational procedures, including via its contracting - processes. - - name: objective - props: - - name: label - value: PM-17 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-17a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-17a.[01] - class: sp800-53A - prose: policy is established to ensure that requirements for - the protection of controlled unclassified information that - is processed, stored, or transmitted on external systems are - implemented in accordance with applicable laws, Executive - Orders, directives, policies, regulations, and standards; - - name: objective - props: - - name: label - value: PM-17a.[02] - class: sp800-53A - prose: procedures are established to ensure that requirements - for the protection of controlled unclassified information - that is processed, stored, or transmitted on external systems - are implemented in accordance with applicable laws, Executive - Orders, directives, policies, regulations, and standards; - - name: objective - props: - - name: label - value: PM-17b. - class: sp800-53A - prose: "policy and procedures are reviewed and updated {{ insert:\ - \ param, pm-17_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-17-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Controlled unclassified information policy - - controlled unclassified information procedures - - other relevant documents or records. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with controlled unclassified - information responsibilities - - - organizational personnel with information security responsibilities. - - id: pm-18 - class: SP800-53 - title: Privacy Program Plan - params: - - id: pm-18_odp - props: - - name: legacy-identifier - value: pm-18_prm_1 - - name: label - value: PM-18_ODP - label: frequency - guidelines: - - prose: the frequency of updates to the privacy program plan is defined; - props: - - name: label - value: PM-18 - - name: sort-id - value: pm-18 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-18_smt - name: statement - parts: - - id: pm-18_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and disseminate an organization-wide privacy program\ - \ plan that provides an overview of the agency’s privacy program,\ - \ and:" - parts: - - id: pm-18_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Includes a description of the structure of the privacy - program and the resources dedicated to the privacy program; - - id: pm-18_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Provides an overview of the requirements for the privacy - program and a description of the privacy program management - controls and common controls in place or planned for meeting - those requirements; - - id: pm-18_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Includes the role of the senior agency official for privacy - and the identification and assignment of roles of other privacy - officials and staff and their responsibilities; - - id: pm-18_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Describes management commitment, compliance, and the - strategic goals and objectives of the privacy program; - - id: pm-18_smt.a.5 - name: item - props: - - name: label - value: "05." - prose: Reflects coordination among organizational entities responsible - for the different aspects of privacy; and - - id: pm-18_smt.a.6 - name: item - props: - - name: label - value: "06." - prose: Is approved by a senior official with responsibility - and accountability for the privacy risk being incurred to - organizational operations (including mission, functions, image, - and reputation), organizational assets, individuals, other - organizations, and the Nation; and - - id: pm-18_smt.b - name: item - props: - - name: label - value: b. - prose: "Update the plan {{ insert: param, pm-18_odp }} and to address\ - \ changes in federal privacy laws and policy and organizational\ - \ changes and problems identified during plan implementation or\ - \ privacy control assessments." - - id: pm-18_gdn - name: guidance - prose: >- - A privacy program plan is a formal document that provides an - overview of an organization’s privacy program, including a - description of the structure of the privacy program, the - resources dedicated to the privacy program, the role of the - senior agency official for privacy and other privacy officials - and staff, the strategic goals and objectives of the privacy - program, and the program management controls and common controls - in place or planned for meeting applicable privacy requirements - and managing privacy risks. Privacy program plans can be - represented in single documents or compilations of documents. - - - The senior agency official for privacy is responsible for designating - which privacy controls the organization will treat as program management, - common, system-specific, and hybrid controls. Privacy program plans - provide sufficient information about the privacy program management - and common controls (including the specification of parameters and - assignment and selection operations explicitly or by reference) to - enable control implementations that are unambiguously compliant with - the intent of the plans and a determination of the risk incurred if - the plans are implemented as intended. - - - Program management controls are generally implemented at the organization - level and are essential for managing the organization’s privacy program. - Program management controls are distinct from common, system-specific, - and hybrid controls because program management controls are independent - of any particular information system. Together, the privacy plans - for individual systems and the organization-wide privacy program plan - provide complete coverage for the privacy controls employed within - the organization. - - - Common controls are documented in an appendix to the organization’s - privacy program plan unless the controls are included in a separate - privacy plan for a system. The organization-wide privacy program plan - indicates which separate privacy plans contain descriptions of privacy - controls. - - name: objective - props: - - name: label - value: PM-18 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a.[01] - class: sp800-53A - prose: an organization-wide privacy program plan that provides - an overview of the agency’s privacy program is developed; - - name: objective - props: - - name: label - value: PM-18a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a.01[01] - class: sp800-53A - prose: the privacy program plan includes a description of - the structure of the privacy program; - - name: objective - props: - - name: label - value: PM-18a.01[02] - class: sp800-53A - prose: the privacy program plan includes a description of - the resources dedicated to the privacy program; - - name: objective - props: - - name: label - value: PM-18a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a.02[01] - class: sp800-53A - prose: the privacy program plan provides an overview of - the requirements for the privacy program; - - name: objective - props: - - name: label - value: PM-18a.02[02] - class: sp800-53A - prose: the privacy program plan provides a description of - the privacy program management controls in place or planned - for meeting the requirements of the privacy program; - - name: objective - props: - - name: label - value: PM-18a.02[03] - class: sp800-53A - prose: the privacy program plan provides a description of - common controls in place or planned for meeting the requirements - of the privacy program; - - name: objective - props: - - name: label - value: PM-18a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a.03[01] - class: sp800-53A - prose: the privacy program plan includes the role of the - senior agency official for privacy; - - name: objective - props: - - name: label - value: PM-18a.03[02] - class: sp800-53A - prose: the privacy program plan includes the identification - and assignment of the roles of other privacy officials - and staff and their responsibilities; - - name: objective - props: - - name: label - value: PM-18a.04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18a.04[01] - class: sp800-53A - prose: the privacy program plan describes management commitment; - - name: objective - props: - - name: label - value: PM-18a.04[02] - class: sp800-53A - prose: the privacy program plan describes compliance; - - name: objective - props: - - name: label - value: PM-18a.04[03] - class: sp800-53A - prose: the privacy program plan describes the strategic - goals and objectives of the privacy program; - - name: objective - props: - - name: label - value: PM-18a.05 - class: sp800-53A - prose: the privacy program plan reflects coordination among - organizational entities responsible for the different aspects - of privacy; - - name: objective - props: - - name: label - value: PM-18a.06 - class: sp800-53A - prose: the privacy program plan is approved by a senior official - with responsibility and accountability for the privacy risk - being incurred by organizational operations (including, mission, - functions, image, and reputation), organizational assets, - individuals, other organizations, and the Nation; - - name: objective - props: - - name: label - value: PM-18a.[02] - class: sp800-53A - prose: the privacy program plan is disseminated; - - name: objective - props: - - name: label - value: PM-18b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-18b.[01] - class: sp800-53A - prose: "the privacy program plan is updated {{ insert: param,\ - \ pm-18_odp }};" - - name: objective - props: - - name: label - value: PM-18b.[02] - class: sp800-53A - prose: the privacy program plan is updated to address changes - in federal privacy laws and policies; - - name: objective - props: - - name: label - value: PM-18b.[03] - class: sp800-53A - prose: the privacy program plan is updated to address organizational - changes; - - name: objective - props: - - name: label - value: PM-18b.[04] - class: sp800-53A - prose: the privacy program plan is updated to address problems - identified during plan implementation or privacy control assessments. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-18-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - procedures addressing program plan development and implementation - - - procedures addressing program plan reviews, updates, and approvals - - - procedures addressing coordination of the program plan with relevant - entities - - - records of program plan reviews, updates, and approvals - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-18-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program planning and - plan implementation responsibilities - - - organizational personnel with privacy responsibilities - - id: pm-19 - class: SP800-53 - title: Privacy Program Leadership Role - props: - - name: label - value: PM-19 - - name: sort-id - value: pm-19 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#pm-18" - rel: related - - href: "#pm-20" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-24" - rel: related - - href: "#pm-27" - rel: related - parts: - - id: pm-19_smt - name: statement - prose: Appoint a senior agency official for privacy with the authority, - mission, accountability, and resources to coordinate, develop, and - implement, applicable privacy requirements and manage privacy risks - through the organization-wide privacy program. - - id: pm-19_gdn - name: guidance - prose: The privacy officer is an organizational official. For federal - agencies—as defined by applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines—this official is - designated as the senior agency official for privacy. Organizations - may also refer to this official as the chief privacy officer. The - senior agency official for privacy also has roles on the data management - board (see [PM-23](#pm-23) ) and the data integrity board (see [PM-24](#pm-24)). - - name: objective - props: - - name: label - value: PM-19 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-19[01] - class: sp800-53A - prose: a senior agency official for privacy with authority, mission, - accountability, and resources is appointed; - - name: objective - props: - - name: label - value: PM-19[02] - class: sp800-53A - prose: the senior agency official for privacy coordinates applicable - privacy requirements; - - name: objective - props: - - name: label - value: PM-19[03] - class: sp800-53A - prose: the senior agency official for privacy develops applicable - privacy requirements; - - name: objective - props: - - name: label - value: PM-19[04] - class: sp800-53A - prose: the senior agency official for privacy implements applicable - privacy requirements; - - name: objective - props: - - name: label - value: PM-19[05] - class: sp800-53A - prose: the senior agency official for privacy manages privacy risks - through the organization-wide privacy program. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-19-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program documents, including policies, procedures, - plans, and reports - - - public privacy notices, including Federal Register notices - - - privacy impact assessments - - - privacy risk assessments - - - Privacy Act statements - - - system of records notices - - - computer matching agreements and notices - - - contracts, information sharing agreements, and memoranda of understanding - - - governing requirements, including laws, Executive Orders, regulations, - standards, and guidance - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-19-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program planning and - plan implementation responsibilities - - - organizational personnel with privacy responsibilities - - - senior agency official for privacy - - - privacy officials - - id: pm-20 - class: SP800-53 - title: Dissemination of Privacy Program Information - props: - - name: label - value: PM-20 - - name: sort-id - value: pm-20 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#206a3284-6a7e-423c-8ea9-25b22542541d" - rel: reference - - href: "#ac-3" - rel: related - - href: "#pm-19" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: pm-20_smt - name: statement - prose: "Maintain a central resource webpage on the organization’s principal\ - \ public website that serves as a central source of information about\ - \ the organization’s privacy program and that:" - parts: - - id: pm-20_smt.a - name: item - props: - - name: label - value: a. - prose: Ensures that the public has access to information about organizational - privacy activities and can communicate with its senior agency - official for privacy; - - id: pm-20_smt.b - name: item - props: - - name: label - value: b. - prose: Ensures that organizational privacy practices and reports - are publicly available; and - - id: pm-20_smt.c - name: item - props: - - name: label - value: c. - prose: Employs publicly facing email addresses and/or phone lines - to enable the public to provide feedback and/or direct questions - to privacy offices regarding privacy practices. - - id: pm-20_gdn - name: guidance - prose: For federal agencies, the webpage is located at www.[agency].gov/privacy. - Federal agencies include public privacy impact assessments, system - of records notices, computer matching notices and agreements, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - exemption and implementation rules, privacy reports, privacy policies, - instructions for individuals making an access or amendment request, - email addresses for questions/complaints, blogs, and periodic publications. - - name: objective - props: - - name: label - value: PM-20 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20[01] - class: sp800-53A - prose: a central resource webpage is maintained on the organization’s - principal public website; - - name: objective - props: - - name: label - value: PM-20[02] - class: sp800-53A - prose: the webpage serves as a central source of information about - the organization’s privacy program; - - name: objective - props: - - name: label - value: PM-20a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20a.[01] - class: sp800-53A - prose: the webpage ensures that the public has access to information - about organizational privacy activities; - - name: objective - props: - - name: label - value: PM-20a.[02] - class: sp800-53A - prose: the webpage ensures that the public can communicate with - its senior agency official for privacy; - - name: objective - props: - - name: label - value: PM-20b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20b.[01] - class: sp800-53A - prose: the webpage ensures that organizational privacy practices - are publicly available; - - name: objective - props: - - name: label - value: PM-20b.[02] - class: sp800-53A - prose: the webpage ensures that organizational privacy reports - are publicly available; - - name: objective - props: - - name: label - value: PM-20c. - class: sp800-53A - prose: the webpage employs publicly facing email addresses and/or - phone numbers to enable the public to provide feedback and/or - direct questions to privacy offices regarding privacy practices. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Public website - - - publicly posted privacy program documents, including policies, - procedures, plans, and reports - - - position description of the senior agency official for privacy - - - public privacy notices, including Federal Register notices - - - privacy impact assessments - - - privacy risk assessments - - - Privacy Act statements and system of records notices - - - computer matching agreements and notices - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program information - dissemination responsibilities - - - organizational personnel with privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-20-Test - class: sp800-53A - parts: - - name: objects - prose: Location, access, availability, and functionality of privacy - resource webpage - controls: - - id: pm-20.1 - class: SP800-53-enhancement - title: Privacy Policies on Websites, Applications, and Digital Services - props: - - name: label - value: PM-20(01) - - name: sort-id - value: pm-20.01 - links: - - href: "#pm-20" - rel: required - parts: - - id: pm-20.1_smt - name: statement - prose: "Develop and post privacy policies on all external-facing\ - \ websites, mobile applications, and other digital services, that:" - parts: - - id: pm-20.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Are written in plain language and organized in a way - that is easy to understand and navigate; - - id: pm-20.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide information needed by the public to make an informed - decision about whether and how to interact with the organization; - and - - id: pm-20.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Are updated whenever the organization makes a substantive - change to the practices it describes and includes a time/date - stamp to inform the public of the date of the most recent - changes. - - id: pm-20.1_gdn - name: guidance - prose: Organizations post privacy policies on all external-facing - websites, mobile applications, and other digital services. Organizations - post a link to the relevant privacy policy on any known, major - entry points to the website, application, or digital service. - In addition, organizations provide a link to the privacy policy - on any webpage that collects personally identifiable information. - Organizations may be subject to applicable laws, executive orders, - directives, regulations, or policies that require the provision - of specific information to the public. Organizational personnel - consult with the senior agency official for privacy and legal - counsel regarding such requirements. - - name: objective - props: - - name: label - value: PM-20(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20(01)[01] - class: sp800-53A - prose: privacy policies are developed and posted on all external-facing - websites; - - name: objective - props: - - name: label - value: PM-20(01)[02] - class: sp800-53A - prose: privacy policies are developed and posted on all mobile - applications; - - name: objective - props: - - name: label - value: PM-20(01)[03] - class: sp800-53A - prose: privacy policies are developed and posted on all other - digital services; - - name: objective - props: - - name: label - value: PM-20(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20(01)(a)[01] - class: sp800-53A - prose: the privacy policies are written in plain language; - - name: objective - props: - - name: label - value: PM-20(01)(a)[02] - class: sp800-53A - prose: the privacy policies are organized in a way that - is easy to understand and navigate; - - name: objective - props: - - name: label - value: PM-20(01)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20(01)(b)[01] - class: sp800-53A - prose: the privacy policies provide the information needed - by the public to make an informed decision about whether - to interact with the organization; - - name: objective - props: - - name: label - value: PM-20(01)(b)[02] - class: sp800-53A - prose: the privacy policies provide the information needed - by the public to make an informed decision about how to - interact with the organization; - - name: objective - props: - - name: label - value: PM-20(01)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-20(01)(c)[01] - class: sp800-53A - prose: the privacy policies are updated whenever the organization - makes a substantive change to the practices it describes; - - name: objective - props: - - name: label - value: PM-20(01)(c)[02] - class: sp800-53A - prose: the privacy policies include a time/date stamp to - inform the public of the date of the most recent changes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-20(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - privacy policies on the agency website, mobile applications, - and/or other digital services - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-20(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program - information dissemination responsibilities - - - organizational personnel with privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-20(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational procedures and practices for authorizing, - conducting, managing, and reviewing personally - identifiable information processing - - - organizational procedures and practices for disseminating - privacy program information - - - automated mechanisms supporting the dissemination of privacy - program information - - id: pm-21 - class: SP800-53 - title: Accounting of Disclosures - props: - - name: label - value: PM-21 - - name: sort-id - value: pm-21 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#pt-2" - rel: related - parts: - - id: pm-21_smt - name: statement - parts: - - id: pm-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and maintain an accurate accounting of disclosures\ - \ of personally identifiable information, including:" - parts: - - id: pm-21_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Date, nature, and purpose of each disclosure; and - - id: pm-21_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Name and address, or other contact information of the - individual or organization to which the disclosure was made; - - id: pm-21_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the accounting of disclosures for the length of the - time the personally identifiable information is maintained or - five years after the disclosure is made, whichever is longer; - and - - id: pm-21_smt.c - name: item - props: - - name: label - value: c. - prose: Make the accounting of disclosures available to the individual - to whom the personally identifiable information relates upon request. - - id: pm-21_gdn - name: guidance - prose: >- - The purpose of accounting of disclosures is to allow individuals - to learn to whom their personally identifiable information has - been disclosed, to provide a basis for subsequently advising - recipients of any corrected or disputed personally identifiable - information, and to provide an audit trail for subsequent - reviews of organizational compliance with conditions for - disclosures. For federal agencies, keeping an accounting of - disclosures is required by the - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) ; agencies - should consult with their senior agency official for privacy and - legal counsel on this requirement and be aware of the statutory - exceptions and OMB guidance relating to the provision. - - - Organizations can use any system for keeping notations of disclosures, - if it can construct from such a system, a document listing of all - disclosures along with the required information. Automated mechanisms - can be used by organizations to determine when personally identifiable - information is disclosed, including commercial services that provide - notifications and alerts. Accounting of disclosures may also be used - to help organizations verify compliance with applicable privacy statutes - and policies governing the disclosure or dissemination of information - and dissemination restrictions. - - name: objective - props: - - name: label - value: PM-21 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-21a. - class: sp800-53A - prose: an accurate accounting of disclosures of personally identifiable - information is developed and maintained; - parts: - - name: objective - props: - - name: label - value: PM-21a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-21a.01[01] - class: sp800-53A - prose: the accounting includes the date of each disclosure; - - name: objective - props: - - name: label - value: PM-21a.01[02] - class: sp800-53A - prose: the accounting includes the nature of each disclosure; - - name: objective - props: - - name: label - value: PM-21a.01[03] - class: sp800-53A - prose: the accounting includes the purpose of each disclosure; - - name: objective - props: - - name: label - value: PM-21a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-21a.02[01] - class: sp800-53A - prose: the accounting includes the name of the individual - or organization to whom the disclosure was made; - - name: objective - props: - - name: label - value: PM-21a.02[02] - class: sp800-53A - prose: the accounting includes the address or other contact - information of the individual or organization to whom - the disclosure was made; - - name: objective - props: - - name: label - value: PM-21b. - class: sp800-53A - prose: the accounting of disclosures is retained for the length - of time that the personally identifiable information is maintained - or five years after the disclosure is made, whichever is longer; - - name: objective - props: - - name: label - value: PM-21c. - class: sp800-53A - prose: the accounting of disclosures is made available to the individual - to whom the personally identifiable information relates upon request. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-21-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Privacy program plan - - disclosure policies and procedures - - records of disclosures - - audit logs - - Privacy Act policies and procedures - - system of records notice - - Privacy Act exemption rules. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program - responsibilities - - - organizational personnel with privacy responsibilities. - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-21-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for disclosures - - - automated mechanisms supporting the accounting of disclosures, - including commercial services that provide notifications and alerts. - - id: pm-22 - class: SP800-53 - title: Personally Identifiable Information Quality Management - props: - - name: label - value: PM-22 - - name: sort-id - value: pm-22 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#227063d4-431e-435f-9e8f-009b6dbc20f4" - rel: reference - - href: "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2" - rel: reference - - href: "#pm-23" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-22_smt - name: statement - prose: "Develop and document organization-wide policies and procedures\ - \ for:" - parts: - - id: pm-22_smt.a - name: item - props: - - name: label - value: a. - prose: Reviewing for the accuracy, relevance, timeliness, and completeness - of personally identifiable information across the information - life cycle; - - id: pm-22_smt.b - name: item - props: - - name: label - value: b. - prose: Correcting or deleting inaccurate or outdated personally - identifiable information; - - id: pm-22_smt.c - name: item - props: - - name: label - value: c. - prose: Disseminating notice of corrected or deleted personally identifiable - information to individuals or other appropriate entities; and - - id: pm-22_smt.d - name: item - props: - - name: label - value: d. - prose: Appeals of adverse decisions on correction or deletion requests. - - id: pm-22_gdn - name: guidance - prose: >- - Personally identifiable information quality management includes - steps that organizations take to confirm the accuracy and - relevance of personally identifiable information throughout the - information life cycle. The information life cycle includes the - creation, collection, use, processing, storage, maintenance, - dissemination, disclosure, and disposition of personally - identifiable information. Organizational policies and procedures - for personally identifiable information quality management are - important because inaccurate or outdated personally identifiable - information maintained by organizations may cause problems for - individuals. Organizations consider the quality of personally - identifiable information involved in business functions where - inaccurate information may result in adverse decisions or the - denial of benefits and services, or the disclosure of the - information may cause stigmatization. Correct information, in - certain circumstances, can cause problems for individuals that - outweigh the benefits of organizations maintaining the - information. Organizations consider creating policies and - procedures for the removal of such information. - - - The senior agency official for privacy ensures that practical means - and mechanisms exist and are accessible for individuals or their authorized - representatives to seek the correction or deletion of personally identifiable - information. Processes for correcting or deleting data are clearly - defined and publicly available. Organizations use discretion in determining - whether data is to be deleted or corrected based on the scope of requests, - the changes sought, and the impact of the changes. Additionally, processes - include the provision of responses to individuals of decisions to - deny requests for correction or deletion. The responses include the - reasons for the decisions, a means to record individual objections - to the decisions, and a means of requesting reviews of the initial - determinations. - - - Organizations notify individuals or their designated representatives - when their personally identifiable information is corrected or deleted - to provide transparency and confirm the completed action. Due to the - complexity of data flows and storage, other entities may need to be - informed of the correction or deletion. Notice supports the consistent - correction and deletion of personally identifiable information across - the data ecosystem. - - name: objective - props: - - name: label - value: PM-22 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-22[01] - class: sp800-53A - prose: organization-wide policies for personally identifiable information - quality management are developed and documented; - - name: objective - props: - - name: label - value: PM-22[02] - class: sp800-53A - prose: organization-wide procedures for personally identifiable - information quality management are developed and documented; - - name: objective - props: - - name: label - value: PM-22a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-22a.[01] - class: sp800-53A - prose: the policies address reviewing the accuracy of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[02] - class: sp800-53A - prose: the policies address reviewing the relevance of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[03] - class: sp800-53A - prose: the policies address reviewing the timeliness of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[04] - class: sp800-53A - prose: the policies address reviewing the completeness of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[05] - class: sp800-53A - prose: the procedures address reviewing the accuracy of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[06] - class: sp800-53A - prose: the procedures address reviewing the relevance of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[07] - class: sp800-53A - prose: the procedures address reviewing the timeliness of personally - identifiable information across the information life cycle; - - name: objective - props: - - name: label - value: PM-22a.[08] - class: sp800-53A - prose: the procedures address reviewing the completeness of - personally identifiable information across the information - life cycle; - - name: objective - props: - - name: label - value: PM-22b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-22b.[01] - class: sp800-53A - prose: the policies address correcting or deleting inaccurate - or outdated personally identifiable information; - - name: objective - props: - - name: label - value: PM-22b.[02] - class: sp800-53A - prose: the procedures address correcting or deleting inaccurate - or outdated personally identifiable information; - - name: objective - props: - - name: label - value: PM-22c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-22c.[01] - class: sp800-53A - prose: the policies address disseminating notice of corrected - or deleted personally identifiable information to individuals - or other appropriate entities; - - name: objective - props: - - name: label - value: PM-22c.[02] - class: sp800-53A - prose: the procedures address disseminating notice of corrected - or deleted personally identifiable information to individuals - or other appropriate entities; - - name: objective - props: - - name: label - value: PM-22d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-22d.[01] - class: sp800-53A - prose: the policies address appeals of adverse decisions on - correction or deletion requests; - - name: objective - props: - - name: label - value: PM-22d.[02] - class: sp800-53A - prose: the procedures address appeals of adverse decisions on - correction or deletion requests. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-22-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - policies and procedures addressing personally identifiable information - quality management, information life cycle documentation, and - sample notices of correction or deletion - - - records of monitoring PII quality management practices - - - documentation of reviews and updates of policies and procedures - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program information - dissemination responsibilities - - - organizational personnel with privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-22-Test - class: sp800-53A - parts: - - name: objects - prose: >- - [Organizational processes for data quality and personally - identifiable information quality management procedures - - - automated mechanisms supporting and/or implementing quality management - requirements - - id: pm-23 - class: SP800-53 - title: Data Governance Body - params: - - id: pm-23_odp.01 - props: - - name: legacy-identifier - value: pm-23_prm_1 - - name: label - value: PM-23_ODP[01] - label: roles - guidelines: - - prose: the roles of a data governance body are defined; - - id: pm-23_odp.02 - props: - - name: legacy-identifier - value: pm-23_prm_2 - - name: label - value: PM-23_ODP[02] - label: responsibilities - guidelines: - - prose: the responsibilities of a data governance body are defined; - props: - - name: label - value: PM-23 - - name: sort-id - value: pm-23 - links: - - href: "#511da9ca-604d-43f7-be41-b862085420a9" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#d886c141-c832-4ad7-ac6d-4b94f4b550d3" - rel: reference - - href: "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#pm-19" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-24" - rel: related - - href: "#pt-7" - rel: related - - href: "#si-4" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pm-23_smt - name: statement - prose: "Establish a Data Governance Body consisting of {{ insert: param,\ - \ pm-23_odp.01 }} with {{ insert: param, pm-23_odp.02 }}." - - id: pm-23_gdn - name: guidance - prose: A Data Governance Body can help ensure that the organization - has coherent policies and the ability to balance the utility of data - with security and privacy requirements. The Data Governance Body establishes - policies, procedures, and standards that facilitate data governance - so that data, including personally identifiable information, is effectively - managed and maintained in accordance with applicable laws, executive - orders, directives, regulations, policies, standards, and guidance. - Responsibilities can include developing and implementing guidelines - that support data modeling, quality, integrity, and the de-identification - needs of personally identifiable information across the information - life cycle as well as reviewing and approving applications to release - data outside of the organization, archiving the applications and the - released data, and performing post-release monitoring to ensure that - the assumptions made as part of the data release continue to be valid. - Members include the chief information officer, senior agency information - security officer, and senior agency official for privacy. Federal - agencies are required to establish a Data Governance Body with specific - roles and responsibilities in accordance with the [EVIDACT](#511da9ca-604d-43f7-be41-b862085420a9) - and policies set forth under [OMB M-19-23](#d886c141-c832-4ad7-ac6d-4b94f4b550d3). - - name: objective - props: - - name: label - value: PM-23 - class: sp800-53A - prose: "a data governance body consisting of {{ insert: param, pm-23_odp.01\ - \ }} with {{ insert: param, pm-23_odp.02 }} is established." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-23-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - documentation relating to a data governance body, including documents - establishing such a body, its charter of operations, and any plans - and reports - - - records of board meetings and decisions - - - records of requests to review data - - - policies, procedures, and standards that facilitate data governance - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-23-Interview - class: sp800-53A - parts: - - name: objects - prose: Officials serving on the data governance dody (e.g., chief - information officer, senior agency information security officer, - and senior agency official for privacy) - - id: pm-24 - class: SP800-53 - title: Data Integrity Board - props: - - name: label - value: PM-24 - - name: sort-id - value: pm-24 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#ac-4" - rel: related - - href: "#pm-19" - rel: related - - href: "#pm-23" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-8" - rel: related - parts: - - id: pm-24_smt - name: statement - prose: "Establish a Data Integrity Board to:" - parts: - - id: pm-24_smt.a - name: item - props: - - name: label - value: a. - prose: Review proposals to conduct or participate in a matching - program; and - - id: pm-24_smt.b - name: item - props: - - name: label - value: b. - prose: Conduct an annual review of all matching programs in which - the agency has participated. - - id: pm-24_gdn - name: guidance - prose: A Data Integrity Board is the board of senior officials designated - by the head of a federal agency and is responsible for, among other - things, reviewing the agency’s proposals to conduct or participate - in a matching program and conducting an annual review of all matching - programs in which the agency has participated. As a general matter, - a matching program is a computerized comparison of records from two - or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - systems of records or an automated system of records and automated - records maintained by a non-federal agency (or agent thereof). A matching - program either pertains to Federal benefit programs or Federal personnel - or payroll records. At a minimum, the Data Integrity Board includes - the Inspector General of the agency, if any, and the senior agency - official for privacy. - - name: objective - props: - - name: label - value: PM-24 - class: sp800-53A - prose: a data integrity board is established; - parts: - - name: objective - props: - - name: label - value: PM-24a. - class: sp800-53A - prose: the data integrity board reviews proposals to conduct or - participate in a matching program; - - name: objective - props: - - name: label - value: PM-24b. - class: sp800-53A - prose: the data integrity board conducts an annual review of all - matching programs in which the agency has participated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-24-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - privacy program documents relating to a data integrity board, - including documents establishing the board, its charter of operations, - and any plans and reports - - - computer matching agreements and notices - - - information sharing agreements - - - memoranda of understanding - - - records documenting annual reviews - - - governing requirements, including laws, Executive Orders, regulations, - standards, and guidance - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-24-Interview - class: sp800-53A - parts: - - name: objects - prose: members of the data integrity board (e.g., the chief information - officer, senior information security officer, senior agency official - for privacy, and agency Inspector General) - - id: pm-25 - class: SP800-53 - title: Minimization of Personally Identifiable Information Used in Testing, - Training, and Research - params: - - id: pm-25_prm_1 - props: - - name: aggregates - value: pm-25_odp.01 - label: organization-defined frequency - - id: pm-25_odp.01 - props: - - name: label - value: PM-25_ODP[01] - label: frequency - guidelines: - - prose: the frequency for reviewing policies that address the use - of personally identifiable information for internal testing, training, - and research is defined; - - id: pm-25_odp.02 - props: - - name: label - value: PM-25_ODP[02] - label: frequency - guidelines: - - prose: the frequency for updating policies that address the use - of personally identifiable information for internal testing, training, - and research is defined; - - id: pm-25_odp.03 - props: - - name: label - value: PM-25_ODP[03] - label: frequency - guidelines: - - prose: the frequency for reviewing procedures that address the use - of personally identifiable information for internal testing, training, - and research is defined; - - id: pm-25_odp.04 - props: - - name: label - value: PM-25_ODP[04] - label: frequency - guidelines: - - prose: the frequency for updating procedures that address the use - of personally identifiable information for internal testing, training, - and research is defined; - props: - - name: label - value: PM-25 - - name: sort-id - value: pm-25 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#pm-23" - rel: related - - href: "#pt-3" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pm-25_smt - name: statement - parts: - - id: pm-25_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, document, and implement policies and procedures - that address the use of personally identifiable information for - internal testing, training, and research; - - id: pm-25_smt.b - name: item - props: - - name: label - value: b. - prose: Limit or minimize the amount of personally identifiable information - used for internal testing, training, and research purposes; - - id: pm-25_smt.c - name: item - props: - - name: label - value: c. - prose: Authorize the use of personally identifiable information - when such information is required for internal testing, training, - and research; and - - id: pm-25_smt.d - name: item - props: - - name: label - value: d. - prose: "Review and update policies and procedures {{ insert: param,\ - \ pm-25_prm_1 }}." - - id: pm-25_gdn - name: guidance - prose: The use of personally identifiable information in testing, research, - and training increases the risk of unauthorized disclosure or misuse - of such information. Organizations consult with the senior agency - official for privacy and/or legal counsel to ensure that the use of - personally identifiable information in testing, training, and research - is compatible with the original purpose for which it was collected. - When possible, organizations use placeholder data to avoid exposure - of personally identifiable information when conducting testing, training, - and research. - - name: objective - props: - - name: label - value: PM-25 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-25a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-25a.[01] - class: sp800-53A - prose: policies that address the use of personally identifiable - information for internal testing are developed and documented; - - name: objective - props: - - name: label - value: PM-25a.[02] - class: sp800-53A - prose: policies that address the use of personally identifiable - information for internal training are developed and documented; - - name: objective - props: - - name: label - value: PM-25a.[03] - class: sp800-53A - prose: policies that address the use of personally identifiable - information for internal research are developed and documented; - - name: objective - props: - - name: label - value: PM-25a.[04] - class: sp800-53A - prose: procedures that address the use of personally identifiable - information for internal testing are developed and documented; - - name: objective - props: - - name: label - value: PM-25a.[05] - class: sp800-53A - prose: procedures that address the use of personally identifiable - information for internal training are implemented; - - name: objective - props: - - name: label - value: PM-25a.[06] - class: sp800-53A - prose: procedures that address the use of personally identifiable - information for internal research are implemented; - - name: objective - props: - - name: label - value: PM-25a.[07] - class: sp800-53A - prose: policies and procedures that address the use of personally - identifiable information for internal testing, training, and - research are implemented; - - name: objective - props: - - name: label - value: PM-25b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-25b.[01] - class: sp800-53A - prose: the amount of personally identifiable information used - for internal testing purposes is limited or minimized; - - name: objective - props: - - name: label - value: PM-25b.[02] - class: sp800-53A - prose: the amount of personally identifiable information used - for internal training purposes is limited or minimized; - - name: objective - props: - - name: label - value: PM-25b.[03] - class: sp800-53A - prose: the amount of personally identifiable information used - for internal research purposes is limited or minimized; - - name: objective - props: - - name: label - value: PM-25c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-25c.[01] - class: sp800-53A - prose: the required use of personally identifiable information - for internal testing is authorized; - - name: objective - props: - - name: label - value: PM-25c.[02] - class: sp800-53A - prose: the required use of personally identifiable information - for internal training is authorized; - - name: objective - props: - - name: label - value: PM-25c.[03] - class: sp800-53A - prose: the required use of personally identifiable information - for internal research is authorized; - - name: objective - props: - - name: label - value: PM-25d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-25d.[01] - class: sp800-53A - prose: "policies are reviewed {{ insert: param, pm-25_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: PM-25d.[02] - class: sp800-53A - prose: "policies are updated {{ insert: param, pm-25_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: PM-25d.[03] - class: sp800-53A - prose: "procedures are reviewed {{ insert: param, pm-25_odp.03\ - \ }};" - - name: objective - props: - - name: label - value: PM-25d.[04] - class: sp800-53A - prose: "procedures are updated {{ insert: param, pm-25_odp.04\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-25-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - policies and procedures for the minimization of personally identifiable - information used in testing, training, and research - - - documentation supporting policy implementation (e.g., templates - for testing, training, and research - - - privacy threshold analysis - - - privacy risk assessment) - - - data sets used for testing, training, and research - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-25-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program - responsibilities - - - organizational personnel with privacy responsibilities - - - system developers - - - personnel with IRB responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-25-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for data quality and personally - identifiable information management - - - automated mechanisms supporting data quality management and personally - identifiable information management to minimize the use of personally - identifiable information - - id: pm-26 - class: SP800-53 - title: Complaint Management - params: - - id: pm-26_prm_1 - props: - - name: aggregates - value: pm-25_odp.04 - label: organization-defined time period - - id: pm-26_prm_2 - props: - - name: aggregates - value: pm-26_odp.01 - label: organization-defined time period - - id: pm-26_prm_3 - props: - - name: aggregates - value: pm-26_odp.02 - label: organization-defined time period - - id: pm-26_odp.01 - props: - - name: label - value: PM-26_ODP[01] - label: time period - guidelines: - - prose: the time period in which complaints (including concerns or - questions) from individuals are to be reviewed is defined; - - id: pm-26_odp.02 - props: - - name: label - value: PM-26_ODP[02] - label: time period - guidelines: - - prose: the time period in which complaints (including concerns or - questions) from individuals are to be addressed is defined; - - id: pm-26_odp.03 - props: - - name: label - value: PM-26_ODP[03] - label: time period - guidelines: - - prose: the time period for acknowledging the receipt of complaints - is defined; - - id: pm-26_odp.04 - props: - - name: label - value: PM-26_ODP[04] - label: time period - guidelines: - - prose: the time period for responding to complaints is defined; - props: - - name: label - value: PM-26 - - name: sort-id - value: pm-26 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-22" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-26_smt - name: statement - prose: "Implement a process for receiving and responding to complaints,\ - \ concerns, or questions from individuals about the organizational\ - \ security and privacy practices that includes:" - parts: - - id: pm-26_smt.a - name: item - props: - - name: label - value: a. - prose: Mechanisms that are easy to use and readily accessible by - the public; - - id: pm-26_smt.b - name: item - props: - - name: label - value: b. - prose: All information necessary for successfully filing complaints; - - id: pm-26_smt.c - name: item - props: - - name: label - value: c. - prose: "Tracking mechanisms to ensure all complaints received are\ - \ reviewed and addressed within {{ insert: param, pm-26_prm_1\ - \ }};" - - id: pm-26_smt.d - name: item - props: - - name: label - value: d. - prose: "Acknowledgement of receipt of complaints, concerns, or questions\ - \ from individuals within {{ insert: param, pm-26_prm_2 }} ; and" - - id: pm-26_smt.e - name: item - props: - - name: label - value: e. - prose: "Response to complaints, concerns, or questions from individuals\ - \ within {{ insert: param, pm-26_prm_3 }}." - - id: pm-26_gdn - name: guidance - prose: Complaints, concerns, and questions from individuals can serve - as valuable sources of input to organizations and ultimately improve - operational models, uses of technology, data collection practices, - and controls. Mechanisms that can be used by the public include telephone - hotline, email, or web-based forms. The information necessary for - successfully filing complaints includes contact information for the - senior agency official for privacy or other official designated to - receive complaints. Privacy complaints may also include personally - identifiable information which is handled in accordance with relevant - policies and processes. - - name: objective - props: - - name: label - value: PM-26 - class: sp800-53A - prose: a process for receiving complaints, concerns, or questions from - individuals about the organizational security and privacy practices - is implemented; - parts: - - name: objective - props: - - name: label - value: PM-26a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-26a.[01] - class: sp800-53A - prose: the complaint management process includes mechanisms - that are easy to use by the public; - - name: objective - props: - - name: label - value: PM-26a.[02] - class: sp800-53A - prose: the complaint management process includes mechanisms - that are readily accessible by the public; - - name: objective - props: - - name: label - value: PM-26b. - class: sp800-53A - prose: the complaint management process includes all information - necessary for successfully filing complaints; - - name: objective - props: - - name: label - value: PM-26c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-26c.[01] - class: sp800-53A - prose: "the complaint management process includes tracking mechanisms\ - \ to ensure that all complaints are reviewed within {{ insert:\ - \ param, pm-26_odp.01 }};" - - name: objective - props: - - name: label - value: PM-26c.[02] - class: sp800-53A - prose: "the complaint management process includes tracking mechanisms\ - \ to ensure that all complaints are addressed within {{ insert:\ - \ param, pm-26_odp.02 }};" - - name: objective - props: - - name: label - value: PM-26d. - class: sp800-53A - prose: "the complaint management process includes acknowledging\ - \ the receipt of complaints, concerns, or questions from individuals\ - \ within {{ insert: param, pm-26_odp.03 }};" - - name: objective - props: - - name: label - value: PM-26e. - class: sp800-53A - prose: "the complaint management process includes responding to\ - \ complaints, concerns, or questions from individuals within {{\ - \ insert: param, pm-26_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-26-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Privacy program plan - - procedures addressing complaint management - - complaint documentation - - procedures addressing the reviews of complaints - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-26-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program - responsibilities - - - organizational personnel with privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-26-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for complaint management - - - automated mechanisms supporting complaint management - - - tools used by the public to submit complaints, concerns, and questions - (e.g., telephone, hotline, email, or web-based forms - - id: pm-27 - class: SP800-53 - title: Privacy Reporting - params: - - id: pm-27_odp.01 - props: - - name: legacy-identifier - value: pm-27_prm_1 - - name: label - value: PM-27_ODP[01] - label: privacy reports - guidelines: - - prose: privacy reports are defined; - - id: pm-27_odp.02 - props: - - name: legacy-identifier - value: pm-27_prm_2 - - name: label - value: PM-27_ODP[02] - label: oversight bodies - guidelines: - - prose: privacy oversight bodies are defined; - - id: pm-27_odp.03 - props: - - name: legacy-identifier - value: pm-27_prm_3 - - name: label - value: PM-27_ODP[03] - label: officials - guidelines: - - prose: officials responsible for monitoring privacy program compliance - are defined; - - id: pm-27_odp.04 - props: - - name: legacy-identifier - value: pm-27_prm_4 - - name: label - value: PM-27_ODP[04] - label: frequency - guidelines: - - prose: the frequency for reviewing and updating privacy reports - is defined; - props: - - name: label - value: PM-27 - - name: sort-id - value: pm-27 - links: - - href: "#0c67b2a9-bede-43d2-b86d-5f35b8be36e9" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#ir-9" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-27_smt - name: statement - parts: - - id: pm-27_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop {{ insert: param, pm-27_odp.01 }} and disseminate\ - \ to:" - parts: - - id: pm-27_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, pm-27_odp.02 }} to demonstrate accountability\ - \ with statutory, regulatory, and policy privacy mandates;\ - \ and" - - id: pm-27_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: "{{ insert: param, pm-27_odp.03 }} and other personnel\ - \ with responsibility for monitoring privacy program compliance;\ - \ and" - - id: pm-27_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update privacy reports {{ insert: param, pm-27_odp.04\ - \ }}." - - id: pm-27_gdn - name: guidance - prose: Through internal and external reporting, organizations promote - accountability and transparency in organizational privacy operations. - Reporting can also help organizations to determine progress in meeting - privacy compliance requirements and privacy controls, compare performance - across the federal government, discover vulnerabilities, identify - gaps in policy and implementation, and identify models for success. - For federal agencies, privacy reports include annual senior agency - official for privacy reports to OMB, reports to Congress required - by Implementing Regulations of the 9/11 Commission Act, and other - public reports required by law, regulation, or policy, including internal - policies of organizations. The senior agency official for privacy - consults with legal counsel, where appropriate, to ensure that organizations - meet all applicable privacy reporting requirements. - - name: objective - props: - - name: label - value: PM-27 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-27a. - class: sp800-53A - prose: "{{ insert: param, pm-27_odp.01 }} are developed;" - parts: - - name: objective - props: - - name: label - value: PM-27a.01 - class: sp800-53A - prose: "the privacy reports are disseminated to {{ insert: param,\ - \ pm-27_odp.02 }} to demonstrate accountability with statutory,\ - \ regulatory, and policy privacy mandates;" - - name: objective - props: - - name: label - value: PM-27a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-27a.02[01] - class: sp800-53A - prose: "the privacy reports are disseminated to {{ insert:\ - \ param, pm-27_odp.03 }};" - - name: objective - props: - - name: label - value: PM-27a.02[02] - class: sp800-53A - prose: the privacy reports are disseminated to other personnel - responsible for monitoring privacy program compliance; - - name: objective - props: - - name: label - value: PM-27b. - class: sp800-53A - prose: "the privacy reports are reviewed and updated {{ insert:\ - \ param, pm-27_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-27-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Privacy program plan - - - internal and external privacy reports - - - privacy program plan - - - annual senior agency official for privacy reports to OMB - - - reports to Congress required by law, regulation, or policy, including - internal policies - - - records documenting the dissemination of reports to oversight - bodies and officials responsible for monitoring privacy program - compliance - - - records of review and updates of privacy reports. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-27-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with privacy program - responsibilities - - - organizational personnel with privacy responsibilities - - - legal counsel. - - id: pm-28 - class: SP800-53 - title: Risk Framing - params: - - id: pm-28_odp.01 - props: - - name: legacy-identifier - value: pm-28_prm_1 - - name: label - value: PM-28_ODP[01] - label: personnel - guidelines: - - prose: the personnel to receive the results of risk framing activities - is/are defined; - - id: pm-28_odp.02 - props: - - name: legacy-identifier - value: pm-28_prm_2 - - name: label - value: PM-28_ODP[02] - label: frequency - guidelines: - - prose: the frequency for reviewing and updating risk framing considerations - is defined; - props: - - name: label - value: PM-28 - - name: sort-id - value: pm-28 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: pm-28_smt - name: statement - parts: - - id: pm-28_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document:" - parts: - - id: pm-28_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Assumptions affecting risk assessments, risk responses, - and risk monitoring; - - id: pm-28_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Constraints affecting risk assessments, risk responses, - and risk monitoring; - - id: pm-28_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Priorities and trade-offs considered by the organization - for managing risk; and - - id: pm-28_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Organizational risk tolerance; - - id: pm-28_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute the results of risk framing activities to {{\ - \ insert: param, pm-28_odp.01 }} ; and" - - id: pm-28_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update risk framing considerations {{ insert:\ - \ param, pm-28_odp.02 }}." - - id: pm-28_gdn - name: guidance - prose: Risk framing is most effective when conducted at the organization - level and in consultation with stakeholders throughout the organization - including mission, business, and system owners. The assumptions, constraints, - risk tolerance, priorities, and trade-offs identified as part of the - risk framing process inform the risk management strategy, which in - turn informs the conduct of risk assessment, risk response, and risk - monitoring activities. Risk framing results are shared with organizational - personnel, including mission and business owners, information owners - or stewards, system owners, authorizing officials, senior agency information - security officer, senior agency official for privacy, and senior accountable - official for risk management. - - name: objective - props: - - name: label - value: PM-28 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-28a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-28a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-28a.01[01] - class: sp800-53A - prose: assumptions affecting risk assessments are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.01[02] - class: sp800-53A - prose: assumptions affecting risk responses are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.01[03] - class: sp800-53A - prose: assumptions affecting risk monitoring are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-28a.02[01] - class: sp800-53A - prose: constraints affecting risk assessments are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.02[02] - class: sp800-53A - prose: constraints affecting risk responses are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.02[03] - class: sp800-53A - prose: constraints affecting risk monitoring are identified - and documented; - - name: objective - props: - - name: label - value: PM-28a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-28a.03[01] - class: sp800-53A - prose: priorities considered by the organization for managing - risk are identified and documented; - - name: objective - props: - - name: label - value: PM-28a.03[02] - class: sp800-53A - prose: trade-offs considered by the organization for managing - risk are identified and documented; - - name: objective - props: - - name: label - value: PM-28a.04 - class: sp800-53A - prose: organizational risk tolerance is identified and documented; - - name: objective - props: - - name: label - value: PM-28b. - class: sp800-53A - prose: "the results of risk framing activities are distributed to\ - \ {{ insert: param, pm-28_odp.01 }};" - - name: objective - props: - - name: label - value: PM-28c. - class: sp800-53A - prose: "risk framing considerations are reviewed and updated {{\ - \ insert: param, pm-28_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-28-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Information security program plan - - privacy program plan - - supply chain risk management strategy - - documentation of risk framing activities - - policies and procedures for risk framing activities - - risk management strategy - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-28-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel (including mission, business, and - system owners or stewards - - - authorizing officials - - - senior agency information security officer - - - senior agency official for privacy - - - and senior accountable official for risk management) - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-28-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational procedures and practices for authorizing, - conducting, managing, and reviewing personally identifiable - information processing - - - organizational processes for risk framing - - - automated mechanisms supporting the development, review, update, - and approval of risk framing - - id: pm-29 - class: SP800-53 - title: Risk Management Program Leadership Roles - props: - - name: label - value: PM-29 - - name: sort-id - value: pm-29 - links: - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#pm-2" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-29_smt - name: statement - parts: - - id: pm-29_smt.a - name: item - props: - - name: label - value: a. - prose: Appoint a Senior Accountable Official for Risk Management - to align organizational information security and privacy management - processes with strategic, operational, and budgetary planning - processes; and - - id: pm-29_smt.b - name: item - props: - - name: label - value: b. - prose: Establish a Risk Executive (function) to view and analyze - risk from an organization-wide perspective and ensure management - of risk is consistent across the organization. - - id: pm-29_gdn - name: guidance - prose: The senior accountable official for risk management leads the - risk executive (function) in organization-wide risk management activities. - - name: objective - props: - - name: label - value: PM-29 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-29a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-29a.[01] - class: sp800-53A - prose: a Senior Accountable Official for Risk Management is - appointed; - - name: objective - props: - - name: label - value: PM-29a.[02] - class: sp800-53A - prose: a Senior Accountable Official for Risk Management aligns - information security and privacy management processes with - strategic, operational, and budgetary planning processes; - - name: objective - props: - - name: label - value: PM-29b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-29b.[01] - class: sp800-53A - prose: a Risk Executive (function) is established; - - name: objective - props: - - name: label - value: PM-29b.[02] - class: sp800-53A - prose: a Risk Executive (function) views and analyzes risk from - an organization-wide perspective; - - name: objective - props: - - name: label - value: PM-29b.[03] - class: sp800-53A - prose: a Risk Executive (function) ensures that the management - of risk is consistent across the organization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-29-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - risk management strategy - - - supply chain risk management strategy - - - documentation of appointment, roles, and responsibilities of a - Senior Accountable Official for Risk Management - - - documentation of actions taken by the Official - - - documentation of the establishment, policies, and procedures of - a Risk Executive (function) - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-29-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Senior Accountable Official for Risk Management - - - chief information officer - - - senior agency information security officer - - - senior agency official for privacy - - - organizational personnel with information security and privacy - program responsibilities - - id: pm-30 - class: SP800-53 - title: Supply Chain Risk Management Strategy - params: - - id: pm-30_odp - props: - - name: legacy-identifier - value: pm-30_prm_1 - - name: label - value: PM-30_ODP - label: frequency - guidelines: - - prose: the frequency for reviewing and updating the supply chain - risk management strategy is defined; - props: - - name: label - value: PM-30 - - name: sort-id - value: pm-30 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#206a3284-6a7e-423c-8ea9-25b22542541d" - rel: reference - - href: "#031cc4b7-9adf-4835-98f1-f1ca493519cf" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#cm-10" - rel: related - - href: "#pm-9" - rel: related - - href: "#sr-1" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-7" - rel: related - - href: "#sr-8" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: pm-30_smt - name: statement - parts: - - id: pm-30_smt.a - name: item - props: - - name: label - value: a. - prose: Develop an organization-wide strategy for managing supply - chain risks associated with the development, acquisition, maintenance, - and disposal of systems, system components, and system services; - - id: pm-30_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the supply chain risk management strategy consistently - across the organization; and - - id: pm-30_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the supply chain risk management strategy\ - \ on {{ insert: param, pm-30_odp }} or as required, to address\ - \ organizational changes." - - id: pm-30_gdn - name: guidance - prose: An organization-wide supply chain risk management strategy includes - an unambiguous expression of the supply chain risk appetite and tolerance - for the organization, acceptable supply chain risk mitigation strategies - or controls, a process for consistently evaluating and monitoring - supply chain risk, approaches for implementing and communicating the - supply chain risk management strategy, and the associated roles and - responsibilities. Supply chain risk management includes considerations - of the security and privacy risks associated with the development, - acquisition, maintenance, and disposal of systems, system components, - and system services. The supply chain risk management strategy can - be incorporated into the organization’s overarching risk management - strategy and can guide and inform supply chain policies and system-level - supply chain risk management plans. In addition, the use of a risk - executive function can facilitate a consistent, organization-wide - application of the supply chain risk management strategy. The supply - chain risk management strategy is implemented at the organization - and mission/business levels, whereas the supply chain risk management - plan (see [SR-2](#sr-2) ) is implemented at the system level. - - name: objective - props: - - name: label - value: PM-30 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-30a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-30a.[01] - class: sp800-53A - prose: an organization-wide strategy for managing supply chain - risks is developed; - - name: objective - props: - - name: label - value: PM-30a.[02] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the development of systems; - - name: objective - props: - - name: label - value: PM-30a.[03] - class: sp800-53A - prose: >- - the supply chain risk management strategy addresses - risks associated with the development of system - components; - - - the supply chain risk management strategy addresses risks - associated with the development of system services; - - name: objective - props: - - name: label - value: PM-30a.[04] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the acquisition of systems; - - name: objective - props: - - name: label - value: PM-30a.[05] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the acquisition of system components; - - name: objective - props: - - name: label - value: PM-30a.[06] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the acquisition of system services; - - name: objective - props: - - name: label - value: PM-30a.[07] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the maintenance of systems; - - name: objective - props: - - name: label - value: PM-30a.[08] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the maintenance of system components; - - name: objective - props: - - name: label - value: PM-30a.[09] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the maintenance of system services; - - name: objective - props: - - name: label - value: PM-30a.[10] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the disposal of systems; - - name: objective - props: - - name: label - value: PM-30a.[11] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the disposal of system components; - - name: objective - props: - - name: label - value: PM-30a.[12] - class: sp800-53A - prose: the supply chain risk management strategy addresses risks - associated with the disposal of system services; - - name: objective - props: - - name: label - value: PM-30b. - class: sp800-53A - prose: the supply chain risk management strategy is implemented - consistently across the organization; - - name: objective - props: - - name: label - value: PM-30c. - class: sp800-53A - prose: "the supply chain risk management strategy is reviewed and\ - \ updated {{ insert: param, pm-30_odp }} or as required to address\ - \ organizational changes." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-30-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Supply chain risk management strategy - - organizational risk management strategy - - enterprise risk management documents - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-30-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with acquisition responsibilities - - - organizational personnel with enterprise risk management responsibilities - controls: - - id: pm-30.1 - class: SP800-53-enhancement - title: Suppliers of Critical or Mission-essential Items - props: - - name: label - value: PM-30(01) - - name: sort-id - value: pm-30.01 - links: - - href: "#pm-30" - rel: required - - href: "#ra-3" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: pm-30.1_smt - name: statement - prose: Identify, prioritize, and assess suppliers of critical or - mission-essential technologies, products, and services. - - id: pm-30.1_gdn - name: guidance - prose: The identification and prioritization of suppliers of critical - or mission-essential technologies, products, and services is paramount - to the mission/business success of organizations. The assessment - of suppliers is conducted using supplier reviews (see [SR-6](#sr-6) - ) and supply chain risk assessment processes (see [RA-3(1)](#ra-3.1) - ). An analysis of supply chain risk can help an organization identify - systems or components for which additional supply chain risk mitigations - are required. - - name: objective - props: - - name: label - value: PM-30(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-30(01)[01] - class: sp800-53A - prose: suppliers of critical or mission-essential technologies, - products, and services are identified; - - name: objective - props: - - name: label - value: PM-30(01)[02] - class: sp800-53A - prose: suppliers of critical or mission-essential technologies, - products, and services are prioritized; - - name: objective - props: - - name: label - value: PM-30(01)[03] - class: sp800-53A - prose: suppliers of critical or mission-essential technologies, - products, and services are assessed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-30(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management strategy - - - organization-wide risk management strategy - - - enterprise risk management documents - - - inventory records or suppliers - - - assessment and prioritization documentation - - - critical or mission-essential technologies, products, and - service documents or records - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-30(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with supply chain risk - management responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with acquisition responsibilities - - - organizational personnel with enterprise risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-30(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying, prioritizing, - and assessing critical or mission-essential - technologies, products, and services - - - organizational processes for maintaining an inventory of suppliers - - - organizational process for associating suppliers with critical - or mission-essential technologies, products, and services - - id: pm-31 - class: SP800-53 - title: Continuous Monitoring Strategy - params: - - id: pm-31_prm_4 - props: - - name: aggregates - value: pm-31_odp.04 - label: organization-defined personnel or roles - - id: pm-31_prm_5 - props: - - name: aggregates - value: pm-31_odp.06 - label: organization-defined frequency - - id: pm-31_odp.01 - props: - - name: legacy-identifier - value: pm-31_prm_1 - - name: label - value: PM-31_ODP[01] - label: metrics - guidelines: - - prose: the metrics for organization-wide continuous monitoring are - defined; - - id: pm-31_odp.02 - props: - - name: legacy-identifier - value: pm-31_prm_2 - - name: label - value: PM-31_ODP[02] - label: frequency - guidelines: - - prose: the frequency for monitoring is defined; - - id: pm-31_odp.03 - props: - - name: legacy-identifier - value: pm-31_prm_3 - - name: label - value: PM-31_ODP[03] - label: frequency - guidelines: - - prose: the frequency for assessing control effectiveness is defined; - - id: pm-31_odp.04 - props: - - name: label - value: PM-31_ODP[04] - label: personnel or roles - guidelines: - - prose: the personnel or roles for reporting the security status - of organizational systems to is/are defined; - - id: pm-31_odp.05 - props: - - name: label - value: PM-31_ODP[05] - label: personnel or roles - guidelines: - - prose: the personnel or roles for reporting the privacy status of - organizational systems to is/are defined; - - id: pm-31_odp.06 - props: - - name: label - value: PM-31_ODP[06] - label: frequency - guidelines: - - prose: the frequency at which to report the security status of organizational - systems is defined; - - id: pm-31_odp.07 - props: - - name: label - value: PM-31_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which to report the privacy status of organizational - systems is defined; - props: - - name: label - value: PM-31 - - name: sort-id - value: pm-31 - links: - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#62ea77ca-e450-4323-b210-e0d75390e785" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#at-4" - rel: related - - href: "#au-6" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-16" - rel: related - - href: "#pe-20" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-6" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-12" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-28" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: pm-31_smt - name: statement - prose: "Develop an organization-wide continuous monitoring strategy\ - \ and implement continuous monitoring programs that include:" - parts: - - id: pm-31_smt.a - name: item - props: - - name: label - value: a. - prose: "Establishing the following organization-wide metrics to\ - \ be monitored: {{ insert: param, pm-31_odp.01 }};" - - id: pm-31_smt.b - name: item - props: - - name: label - value: b. - prose: "Establishing {{ insert: param, pm-31_odp.02 }} for monitoring\ - \ and {{ insert: param, pm-31_odp.03 }} for assessment of control\ - \ effectiveness;" - - id: pm-31_smt.c - name: item - props: - - name: label - value: c. - prose: Ongoing monitoring of organizationally-defined metrics in - accordance with the continuous monitoring strategy; - - id: pm-31_smt.d - name: item - props: - - name: label - value: d. - prose: Correlation and analysis of information generated by control - assessments and monitoring; - - id: pm-31_smt.e - name: item - props: - - name: label - value: e. - prose: Response actions to address results of the analysis of control - assessment and monitoring information; and - - id: pm-31_smt.f - name: item - props: - - name: label - value: f. - prose: "Reporting the security and privacy status of organizational\ - \ systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param,\ - \ pm-31_prm_5 }}." - - id: pm-31_gdn - name: guidance - prose: Continuous monitoring at the organization level facilitates ongoing - awareness of the security and privacy posture across the organization - to support organizational risk management decisions. The terms "continuous" - and "ongoing" imply that organizations assess and monitor their controls - and risks at a frequency sufficient to support risk-based decisions. - Different types of controls may require different monitoring frequencies. - The results of continuous monitoring guide and inform risk response - actions by organizations. Continuous monitoring programs allow organizations - to maintain the authorizations of systems and common controls in highly - dynamic environments of operation with changing mission and business - needs, threats, vulnerabilities, and technologies. Having access to - security- and privacy-related information on a continuing basis through - reports and dashboards gives organizational officials the capability - to make effective, timely, and informed risk management decisions, - including ongoing authorization decisions. To further facilitate security - and privacy risk management, organizations consider aligning organization-defined - monitoring metrics with organizational risk tolerance as defined in - the risk management strategy. Monitoring requirements, including the - need for monitoring, may be referenced in other controls and control - enhancements such as, [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), - [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), [AC-17(1)](#ac-17.1), - [AT-4a](#at-4_smt.a), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), - [CA-7](#ca-7), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), - [IR-5](#ir-5), [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), - [PE-3d](#pe-3_smt.d), [PE-6](#pe-6), [PE-14b](#pe-14_smt.b), [PE-16](#pe-16), - [PE-20](#pe-20), [PM-6](#pm-6), [PM-23](#pm-23), [PS-7e](#ps-7_smt.e), - [SA-9c](#sa-9_smt.c), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), - [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b), - [SI-4](#si-4). - - name: objective - props: - - name: label - value: PM-31 - class: sp800-53A - prose: an organization-wide continuous monitoring strategy is developed; - parts: - - name: objective - props: - - name: label - value: PM-31a. - class: sp800-53A - prose: "continuous monitoring programs are implemented that include\ - \ establishing {{ insert: param, pm-31_odp.01 }} to be monitored;" - - name: objective - props: - - name: label - value: PM-31b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-31b.[01] - class: sp800-53A - prose: "continuous monitoring programs are implemented that\ - \ establish {{ insert: param, pm-31_odp.02 }} for monitoring;" - - name: objective - props: - - name: label - value: PM-31b.[02] - class: sp800-53A - prose: "continuous monitoring programs are implemented that\ - \ establish {{ insert: param, pm-31_odp.03 }} for assessment\ - \ of control effectiveness;" - - name: objective - props: - - name: label - value: PM-31c. - class: sp800-53A - prose: "continuous monitoring programs are implemented that include\ - \ monitoring {{ insert: param, pm-31_odp.01 }} on an ongoing basis\ - \ in accordance with the continuous monitoring strategy;" - - name: objective - props: - - name: label - value: PM-31d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-31d.[01] - class: sp800-53A - prose: continuous monitoring programs are implemented that include - correlating information generated by control assessments and - monitoring; - - name: objective - props: - - name: label - value: PM-31d.[02] - class: sp800-53A - prose: continuous monitoring programs are implemented that include - analyzing information generated by control assessments and - monitoring; - - name: objective - props: - - name: label - value: PM-31e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-31e.[01] - class: sp800-53A - prose: continuous monitoring programs are implemented that include - response actions to address the analysis of control assessment - information; - - name: objective - props: - - name: label - value: PM-31e.[02] - class: sp800-53A - prose: continuous monitoring programs are implemented that include - response actions to address the analysis of monitoring information; - - name: objective - props: - - name: label - value: PM-31f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PM-31f.[01] - class: sp800-53A - prose: "continuous monitoring programs are implemented that\ - \ include reporting the security status of organizational\ - \ systems to {{ insert: param, pm-31_odp.04 }} {{ insert:\ - \ param, pm-31_odp.06 }};" - - name: objective - props: - - name: label - value: PM-31f.[02] - class: sp800-53A - prose: "continuous monitoring programs are implemented that\ - \ include reporting the privacy status of organizational systems\ - \ to {{ insert: param, pm-31_odp.05 }} {{ insert: param, pm-31_odp.07\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-31-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Information security program plan - - - privacy program plan - - - supply chain risk management plan - - - continuous monitoring strategy - - - risk management strategy - - - information security continuous monitoring program documentation, - reporting, metrics, and artifacts - - - information security continuous monitoring program assessment - documentation, reporting, metrics, and artifacts - - - assessment and authorization policy - - - procedures addressing the continuous monitoring of controls - - - privacy program continuous monitoring documentation, reporting, - metrics, and artifacts - - - continuous monitoring program records, security, and privacy impact - analyses - - - status reports - - - risk response documentation - - - other relevant documents or records. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-31-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Senior Accountable Official for Risk Management - - - chief information officer - - - senior agency information security officer - - - senior agency official for privacy - - - organizational personnel with information security, privacy, and - supply chain risk management program responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PM-31-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational procedures and mechanisms used for information - security, privacy, and supply chain continuous monitoring - - id: pm-32 - class: SP800-53 - title: Purposing - params: - - id: pm-32_odp - props: - - name: legacy-identifier - value: pm-32_prm_1 - - name: label - value: PM-32_ODP - label: systems or system components - guidelines: - - prose: the systems or system components supporting mission-essential - services or functions are defined; - props: - - name: label - value: PM-32 - - name: sort-id - value: pm-32 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#ca-7" - rel: related - - href: "#pl-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - parts: - - id: pm-32_smt - name: statement - prose: "Analyze {{ insert: param, pm-32_odp }} supporting mission essential\ - \ services or functions to ensure that the information resources are\ - \ being used consistent with their intended purpose." - - id: pm-32_gdn - name: guidance - prose: Systems are designed to support a specific mission or business - function. However, over time, systems and system components may be - used to support services and functions that are outside of the scope - of the intended mission or business functions. This can result in - exposing information resources to unintended environments and uses - that can significantly increase threat exposure. In doing so, the - systems are more vulnerable to compromise, which can ultimately impact - the services and functions for which they were intended. This is especially - impactful for mission-essential services and functions. By analyzing - resource use, organizations can identify such potential exposures. - - name: objective - props: - - name: label - value: PM-32 - class: sp800-53A - prose: "{{ insert: param, pm-32_odp }} supporting mission-essential\ - \ services or functions are analyzed to ensure that the information\ - \ resources are being used in a manner that is consistent with their\ - \ intended purpose." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PM-32-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Information security program plan - - privacy program plan - - list of essential services and functions - - organizational analysis of information resources - - risk management strategy - - other relevant documents or records. - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PM-32-Interview - class: sp800-53A - parts: - - name: objects - prose: Organizational personnel with information security, privacy, - and supply chain risk management program responsibilities - - id: ps - class: family - title: Personnel Security - controls: - - id: ps-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ps-1_prm_1 - props: - - name: aggregates - value: ps-01_odp.01 - label: organization-defined personnel or roles - - id: ps-01_odp.01 - props: - - name: label - value: PS-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the personnel security policy - is to be disseminated is/are defined; - - id: ps-01_odp.02 - props: - - name: label - value: PS-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the personnel security procedures - are to be disseminated is/are defined; - - id: ps-01_odp.03 - props: - - name: legacy-identifier - value: ps-1_prm_2 - - name: label - value: PS-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ps-01_odp.04 - props: - - name: legacy-identifier - value: ps-1_prm_3 - - name: label - value: PS-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the personnel security policy and procedures - is defined; - - id: ps-01_odp.05 - props: - - name: legacy-identifier - value: ps-1_prm_4 - - name: label - value: PS-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current personnel security policy - is reviewed and updated is defined; - - id: ps-01_odp.06 - props: - - name: legacy-identifier - value: ps-1_prm_5 - - name: label - value: PS-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current personnel security - policy to be reviewed and updated are defined; - - id: ps-01_odp.07 - props: - - name: legacy-identifier - value: ps-1_prm_6 - - name: label - value: PS-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current personnel security procedures - are reviewed and updated is defined; - - id: ps-01_odp.08 - props: - - name: legacy-identifier - value: ps-1_prm_7 - - name: label - value: PS-01_ODP[08] - label: events - guidelines: - - prose: events that would require the personnel security procedures - to be reviewed and updated are defined; - props: - - name: label - value: PS-01 - - name: sort-id - value: ps-01 - links: - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-1_smt - name: statement - parts: - - id: ps-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ps-1_prm_1 }}:" - parts: - - id: ps-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ps-01_odp.03 }} personnel security\ - \ policy that:" - parts: - - id: ps-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ps-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ps-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the personnel - security policy and the associated personnel security controls; - - id: ps-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ps-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the personnel\ - \ security policy and procedures; and" - - id: ps-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current personnel security:" - parts: - - id: ps-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ps-01_odp.05 }} and following\ - \ {{ insert: param, ps-01_odp.06 }} ; and" - - id: ps-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ps-01_odp.07 }} and following\ - \ {{ insert: param, ps-01_odp.08 }}." - - id: ps-1_gdn - name: guidance - prose: Personnel security policy and procedures for the controls in - the PS family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on their development. Security and - privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission level - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies reflecting the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission/business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - personnel security policy and procedures include, but are not limited - to, assessment or audit findings, security incidents or breaches, - or changes in applicable laws, executive orders, directives, regulations, - policies, standards, and guidelines. Simply restating controls does - not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: PS-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01a.[01] - class: sp800-53A - prose: a personnel security policy is developed and documented; - - name: objective - props: - - name: label - value: PS-01a.[02] - class: sp800-53A - prose: "the personnel security policy is disseminated to {{\ - \ insert: param, ps-01_odp.01 }};" - - name: objective - props: - - name: label - value: PS-01a.[03] - class: sp800-53A - prose: personnel security procedures to facilitate the implementation - of the personnel security policy and associated personnel - security controls are developed and documented; - - name: objective - props: - - name: label - value: PS-01a.[04] - class: sp800-53A - prose: "the personnel security procedures are disseminated to\ - \ {{ insert: param, ps-01_odp.02 }};" - - name: objective - props: - - name: label - value: PS-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses purpose;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses scope;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses roles;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses responsibilities;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses management commitment;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: PS-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy addresses compliance;" - - name: objective - props: - - name: label - value: PS-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.03 }} personnel\ - \ security policy is consistent with applicable laws,\ - \ Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: PS-01b. - class: sp800-53A - prose: "the {{ insert: param, ps-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the personnel\ - \ security policy and procedures;" - - name: objective - props: - - name: label - value: PS-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01c.01[01] - class: sp800-53A - prose: "the current personnel security policy is reviewed\ - \ and updated {{ insert: param, ps-01_odp.05 }};" - - name: objective - props: - - name: label - value: PS-01c.01[02] - class: sp800-53A - prose: "the current personnel security policy is reviewed\ - \ and updated following {{ insert: param, ps-01_odp.06\ - \ }};" - - name: objective - props: - - name: label - value: PS-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-01c.02[01] - class: sp800-53A - prose: "the current personnel security procedures are reviewed\ - \ and updated {{ insert: param, ps-01_odp.07 }};" - - name: objective - props: - - name: label - value: PS-01c.02[02] - class: sp800-53A - prose: "the current personnel security procedures are reviewed\ - \ and updated following {{ insert: param, ps-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - personnel security procedures - - system security plan - - privacy plan - - risk management strategy documentation - - audit findings - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - params: - - id: ps-02_odp - props: - - name: legacy-identifier - value: ps-2_prm_1 - - name: label - value: PS-02_ODP - label: frequency - guidelines: - - prose: the frequency at which to review and update position risk - designations is defined; - props: - - name: label - value: PS-02 - - name: sort-id - value: ps-02 - links: - - href: "#a5ef5e56-5c1a-4911-b419-37dddc1b3581" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#ac-5" - rel: related - - href: "#at-3" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-21" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-2_smt - name: statement - parts: - - id: ps-2_smt.a - name: item - props: - - name: label - value: a. - prose: Assign a risk designation to all organizational positions; - - id: ps-2_smt.b - name: item - props: - - name: label - value: b. - prose: Establish screening criteria for individuals filling those - positions; and - - id: ps-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update position risk designations {{ insert:\ - \ param, ps-02_odp }}." - - id: ps-2_gdn - name: guidance - prose: Position risk designations reflect Office of Personnel Management - (OPM) policy and guidance. Proper position designation is the foundation - of an effective and consistent suitability and personnel security - program. The Position Designation System (PDS) assesses the duties - and responsibilities of a position to determine the degree of potential - damage to the efficiency or integrity of the service due to misconduct - of an incumbent of a position and establishes the risk level of that - position. The PDS assessment also determines if the duties and responsibilities - of the position present the potential for position incumbents to bring - about a material adverse effect on national security and the degree - of that potential effect, which establishes the sensitivity level - of a position. The results of the assessment determine what level - of investigation is conducted for a position. Risk designations can - guide and inform the types of authorizations that individuals receive - when accessing organizational information and information systems. - Position screening criteria include explicit information security - role appointment requirements. Parts 1400 and 731 of Title 5, Code - of Federal Regulations, establish the requirements for organizations - to evaluate relevant covered positions for a position sensitivity - and position risk designation commensurate with the duties and responsibilities - of those positions. - - name: objective - props: - - name: label - value: PS-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-02a. - class: sp800-53A - prose: a risk designation is assigned to all organizational positions; - - name: objective - props: - - name: label - value: PS-02b. - class: sp800-53A - prose: screening criteria are established for individuals filling - organizational positions; - - name: objective - props: - - name: label - value: PS-02c. - class: sp800-53A - prose: "position risk designations are reviewed and updated {{ insert:\ - \ param, ps-02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing position categorization - - appropriate codes of federal regulations - - list of risk designations for organizational positions - - records of position risk designation reviews and updates - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assigning, reviewing, and - updating position risk designations - - - organizational processes for establishing screening criteria - - id: ps-3 - class: SP800-53 - title: Personnel Screening - params: - - id: ps-3_prm_1 - props: - - name: aggregates - value: ps-03_odp.01 - label: organization-defined conditions requiring rescreening and, where - rescreening is so indicated, the frequency of rescreening - - id: ps-03_odp.01 - props: - - name: label - value: PS-03_ODP[01] - label: conditions requiring rescreening - guidelines: - - prose: conditions requiring rescreening of individuals are defined; - - id: ps-03_odp.02 - props: - - name: label - value: PS-03_ODP[02] - label: frequency - guidelines: - - prose: the frequency of rescreening individuals where it is so indicated - is defined; - props: - - name: label - value: PS-03 - - name: sort-id - value: ps-03 - links: - - href: "#55b0c93a-5e48-457a-baa6-5ce81c239c49" - rel: reference - - href: "#0af071a6-cf8e-48ee-8c82-fe91efa20f94" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#7af2e6ec-9f7e-4232-ad3f-09888eb0793a" - rel: reference - - href: "#828856bd-d7c4-427b-8b51-815517ec382d" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-21" - rel: related - parts: - - id: ps-3_smt - name: statement - parts: - - id: ps-3_smt.a - name: item - props: - - name: label - value: a. - prose: Screen individuals prior to authorizing access to the system; - and - - id: ps-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Rescreen individuals in accordance with {{ insert: param,\ - \ ps-3_prm_1 }}." - - id: ps-3_gdn - name: guidance - prose: Personnel screening and rescreening activities reflect applicable - laws, executive orders, directives, regulations, policies, standards, - guidelines, and specific criteria established for the risk designations - of assigned positions. Examples of personnel screening include background - investigations and agency checks. Organizations may define different - rescreening conditions and frequencies for personnel accessing systems - based on types of information processed, stored, or transmitted by - the systems. - - name: objective - props: - - name: label - value: PS-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-03a. - class: sp800-53A - prose: individuals are screened prior to authorizing access to the - system; - - name: objective - props: - - name: label - value: PS-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-03b.[01] - class: sp800-53A - prose: "individuals are rescreened in accordance with {{ insert:\ - \ param, ps-03_odp.01 }};" - - name: objective - props: - - name: label - value: PS-03b.[02] - class: sp800-53A - prose: "where rescreening is so indicated, individuals are rescreened\ - \ {{ insert: param, ps-03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing personnel screening - - records of screened personnel - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-03-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for personnel screening - controls: - - id: ps-3.1 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: PS-03(01) - - name: sort-id - value: ps-03.01 - links: - - href: "#ps-3" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ps-3.1_smt - name: statement - prose: Verify that individuals accessing a system processing, storing, - or transmitting classified information are cleared and indoctrinated - to the highest classification level of the information to which - they have access on the system. - - id: ps-3.1_gdn - name: guidance - prose: Classified information is the most sensitive information - that the Federal Government processes, stores, or transmits. It - is imperative that individuals have the requisite security clearances - and system access authorizations prior to gaining access to such - information. Access authorizations are enforced by system access - controls (see [AC-3](#ac-3) ) and flow controls (see [AC-4](#ac-4)). - - name: objective - props: - - name: label - value: PS-03(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-03(01)[01] - class: sp800-53A - prose: individuals accessing a system processing, storing, or - transmitting classified information are cleared; - - name: objective - props: - - name: label - value: PS-03(01)[02] - class: sp800-53A - prose: individuals accessing a system processing, storing, or - transmitting classified information are indoctrinated to the - highest classification level of the information to which they - have access on the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing personnel screening - - records of screened personnel - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for clearing and indoctrinating - personnel for access to classified information - - id: ps-3.2 - class: SP800-53-enhancement - title: Formal Indoctrination - props: - - name: label - value: PS-03(02) - - name: sort-id - value: ps-03.02 - links: - - href: "#ps-3" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ps-3.2_smt - name: statement - prose: Verify that individuals accessing a system processing, storing, - or transmitting types of classified information that require formal - indoctrination, are formally indoctrinated for all the relevant - types of information to which they have access on the system. - - id: ps-3.2_gdn - name: guidance - prose: Types of classified information that require formal indoctrination - include Special Access Program (SAP), Restricted Data (RD), and - Sensitive Compartmented Information (SCI). - - name: objective - props: - - name: label - value: PS-03(02) - class: sp800-53A - prose: individuals accessing a system processing, storing, or transmitting - types of classified information that require formal indoctrination - are formally indoctrinated for all of the relevant types of information - to which they have access on the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing personnel screening - - indoctrination documents - - records of screened personnel - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for formal indoctrination for - all relevant types of information to which personnel have - access - - id: ps-3.3 - class: SP800-53-enhancement - title: Information Requiring Special Protective Measures - params: - - id: ps-03.03_odp - props: - - name: legacy-identifier - value: ps-3.3_prm_1 - - name: label - value: PS-03(03)_ODP - label: additional personnel screening criteria - guidelines: - - prose: additional personnel screening criteria to be satisfied - for individuals accessing a system processing, storing, or - transmitting information requiring special protection are - defined; - props: - - name: label - value: PS-03(03) - - name: sort-id - value: ps-03.03 - links: - - href: "#ps-3" - rel: required - parts: - - id: ps-3.3_smt - name: statement - prose: "Verify that individuals accessing a system processing, storing,\ - \ or transmitting information requiring special protection:" - parts: - - id: ps-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Have valid access authorizations that are demonstrated - by assigned official government duties; and - - id: ps-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Satisfy {{ insert: param, ps-03.03_odp }}." - - id: ps-3.3_gdn - name: guidance - prose: Organizational information that requires special protection - includes controlled unclassified information. Personnel security - criteria include position sensitivity background screening requirements. - - name: objective - props: - - name: label - value: PS-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-03(03)(a) - class: sp800-53A - prose: individuals accessing a system processing, storing, or - transmitting information requiring special protection have - valid access authorizations that are demonstrated by assigned - official government duties; - - name: objective - props: - - name: label - value: PS-03(03)(b) - class: sp800-53A - prose: "individuals accessing a system processing, storing,\ - \ or transmitting information requiring special protection\ - \ satisfy {{ insert: param, ps-03.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - access control policy, procedures addressing personnel screening - - - records of screened personnel - - - screening criteria - - - records of access authorizations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for ensuring valid access - authorizations for information requiring special - protection - - - organizational process for additional personnel screening - for information requiring special protection - - id: ps-3.4 - class: SP800-53-enhancement - title: Citizenship Requirements - params: - - id: ps-03.04_odp.01 - props: - - name: legacy-identifier - value: ps-3.4_prm_1 - - name: label - value: PS-03(04)_ODP[01] - label: information types - guidelines: - - prose: information types that are processed, stored, or transmitted - by a system are defined; - - id: ps-03.04_odp.02 - props: - - name: legacy-identifier - value: ps-3.4_prm_2 - - name: label - value: PS-03(04)_ODP[02] - label: citizenship requirements - guidelines: - - prose: citizenship requirements to be met by individuals to - access a system processing, storing, or transmitting information - are defined; - props: - - name: label - value: PS-03(04) - - name: sort-id - value: ps-03.04 - links: - - href: "#ps-3" - rel: required - parts: - - id: ps-3.4_smt - name: statement - prose: "Verify that individuals accessing a system processing, storing,\ - \ or transmitting {{ insert: param, ps-03.04_odp.01 }} meet {{\ - \ insert: param, ps-03.04_odp.02 }}." - - id: ps-3.4_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: PS-03(04) - class: sp800-53A - prose: "individuals accessing a system processing, storing, or transmitting\ - \ {{ insert: param, ps-03.04_odp.01 }} meet {{ insert: param,\ - \ ps-03.04_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - access control policy, procedures addressing personnel screening - - - records of screened personnel - - - screening criteria - - - records of access authorizations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for ensuring valid access - authorizations for information requiring citizenship - - - organizational process for additional personnel screening - for information requiring citizenship - - id: ps-4 - class: SP800-53 - title: Personnel Termination - params: - - id: ps-04_odp.01 - props: - - name: legacy-identifier - value: ps-4_prm_1 - - name: label - value: PS-04_ODP[01] - label: time period - guidelines: - - prose: a time period within which to disable system access is defined; - - id: ps-04_odp.02 - props: - - name: legacy-identifier - value: ps-4_prm_2 - - name: label - value: PS-04_ODP[02] - label: information security topics - guidelines: - - prose: information security topics to be discussed when conducting - exit interviews are defined; - props: - - name: label - value: PS-04 - - name: sort-id - value: ps-04 - links: - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - parts: - - id: ps-4_smt - name: statement - prose: "Upon termination of individual employment:" - parts: - - id: ps-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Disable system access within {{ insert: param, ps-04_odp.01\ - \ }};" - - id: ps-4_smt.b - name: item - props: - - name: label - value: b. - prose: Terminate or revoke any authenticators and credentials associated - with the individual; - - id: ps-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Conduct exit interviews that include a discussion of {{\ - \ insert: param, ps-04_odp.02 }};" - - id: ps-4_smt.d - name: item - props: - - name: label - value: d. - prose: Retrieve all security-related organizational system-related - property; and - - id: ps-4_smt.e - name: item - props: - - name: label - value: e. - prose: Retain access to organizational information and systems formerly - controlled by terminated individual. - - id: ps-4_gdn - name: guidance - prose: System property includes hardware authentication tokens, system - administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals - understand the security constraints imposed by being former employees - and that proper accountability is achieved for system-related property. - Security topics at exit interviews include reminding individuals of - nondisclosure agreements and potential limitations on future employment. - Exit interviews may not always be possible for some individuals, including - in cases related to the unavailability of supervisors, illnesses, - or job abandonment. Exit interviews are important for individuals - with security clearances. The timely execution of termination actions - is essential for individuals who have been terminated for cause. In - certain situations, organizations consider disabling the system accounts - of individuals who are being terminated prior to the individuals being - notified. - - name: objective - props: - - name: label - value: PS-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-04a. - class: sp800-53A - prose: "upon termination of individual employment, system access\ - \ is disabled within {{ insert: param, ps-04_odp.01 }};" - - name: objective - props: - - name: label - value: PS-04b. - class: sp800-53A - prose: upon termination of individual employment, any authenticators - and credentials are terminated or revoked; - - name: objective - props: - - name: label - value: PS-04c. - class: sp800-53A - prose: "upon termination of individual employment, exit interviews\ - \ that include a discussion of {{ insert: param, ps-04_odp.02\ - \ }} are conducted;" - - name: objective - props: - - name: label - value: PS-04d. - class: sp800-53A - prose: upon termination of individual employment, all security-related - organizational system-related property is retrieved; - - name: objective - props: - - name: label - value: PS-04e. - class: sp800-53A - prose: upon termination of individual employment, access to organizational - information and systems formerly controlled by the terminated - individual are retained. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-04-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing personnel termination - - records of personnel termination actions - - list of system accounts - - records of terminated or revoked authenticators/credentials - - records of exit interviews - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with account management responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for personnel termination - - - automated mechanisms supporting and/or implementing personnel - termination notifications - - - automated mechanisms for disabling system access/revoking authenticators - controls: - - id: ps-4.1 - class: SP800-53-enhancement - title: Post-employment Requirements - props: - - name: label - value: PS-04(01) - - name: sort-id - value: ps-04.01 - links: - - href: "#ps-4" - rel: required - parts: - - id: ps-4.1_smt - name: statement - parts: - - id: ps-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Notify terminated individuals of applicable, legally - binding post-employment requirements for the protection of - organizational information; and - - id: ps-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Require terminated individuals to sign an acknowledgment - of post-employment requirements as part of the organizational - termination process. - - id: ps-4.1_gdn - name: guidance - prose: Organizations consult with the Office of the General Counsel - regarding matters of post-employment requirements on terminated - individuals. - - name: objective - props: - - name: label - value: PS-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-04(01)(a) - class: sp800-53A - prose: terminated individuals are notified of applicable, legally - binding post-employment requirements for the protection of - organizational information; - - name: objective - props: - - name: label - value: PS-04(01)(b) - class: sp800-53A - prose: terminated individuals are required to sign an acknowledgement - of post-employment requirements as part of the organizational - termination process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - procedures addressing personnel termination - - - signed post-employment acknowledgement forms - - - list of applicable, legally binding post-employment requirements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for post-employment requirements - - id: ps-4.2 - class: SP800-53-enhancement - title: Automated Actions - params: - - id: ps-04.02_odp.01 - props: - - name: legacy-identifier - value: ps-4.2_prm_1 - - name: label - value: PS-04(02)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to notify personnel or roles of - individual termination actions and/or to disable access to - system resources are defined; - - id: ps-04.02_odp.02 - props: - - name: legacy-identifier - value: ps-4.2_prm_2 - - name: label - value: PS-04(02)_ODP[02] - select: - how-many: one-or-more - choice: - - "notify{{ insert: param, ps-04.02_odp.03 }}of individual termination\ - \ actions" - - disable access to system resources - - id: ps-04.02_odp.03 - props: - - name: legacy-identifier - value: ps-4.2_prm_3 - - name: label - value: PS-04(02)_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified upon termination of - an individual is/are defined (if selected); - props: - - name: label - value: PS-04(02) - - name: sort-id - value: ps-04.02 - links: - - href: "#ps-4" - rel: required - parts: - - id: ps-4.2_smt - name: statement - prose: "Use {{ insert: param, ps-04.02_odp.01 }} to {{ insert: param,\ - \ ps-04.02_odp.02 }}." - - id: ps-4.2_gdn - name: guidance - prose: In organizations with many employees, not all personnel who - need to know about termination actions receive the appropriate - notifications, or if such notifications are received, they may - not occur in a timely manner. Automated mechanisms can be used - to send automatic alerts or notifications to organizational personnel - or roles when individuals are terminated. Such automatic alerts - or notifications can be conveyed in a variety of ways, including - via telephone, electronic mail, text message, or websites. Automated - mechanisms can also be employed to quickly and thoroughly disable - access to system resources after an employee is terminated. - - name: objective - props: - - name: label - value: PS-04(02) - class: sp800-53A - prose: "{{ insert: param, ps-04.02_odp.01 }} are used to {{ insert:\ - \ param, ps-04.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - procedures addressing personnel termination - - - system design documentation - - - system configuration settings and associated documentation - - - records of personnel termination actions - - - automated notifications of employee terminations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for personnel termination - - - automated mechanisms supporting and/or implementing personnel - termination notifications - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - params: - - id: ps-05_odp.01 - props: - - name: legacy-identifier - value: ps-5_prm_1 - - name: label - value: PS-05_ODP[01] - label: transfer or reassignment actions - guidelines: - - prose: transfer or reassignment actions to be initiated following - transfer or reassignment are defined; - - id: ps-05_odp.02 - props: - - name: legacy-identifier - value: ps-5_prm_2 - - name: label - value: PS-05_ODP[02] - label: time period following the formal transfer action - guidelines: - - prose: the time period within which transfer or reassignment actions - must occur following transfer or reassignment is defined; - - id: ps-05_odp.03 - props: - - name: legacy-identifier - value: ps-5_prm_3 - - name: label - value: PS-05_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified when individuals are reassigned - or transferred to other positions within the organization is/are - defined; - - id: ps-05_odp.04 - props: - - name: legacy-identifier - value: ps-5_prm_4 - - name: label - value: PS-05_ODP[04] - label: time period - guidelines: - - prose: time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other - positions within the organization is defined; - props: - - name: label - value: PS-05 - - name: sort-id - value: ps-05 - links: - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-7" - rel: related - parts: - - id: ps-5_smt - name: statement - parts: - - id: ps-5_smt.a - name: item - props: - - name: label - value: a. - prose: Review and confirm ongoing operational need for current logical - and physical access authorizations to systems and facilities when - individuals are reassigned or transferred to other positions within - the organization; - - id: ps-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Initiate {{ insert: param, ps-05_odp.01 }} within {{ insert:\ - \ param, ps-05_odp.02 }};" - - id: ps-5_smt.c - name: item - props: - - name: label - value: c. - prose: Modify access authorization as needed to correspond with - any changes in operational need due to reassignment or transfer; - and - - id: ps-5_smt.d - name: item - props: - - name: label - value: d. - prose: "Notify {{ insert: param, ps-05_odp.03 }} within {{ insert:\ - \ param, ps-05_odp.04 }}." - - id: ps-5_gdn - name: guidance - prose: Personnel transfer applies when reassignments or transfers of - individuals are permanent or of such extended duration as to make - the actions warranted. Organizations define actions appropriate for - the types of reassignments or transfers, whether permanent or extended. - Actions that may be required for personnel transfers or reassignments - to other positions within organizations include returning old and - issuing new keys, identification cards, and building passes; closing - system accounts and establishing new accounts; changing system access - authorizations (i.e., privileges); and providing for access to official - records to which individuals had access at previous work locations - and in previous system accounts. - - name: objective - props: - - name: label - value: PS-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-05a. - class: sp800-53A - prose: the ongoing operational need for current logical and physical - access authorizations to systems and facilities are reviewed and - confirmed when individuals are reassigned or transferred to other - positions within the organization; - - name: objective - props: - - name: label - value: PS-05b. - class: sp800-53A - prose: "{{ insert: param, ps-05_odp.01 }} are initiated within {{\ - \ insert: param, ps-05_odp.02 }};" - - name: objective - props: - - name: label - value: PS-05c. - class: sp800-53A - prose: access authorization is modified as needed to correspond - with any changes in operational need due to reassignment or transfer; - - name: objective - props: - - name: label - value: PS-05d. - class: sp800-53A - prose: "{{ insert: param, ps-05_odp.03 }} are notified within {{\ - \ insert: param, ps-05_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-05-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing personnel transfer - - records of personnel transfer actions - - list of system and facility access authorizations - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with account management responsibilities - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for personnel transfer - - - automated mechanisms supporting and/or implementing personnel - transfer notifications - - - automated mechanisms for disabling system access/revoking authenticators - - id: ps-6 - class: SP800-53 - title: Access Agreements - params: - - id: ps-06_odp.01 - props: - - name: legacy-identifier - value: ps-6_prm_1 - - name: label - value: PS-06_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to review and update access agreements - is defined; - - id: ps-06_odp.02 - props: - - name: legacy-identifier - value: ps-6_prm_2 - - name: label - value: PS-06_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to re-sign access agreements to maintain - access to organizational information is defined; - props: - - name: label - value: PS-06 - - name: sort-id - value: ps-06 - links: - - href: "#ac-17" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-21" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-6_smt - name: statement - parts: - - id: ps-6_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and document access agreements for organizational - systems; - - id: ps-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the access agreements {{ insert: param,\ - \ ps-06_odp.01 }} ; and" - - id: ps-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Verify that individuals requiring access to organizational\ - \ information and systems:" - parts: - - id: ps-6_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: Sign appropriate access agreements prior to being granted - access; and - - id: ps-6_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Re-sign access agreements to maintain access to organizational\ - \ systems when access agreements have been updated or {{ insert:\ - \ param, ps-06_odp.02 }}." - - id: ps-6_gdn - name: guidance - prose: Access agreements include nondisclosure agreements, acceptable - use agreements, rules of behavior, and conflict-of-interest agreements. - Signed access agreements include an acknowledgement that individuals - have read, understand, and agree to abide by the constraints associated - with organizational systems to which access is authorized. Organizations - can use electronic signatures to acknowledge access agreements unless - specifically prohibited by organizational policy. - - name: objective - props: - - name: label - value: PS-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-06a. - class: sp800-53A - prose: access agreements are developed and documented for organizational - systems; - - name: objective - props: - - name: label - value: PS-06b. - class: sp800-53A - prose: "the access agreements are reviewed and updated {{ insert:\ - \ param, ps-06_odp.01 }};" - - name: objective - props: - - name: label - value: PS-06c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-06c.01 - class: sp800-53A - prose: individuals requiring access to organizational information - and systems sign appropriate access agreements prior to being - granted access; - - name: objective - props: - - name: label - value: PS-06c.02 - class: sp800-53A - prose: "individuals requiring access to organizational information\ - \ and systems re-sign access agreements to maintain access\ - \ to organizational systems when access agreements have been\ - \ updated or {{ insert: param, ps-06_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - personnel security procedures - - - procedures addressing access agreements for organizational information - and systems - - - access control policy - - - access control procedures - - - access agreements (including non-disclosure agreements, acceptable - use agreements, rules of behavior, and conflict-of-interest agreements) - - - documentation of access agreement reviews, updates, and re-signing - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel who have signed/resigned access agreements - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for reviewing, updating, and - re-signing access agreements - - - automated mechanisms supporting the reviewing, updating, and re-signing - of access agreements - controls: - - id: ps-6.1 - class: SP800-53-enhancement - title: Information Requiring Special Protection - props: - - name: label - value: PS-06(01) - - name: sort-id - value: ps-06.01 - - name: status - value: withdrawn - links: - - href: "#ps-3" - rel: incorporated-into - - id: ps-6.2 - class: SP800-53-enhancement - title: Classified Information Requiring Special Protection - props: - - name: label - value: PS-06(02) - - name: sort-id - value: ps-06.02 - links: - - href: "#ps-6" - rel: required - parts: - - id: ps-6.2_smt - name: statement - prose: "Verify that access to classified information requiring special\ - \ protection is granted only to individuals who:" - parts: - - id: ps-6.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Have a valid access authorization that is demonstrated - by assigned official government duties; - - id: ps-6.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Satisfy associated personnel security criteria; and - - id: ps-6.2_smt.c - name: item - props: - - name: label - value: (c) - prose: Have read, understood, and signed a nondisclosure agreement. - - id: ps-6.2_gdn - name: guidance - prose: Classified information that requires special protection includes - collateral information, Special Access Program (SAP) information, - and Sensitive Compartmented Information (SCI). Personnel security - criteria reflect applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. - - name: objective - props: - - name: label - value: PS-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-06(02)(a) - class: sp800-53A - prose: access to classified information requiring special protection - is granted only to individuals who have a valid access authorization - that is demonstrated by assigned official government duties; - - name: objective - props: - - name: label - value: PS-06(02)(b) - class: sp800-53A - prose: access to classified information requiring special protection - is granted only to individuals who satisfy associated personnel - security criteria; - - name: objective - props: - - name: label - value: PS-06(02)(c) - class: sp800-53A - prose: access to classified information requiring special protection - is granted only to individuals who have read, understood, - and signed a non-disclosure agreement. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - procedures addressing access agreements for organizational - information and systems - - - access agreements - - - access authorizations - - - personnel security criteria - - - signed non-disclosure agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel who have signed non-disclosure agreements - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for access to classified information - requiring special protection - - id: ps-6.3 - class: SP800-53-enhancement - title: Post-employment Requirements - props: - - name: label - value: PS-06(03) - - name: sort-id - value: ps-06.03 - links: - - href: "#ps-6" - rel: required - - href: "#ps-4" - rel: related - parts: - - id: ps-6.3_smt - name: statement - parts: - - id: ps-6.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Notify individuals of applicable, legally binding post-employment - requirements for protection of organizational information; - and - - id: ps-6.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Require individuals to sign an acknowledgment of these - requirements, if applicable, as part of granting initial access - to covered information. - - id: ps-6.3_gdn - name: guidance - prose: Organizations consult with the Office of the General Counsel - regarding matters of post-employment requirements on terminated - individuals. - - name: objective - props: - - name: label - value: PS-06(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-06(03)(a) - class: sp800-53A - prose: individuals are notified of applicable, legally binding - post-employment requirements for the protection of organizational - information; - - name: objective - props: - - name: label - value: PS-06(03)(b) - class: sp800-53A - prose: individuals are required to sign an acknowledgement of - applicable, legally binding post-employment requirements as - part of being granted initial access to covered information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - procedures addressing access agreements for organizational - information and systems - - - signed post-employment acknowledgement forms - - - access agreements - - - list of applicable, legally binding post-employment requirements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel who have signed access agreements - that include post-employment requirements - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for post-employment - requirements - - - automated mechanisms supporting notifications and individual - acknowledgements of post-employment requirements - - id: ps-7 - class: SP800-53 - title: External Personnel Security - params: - - id: ps-07_odp.01 - props: - - name: legacy-identifier - value: ps-7_prm_1 - - name: label - value: PS-07_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified of any personnel transfers - or terminations of external personnel who possess organizational - credentials and/or badges or who have system privileges is/are - defined; - - id: ps-07_odp.02 - props: - - name: legacy-identifier - value: ps-7_prm_2 - - name: label - value: PS-07_ODP[02] - label: time period - guidelines: - - prose: time period within which third-party providers are required - to notify organization-defined personnel or roles of any personnel - transfers or terminations of external personnel who possess organizational - credentials and/or badges or who have system privileges is defined; - props: - - name: label - value: PS-07 - - name: sort-id - value: ps-07 - links: - - href: "#77faf0bc-c394-44ad-9154-bbac3b79c8ad" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-6" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-21" - rel: related - parts: - - id: ps-7_smt - name: statement - parts: - - id: ps-7_smt.a - name: item - props: - - name: label - value: a. - prose: Establish personnel security requirements, including security - roles and responsibilities for external providers; - - id: ps-7_smt.b - name: item - props: - - name: label - value: b. - prose: Require external providers to comply with personnel security - policies and procedures established by the organization; - - id: ps-7_smt.c - name: item - props: - - name: label - value: c. - prose: Document personnel security requirements; - - id: ps-7_smt.d - name: item - props: - - name: label - value: d. - prose: "Require external providers to notify {{ insert: param, ps-07_odp.01\ - \ }} of any personnel transfers or terminations of external personnel\ - \ who possess organizational credentials and/or badges, or who\ - \ have system privileges within {{ insert: param, ps-07_odp.02\ - \ }} ; and" - - id: ps-7_smt.e - name: item - props: - - name: label - value: e. - prose: Monitor provider compliance with personnel security requirements. - - id: ps-7_gdn - name: guidance - prose: External provider refers to organizations other than the organization - operating or acquiring the system. External providers include service - bureaus, contractors, and other organizations that provide system - development, information technology services, testing or assessment - services, outsourced applications, and network/security management. - Organizations explicitly include personnel security requirements in - acquisition-related documents. External providers may have personnel - working at organizational facilities with credentials, badges, or - system privileges issued by organizations. Notifications of external - personnel changes ensure the appropriate termination of privileges - and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include - functions, roles, and the nature of credentials or privileges associated - with transferred or terminated individuals. - - name: objective - props: - - name: label - value: PS-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-07(a) - class: sp800-53A - prose: personnel security requirements are established, including - security roles and responsibilities for external providers; - - name: objective - props: - - name: label - value: PS-07(b) - class: sp800-53A - prose: external providers are required to comply with personnel - security policies and procedures established by the organization; - - name: objective - props: - - name: label - value: PS-07(c) - class: sp800-53A - prose: personnel security requirements are documented; - - name: objective - props: - - name: label - value: PS-07(d) - class: sp800-53A - prose: "external providers are required to notify {{ insert: param,\ - \ ps-07_odp.01 }} of any personnel transfers or terminations of\ - \ external personnel who possess organizational credentials and/or\ - \ badges or who have system privileges within {{ insert: param,\ - \ ps-07_odp.02 }};" - - name: objective - props: - - name: label - value: PS-07(e) - class: sp800-53A - prose: provider compliance with personnel security requirements - is monitored. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - procedures addressing external personnel security - - list of personnel security requirements - - acquisition documents - - service-level agreements - - compliance monitoring process - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - external providers - - - system/network administrators - - - organizational personnel with account management responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing and monitoring - external personnel security - - - automated mechanisms supporting and/or implementing the monitoring - of provider compliance - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - params: - - id: ps-08_odp.01 - props: - - name: legacy-identifier - value: ps-8_prm_1 - - name: label - value: PS-08_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be notified when a formal employee - sanctions process is initiated is/are defined; - - id: ps-08_odp.02 - props: - - name: legacy-identifier - value: ps-8_prm_2 - - name: label - value: PS-08_ODP[02] - label: time period - guidelines: - - prose: the time period within which organization-defined personnel - or roles must be notified when a formal employee sanctions process - is initiated is defined; - props: - - name: label - value: PS-08 - - name: sort-id - value: ps-08 - links: - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-6" - rel: related - - href: "#pt-1" - rel: related - parts: - - id: ps-8_smt - name: statement - parts: - - id: ps-8_smt.a - name: item - props: - - name: label - value: a. - prose: Employ a formal sanctions process for individuals failing - to comply with established information security and privacy policies - and procedures; and - - id: ps-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Notify {{ insert: param, ps-08_odp.01 }} within {{ insert:\ - \ param, ps-08_odp.02 }} when a formal employee sanctions process\ - \ is initiated, identifying the individual sanctioned and the\ - \ reason for the sanction." - - id: ps-8_gdn - name: guidance - prose: Organizational sanctions reflect applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines. Sanctions - processes are described in access agreements and can be included as - part of general personnel policies for organizations and/or specified - in security and privacy policies. Organizations consult with the Office - of the General Counsel regarding matters of employee sanctions. - - name: objective - props: - - name: label - value: PS-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-08a. - class: sp800-53A - prose: a formal sanctions process is employed for individuals failing - to comply with established information security and privacy policies - and procedures; - - name: objective - props: - - name: label - value: PS-08b. - class: sp800-53A - prose: "{{ insert: param, ps-08_odp.01 }} is/are notified within\ - \ {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions\ - \ process is initiated, identifying the individual sanctioned\ - \ and the reason for the sanction." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personnel security policy - - - personnel security procedures - - - procedures addressing personnel sanctions - - - access agreements (including non-disclosure agreements, acceptable - use agreements, rules of behavior, and conflict-of-interest agreements) - - - list of personnel or roles to be notified of formal employee sanctions - - - records or notifications of formal employee sanctions - - - system security plan - - - privacy plan - - - personally identifiable information processing policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - legal counsel - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing formal employee - sanctions - - - automated mechanisms supporting and/or implementing formal employee - sanctions notifications - - id: ps-9 - class: SP800-53 - title: Position Descriptions - props: - - name: label - value: PS-09 - - name: sort-id - value: ps-09 - links: - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - parts: - - id: ps-9_smt - name: statement - prose: Incorporate security and privacy roles and responsibilities into - organizational position descriptions. - - id: ps-9_gdn - name: guidance - prose: Specification of security and privacy roles in individual organizational - position descriptions facilitates clarity in understanding the security - or privacy responsibilities associated with the roles and the role-based - security and privacy training requirements for the roles. - - name: objective - props: - - name: label - value: PS-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PS-09[01] - class: sp800-53A - prose: security roles and responsibilities are incorporated into - organizational position descriptions; - - name: objective - props: - - name: label - value: PS-09[02] - class: sp800-53A - prose: privacy roles and responsibilities are incorporated into - organizational position descriptions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PS-09-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Personnel security policy - - personnel security procedures - - procedures addressing position descriptions - - security and privacy position descriptions - - system security plan - - privacy plan - - privacy program plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PS-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personnel security - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with human capital management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PS-09-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing position descriptions - - id: pt - class: family - title: Personally Identifiable Information Processing and Transparency - controls: - - id: pt-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pt-1_prm_1 - props: - - name: aggregates - value: pt-01_odp.01 - label: organization-defined personnel or roles - - id: pt-01_odp.01 - props: - - name: label - value: PT-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the personally identifiable information - processing and transparency policy is to be disseminated is/are - defined; - - id: pt-01_odp.02 - props: - - name: label - value: PT-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the personally identifiable information - processing and transparency procedures are to be disseminated - is/are defined; - - id: pt-01_odp.03 - props: - - name: legacy-identifier - value: pt-1_prm_2 - - name: label - value: PT-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pt-01_odp.04 - props: - - name: legacy-identifier - value: pt-1_prm_3 - - name: label - value: PT-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the personally identifiable information - processing and transparency policy and procedures is defined; - - id: pt-01_odp.05 - props: - - name: legacy-identifier - value: pt-1_prm_4 - - name: label - value: PT-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current personally identifiable - information processing and transparency policy is reviewed and - updated is defined; - - id: pt-01_odp.06 - props: - - name: legacy-identifier - value: pt-1_prm_5 - - name: label - value: PT-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current personally identifiable - information processing and transparency policy to be reviewed - and updated are defined; - - id: pt-01_odp.07 - props: - - name: legacy-identifier - value: pt-1_prm_6 - - name: label - value: PT-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current personally identifiable - information processing and transparency procedures are reviewed - and updated is defined; - - id: pt-01_odp.08 - props: - - name: legacy-identifier - value: pt-1_prm_7 - - name: label - value: PT-01_ODP[08] - label: events - guidelines: - - prose: events that would require the personally identifiable information - processing and transparency procedures to be reviewed and updated - are defined; - props: - - name: label - value: PT-01 - - name: sort-id - value: pt-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - parts: - - id: pt-1_smt - name: statement - parts: - - id: pt-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pt-1_prm_1 }}:" - parts: - - id: pt-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, pt-01_odp.03 }} personally identifiable\ - \ information processing and transparency policy that:" - parts: - - id: pt-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pt-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pt-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the personally - identifiable information processing and transparency policy - and the associated personally identifiable information processing - and transparency controls; - - id: pt-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pt-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the personally\ - \ identifiable information processing and transparency policy\ - \ and procedures; and" - - id: pt-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current personally identifiable information\ - \ processing and transparency:" - parts: - - id: pt-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, pt-01_odp.05 }} and following\ - \ {{ insert: param, pt-01_odp.06 }} ; and" - - id: pt-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, pt-01_odp.07 }} and following\ - \ {{ insert: param, pt-01_odp.08 }}." - - id: pt-1_gdn - name: guidance - prose: Personally identifiable information processing and transparency - policy and procedures address the controls in the PT family that are - implemented within systems and organizations. The risk management - strategy is an important factor in establishing such policies and - procedures. Policies and procedures contribute to security and privacy - assurance. Therefore, it is important that security and privacy programs - collaborate on the development of personally identifiable information - processing and transparency policy and procedures. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for mission- or system-specific - policies and procedures. The policy can be included as part of the - general security and privacy policy or be represented by multiple - policies that reflect the complex nature of organizations. Procedures - can be established for security and privacy programs, for mission - or business processes, and for systems, if needed. Procedures describe - how the policies or controls are implemented and can be directed at - the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - personally identifiable information processing and transparency policy - and procedures include assessment or audit findings, breaches, or - changes in applicable laws, executive orders, directives, regulations, - policies, standards, and guidelines. Simply restating controls does - not constitute an organizational policy or procedure. - - name: objective - props: - - name: label - value: PT-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01a.[01] - class: sp800-53A - prose: a personally identifiable information processing and - transparency policy is developed and documented; - - name: objective - props: - - name: label - value: PT-01a.[02] - class: sp800-53A - prose: "the personally identifiable information processing and\ - \ transparency policy is disseminated to {{ insert: param,\ - \ pt-01_odp.01 }};" - - name: objective - props: - - name: label - value: PT-01a.[03] - class: sp800-53A - prose: personally identifiable information processing and transparency - procedures to facilitate the implementation of the personally - identifiable information processing and transparency policy - and associated personally identifiable information processing - and transparency controls are developed and documented; - - name: objective - props: - - name: label - value: PT-01a.[04] - class: sp800-53A - prose: "the personally identifiable information processing and\ - \ transparency procedures are disseminated to {{ insert: param,\ - \ pt-01_odp.02 }};" - - name: objective - props: - - name: label - value: PT-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses purpose;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses scope;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses roles;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses responsibilities;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses management commitment;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: PT-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy addresses compliance;" - - name: objective - props: - - name: label - value: PT-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.03 }} personally\ - \ identifiable information processing and transparency\ - \ policy is consistent with applicable laws, Executive\ - \ Orders, directives, regulations, policies, standards,\ - \ and guidelines;" - - name: objective - props: - - name: label - value: PT-01b. - class: sp800-53A - prose: "the {{ insert: param, pt-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the personally\ - \ identifiable information processing and transparency policy\ - \ and procedures;" - - name: objective - props: - - name: label - value: PT-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01c.01[01] - class: sp800-53A - prose: "the current personally identifiable information\ - \ processing and transparency policy is reviewed and updated\ - \ {{ insert: param, pt-01_odp.05 }};" - - name: objective - props: - - name: label - value: PT-01c.01[02] - class: sp800-53A - prose: "the current personally identifiable information\ - \ processing and transparency policy is reviewed and updated\ - \ following {{ insert: param, pt-01_odp.06 }};" - - name: objective - props: - - name: label - value: PT-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-01c.02[01] - class: sp800-53A - prose: "the current personally identifiable information\ - \ processing and transparency procedures are reviewed\ - \ and updated {{ insert: param, pt-01_odp.07 }};" - - name: objective - props: - - name: label - value: PT-01c.02[02] - class: sp800-53A - prose: "the current personally identifiable information\ - \ processing and transparency procedures are reviewed\ - \ and updated following {{ insert: param, pt-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-01-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy plan - - - privacy program plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: pt-2 - class: SP800-53 - title: Authority to Process Personally Identifiable Information - params: - - id: pt-02_odp.01 - props: - - name: legacy-identifier - value: pt-2_prm_1 - - name: label - value: PT-02_ODP[01] - label: authority - guidelines: - - prose: the authority to permit the processing (defined in PT-02_ODP[02]) - of personally identifiable information is defined; - - id: pt-02_odp.02 - props: - - name: legacy-identifier - value: pt-2_prm_2 - - name: label - value: PT-02_ODP[02] - label: processing - guidelines: - - prose: the type of processing of personally identifiable information - is defined; - - id: pt-02_odp.03 - props: - - name: legacy-identifier - value: pt-2_prm_3 - - name: label - value: PT-02_ODP[03] - label: processing - guidelines: - - prose: the type of processing of personally identifiable information - to be restricted is defined; - props: - - name: label - value: PT-02 - - name: sort-id - value: pt-02 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#a2590922-82f3-4277-83c0-ca5bee06dba4" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#cm-13" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-24" - rel: related - - href: "#pt-1" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-2_smt - name: statement - parts: - - id: pt-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine and document the {{ insert: param, pt-02_odp.01\ - \ }} that permits the {{ insert: param, pt-02_odp.02 }} of personally\ - \ identifiable information; and" - - id: pt-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Restrict the {{ insert: param, pt-02_odp.03 }} of personally\ - \ identifiable information to only that which is authorized." - - id: pt-2_gdn - name: guidance - prose: >- - The processing of personally identifiable information is an - operation or set of operations that the information system or - organization performs with respect to personally identifiable - information across the information life cycle. Processing - includes but is not limited to creation, collection, use, - processing, storage, maintenance, dissemination, disclosure, and - disposal. Processing operations also include logging, - generation, and transformation, as well as analysis techniques, - such as data mining. - - - Organizations may be subject to laws, executive orders, directives, - regulations, or policies that establish the organization’s authority - and thereby limit certain types of processing of personally identifiable - information or establish other requirements related to the processing. - Organizational personnel consult with the senior agency official for - privacy and legal counsel regarding such authority, particularly if - the organization is subject to multiple jurisdictions or sources of - authority. For organizations whose processing is not determined according - to legal authorities, the organization’s policies and determinations - govern how they process personally identifiable information. While - processing of personally identifiable information may be legally permissible, - privacy risks may still arise. Privacy risk assessments can identify - the privacy risks associated with the authorized processing of personally - identifiable information and support solutions to manage such risks. - - - Organizations consider applicable requirements and organizational - policies to determine how to document this authority. For federal - agencies, the authority to process personally identifiable information - is documented in privacy policies and notices, system of records notices, - privacy impact assessments, [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - statements, computer matching agreements and notices, contracts, information - sharing agreements, memoranda of understanding, and other documentation. - - - Organizations take steps to ensure that personally identifiable information - is only processed for authorized purposes, including training organizational - personnel on the authorized processing of personally identifiable - information and monitoring and auditing organizational use of personally - identifiable information. - - name: objective - props: - - name: label - value: PT-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-02a. - class: sp800-53A - prose: "the {{ insert: param, pt-02_odp.01 }} that permits the {{\ - \ insert: param, pt-02_odp.02 }} of personally identifiable information\ - \ is determined and documented;" - - name: objective - props: - - name: label - value: PT-02b. - class: sp800-53A - prose: "the {{ insert: param, pt-02_odp.03 }} of personally identifiable\ - \ information is restricted to only that which is authorized." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing the processing of - personally identifiable information - - - automated mechanisms supporting and/or implementing the restriction - of personally identifiable information processing - controls: - - id: pt-2.1 - class: SP800-53-enhancement - title: Data Tagging - params: - - id: pt-02.01_odp.01 - props: - - name: legacy-identifier - value: pt-2.1_prm_1 - - name: label - value: PT-02(01)_ODP[01] - label: authorized processing - guidelines: - - prose: the authorized processing of personally identifiable - information is defined; - - id: pt-02.01_odp.02 - props: - - name: legacy-identifier - value: pt-2.1_prm_2 - - name: label - value: PT-02(01)_ODP[02] - label: elements of personally identifiable information - guidelines: - - prose: elements of personally identifiable information to be - tagged are defined; - props: - - name: label - value: PT-02(01) - - name: sort-id - value: pt-02.01 - links: - - href: "#pt-2" - rel: required - - href: "#ac-16" - rel: related - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-4" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-2.1_smt - name: statement - prose: "Attach data tags containing {{ insert: param, pt-02.01_odp.01\ - \ }} to {{ insert: param, pt-02.01_odp.02 }}." - - id: pt-2.1_gdn - name: guidance - prose: Data tags support the tracking and enforcement of authorized - processing by conveying the types of processing that are authorized - along with the relevant elements of personally identifiable information - throughout the system. Data tags may also support the use of automated - tools. - - name: objective - props: - - name: label - value: PT-02(01) - class: sp800-53A - prose: "data tags containing {{ insert: param, pt-02.01_odp.01 }}\ - \ are attached to {{ insert: param, pt-02.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures including procedures - addressing data tagging - - - data tag definitions - - - documented requirements for use and monitoring of data tagging - - - data extracts with corresponding data tags - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing the processing - of personally identifiable information - - - organizational processes for data tagging - - - automated mechanisms for applying and monitoring data tagging - - - automated mechanisms supporting and/or implementing the restriction - of personally identifiable information processing - - id: pt-2.2 - class: SP800-53-enhancement - title: Automation - params: - - id: pt-02.02_odp - props: - - name: legacy-identifier - value: pt-2.2_prm_1 - - name: label - value: PT-02(02)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to manage enforcement of the - authorized processing of personally identifiable information - are defined; - props: - - name: label - value: PT-02(02) - - name: sort-id - value: pt-02.02 - links: - - href: "#pt-2" - rel: required - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-4" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-2.2_smt - name: statement - prose: "Manage enforcement of the authorized processing of personally\ - \ identifiable information using {{ insert: param, pt-02.02_odp\ - \ }}." - - id: pt-2.2_gdn - name: guidance - prose: Automated mechanisms augment verification that only authorized - processing is occurring. - - name: objective - props: - - name: label - value: PT-02(02) - class: sp800-53A - prose: "enforcement of the authorized processing of personally identifiable\ - \ information is managed using {{ insert: param, pt-02.02_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing the processing - of personally identifiable information - - - automated mechanisms supporting and/or implementing the management - of authorized personally identifiable information processing - - id: pt-3 - class: SP800-53 - title: Personally Identifiable Information Processing Purposes - params: - - id: pt-03_odp.01 - props: - - name: legacy-identifier - value: pt-3_prm_1 - - name: label - value: PT-03_ODP[01] - label: purpose(s) - guidelines: - - prose: the purpose(s) for processing personally identifiable information - is/are defined; - - id: pt-03_odp.02 - props: - - name: legacy-identifier - value: pt-3_prm_2 - - name: label - value: PT-03_ODP[02] - label: processing - guidelines: - - prose: the processing of personally identifiable information to - be restricted is defined; - - id: pt-03_odp.03 - props: - - name: legacy-identifier - value: pt-3_prm_3 - - name: label - value: PT-03_ODP[03] - label: mechanisms - guidelines: - - prose: mechanisms to be implemented for ensuring any changes in - the processing of personally identifiable information are made - in accordance with requirements are defined; - - id: pt-03_odp.04 - props: - - name: legacy-identifier - value: pt-3_prm_4 - - name: label - value: PT-03_ODP[04] - label: requirements - guidelines: - - prose: requirements for changing the processing of personally identifiable - information are defined; - props: - - name: label - value: PT-03 - - name: sort-id - value: pt-03 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#a2590922-82f3-4277-83c0-ca5bee06dba4" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#at-3" - rel: related - - href: "#cm-13" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-25" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-3_smt - name: statement - parts: - - id: pt-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document the {{ insert: param, pt-03_odp.01\ - \ }} for processing personally identifiable information;" - - id: pt-3_smt.b - name: item - props: - - name: label - value: b. - prose: Describe the purpose(s) in the public privacy notices and - policies of the organization; - - id: pt-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Restrict the {{ insert: param, pt-03_odp.02 }} of personally\ - \ identifiable information to only that which is compatible with\ - \ the identified purpose(s); and" - - id: pt-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Monitor changes in processing personally identifiable information\ - \ and implement {{ insert: param, pt-03_odp.03 }} to ensure that\ - \ any changes are made in accordance with {{ insert: param, pt-03_odp.04\ - \ }}." - - id: pt-3_gdn - name: guidance - prose: >- - Identifying and documenting the purpose for processing provides - organizations with a basis for understanding why personally - identifiable information may be processed. The term "process" - includes every step of the information life cycle, including - creation, collection, use, processing, storage, maintenance, - dissemination, disclosure, and disposal. Identifying and - documenting the purpose of processing is a prerequisite to - enabling owners and operators of the system and individuals - whose information is processed by the system to understand how - the information will be processed. This enables individuals to - make informed decisions about their engagement with information - systems and organizations and to manage their privacy interests. - Once the specific processing purpose has been identified, the - purpose is described in the organization’s privacy notices, - policies, and any related privacy compliance documentation, - including privacy impact assessments, system of records notices, - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements, - computer matching notices, and other applicable Federal Register - notices. - - - Organizations take steps to help ensure that personally identifiable - information is processed only for identified purposes, including training - organizational personnel and monitoring and auditing organizational - processing of personally identifiable information. - - - Organizations monitor for changes in personally identifiable information - processing. Organizational personnel consult with the senior agency - official for privacy and legal counsel to ensure that any new purposes - that arise from changes in processing are compatible with the purpose - for which the information was collected, or if the new purpose is - not compatible, implement mechanisms in accordance with defined requirements - to allow for the new processing, if appropriate. Mechanisms may include - obtaining consent from individuals, revising privacy policies, or - other measures to manage privacy risks that arise from changes in - personally identifiable information processing purposes. - - name: objective - props: - - name: label - value: PT-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-03a. - class: sp800-53A - prose: "the {{ insert: param, pt-03_odp.01 }} for processing personally\ - \ identifiable information is/are identified and documented;" - - name: objective - props: - - name: label - value: PT-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-03b.[01] - class: sp800-53A - prose: the purpose(s) is/are described in the public privacy - notices of the organization; - - name: objective - props: - - name: label - value: PT-03b.[02] - class: sp800-53A - prose: the purpose(s) is/are described in the policies of the - organization; - - name: objective - props: - - name: label - value: PT-03c. - class: sp800-53A - prose: "the {{ insert: param, pt-03_odp.02 }} of personally identifiable\ - \ information are restricted to only that which is compatible\ - \ with the identified purpose(s);" - - name: objective - props: - - name: label - value: PT-03d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-03d.[01] - class: sp800-53A - prose: changes in the processing of personally identifiable - information are monitored; - - name: objective - props: - - name: label - value: PT-03d.[02] - class: sp800-53A - prose: "{{ insert: param, pt-03_odp.03 }} are implemented to\ - \ ensure that any changes are made in accordance with {{ insert:\ - \ param, pt-03_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - configuration management plan - - - organizational privacy notices - - - organizational policies - - - Privacy Act statements - - - computer matching notices - - - applicable Federal Register notices - - - documented requirements for enforcing and monitoring the processing - of personally identifiable information - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing the processing of - personally identifiable information - - - automated mechanisms supporting and/or implementing the management - of authorized personally identifiable information processing - - - organizational processes for monitoring changes in processing - personally identifiable information - controls: - - id: pt-3.1 - class: SP800-53-enhancement - title: Data Tagging - params: - - id: pt-03.01_odp.01 - props: - - name: legacy-identifier - value: pt-3.1_prm_2 - - name: label - value: PT-03(01)_ODP[01] - label: processing purposes - guidelines: - - prose: processing purposes to be contained in data tags are - defined; - - id: pt-03.01_odp.02 - props: - - name: legacy-identifier - value: pt-3.1_prm_1 - - name: label - value: PT-03(01)_ODP[02] - label: elements of personally identifiable information - guidelines: - - prose: elements of personally identifiable information to be - tagged are defined; - props: - - name: label - value: PT-03(01) - - name: sort-id - value: pt-03.01 - links: - - href: "#pt-3" - rel: required - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-3.1_smt - name: statement - prose: "Attach data tags containing the following purposes to {{\ - \ insert: param, pt-03.01_odp.02 }}: {{ insert: param, pt-03.01_odp.01\ - \ }}." - - id: pt-3.1_gdn - name: guidance - prose: Data tags support the tracking of processing purposes by - conveying the purposes along with the relevant elements of personally - identifiable information throughout the system. By conveying the - processing purposes in a data tag along with the personally identifiable - information as the information transits a system, a system owner - or operator can identify whether a change in processing would - be compatible with the identified and documented purposes. Data - tags may also support the use of automated tools. - - name: objective - props: - - name: label - value: PT-03(01) - class: sp800-53A - prose: "data tags containing {{ insert: param, pt-03.01_odp.01 }}\ - \ are attached to {{ insert: param, pt-03.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - documented description of how data tags are used to identify - personally identifiable information data elements and their - authorized uses - - - data tag schema - - - data extracts with corresponding data tags - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with data tagging responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing the processing - of personally identifiable information - - - automated mechanisms supporting and/or implementing data tagging - - id: pt-3.2 - class: SP800-53-enhancement - title: Automation - params: - - id: pt-03.02_odp - props: - - name: legacy-identifier - value: pt-3.2_prm_1 - - name: label - value: PT-03(02)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms for tracking the processing purposes - of personally identifiable information are defined; - props: - - name: label - value: PT-03(02) - - name: sort-id - value: pt-03.02 - links: - - href: "#pt-3" - rel: required - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-3.2_smt - name: statement - prose: "Track processing purposes of personally identifiable information\ - \ using {{ insert: param, pt-03.02_odp }}." - - id: pt-3.2_gdn - name: guidance - prose: Automated mechanisms augment tracking of the processing purposes. - - name: objective - props: - - name: label - value: PT-03(02) - class: sp800-53A - prose: "the processing purposes of personally identifiable information\ - \ are tracked using {{ insert: param, pt-03.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - data extracts with corresponding data tags - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the enforcement of - authorized processing of personally identifiable - information - - - automated tracking mechanisms - - id: pt-4 - class: SP800-53 - title: Consent - params: - - id: pt-04_odp - props: - - name: legacy-identifier - value: pt-4_prm_1 - - name: label - value: PT-04_ODP - label: tools or mechanisms - guidelines: - - prose: the tools or mechanisms to be implemented for individuals - to consent to the processing of their personally identifiable - information are defined; - props: - - name: label - value: PT-04 - - name: sort-id - value: pt-04 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#ac-16" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-5" - rel: related - parts: - - id: pt-4_smt - name: statement - prose: "Implement {{ insert: param, pt-04_odp }} for individuals to\ - \ consent to the processing of their personally identifiable information\ - \ prior to its collection that facilitate individuals’ informed decision-making." - - id: pt-4_gdn - name: guidance - prose: Consent allows individuals to participate in making decisions - about the processing of their information and transfers some of the - risk that arises from the processing of personally identifiable information - from the organization to an individual. Consent may be required by - applicable laws, executive orders, directives, regulations, policies, - standards, or guidelines. Otherwise, when selecting consent as a control, - organizations consider whether individuals can be reasonably expected - to understand and accept the privacy risks that arise from their authorization. - Organizations consider whether other controls may more effectively - mitigate privacy risk either alone or in conjunction with consent. - Organizations also consider any demographic or contextual factors - that may influence the understanding or behavior of individuals with - respect to the processing carried out by the system or organization. - When soliciting consent from individuals, organizations consider the - appropriate mechanism for obtaining consent, including the type of - consent (e.g., opt-in, opt-out), how to properly authenticate and - identity proof individuals and how to obtain consent through electronic - means. In addition, organizations consider providing a mechanism for - individuals to revoke consent once it has been provided, as appropriate. - Finally, organizations consider usability factors to help individuals - understand the risks being accepted when providing consent, including - the use of plain language and avoiding technical jargon. - - name: objective - props: - - name: label - value: PT-04 - class: sp800-53A - prose: "the {{ insert: param, pt-04_odp }} are implemented for individuals\ - \ to consent to the processing of their personally identifiable information\ - \ prior to its collection that facilitate individuals’ informed decision-making." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - consent policies and procedures - - - consent tools and mechanisms - - - consent presentation or display (user interface) - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the collection of personally - identifiable information - - - consent tools or mechanisms for users to authorize the processing - of their personally identifiable information - - - automated mechanisms implementing consent - controls: - - id: pt-4.1 - class: SP800-53-enhancement - title: Tailored Consent - params: - - id: pt-04.01_odp - props: - - name: legacy-identifier - value: pt-4.1_prm_1 - - name: label - value: PT-04(01)_ODP - label: mechanisms - guidelines: - - prose: tailoring mechanisms for processing selected elements - of personally identifiable information permissions are defined; - props: - - name: label - value: PT-04(01) - - name: sort-id - value: pt-04.01 - links: - - href: "#pt-4" - rel: required - - href: "#pt-2" - rel: related - parts: - - id: pt-4.1_smt - name: statement - prose: "Provide {{ insert: param, pt-04.01_odp }} to allow individuals\ - \ to tailor processing permissions to selected elements of personally\ - \ identifiable information." - - id: pt-4.1_gdn - name: guidance - prose: While some processing may be necessary for the basic functionality - of the product or service, other processing may not. In these - circumstances, organizations allow individuals to select how specific - personally identifiable information elements may be processed. - More tailored consent may help reduce privacy risk, increase individual - satisfaction, and avoid adverse behaviors, such as abandonment - of the product or service. - - name: objective - props: - - name: label - value: PT-04(01) - class: sp800-53A - prose: "{{ insert: param, pt-04.01_odp }} are provided to allow\ - \ individuals to tailor processing permissions to selected elements\ - \ of personally identifiable information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - consent policies and procedures - - - consent tools and mechanisms - - - consent presentation or display (user interface) - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with user interface or user experience - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for consenting to the - processing of personally identifiable information - - - consent tools or mechanisms - - - automated mechanisms implementing consent - - id: pt-4.2 - class: SP800-53-enhancement - title: Just-in-time Consent - params: - - id: pt-04.02_odp.01 - props: - - name: legacy-identifier - value: pt-4.2_prm_1 - - name: label - value: PT-04(02)_ODP[01] - label: consent mechanisms - guidelines: - - prose: consent mechanisms to be presented to individuals are - defined; - - id: pt-04.02_odp.02 - props: - - name: legacy-identifier - value: pt-4.2_prm_2 - - name: label - value: PT-04(02)_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to present consent mechanisms - to individuals is defined; - - id: pt-04.02_odp.03 - props: - - name: legacy-identifier - value: pt-4.2_prm_3 - - name: label - value: PT-04(02)_ODP[03] - label: personally identifiable information processing - guidelines: - - prose: personally identifiable information processing to be - presented in conjunction with organization-defined consent - mechanisms is defined; - props: - - name: label - value: PT-04(02) - - name: sort-id - value: pt-04.02 - links: - - href: "#pt-4" - rel: required - - href: "#pt-2" - rel: related - parts: - - id: pt-4.2_smt - name: statement - prose: "Present {{ insert: param, pt-04.02_odp.01 }} to individuals\ - \ at {{ insert: param, pt-04.02_odp.02 }} and in conjunction with\ - \ {{ insert: param, pt-04.02_odp.03 }}." - - id: pt-4.2_gdn - name: guidance - prose: Just-in-time consent enables individuals to participate in - how their personally identifiable information is being processed - at the time or in conjunction with specific types of data processing - when such participation may be most useful to the individual. - Individual assumptions about how personally identifiable information - is being processed might not be accurate or reliable if time has - passed since the individual last gave consent or the type of processing - creates significant privacy risk. Organizations use discretion - to determine when to use just-in-time consent and may use supporting - information on demographics, focus groups, or surveys to learn - more about individuals’ privacy interests and concerns. - - name: objective - props: - - name: label - value: PT-04(02) - class: sp800-53A - prose: "{{ insert: param, pt-04.02_odp.01 }} are presented to individuals\ - \ {{ insert: param, pt-04.02_odp.02 }} and in conjunction with\ - \ {{ insert: param, pt-04.02_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - consent policies and procedures - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with user interface or user experience - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the collection of - personally identifiable information - - - mechanisms for obtaining just-in-time consent from users for - the processing of their personally identifiable information - - - automated mechanisms implementing just-in-time consent - - id: pt-4.3 - class: SP800-53-enhancement - title: Revocation - params: - - id: pt-04.03_odp - props: - - name: legacy-identifier - value: pt-4.3_prm_1 - - name: label - value: PT-04(03)_ODP - label: tools or mechanisms - guidelines: - - prose: the tools or mechanisms to be implemented for revoking - consent to the processing of personally identifiable information - are defined; - props: - - name: label - value: PT-04(03) - - name: sort-id - value: pt-04.03 - links: - - href: "#pt-4" - rel: required - - href: "#pt-2" - rel: related - parts: - - id: pt-4.3_smt - name: statement - prose: "Implement {{ insert: param, pt-04.03_odp }} for individuals\ - \ to revoke consent to the processing of their personally identifiable\ - \ information." - - id: pt-4.3_gdn - name: guidance - prose: Revocation of consent enables individuals to exercise control - over their initial consent decision when circumstances change. - Organizations consider usability factors in enabling easy-to-use - revocation capabilities. - - name: objective - props: - - name: label - value: PT-04(03) - class: sp800-53A - prose: "the {{ insert: param, pt-04.03_odp }} are implemented for\ - \ individuals to revoke consent to the processing of their personally\ - \ identifiable information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - consent revocation policies and procedures - - - consent revocation user interface or user experience - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with user interface or user experience - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for consenting to the - processing of personally identifiable information - - - tools or mechanisms for implementing consent revocation - - id: pt-5 - class: SP800-53 - title: Privacy Notice - params: - - id: pt-05_odp.01 - props: - - name: legacy-identifier - value: pt-5_prm_1 - - name: label - value: PT-05_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which a notice is provided to individuals - after initial interaction with an organization is defined; - - id: pt-05_odp.02 - props: - - name: legacy-identifier - value: pt-5_prm_2 - - name: label - value: PT-05_ODP[02] - label: information - guidelines: - - prose: information to be included with the notice about the processing - of personally identifiable information is defined; - props: - - name: label - value: PT-05 - - name: sort-id - value: pt-05 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#pm-20" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-4" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sc-42" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-5_smt - name: statement - prose: "Provide notice to individuals about the processing of personally\ - \ identifiable information that:" - parts: - - id: pt-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Is available to individuals upon first interacting with\ - \ an organization, and subsequently at {{ insert: param, pt-05_odp.01\ - \ }};" - - id: pt-5_smt.b - name: item - props: - - name: label - value: b. - prose: Is clear and easy-to-understand, expressing information about - personally identifiable information processing in plain language; - - id: pt-5_smt.c - name: item - props: - - name: label - value: c. - prose: Identifies the authority that authorizes the processing of - personally identifiable information; - - id: pt-5_smt.d - name: item - props: - - name: label - value: d. - prose: Identifies the purposes for which personally identifiable - information is to be processed; and - - id: pt-5_smt.e - name: item - props: - - name: label - value: e. - prose: "Includes {{ insert: param, pt-05_odp.02 }}." - - id: pt-5_gdn - name: guidance - prose: >- - Privacy notices help inform individuals about how their - personally identifiable information is being processed by the - system or organization. Organizations use privacy notices to - inform individuals about how, under what authority, and for what - purpose their personally identifiable information is processed, - as well as other information such as choices individuals might - have with respect to that processing and other parties with whom - information is shared. Laws, executive orders, directives, - regulations, or policies may require that privacy notices - include specific elements or be provided in specific formats. - Federal agency personnel consult with the senior agency official - for privacy and legal counsel regarding when and where to - provide privacy notices, as well as elements to include in - privacy notices and required formats. In circumstances where - laws or government-wide policies do not require privacy notices, - organizational policies and determinations may require privacy - notices and may serve as a source of the elements to include in - privacy notices. - - - Privacy risk assessments identify the privacy risks associated with - the processing of personally identifiable information and may help - organizations determine appropriate elements to include in a privacy - notice to manage such risks. To help individuals understand how their - information is being processed, organizations write materials in plain - language and avoid technical jargon. - - name: objective - props: - - name: label - value: PT-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-05a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-05a.[01] - class: sp800-53A - prose: a notice to individuals about the processing of personally - identifiable information is provided such that the notice - is available to individuals upon first interacting with an - organization; - - name: objective - props: - - name: label - value: PT-05a.[02] - class: sp800-53A - prose: "a notice to individuals about the processing of personally\ - \ identifiable information is provided such that the notice\ - \ is subsequently available to individuals {{ insert: param,\ - \ pt-05_odp.01 }};" - - name: objective - props: - - name: label - value: PT-05b. - class: sp800-53A - prose: a notice to individuals about the processing of personally - identifiable information is provided that is clear, easy-to-understand, - and expresses information about personally identifiable information - processing in plain language; - - name: objective - props: - - name: label - value: PT-05c. - class: sp800-53A - prose: a notice to individuals about the processing of personally - identifiable information that identifies the authority that authorizes - the processing of personally identifiable information is provided; - - name: objective - props: - - name: label - value: PT-05d. - class: sp800-53A - prose: a notice to individuals about the processing of personally - identifiable information that identifies the purpose for which - personally identifiable information is to be processed is provided; - - name: objective - props: - - name: label - value: PT-05e. - class: sp800-53A - prose: "a notice to individuals about the processing of personally\ - \ identifiable information which includes {{ insert: param, pt-05_odp.02\ - \ }} is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act statements - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with user interface or user experience - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-05-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes and implementation support or mechanisms - for providing notice to individuals regarding the processing of - their personally identifiable information - controls: - - id: pt-5.1 - class: SP800-53-enhancement - title: Just-in-time Notice - params: - - id: pt-05.01_odp - props: - - name: legacy-identifier - value: pt-5.1_prm_1 - - name: label - value: PT-05(01)_ODP - label: frequency - guidelines: - - prose: the frequency at which to present a notice of personally - identifiable information processing is defined; - props: - - name: label - value: PT-05(01) - - name: sort-id - value: pt-05.01 - links: - - href: "#pt-5" - rel: required - - href: "#pm-21" - rel: related - parts: - - id: pt-5.1_smt - name: statement - prose: "Present notice of personally identifiable information processing\ - \ to individuals at a time and location where the individual provides\ - \ personally identifiable information or in conjunction with a\ - \ data action, or {{ insert: param, pt-05.01_odp }}." - - id: pt-5.1_gdn - name: guidance - prose: Just-in-time notices inform individuals of how organizations - process their personally identifiable information at a time when - such notices may be most useful to the individuals. Individual - assumptions about how personally identifiable information will - be processed might not be accurate or reliable if time has passed - since the organization last presented notice or the circumstances - under which the individual was last provided notice have changed. - A just-in-time notice can explain data actions that organizations - have identified as potentially giving rise to greater privacy - risk for individuals. Organizations can use a just-in-time notice - to update or remind individuals about specific data actions as - they occur or highlight specific changes that occurred since last - presenting notice. A just-in-time notice can be used in conjunction - with just-in-time consent to explain what will occur if consent - is declined. Organizations use discretion to determine when to - use a just-in-time notice and may use supporting information on - user demographics, focus groups, or surveys to learn about users’ - privacy interests and concerns. - - name: objective - props: - - name: label - value: PT-05(01) - class: sp800-53A - prose: "a notice of personally identifiable information processing\ - \ is presented to individuals at a time and location where the\ - \ individual provides personally identifiable information, in\ - \ conjunction with a data action, or {{ insert: param, pt-05.01_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with user interface or user experience - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes and implementation support or - mechanisms for providing notice to individuals regarding the - processing of their personally identifiable information - - id: pt-5.2 - class: SP800-53-enhancement - title: Privacy Act Statements - props: - - name: label - value: PT-05(02) - - name: sort-id - value: pt-05.02 - links: - - href: "#pt-5" - rel: required - - href: "#pt-6" - rel: related - parts: - - id: pt-5.2_smt - name: statement - prose: Include Privacy Act statements on forms that collect information - that will be maintained in a Privacy Act system of records, or - provide Privacy Act statements on separate forms that can be retained - by individuals. - - id: pt-5.2_gdn - name: guidance - prose: >- - If a federal agency asks individuals to supply information - that will become part of a system of records, the agency is - required to provide a - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statement - on the form used to collect the information or on a separate - form that can be retained by the individual. The agency - provides a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - statement in such circumstances regardless of whether the - information will be collected on a paper or electronic form, - on a website, on a mobile application, over the telephone, - or through some other medium. This requirement ensures that - the individual is provided with sufficient information about - the request for information to make an informed decision on - whether or not to respond. - - - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) statements provide - formal notice to individuals of the authority that authorizes - the solicitation of the information; whether providing the information - is mandatory or voluntary; the principal purpose(s) for which - the information is to be used; the published routine uses to which - the information is subject; the effects on the individual, if - any, of not providing all or any part of the information requested; - and an appropriate citation and link to the relevant system of - records notice. Federal agency personnel consult with the senior - agency official for privacy and legal counsel regarding the notice - provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455). - - name: objective - props: - - name: label - value: PT-05(02) - class: sp800-53A - prose: Privacy Act statements are included on forms that collect - information that will be maintained in a Privacy Act system of - records, or Privacy Act statements are provided on separate forms - that can be retained by individuals. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - forms that include Privacy Act statements - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for including Privacy Act statements - on forms that collect information or on separate forms that - can be retained by individuals - - id: pt-6 - class: SP800-53 - title: System of Records Notice - props: - - name: label - value: PT-06 - - name: sort-id - value: pt-06 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#ac-3" - rel: related - - href: "#pm-20" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - parts: - - id: pt-6_smt - name: statement - prose: "For systems that process information that will be maintained\ - \ in a Privacy Act system of records:" - parts: - - id: pt-6_smt.a - name: item - props: - - name: label - value: a. - prose: Draft system of records notices in accordance with OMB guidance - and submit new and significantly modified system of records notices - to the OMB and appropriate congressional committees for advance - review; - - id: pt-6_smt.b - name: item - props: - - name: label - value: b. - prose: Publish system of records notices in the Federal Register; - and - - id: pt-6_smt.c - name: item - props: - - name: label - value: c. - prose: Keep system of records notices accurate, up-to-date, and - scoped in accordance with policy. - - id: pt-6_gdn - name: guidance - prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) requires - that federal agencies publish a system of records notice in the Federal - Register upon the establishment and/or modification of a [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - system of records. As a general matter, a system of records notice - is required when an agency maintains a group of any records under - the control of the agency from which information is retrieved by the - name of an individual or by some identifying number, symbol, or other - identifier. The notice describes the existence and character of the - system and identifies the system of records, the purpose(s) of the - system, the authority for maintenance of the records, the categories - of records maintained in the system, the categories of individuals - about whom records are maintained, the routine uses to which the records - are subject, and additional details about the system as described - in [OMB A-108](#3671ff20-c17c-44d6-8a88-7de203fa74aa). - - name: objective - props: - - name: label - value: PT-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-06a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-06a.[01] - class: sp800-53A - prose: system of records notices are drafted in accordance with - OMB guidance for systems that process information that will - be maintained in a Privacy Act system of records; - - name: objective - props: - - name: label - value: PT-06a.[02] - class: sp800-53A - prose: new and significantly modified system of records notices - are submitted to the OMB and appropriate congressional committees - for advance review for systems that process information that - will be maintained in a Privacy Act system of records; - - name: objective - props: - - name: label - value: PT-06b. - class: sp800-53A - prose: system of records notices are published in the Federal Register - for systems that process information that will be maintained in - a Privacy Act system of records; - - name: objective - props: - - name: label - value: PT-06c. - class: sp800-53A - prose: system of records notices are kept accurate, up-to-date, - and scoped in accordance with policy for systems that process - information that will be maintained in a Privacy Act system of - records. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - Federal Register notices - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-06-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for Privacy Act system of records - maintenance - controls: - - id: pt-6.1 - class: SP800-53-enhancement - title: Routine Uses - params: - - id: pt-06.01_odp - props: - - name: legacy-identifier - value: pt-6.1_prm_1 - - name: label - value: PT-06(01)_ODP - label: frequency - guidelines: - - prose: the frequency at which to review all routine uses published - in the system of records notice is defined; - props: - - name: label - value: PT-06(01) - - name: sort-id - value: pt-06.01 - links: - - href: "#pt-6" - rel: required - parts: - - id: pt-6.1_smt - name: statement - prose: "Review all routine uses published in the system of records\ - \ notice at {{ insert: param, pt-06.01_odp }} to ensure continued\ - \ accuracy, and to ensure that routine uses continue to be compatible\ - \ with the purpose for which the information was collected." - - id: pt-6.1_gdn - name: guidance - prose: A [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) routine - use is a particular kind of disclosure of a record outside of - the federal agency maintaining the system of records. A routine - use is an exception to the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - prohibition on the disclosure of a record in a system of records - without the prior written consent of the individual to whom the - record pertains. To qualify as a routine use, the disclosure must - be for a purpose that is compatible with the purpose for which - the information was originally collected. The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - requires agencies to describe each routine use of the records - maintained in the system of records, including the categories - of users of the records and the purpose of the use. Agencies may - only establish routine uses by explicitly publishing them in the - relevant system of records notice. - - name: objective - props: - - name: label - value: PT-06(01) - class: sp800-53A - prose: "all routine uses published in the system of records notice\ - \ are reviewed {{ insert: param, pt-06.01_odp }} to ensure continued\ - \ accuracy, and to ensure that routine uses continue to be compatible\ - \ with the purpose for which the information was collected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for reviewing system of records - notices - - id: pt-6.2 - class: SP800-53-enhancement - title: Exemption Rules - params: - - id: pt-06.02_odp - props: - - name: legacy-identifier - value: pt-6.2_prm_1 - - name: label - value: PT-06(02)_ODP - label: frequency - guidelines: - - prose: the frequency at which to review all Privacy Act exemptions - claimed for the system of records is defined; - props: - - name: label - value: PT-06(02) - - name: sort-id - value: pt-06.02 - links: - - href: "#pt-6" - rel: required - parts: - - id: pt-6.2_smt - name: statement - prose: "Review all Privacy Act exemptions claimed for the system\ - \ of records at {{ insert: param, pt-06.02_odp }} to ensure they\ - \ remain appropriate and necessary in accordance with law, that\ - \ they have been promulgated as regulations, and that they are\ - \ accurately described in the system of records notice." - - id: pt-6.2_gdn - name: guidance - prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) includes - two sets of provisions that allow federal agencies to claim exemptions - from certain requirements in the statute. In certain circumstances, - these provisions allow agencies to promulgate regulations to exempt - a system of records from select provisions of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - . At a minimum, organizations’ [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - exemption regulations include the specific name(s) of any system(s) - of records that will be exempt, the specific provisions of the - [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) from which the - system(s) of records is to be exempted, the reasons for the exemption, - and an explanation for why the exemption is both necessary and - appropriate. - - name: objective - props: - - name: label - value: PT-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-06(02)[01] - class: sp800-53A - prose: "all Privacy Act exemptions claimed for the system of\ - \ records are reviewed {{ insert: param, pt-06.02_odp }} to\ - \ ensure that they remain appropriate and necessary in accordance\ - \ with law;" - - name: objective - props: - - name: label - value: PT-06(02)[02] - class: sp800-53A - prose: "all Privacy Act exemptions claimed for the system of\ - \ records are reviewed {{ insert: param, pt-06.02_odp }} to\ - \ ensure that they have been promulgated as regulations;" - - name: objective - props: - - name: label - value: PT-06(02)[03] - class: sp800-53A - prose: "all Privacy Act exemptions claimed for the system of\ - \ records are reviewed {{ insert: param, pt-06.02_odp }} to\ - \ ensure that they are accurately described in the system\ - \ of records notice." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - Privacy Act exemptions - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for Privacy Act system of records - maintenance - - id: pt-7 - class: SP800-53 - title: Specific Categories of Personally Identifiable Information - params: - - id: pt-07_odp - props: - - name: legacy-identifier - value: pt-7_prm_1 - - name: label - value: PT-07_ODP - label: processing conditions - guidelines: - - prose: processing conditions to be applied for specific categories - of personally identifiable information are defined; - props: - - name: label - value: PT-07 - - name: sort-id - value: pt-07 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94" - rel: reference - - href: "#ir-9" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: pt-7_smt - name: statement - prose: "Apply {{ insert: param, pt-07_odp }} for specific categories\ - \ of personally identifiable information." - - id: pt-7_gdn - name: guidance - prose: Organizations apply any conditions or protections that may be - necessary for specific categories of personally identifiable information. - These conditions may be required by laws, executive orders, directives, - regulations, policies, standards, or guidelines. The requirements - may also come from the results of privacy risk assessments that factor - in contextual changes that may result in an organizational determination - that a particular category of personally identifiable information - is particularly sensitive or raises particular privacy risks. Organizations - consult with the senior agency official for privacy and legal counsel - regarding any protections that may be necessary. - - name: objective - props: - - name: label - value: PT-07 - class: sp800-53A - prose: "{{ insert: param, pt-07_odp }} are applied for specific categories\ - \ of personally identifiable information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - computer matching agreements and notices - - - contracts - - - privacy information sharing agreements - - - memoranda of understanding - - - governing requirements - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-07-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for supporting and/or implementing - personally identifiable information processing - controls: - - id: pt-7.1 - class: SP800-53-enhancement - title: Social Security Numbers - props: - - name: label - value: PT-07(01) - - name: sort-id - value: pt-07.01 - links: - - href: "#pt-7" - rel: required - - href: "#ia-4" - rel: related - parts: - - id: pt-7.1_smt - name: statement - prose: "When a system processes Social Security numbers:" - parts: - - id: pt-7.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Eliminate unnecessary collection, maintenance, and use - of Social Security numbers, and explore alternatives to their - use as a personal identifier; - - id: pt-7.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Do not deny any individual any right, benefit, or privilege - provided by law because of such individual’s refusal to disclose - his or her Social Security number; and - - id: pt-7.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Inform any individual who is asked to disclose his or - her Social Security number whether that disclosure is mandatory - or voluntary, by what statutory or other authority such number - is solicited, and what uses will be made of it. - - id: pt-7.1_gdn - name: guidance - prose: Federal law and policy establish specific requirements for - organizations’ processing of Social Security numbers. Organizations - take steps to eliminate unnecessary uses of Social Security numbers - and other sensitive information and observe any particular requirements - that apply. - - name: objective - props: - - name: label - value: PT-07(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-07(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-07(01)(a)[01] - class: sp800-53A - prose: when a system processes Social Security numbers, - the unnecessary collection, maintenance, and use of Social - Security numbers are eliminated; - - name: objective - props: - - name: label - value: PT-07(01)(a)[02] - class: sp800-53A - prose: when a system processes Social Security numbers, - alternatives to the use of Social Security Numbers as - a personal identifier are explored; - - name: objective - props: - - name: label - value: PT-07(01)(b) - class: sp800-53A - prose: when a system processes Social Security numbers, individual - rights, benefits, or privileges provided by law are not denied - because of an individual’s refusal to disclose their Social - Security number; - - name: objective - props: - - name: label - value: PT-07(01)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-07(01)(c)[01] - class: sp800-53A - prose: when a system processes Social Security numbers, - any individual who is asked to disclose their Social Security - number is informed whether that disclosure is mandatory - or voluntary, by what statutory or other authority such - number is solicited, and what uses will be made of it; - - name: objective - props: - - name: label - value: PT-07(01)(c)[02] - class: sp800-53A - prose: when a system processes Social Security numbers, - any individual who is asked to disclose their Social Security - number is informed by what statutory or other authority - the number is solicited; - - name: objective - props: - - name: label - value: PT-07(01)(c)[03] - class: sp800-53A - prose: when a system processes Social Security numbers, - any individual who is asked to disclose their Social Security - number is informed what uses will be made of it. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying, reviewing, and - taking action to control the unnecessary use of Social - Security numbers - - - implementation of an alternative to Social Security numbers - as identifiers - - id: pt-7.2 - class: SP800-53-enhancement - title: First Amendment Information - props: - - name: label - value: PT-07(02) - - name: sort-id - value: pt-07.02 - links: - - href: "#pt-7" - rel: required - parts: - - id: pt-7.2_smt - name: statement - prose: Prohibit the processing of information describing how any - individual exercises rights guaranteed by the First Amendment - unless expressly authorized by statute or by the individual or - unless pertinent to and within the scope of an authorized law - enforcement activity. - - id: pt-7.2_gdn - name: guidance - prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) limits - agencies’ ability to process information that describes how individuals - exercise rights guaranteed by the First Amendment. Organizations - consult with the senior agency official for privacy and legal - counsel regarding these requirements. - - name: objective - props: - - name: label - value: PT-07(02) - class: sp800-53A - prose: the processing of information describing how any individual - exercises rights guaranteed by the First Amendment is prohibited - unless expressly authorized by statute or by the individual or - unless pertinent to and within the scope of an authorized law - enforcement activity. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-07(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for supporting and/or implementing - personally identifiable information processing - - id: pt-8 - class: SP800-53 - title: Computer Matching Requirements - props: - - name: label - value: PT-08 - - name: sort-id - value: pt-08 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#94c64e1a-456c-457f-86da-83ac0dfc85ac" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#3671ff20-c17c-44d6-8a88-7de203fa74aa" - rel: reference - - href: "#pm-24" - rel: related - parts: - - id: pt-8_smt - name: statement - prose: "When a system or organization processes information for the\ - \ purpose of conducting a matching program:" - parts: - - id: pt-8_smt.a - name: item - props: - - name: label - value: a. - prose: Obtain approval from the Data Integrity Board to conduct - the matching program; - - id: pt-8_smt.b - name: item - props: - - name: label - value: b. - prose: Develop and enter into a computer matching agreement; - - id: pt-8_smt.c - name: item - props: - - name: label - value: c. - prose: Publish a matching notice in the Federal Register; - - id: pt-8_smt.d - name: item - props: - - name: label - value: d. - prose: Independently verify the information produced by the matching - program before taking adverse action against an individual, if - required; and - - id: pt-8_smt.e - name: item - props: - - name: label - value: e. - prose: Provide individuals with notice and an opportunity to contest - the findings before taking adverse action against an individual. - - id: pt-8_gdn - name: guidance - prose: The [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) establishes - requirements for federal and non-federal agencies if they engage in - a matching program. In general, a matching program is a computerized - comparison of records from two or more automated [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - systems of records or an automated system of records and automated - records maintained by a non-federal agency (or agent thereof). A matching - program either pertains to federal benefit programs or federal personnel - or payroll records. A federal benefit match is performed to determine - or verify eligibility for payments under federal benefit programs - or to recoup payments or delinquent debts under federal benefit programs. - A matching program involves not just the matching activity itself - but also the investigative follow-up and ultimate action, if any. - - name: objective - props: - - name: label - value: PT-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-08a. - class: sp800-53A - prose: approval to conduct the matching program is obtained from - the Data Integrity Board when a system or organization processes - information for the purpose of conducting a matching program; - - name: objective - props: - - name: label - value: PT-08b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-08b.[01] - class: sp800-53A - prose: a computer matching agreement is developed when a system - or organization processes information for the purpose of conducting - a matching program; - - name: objective - props: - - name: label - value: PT-08b.[02] - class: sp800-53A - prose: a computer matching agreement is entered into when a - system or organization processes information for the purpose - of conducting a matching program; - - name: objective - props: - - name: label - value: PT-08c. - class: sp800-53A - prose: a matching notice is published in the Federal Register when - a system or organization processes information for the purpose - of conducting a matching program; - - name: objective - props: - - name: label - value: PT-08d. - class: sp800-53A - prose: the information produced by the matching program is independently - verified before taking adverse action against an individual, if - required, when a system or organization processes information - for the purpose of conducting a matching program; - - name: objective - props: - - name: label - value: PT-08e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: PT-08e.[01] - class: sp800-53A - prose: individuals are provided with notice when a system or - organization processes information for the purpose of conducting - a matching program; - - name: objective - props: - - name: label - value: PT-08e.[02] - class: sp800-53A - prose: individuals are provided with an opportunity to contest - the findings before adverse action is taken against them when - a system or organization processes information for the purpose - of conducting a matching program. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: PT-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Personally identifiable information processing and - transparency policy and procedures - - - privacy notice - - - Privacy Act system of records - - - Federal Register notices - - - Data Integrity Board determinations - - - contracts - - - information sharing agreements - - - memoranda of understanding - - - governing requirements - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: PT-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with personally identifiable - information processing and transparency responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: PT-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for supporting and/or implementing - personally identifiable information processing - - - matching program - - id: ra - class: family - title: Risk Assessment - controls: - - id: ra-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ra-1_prm_1 - props: - - name: aggregates - value: ra-01_odp.01 - - name: aggregates - value: ra-01_odp.02 - label: organization-defined personnel or roles - - id: ra-01_odp.01 - props: - - name: label - value: RA-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the risk assessment policy is - to be disseminated is/are defined; - - id: ra-01_odp.02 - props: - - name: label - value: RA-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the risk assessment procedures - are to be disseminated is/are defined; - - id: ra-01_odp.03 - props: - - name: legacy-identifier - value: ra-1_prm_2 - - name: label - value: RA-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ra-01_odp.04 - props: - - name: legacy-identifier - value: ra-1_prm_3 - - name: label - value: RA-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the risk assessment policy and procedures - is defined; - - id: ra-01_odp.05 - props: - - name: legacy-identifier - value: ra-1_prm_4 - - name: label - value: RA-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current risk assessment policy - is reviewed and updated is defined; - - id: ra-01_odp.06 - props: - - name: legacy-identifier - value: ra-1_prm_5 - - name: label - value: RA-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current risk assessment policy - to be reviewed and updated are defined; - - id: ra-01_odp.07 - props: - - name: legacy-identifier - value: ra-1_prm_6 - - name: label - value: RA-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current risk assessment procedures - are reviewed and updated is defined; - - id: ra-01_odp.08 - props: - - name: legacy-identifier - value: ra-1_prm_7 - - name: label - value: RA-01_ODP[08] - label: events - guidelines: - - prose: events that would require risk assessment procedures to be - reviewed and updated are defined; - props: - - name: label - value: RA-01 - - name: sort-id - value: ra-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-1_smt - name: statement - parts: - - id: ra-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ra-1_prm_1 }}:" - parts: - - id: ra-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, ra-01_odp.03 }} risk assessment policy\ - \ that:" - parts: - - id: ra-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ra-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ra-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the risk - assessment policy and the associated risk assessment controls; - - id: ra-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ra-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the risk\ - \ assessment policy and procedures; and" - - id: ra-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current risk assessment:" - parts: - - id: ra-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, ra-01_odp.05 }} and following\ - \ {{ insert: param, ra-01_odp.06 }} ; and" - - id: ra-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, ra-01_odp.07 }} and following\ - \ {{ insert: param, ra-01_odp.08 }}." - - id: ra-1_gdn - name: guidance - prose: Risk assessment policy and procedures address the controls in - the RA family that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of risk assessment - policy and procedures. Security and privacy program policies and procedures - at the organization level are preferable, in general, and may obviate - the need for mission- or system-specific policies and procedures. - The policy can be included as part of the general security and privacy - policy or be represented by multiple policies reflecting the complex - nature of organizations. Procedures can be established for security - and privacy programs, for mission or business processes, and for systems, - if needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Events that may - precipitate an update to risk assessment policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: RA-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01a.[01] - class: sp800-53A - prose: a risk assessment policy is developed and documented; - - name: objective - props: - - name: label - value: RA-01a.[02] - class: sp800-53A - prose: "the risk assessment policy is disseminated to {{ insert:\ - \ param, ra-01_odp.01 }};" - - name: objective - props: - - name: label - value: RA-01a.[03] - class: sp800-53A - prose: risk assessment procedures to facilitate the implementation - of the risk assessment policy and associated risk assessment - controls are developed and documented; - - name: objective - props: - - name: label - value: RA-01a.[04] - class: sp800-53A - prose: "the risk assessment procedures are disseminated to {{\ - \ insert: param, ra-01_odp.02 }};" - - name: objective - props: - - name: label - value: RA-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses purpose;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses scope;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses roles;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses responsibilities;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses management commitment;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses coordination among organizational\ - \ entities;" - - name: objective - props: - - name: label - value: RA-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy addresses compliance;" - - name: objective - props: - - name: label - value: RA-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.03 }} risk assessment\ - \ policy is consistent with applicable laws, executive\ - \ orders, directives, regulations, policies, standards,\ - \ and guidelines;" - - name: objective - props: - - name: label - value: RA-01b. - class: sp800-53A - prose: "the {{ insert: param, ra-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the risk\ - \ assessment policy and procedures;" - - name: objective - props: - - name: label - value: RA-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01c.01[01] - class: sp800-53A - prose: "the current risk assessment policy is reviewed and\ - \ updated {{ insert: param, ra-01_odp.05 }};" - - name: objective - props: - - name: label - value: RA-01c.01[02] - class: sp800-53A - prose: "the current risk assessment policy is reviewed and\ - \ updated following {{ insert: param, ra-01_odp.06 }};" - - name: objective - props: - - name: label - value: RA-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-01c.02[01] - class: sp800-53A - prose: "the current risk assessment procedures are reviewed\ - \ and updated {{ insert: param, ra-01_odp.07 }};" - - name: objective - props: - - name: label - value: RA-01c.02[02] - class: sp800-53A - prose: "the current risk assessment procedures are reviewed\ - \ and updated following {{ insert: param, ra-01_odp.08\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy and procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security and privacy responsibilities - - id: ra-2 - class: SP800-53 - title: Security Categorization - props: - - name: label - value: RA-02 - - name: sort-id - value: ra-02 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#599fb53d-5041-444e-a7fe-640d6d30ad05" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#4e4fbc93-333d-45e6-a875-de36b878b6b9" - rel: reference - - href: "#c28ae9a8-1121-42a9-a85e-00cfcc9b9a94" - rel: reference - - href: "#cm-8" - rel: related - - href: "#mp-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-2_smt - name: statement - parts: - - id: ra-2_smt.a - name: item - props: - - name: label - value: a. - prose: Categorize the system and information it processes, stores, - and transmits; - - id: ra-2_smt.b - name: item - props: - - name: label - value: b. - prose: Document the security categorization results, including supporting - rationale, in the security plan for the system; and - - id: ra-2_smt.c - name: item - props: - - name: label - value: c. - prose: Verify that the authorizing official or authorizing official - designated representative reviews and approves the security categorization - decision. - - id: ra-2_gdn - name: guidance - prose: >- - Security categories describe the potential adverse impacts or - negative consequences to organizational operations, - organizational assets, and individuals if organizational - information and systems are compromised through a loss of - confidentiality, integrity, or availability. Security - categorization is also a type of asset loss characterization in - systems security engineering processes that is carried out - throughout the system development life cycle. Organizations can - use privacy risk assessments or privacy impact assessments to - better understand the potential adverse effects on individuals. - [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) provides - additional guidance on categorization for national security - systems. - - - Organizations conduct the security categorization process as an organization-wide - activity with the direct involvement of chief information officers, - senior agency information security officers, senior agency officials - for privacy, system owners, mission and business owners, and information - owners or stewards. Organizations consider the potential adverse impacts - to other organizations and, in accordance with [USA PATRIOT](#13f0c39d-eaf7-417a-baef-69a041878bb5) - and Homeland Security Presidential Directives, potential national-level - adverse impacts. - - - Security categorization processes facilitate the development of inventories - of information assets and, along with [CM-8](#cm-8) , mappings to - specific system components where information is processed, stored, - or transmitted. The security categorization process is revisited throughout - the system development life cycle to ensure that the security categories - remain accurate and relevant. - - name: objective - props: - - name: label - value: RA-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-02a. - class: sp800-53A - prose: the system and the information it processes, stores, and - transmits are categorized; - - name: objective - props: - - name: label - value: RA-02b. - class: sp800-53A - prose: the security categorization results, including supporting - rationale, are documented in the security plan for the system; - - name: objective - props: - - name: label - value: RA-02c. - class: sp800-53A - prose: the authorizing official or authorizing official designated - representative reviews and approves the security categorization - decision. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - security planning policy and procedures - - - procedures addressing security categorization of organizational - information and systems - - - security categorization documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security categorization and - risk assessment responsibilities - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-02-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for security categorization - controls: - - id: ra-2.1 - class: SP800-53-enhancement - title: Impact-level Prioritization - props: - - name: label - value: RA-02(01) - - name: sort-id - value: ra-02.01 - links: - - href: "#ra-2" - rel: required - parts: - - id: ra-2.1_smt - name: statement - prose: Conduct an impact-level prioritization of organizational - systems to obtain additional granularity on system impact levels. - - id: ra-2.1_gdn - name: guidance - prose: 'Organizations apply the "high-water mark" concept to each - system categorized in accordance with [FIPS 199](#628d22a1-6a11-4784-bc59-5cd9497b5445) - , resulting in systems designated as low impact, moderate impact, - or high impact. Organizations that desire additional granularity - in the system impact designations for risk-based decision-making, - can further partition the systems into sub-categories of the initial - system categorization. For example, an impact-level prioritization - on a moderate-impact system can produce three new sub-categories: - low-moderate systems, moderate-moderate systems, and high-moderate - systems. Impact-level prioritization and the resulting sub-categories - of the system give organizations an opportunity to focus their - investments related to security control selection and the tailoring - of control baselines in responding to identified risks. Impact-level - prioritization can also be used to determine those systems that - may be of heightened interest or value to adversaries or represent - a critical loss to the federal enterprise, sometimes described - as high value assets. For such high value assets, organizations - may be more focused on complexity, aggregation, and information - exchanges. Systems with high value assets can be prioritized by - partitioning high-impact systems into low-high systems, moderate-high - systems, and high-high systems. Alternatively, organizations can - apply the guidance in [CNSSI 1253](#4e4fbc93-333d-45e6-a875-de36b878b6b9) - for security objective-related categorization.' - - name: objective - props: - - name: label - value: RA-02(01) - class: sp800-53A - prose: an impact-level prioritization of organizational systems - is conducted to obtain additional granularity on system impact - levels. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - security and privacy planning policy and procedures - - - procedures addressing security categorization of organizational - information and systems - - - security categorization documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security categorization - and risk assessment responsibilities - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for security categorization - - id: ra-3 - class: SP800-53 - title: Risk Assessment - params: - - id: ra-03_odp.01 - props: - - name: legacy-identifier - value: ra-3_prm_1 - - name: label - value: RA-03_ODP[01] - select: - choice: - - security and privacy plans - - risk assessment report - - " {{ insert: param, ra-03_odp.02 }} " - - id: ra-03_odp.02 - props: - - name: legacy-identifier - value: ra-3_prm_2 - - name: label - value: RA-03_ODP[02] - label: document - guidelines: - - prose: a document in which risk assessment results are to be documented - (if not documented in the security and privacy plans or risk assessment - report) is defined (if selected); - - id: ra-03_odp.03 - props: - - name: legacy-identifier - value: ra-3_prm_3 - - name: label - value: RA-03_ODP[03] - label: frequency - guidelines: - - prose: the frequency to review risk assessment results is defined; - - id: ra-03_odp.04 - props: - - name: legacy-identifier - value: ra-3_prm_4 - - name: label - value: RA-03_ODP[04] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom risk assessment results are to - be disseminated is/are defined; - - id: ra-03_odp.05 - props: - - name: legacy-identifier - value: ra-3_prm_5 - - name: label - value: RA-03_ODP[05] - label: frequency - guidelines: - - prose: the frequency to update the risk assessment is defined; - props: - - name: label - value: RA-03 - - name: sort-id - value: ra-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#ca-3" - rel: related - - href: "#ca-6" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-8" - rel: related - - href: "#pe-18" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-28" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-3_smt - name: statement - parts: - - id: ra-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Conduct a risk assessment, including:" - parts: - - id: ra-3_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Identifying threats to and vulnerabilities in the system; - - id: ra-3_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Determining the likelihood and magnitude of harm from - unauthorized access, use, disclosure, disruption, modification, - or destruction of the system, the information it processes, - stores, or transmits, and any related information; and - - id: ra-3_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Determining the likelihood and impact of adverse effects - on individuals arising from the processing of personally identifiable - information; - - id: ra-3_smt.b - name: item - props: - - name: label - value: b. - prose: Integrate risk assessment results and risk management decisions - from the organization and mission or business process perspectives - with system-level risk assessments; - - id: ra-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Document risk assessment results in {{ insert: param, ra-03_odp.01\ - \ }};" - - id: ra-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Review risk assessment results {{ insert: param, ra-03_odp.03\ - \ }};" - - id: ra-3_smt.e - name: item - props: - - name: label - value: e. - prose: "Disseminate risk assessment results to {{ insert: param,\ - \ ra-03_odp.04 }} ; and" - - id: ra-3_smt.f - name: item - props: - - name: label - value: f. - prose: "Update the risk assessment {{ insert: param, ra-03_odp.05\ - \ }} or when there are significant changes to the system, its\ - \ environment of operation, or other conditions that may impact\ - \ the security or privacy state of the system." - - id: ra-3_gdn - name: guidance - prose: >- - Risk assessments consider threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, - other organizations, and the Nation. Risk assessments also - consider risk from external parties, including contractors who - operate systems on behalf of the organization, individuals who - access organizational systems, service providers, and - outsourcing entities. - - - Organizations can conduct risk assessments at all three levels in - the risk management hierarchy (i.e., organization level, mission/business - process level, or information system level) and at any stage in the - system development life cycle. Risk assessments can also be conducted - at various steps in the Risk Management Framework, including preparation, - categorization, control selection, control implementation, control - assessment, authorization, and control monitoring. Risk assessment - is an ongoing activity carried out throughout the system development - life cycle. - - - Risk assessments can also address information related to the system, - including system design, the intended use of the system, testing results, - and supply chain-related information or artifacts. Risk assessments - can play an important role in control selection processes, particularly - during the application of tailoring guidance and in the earliest phases - of capability determination. - - name: objective - props: - - name: label - value: RA-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-03a.01 - class: sp800-53A - prose: a risk assessment is conducted to identify threats to - and vulnerabilities in the system; - - name: objective - props: - - name: label - value: RA-03a.02 - class: sp800-53A - prose: a risk assessment is conducted to determine the likelihood - and magnitude of harm from unauthorized access, use, disclosure, - disruption, modification, or destruction of the system; the - information it processes, stores, or transmits; and any related - information; - - name: objective - props: - - name: label - value: RA-03a.03 - class: sp800-53A - prose: a risk assessment is conducted to determine the likelihood - and impact of adverse effects on individuals arising from - the processing of personally identifiable information; - - name: objective - props: - - name: label - value: RA-03b. - class: sp800-53A - prose: risk assessment results and risk management decisions from - the organization and mission or business process perspectives - are integrated with system-level risk assessments; - - name: objective - props: - - name: label - value: RA-03c. - class: sp800-53A - prose: "risk assessment results are documented in {{ insert: param,\ - \ ra-03_odp.01 }};" - - name: objective - props: - - name: label - value: RA-03d. - class: sp800-53A - prose: "risk assessment results are reviewed {{ insert: param, ra-03_odp.03\ - \ }};" - - name: objective - props: - - name: label - value: RA-03e. - class: sp800-53A - prose: "risk assessment results are disseminated to {{ insert: param,\ - \ ra-03_odp.04 }};" - - name: objective - props: - - name: label - value: RA-03f. - class: sp800-53A - prose: "the risk assessment is updated {{ insert: param, ra-03_odp.05\ - \ }} or when there are significant changes to the system, its\ - \ environment of operation, or other conditions that may impact\ - \ the security or privacy state of the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-03-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - risk assessment procedures - - security and privacy planning policy and procedures - - procedures addressing organizational assessments of risk - - risk assessment - - risk assessment results - - risk assessment reviews - - risk assessment updates - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for risk assessment - - - automated mechanisms supporting and/or for conducting, documenting, - reviewing, disseminating, and updating the risk assessment - controls: - - id: ra-3.1 - class: SP800-53-enhancement - title: Supply Chain Risk Assessment - params: - - id: ra-3.1_prm_1 - props: - - name: aggregates - value: ra-03.01_odp.01 - - name: aggregates - value: ra-03.01_odp.02 - - name: aggregates - value: ra-03.01_odp.03 - label: organization-defined systems, system components, and system - services - - id: ra-03.01_odp.01 - props: - - name: label - value: RA-03(01)_ODP[01] - label: systems - guidelines: - - prose: systems to assess supply chain risks are defined; - - id: ra-03.01_odp.02 - props: - - name: label - value: RA-03(01)_ODP[02] - label: system components - guidelines: - - prose: system components to assess supply chain risks are defined; - - id: ra-03.01_odp.03 - props: - - name: label - value: RA-03(01)_ODP[03] - label: system services - guidelines: - - prose: system services to assess supply chain risks are defined; - - id: ra-03.01_odp.04 - props: - - name: legacy-identifier - value: ra-3.1_prm_2 - - name: label - value: RA-03(01)_ODP[04] - label: frequency - guidelines: - - prose: the frequency to update the supply chain risk assessment - is defined; - props: - - name: label - value: RA-03(01) - - name: sort-id - value: ra-03.01 - links: - - href: "#ra-3" - rel: required - - href: "#ra-2" - rel: related - - href: "#ra-9" - rel: related - - href: "#pm-17" - rel: related - - href: "#pm-30" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: ra-3.1_smt - name: statement - parts: - - id: ra-3.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Assess supply chain risks associated with {{ insert:\ - \ param, ra-3.1_prm_1 }} ; and" - - id: ra-3.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Update the supply chain risk assessment {{ insert: param,\ - \ ra-03.01_odp.04 }} , when there are significant changes\ - \ to the relevant supply chain, or when changes to the system,\ - \ environments of operation, or other conditions may necessitate\ - \ a change in the supply chain." - - id: ra-3.1_gdn - name: guidance - prose: Supply chain-related events include disruption, use of defective - components, insertion of counterfeits, theft, malicious development - practices, improper delivery practices, and insertion of malicious - code. These events can have a significant impact on the confidentiality, - integrity, or availability of a system and its information and, - therefore, can also adversely impact organizational operations - (including mission, functions, image, or reputation), organizational - assets, individuals, other organizations, and the Nation. The - supply chain-related events may be unintentional or malicious - and can occur at any point during the system life cycle. An analysis - of supply chain risk can help an organization identify systems - or components for which additional supply chain risk mitigations - are required. - - name: objective - props: - - name: label - value: RA-03(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-03(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-03(01)(a)[01] - class: sp800-53A - prose: "supply chain risks associated with {{ insert: param,\ - \ ra-03.01_odp.01 }} are assessed;" - - name: objective - props: - - name: label - value: RA-03(01)(a)[02] - class: sp800-53A - prose: "supply chain risks associated with {{ insert: param,\ - \ ra-03.01_odp.02 }} are assessed;" - - name: objective - props: - - name: label - value: RA-03(01)(a)[03] - class: sp800-53A - prose: "supply chain risks associated with {{ insert: param,\ - \ ra-03.01_odp.03 }} are assessed;" - - name: objective - props: - - name: label - value: RA-03(01)(b) - class: sp800-53A - prose: "the supply chain risk assessment is updated {{ insert:\ - \ param, ra-03.01_odp.04 }} , when there are significant changes\ - \ to the relevant supply chain, or when changes to the system,\ - \ environments of operation, or other conditions may necessitate\ - \ a change in the supply chain." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy - - - inventory of critical systems, system components, and system - services - - - risk assessment policy - - - security planning policy and procedures - - - procedures addressing organizational assessments of supply - chain risk - - - risk assessment - - - risk assessment results - - - risk assessment reviews - - - risk assessment updates - - - acquisition policy - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for risk assessment - - - automated mechanisms supporting and/or for conducting, documenting, - reviewing, disseminating, and updating the supply chain risk - assessment - - id: ra-3.2 - class: SP800-53-enhancement - title: Use of All-source Intelligence - props: - - name: label - value: RA-03(02) - - name: sort-id - value: ra-03.02 - links: - - href: "#ra-3" - rel: required - parts: - - id: ra-3.2_smt - name: statement - prose: Use all-source intelligence to assist in the analysis of - risk. - - id: ra-3.2_gdn - name: guidance - prose: Organizations employ all-source intelligence to inform engineering, - acquisition, and risk management decisions. All-source intelligence - consists of information derived from all available sources, including - publicly available or open-source information, measurement and - signature intelligence, human intelligence, signals intelligence, - and imagery intelligence. All-source intelligence is used to analyze - the risk of vulnerabilities (both intentional and unintentional) - from development, manufacturing, and delivery processes, people, - and the environment. The risk analysis may be performed on suppliers - at multiple tiers in the supply chain sufficient to manage risks. - Organizations may develop agreements to share all-source intelligence - information or resulting decisions with other organizations, as - appropriate. - - name: objective - props: - - name: label - value: RA-03(02) - class: sp800-53A - prose: all-source intelligence is used to assist in the analysis - of risk. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - security planning policy and procedures - - procedures addressing organizational assessments of risk - - risk assessment - - risk assessment results - - risk assessment reviews - - risk assessment updates - - risk intelligence reports - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for risk assessment - - - automated mechanisms supporting and/or for conducting, documenting, - reviewing, disseminating, and updating the risk assessment - - id: ra-3.3 - class: SP800-53-enhancement - title: Dynamic Threat Awareness - params: - - id: ra-03.03_odp - props: - - name: legacy-identifier - value: ra-3.3_prm_1 - - name: label - value: RA-03(03)_ODP - label: means - guidelines: - - prose: means to determine the current cyber threat environment - on an ongoing basis; - props: - - name: label - value: RA-03(03) - - name: sort-id - value: ra-03.03 - links: - - href: "#ra-3" - rel: required - - href: "#at-2" - rel: related - parts: - - id: ra-3.3_smt - name: statement - prose: "Determine the current cyber threat environment on an ongoing\ - \ basis using {{ insert: param, ra-03.03_odp }}." - - id: ra-3.3_gdn - name: guidance - prose: The threat awareness information that is gathered feeds into - the organization’s information security operations to ensure that - procedures are updated in response to the changing threat environment. - For example, at higher threat levels, organizations may change - the privilege or authentication thresholds required to perform - certain operations. - - name: objective - props: - - name: label - value: RA-03(03) - class: sp800-53A - prose: "the current cyber threat environment is determined on an\ - \ ongoing basis using {{ insert: param, ra-03.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - security planning policy and procedures - - procedures addressing organizational assessments of risk - - risk assessment - - risk assessment results - - risk assessment reviews - - risk assessment updates - - risk reports - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for risk assessment - - - automated mechanisms supporting and/or for conducting, documenting, - reviewing, disseminating, and updating the risk assessment - - id: ra-3.4 - class: SP800-53-enhancement - title: Predictive Cyber Analytics - params: - - id: ra-3.4_prm_2 - props: - - name: aggregates - value: ra-03.04_odp.01 - - name: aggregates - value: ra-03.04_odp.03 - label: organization-defined advanced automation and analytics capabilities - - id: ra-03.04_odp.01 - props: - - name: label - value: RA-03(04)_ODP[01] - label: advanced automation capabilities - guidelines: - - prose: advanced automation capabilities to predict and identify - risks are defined; - - id: ra-03.04_odp.02 - props: - - name: legacy-identifier - value: ra-3.4_prm_1 - - name: label - value: RA-03(04)_ODP[02] - label: systems or system components - guidelines: - - prose: systems or system components where advanced automation - and analytics capabilities are to be employed are defined; - - id: ra-03.04_odp.03 - props: - - name: label - value: RA-03(04)_ODP[03] - label: advanced analytics capabilities - guidelines: - - prose: advanced analytics capabilities to predict and identify - risks are defined; - props: - - name: label - value: RA-03(04) - - name: sort-id - value: ra-03.04 - links: - - href: "#ra-3" - rel: required - parts: - - id: ra-3.4_smt - name: statement - prose: "Employ the following advanced automation and analytics capabilities\ - \ to predict and identify risks to {{ insert: param, ra-03.04_odp.02\ - \ }}: {{ insert: param, ra-3.4_prm_2 }}." - - id: ra-3.4_gdn - name: guidance - prose: A properly resourced Security Operations Center (SOC) or - Computer Incident Response Team (CIRT) may be overwhelmed by the - volume of information generated by the proliferation of security - tools and appliances unless it employs advanced automation and - analytics to analyze the data. Advanced automation and analytics - capabilities are typically supported by artificial intelligence - concepts, including machine learning. Examples include Automated - Threat Discovery and Response (which includes broad-based collection, - context-based analysis, and adaptive response capabilities), automated - workflow operations, and machine assisted decision tools. Note, - however, that sophisticated adversaries may be able to extract - information related to analytic parameters and retrain the machine - learning to classify malicious activity as benign. Accordingly, - machine learning is augmented by human monitoring to ensure that - sophisticated adversaries are not able to conceal their activities. - - name: objective - props: - - name: label - value: RA-03(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-03(04)[01] - class: sp800-53A - prose: "{{ insert: param, ra-03.04_odp.01 }} are employed to\ - \ predict and identify risks to {{ insert: param, ra-03.04_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: RA-03(04)[02] - class: sp800-53A - prose: "{{ insert: param, ra-03.04_odp.03 }} are employed to\ - \ predict and identify risks to {{ insert: param, ra-03.04_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - security planning policy and procedures - - procedures addressing organizational assessments of risk - - risk assessment - - risk assessment results - - risk assessment reviews - - risk assessment updates - - risk reports - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for risk assessment - - - automated mechanisms supporting and/or for conducting, documenting, - reviewing, disseminating, and updating the risk assessment - - id: ra-4 - class: SP800-53 - title: Risk Assessment Update - props: - - name: label - value: RA-04 - - name: sort-id - value: ra-04 - - name: status - value: withdrawn - links: - - href: "#ra-3" - rel: incorporated-into - - id: ra-5 - class: SP800-53 - title: Vulnerability Monitoring and Scanning - params: - - id: ra-5_prm_1 - props: - - name: aggregates - value: ra-05_odp.01 - - name: aggregates - value: ra-05_odp.02 - label: organization-defined frequency and/or randomly in accordance - with organization-defined process - - id: ra-05_odp.01 - props: - - name: label - value: RA-05_ODP[01] - label: frequency and/or randomly in accordance with organization-defined - process - guidelines: - - prose: frequency for monitoring systems and hosted applications - for vulnerabilities is defined; - - id: ra-05_odp.02 - props: - - name: label - value: RA-05_ODP[02] - label: frequency and/or randomly in accordance with organization-defined - process - guidelines: - - prose: frequency for scanning systems and hosted applications for - vulnerabilities is defined; - - id: ra-05_odp.03 - props: - - name: legacy-identifier - value: ra-5_prm_2 - - name: label - value: RA-05_ODP[03] - label: response times - guidelines: - - prose: response times to remediate legitimate vulnerabilities in - accordance with an organizational assessment of risk are defined; - - id: ra-05_odp.04 - props: - - name: legacy-identifier - value: ra-5_prm_3 - - name: label - value: RA-05_ODP[04] - label: personnel or roles - guidelines: - - prose: personnel or roles with whom information obtained from the - vulnerability scanning process and control assessments is to be - shared; - props: - - name: label - value: RA-05 - - name: sort-id - value: ra-05 - links: - - href: "#8df72805-2e5c-4731-a73e-81db0f0318d0" - rel: reference - - href: "#155f941a-cba9-4afd-9ca6-5d040d697ba9" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#4895b4cd-34c5-4667-bf8a-27d443c12047" - rel: reference - - href: "#122177fa-c4ed-485d-8345-3082c0fb9a06" - rel: reference - - href: "#8016d2ed-d30f-4416-9c45-0f42c7aa3232" - rel: reference - - href: "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c" - rel: reference - - href: "#d2ebec9b-f868-4ee1-a2bd-0b2282aed248" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#ca-8" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-2" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: ra-5_smt - name: statement - parts: - - id: ra-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor and scan for vulnerabilities in the system and hosted\ - \ applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities\ - \ potentially affecting the system are identified and reported;" - - id: ra-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ vulnerability monitoring tools and techniques that\ - \ facilitate interoperability among tools and automate parts of\ - \ the vulnerability management process by using standards for:" - parts: - - id: ra-5_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: Enumerating platforms, software flaws, and improper configurations; - - id: ra-5_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: Formatting checklists and test procedures; and - - id: ra-5_smt.b.3 - name: item - props: - - name: label - value: "03." - prose: Measuring vulnerability impact; - - id: ra-5_smt.c - name: item - props: - - name: label - value: c. - prose: Analyze vulnerability scan reports and results from vulnerability - monitoring; - - id: ra-5_smt.d - name: item - props: - - name: label - value: d. - prose: "Remediate legitimate vulnerabilities {{ insert: param, ra-05_odp.03\ - \ }} in accordance with an organizational assessment of risk;" - - id: ra-5_smt.e - name: item - props: - - name: label - value: e. - prose: "Share information obtained from the vulnerability monitoring\ - \ process and control assessments with {{ insert: param, ra-05_odp.04\ - \ }} to help eliminate similar vulnerabilities in other systems;\ - \ and" - - id: ra-5_smt.f - name: item - props: - - name: label - value: f. - prose: Employ vulnerability monitoring tools that include the capability - to readily update the vulnerabilities to be scanned. - - id: ra-5_gdn - name: guidance - prose: >- - Security categorization of information and systems guides the - frequency and comprehensiveness of vulnerability monitoring - (including scans). Organizations determine the required - vulnerability monitoring for system components, ensuring that - the potential sources of vulnerabilities—such as infrastructure - components (e.g., switches, routers, guards, sensors), networked - printers, scanners, and copiers—are not overlooked. The - capability to readily update vulnerability monitoring tools as - new vulnerabilities are discovered and announced and as new - scanning methods are developed helps to ensure that new - vulnerabilities are not missed by employed vulnerability - monitoring tools. The vulnerability monitoring tool update - process helps to ensure that potential vulnerabilities in the - system are identified and addressed as quickly as possible. - Vulnerability monitoring and analyses for custom software may - require additional approaches, such as static analysis, dynamic - analysis, binary analysis, or a hybrid of the three approaches. - Organizations can use these analysis approaches in source code - reviews and in a variety of tools, including web-based - application scanners, static analysis tools, and binary - analyzers. - - - Vulnerability monitoring includes scanning for patch levels; scanning - for functions, ports, protocols, and services that should not be accessible - to users or devices; and scanning for flow control mechanisms that - are improperly configured or operating incorrectly. Vulnerability - monitoring may also include continuous vulnerability monitoring tools - that use instrumentation to continuously analyze components. Instrumentation-based - tools may improve accuracy and may be run throughout an organization - without scanning. Vulnerability monitoring tools that facilitate interoperability - include tools that are Security Content Automated Protocol (SCAP)-validated. - Thus, organizations consider using scanning tools that express vulnerabilities - in the Common Vulnerabilities and Exposures (CVE) naming convention - and that employ the Open Vulnerability Assessment Language (OVAL) - to determine the presence of vulnerabilities. Sources for vulnerability - information include the Common Weakness Enumeration (CWE) listing - and the National Vulnerability Database (NVD). Control assessments, - such as red team exercises, provide additional sources of potential - vulnerabilities for which to scan. Organizations also consider using - scanning tools that express vulnerability impact by the Common Vulnerability - Scoring System (CVSS). - - - Vulnerability monitoring includes a channel and process for receiving - reports of security vulnerabilities from the public at-large. Vulnerability - disclosure programs can be as simple as publishing a monitored email - address or web form that can receive reports, including notification - authorizing good-faith research and disclosure of security vulnerabilities. - Organizations generally expect that such research is happening with - or without their authorization and can use public vulnerability disclosure - channels to increase the likelihood that discovered vulnerabilities - are reported directly to the organization for remediation. - - - Organizations may also employ the use of financial incentives (also - known as "bug bounties" ) to further encourage external security researchers - to report discovered vulnerabilities. Bug bounty programs can be tailored - to the organization’s needs. Bounties can be operated indefinitely - or over a defined period of time and can be offered to the general - public or to a curated group. Organizations may run public and private - bounties simultaneously and could choose to offer partially credentialed - access to certain participants in order to evaluate security vulnerabilities - from privileged vantage points. - - name: objective - props: - - name: label - value: RA-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-05a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-05a.[01] - class: sp800-53A - prose: "systems and hosted applications are monitored for vulnerabilities\ - \ {{ insert: param, ra-05_odp.01 }} and when new vulnerabilities\ - \ potentially affecting the system are identified and reported;" - - name: objective - props: - - name: label - value: RA-05a.[02] - class: sp800-53A - prose: "systems and hosted applications are scanned for vulnerabilities\ - \ {{ insert: param, ra-05_odp.02 }} and when new vulnerabilities\ - \ potentially affecting the system are identified and reported;" - - name: objective - props: - - name: label - value: RA-05b. - class: sp800-53A - prose: vulnerability monitoring tools and techniques are employed - to facilitate interoperability among tools; - parts: - - name: objective - props: - - name: label - value: RA-05b.01 - class: sp800-53A - prose: vulnerability monitoring tools and techniques are employed - to automate parts of the vulnerability management process - by using standards for enumerating platforms, software flaws, - and improper configurations; - - name: objective - props: - - name: label - value: RA-05b.02 - class: sp800-53A - prose: vulnerability monitoring tools and techniques are employed - to facilitate interoperability among tools and to automate - parts of the vulnerability management process by using standards - for formatting checklists and test procedures; - - name: objective - props: - - name: label - value: RA-05b.03 - class: sp800-53A - prose: vulnerability monitoring tools and techniques are employed - to facilitate interoperability among tools and to automate - parts of the vulnerability management process by using standards - for measuring vulnerability impact; - - name: objective - props: - - name: label - value: RA-05c. - class: sp800-53A - prose: vulnerability scan reports and results from vulnerability - monitoring are analyzed; - - name: objective - props: - - name: label - value: RA-05d. - class: sp800-53A - prose: "legitimate vulnerabilities are remediated {{ insert: param,\ - \ ra-05_odp.03 }} in accordance with an organizational assessment\ - \ of risk;" - - name: objective - props: - - name: label - value: RA-05e. - class: sp800-53A - prose: "information obtained from the vulnerability monitoring process\ - \ and control assessments is shared with {{ insert: param, ra-05_odp.04\ - \ }} to help eliminate similar vulnerabilities in other systems;" - - name: objective - props: - - name: label - value: RA-05f. - class: sp800-53A - prose: vulnerability monitoring tools that include the capability - to readily update the vulnerabilities to be scanned are employed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing vulnerability scanning - - - risk assessment - - - assessment report - - - vulnerability scanning tools and associated configuration documentation - - - vulnerability scanning results - - - patch and vulnerability management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with risk assessment, control - assessment, and vulnerability scanning responsibilities - - - organizational personnel with vulnerability scan analysis responsibilities - - - organizational personnel with vulnerability remediation responsibilities - - - organizational personnel with security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning, - analysis, remediation, and information sharing - - - automated mechanisms supporting and/or implementing vulnerability - scanning, analysis, remediation, and information sharing - controls: - - id: ra-5.1 - class: SP800-53-enhancement - title: Update Tool Capability - props: - - name: label - value: RA-05(01) - - name: sort-id - value: ra-05.01 - - name: status - value: withdrawn - links: - - href: "#ra-5" - rel: incorporated-into - - id: ra-5.2 - class: SP800-53-enhancement - title: Update Vulnerabilities to Be Scanned - params: - - id: ra-05.02_odp.01 - props: - - name: legacy-identifier - value: ra-5.2_prm_1 - - name: label - value: RA-05(02)_ODP[01] - select: - how-many: one-or-more - choice: - - " {{ insert: param, ra-05.02_odp.02 }} " - - prior to a new scan - - when new vulnerabilities are identified and reported - - id: ra-05.02_odp.02 - props: - - name: legacy-identifier - value: ra-5.2_prm_2 - - name: label - value: RA-05(02)_ODP[02] - label: frequency - guidelines: - - prose: the frequency for updating the system vulnerabilities - scanned is defined (if selected); - props: - - name: label - value: RA-05(02) - - name: sort-id - value: ra-05.02 - links: - - href: "#ra-5" - rel: required - - href: "#si-5" - rel: related - parts: - - id: ra-5.2_smt - name: statement - prose: "Update the system vulnerabilities to be scanned {{ insert:\ - \ param, ra-05.02_odp.01 }}." - - id: ra-5.2_gdn - name: guidance - prose: Due to the complexity of modern software, systems, and other - factors, new vulnerabilities are discovered on a regular basis. - It is important that newly discovered vulnerabilities are added - to the list of vulnerabilities to be scanned to ensure that the - organization can take steps to mitigate those vulnerabilities - in a timely manner. - - name: objective - props: - - name: label - value: RA-05(02) - class: sp800-53A - prose: "the system vulnerabilities to be scanned are updated {{\ - \ insert: param, ra-05.02_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Procedures addressing vulnerability scanning - - - assessment report - - - vulnerability scanning tools and associated configuration - documentation - - - vulnerability scanning results - - - patch and vulnerability management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - id: ra-5.3 - class: SP800-53-enhancement - title: Breadth and Depth of Coverage - props: - - name: label - value: RA-05(03) - - name: sort-id - value: ra-05.03 - links: - - href: "#ra-5" - rel: required - parts: - - id: ra-5.3_smt - name: statement - prose: Define the breadth and depth of vulnerability scanning coverage. - - id: ra-5.3_gdn - name: guidance - prose: The breadth of vulnerability scanning coverage can be expressed - as a percentage of components within the system, by the particular - types of systems, by the criticality of systems, or by the number - of vulnerabilities to be checked. Conversely, the depth of vulnerability - scanning coverage can be expressed as the level of the system - design that the organization intends to monitor (e.g., component, - module, subsystem, element). Organizations can determine the sufficiency - of vulnerability scanning coverage with regard to its risk tolerance - and other factors. Scanning tools and how the tools are configured - may affect the depth and coverage. Multiple scanning tools may - be needed to achieve the desired depth and coverage. [SP 800-53A](#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d) - provides additional information on the breadth and depth of coverage. - - name: objective - props: - - name: label - value: RA-05(03) - class: sp800-53A - prose: the breadth and depth of vulnerability scanning coverage - are defined. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Procedures addressing vulnerability scanning - - - assessment report - - - vulnerability scanning tools and associated configuration - documentation - - - vulnerability scanning results - - - patch and vulnerability management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - id: ra-5.4 - class: SP800-53-enhancement - title: Discoverable Information - params: - - id: ra-05.04_odp - props: - - name: legacy-identifier - value: ra-5.4_prm_1 - - name: label - value: RA-05(04)_ODP - label: corrective actions - guidelines: - - prose: corrective actions to be taken if information about the - system is discoverable are defined; - props: - - name: label - value: RA-05(04) - - name: sort-id - value: ra-05.04 - links: - - href: "#ra-5" - rel: required - - href: "#au-13" - rel: related - - href: "#sc-26" - rel: related - parts: - - id: ra-5.4_smt - name: statement - prose: "Determine information about the system that is discoverable\ - \ and take {{ insert: param, ra-05.04_odp }}." - - id: ra-5.4_gdn - name: guidance - prose: Discoverable information includes information that adversaries - could obtain without compromising or breaching the system, such - as by collecting information that the system is exposing or by - conducting extensive web searches. Corrective actions include - notifying appropriate organizational personnel, removing designated - information, or changing the system to make the designated information - less relevant or attractive to adversaries. This enhancement excludes - intentionally discoverable information that may be part of a decoy - capability (e.g., honeypots, honeynets, or deception nets) deployed - by the organization. - - name: objective - props: - - name: label - value: RA-05(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-05(04)[01] - class: sp800-53A - prose: information about the system is discoverable; - - name: objective - props: - - name: label - value: RA-05(04)[02] - class: sp800-53A - prose: "{{ insert: param, ra-05.04_odp }} are taken when information\ - \ about the system is confirmed as discoverable." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Procedures addressing vulnerability scanning - - assessment report - - penetration test results - - vulnerability scanning results - - risk assessment report - - records of corrective actions taken - - incident response records - - audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - and/or penetration testing responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel responsible for risk response - - - organizational personnel responsible for incident management - and response - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - organizational processes for risk response - - - organizational processes for incident management and response - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - - automated mechanisms supporting and/or implementing risk response - - - automated mechanisms supporting and/or implementing incident - management and response - - id: ra-5.5 - class: SP800-53-enhancement - title: Privileged Access - params: - - id: ra-05.05_odp.01 - props: - - name: legacy-identifier - value: ra-5.5_prm_1 - - name: label - value: RA-05(05)_ODP[01] - label: system components - guidelines: - - prose: system components to which privileged access is authorized - for selected vulnerability scanning activities are defined; - - id: ra-05.05_odp.02 - props: - - name: legacy-identifier - value: ra-5.5_prm_2 - - name: label - value: RA-05(05)_ODP[02] - label: vulnerability scanning activities - guidelines: - - prose: vulnerability scanning activities selected for privileged - access authorization to system components are defined; - props: - - name: label - value: RA-05(05) - - name: sort-id - value: ra-05.05 - links: - - href: "#ra-5" - rel: required - parts: - - id: ra-5.5_smt - name: statement - prose: "Implement privileged access authorization to {{ insert:\ - \ param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02\ - \ }}." - - id: ra-5.5_gdn - name: guidance - prose: In certain situations, the nature of the vulnerability scanning - may be more intrusive, or the system component that is the subject - of the scanning may contain classified or controlled unclassified - information, such as personally identifiable information. Privileged - access authorization to selected system components facilitates - more thorough vulnerability scanning and protects the sensitive - nature of such scanning. - - name: objective - props: - - name: label - value: RA-05(05) - class: sp800-53A - prose: "privileged access authorization is implemented to {{ insert:\ - \ param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing vulnerability scanning - - - system design documentation - - - system configuration settings and associated documentation - - - list of system components for vulnerability scanning - - - personnel access authorization list - - - authorization credentials - - - access authorization records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - system/network administrators - - - organizational personnel responsible for access control to - the system - - - organizational personnel responsible for configuration management - of the system - - - system developers - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - organizational processes for access control - - - automated mechanisms supporting and/or implementing access - control - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - id: ra-5.6 - class: SP800-53-enhancement - title: Automated Trend Analyses - params: - - id: ra-05.06_odp - props: - - name: legacy-identifier - value: ra-5.6_prm_1 - - name: label - value: RA-05(06)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms to compare the results of multiple - vulnerability scans are defined; - props: - - name: label - value: RA-05(06) - - name: sort-id - value: ra-05.06 - links: - - href: "#ra-5" - rel: required - parts: - - id: ra-5.6_smt - name: statement - prose: "Compare the results of multiple vulnerability scans using\ - \ {{ insert: param, ra-05.06_odp }}." - - id: ra-5.6_gdn - name: guidance - prose: Using automated mechanisms to analyze multiple vulnerability - scans over time can help determine trends in system vulnerabilities - and identify patterns of attack. - - name: objective - props: - - name: label - value: RA-05(06) - class: sp800-53A - prose: "the results of multiple vulnerability scans are compared\ - \ using {{ insert: param, ra-05.06_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing vulnerability scanning - - - system design documentation - - - vulnerability scanning tools and techniques documentation - - - vulnerability scanning results - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - - automated mechanisms supporting and/or implementing trend - analysis of vulnerability scan results - - id: ra-5.7 - class: SP800-53-enhancement - title: Automated Detection and Notification of Unauthorized Components - props: - - name: label - value: RA-05(07) - - name: sort-id - value: ra-05.07 - - name: status - value: withdrawn - links: - - href: "#cm-8" - rel: incorporated-into - - id: ra-5.8 - class: SP800-53-enhancement - title: Review Historic Audit Logs - params: - - id: ra-05.08_odp.01 - props: - - name: legacy-identifier - value: ra-5.8_prm_1 - - name: label - value: RA-05(08)_ODP[01] - label: system - guidelines: - - prose: a system whose historic audit logs are to be reviewed - is defined; - - id: ra-05.08_odp.02 - props: - - name: legacy-identifier - value: ra-5.8_prm_2 - - name: label - value: RA-05(08)_ODP[02] - label: time period - guidelines: - - prose: a time period for a potential previous exploit of a system - is defined; - props: - - name: label - value: RA-05(08) - - name: sort-id - value: ra-05.08 - links: - - href: "#ra-5" - rel: required - - href: "#au-6" - rel: related - - href: "#au-11" - rel: related - parts: - - id: ra-5.8_smt - name: statement - prose: "Review historic audit logs to determine if a vulnerability\ - \ identified in a {{ insert: param, ra-05.08_odp.01 }} has been\ - \ previously exploited within an {{ insert: param, ra-05.08_odp.02\ - \ }}." - - id: ra-5.8_gdn - name: guidance - prose: Reviewing historic audit logs to determine if a recently - detected vulnerability in a system has been previously exploited - by an adversary can provide important information for forensic - analyses. Such analyses can help identify, for example, the extent - of a previous intrusion, the trade craft employed during the attack, - organizational information exfiltrated or modified, mission or - business capabilities affected, and the duration of the attack. - - name: objective - props: - - name: label - value: RA-05(08) - class: sp800-53A - prose: "historic audit logs are reviewed to determine if a vulnerability\ - \ identified in a {{ insert: param, ra-05.08_odp.01 }} has been\ - \ previously exploited within {{ insert: param, ra-05.08_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - procedures addressing vulnerability scanning - - audit logs - - records of audit log reviews - - vulnerability scanning results - - patch and vulnerability management records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with audit record review responsibilities - - - system/network administrators - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - organizational process for audit record review and response - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - - automated mechanisms supporting and/or implementing audit - record review - - id: ra-5.9 - class: SP800-53-enhancement - title: Penetration Testing and Analyses - props: - - name: label - value: RA-05(09) - - name: sort-id - value: ra-05.09 - - name: status - value: withdrawn - links: - - href: "#ca-8" - rel: incorporated-into - - id: ra-5.10 - class: SP800-53-enhancement - title: Correlate Scanning Information - props: - - name: label - value: RA-05(10) - - name: sort-id - value: ra-05.10 - links: - - href: "#ra-5" - rel: required - parts: - - id: ra-5.10_smt - name: statement - prose: Correlate the output from vulnerability scanning tools to - determine the presence of multi-vulnerability and multi-hop attack - vectors. - - id: ra-5.10_gdn - name: guidance - prose: An attack vector is a path or means by which an adversary - can gain access to a system in order to deliver malicious code - or exfiltrate information. Organizations can use attack trees - to show how hostile activities by adversaries interact and combine - to produce adverse impacts or negative consequences to systems - and organizations. Such information, together with correlated - data from vulnerability scanning tools, can provide greater clarity - regarding multi-vulnerability and multi-hop attack vectors. The - correlation of vulnerability scanning information is especially - important when organizations are transitioning from older technologies - to newer technologies (e.g., transitioning from IPv4 to IPv6 network - protocols). During such transitions, some system components may - inadvertently be unmanaged and create opportunities for adversary - exploitation. - - name: objective - props: - - name: label - value: RA-05(10) - class: sp800-53A - prose: the output from vulnerability scanning tools is correlated - to determine the presence of multi-vulnerability and multi-hop - attack vectors. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing vulnerability scanning - - - risk assessment - - - vulnerability scanning tools and techniques documentation - - - vulnerability scanning results - - - vulnerability management records - - - audit records - - - event/vulnerability correlation logs - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - - automated mechanisms implementing correlation of vulnerability - scan results - - id: ra-5.11 - class: SP800-53-enhancement - title: Public Disclosure Program - props: - - name: label - value: RA-05(11) - - name: sort-id - value: ra-05.11 - links: - - href: "#ra-5" - rel: required - parts: - - id: ra-5.11_smt - name: statement - prose: Establish a public reporting channel for receiving reports - of vulnerabilities in organizational systems and system components. - - id: ra-5.11_gdn - name: guidance - prose: The reporting channel is publicly discoverable and contains - clear language authorizing good-faith research and the disclosure - of vulnerabilities to the organization. The organization does - not condition its authorization on an expectation of indefinite - non-disclosure to the public by the reporting entity but may request - a specific time period to properly remediate the vulnerability. - - name: objective - props: - - name: label - value: RA-05(11) - class: sp800-53A - prose: a public reporting channel is established for receiving reports - of vulnerabilities in organizational systems and system components. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-05(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing vulnerability scanning - - - risk assessment - - - vulnerability scanning tools and techniques documentation - - - vulnerability scanning results - - - vulnerability management records - - - audit records - - - public reporting channel - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-05(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with vulnerability scanning - responsibilities - - - organizational personnel with vulnerability scan analysis - responsibilities - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-05(11)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability scanning - - - automated mechanisms/tools supporting and/or implementing - vulnerability scanning - - - automated mechanisms implementing public reporting of vulnerabilities - - id: ra-6 - class: SP800-53 - title: Technical Surveillance Countermeasures Survey - params: - - id: ra-06_odp.01 - props: - - name: legacy-identifier - value: ra-6_prm_1 - - name: label - value: RA-06_ODP[01] - label: locations - guidelines: - - prose: locations to employ technical surveillance countermeasure - surveys are defined; - - id: ra-06_odp.02 - props: - - name: legacy-identifier - value: ra-6_prm_2 - - name: label - value: RA-06_ODP[02] - select: - how-many: one-or-more - choice: - - " {{ insert: param, ra-06_odp.03 }} " - - "when{{ insert: param, ra-06_odp.04 }} " - - id: ra-06_odp.03 - props: - - name: legacy-identifier - value: ra-6_prm_3 - - name: label - value: RA-06_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to employ technical surveillance countermeasure - surveys is defined (if selected); - - id: ra-06_odp.04 - props: - - name: legacy-identifier - value: ra-6_prm_4 - - name: label - value: RA-06_ODP[04] - label: events or indicators - guidelines: - - prose: events or indicators which, if they occur, trigger a technical - surveillance countermeasures survey are defined (if selected); - props: - - name: label - value: RA-06 - - name: sort-id - value: ra-06 - parts: - - id: ra-6_smt - name: statement - prose: "Employ a technical surveillance countermeasures survey at {{\ - \ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02 }}." - - id: ra-6_gdn - name: guidance - prose: A technical surveillance countermeasures survey is a service - provided by qualified personnel to detect the presence of technical - surveillance devices and hazards and to identify technical security - weaknesses that could be used in the conduct of a technical penetration - of the surveyed facility. Technical surveillance countermeasures surveys - also provide evaluations of the technical security posture of organizations - and facilities and include visual, electronic, and physical examinations - of surveyed facilities, internally and externally. The surveys also - provide useful input for risk assessments and information regarding - organizational exposure to potential adversaries. - - name: objective - props: - - name: label - value: RA-06 - class: sp800-53A - prose: "a technical surveillance countermeasures survey is employed\ - \ at {{ insert: param, ra-06_odp.01 }} {{ insert: param, ra-06_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - procedures addressing technical surveillance countermeasures surveys - - - audit records/event logs - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with technical surveillance - countermeasures surveys responsibilities - - - system/network administrators - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for technical surveillance - countermeasures surveys - - - automated mechanisms/tools supporting and/or implementing technical - surveillance countermeasures surveys - - id: ra-7 - class: SP800-53 - title: Risk Response - props: - - name: label - value: RA-07 - - name: sort-id - value: ra-07 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#599fb53d-5041-444e-a7fe-640d6d30ad05" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ca-5" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-28" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: ra-7_smt - name: statement - prose: Respond to findings from security and privacy assessments, monitoring, - and audits in accordance with organizational risk tolerance. - - id: ra-7_gdn - name: guidance - prose: Organizations have many options for responding to risk including - mitigating risk by implementing new controls or strengthening existing - controls, accepting risk with appropriate justification or rationale, - sharing or transferring risk, or avoiding risk. The risk tolerance - of the organization influences risk response decisions and actions. - Risk response addresses the need to determine an appropriate response - to risk before generating a plan of action and milestones entry. For - example, the response may be to accept risk or reject risk, or it - may be possible to mitigate the risk immediately so that a plan of - action and milestones entry is not needed. However, if the risk response - is to mitigate the risk, and the mitigation cannot be completed immediately, - a plan of action and milestones entry is generated. - - name: objective - props: - - name: label - value: RA-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-07[01] - class: sp800-53A - prose: findings from security assessments are responded to in accordance - with organizational risk tolerance; - - name: objective - props: - - name: label - value: RA-07[02] - class: sp800-53A - prose: findings from privacy assessments are responded to in accordance - with organizational risk tolerance; - - name: objective - props: - - name: label - value: RA-07[03] - class: sp800-53A - prose: findings from monitoring are responded to in accordance with - organizational risk tolerance; - - name: objective - props: - - name: label - value: RA-07[04] - class: sp800-53A - prose: findings from audits are responded to in accordance with - organizational risk tolerance. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - assessment reports - - audit records/event logs - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment and auditing - responsibilities - - - system/network administrators - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assessments and audits - - - automated mechanisms/tools supporting and/or implementing assessments - and auditing - - id: ra-8 - class: SP800-53 - title: Privacy Impact Assessments - props: - - name: label - value: RA-08 - - name: sort-id - value: ra-08 - links: - - href: "#7b0b9634-741a-4335-b6fa-161228c3a76e" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#d229ae60-51dd-4d7b-a8bf-1f7195cc7561" - rel: reference - - href: "#cm-4" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-13" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#ra-1" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: ra-8_smt - name: statement - prose: "Conduct privacy impact assessments for systems, programs, or\ - \ other activities before:" - parts: - - id: ra-8_smt.a - name: item - props: - - name: label - value: a. - prose: Developing or procuring information technology that processes - personally identifiable information; and - - id: ra-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Initiating a new collection of personally identifiable information\ - \ that:" - parts: - - id: ra-8_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: Will be processed using information technology; and - - id: ra-8_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: Includes personally identifiable information permitting - the physical or virtual (online) contacting of a specific - individual, if identical questions have been posed to, or - identical reporting requirements imposed on, ten or more individuals, - other than agencies, instrumentalities, or employees of the - federal government. - - id: ra-8_gdn - name: guidance - prose: >- - A privacy impact assessment is an analysis of how personally - identifiable information is handled to ensure that handling - conforms to applicable privacy requirements, determine the - privacy risks associated with an information system or activity, - and evaluate ways to mitigate privacy risks. A privacy impact - assessment is both an analysis and a formal document that - details the process and the outcome of the analysis. - - - Organizations conduct and develop a privacy impact assessment with - sufficient clarity and specificity to demonstrate that the organization - fully considered privacy and incorporated appropriate privacy protections - from the earliest stages of the organization’s activity and throughout - the information life cycle. In order to conduct a meaningful privacy - impact assessment, the organization’s senior agency official for privacy - works closely with program managers, system owners, information technology - experts, security officials, counsel, and other relevant organization - personnel. Moreover, a privacy impact assessment is not a time-restricted - activity that is limited to a particular milestone or stage of the - information system or personally identifiable information life cycles. - Rather, the privacy analysis continues throughout the system and personally - identifiable information life cycles. Accordingly, a privacy impact - assessment is a living document that organizations update whenever - changes to the information technology, changes to the organization’s - practices, or other factors alter the privacy risks associated with - the use of such information technology. - - - To conduct the privacy impact assessment, organizations can use security - and privacy risk assessments. Organizations may also use other related - processes that may have different names, including privacy threshold - analyses. A privacy impact assessment can also serve as notice to - the public regarding the organization’s practices with respect to - privacy. Although conducting and publishing privacy impact assessments - may be required by law, organizations may develop such policies in - the absence of applicable laws. For federal agencies, privacy impact - assessments may be required by [EGOV](#7b0b9634-741a-4335-b6fa-161228c3a76e) - ; agencies should consult with their senior agency official for privacy - and legal counsel on this requirement and be aware of the statutory - exceptions and OMB guidance relating to the provision. - - name: objective - props: - - name: label - value: RA-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-08a. - class: sp800-53A - prose: privacy impact assessments are conducted for systems, programs, - or other activities before developing or procuring information - technology that processes personally identifiable information; - - name: objective - props: - - name: label - value: RA-08b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-08b.[01] - class: sp800-53A - prose: privacy impact assessments are conducted for systems, - programs, or other activities before initiating a collection - of personally identifiable information that will be processed - using information technology; - - name: objective - props: - - name: label - value: RA-08b.[02] - class: sp800-53A - prose: privacy impact assessments are conducted for systems, - programs, or other activities before initiating a collection - of personally identifiable information that includes personally - identifiable information permitting the physical or virtual - (online) contacting of a specific individual, if identical - questions have been posed to, or identical reporting requirements - imposed on, ten or more individuals, other than agencies, - instrumentalities, or employees of the federal government. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - security and privacy risk assessment reports - - acquisitions documents - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment and auditing - responsibilities - - - system/network administrators - - - system developers - - - program managers - - - legal counsel - - - organizational personnel with security and privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assessments and audits - - - automated mechanisms/tools supporting and/or implementing assessments - and auditing - - id: ra-9 - class: SP800-53 - title: Criticality Analysis - params: - - id: ra-09_odp.01 - props: - - name: legacy-identifier - value: ra-9_prm_1 - - name: label - value: RA-09_ODP[01] - label: systems, system components, or system services - guidelines: - - prose: systems, system components, or system services to be analyzed - for criticality are defined; - - id: ra-09_odp.02 - props: - - name: legacy-identifier - value: ra-9_prm_2 - - name: label - value: RA-09_ODP[02] - label: decision points in the system development life cycle - guidelines: - - prose: decision points in the system development life cycle when - a criticality analysis is to be performed are defined; - props: - - name: label - value: RA-09 - - name: sort-id - value: ra-09 - links: - - href: "#d4296805-2dca-4c63-a95f-eeccaa826aec" - rel: reference - - href: "#cp-2" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-1" - rel: related - - href: "#pm-11" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-20" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: ra-9_smt - name: statement - prose: "Identify critical system components and functions by performing\ - \ a criticality analysis for {{ insert: param, ra-09_odp.01 }} at\ - \ {{ insert: param, ra-09_odp.02 }}." - - id: ra-9_gdn - name: guidance - prose: >- - Not all system components, functions, or services necessarily - require significant protections. For example, criticality - analysis is a key tenet of supply chain risk management and - informs the prioritization of protection activities. The - identification of critical system components and functions - considers applicable laws, executive orders, regulations, - directives, policies, standards, system functionality - requirements, system and component interfaces, and system and - component dependencies. Systems engineers conduct a functional - decomposition of a system to identify mission-critical functions - and components. The functional decomposition includes the - identification of organizational missions supported by the - system, decomposition into the specific functions to perform - those missions, and traceability to the hardware, software, and - firmware components that implement those functions, including - when the functions are shared by many components within and - external to the system. - - - The operational environment of a system or a system component may - impact the criticality, including the connections to and dependencies - on cyber-physical systems, devices, system-of-systems, and outsourced - IT services. System components that allow unmediated access to critical - system components or functions are considered critical due to the - inherent vulnerabilities that such components create. Component and - function criticality are assessed in terms of the impact of a component - or function failure on the organizational missions that are supported - by the system that contains the components and functions. - - - Criticality analysis is performed when an architecture or design is - being developed, modified, or upgraded. If such analysis is performed - early in the system development life cycle, organizations may be able - to modify the system design to reduce the critical nature of these - components and functions, such as by adding redundancy or alternate - paths into the system design. Criticality analysis can also influence - the protection measures required by development contractors. In addition - to criticality analysis for systems, system components, and system - services, criticality analysis of information is an important consideration. - Such analysis is conducted as part of security categorization in [RA-2](#ra-2). - - name: objective - props: - - name: label - value: RA-09 - class: sp800-53A - prose: "critical system components and functions are identified by performing\ - \ a criticality analysis for {{ insert: param, ra-09_odp.01 }} at\ - \ {{ insert: param, ra-09_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Risk assessment policy - - - assessment reports - - - criticality analysis/finalized criticality for each component/subcomponent - - - audit records/event logs - - - analysis reports - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with assessment and auditing - responsibilities - - - organizational personnel with criticality analysis responsibilities - - - system/network administrators - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assessments and audits - - - automated mechanisms/tools supporting and/or implementing assessments - and auditing - - id: ra-10 - class: SP800-53 - title: Threat Hunting - params: - - id: ra-10_odp - props: - - name: legacy-identifier - value: ra-10_prm_1 - - name: label - value: RA-10_ODP - label: frequency - guidelines: - - prose: the frequency at which to employ the threat hunting capability - is defined; - props: - - name: label - value: RA-10 - - name: sort-id - value: ra-10 - links: - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#ca-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-6" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ra-10_smt - name: statement - parts: - - id: ra-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish and maintain a cyber threat hunting capability\ - \ to:" - parts: - - id: ra-10_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Search for indicators of compromise in organizational - systems; and - - id: ra-10_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Detect, track, and disrupt threats that evade existing - controls; and - - id: ra-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the threat hunting capability {{ insert: param, ra-10_odp\ - \ }}." - - id: ra-10_gdn - name: guidance - prose: Threat hunting is an active means of cyber defense in contrast - to traditional protection measures, such as firewalls, intrusion detection - and prevention systems, quarantining malicious code in sandboxes, - and Security Information and Event Management technologies and systems. - Cyber threat hunting involves proactively searching organizational - systems, networks, and infrastructure for advanced threats. The objective - is to track and disrupt cyber adversaries as early as possible in - the attack sequence and to measurably improve the speed and accuracy - of organizational responses. Indications of compromise include unusual - network traffic, unusual file changes, and the presence of malicious - code. Threat hunting teams leverage existing threat intelligence and - may create new threat intelligence, which is shared with peer organizations, - Information Sharing and Analysis Organizations (ISAO), Information - Sharing and Analysis Centers (ISAC), and relevant government departments - and agencies. - - name: objective - props: - - name: label - value: RA-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-10a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: RA-10a.01 - class: sp800-53A - prose: a cyber threat capability is established and maintained - to search for indicators of compromise in organizational systems; - - name: objective - props: - - name: label - value: RA-10a.02 - class: sp800-53A - prose: a cyber threat capability is established and maintained - to detect, track, and disrupt threats that evade existing - controls; - - name: objective - props: - - name: label - value: RA-10b. - class: sp800-53A - prose: "the threat hunting capability is employed {{ insert: param,\ - \ ra-10_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: RA-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Risk assessment policy - - assessment reports - - audit records/event logs - - threat hunting capability - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: RA-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with threat hunting - responsibilities - - - system/network administrators - - - organizational personnel with security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: RA-10-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for assessments and audits - - - automated mechanisms/tools supporting and/or implementing threat - hunting capabilities - - id: sa - class: family - title: System and Services Acquisition - controls: - - id: sa-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sa-1_prm_1 - props: - - name: aggregates - value: sa-01_odp.01 - label: organization-defined personnel or roles - - id: sa-1_prm_2 - props: - - name: aggregates - value: sa-01_odp.02 - select: - how-many: one-or-more - choice: - - Organization-level - - Mission/business process-level - - System-level - - id: sa-1_prm_7 - props: - - name: aggregates - value: sa-01_odp.07 - label: organization-defined events - - id: sa-01_odp.01 - props: - - name: label - value: SA-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and services acquisition - policy is to be disseminated is/are defined; - - id: sa-01_odp.02 - props: - - name: label - value: SA-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and services acquisition - procedures are to be disseminated is/are defined; - - id: sa-01_odp.03 - props: - - name: legacy-identifier - value: sa-1_prm_3 - - name: label - value: SA-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: sa-01_odp.04 - props: - - name: legacy-identifier - value: sa-1_prm_4 - - name: label - value: SA-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the system and services acquisition - policy and procedures is defined; - - id: sa-01_odp.05 - props: - - name: legacy-identifier - value: sa-1_prm_5 - - name: label - value: SA-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current system and services acquisition - policy is reviewed and updated is defined; - - id: sa-01_odp.06 - props: - - name: legacy-identifier - value: sa-1_prm_6 - - name: label - value: SA-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current system and services - acquisition policy to be reviewed and updated are defined; - - id: sa-01_odp.07 - props: - - name: label - value: SA-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current system and services acquisition - procedures are reviewed and updated is defined; - - id: sa-01_odp.08 - props: - - name: label - value: SA-01_ODP[08] - label: events - guidelines: - - prose: events that would require the system and services acquisition - procedures to be reviewed and updated are defined; - props: - - name: label - value: SA-01 - - name: sort-id - value: sa-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sa-1_smt - name: statement - parts: - - id: sa-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sa-1_prm_1 }}:" - parts: - - id: sa-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, sa-1_prm_2 }} system and services\ - \ acquisition policy that:" - parts: - - id: sa-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sa-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sa-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the system - and services acquisition policy and the associated system - and services acquisition controls; - - id: sa-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sa-01_odp.03 }} to manage\ - \ the development, documentation, and dissemination of the system\ - \ and services acquisition policy and procedures; and" - - id: sa-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and services acquisition:" - parts: - - id: sa-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, sa-01_odp.04 }} and following\ - \ {{ insert: param, sa-01_odp.05 }} ; and" - - id: sa-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, sa-01_odp.06 }} and following\ - \ {{ insert: param, sa-1_prm_7 }}." - - id: sa-1_gdn - name: guidance - prose: System and services acquisition policy and procedures address - the controls in the SA family that are implemented within systems - and organizations. The risk management strategy is an important factor - in establishing such policies and procedures. Policies and procedures - contribute to security and privacy assurance. Therefore, it is important - that security and privacy programs collaborate on the development - of system and services acquisition policy and procedures. Security - and privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission- - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies that reflect the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission or business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - system and services acquisition policy and procedures include assessment - or audit findings, security incidents or breaches, or changes in laws, - executive orders, directives, regulations, policies, standards, and - guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: SA-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01a.[01] - class: sp800-53A - prose: a system and services acquisition policy is developed - and documented; - - name: objective - props: - - name: label - value: SA-01a.[02] - class: sp800-53A - prose: "the system and services acquisition policy is disseminated\ - \ to {{ insert: param, sa-01_odp.01 }};" - - name: objective - props: - - name: label - value: SA-01a.[03] - class: sp800-53A - prose: system and services acquisition procedures to facilitate - the implementation of the system and services acquisition - policy and associated system and services acquisition controls - are developed and documented; - - name: objective - props: - - name: label - value: SA-01a.[04] - class: sp800-53A - prose: "the system and services acquisition procedures are disseminated\ - \ to {{ insert: param, sa-01_odp.02 }};" - - name: objective - props: - - name: label - value: SA-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses purpose;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses scope;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses roles;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses responsibilities;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: SA-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system\ - \ and services acquisition policy addresses compliance;" - - name: objective - props: - - name: label - value: SA-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.03 }} system and\ - \ services acquisition policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: SA-01b. - class: sp800-53A - prose: "the {{ insert: param, sa-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the system\ - \ and services acquisition policy and procedures;" - - name: objective - props: - - name: label - value: SA-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01c.01[01] - class: sp800-53A - prose: "the system and services acquisition policy is reviewed\ - \ and updated {{ insert: param, sa-01_odp.05 }};" - - name: objective - props: - - name: label - value: SA-01c.01[02] - class: sp800-53A - prose: "the current system and services acquisition policy\ - \ is reviewed and updated following {{ insert: param,\ - \ sa-01_odp.06 }};" - - name: objective - props: - - name: label - value: SA-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-01c.02[01] - class: sp800-53A - prose: "the current system and services acquisition procedures\ - \ are reviewed and updated {{ insert: param, sa-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: SA-01c.02[02] - class: sp800-53A - prose: "the current system and services acquisition procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ sa-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and services acquisition policy - - system and services acquisition procedures - - supply chain risk management policy - - supply chain risk management procedures - - supply chain risk management plan - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - props: - - name: label - value: SA-02 - - name: sort-id - value: sa-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#pl-7" - rel: related - - href: "#pm-3" - rel: related - - href: "#pm-11" - rel: related - - href: "#sa-9" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-2_smt - name: statement - parts: - - id: sa-2_smt.a - name: item - props: - - name: label - value: a. - prose: Determine the high-level information security and privacy - requirements for the system or system service in mission and business - process planning; - - id: sa-2_smt.b - name: item - props: - - name: label - value: b. - prose: Determine, document, and allocate the resources required - to protect the system or system service as part of the organizational - capital planning and investment control process; and - - id: sa-2_smt.c - name: item - props: - - name: label - value: c. - prose: Establish a discrete line item for information security and - privacy in organizational programming and budgeting documentation. - - id: sa-2_gdn - name: guidance - prose: Resource allocation for information security and privacy includes - funding for system and services acquisition, sustainment, and supply - chain-related risks throughout the system development life cycle. - - name: objective - props: - - name: label - value: SA-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-02a.[01] - class: sp800-53A - prose: the high-level information security requirements for - the system or system service are determined in mission and - business process planning; - - name: objective - props: - - name: label - value: SA-02a.[02] - class: sp800-53A - prose: the high-level privacy requirements for the system or - system service are determined in mission and business process - planning; - - name: objective - props: - - name: label - value: SA-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-02b.[01] - class: sp800-53A - prose: the resources required to protect the system or system - service are determined and documented as part of the organizational - capital planning and investment control process; - - name: objective - props: - - name: label - value: SA-02b.[02] - class: sp800-53A - prose: the resources required to protect the system or system - service are allocated as part of the organizational capital - planning and investment control process; - - name: objective - props: - - name: label - value: SA-02c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-02c.[01] - class: sp800-53A - prose: a discrete line item for information security is established - in organizational programming and budgeting documentation; - - name: objective - props: - - name: label - value: SA-02c.[02] - class: sp800-53A - prose: a discrete line item for privacy is established in organizational - programming and budgeting documentation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - system and services acquisition strategy and plans - - - procedures addressing the allocation of resources to information - security and privacy requirements - - - procedures addressing capital planning and investment control - - - organizational programming and budgeting documentation - - - system security plan - - - privacy plan - - - supply chain risk management policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with capital planning, investment - control, organizational programming, and budgeting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for determining information - security and privacy requirements - - - organizational processes for capital planning, programming, and - budgeting - - - automated mechanisms supporting and/or implementing organizational - capital planning, programming, and budgeting - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - params: - - id: sa-03_odp - props: - - name: legacy-identifier - value: sa-3_prm_1 - - name: label - value: SA-03_ODP - label: system-development life cycle - guidelines: - - prose: system development life cycle is defined; - props: - - name: label - value: SA-03 - - name: sort-id - value: sa-03 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849" - rel: reference - - href: "#f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e" - rel: reference - - href: "#at-3" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-22" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-9" - rel: related - parts: - - id: sa-3_smt - name: statement - parts: - - id: sa-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Acquire, develop, and manage the system using {{ insert:\ - \ param, sa-03_odp }} that incorporates information security and\ - \ privacy considerations;" - - id: sa-3_smt.b - name: item - props: - - name: label - value: b. - prose: Define and document information security and privacy roles - and responsibilities throughout the system development life cycle; - - id: sa-3_smt.c - name: item - props: - - name: label - value: c. - prose: Identify individuals having information security and privacy - roles and responsibilities; and - - id: sa-3_smt.d - name: item - props: - - name: label - value: d. - prose: Integrate the organizational information security and privacy - risk management process into system development life cycle activities. - - id: sa-3_gdn - name: guidance - prose: >- - A system development life cycle process provides the foundation - for the successful development, implementation, and operation of - organizational systems. The integration of security and privacy - considerations early in the system development life cycle is a - foundational principle of systems security engineering and - privacy engineering. To apply the required controls within the - system development life cycle requires a basic understanding of - information security and privacy, threats, vulnerabilities, - adverse impacts, and risk to critical mission and business - functions. The security engineering principles in [SA-8](#sa-8) - help individuals properly design, code, and test systems and - system components. Organizations include qualified personnel - (e.g., senior agency information security officers, senior - agency officials for privacy, security and privacy architects, - and security and privacy engineers) in system development life - cycle processes to ensure that established security and privacy - requirements are incorporated into organizational systems. - Role-based security and privacy training programs can ensure - that individuals with key security and privacy roles and - responsibilities have the experience, skills, and expertise to - conduct assigned system development life cycle activities. - - - The effective integration of security and privacy requirements into - enterprise architecture also helps to ensure that important security - and privacy considerations are addressed throughout the system life - cycle and that those considerations are directly related to organizational - mission and business processes. This process also facilitates the - integration of the information security and privacy architectures - into the enterprise architecture, consistent with the risk management - strategy of the organization. Because the system development life - cycle involves multiple organizations, (e.g., external suppliers, - developers, integrators, service providers), acquisition and supply - chain risk management functions and controls play significant roles - in the effective management of the system during the life cycle. - - name: objective - props: - - name: label - value: SA-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03a.[01] - class: sp800-53A - prose: "the system is acquired, developed, and managed using\ - \ {{ insert: param, sa-03_odp }} that incorporates information\ - \ security considerations;" - - name: objective - props: - - name: label - value: SA-03a.[02] - class: sp800-53A - prose: "the system is acquired, developed, and managed using\ - \ {{ insert: param, sa-03_odp }} that incorporates privacy\ - \ considerations;" - - name: objective - props: - - name: label - value: SA-03b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03b.[01] - class: sp800-53A - prose: information security roles and responsibilities are defined - and documented throughout the system development life cycle; - - name: objective - props: - - name: label - value: SA-03b.[02] - class: sp800-53A - prose: privacy roles and responsibilities are defined and documented - throughout the system development life cycle; - - name: objective - props: - - name: label - value: SA-03c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03c.[01] - class: sp800-53A - prose: individuals with information security roles and responsibilities - are identified; - - name: objective - props: - - name: label - value: SA-03c.[02] - class: sp800-53A - prose: individuals with privacy roles and responsibilities are - identified; - - name: objective - props: - - name: label - value: SA-03d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03d.[01] - class: sp800-53A - prose: organizational information security risk management processes - are integrated into system development life cycle activities; - - name: objective - props: - - name: label - value: SA-03d.[02] - class: sp800-53A - prose: organizational privacy risk management processes are - integrated into system development life cycle activities. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of information security - and privacy and supply chain risk management into the system development - life cycle process - - - system development life cycle documentation - - - organizational risk management strategy - - - information security and privacy risk management strategy documentation - - - system security plan - - - privacy plan - - - privacy program plan - - - enterprise architecture documentation - - - role-based security and privacy training program documentation - - - data mapping documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with system life cycle development responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and documenting the - system development life cycle - - - organizational processes for identifying system development life - cycle roles and responsibilities - - - organizational processes for integrating information security - and privacy and supply chain risk management into the system development - life cycle - - - automated mechanisms supporting and/or implementing the system - development life cycle - controls: - - id: sa-3.1 - class: SP800-53-enhancement - title: Manage Preproduction Environment - props: - - name: label - value: SA-03(01) - - name: sort-id - value: sa-03.01 - links: - - href: "#sa-3" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-4" - rel: related - parts: - - id: sa-3.1_smt - name: statement - prose: Protect system preproduction environments commensurate with - risk throughout the system development life cycle for the system, - system component, or system service. - - id: sa-3.1_gdn - name: guidance - prose: The preproduction environment includes development, test, - and integration environments. The program protection planning - processes established by the Department of Defense are examples - of managing the preproduction environment for defense contractors. - Criticality analysis and the application of controls on developers - also contribute to a more secure system development environment. - - name: objective - props: - - name: label - value: SA-03(01) - class: sp800-53A - prose: system pre-production environments are protected commensurate - with risk throughout the system development life cycle for the - system, system component, or system service. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the integration of security and supply - chain risk management into the system development life cycle - process - - - system development life cycle documentation - - - procedures addressing program protection planning - - - criticality analysis results - - - security and supply chain risk management strategy/program - documentation - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and system life - cycle development responsibilities - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and documenting - the system development life cycle - - - organizational processes for identifying system development - life cycle roles and responsibilities - - - organizational process for integrating security risk management - into the system development life cycle - - - automated mechanisms supporting and/or implementing the system - development life cycle - - id: sa-3.2 - class: SP800-53-enhancement - title: Use of Live or Operational Data - props: - - name: label - value: SA-03(02) - - name: sort-id - value: sa-03.02 - links: - - href: "#sa-3" - rel: required - - href: "#pm-25" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: sa-3.2_smt - name: statement - parts: - - id: sa-3.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Approve, document, and control the use of live data in - preproduction environments for the system, system component, - or system service; and - - id: sa-3.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Protect preproduction environments for the system, system - component, or system service at the same impact or classification - level as any live data in use within the preproduction environments. - - id: sa-3.2_gdn - name: guidance - prose: Live data is also referred to as operational data. The use - of live or operational data in preproduction (i.e., development, - test, and integration) environments can result in significant - risks to organizations. In addition, the use of personally identifiable - information in testing, research, and training increases the risk - of unauthorized disclosure or misuse of such information. Therefore, - it is important for the organization to manage any additional - risks that may result from the use of live or operational data. - Organizations can minimize such risks by using test or dummy data - during the design, development, and testing of systems, system - components, and system services. Risk assessment techniques may - be used to determine if the risk of using live or operational - data is acceptable. - - name: objective - props: - - name: label - value: SA-03(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03(02)a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03(02)a.[01] - class: sp800-53A - prose: the use of live data in pre-production environments - is approved for the system, system component, or system - service; - - name: objective - props: - - name: label - value: SA-03(02)a.[02] - class: sp800-53A - prose: the use of live data in pre-production environments - is documented for the system, system component, or system - service; - - name: objective - props: - - name: label - value: SA-03(02)a.[03] - class: sp800-53A - prose: the use of live data in pre-production environments - is controlled for the system, system component, or system - service; - - name: objective - props: - - name: label - value: SA-03(02)b. - class: sp800-53A - prose: pre-production environments for the system, system component, - or system service are protected at the same impact or classification - level as any live data in use within the pre-production environments. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of security and privacy - into the system development life cycle process - - - system development life cycle documentation - - - security risk assessment documentation - - - privacy impact assessment - - - privacy risk assessment documentation - - - system security plan - - - privacy plan - - - data mapping documentation - - - personally identifiable information processing policy - - - procedures addressing the authority to test with personally - identifiable information - - - procedures addressing the minimization of personally identifiable - information used in testing, training, and research - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibility - - - organizational personnel with system life cycle development - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes the use of live data in - pre-production environments - - - mechanisms for protecting live data in pre-production environments - - id: sa-3.3 - class: SP800-53-enhancement - title: Technology Refresh - props: - - name: label - value: SA-03(03) - - name: sort-id - value: sa-03.03 - links: - - href: "#sa-3" - rel: required - - href: "#ma-6" - rel: related - parts: - - id: sa-3.3_smt - name: statement - prose: Plan for and implement a technology refresh schedule for - the system throughout the system development life cycle. - - id: sa-3.3_gdn - name: guidance - prose: Technology refresh planning may encompass hardware, software, - firmware, processes, personnel skill sets, suppliers, service - providers, and facilities. The use of obsolete or nearing obsolete - technology may increase the security and privacy risks associated - with unsupported components, counterfeit or repurposed components, - components unable to implement security or privacy requirements, - slow or inoperable components, components from untrusted sources, - inadvertent personnel error, or increased complexity. Technology - refreshes typically occur during the operations and maintenance - stage of the system development life cycle. - - name: objective - props: - - name: label - value: SA-03(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-03(03)[01] - class: sp800-53A - prose: a technology refresh schedule is planned for the system - throughout the system development life cycle; - - name: objective - props: - - name: label - value: SA-03(03)[02] - class: sp800-53A - prose: a technology refresh schedule is implemented for the - system throughout the system development life cycle. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing technology refresh planning and implementation - - - system development life cycle documentation - - - technology refresh schedule - - - security risk assessment documentation - - - privacy impact assessment - - - privacy risk assessment documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with system life cycle development - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and documenting - the system development life cycle - - - organizational processes for identifying system development - life cycle roles and responsibilities - - - organizational processes for integrating security and privacy - risk management into the system development life cycle - - - automated mechanisms supporting and/or implementing the system - development life cycle - - id: sa-4 - class: SP800-53 - title: Acquisition Process - params: - - id: sa-04_odp.01 - props: - - name: legacy-identifier - value: sa-4_prm_1 - - name: label - value: SA-04_ODP[01] - select: - how-many: one-or-more - choice: - - standardized contract language - - " {{ insert: param, sa-04_odp.02 }} " - - id: sa-04_odp.02 - props: - - name: legacy-identifier - value: sa-4_prm_2 - - name: label - value: SA-04_ODP[02] - label: contract language - guidelines: - - prose: contract language is defined (if selected); - props: - - name: label - value: SA-04 - - name: sort-id - value: sa-04 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73" - rel: reference - - href: "#87087451-2af5-43d4-88c1-d66ad850f614" - rel: reference - - href: "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f" - rel: reference - - href: "#06ce9216-bd54-4054-a422-94f358b50a5d" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7ba1d91c-3934-4d5a-8532-b32f864ad34c" - rel: reference - - href: "#77faf0bc-c394-44ad-9154-bbac3b79c8ad" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#4895b4cd-34c5-4667-bf8a-27d443c12047" - rel: reference - - href: "#858705be-3c1f-48aa-a328-0ce398d95ef0" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#4b38e961-1125-4a5b-aa35-1d6c02846dad" - rel: reference - - href: "#604774da-9e1d-48eb-9c62-4e959dc80737" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#795aff72-3e6c-4b6b-a80a-b14d84b7f544" - rel: reference - - href: "#3d575737-98cb-459d-b41c-d7e82b73ad78" - rel: reference - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-16" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-21" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-4_smt - name: statement - prose: "Include the following requirements, descriptions, and criteria,\ - \ explicitly or by reference, using {{ insert: param, sa-04_odp.01\ - \ }} in the acquisition contract for the system, system component,\ - \ or system service:" - parts: - - id: sa-4_smt.a - name: item - props: - - name: label - value: a. - prose: Security and privacy functional requirements; - - id: sa-4_smt.b - name: item - props: - - name: label - value: b. - prose: Strength of mechanism requirements; - - id: sa-4_smt.c - name: item - props: - - name: label - value: c. - prose: Security and privacy assurance requirements; - - id: sa-4_smt.d - name: item - props: - - name: label - value: d. - prose: Controls needed to satisfy the security and privacy requirements. - - id: sa-4_smt.e - name: item - props: - - name: label - value: e. - prose: Security and privacy documentation requirements; - - id: sa-4_smt.f - name: item - props: - - name: label - value: f. - prose: Requirements for protecting security and privacy documentation; - - id: sa-4_smt.g - name: item - props: - - name: label - value: g. - prose: Description of the system development environment and environment - in which the system is intended to operate; - - id: sa-4_smt.h - name: item - props: - - name: label - value: h. - prose: Allocation of responsibility or identification of parties - responsible for information security, privacy, and supply chain - risk management; and - - id: sa-4_smt.i - name: item - props: - - name: label - value: i. - prose: Acceptance criteria. - - id: sa-4_gdn - name: guidance - prose: >- - Security and privacy functional requirements are typically - derived from the high-level security and privacy requirements - described in [SA-2](#sa-2) . The derived requirements include - security and privacy capabilities, functions, and mechanisms. - Strength requirements associated with such capabilities, - functions, and mechanisms include degree of correctness, - completeness, resistance to tampering or bypass, and resistance - to direct attack. Assurance requirements include development - processes, procedures, and methodologies as well as the evidence - from development and assessment activities that provide grounds - for confidence that the required functionality is implemented - and possesses the required strength of mechanism. [SP - 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) describes the - process of requirements engineering as part of the system - development life cycle. - - - Controls can be viewed as descriptions of the safeguards and protection - capabilities appropriate for achieving the particular security and - privacy objectives of the organization and for reflecting the security - and privacy requirements of stakeholders. Controls are selected and - implemented in order to satisfy system requirements and include developer - and organizational responsibilities. Controls can include technical, - administrative, and physical aspects. In some cases, the selection - and implementation of a control may necessitate additional specification - by the organization in the form of derived requirements or instantiated - control parameter values. The derived requirements and control parameter - values may be necessary to provide the appropriate level of implementation - detail for controls within the system development life cycle. - - - Security and privacy documentation requirements address all stages - of the system development life cycle. Documentation provides user - and administrator guidance for the implementation and operation of - controls. The level of detail required in such documentation is based - on the security categorization or classification level of the system - and the degree to which organizations depend on the capabilities, - functions, or mechanisms to meet risk response expectations. Requirements - can include mandated configuration settings that specify allowed functions, - ports, protocols, and services. Acceptance criteria for systems, system - components, and system services are defined in the same manner as - the criteria for any organizational acquisition or procurement. - - name: objective - props: - - name: label - value: SA-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04a.[01] - class: sp800-53A - prose: "security functional requirements, descriptions, and\ - \ criteria are included explicitly or by reference using {{\ - \ insert: param, sa-04_odp.01 }} in the acquisition contract\ - \ for the system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04a.[02] - class: sp800-53A - prose: "privacy functional requirements, descriptions, and criteria\ - \ are included explicitly or by reference using {{ insert:\ - \ param, sa-04_odp.01 }} in the acquisition contract for the\ - \ system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04b. - class: sp800-53A - prose: "strength of mechanism requirements, descriptions, and criteria\ - \ are included explicitly or by reference using {{ insert: param,\ - \ sa-04_odp.01 }} in the acquisition contract for the system,\ - \ system component, or system service;" - - name: objective - props: - - name: label - value: SA-04c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04c.[01] - class: sp800-53A - prose: "security assurance requirements, descriptions, and criteria\ - \ are included explicitly or by reference using {{ insert:\ - \ param, sa-04_odp.01 }} in the acquisition contract for the\ - \ system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04c.[02] - class: sp800-53A - prose: "privacy assurance requirements, descriptions, and criteria\ - \ are included explicitly or by reference using {{ insert:\ - \ param, sa-04_odp.01 }} in the acquisition contract for the\ - \ system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04d.[01] - class: sp800-53A - prose: "controls needed to satisfy the security requirements,\ - \ descriptions, and criteria are included explicitly or by\ - \ reference using {{ insert: param, sa-04_odp.01 }} in the\ - \ acquisition contract for the system, system component, or\ - \ system service;" - - name: objective - props: - - name: label - value: SA-04d.[02] - class: sp800-53A - prose: "controls needed to satisfy the privacy requirements,\ - \ descriptions, and criteria are included explicitly or by\ - \ reference using {{ insert: param, sa-04_odp.01 }} in the\ - \ acquisition contract for the system, system component, or\ - \ system service;" - - name: objective - props: - - name: label - value: SA-04e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04e.[01] - class: sp800-53A - prose: "security documentation requirements, descriptions, and\ - \ criteria are included explicitly or by reference using {{\ - \ insert: param, sa-04_odp.01 }} in the acquisition contract\ - \ for the system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04e.[02] - class: sp800-53A - prose: "privacy documentation requirements, descriptions, and\ - \ criteria are included explicitly or by reference using {{\ - \ insert: param, sa-04_odp.01 }} in the acquisition contract\ - \ for the system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04f. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04f.[01] - class: sp800-53A - prose: "requirements for protecting security documentation,\ - \ descriptions, and criteria are included explicitly or by\ - \ reference using {{ insert: param, sa-04_odp.01 }} in the\ - \ acquisition contract for the system, system component, or\ - \ system service;" - - name: objective - props: - - name: label - value: SA-04f.[02] - class: sp800-53A - prose: "requirements for protecting privacy documentation, descriptions,\ - \ and criteria are included explicitly or by reference using\ - \ {{ insert: param, sa-04_odp.01 }} in the acquisition contract\ - \ for the system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04g. - class: sp800-53A - prose: "the description of the system development environment and\ - \ environment in which the system is intended to operate, requirements,\ - \ and criteria are included explicitly or by reference using {{\ - \ insert: param, sa-04_odp.01 }} in the acquisition contract for\ - \ the system, system component, or system service;" - - name: objective - props: - - name: label - value: SA-04h. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04h.[01] - class: sp800-53A - prose: "the allocation of responsibility or identification of\ - \ parties responsible for information security requirements,\ - \ descriptions, and criteria are included explicitly or by\ - \ reference using {{ insert: param, sa-04_odp.01 }} in the\ - \ acquisition contract for the system, system component, or\ - \ system service;" - - name: objective - props: - - name: label - value: SA-04h.[02] - class: sp800-53A - prose: "the allocation of responsibility or identification of\ - \ parties responsible for privacy requirements, descriptions,\ - \ and criteria are included explicitly or by reference using\ - \ {{ insert: param, sa-04_odp.01 }};" - - name: objective - props: - - name: label - value: SA-04h.[03] - class: sp800-53A - prose: "the allocation of responsibility or identification of\ - \ parties responsible for supply chain risk management requirements,\ - \ descriptions, and criteria are included explicitly or by\ - \ reference using {{ insert: param, sa-04_odp.01 }};" - - name: objective - props: - - name: label - value: SA-04i. - class: sp800-53A - prose: "acceptance criteria requirements and descriptions are included\ - \ explicitly or by reference using {{ insert: param, sa-04_odp.01\ - \ }} in the acquisition contract for the system, system component,\ - \ or system service." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of information security - and privacy and supply chain risk management into the acquisition - process - - - configuration management plan - - - acquisition contracts for the system, system component, or system - service - - - system design documentation - - - system security plan - - - supply chain risk management plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for determining system security and - privacy functional, strength, and assurance requirements - - - organizational processes for developing acquisition contracts - - - automated mechanisms supporting and/or implementing acquisitions - and the inclusion of security and privacy requirements in contracts - controls: - - id: sa-4.1 - class: SP800-53-enhancement - title: Functional Properties of Controls - props: - - name: label - value: SA-04(01) - - name: sort-id - value: sa-04.01 - links: - - href: "#sa-4" - rel: required - parts: - - id: sa-4.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to provide a description of the functional properties - of the controls to be implemented. - - id: sa-4.1_gdn - name: guidance - prose: Functional properties of security and privacy controls describe - the functionality (i.e., security or privacy capability, functions, - or mechanisms) visible at the interfaces of the controls and specifically - exclude functionality and data structures internal to the operation - of the controls. - - name: objective - props: - - name: label - value: SA-04(01) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to provide a description of the functional - properties of the controls to be implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of security and privacy - requirements, descriptions, and criteria into the acquisition - process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system services - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for determining system security - functional requirements - - - organizational processes for developing acquisition contracts - - - automated mechanisms supporting and/or implementing acquisitions - and the inclusion of security and privacy requirements in - contracts - - id: sa-4.2 - class: SP800-53-enhancement - title: Design and Implementation Information for Controls - params: - - id: sa-04.02_odp.01 - props: - - name: legacy-identifier - value: sa-4.2_prm_1 - - name: label - value: SA-04(02)_ODP[01] - select: - how-many: one-or-more - choice: - - security-relevant external system interfaces - - high-level design - - low-level design - - source code or hardware schematics - - " {{ insert: param, sa-04.02_odp.02 }} " - - id: sa-04.02_odp.02 - props: - - name: legacy-identifier - value: sa-4.2_prm_2 - - name: label - value: SA-04(02)_ODP[02] - label: design and implementation information - guidelines: - - prose: design and implementation information is defined (if - selected); - - id: sa-04.02_odp.03 - props: - - name: legacy-identifier - value: sa-4.2_prm_3 - - name: label - value: SA-04(02)_ODP[03] - label: level of detail - guidelines: - - prose: level of detail is defined; - props: - - name: label - value: SA-04(02) - - name: sort-id - value: sa-04.02 - links: - - href: "#sa-4" - rel: required - parts: - - id: sa-4.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to provide design and implementation information\ - \ for the controls that includes: {{ insert: param, sa-04.02_odp.01\ - \ }} at {{ insert: param, sa-04.02_odp.03 }}." - - id: sa-4.2_gdn - name: guidance - prose: Organizations may require different levels of detail in the - documentation for the design and implementation of controls in - organizational systems, system components, or system services - based on mission and business requirements, requirements for resiliency - and trustworthiness, and requirements for analysis and testing. - Systems can be partitioned into multiple subsystems. Each subsystem - within the system can contain one or more modules. The high-level - design for the system is expressed in terms of subsystems and - the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed - in terms of modules and the interfaces between modules providing - security-relevant functionality. Design and implementation documentation - can include manufacturer, version, serial number, verification - hash signature, software libraries used, date of purchase or download, - and the vendor or download source. Source code and hardware schematics - are referred to as the implementation representation of the system. - - name: objective - props: - - name: label - value: SA-04(02) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to provide design and implementation information\ - \ for the controls that includes using {{ insert: param, sa-04.02_odp.01\ - \ }} at {{ insert: param, sa-04.02_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system components, or - system services - - - design and implementation information for controls employed - in the system, system component, or system service - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility to determine - system security requirements - - - system developers or service provider - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for determining the level of - detail for system design and controls - - - organizational processes for developing acquisition contracts - - - automated mechanisms supporting and/or implementing development - of system design details - - id: sa-4.3 - class: SP800-53-enhancement - title: Development Methods, Techniques, and Practices - params: - - id: sa-4.3_prm_3 - props: - - name: aggregates - value: sa-04.03_odp.03 - label: organization-defined software development methods; testing, - evaluation, assessment, verification, and validation methods; - and quality control processes - - id: sa-04.03_odp.01 - props: - - name: legacy-identifier - value: sa-4.3_prm_1 - - name: label - value: SA-04(03)_ODP[01] - label: systems engineering methods - guidelines: - - prose: systems engineering methods are defined; - - id: sa-04.03_odp.02 - props: - - name: legacy-identifier - value: sa-4.3_prm_2 - - name: label - value: SA-04(03)_ODP[02] - select: - how-many: one-or-more - choice: - - " {{ insert: param, sa-04.03_odp.03 }} " - - " {{ insert: param, sa-04.03_odp.04 }} " - - id: sa-04.03_odp.03 - props: - - name: label - value: SA-04(03)_ODP[03] - label: system security engineering methods - guidelines: - - prose: system security engineering methods (if selected); - - id: sa-04.03_odp.04 - props: - - name: label - value: SA-04(03)_ODP[04] - label: privacy engineering methods - guidelines: - - prose: privacy engineering methods (if selected); - - id: sa-04.03_odp.05 - props: - - name: label - value: SA-04(03)_ODP[05] - select: - how-many: one-or-more - choice: - - " {{ insert: param, sa-04.03_odp.06 }} " - - " {{ insert: param, sa-04.03_odp.07 }} " - - " {{ insert: param, sa-04.03_odp.08 }} " - - id: sa-04.03_odp.06 - props: - - name: label - value: SA-04(03)_ODP[06] - label: software development methods - guidelines: - - prose: software development methods are defined (if selected); - - id: sa-04.03_odp.07 - props: - - name: label - value: SA-04(03)_ODP[07] - label: testing, evaluation, assessment, verification, and validation - methods - guidelines: - - prose: testing, evaluation, assessment, verification, and validation - methods are defined (if selected); - - id: sa-04.03_odp.08 - props: - - name: label - value: SA-04(03)_ODP[08] - label: quality control processes - guidelines: - - prose: quality control processes are defined (if selected); - props: - - name: label - value: SA-04(03) - - name: sort-id - value: sa-04.03 - links: - - href: "#sa-4" - rel: required - parts: - - id: sa-4.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to demonstrate the use of a system development\ - \ life cycle process that includes:" - parts: - - id: sa-4.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, sa-04.03_odp.01 }};" - - id: sa-4.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, sa-04.03_odp.02 }} ; and" - - id: sa-4.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "{{ insert: param, sa-4.3_prm_3 }}." - - id: sa-4.3_gdn - name: guidance - prose: Following a system development life cycle that includes state-of-the-practice - software development methods, systems engineering methods, systems - security and privacy engineering methods, and quality control - processes helps to reduce the number and severity of latent errors - within systems, system components, and system services. Reducing - the number and severity of such errors reduces the number of vulnerabilities - in those systems, components, and services. Transparency in the - methods and techniques that developers select and implement for - systems engineering, systems security and privacy engineering, - software development, component and system assessments, and quality - control processes provides an increased level of assurance in - the trustworthiness of the system, system component, or system - service being acquired. - - name: objective - props: - - name: label - value: SA-04(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(03)(a) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to demonstrate the use of a system development\ - \ life cycle process that includes {{ insert: param, sa-04.03_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SA-04(03)(b) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to demonstrate the use of a system development\ - \ life cycle process that includes {{ insert: param, sa-04.03_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: SA-04(03)(c) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to demonstrate the use of a system development\ - \ life cycle process that includes {{ insert: param, sa-04.03_odp.05\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of security and privacy - requirements, descriptions, and criteria into the acquisition - process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - list of systems security and privacy engineering methods to - be included in the developer’s system development life cycle - process - - - list of software development methods to be included in the - developer’s system development life cycle process - - - list of testing, evaluation, or validation techniques to be - included in the developer’s system development life cycle - process - - - list of quality control processes to be included in the developer’s - system development life cycle process - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with system life cycle responsibilities - - - system developers or service provider - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for development methods, techniques, - and processes - - id: sa-4.4 - class: SP800-53-enhancement - title: Assignment of Components to Systems - props: - - name: label - value: SA-04(04) - - name: sort-id - value: sa-04.04 - - name: status - value: withdrawn - links: - - href: "#cm-8.9" - rel: incorporated-into - - id: sa-4.5 - class: SP800-53-enhancement - title: System, Component, and Service Configurations - params: - - id: sa-04.05_odp - props: - - name: legacy-identifier - value: sa-4.5_prm_1 - - name: label - value: SA-04(05)_ODP - label: security configurations - guidelines: - - prose: security configurations for the system, component, or - service are defined; - props: - - name: label - value: SA-04(05) - - name: sort-id - value: sa-04.05 - links: - - href: "#sa-4" - rel: required - parts: - - id: sa-4.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-4.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Deliver the system, component, or service with {{ insert:\ - \ param, sa-04.05_odp }} implemented; and" - - id: sa-4.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Use the configurations as the default for any subsequent - system, component, or service reinstallation or upgrade. - - id: sa-4.5_gdn - name: guidance - prose: Examples of security configurations include the U.S. Government - Configuration Baseline (USGCB), Security Technical Implementation - Guides (STIGs), and any limitations on functions, ports, protocols, - and services. Security characteristics can include requiring that - default passwords have been changed. - - name: objective - props: - - name: label - value: SA-04(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(05)(a) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to deliver the system, component, or\ - \ service with {{ insert: param, sa-04.05_odp }} implemented;" - - name: objective - props: - - name: label - value: SA-04(05)(b) - class: sp800-53A - prose: the configurations are used as the default for any subsequent - system, component, or service reinstallation or upgrade. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - security configurations to be implemented by the developer - of the system, system component, or system service - - - service level agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility to determine - system security requirements - - - system developers or service provider - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms used to verify that the configuration - of the system, component, or service is delivered as specified - - id: sa-4.6 - class: SP800-53-enhancement - title: Use of Information Assurance Products - props: - - name: label - value: SA-04(06) - - name: sort-id - value: sa-04.06 - links: - - href: "#sa-4" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-4.6_smt - name: statement - parts: - - id: sa-4.6_smt.a - name: item - props: - - name: label - value: (a) - prose: Employ only government off-the-shelf or commercial off-the-shelf - information assurance and information assurance-enabled information - technology products that compose an NSA-approved solution - to protect classified information when the networks used to - transmit the information are at a lower classification level - than the information being transmitted; and - - id: sa-4.6_smt.b - name: item - props: - - name: label - value: (b) - prose: Ensure that these products have been evaluated and/or - validated by NSA or in accordance with NSA-approved procedures. - - id: sa-4.6_gdn - name: guidance - prose: Commercial off-the-shelf IA or IA-enabled information technology - products used to protect classified information by cryptographic - means may be required to use NSA-approved key management. See - [NSA CSFC](#3d575737-98cb-459d-b41c-d7e82b73ad78). - - name: objective - props: - - name: label - value: SA-04(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(06)(a) - class: sp800-53A - prose: only government off-the-shelf or commercial off-the-shelf - information assurance and information assurance-enabled information - technology products that compose an NSA-approved solution - to protect classified information when the networks used to - transmit the information are at a lower classification level - than the information being transmitted are employed; - - name: objective - props: - - name: label - value: SA-04(06)(b) - class: sp800-53A - prose: these products have been evaluated and/or validated by - NSA or in accordance with NSA-approved procedures. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - security configurations to be implemented by the developer - of the system, system component, or system service - - - service level agreements - - - NSA-approved list - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility to determine - system security requirements - - - organizational personnel responsible for ensuring information - assurance products are NSA-approved and are evaluated and/or - validated products in accordance with NSA-approved procedures - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for selecting and employing - evaluated and/or validated information assurance products - and services that compose an NSA-approved solution to protect - classified information - - id: sa-4.7 - class: SP800-53-enhancement - title: Niap-approved Protection Profiles - props: - - name: label - value: SA-04(07) - - name: sort-id - value: sa-04.07 - links: - - href: "#sa-4" - rel: required - - href: "#ia-7" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-4.7_smt - name: statement - parts: - - id: sa-4.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Limit the use of commercially provided information assurance - and information assurance-enabled information technology products - to those products that have been successfully evaluated against - a National Information Assurance partnership (NIAP)-approved - Protection Profile for a specific technology type, if such - a profile exists; and - - id: sa-4.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Require, if no NIAP-approved Protection Profile exists - for a specific technology type but a commercially provided - information technology product relies on cryptographic functionality - to enforce its security policy, that the cryptographic module - is FIPS-validated or NSA-approved. - - id: sa-4.7_gdn - name: guidance - prose: See [NIAP CCEVS](#795aff72-3e6c-4b6b-a80a-b14d84b7f544) for - additional information on NIAP. See [NIST CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) - for additional information on FIPS-validated cryptographic modules. - - name: objective - props: - - name: label - value: SA-04(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(07)(a) - class: sp800-53A - prose: the use of commercially provided information assurance - and information assurance-enabled information technology products - is limited to those products that have been successfully evaluated - against a National Information Assurance partnership (NIAP)-approved - Protection Profile for a specific technology type, if such - a profile exists; - - name: objective - props: - - name: label - value: SA-04(07)(b) - class: sp800-53A - prose: if no NIAP-approved Protection Profile exists for a specific - technology type but a commercially provided information technology - product relies on cryptographic functionality to enforce its - security policy, that cryptographic module is required to - be FIPS-validated or NSA-approved. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - solicitation documents - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - NAIP-approved protection profiles - - - FIPS-validation information for cryptographic functionality - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for determining - system security requirements - - - organizational personnel responsible for ensuring that information - assurance products have been evaluated against a NIAP-approved - protection profile or for ensuring products relying on cryptographic - functionality are FIPS-validated - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for selecting and employing - products/services evaluated against a NIAP-approved protection - profile or FIPS-validated products - - id: sa-4.8 - class: SP800-53-enhancement - title: Continuous Monitoring Plan for Controls - props: - - name: label - value: SA-04(08) - - name: sort-id - value: sa-04.08 - links: - - href: "#sa-4" - rel: required - - href: "#ca-7" - rel: related - parts: - - id: sa-4.8_smt - name: statement - prose: Require the developer of the system, system component, or - system service to produce a plan for continuous monitoring of - control effectiveness that is consistent with the continuous monitoring - program of the organization. - - id: sa-4.8_gdn - name: guidance - prose: The objective of continuous monitoring plans is to determine - if the planned, required, and deployed controls within the system, - system component, or system service continue to be effective over - time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that - the information can be incorporated into continuous monitoring - programs implemented by organizations. Continuous monitoring plans - can include the types of control assessment and monitoring activities - planned, frequency of control monitoring, and actions to be taken - when controls fail or become ineffective. - - name: objective - props: - - name: label - value: SA-04(08) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a plan for the continuous monitoring - of control effectiveness that is consistent with the continuous - monitoring program of the organization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing developer continuous monitoring plans - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - developer continuous monitoring plans - - - security assessment plans - - - acquisition contracts for the system, system component, or - system service - - - acquisition documentation - - - solicitation documentation - - - service level agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for determining - system security requirements - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Vendor processes for continuous monitoring - - - automated mechanisms supporting and/or implementing developer - continuous monitoring - - id: sa-4.9 - class: SP800-53-enhancement - title: Functions, Ports, Protocols, and Services in Use - props: - - name: label - value: SA-04(09) - - name: sort-id - value: sa-04.09 - links: - - href: "#sa-4" - rel: required - - href: "#cm-7" - rel: related - - href: "#sa-9" - rel: related - parts: - - id: sa-4.9_smt - name: statement - prose: Require the developer of the system, system component, or - system service to identify the functions, ports, protocols, and - services intended for organizational use. - - id: sa-4.9_gdn - name: guidance - prose: The identification of functions, ports, protocols, and services - early in the system development life cycle (e.g., during the initial - requirements definition and design stages) allows organizations - to influence the design of the system, system component, or system - service. This early involvement in the system development life - cycle helps organizations avoid or minimize the use of functions, - ports, protocols, or services that pose unnecessarily high risks - and understand the trade-offs involved in blocking specific ports, - protocols, or services or requiring system service providers to - do so. Early identification of functions, ports, protocols, and - services avoids costly retrofitting of controls after the system, - component, or system service has been implemented. [SA-9](#sa-9) - describes the requirements for external system services. Organizations - identify which functions, ports, protocols, and services are provided - from external sources. - - name: objective - props: - - name: label - value: SA-04(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(09)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to identify the functions intended for - organizational use; - - name: objective - props: - - name: label - value: SA-04(09)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to identify the ports intended for organizational - use; - - name: objective - props: - - name: label - value: SA-04(09)[03] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to identify the protocols intended for - organizational use; - - name: objective - props: - - name: label - value: SA-04(09)[04] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to identify the services intended for - organizational use. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - system design documentation - - - system documentation, including functions, ports, protocols, - and services intended for organizational use - - - acquisition contracts for systems or services - - - acquisition documentation - - - solicitation documentation - - - service level agreements - - - organizational security requirements, descriptions, and criteria - for developers of systems, system components, and system services - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for determining - system security requirements - - - system/network administrators - - - organizational personnel operating, using, and/or maintaining - the system - - - system developers - - - organizational personnel with information security responsibilities - - id: sa-4.10 - class: SP800-53-enhancement - title: Use of Approved PIV Products - props: - - name: label - value: SA-04(10) - - name: sort-id - value: sa-04.10 - links: - - href: "#sa-4" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pm-9" - rel: related - parts: - - id: sa-4.10_smt - name: statement - prose: Employ only information technology products on the FIPS 201-approved - products list for Personal Identity Verification (PIV) capability - implemented within organizational systems. - - id: sa-4.10_gdn - name: guidance - prose: Products on the FIPS 201-approved products list meet NIST - requirements for Personal Identity Verification (PIV) of Federal - Employees and Contractors. PIV cards are used for multi-factor - authentication in systems and organizations. - - name: objective - props: - - name: label - value: SA-04(10) - class: sp800-53A - prose: only information technology products on the FIPS 201-approved - products list for the Personal Identity Verification (PIV) capability - implemented within organizational systems are employed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing the integration of security requirements, - descriptions, and criteria into the acquisition process - - - solicitation documentation - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - service level agreements - - - FIPS 201 approved products list - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for determining - system security requirements - - - organizational personnel with the responsibility for ensuring - that only FIPS 201- approved products are implemented - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(10)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for selecting and employing - FIPS 201-approved products - - id: sa-4.11 - class: SP800-53-enhancement - title: System of Records - params: - - id: sa-04.11_odp - props: - - name: legacy-identifier - value: sa-4.11_prm_1 - - name: label - value: SA-04(11)_ODP - label: Privacy Act requirements - guidelines: - - prose: Privacy Act requirements for the operation of a system - of records are defined; - props: - - name: label - value: SA-04(11) - - name: sort-id - value: sa-04.11 - links: - - href: "#sa-4" - rel: required - - href: "#pt-6" - rel: related - parts: - - id: sa-4.11_smt - name: statement - prose: "Include {{ insert: param, sa-04.11_odp }} in the acquisition\ - \ contract for the operation of a system of records on behalf\ - \ of an organization to accomplish an organizational mission or\ - \ function." - - id: sa-4.11_gdn - name: guidance - prose: When, by contract, an organization provides for the operation - of a system of records to accomplish an organizational mission - or function, the organization, consistent with its authority, - causes the requirements of the [PRIVACT](#18e71fec-c6fd-475a-925a-5d8495cf8455) - to be applied to the system of records. - - name: objective - props: - - name: label - value: SA-04(11) - class: sp800-53A - prose: "{{ insert: param, sa-04.11_odp }} are defined in the acquisition\ - \ contract for the operation of a system of records on behalf\ - \ of an organization to accomplish an organizational mission or\ - \ function." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of Privacy Act requirements - into systems of records operated by external organizations - - - solicitation documentation - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - service level agreements - - - system security plan - - - privacy plan - - - personally identifiable information processing policy - - - privacy program plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(11)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Contract management processes to verify Privacy Act - requirements are defined for the operation of a system - of records - - - vendor processes for demonstrating incorporation of Privacy - Act requirements in its operation of a system of records - - id: sa-4.12 - class: SP800-53-enhancement - title: Data Ownership - params: - - id: sa-04.12_odp - props: - - name: legacy-identifier - value: sa-4.12_prm_1 - - name: label - value: SA-04(12)_ODP - label: time frame - guidelines: - - prose: time frame to remove data from a contractor system and - return it to the organization is defined; - props: - - name: label - value: SA-04(12) - - name: sort-id - value: sa-04.12 - links: - - href: "#sa-4" - rel: required - parts: - - id: sa-4.12_smt - name: statement - parts: - - id: sa-4.12_smt.a - name: item - props: - - name: label - value: (a) - prose: Include organizational data ownership requirements in - the acquisition contract; and - - id: sa-4.12_smt.b - name: item - props: - - name: label - value: (b) - prose: "Require all data to be removed from the contractor’s\ - \ system and returned to the organization within {{ insert:\ - \ param, sa-04.12_odp }}." - - id: sa-4.12_gdn - name: guidance - prose: Contractors who operate a system that contains data owned - by an organization initiating the contract have policies and procedures - in place to remove the data from their systems and/or return the - data in a time frame defined by the contract. - - name: objective - props: - - name: label - value: SA-04(12) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-04(12)(a) - class: sp800-53A - prose: organizational data ownership requirements are included - in the acquisition contract; - - name: objective - props: - - name: label - value: SA-04(12)(b) - class: sp800-53A - prose: "all data to be removed from the contractor’s system\ - \ and returned to the organization is required within {{ insert:\ - \ param, sa-04.12_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-04(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of information security - and privacy requirements, descriptions, and criteria into - the acquisition process - - - procedures addressing the disposition of personally identifiable - information - - - solicitation documentation - - - acquisition documentation - - - acquisition contracts for the system or system service - - - personally identifiable information processing policy - - - service level agreements - - - information sharing agreements - - - memoranda of understanding - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-04(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for data - management and processing requirements - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-04(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Contract management processes to verify that data is - removed as required - - - vendor processes for removing data in required timeframe - - - automated mechanisms verifying the removal and return of data - - id: sa-5 - class: SP800-53 - title: System Documentation - params: - - id: sa-05_odp.01 - props: - - name: legacy-identifier - value: sa-5_prm_1 - - name: label - value: SA-05_ODP[01] - label: actions - guidelines: - - prose: actions to take when system, system component, or system - service documentation is either unavailable or nonexistent are - defined; - - id: sa-05_odp.02 - props: - - name: legacy-identifier - value: sa-5_prm_2 - - name: label - value: SA-05_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to distribute system documentation to - is/are defined; - props: - - name: label - value: SA-05 - - name: sort-id - value: sa-05 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#pl-8" - rel: related - - href: "#ps-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-16" - rel: related - - href: "#sa-17" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: sa-5_smt - name: statement - parts: - - id: sa-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Obtain or develop administrator documentation for the system,\ - \ system component, or system service that describes:" - parts: - - id: sa-5_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Secure configuration, installation, and operation of - the system, component, or service; - - id: sa-5_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Effective use and maintenance of security and privacy - functions and mechanisms; and - - id: sa-5_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Known vulnerabilities regarding configuration and use - of administrative or privileged functions; - - id: sa-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Obtain or develop user documentation for the system, system\ - \ component, or system service that describes:" - parts: - - id: sa-5_smt.b.1 - name: item - props: - - name: label - value: "01." - prose: User-accessible security and privacy functions and mechanisms - and how to effectively use those functions and mechanisms; - - id: sa-5_smt.b.2 - name: item - props: - - name: label - value: "02." - prose: Methods for user interaction, which enables individuals - to use the system, component, or service in a more secure - manner and protect individual privacy; and - - id: sa-5_smt.b.3 - name: item - props: - - name: label - value: "03." - prose: User responsibilities in maintaining the security of - the system, component, or service and privacy of individuals; - - id: sa-5_smt.c - name: item - props: - - name: label - value: c. - prose: "Document attempts to obtain system, system component, or\ - \ system service documentation when such documentation is either\ - \ unavailable or nonexistent and take {{ insert: param, sa-05_odp.01\ - \ }} in response; and" - - id: sa-5_smt.d - name: item - props: - - name: label - value: d. - prose: "Distribute documentation to {{ insert: param, sa-05_odp.02\ - \ }}." - - id: sa-5_gdn - name: guidance - prose: System documentation helps personnel understand the implementation - and operation of controls. Organizations consider establishing specific - measures to determine the quality and completeness of the content - provided. System documentation may be used to support the management - of supply chain risk, incident response, and other functions. Personnel - or roles that require documentation include system owners, system - security officers, and system administrators. Attempts to obtain documentation - include contacting manufacturers or suppliers and conducting web-based - searches. The inability to obtain documentation may occur due to the - age of the system or component or the lack of support from developers - and contractors. When documentation cannot be obtained, organizations - may need to recreate the documentation if it is essential to the implementation - or operation of the controls. The protection provided for the documentation - is commensurate with the security category or classification of the - system. Documentation that addresses system vulnerabilities may require - an increased level of protection. Secure operation of the system includes - initially starting the system and resuming secure system operation - after a lapse in system operation. - - name: objective - props: - - name: label - value: SA-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05a.01[01] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the secure - configuration of the system, component, or service is - obtained or developed; - - name: objective - props: - - name: label - value: SA-05a.01[02] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the secure - installation of the system, component, or service is obtained - or developed; - - name: objective - props: - - name: label - value: SA-05a.01[03] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the secure - operation of the system, component, or service is obtained - or developed; - - name: objective - props: - - name: label - value: SA-05a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05a.02[01] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the effective - use of security functions and mechanisms is obtained or - developed; - - name: objective - props: - - name: label - value: SA-05a.02[02] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the effective - maintenance of security functions and mechanisms is obtained - or developed; - - name: objective - props: - - name: label - value: SA-05a.02[03] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the effective - use of privacy functions and mechanisms is obtained or - developed; - - name: objective - props: - - name: label - value: SA-05a.02[04] - class: sp800-53A - prose: administrator documentation for the system, system - component, or system service that describes the effective - maintenance of privacy functions and mechanisms is obtained - or developed; - - name: objective - props: - - name: label - value: SA-05b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05b.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05b.01[01] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes user-accessible security - functions and mechanisms is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.01[02] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes how to effectively use - those (user-accessible security) functions and mechanisms - is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.01[03] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes user-accessible privacy - functions and mechanisms is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.01[04] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes how to effectively use - those (user-accessible privacy) functions and mechanisms - is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05b.02[01] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes methods for user interaction, - which enable individuals to use the system, component, - or service in a more secure manner is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.02[02] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes methods for user interaction, - which enable individuals to use the system, component, - or service to protect individual privacy is obtained or - developed; - - name: objective - props: - - name: label - value: SA-05b.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05b.03[01] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes user responsibilities - for maintaining the security of the system, component, - or service is obtained or developed; - - name: objective - props: - - name: label - value: SA-05b.03[02] - class: sp800-53A - prose: user documentation for the system, system component, - or system service that describes user responsibilities - for maintaining the privacy of individuals is obtained - or developed; - - name: objective - props: - - name: label - value: SA-05c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05c.[01] - class: sp800-53A - prose: attempts to obtain system, system component, or system - service documentation when such documentation is either unavailable - or nonexistent is documented; - - name: objective - props: - - name: label - value: SA-05c.[02] - class: sp800-53A - prose: "after attempts to obtain system, system component, or\ - \ system service documentation when such documentation is\ - \ either unavailable or nonexistent, {{ insert: param, sa-05_odp.01\ - \ }} are taken in response;" - - name: objective - props: - - name: label - value: SA-05d. - class: sp800-53A - prose: "documentation is distributed to {{ insert: param, sa-05_odp.02\ - \ }}." - - name: objective - props: - - name: label - value: SA-05.a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-05.a.03[01] - class: sp800-53A - prose: administrator documentation for the system, system component, - or system service that describes known vulnerabilities regarding - the configuration of administrative or privileged functions is - obtained or developed; - - name: objective - props: - - name: label - value: SA-05.a.03[02] - class: sp800-53A - prose: administrator documentation for the system, system component, - or system service that describes known vulnerabilities regarding - the use of administrative or privileged functions is obtained - or developed; - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing system documentation - - - system documentation, including administrator and user guides - - - system design documentation - - - records documenting attempts to obtain unavailable or nonexistent - system documentation - - - list of actions to be taken in response to documented attempts - to obtain system, system component, or system service documentation - - - risk management strategy documentation - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system administrators - - - organizational personnel responsible for operating, using, and/or - maintaining the system - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-05-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for obtaining, protecting, and distributing - system administrator and user documentation - controls: - - id: sa-5.1 - class: SP800-53-enhancement - title: Functional Properties of Security Controls - props: - - name: label - value: SA-05(01) - - name: sort-id - value: sa-05.01 - - name: status - value: withdrawn - links: - - href: "#sa-4.1" - rel: incorporated-into - - id: sa-5.2 - class: SP800-53-enhancement - title: Security-relevant External System Interfaces - props: - - name: label - value: SA-05(02) - - name: sort-id - value: sa-05.02 - - name: status - value: withdrawn - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.3 - class: SP800-53-enhancement - title: High-level Design - props: - - name: label - value: SA-05(03) - - name: sort-id - value: sa-05.03 - - name: status - value: withdrawn - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.4 - class: SP800-53-enhancement - title: Low-level Design - props: - - name: label - value: SA-05(04) - - name: sort-id - value: sa-05.04 - - name: status - value: withdrawn - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.5 - class: SP800-53-enhancement - title: Source Code - props: - - name: label - value: SA-05(05) - - name: sort-id - value: sa-05.05 - - name: status - value: withdrawn - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-6 - class: SP800-53 - title: Software Usage Restrictions - props: - - name: label - value: SA-06 - - name: sort-id - value: sa-06 - - name: status - value: withdrawn - links: - - href: "#cm-10" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - id: sa-7 - class: SP800-53 - title: User-installed Software - props: - - name: label - value: SA-07 - - name: sort-id - value: sa-07 - - name: status - value: withdrawn - links: - - href: "#cm-11" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - id: sa-8 - class: SP800-53 - title: Security and Privacy Engineering Principles - params: - - id: sa-8_prm_1 - props: - - name: aggregates - value: sa-08_odp.01 - label: organization-defined systems security and privacy engineering - principles - - id: sa-08_odp.01 - props: - - name: label - value: SA-08_ODP[01] - label: systems security engineering principles - guidelines: - - prose: systems security engineering principles are defined; - - id: sa-08_odp.02 - props: - - name: label - value: SA-08_ODP[02] - label: privacy engineering principles - guidelines: - - prose: privacy engineering principles are defined; - props: - - name: label - value: SA-08 - - name: sort-id - value: sa-08 - links: - - href: "#18e71fec-c6fd-475a-925a-5d8495cf8455" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#599fb53d-5041-444e-a7fe-640d6d30ad05" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#e72fde0b-6fc2-497e-a9db-d8fce5a11b8a" - rel: reference - - href: "#9be5d661-421f-41ad-854e-86f98b811891" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#98d415ca-7281-4064-9931-0c366637e324" - rel: reference - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-20" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-8_smt - name: statement - prose: "Apply the following systems security and privacy engineering\ - \ principles in the specification, design, development, implementation,\ - \ and modification of the system and system components: {{ insert:\ - \ param, sa-8_prm_1 }}." - - id: sa-8_gdn - name: guidance - prose: >- - Systems security and privacy engineering principles are closely - related to and implemented throughout the system development - life cycle (see [SA-3](#sa-3) ). Organizations can apply systems - security and privacy engineering principles to new systems under - development or to systems undergoing upgrades. For existing - systems, organizations apply systems security and privacy - engineering principles to system upgrades and modifications to - the extent feasible, given the current state of hardware, - software, and firmware components within those systems. - - - The application of systems security and privacy engineering principles - helps organizations develop trustworthy, secure, and resilient systems - and reduces the susceptibility to disruptions, hazards, threats, and - the creation of privacy problems for individuals. Examples of system - security engineering principles include: developing layered protections; - establishing security and privacy policies, architecture, and controls - as the foundation for design and development; incorporating security - and privacy requirements into the system development life cycle; delineating - physical and logical security boundaries; ensuring that developers - are trained on how to build secure software; tailoring controls to - meet organizational needs; and performing threat modeling to identify - use cases, threat agents, attack vectors and patterns, design patterns, - and compensating controls needed to mitigate risk. - - - Organizations that apply systems security and privacy engineering - concepts and principles can facilitate the development of trustworthy, - secure systems, system components, and system services; reduce risk - to acceptable levels; and make informed risk management decisions. - System security engineering principles can also be used to protect - against certain supply chain risks, including incorporating tamper-resistant - hardware into a design. - - name: objective - props: - - name: label - value: SA-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-08[01] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.01 }} are applied in the specification\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[02] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.01 }} are applied in the design\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[03] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.01 }} are applied in the development\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[04] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.01 }} are applied in the implementation\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[05] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.01 }} are applied in the modification\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[06] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.02 }} are applied in the specification\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[07] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.02 }} are applied in the design\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[08] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.02 }} are applied in the development\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[09] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.02 }} are applied in the implementation\ - \ of the system and system components;" - - name: objective - props: - - name: label - value: SA-08[10] - class: sp800-53A - prose: "{{ insert: param, sa-08_odp.02 }} are applied in the modification\ - \ of the system and system components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - assessment and authorization procedures - - - procedures addressing security and privacy engineering principles - used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the system - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with system specification, design, development, - implementation, and modification responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying security and privacy - engineering principles in system specification, design, - development, implementation, and modification - - - automated mechanisms supporting the application of security and - privacy engineering principles in system specification, design, - development, implementation, and modification - controls: - - id: sa-8.1 - class: SP800-53-enhancement - title: Clear Abstractions - props: - - name: label - value: SA-08(01) - - name: sort-id - value: sa-08.01 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.1_smt - name: statement - prose: Implement the security design principle of clear abstractions. - - id: sa-8.1_gdn - name: guidance - prose: The principle of clear abstractions states that a system - has simple, well-defined interfaces and functions that provide - a consistent and intuitive view of the data and how the data is - managed. The clarity, simplicity, necessity, and sufficiency of - the system interfaces— combined with a precise definition of their - functional behavior—promotes ease of analysis, inspection, and - testing as well as the correct and secure use of the system. The - clarity of an abstraction is subjective. Examples that reflect - the application of this principle include avoidance of redundant, - unused interfaces; information hiding; and avoidance of semantic - overloading of interfaces or their parameters. Information hiding - (i.e., representation-independent programming), is a design discipline - used to ensure that the internal representation of information - in one system component is not visible to another system component - invoking or calling the first component, such that the published - abstraction is not influenced by how the data may be managed internally. - - name: objective - props: - - name: label - value: SA-08(01) - class: sp800-53A - prose: the security design principle of clear abstractions is implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of clear - abstractions used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of clear abstractions to system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of clear abstractions to system specification, - design, development, implementation, and modification - - id: sa-8.2 - class: SP800-53-enhancement - title: Least Common Mechanism - params: - - id: sa-8.2_prm_1 - props: - - name: aggregates - value: sa-08.02_odp - label: organization-defined systems or system components - - id: sa-08.02_odp - props: - - name: label - value: SA-08(02)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of least common mechanism are defined; - props: - - name: label - value: SA-08(02) - - name: sort-id - value: sa-08.02 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.2_smt - name: statement - prose: "Implement the security design principle of least common\ - \ mechanism in {{ insert: param, sa-8.2_prm_1 }}." - - id: sa-8.2_gdn - name: guidance - prose: The principle of least common mechanism states that the amount - of mechanism common to more than one user and depended on by all - users is minimized [POPEK74](#79453f84-26a4-4995-8257-d32d37aefea3) - . Mechanism minimization implies that different components of - a system refrain from using the same mechanism to access a system - resource. Every shared mechanism (especially a mechanism involving - shared variables) represents a potential information path between - users and is designed with care to ensure that it does not unintentionally - compromise security [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) - . Implementing the principle of least common mechanism helps to - reduce the adverse consequences of sharing the system state among - different programs. A single program that corrupts a shared state - (including shared variables) has the potential to corrupt other - programs that are dependent on the state. The principle of least - common mechanism also supports the principle of simplicity of - design and addresses the issue of covert storage channels [LAMPSON73](#d1cdab13-4218-400d-91a9-c3818dfa5ec8). - - name: objective - props: - - name: label - value: SA-08(02) - class: sp800-53A - prose: "{{ insert: param, sa-08.02_odp }} implement the security\ - \ design principle of least common mechanism." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of least - common mechanism used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of least common mechanism in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of least common mechanism in system specification, - design, development, implementation, and modification - - id: sa-8.3 - class: SP800-53-enhancement - title: Modularity and Layering - params: - - id: sa-8.3_prm_1 - props: - - name: aggregates - value: sa-08.03_odp.01 - label: organization-defined systems or system components - - id: sa-08.03_odp.01 - props: - - name: label - value: SA-08(03)_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of modularity are defined; - - id: sa-08.03_odp.02 - props: - - name: label - value: SA-08(03)_ODP[02] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of layering are defined; - props: - - name: label - value: SA-08(03) - - name: sort-id - value: sa-08.03 - links: - - href: "#sa-8" - rel: required - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sa-8.3_smt - name: statement - prose: "Implement the security design principles of modularity and\ - \ layering in {{ insert: param, sa-8.3_prm_1 }}." - - id: sa-8.3_gdn - name: guidance - prose: The principles of modularity and layering are fundamental - across system engineering disciplines. Modularity and layering - derived from functional decomposition are effective in managing - system complexity by making it possible to comprehend the structure - of the system. Modular decomposition, or refinement in system - design, is challenging and resists general statements of principle. - Modularity serves to isolate functions and related data structures - into well-defined logical units. Layering allows the relationships - of these units to be better understood so that dependencies are - clear and undesired complexity can be avoided. The security design - principle of modularity extends functional modularity to include - considerations based on trust, trustworthiness, privilege, and - security policy. Security-informed modular decomposition includes - the allocation of policies to systems in a network, separation - of system applications into processes with distinct address spaces, - allocation of system policies to layers, and separation of processes - into subjects with distinct privileges based on hardware-supported - privilege domains. - - name: objective - props: - - name: label - value: SA-08(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-08(03)[01] - class: sp800-53A - prose: "{{ insert: param, sa-08.03_odp.01 }} implement the security\ - \ design principle of modularity;" - - name: objective - props: - - name: label - value: SA-08(03)[02] - class: sp800-53A - prose: "{{ insert: param, sa-08.03_odp.02 }} implement the security\ - \ design principle of layering." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principles of modularity - and layering used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principles of modularity and layering in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principles of modularity and layering in system specification, - design, development, implementation, and modification - - - automated mechanisms supporting and/or implementing an isolation - boundary - - id: sa-8.4 - class: SP800-53-enhancement - title: Partially Ordered Dependencies - params: - - id: sa-08.04_odp - props: - - name: legacy-identifier - value: sa-8.4_prm_1 - - name: label - value: SA-08(04)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of least partially ordered dependencies are - defined; - props: - - name: label - value: SA-08(04) - - name: sort-id - value: sa-08.04 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.4_smt - name: statement - prose: "Implement the security design principle of partially ordered\ - \ dependencies in {{ insert: param, sa-08.04_odp }}." - - id: sa-8.4_gdn - name: guidance - prose: The principle of partially ordered dependencies states that - the synchronization, calling, and other dependencies in the system - are partially ordered. A fundamental concept in system design - is layering, whereby the system is organized into well-defined, - functionally related modules or components. The layers are linearly - ordered with respect to inter-layer dependencies, such that higher - layers are dependent on lower layers. While providing functionality - to higher layers, some layers can be self-contained and not dependent - on lower layers. While a partial ordering of all functions in - a given system may not be possible, if circular dependencies are - constrained to occur within layers, the inherent problems of circularity - can be more easily managed. Partially ordered dependencies and - system layering contribute significantly to the simplicity and - coherency of the system design. Partially ordered dependencies - also facilitate system testing and analysis. - - name: objective - props: - - name: label - value: SA-08(04) - class: sp800-53A - prose: "{{ insert: param, sa-08.04_odp }} implement the security\ - \ design principle of partially ordered dependencies." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of partially - ordered dependencies used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of partially ordered dependencies in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of partially ordered dependencies in system - specification, design, development, implementation, and modification - - id: sa-8.5 - class: SP800-53-enhancement - title: Efficiently Mediated Access - params: - - id: sa-08.05_odp - props: - - name: legacy-identifier - value: sa-8.5_prm_1 - - name: label - value: SA-08(05)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of efficiently mediated access are defined; - props: - - name: label - value: SA-08(05) - - name: sort-id - value: sa-08.05 - links: - - href: "#sa-8" - rel: required - - href: "#ac-25" - rel: related - parts: - - id: sa-8.5_smt - name: statement - prose: "Implement the security design principle of efficiently mediated\ - \ access in {{ insert: param, sa-08.05_odp }}." - - id: sa-8.5_gdn - name: guidance - prose: The principle of efficiently mediated access states that - policy enforcement mechanisms utilize the least common mechanism - available while satisfying stakeholder requirements within expressed - constraints. The mediation of access to system resources (i.e., - CPU, memory, devices, communication ports, services, infrastructure, - data, and information) is often the predominant security function - of secure systems. It also enables the realization of protections - for the capability provided to stakeholders by the system. Mediation - of resource access can result in performance bottlenecks if the - system is not designed correctly. For example, by using hardware - mechanisms, efficiently mediated access can be achieved. Once - access to a low-level resource such as memory has been obtained, - hardware protection mechanisms can ensure that out-of-bounds access - does not occur. - - name: objective - props: - - name: label - value: SA-08(05) - class: sp800-53A - prose: "{{ insert: param, sa-08.05_odp }} implement the security\ - \ design principle of efficiently mediated access." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of efficiently - mediated access used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition/contracting - responsibilities - - - organizational personnel with the responsibility for determining - system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of efficiently mediated access in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of efficiently mediated access in system - specification, design, development, implementation, and modification - - id: sa-8.6 - class: SP800-53-enhancement - title: Minimized Sharing - params: - - id: sa-08.06_odp - props: - - name: legacy-identifier - value: sa-8.6_prm_1 - - name: label - value: SA-08(06)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of minimized sharing are defined; - props: - - name: label - value: SA-08(06) - - name: sort-id - value: sa-08.06 - links: - - href: "#sa-8" - rel: required - - href: "#sc-31" - rel: related - parts: - - id: sa-8.6_smt - name: statement - prose: "Implement the security design principle of minimized sharing\ - \ in {{ insert: param, sa-08.06_odp }}." - - id: sa-8.6_gdn - name: guidance - prose: The principle of minimized sharing states that no computer - resource is shared between system components (e.g., subjects, - processes, functions) unless it is absolutely necessary to do - so. Minimized sharing helps to simplify system design and implementation. - In order to protect user-domain resources from arbitrary active - entities, no resource is shared unless that sharing has been explicitly - requested and granted. The need for resource sharing can be motivated - by the design principle of least common mechanism in the case - of internal entities or driven by stakeholder requirements. However, - internal sharing is carefully designed to avoid performance and - covert storage and timing channel problems. Sharing via common - mechanism can increase the susceptibility of data and information - to unauthorized access, disclosure, use, or modification and can - adversely affect the inherent capability provided by the system. - To minimize sharing induced by common mechanisms, such mechanisms - can be designed to be reentrant or virtualized to preserve separation. - Moreover, the use of global data to share information is carefully - scrutinized. The lack of encapsulation may obfuscate relationships - among the sharing entities. - - name: objective - props: - - name: label - value: SA-08(06) - class: sp800-53A - prose: "{{ insert: param, sa-08.06_odp }} implement the security\ - \ design principle of minimized sharing." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of minimized - sharing used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of minimized sharing in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of minimized sharing in system specification, - design, development, implementation, and modification - - id: sa-8.7 - class: SP800-53-enhancement - title: Reduced Complexity - params: - - id: sa-08.07_odp - props: - - name: legacy-identifier - value: sa-8.7_prm_1 - - name: label - value: SA-08(07)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of reduced complexity are defined; - props: - - name: label - value: SA-08(07) - - name: sort-id - value: sa-08.07 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.7_smt - name: statement - prose: "Implement the security design principle of reduced complexity\ - \ in {{ insert: param, sa-08.07_odp }}." - - id: sa-8.7_gdn - name: guidance - prose: The principle of reduced complexity states that the system - design is as simple and small as possible. A small and simple - design is more understandable, more analyzable, and less prone - to error. The reduced complexity principle applies to any aspect - of a system, but it has particular importance for security due - to the various analyses performed to obtain evidence about the - emergent security property of the system. For such analyses to - be successful, a small and simple design is essential. Application - of the principle of reduced complexity contributes to the ability - of system developers to understand the correctness and completeness - of system security functions. It also facilitates the identification - of potential vulnerabilities. The corollary of reduced complexity - states that the simplicity of the system is directly related to - the number of vulnerabilities it will contain; that is, simpler - systems contain fewer vulnerabilities. An benefit of reduced complexity - is that it is easier to understand whether the intended security - policy has been captured in the system design and that fewer vulnerabilities - are likely to be introduced during engineering development. An - additional benefit is that any such conclusion about correctness, - completeness, and the existence of vulnerabilities can be reached - with a higher degree of assurance in contrast to conclusions reached - in situations where the system design is inherently more complex. - Transitioning from older technologies to newer technologies (e.g., - transitioning from IPv4 to IPv6) may require implementing the - older and newer technologies simultaneously during the transition - period. This may result in a temporary increase in system complexity - during the transition. - - name: objective - props: - - name: label - value: SA-08(07) - class: sp800-53A - prose: "{{ insert: param, sa-08.07_odp }} implement the security\ - \ design principle of reduced complexity." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of reduced - complexity used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of reduced complexity in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of reduced complexity in system specification, - design, development, implementation, and modification - - id: sa-8.8 - class: SP800-53-enhancement - title: Secure Evolvability - params: - - id: sa-08.08_odp - props: - - name: legacy-identifier - value: sa-8.8_prm_1 - - name: label - value: SA-08(08)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure evolvability are defined; - props: - - name: label - value: SA-08(08) - - name: sort-id - value: sa-08.08 - links: - - href: "#sa-8" - rel: required - - href: "#cm-3" - rel: related - parts: - - id: sa-8.8_smt - name: statement - prose: "Implement the security design principle of secure evolvability\ - \ in {{ insert: param, sa-08.08_odp }}." - - id: sa-8.8_gdn - name: guidance - prose: The principle of secure evolvability states that a system - is developed to facilitate the maintenance of its security properties - when there are changes to the system’s structure, interfaces, - interconnections (i.e., system architecture), functionality, or - configuration (i.e., security policy enforcement). Changes include - a new, enhanced, or upgraded system capability; maintenance and - sustainment activities; and reconfiguration. Although it is not - possible to plan for every aspect of system evolution, system - upgrades and changes can be anticipated by analyses of mission - or business strategic direction, anticipated changes in the threat - environment, and anticipated maintenance and sustainment needs. - It is unrealistic to expect that complex systems remain secure - in contexts not envisioned during development, whether such contexts - are related to the operational environment or to usage. A system - may be secure in some new contexts, but there is no guarantee - that its emergent behavior will always be secure. It is easier - to build trustworthiness into a system from the outset, and it - follows that the sustainment of system trustworthiness requires - planning for change as opposed to adapting in an ad hoc or non-methodical - manner. The benefits of this principle include reduced vendor - life cycle costs, reduced cost of ownership, improved system security, - more effective management of security risk, and less risk uncertainty. - - name: objective - props: - - name: label - value: SA-08(08) - class: sp800-53A - prose: "{{ insert: param, sa-08.08_odp }} implement the security\ - \ design principle of secure evolvability." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of secure - evolvability used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of secure evolvability in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of secure evolvability in system specification, - design, development, implementation, and modification - - id: sa-8.9 - class: SP800-53-enhancement - title: Trusted Components - params: - - id: sa-08.09_odp - props: - - name: legacy-identifier - value: sa-8.9_prm_1 - - name: label - value: SA-08(09)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of trusted components are defined; - props: - - name: label - value: SA-08(09) - - name: sort-id - value: sa-08.09 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.9_smt - name: statement - prose: "Implement the security design principle of trusted components\ - \ in {{ insert: param, sa-08.09_odp }}." - - id: sa-8.9_gdn - name: guidance - prose: >- - The principle of trusted components states that a component - is trustworthy to at least a level commensurate with the - security dependencies it supports (i.e., how much it is - trusted to perform its security functions by other - components). This principle enables the composition of - components such that trustworthiness is not inadvertently - diminished and the trust is not consequently misplaced. - Ultimately, this principle demands some metric by which the - trust in a component and the trustworthiness of a component - can be measured on the same abstract scale. The principle of - trusted components is particularly relevant when considering - systems and components in which there are complex chains of - trust dependencies. A trust dependency is also referred to - as a trust relationship and there may be chains of trust - relationships. - - - The principle of trusted components also applies to a compound - component that consists of subcomponents (e.g., a subsystem), - which may have varying levels of trustworthiness. The conservative - assumption is that the trustworthiness of a compound component - is that of its least trustworthy subcomponent. It may be possible - to provide a security engineering rationale that the trustworthiness - of a particular compound component is greater than the conservative - assumption. However, any such rationale reflects logical reasoning - based on a clear statement of the trustworthiness objectives as - well as relevant and credible evidence. The trustworthiness of - a compound component is not the same as increased application - of defense-in-depth layering within the component or a replication - of components. Defense-in-depth techniques do not increase the - trustworthiness of the whole above that of the least trustworthy - component. - - name: objective - props: - - name: label - value: SA-08(09) - class: sp800-53A - prose: "{{ insert: param, sa-08.09_odp }} implement the security\ - \ design principle of trusted components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing the security design principle of trusted - components used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security, supply chain risk management, and privacy requirements - and specifications for the system - - - system security and privacy architecture - - - procedures for determining component assurance - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of trusted components in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of trusted components in system specification, - design, development, implementation, and modification - - id: sa-8.10 - class: SP800-53-enhancement - title: Hierarchical Trust - params: - - id: sa-08.10_odp - props: - - name: legacy-identifier - value: sa-8.10_prm_1 - - name: label - value: SA-08(10)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of hierarchical trust are defined; - props: - - name: label - value: SA-08(10) - - name: sort-id - value: sa-08.10 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.10_smt - name: statement - prose: "Implement the security design principle of hierarchical\ - \ trust in {{ insert: param, sa-08.10_odp }}." - - id: sa-8.10_gdn - name: guidance - prose: The principle of hierarchical trust for components builds - on the principle of trusted components and states that the security - dependencies in a system will form a partial ordering if they - preserve the principle of trusted components. The partial ordering - provides the basis for trustworthiness reasoning or an assurance - case (assurance argument) when composing a secure system from - heterogeneously trustworthy components. To analyze a system composed - of heterogeneously trustworthy components for its trustworthiness, - it is essential to eliminate circular dependencies with regard - to the trustworthiness. If a more trustworthy component located - in a lower layer of the system were to depend on a less trustworthy - component in a higher layer, this would, in effect, put the components - in the same "less trustworthy" equivalence class per the principle - of trusted components. Trust relationships, or chains of trust, - can have various manifestations. For example, the root certificate - of a certificate hierarchy is the most trusted node in the hierarchy, - whereas the leaves in the hierarchy may be the least trustworthy - nodes. Another example occurs in a layered high-assurance system - where the security kernel (including the hardware base), which - is located at the lowest layer of the system, is the most trustworthy - component. The principle of hierarchical trust, however, does - not prohibit the use of overly trustworthy components. There may - be cases in a system of low trustworthiness where it is reasonable - to employ a highly trustworthy component rather than one that - is less trustworthy (e.g., due to availability or other cost-benefit - driver). For such a case, any dependency of the highly trustworthy - component upon a less trustworthy component does not degrade the - trustworthiness of the resulting low-trust system. - - name: objective - props: - - name: label - value: SA-08(10) - class: sp800-53A - prose: "{{ insert: param, sa-08.10_odp }} implement the security\ - \ design principle of hierarchical trust." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of hierarchical - trust used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of hierarchical trust in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of hierarchical trust in system specification, - design, development, implementation, and modification - - id: sa-8.11 - class: SP800-53-enhancement - title: Inverse Modification Threshold - params: - - id: sa-08.11_odp - props: - - name: legacy-identifier - value: sa-8.11_prm_1 - - name: label - value: SA-08(11)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of inverse modification threshold are defined; - props: - - name: label - value: SA-08(11) - - name: sort-id - value: sa-08.11 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.11_smt - name: statement - prose: "Implement the security design principle of inverse modification\ - \ threshold in {{ insert: param, sa-08.11_odp }}." - - id: sa-8.11_gdn - name: guidance - prose: The principle of inverse modification threshold builds on - the principle of trusted components and the principle of hierarchical - trust and states that the degree of protection provided to a component - is commensurate with its trustworthiness. As the trust placed - in a component increases, the protection against unauthorized - modification of the component also increases to the same degree. - Protection from unauthorized modification can come in the form - of the component’s own self-protection and innate trustworthiness, - or it can come from the protections afforded to the component - from other elements or attributes of the security architecture - (to include protections in the environment of operation). - - name: objective - props: - - name: label - value: SA-08(11) - class: sp800-53A - prose: "{{ insert: param, sa-08.11_odp }} implement the security\ - \ design principle of inverse modification threshold." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of inverse - modification threshold used in the specification, design, - development, implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(11)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of inverse modification threshold in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of inverse modification threshold in system - specification, design, development, implementation, and modification - - id: sa-8.12 - class: SP800-53-enhancement - title: Hierarchical Protection - params: - - id: sa-08.12_odp - props: - - name: legacy-identifier - value: sa-8.12_prm_1 - - name: label - value: SA-08(12)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of hierarchical protection are defined; - props: - - name: label - value: SA-08(12) - - name: sort-id - value: sa-08.12 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.12_smt - name: statement - prose: "Implement the security design principle of hierarchical\ - \ protection in {{ insert: param, sa-08.12_odp }}." - - id: sa-8.12_gdn - name: guidance - prose: The principle of hierarchical protection states that a component - need not be protected from more trustworthy components. In the - degenerate case of the most trusted component, it protects itself - from all other components. For example, if an operating system - kernel is deemed the most trustworthy component in a system, then - it protects itself from all untrusted applications it supports, - but the applications, conversely, do not need to protect themselves - from the kernel. The trustworthiness of users is a consideration - for applying the principle of hierarchical protection. A trusted - system need not protect itself from an equally trustworthy user, - reflecting use of untrusted systems in "system high" environments - where users are highly trustworthy and where other protections - are put in place to bound and protect the "system high" execution - environment. - - name: objective - props: - - name: label - value: SA-08(12) - class: sp800-53A - prose: "{{ insert: param, sa-08.12_odp }} implement the security\ - \ design principle of hierarchical protection." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of hierarchical - protection used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of hierarchical protection in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of hierarchical protection in system specification, - design, development, implementation, and modification - - id: sa-8.13 - class: SP800-53-enhancement - title: Minimized Security Elements - params: - - id: sa-08.13_odp - props: - - name: legacy-identifier - value: sa-8.13_prm_1 - - name: label - value: SA-08(13)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of minimized security elements are defined; - props: - - name: label - value: SA-08(13) - - name: sort-id - value: sa-08.13 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.13_smt - name: statement - prose: "Implement the security design principle of minimized security\ - \ elements in {{ insert: param, sa-08.13_odp }}." - - id: sa-8.13_gdn - name: guidance - prose: "The principle of minimized security elements states that\ - \ the system does not have extraneous trusted components. The\ - \ principle of minimized security elements has two aspects: the\ - \ overall cost of security analysis and the complexity of security\ - \ analysis. Trusted components are generally costlier to construct\ - \ and implement, owing to the increased rigor of development processes.\ - \ Trusted components require greater security analysis to qualify\ - \ their trustworthiness. Thus, to reduce the cost and decrease\ - \ the complexity of the security analysis, a system contains as\ - \ few trustworthy components as possible. The analysis of the\ - \ interaction of trusted components with other components of the\ - \ system is one of the most important aspects of system security\ - \ verification. If the interactions between components are unnecessarily\ - \ complex, the security of the system will also be more difficult\ - \ to ascertain than one whose internal trust relationships are\ - \ simple and elegantly constructed. In general, fewer trusted\ - \ components result in fewer internal trust relationships and\ - \ a simpler system." - - name: objective - props: - - name: label - value: SA-08(13) - class: sp800-53A - prose: "{{ insert: param, sa-08.13_odp }} implement the security\ - \ design principle of minimized security elements." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of minimized - security elements used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(13)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of minimized security elements in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of minimized security elements in system - specification, design, development, implementation, and modification - - id: sa-8.14 - class: SP800-53-enhancement - title: Least Privilege - params: - - id: sa-08.14_odp - props: - - name: legacy-identifier - value: sa-8.14_prm_1 - - name: label - value: SA-08(14)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of least privilege are defined; - props: - - name: label - value: SA-08(14) - - name: sort-id - value: sa-08.14 - links: - - href: "#sa-8" - rel: required - - href: "#ac-6" - rel: related - - href: "#cm-7" - rel: related - parts: - - id: sa-8.14_smt - name: statement - prose: "Implement the security design principle of least privilege\ - \ in {{ insert: param, sa-08.14_odp }}." - - id: sa-8.14_gdn - name: guidance - prose: >- - The principle of least privilege states that each system - component is allocated sufficient privileges to accomplish - its specified functions but no more. Applying the principle - of least privilege limits the scope of the component’s - actions, which has two desirable effects: the security - impact of a failure, corruption, or misuse of the component - will have a minimized security impact, and the security - analysis of the component will be simplified. Least - privilege is a pervasive principle that is reflected in all - aspects of the secure system design. Interfaces used to - invoke component capability are available to only certain - subsets of the user population, and component design - supports a sufficiently fine granularity of privilege - decomposition. For example, in the case of an audit - mechanism, there may be an interface for the audit manager, - who configures the audit settings; an interface for the - audit operator, who ensures that audit data is safely - collected and stored; and, finally, yet another interface - for the audit reviewer, who only has need to view the audit - data that has been collected but no need to perform - operations on that data. - - - In addition to its manifestations at the system interface, least - privilege can be used as a guiding principle for the internal - structure of the system itself. One aspect of internal least privilege - is to construct modules so that only the elements encapsulated - by the module are directly operated on by the functions within - the module. Elements external to a module that may be affected - by the module’s operation are indirectly accessed through interaction - (e.g., via a function call) with the module that contains those - elements. Another aspect of internal least privilege is that the - scope of a given module or component includes only those system - elements that are necessary for its functionality and that the - access modes for the elements (e.g., read, write) are minimal. - - name: objective - props: - - name: label - value: SA-08(14) - class: sp800-53A - prose: "{{ insert: param, sa-08.14_odp }} implement the security\ - \ design principle of least privilege." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of least - privilege used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of least privilege in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of least privilege in system specification, - design, development, implementation, and modification - - id: sa-8.15 - class: SP800-53-enhancement - title: Predicate Permission - params: - - id: sa-08.15_odp - props: - - name: legacy-identifier - value: sa-8.15_prm_1 - - name: label - value: SA-08(15)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of predicate permission are defined; - props: - - name: label - value: SA-08(15) - - name: sort-id - value: sa-08.15 - links: - - href: "#sa-8" - rel: required - - href: "#ac-5" - rel: related - parts: - - id: sa-8.15_smt - name: statement - prose: "Implement the security design principle of predicate permission\ - \ in {{ insert: param, sa-08.15_odp }}." - - id: sa-8.15_gdn - name: guidance - prose: The principle of predicate permission states that system - designers consider requiring multiple authorized entities to provide - consent before a highly critical operation or access to highly - sensitive data, information, or resources is allowed to proceed. - [SALTZER75](#c9495d6e-ef64-4090-8509-e58c3b9009ff) originally - named predicate permission the separation of privilege. It is - also equivalent to separation of duty. The division of privilege - among multiple parties decreases the likelihood of abuse and provides - the safeguard that no single accident, deception, or breach of - trust is sufficient to enable an unrecoverable action that can - lead to significantly damaging effects. The design options for - such a mechanism may require simultaneous action (e.g., the firing - of a nuclear weapon requires two different authorized individuals - to give the correct command within a small time window) or a sequence - of operations where each successive action is enabled by some - prior action, but no single individual is able to enable more - than one action. - - name: objective - props: - - name: label - value: SA-08(15) - class: sp800-53A - prose: "{{ insert: param, sa-08.15_odp }} implement the security\ - \ design principle of predicate permission." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of predicate - permission used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(15)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of predicate permission in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of predicate permission in system specification, - design, development, implementation, and modification - - id: sa-8.16 - class: SP800-53-enhancement - title: Self-reliant Trustworthiness - params: - - id: sa-08.16_odp - props: - - name: legacy-identifier - value: sa-8.16_prm_1 - - name: label - value: SA-08(16)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of self-reliant trustworthiness are defined; - props: - - name: label - value: SA-08(16) - - name: sort-id - value: sa-08.16 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.16_smt - name: statement - prose: "Implement the security design principle of self-reliant\ - \ trustworthiness in {{ insert: param, sa-08.16_odp }}." - - id: sa-8.16_gdn - name: guidance - prose: The principle of self-reliant trustworthiness states that - systems minimize their reliance on other systems for their own - trustworthiness. A system is trustworthy by default, and any connection - to an external entity is used to supplement its function. If a - system were required to maintain a connection with another external - entity in order to maintain its trustworthiness, then that system - would be vulnerable to malicious and non-malicious threats that - could result in the loss or degradation of that connection. The - benefit of the principle of self-reliant trustworthiness is that - the isolation of a system will make it less vulnerable to attack. - A corollary to this principle relates to the ability of the system - (or system component) to operate in isolation and then resynchronize - with other components when it is rejoined with them. - - name: objective - props: - - name: label - value: SA-08(16) - class: sp800-53A - prose: "{{ insert: param, sa-08.16_odp }} implement the security\ - \ design principle of self-reliant trustworthiness." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(16)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of self-reliant - trustworthiness used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(16)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(16)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of self-reliant trustworthiness in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of self-reliant trustworthiness in system - specification, design, development, implementation, and modification - - id: sa-8.17 - class: SP800-53-enhancement - title: Secure Distributed Composition - params: - - id: sa-08.17_odp - props: - - name: legacy-identifier - value: sa-8.17_prm_1 - - name: label - value: SA-08(17)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure distributed composition are defined; - props: - - name: label - value: SA-08(17) - - name: sort-id - value: sa-08.17 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.17_smt - name: statement - prose: "Implement the security design principle of secure distributed\ - \ composition in {{ insert: param, sa-08.17_odp }}." - - id: sa-8.17_gdn - name: guidance - prose: The principle of secure distributed composition states that - the composition of distributed components that enforce the same - system security policy result in a system that enforces that policy - at least as well as the individual components do. Many of the - design principles for secure systems deal with how components - can or should interact. The need to create or enable a capability - from the composition of distributed components can magnify the - relevancy of these principles. In particular, the translation - of security policy from a stand-alone to a distributed system - or a system-of-systems can have unexpected or emergent results. - Communication protocols and distributed data consistency mechanisms - help to ensure consistent policy enforcement across a distributed - system. To ensure a system-wide level of assurance of correct - policy enforcement, the security architecture of a distributed - composite system is thoroughly analyzed. - - name: objective - props: - - name: label - value: SA-08(17) - class: sp800-53A - prose: "{{ insert: param, sa-08.17_odp }} implement the security\ - \ design principle of secure distributed composition." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of secure - distributed composition used in the specification, design, - development, implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(17)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of secure distributed composition in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of secure distributed composition in system - specification, design, development, implementation, and modification - - id: sa-8.18 - class: SP800-53-enhancement - title: Trusted Communications Channels - params: - - id: sa-08.18_odp - props: - - name: legacy-identifier - value: sa-8.18_prm_1 - - name: label - value: SA-08(18)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of trusted communications channels are defined; - props: - - name: label - value: SA-08(18) - - name: sort-id - value: sa-08.18 - links: - - href: "#sa-8" - rel: required - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-8.18_smt - name: statement - prose: "Implement the security design principle of trusted communications\ - \ channels in {{ insert: param, sa-08.18_odp }}." - - id: sa-8.18_gdn - name: guidance - prose: The principle of trusted communication channels states that - when composing a system where there is a potential threat to communications - between components (i.e., the interconnections between components), - each communication channel is trustworthy to a level commensurate - with the security dependencies it supports (i.e., how much it - is trusted by other components to perform its security functions). - Trusted communication channels are achieved by a combination of - restricting access to the communication channel (to ensure an - acceptable match in the trustworthiness of the endpoints involved - in the communication) and employing end-to-end protections for - the data transmitted over the communication channel (to protect - against interception and modification and to further increase - the assurance of proper end-to-end communication). - - name: objective - props: - - name: label - value: SA-08(18) - class: sp800-53A - prose: "{{ insert: param, sa-08.18_odp }} implement the security\ - \ design principle of trusted communications channels." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(18)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of trusted - communications channels used in the specification, design, - development, implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(18)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(18)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of trusted communications channels in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of trusted communications channels in system - specification, design, development, implementation, and modification - - id: sa-8.19 - class: SP800-53-enhancement - title: Continuous Protection - params: - - id: sa-08.19_odp - props: - - name: legacy-identifier - value: sa-8.19_prm_1 - - name: label - value: SA-08(19)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of continuous protection are defined; - props: - - name: label - value: SA-08(19) - - name: sort-id - value: sa-08.19 - links: - - href: "#sa-8" - rel: required - - href: "#ac-25" - rel: related - parts: - - id: sa-8.19_smt - name: statement - prose: "Implement the security design principle of continuous protection\ - \ in {{ insert: param, sa-08.19_odp }}." - - id: sa-8.19_gdn - name: guidance - prose: >- - The principle of continuous protection states that - components and data used to enforce the security policy have - uninterrupted protection that is consistent with the - security policy and the security architecture assumptions. - No assurances that the system can provide the - confidentiality, integrity, availability, and privacy - protections for its design capability can be made if there - are gaps in the protection. Any assurances about the ability - to secure a delivered capability require that data and - information are continuously protected. That is, there are - no periods during which data and information are left - unprotected while under control of the system (i.e., during - the creation, storage, processing, or communication of the - data and information, as well as during system - initialization, execution, failure, interruption, and - shutdown). Continuous protection requires adherence to the - precepts of the reference monitor concept (i.e., every - request is validated by the reference monitor; the reference - monitor is able to protect itself from tampering; and - sufficient assurance of the correctness and completeness of - the mechanism can be ascertained from analysis and testing) - and the principle of secure failure and recovery (i.e., - preservation of a secure state during error, fault, failure, - and successful attack; preservation of a secure state during - recovery to normal, degraded, or alternative operational - modes). - - - Continuous protection also applies to systems designed to operate - in varying configurations, including those that deliver full operational - capability and degraded-mode configurations that deliver partial - operational capability. The continuous protection principle requires - that changes to the system security policies be traceable to the - operational need that drives the configuration and be verifiable - (i.e., it is possible to verify that the proposed changes will - not put the system into an insecure state). Insufficient traceability - and verification may lead to inconsistent states or protection - discontinuities due to the complex or undecidable nature of the - problem. The use of pre-verified configuration definitions that - reflect the new security policy enables analysis to determine - that a transition from old to new policies is essentially atomic - and that any residual effects from the old policy are guaranteed - to not conflict with the new policy. The ability to demonstrate - continuous protection is rooted in the clear articulation of life - cycle protection needs as stakeholder security requirements. - - name: objective - props: - - name: label - value: SA-08(19) - class: sp800-53A - prose: "{{ insert: param, sa-08.19_odp }} implement the security\ - \ design principle of continuous protection." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(19)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - access control policy - - - system and communications protection policy - - - procedures addressing boundary protection - - - procedures addressing the security design principle of continuous - protection used in the specification, design, development, - implementation, and modification of the system - - - system configuration settings and associated documentation - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(19)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - organizational personnel with access enforcement responsibilities - - - system/network administrators - - - system developers - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(19)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of continuous protection in system - specification, design, development, implementation, and - modification - - - automated mechanisms implementing access enforcement functions - - - automated mechanisms supporting the application of the security - design principle of continuous protection in system specification, - design, development, implementation, and modification - - - automated mechanisms supporting and/or implementing secure - failure - - id: sa-8.20 - class: SP800-53-enhancement - title: Secure Metadata Management - params: - - id: sa-08.20_odp - props: - - name: legacy-identifier - value: sa-8.20_prm_1 - - name: label - value: SA-08(20)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure metadata management are defined; - props: - - name: label - value: SA-08(20) - - name: sort-id - value: sa-08.20 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.20_smt - name: statement - prose: "Implement the security design principle of secure metadata\ - \ management in {{ insert: param, sa-08.20_odp }}." - - id: sa-8.20_gdn - name: guidance - prose: >- - The principle of secure metadata management states that - metadata are "first class" objects with respect to security - policy when the policy requires either complete protection - of information or that the security subsystem be - self-protecting. The principle of secure metadata management - is driven by the recognition that a system, subsystem, or - component cannot achieve self-protection unless it protects - the data it relies on for correct execution. Data is - generally not interpreted by the system that stores it. It - may have semantic value (i.e., it comprises information) to - users and programs that process the data. In contrast, - metadata is information about data, such as a file name or - the date when the file was created. Metadata is bound to the - target data that it describes in a way that the system can - interpret, but it need not be stored inside of or proximate - to its target data. There may be metadata whose target is - itself metadata (e.g., the classification level or impact - level of a file name), including self-referential metadata. - - - The apparent secondary nature of metadata can lead to neglect - of its legitimate need for protection, resulting in a violation - of the security policy that includes the exfiltration of information. - A particular concern associated with insufficient protections - for metadata is associated with multilevel secure (MLS) systems. - MLS systems mediate access by a subject to an object based on - relative sensitivity levels. It follows that all subjects and - objects in the scope of control of the MLS system are either directly - labeled or indirectly attributed with sensitivity levels. The - corollary of labeled metadata for MLS systems states that objects - containing metadata are labeled. As with protection needs assessments - for data, attention is given to ensure that the confidentiality - and integrity protections are individually assessed, specified, - and allocated to metadata, as would be done for mission, business, - and system data. - - name: objective - props: - - name: label - value: SA-08(20) - class: sp800-53A - prose: "{{ insert: param, sa-08.20_odp }} implement the security\ - \ design principle of secure metadata management." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(20)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of metadata - management used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(20)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(20)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of metadata management in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of metadata management in system specification, - design, development, implementation, and modification - - id: sa-8.21 - class: SP800-53-enhancement - title: Self-analysis - params: - - id: sa-08.21_odp - props: - - name: legacy-identifier - value: sa-8.21_prm_1 - - name: label - value: SA-08(21)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of self-analysis are defined; - props: - - name: label - value: SA-08(21) - - name: sort-id - value: sa-08.21 - links: - - href: "#sa-8" - rel: required - - href: "#ca-7" - rel: related - parts: - - id: sa-8.21_smt - name: statement - prose: "Implement the security design principle of self-analysis\ - \ in {{ insert: param, sa-08.21_odp }}." - - id: sa-8.21_gdn - name: guidance - prose: The principle of self-analysis states that a system component - is able to assess its internal state and functionality to a limited - extent at various stages of execution, and that this self-analysis - capability is commensurate with the level of trustworthiness invested - in the system. At the system level, self-analysis can be achieved - through hierarchical assessments of trustworthiness established - in a bottom-up fashion. In this approach, the lower-level components - check for data integrity and correct functionality (to a limited - extent) of higher-level components. For example, trusted boot - sequences involve a trusted lower-level component that attests - to the trustworthiness of the next higher-level components so - that a transitive chain of trust can be established. At the root, - a component attests to itself, which usually involves an axiomatic - or environmentally enforced assumption about its integrity. Results - of the self-analyses can be used to guard against externally induced - errors, internal malfunction, or transient errors. By following - this principle, some simple malfunctions or errors can be detected - without allowing the effects of the error or malfunction to propagate - outside of the component. Further, the self-test can be used to - attest to the configuration of the component, detecting any potential - conflicts in configuration with respect to the expected configuration. - - name: objective - props: - - name: label - value: SA-08(21) - class: sp800-53A - prose: "{{ insert: param, sa-08.21_odp }} implement the security\ - \ design principle of self-analysis." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(21)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of self-analysis - used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(21)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(21)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of self-analysis in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of self-analysis in system specification, - design, development, implementation, and modification - - id: sa-8.22 - class: SP800-53-enhancement - title: Accountability and Traceability - params: - - id: sa-8.22_prm_1 - props: - - name: aggregates - value: sa-08.22_odp.01 - label: organization-defined systems or system components - - id: sa-08.22_odp.01 - props: - - name: label - value: SA-08(22)_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of accountability are defined; - - id: sa-08.22_odp.02 - props: - - name: label - value: SA-08(22)_ODP[02] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of traceability are defined; - props: - - name: label - value: SA-08(22) - - name: sort-id - value: sa-08.22 - links: - - href: "#sa-8" - rel: required - - href: "#ac-6" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#ia-2" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: sa-8.22_smt - name: statement - prose: "Implement the security design principle of accountability\ - \ and traceability in {{ insert: param, sa-8.22_prm_1 }}." - - id: sa-8.22_gdn - name: guidance - prose: The principle of accountability and traceability states that - it is possible to trace security-relevant actions (i.e., subject-object - interactions) to the entity on whose behalf the action is being - taken. The principle of accountability and traceability requires - a trustworthy infrastructure that can record details about actions - that affect system security (e.g., an audit subsystem). To record - the details about actions, the system is able to uniquely identify - the entity on whose behalf the action is being carried out and - also record the relevant sequence of actions that are carried - out. The accountability policy also requires that audit trail - itself be protected from unauthorized access and modification. - The principle of least privilege assists in tracing the actions - to particular entities, as it increases the granularity of accountability. - Associating specific actions with system entities, and ultimately - with users, and making the audit trail secure against unauthorized - access and modifications provide non-repudiation because once - an action is recorded, it is not possible to change the audit - trail. Another important function that accountability and traceability - serves is in the routine and forensic analysis of events associated - with the violation of security policy. Analysis of audit logs - may provide additional information that may be helpful in determining - the path or component that allowed the violation of the security - policy and the actions of individuals associated with the violation - of the security policy. - - name: objective - props: - - name: label - value: SA-08(22) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-08(22)[01] - class: sp800-53A - prose: "{{ insert: param, sa-08.22_odp.01 }} implement the security\ - \ design principle of accountability;" - - name: objective - props: - - name: label - value: SA-08(22)[02] - class: sp800-53A - prose: "{{ insert: param, sa-08.22_odp.02 }} implement the security\ - \ design principle of traceability." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(22)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - audit and accountability policy - - - access control policy - - - procedures addressing least privilege - - - procedures addressing auditable events - - - identification and authentication policy - - - procedures addressing user identification and authentication - - - procedures addressing the security design principle of accountability - and traceability used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - system audit records - - - system auditable events - - - system configuration settings and associated documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(22)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with audit and accountability responsibilities - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(22)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of accountability and traceability in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of accountability and traceability in system - specification, design, development, implementation, and modification - - - automated mechanisms implementing information system auditing - - - automated mechanisms implementing least privilege functions - - id: sa-8.23 - class: SP800-53-enhancement - title: Secure Defaults - params: - - id: sa-08.23_odp - props: - - name: legacy-identifier - value: sa-8.23_prm_1 - - name: label - value: SA-08(23)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure defaults are defined; - props: - - name: label - value: SA-08(23) - - name: sort-id - value: sa-08.23 - links: - - href: "#sa-8" - rel: required - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#sa-4" - rel: related - parts: - - id: sa-8.23_smt - name: statement - prose: "Implement the security design principle of secure defaults\ - \ in {{ insert: param, sa-08.23_odp }}." - - id: sa-8.23_gdn - name: guidance - prose: >- - The principle of secure defaults states that the default - configuration of a system (including its constituent - subsystems, components, and mechanisms) reflects a - restrictive and conservative enforcement of security policy. - The principle of secure defaults applies to the initial - (i.e., default) configuration of a system as well as to the - security engineering and design of access control and other - security functions that follow a "deny unless explicitly - authorized" strategy. The initial configuration aspect of - this principle requires that any "as shipped" configuration - of a system, subsystem, or system component does not aid in - the violation of the security policy and can prevent the - system from operating in the default configuration for those - cases where the security policy itself requires - configuration by the operational user. - - - Restrictive defaults mean that the system will operate "as-shipped" - with adequate self-protection and be able to prevent security - breaches before the intended security policy and system configuration - is established. In cases where the protection provided by the - "as-shipped" product is inadequate, stakeholders assess the risk - of using it prior to establishing a secure initial state. Adherence - to the principle of secure defaults guarantees that a system is - established in a secure state upon successfully completing initialization. - In situations where the system fails to complete initialization, - either it will perform a requested operation using secure defaults - or it will not perform the operation. Refer to the principles - of continuous protection and secure failure and recovery that - parallel this principle to provide the ability to detect and recover - from failure. - - - The security engineering approach to this principle states that - security mechanisms deny requests unless the request is found - to be well-formed and consistent with the security policy. The - insecure alternative is to allow a request unless it is shown - to be inconsistent with the policy. In a large system, the conditions - that are satisfied to grant a request that is denied by default - are often far more compact and complete than those that would - need to be checked in order to deny a request that is granted - by default. - - name: objective - props: - - name: label - value: SA-08(23) - class: sp800-53A - prose: "{{ insert: param, sa-08.23_odp }} implement the security\ - \ design principle of secure defaults." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(23)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - configuration management policy - - - procedures addressing the security design principle of secure - defaults used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - procedures addressing the baseline configuration of the system - - - configuration management plan - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - procedures addressing system documentation - - - system documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(23)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(23)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of secure defaults in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of secure defaults in system specification, - design, development, implementation, and modification - - - organizational processes for managing baseline configurations - - - automated mechanisms supporting configuration control of the - baseline configuration - - id: sa-8.24 - class: SP800-53-enhancement - title: Secure Failure and Recovery - params: - - id: sa-8.24_prm_1 - props: - - name: aggregates - value: sa-08.24_odp.01 - label: organization-defined systems or system components - - id: sa-08.24_odp.01 - props: - - name: label - value: SA-08(24)_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure failure are defined; - - id: sa-08.24_odp.02 - props: - - name: label - value: SA-08(24)_ODP[02] - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure recovery are defined; - props: - - name: label - value: SA-08(24) - - name: sort-id - value: sa-08.24 - links: - - href: "#sa-8" - rel: required - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: sa-8.24_smt - name: statement - prose: "Implement the security design principle of secure failure\ - \ and recovery in {{ insert: param, sa-8.24_prm_1 }}." - - id: sa-8.24_gdn - name: guidance - prose: >- - The principle of secure failure and recovery states that - neither a failure in a system function or mechanism nor any - recovery action in response to failure leads to a violation - of security policy. The principle of secure failure and - recovery parallels the principle of continuous protection to - ensure that a system is capable of detecting (within limits) - actual and impending failure at any stage of its operation - (i.e., initialization, normal operation, shutdown, and - maintenance) and to take appropriate steps to ensure that - security policies are not violated. In addition, when - specified, the system is capable of recovering from - impending or actual failure to resume normal, degraded, or - alternative secure operations while ensuring that a secure - state is maintained such that security policies are not - violated. - - - Failure is a condition in which the behavior of a component deviates - from its specified or expected behavior for an explicitly documented - input. Once a failed security function is detected, the system - may reconfigure itself to circumvent the failed component while - maintaining security and provide all or part of the functionality - of the original system, or it may completely shut itself down - to prevent any further violation of security policies. For this - to occur, the reconfiguration functions of the system are designed - to ensure continuous enforcement of security policy during the - various phases of reconfiguration. - - - Another technique that can be used to recover from failures is - to perform a rollback to a secure state (which may be the initial - state) and then either shutdown or replace the service or component - that failed such that secure operations may resume. Failure of - a component may or may not be detectable to the components using - it. The principle of secure failure indicates that components - fail in a state that denies rather than grants access. For example, - a nominally "atomic" operation interrupted before completion does - not violate security policy and is designed to handle interruption - events by employing higher-level atomicity and rollback mechanisms - (e.g., transactions). If a service is being used, its atomicity - properties are well-documented and characterized so that the component - availing itself of that service can detect and handle interruption - events appropriately. For example, a system is designed to gracefully - respond to disconnection and support resynchronization and data - consistency after disconnection. - - - Failure protection strategies that employ replication of policy - enforcement mechanisms, sometimes called defense in depth, can - allow the system to continue in a secure state even when one mechanism - has failed to protect the system. If the mechanisms are similar, - however, the additional protection may be illusory, as the adversary - can simply attack in series. Similarly, in a networked system, - breaking the security on one system or service may enable an attacker - to do the same on other similar replicated systems and services. - By employing multiple protection mechanisms whose features are - significantly different, the possibility of attack replication - or repetition can be reduced. Analyses are conducted to weigh - the costs and benefits of such redundancy techniques against increased - resource usage and adverse effects on the overall system performance. - Additional analyses are conducted as the complexity of these mechanisms - increases, as could be the case for dynamic behaviors. Increased - complexity generally reduces trustworthiness. When a resource - cannot be continuously protected, it is critical to detect and - repair any security breaches before the resource is once again - used in a secure context. - - name: objective - props: - - name: label - value: SA-08(24) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-08(24)[01] - class: sp800-53A - prose: "{{ insert: param, sa-08.24_odp.01 }} implement the security\ - \ design principle of secure failure;" - - name: objective - props: - - name: label - value: SA-08(24)[02] - class: sp800-53A - prose: "{{ insert: param, sa-08.24_odp.02 }} implement the security\ - \ design principle of secure recovery." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(24)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and communications protection policy - - - contingency planning policy - - - procedures addressing information system recovery and reconstitution - - - procedures addressing the security design principle of secure - failure and recovery used in the specification, design, development, - implementation, and modification of the system - - - contingency plan - - - procedures addressing system backup - - - contingency plan test documentation - - - contingency plan test results - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(24)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - organizational personnel with contingency plan testing responsibilities - - - organizational personnel with system recovery and reconstitution - responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - - organizational personnel with information system backup responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(24)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of secure failure and recovery in - system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of secure failure and recovery in system - specification, design, development, implementation, and modification - - - automated mechanisms supporting and/or implementing secure - failure - - - organizational processes for contingency plan testing - - - automated mechanisms supporting contingency plan testing - - - automated mechanisms supporting recovery and reconstitution - of the system - - - organizational processes for conducting system backups - - - automated mechanisms supporting and/or implementing system - backups - - id: sa-8.25 - class: SP800-53-enhancement - title: Economic Security - params: - - id: sa-08.25_odp - props: - - name: legacy-identifier - value: sa-8.25_prm_1 - - name: label - value: SA-08(25)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of economic security are defined; - props: - - name: label - value: SA-08(25) - - name: sort-id - value: sa-08.25 - links: - - href: "#sa-8" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: sa-8.25_smt - name: statement - prose: "Implement the security design principle of economic security\ - \ in {{ insert: param, sa-08.25_odp }}." - - id: sa-8.25_gdn - name: guidance - prose: The principle of economic security states that security mechanisms - are not costlier than the potential damage that could occur from - a security breach. This is the security-relevant form of the cost-benefit - analyses used in risk management. The cost assumptions of cost-benefit - analysis prevent the system designer from incorporating security - mechanisms of greater strength than necessary, where strength - of mechanism is proportional to cost. The principle of economic - security also requires analysis of the benefits of assurance relative - to the cost of that assurance in terms of the effort expended - to obtain relevant and credible evidence as well as the necessary - analyses to assess and draw trustworthiness and risk conclusions - from the evidence. - - name: objective - props: - - name: label - value: SA-08(25) - class: sp800-53A - prose: "{{ insert: param, sa-08.25_odp }} implement the security\ - \ design principle of economic security." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(25)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of economic - security used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - cost-benefit analysis - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(25)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(25)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of economic security in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of economic security in system specification, - design, development, implementation, and modification - - id: sa-8.26 - class: SP800-53-enhancement - title: Performance Security - params: - - id: sa-08.26_odp - props: - - name: legacy-identifier - value: sa-8.26_prm_1 - - name: label - value: SA-08(26)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of performance security are defined; - props: - - name: label - value: SA-08(26) - - name: sort-id - value: sa-08.26 - links: - - href: "#sa-8" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-2" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sa-8.26_smt - name: statement - prose: "Implement the security design principle of performance security\ - \ in {{ insert: param, sa-08.26_odp }}." - - id: sa-8.26_gdn - name: guidance - prose: >- - The principle of performance security states that security - mechanisms are constructed so that they do not degrade - system performance unnecessarily. Stakeholder and system - design requirements for performance and security are - precisely articulated and prioritized. For the system - implementation to meet its design requirements and be found - acceptable to stakeholders (i.e., validation against - stakeholder requirements), the designers adhere to the - specified constraints that capability performance needs - place on protection needs. The overall impact of - computationally intensive security services (e.g., - cryptography) are assessed and demonstrated to pose no - significant impact to higher-priority performance - considerations or are deemed to provide an acceptable - trade-off of performance for trustworthy protection. The - trade-off considerations include less computationally - intensive security services unless they are unavailable or - insufficient. The insufficiency of a security service is - determined by functional capability and strength of - mechanism. The strength of mechanism is selected with - respect to security requirements, performance-critical - overhead issues (e.g., cryptographic key management), and an - assessment of the capability of the threat. - - - The principle of performance security leads to the incorporation - of features that help in the enforcement of security policy but - incur minimum overhead, such as low-level hardware mechanisms - upon which higher-level services can be built. Such low-level - mechanisms are usually very specific, have very limited functionality, - and are optimized for performance. For example, once access rights - to a portion of memory is granted, many systems use hardware mechanisms - to ensure that all further accesses involve the correct memory - address and access mode. Application of this principle reinforces - the need to design security into the system from the ground up - and to incorporate simple mechanisms at the lower layers that - can be used as building blocks for higher-level mechanisms. - - name: objective - props: - - name: label - value: SA-08(26) - class: sp800-53A - prose: "{{ insert: param, sa-08.26_odp }} implement the security\ - \ design principle of performance security." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(26)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of performance - security used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - trade-off analysis between performance and security - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(26)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(26)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of performance security in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of performance security in system specification, - design, development, implementation, and modification - - id: sa-8.27 - class: SP800-53-enhancement - title: Human Factored Security - params: - - id: sa-08.27_odp - props: - - name: legacy-identifier - value: sa-8.27_prm_1 - - name: label - value: SA-08(27)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of human factored security are defined; - props: - - name: label - value: SA-08(27) - - name: sort-id - value: sa-08.27 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.27_smt - name: statement - prose: "Implement the security design principle of human factored\ - \ security in {{ insert: param, sa-08.27_odp }}." - - id: sa-8.27_gdn - name: guidance - prose: The principle of human factored security states that the - user interface for security functions and supporting services - is intuitive, user-friendly, and provides feedback for user actions - that affect such policy and its enforcement. The mechanisms that - enforce security policy are not intrusive to the user and are - designed not to degrade user efficiency. Security policy enforcement - mechanisms also provide the user with meaningful, clear, and relevant - feedback and warnings when insecure choices are being made. Particular - attention is given to interfaces through which personnel responsible - for system administration and operation configure and set up the - security policies. Ideally, these personnel are able to understand - the impact of their choices. Personnel with system administrative - and operational responsibilities are able to configure systems - before start-up and administer them during runtime with confidence - that their intent is correctly mapped to the system’s mechanisms. - Security services, functions, and mechanisms do not impede or - unnecessarily complicate the intended use of the system. There - is a trade-off between system usability and the strictness necessary - for security policy enforcement. If security mechanisms are frustrating - or difficult to use, then users may disable them, avoid them, - or use them in ways inconsistent with the security requirements - and protection needs that the mechanisms were designed to satisfy. - - name: objective - props: - - name: label - value: SA-08(27) - class: sp800-53A - prose: "{{ insert: param, sa-08.27_odp }} implement the security\ - \ design principle of human factored security." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(27)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of human - factored security used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - usability analysis - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(27)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with human factored security responsibilities - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(27)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of human factored security in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of human factored security in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security policies - - id: sa-8.28 - class: SP800-53-enhancement - title: Acceptable Security - params: - - id: sa-08.28_odp - props: - - name: legacy-identifier - value: sa-8.28_prm_1 - - name: label - value: SA-08(28)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of acceptable security are defined; - props: - - name: label - value: SA-08(28) - - name: sort-id - value: sa-08.28 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.28_smt - name: statement - prose: "Implement the security design principle of acceptable security\ - \ in {{ insert: param, sa-08.28_odp }}." - - id: sa-8.28_gdn - name: guidance - prose: The principle of acceptable security requires that the level - of privacy and performance that the system provides is consistent - with the users’ expectations. The perception of personal privacy - may affect user behavior, morale, and effectiveness. Based on - the organizational privacy policy and the system design, users - should be able to restrict their actions to protect their privacy. - When systems fail to provide intuitive interfaces or meet privacy - and performance expectations, users may either choose to completely - avoid the system or use it in ways that may be inefficient or - even insecure. - - name: objective - props: - - name: label - value: SA-08(28) - class: sp800-53A - prose: "{{ insert: param, sa-08.28_odp }} implement the security\ - \ design principle of acceptable security." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(28)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the security design principle of acceptable - security used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - personally identifiable information processing policy - - - privacy notifications provided to users - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(28)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(28)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of acceptable security in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of acceptable security in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security policies - - id: sa-8.29 - class: SP800-53-enhancement - title: Repeatable and Documented Procedures - params: - - id: sa-08.29_odp - props: - - name: legacy-identifier - value: sa-8.29_prm_1 - - name: label - value: SA-08(29)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of repeatable and documented procedures are - defined; - props: - - name: label - value: SA-08(29) - - name: sort-id - value: sa-08.29 - links: - - href: "#sa-8" - rel: required - - href: "#cm-1" - rel: related - - href: "#sa-1" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-1" - rel: related - - href: "#si-1" - rel: related - parts: - - id: sa-8.29_smt - name: statement - prose: "Implement the security design principle of repeatable and\ - \ documented procedures in {{ insert: param, sa-08.29_odp }}." - - id: sa-8.29_gdn - name: guidance - prose: The principle of repeatable and documented procedures states - that the techniques and methods employed to construct a system - component permit the same component to be completely and correctly - reconstructed at a later time. Repeatable and documented procedures - support the development of a component that is identical to the - component created earlier, which may be in widespread use. In - the case of other system artifacts (e.g., documentation and testing - results), repeatability supports consistency and the ability to - inspect the artifacts. Repeatable and documented procedures can - be introduced at various stages within the system development - life cycle and contribute to the ability to evaluate assurance - claims for the system. Examples include systematic procedures - for code development and review, procedures for the configuration - management of development tools and system artifacts, and procedures - for system delivery. - - name: objective - props: - - name: label - value: SA-08(29) - class: sp800-53A - prose: "{{ insert: param, sa-08.29_odp }} implement the security\ - \ design principle of repeatable and documented procedures." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(29)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of repeatable - and documented procedures used in the specification, design, - development, implementation, and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(29)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(29)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of repeatable and documented procedures - in system specification, design, development, - implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of repeatable and documented procedures in - system specification, design, development, implementation, - and modification - - - automated mechanisms that enforce security policies - - id: sa-8.30 - class: SP800-53-enhancement - title: Procedural Rigor - params: - - id: sa-08.30_odp - props: - - name: legacy-identifier - value: sa-8.30_prm_1 - - name: label - value: SA-08(30)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of procedural rigor are defined; - props: - - name: label - value: SA-08(30) - - name: sort-id - value: sa-08.30 - links: - - href: "#sa-8" - rel: required - parts: - - id: sa-8.30_smt - name: statement - prose: "Implement the security design principle of procedural rigor\ - \ in {{ insert: param, sa-08.30_odp }}." - - id: sa-8.30_gdn - name: guidance - prose: >- - The principle of procedural rigor states that the rigor of a - system life cycle process is commensurate with its intended - trustworthiness. Procedural rigor defines the scope, depth, - and detail of the system life cycle procedures. Rigorous - system life cycle procedures contribute to the assurance - that the system is correct and free of unintended - functionality in several ways. First, the procedures impose - checks and balances on the life cycle process such that the - introduction of unspecified functionality is prevented. - - - Second, rigorous procedures applied to systems security engineering - activities that produce specifications and other system design - documents contribute to the ability to understand the system as - it has been built rather than trusting that the component, as - implemented, is the authoritative (and potentially misleading) - specification. - - - Finally, modifications to an existing system component are easier - when there are detailed specifications that describe its current - design instead of studying source code or schematics to try to - understand how it works. Procedural rigor helps ensure that security - functional and assurance requirements have been satisfied, and - it contributes to a better-informed basis for the determination - of trustworthiness and risk posture. Procedural rigor is commensurate - with the degree of assurance desired for the system. If the required - trustworthiness of the system is low, a high level of procedural - rigor may add unnecessary cost, whereas when high trustworthiness - is critical, the cost of high procedural rigor is merited. - - name: objective - props: - - name: label - value: SA-08(30) - class: sp800-53A - prose: "{{ insert: param, sa-08.30_odp }} implement the security\ - \ design principle of procedural rigor." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(30)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of procedural - rigor used in the specification, design, development, implementation, - and modification of the system - - - system design documentation - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(30)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(30)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of procedural rigor in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of procedural rigor in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security policies - - id: sa-8.31 - class: SP800-53-enhancement - title: Secure System Modification - params: - - id: sa-08.31_odp - props: - - name: legacy-identifier - value: sa-8.31_prm_1 - - name: label - value: SA-08(31)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of secure system modification are defined; - props: - - name: label - value: SA-08(31) - - name: sort-id - value: sa-08.31 - links: - - href: "#sa-8" - rel: required - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - parts: - - id: sa-8.31_smt - name: statement - prose: "Implement the security design principle of secure system\ - \ modification in {{ insert: param, sa-08.31_odp }}." - - id: sa-8.31_gdn - name: guidance - prose: The principle of secure system modification states that system - modification maintains system security with respect to the security - requirements and risk tolerance of stakeholders. Upgrades or modifications - to systems can transform secure systems into systems that are - not secure. The procedures for system modification ensure that - if the system is to maintain its trustworthiness, the same rigor - that was applied to its initial development is applied to any - system changes. Because modifications can affect the ability of - the system to maintain its secure state, a careful security analysis - of the modification is needed prior to its implementation and - deployment. This principle parallels the principle of secure evolvability. - - name: objective - props: - - name: label - value: SA-08(31) - class: sp800-53A - prose: "{{ insert: param, sa-08.31_odp }} implement the security\ - \ design principle of secure system modification." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(31)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - configuration management policy and procedures - - - procedures addressing the security design principle of secure - system modification used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - system configuration settings and associated documentation - - - change control records - - - security and privacy requirements and specifications for the - system - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(31)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(31)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of secure system modification in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of secure system modification in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security policies - - - organizational processes for managing change configuration - - - automated mechanisms supporting configuration control - - id: sa-8.32 - class: SP800-53-enhancement - title: Sufficient Documentation - params: - - id: sa-08.32_odp - props: - - name: legacy-identifier - value: sa-8.32_prm_1 - - name: label - value: SA-08(32)_ODP - label: systems or system components - guidelines: - - prose: systems or system components that implement the security - design principle of sufficient documentation are defined; - props: - - name: label - value: SA-08(32) - - name: sort-id - value: sa-08.32 - links: - - href: "#sa-8" - rel: required - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-8.32_smt - name: statement - prose: "Implement the security design principle of sufficient documentation\ - \ in {{ insert: param, sa-08.32_odp }}." - - id: sa-8.32_gdn - name: guidance - prose: The principle of sufficient documentation states that organizational - personnel with responsibilities to interact with the system are - provided with adequate documentation and other information such - that the personnel contribute to rather than detract from system - security. Despite attempts to comply with principles such as human - factored security and acceptable security, systems are inherently - complex, and the design intent for the use of security mechanisms - and the ramifications of the misuse or misconfiguration of security - mechanisms are not always intuitively obvious. Uninformed and - insufficiently trained users can introduce vulnerabilities due - to errors of omission and commission. The availability of documentation - and training can help to ensure a knowledgeable cadre of personnel, - all of whom have a critical role in the achievement of principles - such as continuous protection. Documentation is written clearly - and supported by training that provides security awareness and - understanding of security-relevant responsibilities. - - name: objective - props: - - name: label - value: SA-08(32) - class: sp800-53A - prose: "{{ insert: param, sa-08.32_odp }} implement the security\ - \ design principle of sufficient documentation." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(32)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the security design principle of sufficient - documentation used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - system configuration settings and associated documentation - - - change control records - - - security and privacy requirements and specifications for the - system - - - system security and privacy documentation - - - system security and privacy architecture - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(32)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with the responsibility for - determining system security and privacy requirements - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(32)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the security - design principle of sufficient documentation in system - specification, design, development, implementation, and - modification - - - automated mechanisms supporting the application of the security - design principle of sufficient documentation in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security policies - - - organizational processes for managing change configuration - - - automated mechanisms supporting configuration control - - id: sa-8.33 - class: SP800-53-enhancement - title: Minimization - params: - - id: sa-08.33_odp - props: - - name: legacy-identifier - value: sa-8.33_prm_1 - - name: label - value: SA-08(33)_ODP - label: processes - guidelines: - - prose: processes that implement the privacy principle of minimization - are defined; - props: - - name: label - value: SA-08(33) - - name: sort-id - value: sa-08.33 - links: - - href: "#sa-8" - rel: required - - href: "#pe-8" - rel: related - - href: "#pm-25" - rel: related - - href: "#sc-42" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sa-8.33_smt - name: statement - prose: "Implement the privacy principle of minimization using {{\ - \ insert: param, sa-08.33_odp }}." - - id: sa-8.33_gdn - name: guidance - prose: The principle of minimization states that organizations should - only process personally identifiable information that is directly - relevant and necessary to accomplish an authorized purpose and - should only maintain personally identifiable information for as - long as is necessary to accomplish the purpose. Organizations - have processes in place, consistent with applicable laws and policies, - to implement the principle of minimization. - - name: objective - props: - - name: label - value: SA-08(33) - class: sp800-53A - prose: "the privacy principle of minimization is implemented using\ - \ {{ insert: param, sa-08.33_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-08(33)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - personally identifiable information processing policy - - - procedures addressing the minimization of personally identifiable - information in system design - - - system design documentation - - - system configuration settings and associated documentation - - - change control records - - - information security and privacy requirements and specifications - for the system - - - system security and privacy architecture - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-08(33)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with system specification, design, - development, implementation, and modification responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-08(33)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for applying the privacy design - principle of minimization in system specification, - design, development, implementation, and modification - - - automated mechanisms supporting the application of the security - design principle of sufficient documentation in system specification, - design, development, implementation, and modification - - - automated mechanisms that enforce security and privacy policy - - - organizational processes for managing change configuration - - - automated mechanisms supporting configuration control - - id: sa-9 - class: SP800-53 - title: External System Services - params: - - id: sa-09_odp.01 - props: - - name: legacy-identifier - value: sa-9_prm_1 - - name: label - value: SA-09_ODP[01] - label: controls - guidelines: - - prose: controls to be employed by external system service providers - are defined; - - id: sa-09_odp.02 - props: - - name: legacy-identifier - value: sa-9_prm_2 - - name: label - value: SA-09_ODP[02] - label: processes, methods, and techniques - guidelines: - - prose: processes, methods, and techniques employed to monitor control - compliance by external service providers are defined; - props: - - name: label - value: SA-09 - - name: sort-id - value: sa-09 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#77faf0bc-c394-44ad-9154-bbac3b79c8ad" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849" - rel: reference - - href: "#ac-20" - rel: related - - href: "#ca-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-7" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-4" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-9_smt - name: statement - parts: - - id: sa-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Require that providers of external system services comply\ - \ with organizational security and privacy requirements and employ\ - \ the following controls: {{ insert: param, sa-09_odp.01 }};" - - id: sa-9_smt.b - name: item - props: - - name: label - value: b. - prose: Define and document organizational oversight and user roles - and responsibilities with regard to external system services; - and - - id: sa-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Employ the following processes, methods, and techniques\ - \ to monitor control compliance by external service providers\ - \ on an ongoing basis: {{ insert: param, sa-09_odp.02 }}." - - id: sa-9_gdn - name: guidance - prose: External system services are provided by an external provider, - and the organization has no direct control over the implementation - of the required controls or the assessment of control effectiveness. - Organizations establish relationships with external service providers - in a variety of ways, including through business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing - agreements, joint ventures, and supply chain exchanges. The responsibility - for managing risks from the use of external system services remains - with authorizing officials. For services external to organizations, - a chain of trust requires that organizations establish and retain - a certain level of confidence that each provider in the consumer-provider - relationship provides adequate protection for the services rendered. - The extent and nature of this chain of trust vary based on relationships - between organizations and the external providers. Organizations document - the basis for the trust relationships so that the relationships can - be monitored. External system services documentation includes government, - service providers, end user security roles and responsibilities, and - service-level agreements. Service-level agreements define the expectations - of performance for implemented controls, describe measurable outcomes, - and identify remedies and response requirements for identified instances - of noncompliance. - - name: objective - props: - - name: label - value: SA-09 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-09a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-09a.[01] - class: sp800-53A - prose: providers of external system services comply with organizational - security requirements; - - name: objective - props: - - name: label - value: SA-09a.[02] - class: sp800-53A - prose: providers of external system services comply with organizational - privacy requirements; - - name: objective - props: - - name: label - value: SA-09a.[03] - class: sp800-53A - prose: "providers of external system services employ {{ insert:\ - \ param, sa-09_odp.01 }};" - - name: objective - props: - - name: label - value: SA-09b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-09b.[01] - class: sp800-53A - prose: organizational oversight with regard to external system - services are defined and documented; - - name: objective - props: - - name: label - value: SA-09b.[02] - class: sp800-53A - prose: user roles and responsibilities with regard to external - system services are defined and documented; - - name: objective - props: - - name: label - value: SA-09c. - class: sp800-53A - prose: "{{ insert: param, sa-09_odp.02 }} are employed to monitor\ - \ control compliance by external service providers on an ongoing\ - \ basis." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing methods and techniques for monitoring control - compliance by external service providers of system services - - - acquisition documentation - - - contracts - - - service level agreements - - - interagency agreements - - - licensing agreements - - - list of organizational security and privacy requirements for external - provider services - - - control assessment results or reports from external providers - of system services - - - system security plan - - - privacy plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - external providers of system services - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring security and privacy - control compliance by external service providers on an - ongoing basis - - - automated mechanisms for monitoring security and privacy control - compliance by external service providers on an ongoing basis - controls: - - id: sa-9.1 - class: SP800-53-enhancement - title: Risk Assessments and Organizational Approvals - params: - - id: sa-09.01_odp - props: - - name: legacy-identifier - value: sa-9.1_prm_1 - - name: label - value: SA-09(01)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles that approve the acquisition or outsourcing - of dedicated information security services is/are defined; - props: - - name: label - value: SA-09(01) - - name: sort-id - value: sa-09.01 - links: - - href: "#sa-9" - rel: required - - href: "#ca-6" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: sa-9.1_smt - name: statement - parts: - - id: sa-9.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Conduct an organizational assessment of risk prior to - the acquisition or outsourcing of information security services; - and - - id: sa-9.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Verify that the acquisition or outsourcing of dedicated\ - \ information security services is approved by {{ insert:\ - \ param, sa-09.01_odp }}." - - id: sa-9.1_gdn - name: guidance - prose: Information security services include the operation of security - devices, such as firewalls or key management services as well - as incident monitoring, analysis, and response. Risks assessed - can include system, mission or business, security, privacy, or - supply chain risks. - - name: objective - props: - - name: label - value: SA-09(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-09(01)(a) - class: sp800-53A - prose: an organizational assessment of risk is conducted prior - to the acquisition or outsourcing of information security - services; - - name: objective - props: - - name: label - value: SA-09(01)(b) - class: sp800-53A - prose: "{{ insert: param, sa-09.01_odp }} approve the acquisition\ - \ or outsourcing of dedicated information security services." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - supply chain risk management policy and procedures - - - procedures addressing external system services - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - risk assessment reports - - - approval records for the acquisition or outsourcing of dedicated - security services - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with system security responsibilities - - - external providers of system services - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting a risk - assessment prior to acquiring or outsourcing dedicated - security services - - - organizational processes for approving the outsourcing of - dedicated security services - - - automated mechanisms supporting and/or implementing risk assessment - - - automated mechanisms supporting and/or implementing approval - processes - - id: sa-9.2 - class: SP800-53-enhancement - title: Identification of Functions, Ports, Protocols, and Services - params: - - id: sa-9.2_prm_1 - props: - - name: aggregates - value: sa-09.02_odp - label: organization-defined external system services - - id: sa-09.02_odp - props: - - name: label - value: SA-09(02)_ODP - label: external system services - guidelines: - - prose: external system services that require the identification - of functions, ports, protocols, and other services are defined; - props: - - name: label - value: SA-09(02) - - name: sort-id - value: sa-09.02 - links: - - href: "#sa-9" - rel: required - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - parts: - - id: sa-9.2_smt - name: statement - prose: "Require providers of the following external system services\ - \ to identify the functions, ports, protocols, and other services\ - \ required for the use of such services: {{ insert: param, sa-9.2_prm_1\ - \ }}." - - id: sa-9.2_gdn - name: guidance - prose: Information from external service providers regarding the - specific functions, ports, protocols, and services used in the - provision of such services can be useful when the need arises - to understand the trade-offs involved in restricting certain functions - and services or blocking certain ports and protocols. - - name: objective - props: - - name: label - value: SA-09(02) - class: sp800-53A - prose: "providers of {{ insert: param, sa-09.02_odp }} are required\ - \ to identify the functions, ports, protocols, and other services\ - \ required for the use of such services." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - supply chain risk management policy and procedures - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - acquisition documentation - - - solicitation documentation - - - service level agreements - - - organizational security requirements and security specifications - for external service providers - - - list of required functions, ports, protocols, and other services - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - external providers of system services - - id: sa-9.3 - class: SP800-53-enhancement - title: Establish and Maintain Trust Relationship with Providers - params: - - id: sa-9.3_prm_1 - props: - - name: aggregates - value: sa-09.03_odp.01 - label: organization-defined security and privacy requirements, properties, - factors, or conditions defining acceptable trust relationships - - id: sa-09.03_odp.01 - props: - - name: label - value: SA-09(03)_ODP[01] - label: security requirements, properties, factors, or conditions - guidelines: - - prose: security requirements, properties, factors, or conditions - defining acceptable trust relationships on which a trust relationship - is maintained are defined; - - id: sa-09.03_odp.02 - props: - - name: label - value: SA-09(03)_ODP[02] - label: privacy requirements, properties, factors, or conditions - guidelines: - - prose: privacy requirements, properties, factors, or conditions - defining acceptable trust relationships on which a trust relationship - is maintained are defined; - props: - - name: label - value: SA-09(03) - - name: sort-id - value: sa-09.03 - links: - - href: "#sa-9" - rel: required - - href: "#sr-2" - rel: related - parts: - - id: sa-9.3_smt - name: statement - prose: "Establish, document, and maintain trust relationships with\ - \ external service providers based on the following requirements,\ - \ properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1\ - \ }}." - - id: sa-9.3_gdn - name: guidance - prose: Trust relationships between organizations and external service - providers reflect the degree of confidence that the risk from - using external services is at an acceptable level. Trust relationships - can help organizations gain increased levels of confidence that - service providers are providing adequate protection for the services - rendered and can also be useful when conducting incident response - or when planning for upgrades or obsolescence. Trust relationships - can be complicated due to the potentially large number of entities - participating in the consumer-provider interactions, subordinate - relationships and levels of trust, and types of interactions between - the parties. In some cases, the degree of trust is based on the - level of control that organizations can exert on external service - providers regarding the controls necessary for the protection - of the service, information, or individual privacy and the evidence - brought forth as to the effectiveness of the implemented controls. - The level of control is established by the terms and conditions - of the contracts or service-level agreements. - - name: objective - props: - - name: label - value: SA-09(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-09(03)[01] - class: sp800-53A - prose: "trust relationships with external service provides based\ - \ on {{ insert: param, sa-09.03_odp.01 }} are established\ - \ and documented;" - - name: objective - props: - - name: label - value: SA-09(03)[02] - class: sp800-53A - prose: "trust relationships with external service provides based\ - \ on {{ insert: param, sa-09.03_odp.01 }} are maintained;" - - name: objective - props: - - name: label - value: SA-09(03)[03] - class: sp800-53A - prose: "trust relationships with external service provides based\ - \ on {{ insert: param, sa-09.03_odp.02 }} are established\ - \ and documented;" - - name: objective - props: - - name: label - value: SA-09(03)[04] - class: sp800-53A - prose: "trust relationships with external service provides based\ - \ on {{ insert: param, sa-09.03_odp.02 }} are maintained." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - acquisition contracts for the system, system component, or - system service - - - acquisition documentation - - - solicitation documentation - - - service level agreements - - - list of organizational security and privacy requirements, - properties, factors, or conditions for external provider services - - - documentation of trust relationships with external service - providers - - - system security plan - - - privacy plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - external providers of system services - - - organizational personnel with supply chain risk management - responsibilities - - id: sa-9.4 - class: SP800-53-enhancement - title: Consistent Interests of Consumers and Providers - params: - - id: sa-09.04_odp.01 - props: - - name: legacy-identifier - value: sa-9.4_prm_1 - - name: label - value: SA-09(04)_ODP[01] - label: external service providers - guidelines: - - prose: external service providers are defined; - - id: sa-09.04_odp.02 - props: - - name: legacy-identifier - value: sa-9.4_prm_2 - - name: label - value: SA-09(04)_ODP[02] - label: actions - guidelines: - - prose: actions to be taken to verify that the interests of external - service providers are consistent with and reflect organizational - interests are defined; - props: - - name: label - value: SA-09(04) - - name: sort-id - value: sa-09.04 - links: - - href: "#sa-9" - rel: required - parts: - - id: sa-9.4_smt - name: statement - prose: "Take the following actions to verify that the interests\ - \ of {{ insert: param, sa-09.04_odp.01 }} are consistent with\ - \ and reflect organizational interests: {{ insert: param, sa-09.04_odp.02\ - \ }}." - - id: sa-9.4_gdn - name: guidance - prose: As organizations increasingly use external service providers, - it is possible that the interests of the service providers may - diverge from organizational interests. In such situations, simply - having the required technical, management, or operational controls - in place may not be sufficient if the providers that implement - and manage those controls are not operating in a manner consistent - with the interests of the consuming organizations. Actions that - organizations take to address such concerns include requiring - background checks for selected service provider personnel; examining - ownership records; employing only trustworthy service providers, - such as providers with which organizations have had successful - trust relationships; and conducting routine, periodic, unscheduled - visits to service provider facilities. - - name: objective - props: - - name: label - value: SA-09(04) - class: sp800-53A - prose: "{{ insert: param, sa-09.04_odp.02 }} are taken to verify\ - \ that the interests of {{ insert: param, sa-09.04_odp.01 }} are\ - \ consistent with and reflect organizational interests." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - organizational security requirements/safeguards for external - service providers - - - personnel security policies for external service providers - - - assessments performed on external service providers - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - external providers of system services - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - safeguards to ensure consistent interests with external - service providers - - - automated mechanisms supporting and/or implementing safeguards - to ensure consistent interests with external service providers - - id: sa-9.5 - class: SP800-53-enhancement - title: Processing, Storage, and Service Location - params: - - id: sa-09.05_odp.01 - props: - - name: legacy-identifier - value: sa-9.5_prm_1 - - name: label - value: SA-09(05)_ODP[01] - select: - how-many: one-or-more - choice: - - information processing - - information or data - - system services - - id: sa-09.05_odp.02 - props: - - name: legacy-identifier - value: sa-9.5_prm_2 - - name: label - value: SA-09(05)_ODP[02] - label: locations - guidelines: - - prose: locations where is/are to be restricted are defined; - - id: sa-09.05_odp.03 - props: - - name: legacy-identifier - value: sa-9.5_prm_3 - - name: label - value: SA-09(05)_ODP[03] - label: requirements - guidelines: - - prose: requirements or conditions for restricting the location - of are defined; - props: - - name: label - value: SA-09(05) - - name: sort-id - value: sa-09.05 - links: - - href: "#sa-9" - rel: required - - href: "#sa-5" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: sa-9.5_smt - name: statement - prose: "Restrict the location of {{ insert: param, sa-09.05_odp.01\ - \ }} to {{ insert: param, sa-09.05_odp.02 }} based on {{ insert:\ - \ param, sa-09.05_odp.03 }}." - - id: sa-9.5_gdn - name: guidance - prose: The location of information processing, information and data - storage, or system services can have a direct impact on the ability - of organizations to successfully execute their mission and business - functions. The impact occurs when external providers control the - location of processing, storage, or services. The criteria that - external providers use for the selection of processing, storage, - or service locations may be different from the criteria that organizations - use. For example, organizations may desire that data or information - storage locations be restricted to certain locations to help facilitate - incident response activities in case of information security incidents - or breaches. Incident response activities, including forensic - analyses and after-the-fact investigations, may be adversely affected - by the governing laws, policies, or protocols in the locations - where processing and storage occur and/or the locations from which - system services emanate. - - name: objective - props: - - name: label - value: SA-09(05) - class: sp800-53A - prose: "based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert:\ - \ param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param,\ - \ sa-09.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - restricted locations for information processing - - - information/data and/or system services - - - information processing, information/data, and/or system services - to be maintained in restricted locations - - - organizational security requirements or conditions for external - providers - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - external providers of system services - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining the requirements - to restrict locations of information processing, - information/data, or information services - - - organizational processes for ensuring the location is restricted - in accordance with requirements or conditions - - id: sa-9.6 - class: SP800-53-enhancement - title: Organization-controlled Cryptographic Keys - props: - - name: label - value: SA-09(06) - - name: sort-id - value: sa-09.06 - links: - - href: "#sa-9" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sa-9.6_smt - name: statement - prose: Maintain exclusive control of cryptographic keys for encrypted - material stored or transmitted through an external system. - - id: sa-9.6_gdn - name: guidance - prose: Maintaining exclusive control of cryptographic keys in an - external system prevents decryption of organizational data by - external system staff. Organizational control of cryptographic - keys can be implemented by encrypting and decrypting data inside - the organization as data is sent to and received from the external - system or by employing a component that permits encryption and - decryption functions to be local to the external system but allows - exclusive organizational access to the encryption keys. - - name: objective - props: - - name: label - value: SA-09(06) - class: sp800-53A - prose: exclusive control of cryptographic keys is maintained for - encrypted material stored or transmitted through an external system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - procedures addressing organization-controlled cryptographic - key management - - - organizational security requirements or conditions for external - providers - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organization personnel with cryptographic key management responsibilities - - - external providers of system services - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for cryptographic key - management - - - automated mechanisms for supporting and implementing the management - of organization-controlled cryptographic keys - - id: sa-9.7 - class: SP800-53-enhancement - title: Organization-controlled Integrity Checking - props: - - name: label - value: SA-09(07) - - name: sort-id - value: sa-09.07 - links: - - href: "#sa-9" - rel: required - - href: "#si-7" - rel: related - parts: - - id: sa-9.7_smt - name: statement - prose: Provide the capability to check the integrity of information - while it resides in the external system. - - id: sa-9.7_gdn - name: guidance - prose: Storage of organizational information in an external system - could limit visibility into the security status of its data. The - ability of the organization to verify and validate the integrity - of its stored data without transferring it out of the external - system provides such visibility. - - name: objective - props: - - name: label - value: SA-09(07) - class: sp800-53A - prose: the capability is provided to check the integrity of information - while it resides in the external system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - procedures addressing organization-controlled integrity checking - - - information/data and/or system services - - - organizational security requirements or conditions for external - providers - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organization personnel with integrity checking responsibilities - - - external providers of system services - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for integrity checking - - - automated mechanisms for supporting and implementing integrity - checking of information in external systems - - id: sa-9.8 - class: SP800-53-enhancement - title: Processing and Storage Location — U.s. Jurisdiction - props: - - name: label - value: SA-09(08) - - name: sort-id - value: sa-09.08 - links: - - href: "#sa-9" - rel: required - - href: "#sa-5" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: sa-9.8_smt - name: statement - prose: Restrict the geographic location of information processing - and data storage to facilities located within in the legal jurisdictional - boundary of the United States. - - id: sa-9.8_gdn - name: guidance - prose: The geographic location of information processing and data - storage can have a direct impact on the ability of organizations - to successfully execute their mission and business functions. - A compromise or breach of high impact information and systems - can have severe or catastrophic adverse impacts on organizational - assets and operations, individuals, other organizations, and the - Nation. Restricting the processing and storage of high-impact - information to facilities within the legal jurisdictional boundary - of the United States provides greater control over such processing - and storage. - - name: objective - props: - - name: label - value: SA-09(08) - class: sp800-53A - prose: the geographic location of information processing and data - storage is restricted to facilities located within the legal jurisdictional - boundary of the United States. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-09(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing external system services - - - acquisition contracts for the system, system component, or - system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - procedures addressing determining jurisdiction restrictions - for processing and storage location - - - information/data and/or system services - - - organizational security requirements or conditions for external - providers - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-09(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organization personnel with supply chain risk management responsibilities - - - external providers of system services - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-09(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes restricting external system - service providers to process and store information within - the legal jurisdictional boundary of the United States - - id: sa-10 - class: SP800-53 - title: Developer Configuration Management - params: - - id: sa-10_odp.01 - props: - - name: legacy-identifier - value: sa-10_prm_1 - - name: label - value: SA-10_ODP[01] - select: - how-many: one-or-more - choice: - - design - - development - - implementation - - operation - - disposal - - id: sa-10_odp.02 - props: - - name: legacy-identifier - value: sa-10_prm_2 - - name: label - value: SA-10_ODP[02] - label: configuration items - guidelines: - - prose: configuration items under configuration management are defined; - - id: sa-10_odp.03 - props: - - name: legacy-identifier - value: sa-10_prm_3 - - name: label - value: SA-10_ODP[03] - label: personnel - guidelines: - - prose: personnel to whom security flaws and flaw resolutions within - the system, component, or service are reported is/are defined; - props: - - name: label - value: SA-10 - - name: sort-id - value: sa-10 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: sa-10_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to:" - parts: - - id: sa-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Perform configuration management during system, component,\ - \ or service {{ insert: param, sa-10_odp.01 }};" - - id: sa-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Document, manage, and control the integrity of changes to\ - \ {{ insert: param, sa-10_odp.02 }};" - - id: sa-10_smt.c - name: item - props: - - name: label - value: c. - prose: Implement only organization-approved changes to the system, - component, or service; - - id: sa-10_smt.d - name: item - props: - - name: label - value: d. - prose: Document approved changes to the system, component, or service - and the potential security and privacy impacts of such changes; - and - - id: sa-10_smt.e - name: item - props: - - name: label - value: e. - prose: "Track security flaws and flaw resolution within the system,\ - \ component, or service and report findings to {{ insert: param,\ - \ sa-10_odp.03 }}." - - id: sa-10_gdn - name: guidance - prose: >- - Organizations consider the quality and completeness of - configuration management activities conducted by developers as - direct evidence of applying effective security controls. - Controls include protecting the master copies of material used - to generate security-relevant portions of the system hardware, - software, and firmware from unauthorized modification or - destruction. Maintaining the integrity of changes to the system, - system component, or system service requires strict - configuration control throughout the system development life - cycle to track authorized changes and prevent unauthorized - changes. - - - The configuration items that are placed under configuration management - include the formal model; the functional, high-level, and low-level - design specifications; other design data; implementation documentation; - source code and hardware schematics; the current running version of - the object code; tools for comparing new versions of security-relevant - hardware descriptions and source code with previous versions; and - test fixtures and documentation. Depending on the mission and business - needs of organizations and the nature of the contractual relationships - in place, developers may provide configuration management support - during the operations and maintenance stage of the system development - life cycle. - - name: objective - props: - - name: label - value: SA-10 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10a. - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to perform configuration management during\ - \ system, component, or service {{ insert: param, sa-10_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SA-10b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10b.[01] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to document the integrity of changes\ - \ to {{ insert: param, sa-10_odp.02 }};" - - name: objective - props: - - name: label - value: SA-10b.[02] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to manage the integrity of changes to\ - \ {{ insert: param, sa-10_odp.02 }};" - - name: objective - props: - - name: label - value: SA-10b.[03] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to control the integrity of changes\ - \ to {{ insert: param, sa-10_odp.02 }};" - - name: objective - props: - - name: label - value: SA-10c. - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to implement only organization-approved changes - to the system, component, or service; - - name: objective - props: - - name: label - value: SA-10d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10d.[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to document approved changes to the system, - component, or service; - - name: objective - props: - - name: label - value: SA-10d.[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to document the potential security impacts - of approved changes; - - name: objective - props: - - name: label - value: SA-10d.[03] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to document the potential privacy impacts - of approved changes; - - name: objective - props: - - name: label - value: SA-10e. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10e.[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to track security flaws within the system, - component, or service; - - name: objective - props: - - name: label - value: SA-10e.[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to track security flaw resolutions within - the system, component, or service; - - name: objective - props: - - name: label - value: SA-10e.[03] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to report findings to {{ insert: param,\ - \ sa-10_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - system developer configuration management plan - - - security flaw and flaw resolution tracking records - - - system change authorization records - - - change control records - - - configuration management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - controls: - - id: sa-10.1 - class: SP800-53-enhancement - title: Software and Firmware Integrity Verification - props: - - name: label - value: SA-10(01) - - name: sort-id - value: sa-10.01 - links: - - href: "#sa-10" - rel: required - - href: "#si-7" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sa-10.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to enable integrity verification of software and - firmware components. - - id: sa-10.1_gdn - name: guidance - prose: Software and firmware integrity verification allows organizations - to detect unauthorized changes to software and firmware components - using developer-provided tools, techniques, and mechanisms. The - integrity checking mechanisms can also address counterfeiting - of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through - secure one-way hashes provided by developers. Delivered software - and firmware components also include any updates to such components. - - name: objective - props: - - name: label - value: SA-10(01) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to enable integrity verification of software - and firmware components. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - software and firmware integrity verification records - - - system change authorization records - - - change control records - - - configuration management records - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.2 - class: SP800-53-enhancement - title: Alternative Configuration Management Processes - props: - - name: label - value: SA-10(02) - - name: sort-id - value: sa-10.02 - links: - - href: "#sa-10" - rel: required - parts: - - id: sa-10.2_smt - name: statement - prose: Provide an alternate configuration management process using - organizational personnel in the absence of a dedicated developer - configuration management team. - - id: sa-10.2_gdn - name: guidance - prose: Alternate configuration management processes may be required - when organizations use commercial off-the-shelf information technology - products. Alternate configuration management processes include - organizational personnel who review and approve proposed changes - to systems, system components, and system services and conduct - security and privacy impact analyses prior to the implementation - of changes to systems, components, or services. - - name: objective - props: - - name: label - value: SA-10(02) - class: sp800-53A - prose: an alternate configuration management process has been provided - using organizational personnel in the absence of a dedicated developer - configuration management team. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - configuration management policy - - - configuration management plan - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - security impact analyses - - - privacy impact analyses - - - privacy impact assessment - - - privacy risk assessment documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.3 - class: SP800-53-enhancement - title: Hardware Integrity Verification - props: - - name: label - value: SA-10(03) - - name: sort-id - value: sa-10.03 - links: - - href: "#sa-10" - rel: required - - href: "#si-7" - rel: related - parts: - - id: sa-10.3_smt - name: statement - prose: Require the developer of the system, system component, or - system service to enable integrity verification of hardware components. - - id: sa-10.3_gdn - name: guidance - prose: Hardware integrity verification allows organizations to detect - unauthorized changes to hardware components using developer-provided - tools, techniques, methods, and mechanisms. Organizations may - verify the integrity of hardware components with hard-to-copy - labels, verifiable serial numbers provided by developers, and - by requiring the use of anti-tamper technologies. Delivered hardware - components also include hardware and firmware updates to such - components. - - name: objective - props: - - name: label - value: SA-10(03) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to enable integrity verification of hardware - components. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - hardware integrity verification records - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.4 - class: SP800-53-enhancement - title: Trusted Generation - props: - - name: label - value: SA-10(04) - - name: sort-id - value: sa-10.04 - links: - - href: "#sa-10" - rel: required - parts: - - id: sa-10.4_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ tools for comparing newly generated versions - of security-relevant hardware descriptions, source code, and object - code with previous versions. - - id: sa-10.4_gdn - name: guidance - prose: The trusted generation of descriptions, source code, and - object code addresses authorized changes to hardware, software, - and firmware components between versions during development. The - focus is on the efficacy of the configuration management process - by the developer to ensure that newly generated versions of security-relevant - hardware descriptions, source code, and object code continue to - enforce the security policy for the system, system component, - or system service. In contrast, [SA-10(1)](#sa-10.1) and [SA-10(3)](#sa-10.3) - allow organizations to detect unauthorized changes to hardware, - software, and firmware components using tools, techniques, or - mechanisms provided by developers. - - name: objective - props: - - name: label - value: SA-10(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10(04)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ tools for comparing newly generated - versions of security-relevant hardware descriptions with previous - versions; - - name: objective - props: - - name: label - value: SA-10(04)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ tools for comparing newly generated - versions of source code with previous versions; - - name: objective - props: - - name: label - value: SA-10(04)[03] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ tools for comparing newly generated - versions of object code with previous versions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - change control records - - - configuration management records - - - configuration control audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.5 - class: SP800-53-enhancement - title: Mapping Integrity for Version Control - props: - - name: label - value: SA-10(05) - - name: sort-id - value: sa-10.05 - links: - - href: "#sa-10" - rel: required - parts: - - id: sa-10.5_smt - name: statement - prose: Require the developer of the system, system component, or - system service to maintain the integrity of the mapping between - the master build data describing the current version of security-relevant - hardware, software, and firmware and the on-site master copy of - the data for the current version. - - id: sa-10.5_gdn - name: guidance - prose: Mapping integrity for version control addresses changes to - hardware, software, and firmware components during both initial - development and system development life cycle updates. Maintaining - the integrity between the master copies of security-relevant hardware, - software, and firmware (including designs, hardware drawings, - source code) and the equivalent data in master copies in operational - environments is essential to ensuring the availability of organizational - systems that support critical mission and business functions. - - name: objective - props: - - name: label - value: SA-10(05) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to maintain the integrity of the mapping between - the master build data describing the current version of security-relevant - hardware, software, and firmware and the on-site master copy of - the data for the current version. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - change control records - - - configuration management records - - - version control change/update records - - - integrity verification records between master copies of security-relevant - hardware, software, and firmware (including designs and source - code) - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.6 - class: SP800-53-enhancement - title: Trusted Distribution - props: - - name: label - value: SA-10(06) - - name: sort-id - value: sa-10.06 - links: - - href: "#sa-10" - rel: required - parts: - - id: sa-10.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to execute procedures for ensuring that security-relevant - hardware, software, and firmware updates distributed to the organization - are exactly as specified by the master copies. - - id: sa-10.6_gdn - name: guidance - prose: The trusted distribution of security-relevant hardware, software, - and firmware updates help to ensure that the updates are correct - representations of the master copies maintained by the developer - and have not been tampered with during distribution. - - name: objective - props: - - name: label - value: SA-10(06) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to execute procedures for ensuring that security-relevant - hardware, software, and firmware updates distributed to the organization - are exactly as specified by the master copies. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer configuration management - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - change control records - - - configuration management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-10(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - configuration management - - - automated mechanisms supporting and/or implementing the monitoring - of developer configuration management - - id: sa-10.7 - class: SP800-53-enhancement - title: Security and Privacy Representatives - params: - - id: sa-10.7_prm_1 - props: - - name: aggregates - value: sa-10.07_odp.01 - label: organization-defined security and privacy representatives - - id: sa-10.7_prm_2 - props: - - name: aggregates - value: sa-10.07_odp.03 - label: organization-defined configuration change management and - control process - - id: sa-10.07_odp.01 - props: - - name: label - value: SA-10(07)_ODP[01] - label: security representatives - guidelines: - - prose: security representatives to be included in the configuration - change management and control process are defined; - - id: sa-10.07_odp.02 - props: - - name: label - value: SA-10(07)_ODP[02] - label: privacy representatives - guidelines: - - prose: privacy representatives to be included in the configuration - change management and control process are defined; - - id: sa-10.07_odp.03 - props: - - name: label - value: SA-10(07)_ODP[03] - label: configuration change management and control processes - guidelines: - - prose: configuration change management and control processes - in which security representatives are required to be included - are defined; - - id: sa-10.07_odp.04 - props: - - name: label - value: SA-10(07)_ODP[04] - label: configuration change management and control processes - guidelines: - - prose: configuration change management and control processes - in which privacy representatives are required to be included - are defined; - props: - - name: label - value: SA-10(07) - - name: sort-id - value: sa-10.07 - links: - - href: "#sa-10" - rel: required - parts: - - id: sa-10.7_smt - name: statement - prose: "Require {{ insert: param, sa-10.7_prm_1 }} to be included\ - \ in the {{ insert: param, sa-10.7_prm_2 }}." - - id: sa-10.7_gdn - name: guidance - prose: Information security and privacy representatives can include - system security officers, senior agency information security officers, - senior agency officials for privacy, and system privacy officers. - Representation by personnel with information security and privacy - expertise is important because changes to system configurations - can have unintended side effects, some of which may be security- - or privacy-relevant. Detecting such changes early in the process - can help avoid unintended, negative consequences that could ultimately - affect the security and privacy posture of systems. The configuration - change management and control process in this control enhancement - refers to the change management and control process defined by - organizations in [SA-10b](#sa-10_smt.b). - - name: objective - props: - - name: label - value: SA-10(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-10(07)[01] - class: sp800-53A - prose: "{{ insert: param, sa-10.07_odp.01 }} are required to\ - \ be included in the {{ insert: param, sa-10.07_odp.03 }};" - - name: objective - props: - - name: label - value: SA-10(07)[02] - class: sp800-53A - prose: "{{ insert: param, sa-10.07_odp.02 }} are required to\ - \ be included in the {{ insert: param, sa-10.07_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-10(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - configuration management policy - - - configuration management plan - - - solicitation documentation requiring representatives for security - and privacy - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer configuration management plan - - - change control records - - - configuration management records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-10(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - id: sa-11 - class: SP800-53 - title: Developer Testing and Evaluation - params: - - id: sa-11_odp.01 - props: - - name: legacy-identifier - value: sa-11_prm_1 - - name: label - value: SA-11_ODP[01] - select: - how-many: one-or-more - choice: - - unit - - integration - - system - - regression - - id: sa-11_odp.02 - props: - - name: legacy-identifier - value: sa-11_prm_2 - - name: label - value: SA-11_ODP[02] - label: frequency to conduct - guidelines: - - prose: frequency at which to conduct testing/evaluation is defined; - - id: sa-11_odp.03 - props: - - name: legacy-identifier - value: sa-11_prm_3 - - name: label - value: SA-11_ODP[03] - label: depth and coverage - guidelines: - - prose: depth and coverage of - testing/evaluation is defined; - props: - - name: label - value: SA-11 - - name: sort-id - value: sa-11 - links: - - href: "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d" - rel: reference - - href: "#708b94e1-3d5e-4b22-ab43-1c69f3a97e37" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-4" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-7" - rel: related - parts: - - id: sa-11_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service, at all post-design stages of the system development life\ - \ cycle, to:" - parts: - - id: sa-11_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and implement a plan for ongoing security and privacy - control assessments; - - id: sa-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Perform {{ insert: param, sa-11_odp.01 }} testing/evaluation\ - \ {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03\ - \ }};" - - id: sa-11_smt.c - name: item - props: - - name: label - value: c. - prose: Produce evidence of the execution of the assessment plan - and the results of the testing and evaluation; - - id: sa-11_smt.d - name: item - props: - - name: label - value: d. - prose: Implement a verifiable flaw remediation process; and - - id: sa-11_smt.e - name: item - props: - - name: label - value: e. - prose: Correct flaws identified during testing and evaluation. - - id: sa-11_gdn - name: guidance - prose: >- - Developmental testing and evaluation confirms that the required - controls are implemented correctly, operating as intended, - enforcing the desired security and privacy policies, and meeting - established security and privacy requirements. Security - properties of systems and the privacy of individuals may be - affected by the interconnection of system components or changes - to those components. The interconnections or changes—including - upgrading or replacing applications, operating systems, and - firmware—may adversely affect previously implemented controls. - Ongoing assessment during development allows for additional - types of testing and evaluation that developers can conduct to - reduce or eliminate potential flaws. Testing custom software - applications may require approaches such as manual code review, - security architecture review, and penetration testing, as well - as and static analysis, dynamic analysis, binary analysis, or a - hybrid of the three analysis approaches. - - - Developers can use the analysis approaches, along with security instrumentation - and fuzzing, in a variety of tools and in source code reviews. The - security and privacy assessment plans include the specific activities - that developers plan to carry out, including the types of analyses, - testing, evaluation, and reviews of software and firmware components; - the degree of rigor to be applied; the frequency of the ongoing testing - and evaluation; and the types of artifacts produced during those processes. - The depth of testing and evaluation refers to the rigor and level - of detail associated with the assessment process. The coverage of - testing and evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify - the acceptance criteria for security and privacy assessment plans, - flaw remediation processes, and the evidence that the plans and processes - have been diligently applied. Methods for reviewing and protecting - assessment plans, evidence, and documentation are commensurate with - the security category or classification level of the system. Contracts - may specify protection requirements for documentation. - - name: objective - props: - - name: label - value: SA-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11a.[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to develop a plan for ongoing security - assessments; - - name: objective - props: - - name: label - value: SA-11a.[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to implement a plan for ongoing security - assessments; - - name: objective - props: - - name: label - value: SA-11a.[03] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to develop a plan for privacy assessments; - - name: objective - props: - - name: label - value: SA-11a.[04] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to implement a plan for ongoing privacy - assessments; - - name: objective - props: - - name: label - value: SA-11b. - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required at all post-design stages of the system\ - \ development life cycle to perform {{ insert: param, sa-11_odp.01\ - \ }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{\ - \ insert: param, sa-11_odp.03 }};" - - name: objective - props: - - name: label - value: SA-11c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11c.[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to produce evidence of the execution - of the assessment plan; - - name: objective - props: - - name: label - value: SA-11c.[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system - development life cycle to produce the results of the testing - and evaluation; - - name: objective - props: - - name: label - value: SA-11d. - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system development - life cycle to implement a verifiable flaw remediation process; - - name: objective - props: - - name: label - value: SA-11e. - class: sp800-53A - prose: the developer of the system, system component, or system - service is required at all post-design stages of the system development - life cycle to correct flaws identified during testing and evaluation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing system developer security and privacy testing - - - procedures addressing flaw remediation - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - security and privacy architecture - - - system design documentation - - - system developer security and privacy assessment plans - - - results of developer security and privacy assessments for the - system, system component, or system service - - - security and privacy flaw and remediation tracking records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with developer security and privacy testing - responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer security - testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security and privacy testing and evaluation - controls: - - id: sa-11.1 - class: SP800-53-enhancement - title: Static Code Analysis - props: - - name: label - value: SA-11(01) - - name: sort-id - value: sa-11.01 - links: - - href: "#sa-11" - rel: required - parts: - - id: sa-11.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ static code analysis tools to identify - common flaws and document the results of the analysis. - - id: sa-11.1_gdn - name: guidance - prose: Static code analysis provides a technology and methodology - for security reviews and includes checking for weaknesses in the - code as well as for the incorporation of libraries or other included - code with known vulnerabilities or that are out-of-date and not - supported. Static code analysis can be used to identify vulnerabilities - and enforce secure coding practices. It is most effective when - used early in the development process, when each code change can - automatically be scanned for potential weaknesses. Static code - analysis can provide clear remediation guidance and identify defects - for developers to fix. Evidence of the correct implementation - of static analysis can include aggregate defect density for critical - defect types, evidence that defects were inspected by developers - or security professionals, and evidence that defects were remediated. - A high density of ignored findings, commonly referred to as false - positives, indicates a potential problem with the analysis process - or the analysis tool. In such cases, organizations weigh the validity - of the evidence against evidence from other sources. - - name: objective - props: - - name: label - value: SA-11(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(01)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ static code analysis tools to - identify common flaws; - - name: objective - props: - - name: label - value: SA-11(01)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ static code analysis tools to - document the results of the analysis. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing system developer security testing - - - procedures addressing flaw remediation - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - security and privacy architecture - - - system design documentation - - - system developer security and privacy assessment plans - - - results of system developer security and privacy assessments - - - security flaw and remediation tracking records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security and privacy - testing responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - - static code analysis tools - - id: sa-11.2 - class: SP800-53-enhancement - title: Threat Modeling and Vulnerability Analyses - params: - - id: sa-11.2_prm_3 - props: - - name: aggregates - value: sa-11.02_odp.03 - label: organization-defined breadth and depth of modeling and analyses - - id: sa-11.2_prm_4 - props: - - name: aggregates - value: sa-11.02_odp.05 - label: organization-defined acceptance criteria - - id: sa-11.02_odp.01 - props: - - name: legacy-identifier - value: sa-11.2_prm_1 - - name: label - value: SA-11(02)_ODP[01] - label: information - guidelines: - - prose: information concerning impact, environment of operations, - known or assumed threats, and acceptable risk levels to be - used as contextual information for threat modeling and vulnerability - analyses is defined; - - id: sa-11.02_odp.02 - props: - - name: legacy-identifier - value: sa-11.2_prm_2 - - name: label - value: SA-11(02)_ODP[02] - label: tools and methods - guidelines: - - prose: the tools and methods to be employed for threat modeling - and vulnerability analyses are defined; - - id: sa-11.02_odp.03 - props: - - name: label - value: SA-11(02)_ODP[03] - label: breadth and depth - guidelines: - - prose: the breadth and depth of threat modeling to be conducted - is defined; - - id: sa-11.02_odp.04 - props: - - name: label - value: SA-11(02)_ODP[04] - label: breadth and depth - guidelines: - - prose: the breadth and depth of vulnerability analyses to be - conducted is defined; - - id: sa-11.02_odp.05 - props: - - name: label - value: SA-11(02)_ODP[05] - label: acceptance criteria - guidelines: - - prose: acceptance criteria to be met by produced evidence for - threat modeling are defined; - - id: sa-11.02_odp.06 - props: - - name: label - value: SA-11(02)_ODP[06] - label: acceptance criteria - guidelines: - - prose: acceptance criteria to be met by produced evidence for - vulnerability analyses are defined; - props: - - name: label - value: SA-11(02) - - name: sort-id - value: sa-11.02 - links: - - href: "#sa-11" - rel: required - - href: "#pm-15" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: sa-11.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform threat modeling and vulnerability\ - \ analyses during development and the subsequent testing and evaluation\ - \ of the system, component, or service that:" - parts: - - id: sa-11.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Uses the following contextual information: {{ insert:\ - \ param, sa-11.02_odp.01 }};" - - id: sa-11.2_smt.b - name: item - props: - - name: label - value: (b) - prose: "Employs the following tools and methods: {{ insert:\ - \ param, sa-11.02_odp.02 }};" - - id: sa-11.2_smt.c - name: item - props: - - name: label - value: (c) - prose: "Conducts the modeling and analyses at the following\ - \ level of rigor: {{ insert: param, sa-11.2_prm_3 }} ; and" - - id: sa-11.2_smt.d - name: item - props: - - name: label - value: (d) - prose: "Produces evidence that meets the following acceptance\ - \ criteria: {{ insert: param, sa-11.2_prm_4 }}." - - id: sa-11.2_gdn - name: guidance - prose: Systems, system components, and system services may deviate - significantly from the functional and design specifications created - during the requirements and design stages of the system development - life cycle. Therefore, updates to threat modeling and vulnerability - analyses of those systems, system components, and system services - during development and prior to delivery are critical to the effective - operation of those systems, components, and services. Threat modeling - and vulnerability analyses at this stage of the system development - life cycle ensure that design and implementation changes have - been accounted for and that vulnerabilities created because of - those changes have been reviewed and mitigated. - - name: objective - props: - - name: label - value: SA-11(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(02)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(02)(a)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during development of the system, component, or service\ - \ that uses {{ insert: param, sa-11.02_odp.01 }};" - - name: objective - props: - - name: label - value: SA-11(02)(a)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during development of the system, component,\ - \ or service that uses {{ insert: param, sa-11.02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SA-11(02)(a)[03] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during the subsequent testing and evaluation of the\ - \ system, component, or service that uses {{ insert: param,\ - \ sa-11.02_odp.01 }};" - - name: objective - props: - - name: label - value: SA-11(02)(a)[04] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during the subsequent testing and evaluation\ - \ of the system, component, or service that uses {{ insert:\ - \ param, sa-11.02_odp.01 }};" - - name: objective - props: - - name: label - value: SA-11(02)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(02)(b)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during development of the system, component, or service\ - \ that employs {{ insert: param, sa-11.02_odp.02 }};" - - name: objective - props: - - name: label - value: SA-11(02)(b)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during the subsequent testing and evaluation of the\ - \ system, component, or service that employs {{ insert:\ - \ param, sa-11.02_odp.02 }};" - - name: objective - props: - - name: label - value: SA-11(02)(b)[03] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during development of the system, component,\ - \ or service that employs {{ insert: param, sa-11.02_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: SA-11(02)(b)[04] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during the subsequent testing and evaluation\ - \ of the system, component, or service that employs {{\ - \ insert: param, sa-11.02_odp.02 }};" - - name: objective - props: - - name: label - value: SA-11(02)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(02)(c)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ at {{ insert: param, sa-11.02_odp.03 }} during development\ - \ of the system, component, or service;" - - name: objective - props: - - name: label - value: SA-11(02)(c)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during the subsequent testing and evaluation\ - \ of the system, component, or service that conducts modeling\ - \ and analyses at {{ insert: param, sa-11.02_odp.04 }};" - - name: objective - props: - - name: label - value: SA-11(02)(d) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(02)(d)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during development of the system, component, or service\ - \ that produces evidence that meets {{ insert: param,\ - \ sa-11.02_odp.05 }};" - - name: objective - props: - - name: label - value: SA-11(02)(d)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform threat modeling\ - \ during the subsequent testing and evaluation of the\ - \ system, component, or service that produces evidence\ - \ that meets {{ insert: param, sa-11.02_odp.05 }};" - - name: objective - props: - - name: label - value: SA-11(02)(d)[03] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during development of the system, component,\ - \ or service that produces evidence that meets {{ insert:\ - \ param, sa-11.02_odp.06 }};" - - name: objective - props: - - name: label - value: SA-11(02)(d)[04] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform vulnerability\ - \ analyses during the subsequent testing and evaluation\ - \ of the system, component, or service that produces evidence\ - \ that meets {{ insert: param, sa-11.02_odp.06 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security test plans - - - records of developer security testing results for the system, - system component, or system service - - - vulnerability scanning results - - - system risk assessment reports - - - threat and vulnerability analysis reports - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - system developers - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - id: sa-11.3 - class: SP800-53-enhancement - title: Independent Verification of Assessment Plans and Evidence - params: - - id: sa-11.03_odp - props: - - name: legacy-identifier - value: sa-11.3_prm_1 - - name: label - value: SA-11(03)_ODP - label: independence criteria - guidelines: - - prose: independence criteria to be satisfied by an independent - agent are defined; - props: - - name: label - value: SA-11(03) - - name: sort-id - value: sa-11.03 - links: - - href: "#sa-11" - rel: required - - href: "#at-3" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: sa-11.3_smt - name: statement - parts: - - id: sa-11.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require an independent agent satisfying {{ insert: param,\ - \ sa-11.03_odp }} to verify the correct implementation of\ - \ the developer security and privacy assessment plans and\ - \ the evidence produced during testing and evaluation; and" - - id: sa-11.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify that the independent agent is provided with sufficient - information to complete the verification process or granted - the authority to obtain such information. - - id: sa-11.3_gdn - name: guidance - prose: Independent agents have the qualifications—including the - expertise, skills, training, certifications, and experience—to - verify the correct implementation of developer security and privacy - assessment plans. - - name: objective - props: - - name: label - value: SA-11(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(03)(a)[01] - class: sp800-53A - prose: "an independent agent is required to satisfy {{ insert:\ - \ param, sa-11.03_odp }} to verify the correct implementation\ - \ of the developer security assessment plan and the evidence\ - \ produced during testing and evaluation;" - - name: objective - props: - - name: label - value: SA-11(03)(a)[02] - class: sp800-53A - prose: "an independent agent is required to satisfy {{ insert:\ - \ param, sa-11.03_odp }} to verify the correct implementation\ - \ of the developer privacy assessment plan and the evidence\ - \ produced during testing and evaluation;" - - name: objective - props: - - name: label - value: SA-11(03)(b) - class: sp800-53A - prose: the independent agent is provided with sufficient information - to complete the verification process or granted the authority - to obtain such information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing system developer security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - independent verification and validation reports - - - security and privacy assessment plans - - - results of security and privacy assessments for the system, - system component, or system service - - - system security plan - - - privacy plan - - - privacy program plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with developer security testing responsibilities - - - system developers - - - independent verification agent - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - id: sa-11.4 - class: SP800-53-enhancement - title: Manual Code Reviews - params: - - id: sa-11.04_odp.01 - props: - - name: legacy-identifier - value: sa-11.4_prm_1 - - name: label - value: SA-11(04)_ODP[01] - label: specific code - guidelines: - - prose: specific code requiring manual code review is defined; - - id: sa-11.04_odp.02 - props: - - name: legacy-identifier - value: sa-11.4_prm_2 - - name: label - value: SA-11(04)_ODP[02] - label: processes, procedures, and/or techniques - guidelines: - - prose: processes, procedures, and/or techniques used for manual - code reviews are defined; - props: - - name: label - value: SA-11(04) - - name: sort-id - value: sa-11.04 - links: - - href: "#sa-11" - rel: required - parts: - - id: sa-11.4_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform a manual code review of {{ insert:\ - \ param, sa-11.04_odp.01 }} using the following processes, procedures,\ - \ and/or techniques: {{ insert: param, sa-11.04_odp.02 }}." - - id: sa-11.4_gdn - name: guidance - prose: Manual code reviews are usually reserved for the critical - software and firmware components of systems. Manual code reviews - are effective at identifying weaknesses that require knowledge - of the application’s requirements or context that, in most cases, - is unavailable to automated analytic tools and techniques, such - as static and dynamic analysis. The benefits of manual code review - include the ability to verify access control matrices against - application controls and review detailed aspects of cryptographic - implementations and controls. - - name: objective - props: - - name: label - value: SA-11(04) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to perform a manual code review of {{ insert:\ - \ param, sa-11.04_odp.01 }} using {{ insert: param, sa-11.04_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - processes, procedures, and/or techniques for performing manual - code reviews - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security testing and evaluation plans - - - system developer security testing and evaluation results - - - list of code requiring manual reviews - - - records of manual code reviews - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - system developers - - - independent verification agent - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer testing and evaluation - - id: sa-11.5 - class: SP800-53-enhancement - title: Penetration Testing - params: - - id: sa-11.5_prm_1 - props: - - name: aggregates - value: sa-11.05_odp.01 - label: organization-defined breadth and depth of testing - - id: sa-11.5_prm_2 - props: - - name: aggregates - value: sa-11.05_odp.03 - label: organization-defined constraints - - id: sa-11.05_odp.01 - props: - - name: label - value: SA-11(05)_ODP[01] - label: breadth - guidelines: - - prose: the breadth of penetration testing is defined; - - id: sa-11.05_odp.02 - props: - - name: label - value: SA-11(05)_ODP[02] - label: depth - guidelines: - - prose: the depth of penetration testing is defined; - - id: sa-11.05_odp.03 - props: - - name: label - value: SA-11(05)_ODP[03] - label: constraints - guidelines: - - prose: constraints of penetration testing are defined; - props: - - name: label - value: SA-11(05) - - name: sort-id - value: sa-11.05 - links: - - href: "#sa-11" - rel: required - - href: "#ca-8" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-25" - rel: related - - href: "#pt-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#si-2" - rel: related - - href: "#si-6" - rel: related - parts: - - id: sa-11.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform penetration testing:" - parts: - - id: sa-11.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "At the following level of rigor: {{ insert: param, sa-11.5_prm_1\ - \ }} ; and" - - id: sa-11.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Under the following constraints: {{ insert: param, sa-11.5_prm_2\ - \ }}." - - id: sa-11.5_gdn - name: guidance - prose: Penetration testing is an assessment methodology in which - assessors, using all available information technology product - or system documentation and working under specific constraints, - attempt to circumvent the implemented security and privacy features - of information technology products and systems. Useful information - for assessors who conduct penetration testing includes product - and system design specifications, source code, and administrator - and operator manuals. Penetration testing can include white-box, - gray-box, or black-box testing with analyses performed by skilled - professionals who simulate adversary actions. The objective of - penetration testing is to discover vulnerabilities in systems, - system components, and services that result from implementation - errors, configuration faults, or other operational weaknesses - or deficiencies. Penetration tests can be performed in conjunction - with automated and manual code reviews to provide a greater level - of analysis than would ordinarily be possible. When user session - information and other personally identifiable information is captured - or recorded during penetration testing, such information is handled - appropriately to protect privacy. - - name: objective - props: - - name: label - value: SA-11(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(05)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(05)(a)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform penetration testing\ - \ at the following level of rigor: {{ insert: param, sa-11.05_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SA-11(05)(a)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform penetration testing\ - \ at the following level of rigor: {{ insert: param, sa-11.05_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: SA-11(05)(b) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to perform penetration testing under\ - \ {{ insert: param, sa-11.05_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing system developer security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer penetration testing and evaluation plans - - - system developer penetration testing and evaluation results - - - system security plan - - - privacy plan - - - personally identifiable information processing policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with developer security testing responsibilities - - - system developers - - - independent verification agent - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security and privacy assessments - - - automated mechanisms supporting and/or implementing the monitoring - of developer security and privacy assessments - - id: sa-11.6 - class: SP800-53-enhancement - title: Attack Surface Reviews - props: - - name: label - value: SA-11(06) - - name: sort-id - value: sa-11.06 - links: - - href: "#sa-11" - rel: required - - href: "#sa-15" - rel: related - parts: - - id: sa-11.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to perform attack surface reviews. - - id: sa-11.6_gdn - name: guidance - prose: Attack surfaces of systems and system components are exposed - areas that make those systems more vulnerable to attacks. Attack - surfaces include any accessible areas where weaknesses or deficiencies - in the hardware, software, and firmware components provide opportunities - for adversaries to exploit vulnerabilities. Attack surface reviews - ensure that developers analyze the design and implementation changes - to systems and mitigate attack vectors generated as a result of - the changes. The correction of identified flaws includes deprecation - of unsafe functions. - - name: objective - props: - - name: label - value: SA-11(06) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to perform attack surface reviews. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security testing and evaluation plans - - - system developer security testing and evaluation results - - - records of attack surface reviews - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - id: sa-11.7 - class: SP800-53-enhancement - title: Verify Scope of Testing and Evaluation - params: - - id: sa-11.7_prm_1 - props: - - name: aggregates - value: sa-11.07_odp.01 - label: organization-defined breadth and depth of testing and evaluation - - id: sa-11.07_odp.01 - props: - - name: label - value: SA-11(07)_ODP[01] - label: breadth - guidelines: - - prose: the breadth of testing and evaluation of required controls - is defined; - - id: sa-11.07_odp.02 - props: - - name: label - value: SA-11(07)_ODP[02] - label: depth - guidelines: - - prose: the depth of testing and evaluation of required controls - is defined; - props: - - name: label - value: SA-11(07) - - name: sort-id - value: sa-11.07 - links: - - href: "#sa-11" - rel: required - - href: "#sa-15" - rel: related - parts: - - id: sa-11.7_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to verify that the scope of testing and evaluation\ - \ provides complete coverage of the required controls at the following\ - \ level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - - id: sa-11.7_gdn - name: guidance - prose: Verifying that testing and evaluation provides complete coverage - of required controls can be accomplished by a variety of analytic - techniques ranging from informal to formal. Each of these techniques - provides an increasing level of assurance that corresponds to - the degree of formality of the analysis. Rigorously demonstrating - control coverage at the highest levels of assurance can be achieved - using formal modeling and analysis techniques, including correlation - between control implementation and corresponding test cases. - - name: objective - props: - - name: label - value: SA-11(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(07)[01] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to verify that the scope of testing\ - \ and evaluation provides complete coverage of the required\ - \ controls at {{ insert: param, sa-11.07_odp.01 }};" - - name: objective - props: - - name: label - value: SA-11(07)[02] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to verify that the scope of testing\ - \ and evaluation provides complete coverage of the required\ - \ controls at {{ insert: param, sa-11.07_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security testing and evaluation plans - - - system developer security testing and evaluation results - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - system developers - - - independent verification agent - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - id: sa-11.8 - class: SP800-53-enhancement - title: Dynamic Code Analysis - props: - - name: label - value: SA-11(08) - - name: sort-id - value: sa-11.08 - links: - - href: "#sa-11" - rel: required - parts: - - id: sa-11.8_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ dynamic code analysis tools to identify - common flaws and document the results of the analysis. - - id: sa-11.8_gdn - name: guidance - prose: Dynamic code analysis provides runtime verification of software - programs using tools capable of monitoring programs for memory - corruption, user privilege issues, and other potential security - problems. Dynamic code analysis employs runtime tools to ensure - that security functionality performs in the way it was designed. - A type of dynamic analysis, known as fuzz testing, induces program - failures by deliberately introducing malformed or random data - into software programs. Fuzz testing strategies are derived from - the intended use of applications and the functional and design - specifications for the applications. To understand the scope of - dynamic code analysis and the assurance provided, organizations - may also consider conducting code coverage analysis (i.e., checking - the degree to which the code has been tested using metrics such - as percent of subroutines tested or percent of program statements - called during execution of the test suite) and/or concordance - analysis (i.e., checking for words that are out of place in software - code, such as non-English language words or derogatory terms). - - name: objective - props: - - name: label - value: SA-11(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(08)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ dynamic code analysis tools - to identify common flaws; - - name: objective - props: - - name: label - value: SA-11(08)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to document the results of the analysis. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - procedures addressing flaw remediation - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security test and evaluation plans - - - security test and evaluation results - - - security flaw and remediation tracking reports - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for monitoring developer - security testing and evaluation - - - automated mechanisms supporting and/or implementing the monitoring - of developer security testing and evaluation - - id: sa-11.9 - class: SP800-53-enhancement - title: Interactive Application Security Testing - props: - - name: label - value: SA-11(09) - - name: sort-id - value: sa-11.09 - links: - - href: "#sa-11" - rel: required - parts: - - id: sa-11.9_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ interactive application security testing - tools to identify flaws and document the results. - - id: sa-11.9_gdn - name: guidance - prose: Interactive (also known as instrumentation-based) application - security testing is a method of detecting vulnerabilities by observing - applications as they run during testing. The use of instrumentation - relies on direct measurements of the actual running applications - and uses access to the code, user interaction, libraries, frameworks, - backend connections, and configurations to directly measure control - effectiveness. When combined with analysis techniques, interactive - application security testing can identify a broad range of potential - vulnerabilities and confirm control effectiveness. Instrumentation-based - testing works in real time and can be used continuously throughout - the system development life cycle. - - name: objective - props: - - name: label - value: SA-11(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-11(09)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to employ interactive application security - testing tools to identify flaws; - - name: objective - props: - - name: label - value: SA-11(09)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to document the results of flaw identification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-11(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing system developer security testing - - - procedures addressing interactive application security testing - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system developer security test and evaluation plans - - - security test and evaluation results - - - security flaw and remediation tracking reports - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-11(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with developer security testing responsibilities - - - organizational personnel with configuration management responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-11(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for interactive application - security testing - - - automated mechanisms supporting and/or implementing the interactive - application security testing - - id: sa-12 - class: SP800-53 - title: Supply Chain Protection - props: - - name: label - value: SA-12 - - name: sort-id - value: sa-12 - - name: status - value: withdrawn - links: - - href: "#sr" - rel: incorporated-into - controls: - - id: sa-12.1 - class: SP800-53-enhancement - title: Acquisition Strategies / Tools / Methods - props: - - name: label - value: SA-12(01) - - name: sort-id - value: sa-12.01 - - name: status - value: withdrawn - links: - - href: "#sr-5" - rel: moved-to - - id: sa-12.2 - class: SP800-53-enhancement - title: Supplier Reviews - props: - - name: label - value: SA-12(02) - - name: sort-id - value: sa-12.02 - - name: status - value: withdrawn - links: - - href: "#sr-6" - rel: moved-to - - id: sa-12.3 - class: SP800-53-enhancement - title: Trusted Shipping and Warehousing - props: - - name: label - value: SA-12(03) - - name: sort-id - value: sa-12.03 - - name: status - value: withdrawn - links: - - href: "#sr-3" - rel: incorporated-into - - id: sa-12.4 - class: SP800-53-enhancement - title: Diversity of Suppliers - props: - - name: label - value: SA-12(04) - - name: sort-id - value: sa-12.04 - - name: status - value: withdrawn - links: - - href: "#sr-3.1" - rel: moved-to - - id: sa-12.5 - class: SP800-53-enhancement - title: Limitation of Harm - props: - - name: label - value: SA-12(05) - - name: sort-id - value: sa-12.05 - - name: status - value: withdrawn - links: - - href: "#sr-3.2" - rel: moved-to - - id: sa-12.6 - class: SP800-53-enhancement - title: Minimizing Procurement Time - props: - - name: label - value: SA-12(06) - - name: sort-id - value: sa-12.06 - - name: status - value: withdrawn - links: - - href: "#sr-5.1" - rel: incorporated-into - - id: sa-12.7 - class: SP800-53-enhancement - title: Assessments Prior to Selection / Acceptance / Update - props: - - name: label - value: SA-12(07) - - name: sort-id - value: sa-12.07 - - name: status - value: withdrawn - links: - - href: "#sr-5.2" - rel: moved-to - - id: sa-12.8 - class: SP800-53-enhancement - title: Use of All-source Intelligence - props: - - name: label - value: SA-12(08) - - name: sort-id - value: sa-12.08 - - name: status - value: withdrawn - links: - - href: "#ra-3.2" - rel: incorporated-into - - id: sa-12.9 - class: SP800-53-enhancement - title: Operations Security - props: - - name: label - value: SA-12(09) - - name: sort-id - value: sa-12.09 - - name: status - value: withdrawn - links: - - href: "#sr-7" - rel: moved-to - - id: sa-12.10 - class: SP800-53-enhancement - title: Validate as Genuine and Not Altered - props: - - name: label - value: SA-12(10) - - name: sort-id - value: sa-12.10 - - name: status - value: withdrawn - links: - - href: "#sr-4.3" - rel: moved-to - - id: sa-12.11 - class: SP800-53-enhancement - title: Penetration Testing / Analysis of Elements, Processes, and Actors - props: - - name: label - value: SA-12(11) - - name: sort-id - value: sa-12.11 - - name: status - value: withdrawn - links: - - href: "#sr-6.1" - rel: moved-to - - id: sa-12.12 - class: SP800-53-enhancement - title: Inter-organizational Agreements - props: - - name: label - value: SA-12(12) - - name: sort-id - value: sa-12.12 - - name: status - value: withdrawn - links: - - href: "#sr-8" - rel: moved-to - - id: sa-12.13 - class: SP800-53-enhancement - title: Critical Information System Components - props: - - name: label - value: SA-12(13) - - name: sort-id - value: sa-12.13 - - name: status - value: withdrawn - links: - - href: "#ma-6" - rel: incorporated-into - - href: "#ra-9" - rel: incorporated-into - - id: sa-12.14 - class: SP800-53-enhancement - title: Identity and Traceability - props: - - name: label - value: SA-12(14) - - name: sort-id - value: sa-12.14 - - name: status - value: withdrawn - links: - - href: "#sr-4.1" - rel: incorporated-into - - href: "#sr-4.2" - rel: incorporated-into - - id: sa-12.15 - class: SP800-53-enhancement - title: Processes to Address Weaknesses or Deficiencies - props: - - name: label - value: SA-12(15) - - name: sort-id - value: sa-12.15 - - name: status - value: withdrawn - links: - - href: "#sr-3" - rel: incorporated-into - - id: sa-13 - class: SP800-53 - title: Trustworthiness - props: - - name: label - value: SA-13 - - name: sort-id - value: sa-13 - - name: status - value: withdrawn - links: - - href: "#sa-8" - rel: incorporated-into - - id: sa-14 - class: SP800-53 - title: Criticality Analysis - props: - - name: label - value: SA-14 - - name: sort-id - value: sa-14 - - name: status - value: withdrawn - links: - - href: "#ra-9" - rel: incorporated-into - controls: - - id: sa-14.1 - class: SP800-53-enhancement - title: Critical Components with No Viable Alternative Sourcing - props: - - name: label - value: SA-14(01) - - name: sort-id - value: sa-14.01 - - name: status - value: withdrawn - links: - - href: "#sa-20" - rel: incorporated-into - - id: sa-15 - class: SP800-53 - title: Development Process, Standards, and Tools - params: - - id: sa-15_prm_2 - props: - - name: aggregates - value: sa-15_odp.02 - label: organization-defined security and privacy requirements - - id: sa-15_odp.01 - props: - - name: legacy-identifier - value: sa-15_prm_1 - - name: label - value: SA-15_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to review the development process, standards, - tools, tool options, and tool configurations is defined; - - id: sa-15_odp.02 - props: - - name: label - value: SA-15_ODP[02] - label: security requirements - guidelines: - - prose: security requirements to be satisfied by the process, standards, - tools, tool options, and tool configurations are defined; - - id: sa-15_odp.03 - props: - - name: label - value: SA-15_ODP[03] - label: privacy requirements - guidelines: - - prose: privacy requirements to be satisfied by the process, standards, - tools, tool options, and tool configurations are defined; - props: - - name: label - value: SA-15 - - name: sort-id - value: sa-15 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#d4296805-2dca-4c63-a95f-eeccaa826aec" - rel: reference - - href: "#ma-6" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - parts: - - id: sa-15_smt - name: statement - parts: - - id: sa-15_smt.a - name: item - props: - - name: label - value: a. - prose: "Require the developer of the system, system component, or\ - \ system service to follow a documented development process that:" - parts: - - id: sa-15_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: Explicitly addresses security and privacy requirements; - - id: sa-15_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Identifies the standards and tools used in the development - process; - - id: sa-15_smt.a.3 - name: item - props: - - name: label - value: "03." - prose: Documents the specific tool options and tool configurations - used in the development process; and - - id: sa-15_smt.a.4 - name: item - props: - - name: label - value: "04." - prose: Documents, manages, and ensures the integrity of changes - to the process and/or tools used in development; and - - id: sa-15_smt.b - name: item - props: - - name: label - value: b. - prose: "Review the development process, standards, tools, tool options,\ - \ and tool configurations {{ insert: param, sa-15_odp.01 }} to\ - \ determine if the process, standards, tools, tool options and\ - \ tool configurations selected and employed can satisfy the following\ - \ security and privacy requirements: {{ insert: param, sa-15_prm_2\ - \ }}." - - id: sa-15_gdn - name: guidance - prose: Development tools include programming languages and computer-aided - design systems. Reviews of development processes include the use of - maturity models to determine the potential effectiveness of such processes. - Maintaining the integrity of changes to tools and processes facilitates - effective supply chain risk assessment and mitigation. Such integrity - requires configuration control throughout the system development life - cycle to track authorized changes and prevent unauthorized changes. - - name: objective - props: - - name: label - value: SA-15 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15a.01[01] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that explicitly addresses security requirements; - - name: objective - props: - - name: label - value: SA-15a.01[02] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that explicitly addresses privacy requirements; - - name: objective - props: - - name: label - value: SA-15a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15a.02[01] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that identifies the standards used in the development - process; - - name: objective - props: - - name: label - value: SA-15a.02[02] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that identifies the tools used in the development - process; - - name: objective - props: - - name: label - value: SA-15a.03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15a.03[01] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that documents the specific tool used in the development - process; - - name: objective - props: - - name: label - value: SA-15a.03[02] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to follow a documented development - process that documents the specific tool configurations - used in the development process; - - name: objective - props: - - name: label - value: SA-15a.04 - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to follow a documented development process - that documents, manages, and ensures the integrity of changes - to the process and/or tools used in development; - - name: objective - props: - - name: label - value: SA-15b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15b.[01] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to follow a documented development process\ - \ in which the development process, standards, tools, tool\ - \ options, and tool configurations are reviewed {{ insert:\ - \ param, sa-15_odp.01 }} to determine that the process, standards,\ - \ tools, tool options, and tool configurations selected and\ - \ employed satisfy {{ insert: param, sa-15_odp.02 }};" - - name: objective - props: - - name: label - value: SA-15b.[02] - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to follow a documented development process\ - \ in which the development process, standards, tools, tool\ - \ options, and tool configurations are reviewed {{ insert:\ - \ param, sa-15_odp.01 }} to determine that the process, standards,\ - \ tools, tool options, and tool configurations selected and\ - \ employed satisfy {{ insert: param, sa-15_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing development process, standards, and tools - - - procedures addressing the integration of security and privacy - requirements during the development process - - - solicitation documentation - - - acquisition documentation - - - critical component inventory documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - system developer documentation listing tool options/configuration - guides - - - configuration management policy - - - configuration management records - - - documentation of development process reviews using maturity models - - - change control records - - - configuration control records - - - documented reviews of the development process, standards, tools, - and tool options/configurations - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - controls: - - id: sa-15.1 - class: SP800-53-enhancement - title: Quality Metrics - params: - - id: sa-15.01_odp.01 - props: - - name: legacy-identifier - value: sa-15.1_prm_1 - - name: label - value: SA-15(01)_ODP[01] - select: - how-many: one-or-more - choice: - - " {{ insert: param, sa-15.01_odp.02 }} " - - " {{ insert: param, sa-15.01_odp.03 }} " - - upon delivery - - id: sa-15.01_odp.02 - props: - - name: legacy-identifier - value: sa-15.1_prm_2 - - name: label - value: SA-15(01)_ODP[02] - label: frequency - guidelines: - - prose: frequency at which to provide evidence of meeting the - quality metrics is defined (if selected); - - id: sa-15.01_odp.03 - props: - - name: legacy-identifier - value: sa-15.1_prm_3 - - name: label - value: SA-15(01)_ODP[03] - label: program review - guidelines: - - prose: program review milestones are defined (if selected); - props: - - name: label - value: SA-15(01) - - name: sort-id - value: sa-15.01 - links: - - href: "#sa-15" - rel: required - parts: - - id: sa-15.1_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-15.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Define quality metrics at the beginning of the development - process; and - - id: sa-15.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Provide evidence of meeting the quality metrics {{ insert:\ - \ param, sa-15.01_odp.01 }}." - - id: sa-15.1_gdn - name: guidance - prose: Organizations use quality metrics to establish acceptable - levels of system quality. Metrics can include quality gates, which - are collections of completion criteria or sufficiency standards - that represent the satisfactory execution of specific phases of - the system development project. For example, a quality gate may - require the elimination of all compiler warnings or a determination - that such warnings have no impact on the effectiveness of required - security or privacy capabilities. During the execution phases - of development projects, quality gates provide clear, unambiguous - indications of progress. Other metrics apply to the entire development - project. Metrics can include defining the severity thresholds - of vulnerabilities in accordance with organizational risk tolerance, - such as requiring no known vulnerabilities in the delivered system - with a Common Vulnerability Scoring System (CVSS) severity of - medium or high. - - name: objective - props: - - name: label - value: SA-15(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(01)(a) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to define quality metrics at the beginning - of the development process; - - name: objective - props: - - name: label - value: SA-15(01)(b) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to provide evidence of meeting the quality\ - \ metrics {{ insert: param, sa-15.01_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing development process, standards, and - tools - - - procedures addressing the integration of security requirements - into the acquisition process - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - list of quality metrics - - - documentation evidence of meeting quality metrics - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - id: sa-15.2 - class: SP800-53-enhancement - title: Security and Privacy Tracking Tools - props: - - name: label - value: SA-15(02) - - name: sort-id - value: sa-15.02 - links: - - href: "#sa-15" - rel: required - - href: "#sa-11" - rel: related - parts: - - id: sa-15.2_smt - name: statement - prose: Require the developer of the system, system component, or - system service to select and employ security and privacy tracking - tools for use during the development process. - - id: sa-15.2_gdn - name: guidance - prose: System development teams select and deploy security and privacy - tracking tools, including vulnerability or work item tracking - systems that facilitate assignment, sorting, filtering, and tracking - of completed work items or tasks associated with development processes. - - name: objective - props: - - name: label - value: SA-15(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(02)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to select and employ security tracking - tools for use during the development process; - - name: objective - props: - - name: label - value: SA-15(02)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to select and employ privacy tracking - tools for use during the development process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing development process, standards, and - tools - - - procedures addressing the integration of security and privacy - requirements into the acquisition process - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - documentation of the selection of security and privacy tracking - tools - - - evidence of employing security and privacy tracking tools - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with privacy responsibilities - - id: sa-15.3 - class: SP800-53-enhancement - title: Criticality Analysis - params: - - id: sa-15.3_prm_1 - props: - - name: aggregates - value: sa-15.03_odp.01 - label: organization-defined decision points in the system development - life cycle - - id: sa-15.3_prm_2 - props: - - name: aggregates - value: sa-15.03_odp.02 - label: organization-defined breadth and depth of criticality analysis - - id: sa-15.03_odp.01 - props: - - name: label - value: SA-15(03)_ODP[01] - label: decision points - guidelines: - - prose: decision points in the system development life cycle - are defined; - - id: sa-15.03_odp.02 - props: - - name: label - value: SA-15(03)_ODP[02] - label: breadth - guidelines: - - prose: the breadth of criticality analysis is defined; - - id: sa-15.03_odp.03 - props: - - name: label - value: SA-15(03)_ODP[03] - label: depth - guidelines: - - prose: the depth of criticality analysis is defined; - props: - - name: label - value: SA-15(03) - - name: sort-id - value: sa-15.03 - links: - - href: "#sa-15" - rel: required - - href: "#ra-9" - rel: related - parts: - - id: sa-15.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform a criticality analysis:" - parts: - - id: sa-15.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "At the following decision points in the system development\ - \ life cycle: {{ insert: param, sa-15.3_prm_1 }} ; and" - - id: sa-15.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "At the following level of rigor: {{ insert: param, sa-15.3_prm_2\ - \ }}." - - id: sa-15.3_gdn - name: guidance - prose: Criticality analysis performed by the developer provides - input to the criticality analysis performed by organizations. - Developer input is essential to organizational criticality analysis - because organizations may not have access to detailed design documentation - for system components that are developed as commercial off-the-shelf - products. Such design documentation includes functional specifications, - high-level designs, low-level designs, source code, and hardware - schematics. Criticality analysis is important for organizational - systems that are designated as high value assets. High value assets - can be moderate- or high-impact systems due to heightened adversarial - interest or potential adverse effects on the federal enterprise. - Developer input is especially important when organizations conduct - supply chain criticality analyses. - - name: objective - props: - - name: label - value: SA-15(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(03)(a) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to perform a criticality analysis at\ - \ {{ insert: param, sa-15.03_odp.01 }} in the system development\ - \ life cycle;" - - name: objective - props: - - name: label - value: SA-15(03)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(03)(b)[01] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform a criticality\ - \ analysis at the following rigor level: {{ insert: param,\ - \ sa-15.03_odp.02 }};" - - name: objective - props: - - name: label - value: SA-15(03)(b)[02] - class: sp800-53A - prose: "the developer of the system, system component, or\ - \ system service is required to perform a criticality\ - \ analysis at the following rigor level: {{ insert: param,\ - \ sa-15.03_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing development process, standards, and - tools - - - procedures addressing criticality analysis requirements for - the system, system component, or system service - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - criticality analysis documentation - - - business impact analysis documentation - - - software development life cycle documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for performing criticality - analysis - - - system developer - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-15(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for performing criticality - analysis - - - automated mechanisms supporting and/or implementing criticality - analysis - - id: sa-15.4 - class: SP800-53-enhancement - title: Threat Modeling and Vulnerability Analysis - props: - - name: label - value: SA-15(04) - - name: sort-id - value: sa-15.04 - - name: status - value: withdrawn - links: - - href: "#sa-11.2" - rel: incorporated-into - - id: sa-15.5 - class: SP800-53-enhancement - title: Attack Surface Reduction - params: - - id: sa-15.05_odp - props: - - name: legacy-identifier - value: sa-15.5_prm_1 - - name: label - value: SA-15(05)_ODP - label: thresholds - guidelines: - - prose: thresholds to which attack surfaces are to be reduced - are defined; - props: - - name: label - value: SA-15(05) - - name: sort-id - value: sa-15.05 - links: - - href: "#sa-15" - rel: required - - href: "#ac-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-15.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to reduce attack surfaces to {{ insert: param,\ - \ sa-15.05_odp }}." - - id: sa-15.5_gdn - name: guidance - prose: Attack surface reduction is closely aligned with threat and - vulnerability analyses and system architecture and design. Attack - surface reduction is a means of reducing risk to organizations - by giving attackers less opportunity to exploit weaknesses or - deficiencies (i.e., potential vulnerabilities) within systems, - system components, and system services. Attack surface reduction - includes implementing the concept of layered defenses, applying - the principles of least privilege and least functionality, applying - secure software development practices, deprecating unsafe functions, - reducing entry points available to unauthorized users, reducing - the amount of code that executes, and eliminating application - programming interfaces (APIs) that are vulnerable to attacks. - - name: objective - props: - - name: label - value: SA-15(05) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to reduce attack surfaces to {{ insert:\ - \ param, sa-15.05_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing development process, standards, and - tools - - - procedures addressing attack surface reduction - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system or system service - - - system design documentation - - - network diagram - - - system configuration settings and associated documentation - establishing/enforcing organization-defined thresholds for - reducing attack surfaces - - - list of restricted ports, protocols, functions, and services - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for attack surface reduction - thresholds - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-15(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for defining attack surface - reduction thresholds - - id: sa-15.6 - class: SP800-53-enhancement - title: Continuous Improvement - props: - - name: label - value: SA-15(06) - - name: sort-id - value: sa-15.06 - links: - - href: "#sa-15" - rel: required - parts: - - id: sa-15.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to implement an explicit process to continuously - improve the development process. - - id: sa-15.6_gdn - name: guidance - prose: Developers of systems, system components, and system services - consider the effectiveness and efficiency of their development - processes for meeting quality objectives and addressing the security - and privacy capabilities in current threat environments. - - name: objective - props: - - name: label - value: SA-15(06) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to implement an explicit process to continuously - improve the development process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing development process, standards, and - tools - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - quality goals and metrics for improving the system development - process - - - security assessments - - - quality control reviews of system development process - - - plans of action and milestones for improving the system development - process - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - id: sa-15.7 - class: SP800-53-enhancement - title: Automated Vulnerability Analysis - params: - - id: sa-15.07_odp.01 - props: - - name: legacy-identifier - value: sa-15.7_prm_1 - - name: label - value: SA-15(07)_ODP[01] - label: frequency - guidelines: - - prose: frequency at which to conduct vulnerability analysis - is defined; - - id: sa-15.07_odp.02 - props: - - name: legacy-identifier - value: sa-15.7_prm_2 - - name: label - value: SA-15(07)_ODP[02] - label: tools - guidelines: - - prose: tools used to perform automated vulnerability analysis - are defined; - - id: sa-15.07_odp.03 - props: - - name: legacy-identifier - value: sa-15.7_prm_3 - - name: label - value: SA-15(07)_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the outputs of tools and results - of the analysis are to be delivered is/are defined; - props: - - name: label - value: SA-15(07) - - name: sort-id - value: sa-15.07 - links: - - href: "#sa-15" - rel: required - - href: "#ra-5" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-15.7_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service {{ insert: param, sa-15.07_odp.01 }} to:" - parts: - - id: sa-15.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Perform an automated vulnerability analysis using {{\ - \ insert: param, sa-15.07_odp.02 }};" - - id: sa-15.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Determine the exploitation potential for discovered vulnerabilities; - - id: sa-15.7_smt.c - name: item - props: - - name: label - value: (c) - prose: Determine potential risk mitigations for delivered vulnerabilities; - and - - id: sa-15.7_smt.d - name: item - props: - - name: label - value: (d) - prose: "Deliver the outputs of the tools and results of the\ - \ analysis to {{ insert: param, sa-15.07_odp.03 }}." - - id: sa-15.7_gdn - name: guidance - prose: Automated tools can be more effective at analyzing exploitable - weaknesses or deficiencies in large and complex systems, prioritizing - vulnerabilities by severity, and providing recommendations for - risk mitigations. - - name: objective - props: - - name: label - value: SA-15(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(07)(a) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to perform automated vulnerability analysis\ - \ {{ insert: param, sa-15.07_odp.01 }} using {{ insert: param,\ - \ sa-15.07_odp.02 }};" - - name: objective - props: - - name: label - value: SA-15(07)(b) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to determine the exploitation potential\ - \ for discovered vulnerabilities {{ insert: param, sa-15.07_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SA-15(07)(c) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to determine potential risk mitigations\ - \ {{ insert: param, sa-15.07_odp.01 }} for delivered vulnerabilities;" - - name: objective - props: - - name: label - value: SA-15(07)(d) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to deliver the outputs of the tools\ - \ and results of the analysis {{ insert: param, sa-15.07_odp.01\ - \ }} to {{ insert: param, sa-15.07_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing development process, standards, and - tools - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - vulnerability analysis tools and associated documentation - - - risk assessment reports - - - vulnerability analysis results - - - vulnerability mitigation reports - - - risk mitigation strategy documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel performing automated vulnerability - analysis on the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-15(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for vulnerability analysis of - systems, system components, or system services under - development - - - automated mechanisms supporting and/or implementing vulnerability - analysis of systems, system components, or system services - under development - - id: sa-15.8 - class: SP800-53-enhancement - title: Reuse of Threat and Vulnerability Information - props: - - name: label - value: SA-15(08) - - name: sort-id - value: sa-15.08 - links: - - href: "#sa-15" - rel: required - parts: - - id: sa-15.8_smt - name: statement - prose: Require the developer of the system, system component, or - system service to use threat modeling and vulnerability analyses - from similar systems, components, or services to inform the current - development process. - - id: sa-15.8_gdn - name: guidance - prose: Analysis of vulnerabilities found in similar software applications - can inform potential design and implementation issues for systems - under development. Similar systems or system components may exist - within developer organizations. Vulnerability information is available - from a variety of public and private sector sources, including - the NIST National Vulnerability Database. - - name: objective - props: - - name: label - value: SA-15(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(08)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to use threat modeling from similar systems, - components, or services to inform the current development - process; - - name: objective - props: - - name: label - value: SA-15(08)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to use vulnerability analyses from similar - systems, components, or services to inform the current development - process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - supply chain risk management plan - - - procedures addressing development process, standards, and - tools - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - threat modeling and vulnerability analyses from similar systems, - system components, or system services - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with supply chain risk management - responsibilities - - id: sa-15.9 - class: SP800-53-enhancement - title: Use of Live Data - props: - - name: label - value: SA-15(09) - - name: sort-id - value: sa-15.09 - - name: status - value: withdrawn - links: - - href: "#sa-3.2" - rel: incorporated-into - - id: sa-15.10 - class: SP800-53-enhancement - title: Incident Response Plan - props: - - name: label - value: SA-15(10) - - name: sort-id - value: sa-15.10 - links: - - href: "#sa-15" - rel: required - - href: "#ir-8" - rel: related - parts: - - id: sa-15.10_smt - name: statement - prose: Require the developer of the system, system component, or - system service to provide, implement, and test an incident response - plan. - - id: sa-15.10_gdn - name: guidance - prose: The incident response plan provided by developers may provide - information not readily available to organizations and be incorporated - into organizational incident response plans. Developer information - may also be extremely helpful, such as when organizations respond - to vulnerabilities in commercial off-the-shelf products. - - name: objective - props: - - name: label - value: SA-15(10) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-15(10)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to provide an incident response plan; - - name: objective - props: - - name: label - value: SA-15(10)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to implement an incident response plan; - - name: objective - props: - - name: label - value: SA-15(10)[03] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to test an incident response plan. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing incident response, standards, and tools - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system components or - services - - - acquisition documentation - - - solicitation documentation - - - service level agreements - - - developer incident response plan - - - system security plan - - - privacy plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with supply chain risk management - responsibilities - - id: sa-15.11 - class: SP800-53-enhancement - title: Archive System or Component - props: - - name: label - value: SA-15(11) - - name: sort-id - value: sa-15.11 - links: - - href: "#sa-15" - rel: required - - href: "#cm-2" - rel: related - parts: - - id: sa-15.11_smt - name: statement - prose: Require the developer of the system or system component to - archive the system or component to be released or delivered together - with the corresponding evidence supporting the final security - and privacy review. - - id: sa-15.11_gdn - name: guidance - prose: Archiving system or system components requires the developer - to retain key development artifacts, including hardware specifications, - source code, object code, and relevant documentation from the - development process that can provide a readily available configuration - baseline for system and component upgrades or modifications. - - name: objective - props: - - name: label - value: SA-15(11) - class: sp800-53A - prose: the developer of the system or system component is required - to archive the system or component to be released or delivered - together with the corresponding evidence supporting the final - security and privacy review. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing development process, standards, and - tools - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system or system component - - - evidence of archived system or component - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with privacy responsibilities - - id: sa-15.12 - class: SP800-53-enhancement - title: Minimize Personally Identifiable Information - props: - - name: label - value: SA-15(12) - - name: sort-id - value: sa-15.12 - links: - - href: "#sa-15" - rel: required - - href: "#pm-25" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-15.12_smt - name: statement - prose: Require the developer of the system or system component to - minimize the use of personally identifiable information in development - and test environments. - - id: sa-15.12_gdn - name: guidance - prose: Organizations can minimize the risk to an individual’s privacy - by using techniques such as de-identification or synthetic data. - Limiting the use of personally identifiable information in development - and test environments helps reduce the level of privacy risk created - by a system. - - name: objective - props: - - name: label - value: SA-15(12) - class: sp800-53A - prose: the developer of the system or system component is required - to minimize the use of personally identifiable information in - development and test environments. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-15(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the development process - - - procedures addressing the minimization of personally identifiable - information in testing, training, and research - - - personally identifiable information processing policy - - - procedures addressing the authority to test with personally - identifiable information - - - standards and tools - - - solicitation documentation - - - service level agreements - - - acquisition contracts for the system or services - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-15(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-15(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the minimization of - personally identifiable information in development and - test environments - - - automated mechanisms to facilitate minimization of personally - identifiable information in development and test environments - - id: sa-16 - class: SP800-53 - title: Developer-provided Training - params: - - id: sa-16_prm_1 - props: - - name: aggregates - value: sa-16_odp - label: organization-defined training - - id: sa-16_odp - props: - - name: label - value: SA-16_ODP - label: training - guidelines: - - prose: training on the correct use and operation of the implemented - security and privacy functions, controls, and/or mechanisms provided - by the developer of the system, system component, or system service - is defined; - props: - - name: label - value: SA-16 - - name: sort-id - value: sa-16 - links: - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#pe-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-16_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to provide the following training on the correct use and\ - \ operation of the implemented security and privacy functions, controls,\ - \ and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - - id: sa-16_gdn - name: guidance - prose: Developer-provided training applies to external and internal - (in-house) developers. Training personnel is essential to ensuring - the effectiveness of the controls implemented within organizational - systems. Types of training include web-based and computer-based training, - classroom-style training, and hands-on training (including micro-training). - Organizations can also request training materials from developers - to conduct in-house training or offer self-training to organizational - personnel. Organizations determine the type of training necessary - and may require different types of training for different security - and privacy functions, controls, and mechanisms. - - name: objective - props: - - name: label - value: SA-16 - class: sp800-53A - prose: "the developer of the system, system component, or system service\ - \ is required to provide {{ insert: param, sa-16_odp }} on the correct\ - \ use and operation of the implemented security and privacy functions,\ - \ controls, and/or mechanisms." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing developer-provided training - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - organizational security and privacy training policy - - - developer-provided training materials - - - training records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - external or internal (in-house) developers with training responsibilities - for the system, system component, or information system service - - id: sa-17 - class: SP800-53 - title: Developer Security and Privacy Architecture and Design - props: - - name: label - value: SA-17 - - name: sort-id - value: sa-17 - links: - - href: "#87087451-2af5-43d4-88c1-d66ad850f614" - rel: reference - - href: "#4452efc0-e79e-47b8-aa30-b54f3ef61c2f" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: sa-17_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to produce a design specification and security and privacy\ - \ architecture that:" - parts: - - id: sa-17_smt.a - name: item - props: - - name: label - value: a. - prose: Is consistent with the organization’s security and privacy - architecture that is an integral part the organization’s enterprise - architecture; - - id: sa-17_smt.b - name: item - props: - - name: label - value: b. - prose: Accurately and completely describes the required security - and privacy functionality, and the allocation of controls among - physical and logical components; and - - id: sa-17_smt.c - name: item - props: - - name: label - value: c. - prose: Expresses how individual security and privacy functions, - mechanisms, and services work together to provide required security - and privacy capabilities and a unified approach to protection. - - id: sa-17_gdn - name: guidance - prose: Developer security and privacy architecture and design are directed - at external developers, although they could also be applied to internal - (in-house) development. In contrast, [PL-8](#pl-8) is directed at - internal developers to ensure that organizations develop a security - and privacy architecture that is integrated with the enterprise architecture. - The distinction between SA-17 and [PL-8](#pl-8) is especially important - when organizations outsource the development of systems, system components, - or system services and when there is a requirement to demonstrate - consistency with the enterprise architecture and security and privacy - architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), - [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) - provide information on security architecture and design, including - formal policy models, security-relevant components, formal and informal - correspondence, conceptually simple design, and structuring for least - privilege and testing. - - name: objective - props: - - name: label - value: SA-17 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(a)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - security architecture that are consistent with the organization’s - security architecture, which is an integral part the organization’s - enterprise architecture; - - name: objective - props: - - name: label - value: SA-17(a)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - privacy architecture that are consistent with the organization’s - privacy architecture, which is an integral part the organization’s - enterprise architecture; - - name: objective - props: - - name: label - value: SA-17(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(b)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - security architecture that accurately and completely describe - the required security functionality and the allocation of - controls among physical and logical components; - - name: objective - props: - - name: label - value: SA-17(b)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - privacy architecture that accurately and completely describe - the required privacy functionality and the allocation of controls - among physical and logical components; - - name: objective - props: - - name: label - value: SA-17(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(c)[01] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - security architecture that express how individual security - functions, mechanisms, and services work together to provide - required security capabilities and a unified approach to protection; - - name: objective - props: - - name: label - value: SA-17(c)[02] - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to produce a design specification and - privacy architecture that express how individual privacy functions, - mechanisms, and services work together to provide required - privacy capabilities and a unified approach to protection. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - enterprise architecture policy - - - enterprise architecture documentation - - - procedures addressing developer security and privacy architecture - and design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - system design documentation - - - information system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - controls: - - id: sa-17.1 - class: SP800-53-enhancement - title: Formal Policy Model - params: - - id: sa-17.1_prm_1 - props: - - name: aggregates - value: sa-17.01_odp.01 - label: organization-defined elements of organizational security - and privacy policy - - id: sa-17.01_odp.01 - props: - - name: label - value: SA-17(01)_ODP[01] - label: organizational security policy - guidelines: - - prose: organizational security policy to be enforced is defined; - - id: sa-17.01_odp.02 - props: - - name: label - value: SA-17(01)_ODP[02] - label: organizational privacy policy - guidelines: - - prose: organizational privacy policy to be enforced is defined; - props: - - name: label - value: SA-17(01) - - name: sort-id - value: sa-17.01 - links: - - href: "#sa-17" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - parts: - - id: sa-17.1_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Produce, as an integral part of the development process,\ - \ a formal policy model describing the {{ insert: param, sa-17.1_prm_1\ - \ }} to be enforced; and" - - id: sa-17.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Prove that the formal policy model is internally consistent - and sufficient to enforce the defined elements of the organizational - security and privacy policy when implemented. - - id: sa-17.1_gdn - name: guidance - prose: Formal models describe specific behaviors or security and - privacy policies using formal languages, thus enabling the correctness - of those behaviors and policies to be formally proven. Not all - components of systems can be modeled. Generally, formal specifications - are scoped to the behaviors or policies of interest, such as nondiscretionary - access control policies. Organizations choose the formal modeling - language and approach based on the nature of the behaviors and - policies to be described and the available tools. - - name: objective - props: - - name: label - value: SA-17(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(01)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(01)(a)[01] - class: sp800-53A - prose: "as an integral part of the development process,\ - \ the developer of the system, system component, or system\ - \ service is required to produce a formal policy model\ - \ describing the {{ insert: param, sa-17.01_odp.01 }}\ - \ to be enforced;" - - name: objective - props: - - name: label - value: SA-17(01)(a)[02] - class: sp800-53A - prose: "as an integral part of the development process,\ - \ the developer of the system, system component, or system\ - \ service is required to produce a formal policy model\ - \ describing the {{ insert: param, sa-17.01_odp.02 }}\ - \ to be enforced;" - - name: objective - props: - - name: label - value: SA-17(01)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(01)(b)[01] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to prove that the formal policy - model is internally consistent and sufficient to enforce - the defined elements of the organizational security policy - when implemented; - - name: objective - props: - - name: label - value: SA-17(01)(b)[02] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to prove that the formal policy - model is internally consistent and sufficient to enforce - the defined elements of the organizational privacy policy - when implemented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - system and services acquisition procedures - - - enterprise architecture policy - - - enterprise architecture documentation - - - procedures addressing developer security and privacy architecture - and design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - id: sa-17.2 - class: SP800-53-enhancement - title: Security-relevant Components - props: - - name: label - value: SA-17(02) - - name: sort-id - value: sa-17.02 - links: - - href: "#sa-17" - rel: required - - href: "#ac-25" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Define security-relevant hardware, software, and firmware; - and - - id: sa-17.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide a rationale that the definition for security-relevant - hardware, software, and firmware is complete. - - id: sa-17.2_gdn - name: guidance - prose: The security-relevant hardware, software, and firmware represent - the portion of the system, component, or service that is trusted - to perform correctly to maintain required security properties. - - name: objective - props: - - name: label - value: SA-17(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(02)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(02)(a)[01] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to define security-relevant - hardware; - - name: objective - props: - - name: label - value: SA-17(02)(a)[02] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to define security-relevant - software; - - name: objective - props: - - name: label - value: SA-17(02)(a)[03] - class: sp800-53A - prose: the developer of the system, system component, or - system service is required to define security-relevant - firmware; - - name: objective - props: - - name: label - value: SA-17(02)(b) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to provide a rationale that the definition - for security-relevant hardware, software, and firmware is - complete. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - list of security-relevant hardware, software, and firmware - components - - - documented rationale of completeness regarding definitions - provided for security-relevant hardware, software, and firmware - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developers - - - organizational personnel with information security architecture - and design responsibilities - - id: sa-17.3 - class: SP800-53-enhancement - title: Formal Correspondence - props: - - name: label - value: SA-17(03) - - name: sort-id - value: sa-17.03 - links: - - href: "#sa-17" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Produce, as an integral part of the development process, - a formal top-level specification that specifies the interfaces - to security-relevant hardware, software, and firmware in terms - of exceptions, error messages, and effects; - - id: sa-17.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Show via proof to the extent feasible with additional - informal demonstration as necessary, that the formal top-level - specification is consistent with the formal policy model; - - id: sa-17.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Show via informal demonstration, that the formal top-level - specification completely covers the interfaces to security-relevant - hardware, software, and firmware; - - id: sa-17.3_smt.d - name: item - props: - - name: label - value: (d) - prose: Show that the formal top-level specification is an accurate - description of the implemented security-relevant hardware, - software, and firmware; and - - id: sa-17.3_smt.e - name: item - props: - - name: label - value: (e) - prose: Describe the security-relevant hardware, software, and - firmware mechanisms not addressed in the formal top-level - specification but strictly internal to the security-relevant - hardware, software, and firmware. - - id: sa-17.3_gdn - name: guidance - prose: Correspondence is an important part of the assurance gained - through modeling. It demonstrates that the implementation is an - accurate transformation of the model, and that any additional - code or implementation details that are present have no impact - on the behaviors or policies being modeled. Formal methods can - be used to show that the high-level security properties are satisfied - by the formal system description, and that the formal system description - is correctly implemented by a description of some lower level, - including a hardware description. Consistency between the formal - top-level specification and the formal policy models is generally - not amenable to being fully proven. Therefore, a combination of - formal and informal methods may be needed to demonstrate such - consistency. Consistency between the formal top-level specification - and the actual implementation may require the use of an informal - demonstration due to limitations on the applicability of formal - methods to prove that the specification accurately reflects the - implementation. Hardware, software, and firmware mechanisms internal - to security-relevant components include mapping registers and - direct memory input and output. - - name: objective - props: - - name: label - value: SA-17(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(03)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(03)(a)[01] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce a formal top-level specification - that specifies the interfaces to security-relevant hardware, - software, and firmware in terms of exceptions; - - name: objective - props: - - name: label - value: SA-17(03)(a)[02] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce a formal top-level specification - that specifies the interfaces to security-relevant hardware, - software, and firmware in terms of error messages; - - name: objective - props: - - name: label - value: SA-17(03)(a)[03] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce a formal top-level specification - that specifies the interfaces to security-relevant hardware, - software, and firmware in terms of effects; - - name: objective - props: - - name: label - value: SA-17(03)(b) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to show proof that the formal top-level - specification is consistent with the formal policy model to - the extent feasible with additional informal demonstration - as necessary; - - name: objective - props: - - name: label - value: SA-17(03)(c) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to show via informal demonstration that - the formal top-level specification completely covers the interfaces - to security-relevant hardware, software, and firmware; - - name: objective - props: - - name: label - value: SA-17(03)(d) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to show that the formal top-level specification - is an accurate description of the implemented security-relevant - hardware, software, and firmware; - - name: objective - props: - - name: label - value: SA-17(03)(e) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to describe the security-relevant hardware, - software, and firmware mechanisms that are not addressed in - the formal top-level specification but are strictly internal - to the security-relevant hardware, software, and firmware. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - formal policy model - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - formal top-level specification documentation - - - system security architecture and design documentation - - - system design documentation - - - system configuration settings and associated documentation - - - documentation describing security-relevant hardware, software, - and firmware mechanisms not addressed in the formal top-level - specification documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with information security architecture - and design responsibilities - - id: sa-17.4 - class: SP800-53-enhancement - title: Informal Correspondence - params: - - id: sa-17.04_odp - props: - - name: legacy-identifier - value: sa-17.4_prm_1 - - name: label - value: SA-17(04)_ODP - select: - choice: - - informal demonstration, convincing argument with formal methods - as feasible - props: - - name: label - value: SA-17(04) - - name: sort-id - value: sa-17.04 - links: - - href: "#sa-17" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.4_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Produce, as an integral part of the development process, - an informal descriptive top-level specification that specifies - the interfaces to security-relevant hardware, software, and - firmware in terms of exceptions, error messages, and effects; - - id: sa-17.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Show via {{ insert: param, sa-17.04_odp }} that the\ - \ descriptive top-level specification is consistent with the\ - \ formal policy model;" - - id: sa-17.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Show via informal demonstration, that the descriptive - top-level specification completely covers the interfaces to - security-relevant hardware, software, and firmware; - - id: sa-17.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Show that the descriptive top-level specification is - an accurate description of the interfaces to security-relevant - hardware, software, and firmware; and - - id: sa-17.4_smt.e - name: item - props: - - name: label - value: (e) - prose: Describe the security-relevant hardware, software, and - firmware mechanisms not addressed in the descriptive top-level - specification but strictly internal to the security-relevant - hardware, software, and firmware. - - id: sa-17.4_gdn - name: guidance - prose: Correspondence is an important part of the assurance gained - through modeling. It demonstrates that the implementation is an - accurate transformation of the model, and that additional code - or implementation detail has no impact on the behaviors or policies - being modeled. Consistency between the descriptive top-level specification - (i.e., high-level/low-level design) and the formal policy model - is generally not amenable to being fully proven. Therefore, a - combination of formal and informal methods may be needed to show - such consistency. Hardware, software, and firmware mechanisms - strictly internal to security-relevant hardware, software, and - firmware include mapping registers and direct memory input and - output. - - name: objective - props: - - name: label - value: SA-17(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(04)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(04)(a)[01] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce an informal, descriptive top-level - specification that specifies the interfaces to security-relevant - hardware, software, and firmware in terms of exceptions; - - name: objective - props: - - name: label - value: SA-17(04)(a)[02] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce an informal, descriptive top-level - specification that specifies the interfaces to security-relevant - hardware, software, and firmware in terms of error messages; - - name: objective - props: - - name: label - value: SA-17(04)(a)[03] - class: sp800-53A - prose: as an integral part of the development process, the - developer of the system, system component, or system service - is required to produce an informal, descriptive top-level - specification that specifies the interfaces to security-relevant - hardware, software, and firmware in terms of effects; - - name: objective - props: - - name: label - value: SA-17(04)(b) - class: sp800-53A - prose: "the developer of the system, system component, or system\ - \ service is required to show via {{ insert: param, sa-17.04_odp\ - \ }} that the descriptive top-level specification is consistent\ - \ with the formal policy model;" - - name: objective - props: - - name: label - value: SA-17(04)(c) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to show via informal demonstration that - the descriptive top-level specification completely covers - the interfaces to security-relevant hardware, software, and - firmware; - - name: objective - props: - - name: label - value: SA-17(04)(d) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to show that the descriptive top-level - specification is an accurate description of the interfaces - to security-relevant hardware, software, and firmware; - - name: objective - props: - - name: label - value: SA-17(04)(e) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to describe the security-relevant hardware, - software, and firmware mechanisms that are not addressed in - the descriptive top-level specification but are strictly internal - to the security-relevant hardware, software, and firmware. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - formal policy model - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - informal, descriptive top-level specification documentation - - - system security architecture and design documentation - - - system design documentation - - - system configuration settings and associated documentation - - - documentation describing security-relevant hardware, software, - and firmware mechanisms not addressed in the informal, descriptive - top-level specification documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with information security architecture - and design responsibilities - - id: sa-17.5 - class: SP800-53-enhancement - title: Conceptually Simple Design - props: - - name: label - value: SA-17(05) - - name: sort-id - value: sa-17.05 - links: - - href: "#sa-17" - rel: required - - href: "#ac-25" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sa-17.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Design and structure the security-relevant hardware, - software, and firmware to use a complete, conceptually simple - protection mechanism with precisely defined semantics; and - - id: sa-17.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Internally structure the security-relevant hardware, - software, and firmware with specific regard for this mechanism. - - id: sa-17.5_gdn - name: guidance - prose: The principle of reduced complexity states that the system - design is as simple and small as possible (see [SA-8(7)](#sa-8.7) - ). A small and simple design is easier to understand and analyze - and is also less prone to error (see [AC-25](#ac-25), [SA-8(13)](#sa-8.13) - ). The principle of reduced complexity applies to any aspect of - a system, but it has particular importance for security due to - the various analyses performed to obtain evidence about the emergent - security property of the system. For such analyses to be successful, - a small and simple design is essential. Application of the principle - of reduced complexity contributes to the ability of system developers - to understand the correctness and completeness of system security - functions and facilitates the identification of potential vulnerabilities. - The corollary of reduced complexity states that the simplicity - of the system is directly related to the number of vulnerabilities - it will contain. That is, simpler systems contain fewer vulnerabilities. - An important benefit of reduced complexity is that it is easier - to understand whether the security policy has been captured in - the system design and that fewer vulnerabilities are likely to - be introduced during engineering development. An additional benefit - is that any such conclusion about correctness, completeness, and - existence of vulnerabilities can be reached with a higher degree - of assurance in contrast to conclusions reached in situations - where the system design is inherently more complex. - - name: objective - props: - - name: label - value: SA-17(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-17(05)(a) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to design and structure the security-relevant - hardware, software, and firmware to use a complete, conceptually - simple protection mechanism with precisely defined semantics; - - name: objective - props: - - name: label - value: SA-17(05)(b) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to internally structure the security-relevant - hardware, software, and firmware with specific regard for - this mechanism. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system security architecture documentation - - - system configuration settings and associated documentation - - - developer documentation describing the design and structure - of security-relevant hardware, software, and firmware components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with information security architecture - and design responsibilities - - id: sa-17.6 - class: SP800-53-enhancement - title: Structure for Testing - props: - - name: label - value: SA-17(06) - - name: sort-id - value: sa-17.06 - links: - - href: "#sa-17" - rel: required - - href: "#sa-5" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-17.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to structure security-relevant hardware, software, - and firmware to facilitate testing. - - id: sa-17.6_gdn - name: guidance - prose: Applying the security design principles in [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) - promotes complete, consistent, and comprehensive testing and evaluation - of systems, system components, and services. The thoroughness - of such testing contributes to the evidence produced to generate - an effective assurance case or argument as to the trustworthiness - of the system, system component, or service. - - name: objective - props: - - name: label - value: SA-17(06) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to structure security-relevant hardware, software, - and firmware to facilitate testing. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system security architecture documentation - - - privacy architecture documentation - - - system configuration settings and associated documentation - - - developer documentation describing the design and structure - of security-relevant hardware, software, and firmware components - to facilitate testing - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - organizational personnel with information security and privacy - architecture and design responsibilities - - id: sa-17.7 - class: SP800-53-enhancement - title: Structure for Least Privilege - props: - - name: label - value: SA-17(07) - - name: sort-id - value: sa-17.07 - links: - - href: "#sa-17" - rel: required - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-17.7_smt - name: statement - prose: Require the developer of the system, system component, or - system service to structure security-relevant hardware, software, - and firmware to facilitate controlling access with least privilege. - - id: sa-17.7_gdn - name: guidance - prose: >- - The principle of least privilege states that each component - is allocated sufficient privileges to accomplish its - specified functions but no more (see [SA-8(14)](#sa-8.14) ). - Applying the principle of least privilege limits the scope - of the component’s actions, which has two desirable effects. - First, the security impact of a failure, corruption, or - misuse of the system component results in a minimized - security impact. Second, the security analysis of the - component is simplified. Least privilege is a pervasive - principle that is reflected in all aspects of the secure - system design. Interfaces used to invoke component - capability are available to only certain subsets of the user - population, and component design supports a sufficiently - fine granularity of privilege decomposition. For example, in - the case of an audit mechanism, there may be an interface - for the audit manager, who configures the audit settings; an - interface for the audit operator, who ensures that audit - data is safely collected and stored; and, finally, yet - another interface for the audit reviewer, who only has a - need to view the audit data that has been collected but no - need to perform operations on that data. - - - In addition to its manifestations at the system interface, least - privilege can be used as a guiding principle for the internal - structure of the system itself. One aspect of internal least privilege - is to construct modules so that only the elements encapsulated - by the module are directly operated upon by the functions within - the module. Elements external to a module that may be affected - by the module’s operation are indirectly accessed through interaction - (e.g., via a function call) with the module that contains those - elements. Another aspect of internal least privilege is that the - scope of a given module or component includes only those system - elements that are necessary for its functionality, and the access - modes to the elements (e.g., read, write) are minimal. - - name: objective - props: - - name: label - value: SA-17(07) - class: sp800-53A - prose: the developer of the system, system component, or system - service is required to structure security-relevant hardware, software, - and firmware to facilitate controlling access with least privilege. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security architecture and - design specifications for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system security architecture documentation - - - system configuration settings and associated documentation - - - developer documentation describing the design and structure - of security-relevant hardware, software, and firmware components - to facilitate controlling access with least privilege - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with information security architecture - and design responsibilities - - id: sa-17.8 - class: SP800-53-enhancement - title: Orchestration - params: - - id: sa-17.08_odp.01 - props: - - name: legacy-identifier - value: sa-17.8_prm_1 - - name: label - value: SA-17(08)_ODP[01] - label: critical systems - guidelines: - - prose: critical systems or system components are defined; - - id: sa-17.08_odp.02 - props: - - name: legacy-identifier - value: sa-17.8_prm_2 - - name: label - value: SA-17(08)_ODP[02] - label: capabilities - guidelines: - - prose: capabilities to be implemented by systems or components - are defined; - props: - - name: label - value: SA-17(08) - - name: sort-id - value: sa-17.08 - links: - - href: "#sa-17" - rel: required - parts: - - id: sa-17.8_smt - name: statement - prose: "Design {{ insert: param, sa-17.08_odp.01 }} with coordinated\ - \ behavior to implement the following capabilities: {{ insert:\ - \ param, sa-17.08_odp.02 }}." - - id: sa-17.8_gdn - name: guidance - prose: Security resources that are distributed, located at different - layers or in different system elements, or are implemented to - support different aspects of trustworthiness can interact in unforeseen - or incorrect ways. Adverse consequences can include cascading - failures, interference, or coverage gaps. Coordination of the - behavior of security resources (e.g., by ensuring that one patch - is installed across all resources before making a configuration - change that assumes that the patch is propagated) can avert such - negative interactions. - - name: objective - props: - - name: label - value: SA-17(08) - class: sp800-53A - prose: "{{ insert: param, sa-17.08_odp.01 }} are designed with coordinated\ - \ behavior to implement {{ insert: param, sa-17.08_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security and privacy architecture - and design - - - enterprise architecture - - - security architecture - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system configuration settings and associated documentation - - - developer documentation describing design orchestration - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - organizational personnel with information security architecture - responsibilities - - id: sa-17.9 - class: SP800-53-enhancement - title: Design Diversity - params: - - id: sa-17.09_odp - props: - - name: legacy-identifier - value: sa-17.9_prm_1 - - name: label - value: SA-17(09)_ODP - label: critical systems - guidelines: - - prose: critical systems or system components to be designed - differently are defined; - props: - - name: label - value: SA-17(09) - - name: sort-id - value: sa-17.09 - links: - - href: "#sa-17" - rel: required - parts: - - id: sa-17.9_smt - name: statement - prose: "Use different designs for {{ insert: param, sa-17.09_odp\ - \ }} to satisfy a common set of requirements or to provide equivalent\ - \ functionality." - - id: sa-17.9_gdn - name: guidance - prose: Design diversity is achieved by supplying the same requirements - specification to multiple developers, each of whom is responsible - for developing a variant of the system or system component that - meets the requirements. Variants can be in software design, in - hardware design, or in both hardware and a software design. Differences - in the designs of the variants can result from developer experience - (e.g., prior use of a design pattern), design style (e.g., when - decomposing a required function into smaller tasks, determining - what constitutes a separate task and how far to decompose tasks - into sub-tasks), selection of libraries to incorporate into the - variant, and the development environment (e.g., different design - tools make some design patterns easier to visualize). Hardware - design diversity includes making different decisions about what - information to keep in analog form and what information to convert - to digital form, transmitting the same information at different - times, and introducing delays in sampling (temporal diversity). - Design diversity is commonly used to support fault tolerance. - - name: objective - props: - - name: label - value: SA-17(09) - class: sp800-53A - prose: "different designs are used for {{ insert: param, sa-17.09_odp\ - \ }} to satisfy a common set of requirements or to provide equivalent\ - \ functionality." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-17(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - enterprise architecture policy - - - procedures addressing developer security architecture and - design diversity for the system - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - system design documentation - - - system security architecture documentation - - - system configuration settings and associated documentation - - - developer documentation describing design diversity - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-17(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with information security architecture - responsibilities - - id: sa-18 - class: SP800-53 - title: Tamper Resistance and Detection - props: - - name: label - value: SA-18 - - name: sort-id - value: sa-18 - - name: status - value: withdrawn - links: - - href: "#sr-9" - rel: moved-to - controls: - - id: sa-18.1 - class: SP800-53-enhancement - title: Multiple Phases of System Development Life Cycle - props: - - name: label - value: SA-18(01) - - name: sort-id - value: sa-18.01 - - name: status - value: withdrawn - links: - - href: "#sr-9.1" - rel: moved-to - - id: sa-18.2 - class: SP800-53-enhancement - title: Inspection of Systems or Components - props: - - name: label - value: SA-18(02) - - name: sort-id - value: sa-18.02 - - name: status - value: withdrawn - links: - - href: "#sr-10" - rel: moved-to - - id: sa-19 - class: SP800-53 - title: Component Authenticity - props: - - name: label - value: SA-19 - - name: sort-id - value: sa-19 - - name: status - value: withdrawn - links: - - href: "#sr-11" - rel: moved-to - controls: - - id: sa-19.1 - class: SP800-53-enhancement - title: Anti-counterfeit Training - props: - - name: label - value: SA-19(01) - - name: sort-id - value: sa-19.01 - - name: status - value: withdrawn - links: - - href: "#sr-11.1" - rel: moved-to - - id: sa-19.2 - class: SP800-53-enhancement - title: Configuration Control for Component Service and Repair - props: - - name: label - value: SA-19(02) - - name: sort-id - value: sa-19.02 - - name: status - value: withdrawn - links: - - href: "#sr-11.2" - rel: moved-to - - id: sa-19.3 - class: SP800-53-enhancement - title: Component Disposal - props: - - name: label - value: SA-19(03) - - name: sort-id - value: sa-19.03 - - name: status - value: withdrawn - links: - - href: "#sr-12" - rel: moved-to - - id: sa-19.4 - class: SP800-53-enhancement - title: Anti-counterfeit Scanning - props: - - name: label - value: SA-19(04) - - name: sort-id - value: sa-19.04 - - name: status - value: withdrawn - links: - - href: "#sr-11.3" - rel: moved-to - - id: sa-20 - class: SP800-53 - title: Customized Development of Critical Components - params: - - id: sa-20_odp - props: - - name: legacy-identifier - value: sa-20_prm_1 - - name: label - value: SA-20_ODP - label: critical system - guidelines: - - prose: critical system components to be reimplemented or custom-developed - are defined; - props: - - name: label - value: SA-20 - - name: sort-id - value: sa-20 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#cp-2" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-20_smt - name: statement - prose: "Reimplement or custom develop the following critical system\ - \ components: {{ insert: param, sa-20_odp }}." - - id: sa-20_gdn - name: guidance - prose: Organizations determine that certain system components likely - cannot be trusted due to specific threats to and vulnerabilities in - those components for which there are no viable security controls to - adequately mitigate risk. Reimplementation or custom development of - such components may satisfy requirements for higher assurance and - is carried out by initiating changes to system components (including - hardware, software, and firmware) such that the standard attacks by - adversaries are less likely to succeed. In situations where no alternative - sourcing is available and organizations choose not to reimplement - or custom develop critical system components, additional controls - can be employed. Controls include enhanced auditing, restrictions - on source code and system utility access, and protection from deletion - of system and application files. - - name: objective - props: - - name: label - value: SA-20 - class: sp800-53A - prose: "{{ insert: param, sa-20_odp }} are reimplemented or custom-developed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing the customized development of critical system - components - - - system design documentation - - - system configuration settings and associated documentation - - - system development life cycle documentation addressing the custom - development of critical system components - - - configuration management records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibility for the reimplementation - or customized development of critical system components - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-20-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the reimplementation or - customized development of critical system components - - - automated mechanisms supporting and/or implementing reimplementation - or customized development of critical system components - - id: sa-21 - class: SP800-53 - title: Developer Screening - params: - - id: sa-21_odp.01 - props: - - name: legacy-identifier - value: sa-21_prm_1 - - name: label - value: SA-21_ODP[01] - label: system, systems component, or system service - guidelines: - - prose: the system, systems component, or system service that the - developer has access to is/are defined; - - id: sa-21_odp.02 - props: - - name: legacy-identifier - value: sa-21_prm_2 - - name: label - value: SA-21_ODP[02] - label: official government duties - guidelines: - - prose: official government duties assigned to the developer are - defined; - - id: sa-21_odp.03 - props: - - name: legacy-identifier - value: sa-21_prm_3 - - name: label - value: SA-21_ODP[03] - label: additional personnel screening criteria - guidelines: - - prose: additional personnel screening criteria for the developer - are defined; - props: - - name: label - value: SA-21 - - name: sort-id - value: sa-21 - links: - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-4" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: sa-21_smt - name: statement - prose: "Require that the developer of {{ insert: param, sa-21_odp.01\ - \ }}:" - parts: - - id: sa-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Has appropriate access authorizations as determined by assigned\ - \ {{ insert: param, sa-21_odp.02 }} ; and" - - id: sa-21_smt.b - name: item - props: - - name: label - value: b. - prose: "Satisfies the following additional personnel screening criteria:\ - \ {{ insert: param, sa-21_odp.03 }}." - - id: sa-21_gdn - name: guidance - prose: Developer screening is directed at external developers. Internal - developer screening is addressed by [PS-3](#ps-3) . Because the system, - system component, or system service may be used in critical activities - essential to the national or economic security interests of the United - States, organizations have a strong interest in ensuring that developers - are trustworthy. The degree of trust required of developers may need - to be consistent with that of the individuals who access the systems, - system components, or system services once deployed. Authorization - and personnel screening criteria include clearances, background checks, - citizenship, and nationality. Developer trustworthiness may also include - a review and analysis of company ownership and relationships that - the company has with entities that may potentially affect the quality - and reliability of the systems, components, or services being developed. - Satisfying the required access authorizations and personnel screening - criteria includes providing a list of all individuals who are authorized - to perform development activities on the selected system, system component, - or system service so that organizations can validate that the developer - has satisfied the authorization and screening requirements. - - name: objective - props: - - name: label - value: SA-21 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-21(a) - class: sp800-53A - prose: "the developer of {{ insert: param, sa-21_odp.01 }} is required\ - \ to have appropriate access authorizations as determined by assigned\ - \ {{ insert: param, sa-21_odp.02 }};" - - name: objective - props: - - name: label - value: SA-21(b) - class: sp800-53A - prose: "the developer of {{ insert: param, sa-21_odp.01 }} is required\ - \ to satisfy {{ insert: param, sa-21_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-21-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - personnel security policy and procedures - - - procedures addressing personnel screening - - - system design documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for developer services - - - system configuration settings and associated documentation - - - list of appropriate access authorizations required by the developers - of the system - - - personnel screening criteria and associated documentation - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel responsible for developer screening - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-21-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Organizational processes for developer screening - - automated mechanisms supporting developer screening - controls: - - id: sa-21.1 - class: SP800-53-enhancement - title: Validation of Screening - props: - - name: label - value: SA-21(01) - - name: sort-id - value: sa-21.01 - - name: status - value: withdrawn - links: - - href: "#sa-21" - rel: incorporated-into - - id: sa-22 - class: SP800-53 - title: Unsupported System Components - params: - - id: sa-22_odp.01 - props: - - name: legacy-identifier - value: sa-22_prm_1 - - name: label - value: SA-22_ODP[01] - select: - how-many: one-or-more - choice: - - in-house support - - " {{ insert: param, sa-22_odp.02 }} " - - id: sa-22_odp.02 - props: - - name: legacy-identifier - value: sa-22_prm_2 - - name: label - value: SA-22_ODP[02] - label: support from external providers - guidelines: - - prose: support from external providers is defined (if selected); - props: - - name: label - value: SA-22 - - name: sort-id - value: sa-22 - links: - - href: "#pl-2" - rel: related - - href: "#sa-3" - rel: related - parts: - - id: sa-22_smt - name: statement - parts: - - id: sa-22_smt.a - name: item - props: - - name: label - value: a. - prose: Replace system components when support for the components - is no longer available from the developer, vendor, or manufacturer; - or - - id: sa-22_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide the following options for alternative sources for\ - \ continued support for unsupported components {{ insert: param,\ - \ sa-22_odp.01 }}." - - id: sa-22_gdn - name: guidance - prose: >- - Support for system components includes software patches, - firmware updates, replacement parts, and maintenance contracts. - An example of unsupported components includes when vendors no - longer provide critical software patches or product updates, - which can result in an opportunity for adversaries to exploit - weaknesses in the installed components. Exceptions to replacing - unsupported system components include systems that provide - critical mission or business capabilities where newer - technologies are not available or where the systems are so - isolated that installing replacement components is not an - option. - - - Alternative sources for support address the need to provide continued - support for system components that are no longer supported by the - original manufacturers, developers, or vendors when such components - remain essential to organizational mission and business functions. - If necessary, organizations can establish in-house support by developing - customized patches for critical software components or, alternatively, - obtain the services of external providers who provide ongoing support - for the designated unsupported components through contractual relationships. - Such contractual relationships can include open-source software value-added - vendors. The increased risk of using unsupported system components - can be mitigated, for example, by prohibiting the connection of such - components to public or uncontrolled networks, or implementing other - forms of isolation. - - name: objective - props: - - name: label - value: SA-22 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SA-22(a) - class: sp800-53A - prose: system components are replaced when support for the components - is no longer available from the developer, vendor, or manufacturer; - - name: objective - props: - - name: label - value: SA-22(b) - class: sp800-53A - prose: "{{ insert: param, sa-22_odp.01 }} provide options for alternative\ - \ sources for continued support for unsupported components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-22-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing the replacement or continued use of unsupported - system components - - - documented evidence of replacing unsupported system components - - - documented approvals (including justification) for the continued - use of unsupported system components - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility for the system - development life cycle - - - organizational personnel responsible for component replacement - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-22-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for replacing unsupported system - components - - - automated mechanisms supporting and/or implementing the replacement - of unsupported system components - controls: - - id: sa-22.1 - class: SP800-53-enhancement - title: Alternative Sources for Continued Support - props: - - name: label - value: SA-22(01) - - name: sort-id - value: sa-22.01 - - name: status - value: withdrawn - links: - - href: "#sa-22" - rel: incorporated-into - - id: sa-23 - class: SP800-53 - title: Specialization - params: - - id: sa-23_odp.01 - props: - - name: legacy-identifier - value: sa-23_prm_1 - - name: label - value: SA-23_ODP[01] - select: - how-many: one-or-more - choice: - - design modification - - augmentation - - reconfiguration - - id: sa-23_odp.02 - props: - - name: legacy-identifier - value: sa-23_prm_2 - - name: label - value: SA-23_ODP[02] - label: systems or system components - guidelines: - - prose: systems or system components supporting mission-essential - services or functions are defined; - props: - - name: label - value: SA-23 - - name: sort-id - value: sa-23 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-23_smt - name: statement - prose: "Employ {{ insert: param, sa-23_odp.01 }} on {{ insert: param,\ - \ sa-23_odp.02 }} supporting mission essential services or functions\ - \ to increase the trustworthiness in those systems or components." - - id: sa-23_gdn - name: guidance - prose: It is often necessary for a system or system component that supports - mission-essential services or functions to be enhanced to maximize - the trustworthiness of the resource. Sometimes this enhancement is - done at the design level. In other instances, it is done post-design, - either through modifications of the system in question or by augmenting - the system with additional components. For example, supplemental authentication - or non-repudiation functions may be added to the system to enhance - the identity of critical resources to other resources that depend - on the organization-defined resources. - - name: objective - props: - - name: label - value: SA-23 - class: sp800-53A - prose: "{{ insert: param, sa-23_odp.01 }} is employed on {{ insert:\ - \ param, sa-23_odp.02 }} supporting essential services or functions\ - \ to increase the trustworthiness in those systems or components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SA-23-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and services acquisition policy - - - procedures addressing design modification, augmentation, or reconfiguration - of systems or system components - - - documented evidence of design modification, augmentation, or reconfiguration - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SA-23-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility for security - architecture - - - organizational personnel responsible for configuration management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SA-23-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the modification of design, - augmentation, or reconfiguration of systems or system - components - - - automated mechanisms supporting and/or implementing design modification, - augmentation, or reconfiguration of systems or system components - - id: sc - class: family - title: System and Communications Protection - controls: - - id: sc-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sc-1_prm_1 - props: - - name: aggregates - value: sc-01_odp.01 - label: organization-defined personnel or roles - - id: sc-01_odp.01 - props: - - name: label - value: SC-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and communications - protection policy is to be disseminated is/are defined; - - id: sc-01_odp.02 - props: - - name: label - value: SC-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and communications - protection procedures are to be disseminated is/are defined; - - id: sc-01_odp.03 - props: - - name: legacy-identifier - value: sc-1_prm_2 - - name: label - value: SC-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business-process-level - - system-level - - id: sc-01_odp.04 - props: - - name: legacy-identifier - value: sc-1_prm_3 - - name: label - value: SC-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the system and communications protection - policy and procedures is defined; - - id: sc-01_odp.05 - props: - - name: legacy-identifier - value: sc-1_prm_4 - - name: label - value: SC-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current system and communications - protection policy is reviewed and updated is defined; - - id: sc-01_odp.06 - props: - - name: legacy-identifier - value: sc-1_prm_5 - - name: label - value: SC-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current system and communications - protection policy to be reviewed and updated are defined; - - id: sc-01_odp.07 - props: - - name: legacy-identifier - value: sc-1_prm_6 - - name: label - value: SC-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current system and communications - protection procedures are reviewed and updated is defined; - - id: sc-01_odp.08 - props: - - name: legacy-identifier - value: sc-1_prm_7 - - name: label - value: SC-01_ODP[08] - label: events - guidelines: - - prose: events that would require the system and communications protection - procedures to be reviewed and updated are defined; - props: - - name: label - value: SC-01 - - name: sort-id - value: sc-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sc-1_smt - name: statement - parts: - - id: sc-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sc-1_prm_1 }}:" - parts: - - id: sc-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, sc-01_odp.03 }} system and communications\ - \ protection policy that:" - parts: - - id: sc-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sc-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sc-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the system - and communications protection policy and the associated system - and communications protection controls; - - id: sc-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sc-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the system\ - \ and communications protection policy and procedures; and" - - id: sc-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and communications\ - \ protection:" - parts: - - id: sc-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, sc-01_odp.05 }} and following\ - \ {{ insert: param, sc-01_odp.06 }} ; and" - - id: sc-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, sc-01_odp.07 }} and following\ - \ {{ insert: param, sc-01_odp.08 }}." - - id: sc-1_gdn - name: guidance - prose: System and communications protection policy and procedures address - the controls in the SC family that are implemented within systems - and organizations. The risk management strategy is an important factor - in establishing such policies and procedures. Policies and procedures - contribute to security and privacy assurance. Therefore, it is important - that security and privacy programs collaborate on the development - of system and communications protection policy and procedures. Security - and privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission- - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies that reflect the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission or business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - system and communications protection policy and procedures include - assessment or audit findings, security incidents or breaches, or changes - in applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. Simply restating controls does not constitute - an organizational policy or procedure. - - name: objective - props: - - name: label - value: SC-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01a.[01] - class: sp800-53A - prose: a system and communications protection policy is developed - and documented; - - name: objective - props: - - name: label - value: SC-01a.[02] - class: sp800-53A - prose: "the system and communications protection policy is disseminated\ - \ to {{ insert: param, sc-01_odp.01 }};" - - name: objective - props: - - name: label - value: SC-01a.[03] - class: sp800-53A - prose: system and communications protection procedures to facilitate - the implementation of the system and communications protection - policy and associated system and communications protection - controls are developed and documented; - - name: objective - props: - - name: label - value: SC-01a.[04] - class: sp800-53A - prose: "the system and communications protection procedures\ - \ are disseminated to {{ insert: param, sc-01_odp.02 }};" - - name: objective - props: - - name: label - value: SC-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses purpose;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses scope;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses roles;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses responsibilities;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: SC-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system\ - \ and communications protection policy addresses compliance;" - - name: objective - props: - - name: label - value: SC-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.03 }} system and\ - \ communications protection policy is consistent with\ - \ applicable laws, Executive Orders, directives, regulations,\ - \ policies, standards, and guidelines;" - - name: objective - props: - - name: label - value: SC-01b. - class: sp800-53A - prose: "the {{ insert: param, sc-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the system\ - \ and communications protection policy and procedures;" - - name: objective - props: - - name: label - value: SC-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01c.01[01] - class: sp800-53A - prose: "the current system and communications protection\ - \ policy is reviewed and updated {{ insert: param, sc-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: SC-01c.01[02] - class: sp800-53A - prose: "the current system and communications protection\ - \ policy is reviewed and updated following {{ insert:\ - \ param, sc-01_odp.06 }};" - - name: objective - props: - - name: label - value: SC-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-01c.02[01] - class: sp800-53A - prose: "the current system and communications protection\ - \ procedures are reviewed and updated {{ insert: param,\ - \ sc-01_odp.07 }};" - - name: objective - props: - - name: label - value: SC-01c.02[02] - class: sp800-53A - prose: "the current system and communications protection\ - \ procedures are reviewed and updated following {{ insert:\ - \ param, sc-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - system and communications protection procedures - - system security plan - - privacy plan - - risk management strategy documentation - - audit findings - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and communications - protection responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: sc-2 - class: SP800-53 - title: Separation of System and User Functionality - props: - - name: label - value: SC-02 - - name: sort-id - value: sc-02 - links: - - href: "#ac-6" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-22" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: sc-2_smt - name: statement - prose: Separate user functionality, including user interface services, - from system management functionality. - - id: sc-2_gdn - name: guidance - prose: System management functionality includes functions that are necessary - to administer databases, network components, workstations, or servers. - These functions typically require privileged user access. The separation - of user functions from system management functions is physical or - logical. Organizations may separate system management functions from - user functions by using different computers, instances of operating - systems, central processing units, or network addresses; by employing - virtualization techniques; or some combination of these or other methods. - Separation of system management functions from user functions includes - web administrative interfaces that employ separate authentication - methods for users of any other system resources. Separation of system - and user functions may include isolating administrative interfaces - on different domains and with additional access controls. The separation - of system and user functionality can be achieved by applying the systems - security engineering design principles in [SA-8](#sa-8) , including - [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), [SA-8(10)](#sa-8.10), - [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), [SA-8(14)](#sa-8.14) , - and [SA-8(18)](#sa-8.18). - - name: objective - props: - - name: label - value: SC-02 - class: sp800-53A - prose: user functionality, including user interface services, are separated - from system management functionality. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-02-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing application partitioning - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-02-Test - class: sp800-53A - parts: - - name: objects - prose: Separation of user functionality from system management functionality - controls: - - id: sc-2.1 - class: SP800-53-enhancement - title: Interfaces for Non-privileged Users - props: - - name: label - value: SC-02(01) - - name: sort-id - value: sc-02.01 - links: - - href: "#sc-2" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: sc-2.1_smt - name: statement - prose: Prevent the presentation of system management functionality - at interfaces to non-privileged users. - - id: sc-2.1_gdn - name: guidance - prose: Preventing the presentation of system management functionality - at interfaces to non-privileged users ensures that system administration - options, including administrator privileges, are not available - to the general user population. Restricting user access also prohibits - the use of the grey-out option commonly used to eliminate accessibility - to such information. One potential solution is to withhold system - administration options until users establish sessions with administrator - privileges. - - name: objective - props: - - name: label - value: SC-02(01) - class: sp800-53A - prose: the presentation of system management functionality is prevented - at interfaces to non-privileged users. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing application partitioning - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - non-privileged users of the system - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-02(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Separation of user functionality from system management - functionality - - id: sc-2.2 - class: SP800-53-enhancement - title: Disassociability - props: - - name: label - value: SC-02(02) - - name: sort-id - value: sc-02.02 - links: - - href: "#sc-2" - rel: required - parts: - - id: sc-2.2_smt - name: statement - prose: Store state information from applications and software separately. - - id: sc-2.2_gdn - name: guidance - prose: If a system is compromised, storing applications and software - separately from state information about users’ interactions with - an application may better protect individuals’ privacy. - - name: objective - props: - - name: label - value: SC-02(02) - class: sp800-53A - prose: state information is stored separately from applications - and software. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing application and software partitioning - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Separation of application state information from software - - id: sc-3 - class: SP800-53 - title: Security Function Isolation - props: - - name: label - value: SC-03 - - name: sort-id - value: sc-03 - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-25" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-3_smt - name: statement - prose: Isolate security functions from nonsecurity functions. - - id: sc-3_gdn - name: guidance - prose: Security functions are isolated from nonsecurity functions by - means of an isolation boundary implemented within a system via partitions - and domains. The isolation boundary controls access to and protects - the integrity of the hardware, software, and firmware that perform - system security functions. Systems implement code separation in many - ways, such as through the provision of security kernels via processor - rings or processor modes. For non-kernel code, security function isolation - is often achieved through file system protections that protect the - code on disk and address space protections that protect executing - code. Systems can restrict access to security functions using access - control mechanisms and by implementing least privilege capabilities. - While the ideal is for all code within the defined security function - isolation boundary to only contain security-relevant code, it is sometimes - necessary to include nonsecurity functions as an exception. The isolation - of security functions from nonsecurity functions can be achieved by - applying the systems security engineering design principles in [SA-8](#sa-8) - , including [SA-8(1)](#sa-8.1), [SA-8(3)](#sa-8.3), [SA-8(4)](#sa-8.4), - [SA-8(10)](#sa-8.10), [SA-8(12)](#sa-8.12), [SA-8(13)](#sa-8.13), - [SA-8(14)](#sa-8.14) , and [SA-8(18)](#sa-8.18). - - name: objective - props: - - name: label - value: SC-03 - class: sp800-53A - prose: security functions are isolated from non-security functions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - list of security functions to be isolated from non-security functions - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03-Test - class: sp800-53A - parts: - - name: objects - prose: Separation of security functions from non-security functions - within the system - controls: - - id: sc-3.1 - class: SP800-53-enhancement - title: Hardware Separation - props: - - name: label - value: SC-03(01) - - name: sort-id - value: sc-03.01 - links: - - href: "#sc-3" - rel: required - parts: - - id: sc-3.1_smt - name: statement - prose: Employ hardware separation mechanisms to implement security - function isolation. - - id: sc-3.1_gdn - name: guidance - prose: Hardware separation mechanisms include hardware ring architectures - that are implemented within microprocessors and hardware-enforced - address segmentation used to support logically distinct storage - objects with separate attributes (i.e., readable, writeable). - - name: objective - props: - - name: label - value: SC-03(01) - class: sp800-53A - prose: hardware separation mechanisms are employed to implement - security function isolation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - system design documentation - - - hardware separation mechanisms - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Separation of security functions from non-security functions - within the system - - id: sc-3.2 - class: SP800-53-enhancement - title: Access and Flow Control Functions - props: - - name: label - value: SC-03(02) - - name: sort-id - value: sc-03.02 - links: - - href: "#sc-3" - rel: required - parts: - - id: sc-3.2_smt - name: statement - prose: Isolate security functions enforcing access and information - flow control from nonsecurity functions and from other security - functions. - - id: sc-3.2_gdn - name: guidance - prose: Security function isolation occurs because of implementation. - The functions can still be scanned and monitored. Security functions - that are potentially isolated from access and flow control enforcement - functions include auditing, intrusion detection, and malicious - code protection functions. - - name: objective - props: - - name: label - value: SC-03(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-03(02)[01] - class: sp800-53A - prose: >- - security functions enforcing access control are isolated - from non-security functions; - - - security functions enforcing access control are isolated from - other security functions; - - name: objective - props: - - name: label - value: SC-03(02)[03] - class: sp800-53A - prose: >- - security functions enforcing information flow control - are isolated from non-security functions; - - - security functions enforcing information flow control are - isolated from other security functions. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - list of critical security functions - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Isolation of security functions enforcing access and - information flow control - - id: sc-3.3 - class: SP800-53-enhancement - title: Minimize Nonsecurity Functionality - props: - - name: label - value: SC-03(03) - - name: sort-id - value: sc-03.03 - links: - - href: "#sc-3" - rel: required - parts: - - id: sc-3.3_smt - name: statement - prose: Minimize the number of nonsecurity functions included within - the isolation boundary containing security functions. - - id: sc-3.3_gdn - name: guidance - prose: Where it is not feasible to achieve strict isolation of nonsecurity - functions from security functions, it is necessary to take actions - to minimize nonsecurity-relevant functions within the security - function boundary. Nonsecurity functions contained within the - isolation boundary are considered security-relevant because errors - or malicious code in the software can directly impact the security - functions of systems. The fundamental design objective is that - the specific portions of systems that provide information security - are of minimal size and complexity. Minimizing the number of nonsecurity - functions in the security-relevant system components allows designers - and implementers to focus only on those functions which are necessary - to provide the desired security capability (typically access enforcement). - By minimizing the nonsecurity functions within the isolation boundaries, - the amount of code that is trusted to enforce security policies - is significantly reduced, thus contributing to understandability. - - name: objective - props: - - name: label - value: SC-03(03) - class: sp800-53A - prose: the number of non-security functions included within the - isolation boundary containing security functions is minimized. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing an - isolation boundary - - id: sc-3.4 - class: SP800-53-enhancement - title: Module Coupling and Cohesiveness - props: - - name: label - value: SC-03(04) - - name: sort-id - value: sc-03.04 - links: - - href: "#sc-3" - rel: required - parts: - - id: sc-3.4_smt - name: statement - prose: Implement security functions as largely independent modules - that maximize internal cohesiveness within modules and minimize - coupling between modules. - - id: sc-3.4_gdn - name: guidance - prose: The reduction of inter-module interactions helps to constrain - security functions and manage complexity. The concepts of coupling - and cohesion are important with respect to modularity in software - design. Coupling refers to the dependencies that one module has - on other modules. Cohesion refers to the relationship between - functions within a module. Best practices in software engineering - and systems security engineering rely on layering, minimization, - and modular decomposition to reduce and manage complexity. This - produces software modules that are highly cohesive and loosely - coupled. - - name: objective - props: - - name: label - value: SC-03(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-03(04)[01] - class: sp800-53A - prose: security functions are implemented as largely independent - modules that maximize internal cohesiveness within modules; - - name: objective - props: - - name: label - value: SC-03(04)[02] - class: sp800-53A - prose: security functions are implemented as largely independent - modules that minimize coupling between modules. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for maximizing internal - cohesiveness within modules and minimizing coupling - between modules - - - automated mechanisms supporting and/or implementing security - functions as independent modules - - id: sc-3.5 - class: SP800-53-enhancement - title: Layered Structures - props: - - name: label - value: SC-03(05) - - name: sort-id - value: sc-03.05 - links: - - href: "#sc-3" - rel: required - parts: - - id: sc-3.5_smt - name: statement - prose: Implement security functions as a layered structure minimizing - interactions between layers of the design and avoiding any dependence - by lower layers on the functionality or correctness of higher - layers. - - id: sc-3.5_gdn - name: guidance - prose: The implementation of layered structures with minimized interactions - among security functions and non-looping layers (i.e., lower-layer - functions do not depend on higher-layer functions) enables the - isolation of security functions and the management of complexity. - - name: objective - props: - - name: label - value: SC-03(05) - class: sp800-53A - prose: security functions are implemented as a layered structure, - minimizing interactions between layers of the design and avoiding - any dependence by lower layers on the functionality or correctness - of higher layers. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-03(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing security function isolation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-03(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-03(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing security - functions as a layered structure that minimizes - interactions between layers and avoids dependence by - lower layers on functionality/correctness of higher - layers - - - automated mechanisms supporting and/or implementing security - functions as a layered structure - - id: sc-4 - class: SP800-53 - title: Information in Shared System Resources - props: - - name: label - value: SC-04 - - name: sort-id - value: sc-04 - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sc-4_smt - name: statement - prose: Prevent unauthorized and unintended information transfer via - shared system resources. - - id: sc-4_gdn - name: guidance - prose: Preventing unauthorized and unintended information transfer via - shared system resources stops information produced by the actions - of prior users or roles (or the actions of processes acting on behalf - of prior users or roles) from being available to current users or - roles (or current processes acting on behalf of current users or roles) - that obtain access to shared system resources after those resources - have been released back to the system. Information in shared system - resources also applies to encrypted representations of information. - In other contexts, control of information in shared system resources - is referred to as object reuse and residual information protection. - Information in shared system resources does not address information - remanence, which refers to the residual representation of data that - has been nominally deleted; covert channels (including storage and - timing channels), where shared system resources are manipulated to - violate information flow restrictions; or components within systems - for which there are only single users or roles. - - name: objective - props: - - name: label - value: SC-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-04[01] - class: sp800-53A - prose: unauthorized information transfer via shared system resources - is prevented; - - name: objective - props: - - name: label - value: SC-04[02] - class: sp800-53A - prose: unintended information transfer via shared system resources - is prevented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing information protection in shared system - resources - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-04-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms preventing unauthorized and unintended - transfer of information via shared system resources - controls: - - id: sc-4.1 - class: SP800-53-enhancement - title: Security Levels - props: - - name: label - value: SC-04(01) - - name: sort-id - value: sc-04.01 - - name: status - value: withdrawn - links: - - href: "#sc-4" - rel: incorporated-into - - id: sc-4.2 - class: SP800-53-enhancement - title: Multilevel or Periods Processing - params: - - id: sc-04.02_odp - props: - - name: legacy-identifier - value: sc-4.2_prm_1 - - name: label - value: SC-04(02)_ODP - label: procedures - guidelines: - - prose: procedures to prevent unauthorized information transfer - via shared resources are defined; - props: - - name: label - value: SC-04(02) - - name: sort-id - value: sc-04.02 - links: - - href: "#sc-4" - rel: required - parts: - - id: sc-4.2_smt - name: statement - prose: "Prevent unauthorized information transfer via shared resources\ - \ in accordance with {{ insert: param, sc-04.02_odp }} when system\ - \ processing explicitly switches between different information\ - \ classification levels or security categories." - - id: sc-4.2_gdn - name: guidance - prose: Changes in processing levels can occur during multilevel - or periods processing with information at different classification - levels or security categories. It can also occur during serial - reuse of hardware components at different classification levels. - Organization-defined procedures can include approved sanitization - processes for electronically stored information. - - name: objective - props: - - name: label - value: SC-04(02) - class: sp800-53A - prose: "unauthorized information transfer via shared resources is\ - \ prevented in accordance with {{ insert: param, sc-04.02_odp\ - \ }} when system processing explicitly switches between different\ - \ information classification levels or security categories." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing information protection in shared system - resources - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms preventing unauthorized transfer - of information via shared system resources - - id: sc-5 - class: SP800-53 - title: Denial-of-service Protection - params: - - id: sc-05_odp.01 - props: - - name: legacy-identifier - value: sc-5_prm_2 - - name: label - value: SC-05_ODP[01] - label: types of denial-of-service events - guidelines: - - prose: types of denial-of-service events to be protected against - or limited are defined; - - id: sc-05_odp.02 - props: - - name: legacy-identifier - value: sc-5_prm_1 - - name: label - value: SC-05_ODP[02] - select: - choice: - - protect against - - limit - - id: sc-05_odp.03 - props: - - name: legacy-identifier - value: sc-5_prm_3 - - name: label - value: SC-05_ODP[03] - label: controls by type of denial-of-service event - guidelines: - - prose: controls by type of denial-of-service event are defined; - props: - - name: label - value: SC-05 - - name: sort-id - value: sc-05 - links: - - href: "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72" - rel: reference - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#sc-6" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-40" - rel: related - parts: - - id: sc-5_smt - name: statement - parts: - - id: sc-5_smt.a - name: item - props: - - name: label - value: a. - prose: "{{ insert: param, sc-05_odp.02 }} the effects of the following\ - \ types of denial-of-service events: {{ insert: param, sc-05_odp.01\ - \ }} ; and" - - id: sc-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following controls to achieve the denial-of-service\ - \ objective: {{ insert: param, sc-05_odp.03 }}." - - id: sc-5_gdn - name: guidance - prose: Denial-of-service events may occur due to a variety of internal - and external causes, such as an attack by an adversary or a lack of - planning to support organizational needs with respect to capacity - and bandwidth. Such attacks can occur across a wide range of network - protocols (e.g., IPv4, IPv6). A variety of technologies are available - to limit or eliminate the origination and effects of denial-of-service - events. For example, boundary protection devices can filter certain - types of packets to protect system components on internal networks - from being directly affected by or the source of denial-of-service - attacks. Employing increased network capacity and bandwidth combined - with service redundancy also reduces the susceptibility to denial-of-service - events. - - name: objective - props: - - name: label - value: SC-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-05a. - class: sp800-53A - prose: "the effects of {{ insert: param, sc-05_odp.01 }} are {{\ - \ insert: param, sc-05_odp.02 }};" - - name: objective - props: - - name: label - value: SC-05b. - class: sp800-53A - prose: "{{ insert: param, sc-05_odp.03 }} are employed to achieve\ - \ the denial-of-service protection objective." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing denial-of-service protection - - - system design documentation - - - list of denial-of-service attacks requiring employment of security - safeguards to protect against or limit effects of such attacks - - - list of security safeguards protecting against or limiting the - effects of denial-of-service attacks - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with incident response responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-05-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms protecting against or limiting the effects - of denial-of-service attacks - controls: - - id: sc-5.1 - class: SP800-53-enhancement - title: Restrict Ability to Attack Other Systems - params: - - id: sc-05.01_odp - props: - - name: legacy-identifier - value: sc-5.1_prm_1 - - name: label - value: SC-05(01)_ODP - label: denial-of-service attacks - guidelines: - - prose: denial-of-service attacks to be restricted are defined; - props: - - name: label - value: SC-05(01) - - name: sort-id - value: sc-05.01 - links: - - href: "#sc-5" - rel: required - parts: - - id: sc-5.1_smt - name: statement - prose: "Restrict the ability of individuals to launch the following\ - \ denial-of-service attacks against other systems: {{ insert:\ - \ param, sc-05.01_odp }}." - - id: sc-5.1_gdn - name: guidance - prose: Restricting the ability of individuals to launch denial-of-service - attacks requires the mechanisms commonly used for such attacks - to be unavailable. Individuals of concern include hostile insiders - or external adversaries who have breached or compromised the system - and are using it to launch a denial-of-service attack. Organizations - can restrict the ability of individuals to connect and transmit - arbitrary information on the transport medium (i.e., wired networks, - wireless networks, spoofed Internet protocol packets). Organizations - can also limit the ability of individuals to use excessive system - resources. Protection against individuals having the ability to - launch denial-of-service attacks may be implemented on specific - systems or boundary devices that prohibit egress to potential - target systems. - - name: objective - props: - - name: label - value: SC-05(01) - class: sp800-53A - prose: "the ability of individuals to launch {{ insert: param, sc-05.01_odp\ - \ }} against other systems is restricted." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing denial-of-service protection - - - system design documentation - - - list of denial-of-service attacks launched by individuals - against systems - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with incident response responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms restricting the ability to launch - denial-of-service attacks against other systems - - id: sc-5.2 - class: SP800-53-enhancement - title: Capacity, Bandwidth, and Redundancy - props: - - name: label - value: SC-05(02) - - name: sort-id - value: sc-05.02 - links: - - href: "#sc-5" - rel: required - parts: - - id: sc-5.2_smt - name: statement - prose: Manage capacity, bandwidth, or other redundancy to limit - the effects of information flooding denial-of-service attacks. - - id: sc-5.2_gdn - name: guidance - prose: Managing capacity ensures that sufficient capacity is available - to counter flooding attacks. Managing capacity includes establishing - selected usage priorities, quotas, partitioning, or load balancing. - - name: objective - props: - - name: label - value: SC-05(02) - class: sp800-53A - prose: capacity, bandwidth, or other redundancies to limit the effects - of information flooding denial-of-service attacks are managed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing denial-of-service protection - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with incident response responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing management of system - bandwidth, capacity, and redundancy to limit the effects of - information flooding denial-of-service attacks - - id: sc-5.3 - class: SP800-53-enhancement - title: Detection and Monitoring - params: - - id: sc-05.03_odp.01 - props: - - name: legacy-identifier - value: sc-5.3_prm_1 - - name: label - value: SC-05(03)_ODP[01] - label: monitoring tools - guidelines: - - prose: monitoring tools for detecting indicators of denial-of-service - attacks are defined; - - id: sc-05.03_odp.02 - props: - - name: legacy-identifier - value: sc-5.3_prm_2 - - name: label - value: SC-05(03)_ODP[02] - label: system resources - guidelines: - - prose: system resources to be monitored to determine if sufficient - resources exist to prevent effective denial-of-service attacks - are defined; - props: - - name: label - value: SC-05(03) - - name: sort-id - value: sc-05.03 - links: - - href: "#sc-5" - rel: required - - href: "#ca-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-5.3_smt - name: statement - parts: - - id: sc-5.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ the following monitoring tools to detect indicators\ - \ of denial-of-service attacks against, or launched from,\ - \ the system: {{ insert: param, sc-05.03_odp.01 }} ; and" - - id: sc-5.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Monitor the following system resources to determine\ - \ if sufficient resources exist to prevent effective denial-of-service\ - \ attacks: {{ insert: param, sc-05.03_odp.02 }}." - - id: sc-5.3_gdn - name: guidance - prose: Organizations consider the utilization and capacity of system - resources when managing risk associated with a denial of service - due to malicious attacks. Denial-of-service attacks can originate - from external or internal sources. System resources that are sensitive - to denial of service include physical disk storage, memory, and - CPU cycles. Techniques used to prevent denial-of-service attacks - related to storage utilization and capacity include instituting - disk quotas, configuring systems to automatically alert administrators - when specific storage capacity thresholds are reached, using file - compression technologies to maximize available storage space, - and imposing separate partitions for system and user data. - - name: objective - props: - - name: label - value: SC-05(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-05(03)(a) - class: sp800-53A - prose: "{{ insert: param, sc-05.03_odp.01 }} are employed to\ - \ detect indicators of denial-of-service attacks against or\ - \ launched from the system;" - - name: objective - props: - - name: label - value: SC-05(03)(b) - class: sp800-53A - prose: "{{ insert: param, sc-05.03_odp.02 }} are monitored to\ - \ determine if sufficient resources exist to prevent effective\ - \ denial-of-service attacks." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-05(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing denial-of-service protection - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-05(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with detection and monitoring responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-05(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms/tools implementing system monitoring - for denial-of-service attacks - - id: sc-6 - class: SP800-53 - title: Resource Availability - params: - - id: sc-06_odp.01 - props: - - name: legacy-identifier - value: sc-6_prm_1 - - name: label - value: SC-06_ODP[01] - label: resources - guidelines: - - prose: resources to be allocated to protect the availability of - resources are defined; - - id: sc-06_odp.02 - props: - - name: legacy-identifier - value: sc-6_prm_2 - - name: label - value: SC-06_ODP[02] - select: - how-many: one-or-more - choice: - - priority - - quota - - " {{ insert: param, sc-06_odp.03 }} " - - id: sc-06_odp.03 - props: - - name: legacy-identifier - value: sc-6_prm_3 - - name: label - value: SC-06_ODP[03] - label: controls - guidelines: - - prose: controls to protect the availability of resources are defined - (if selected); - props: - - name: label - value: SC-06 - - name: sort-id - value: sc-06 - links: - - href: "#047b041a-b4b0-4537-ab2d-2b36283eeda0" - rel: reference - - href: "#4f42ee6e-86cc-403b-a51f-76c2b4f81b54" - rel: reference - - href: "#sc-5" - rel: related - parts: - - id: sc-6_smt - name: statement - prose: "Protect the availability of resources by allocating {{ insert:\ - \ param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02 }}." - - id: sc-6_gdn - name: guidance - prose: Priority protection prevents lower-priority processes from delaying - or interfering with the system that services higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined - amounts of resources. - - name: objective - props: - - name: label - value: SC-06 - class: sp800-53A - prose: "the availability of resources is protected by allocating {{\ - \ insert: param, sc-06_odp.01 }} by {{ insert: param, sc-06_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-06-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing prioritization of system resources - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing resource - allocation capability - - - safeguards employed to protect availability of resources - - id: sc-7 - class: SP800-53 - title: Boundary Protection - params: - - id: sc-07_odp - props: - - name: legacy-identifier - value: sc-7_prm_1 - - name: label - value: SC-07_ODP - select: - choice: - - physically - - logically - props: - - name: label - value: SC-07 - - name: sort-id - value: sc-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#482e4c99-9dc4-41ad-bba8-0f3f0032c1f8" - rel: reference - - href: "#a7f0e897-29a3-45c4-bd88-40dfef0e034a" - rel: reference - - href: "#d4d7c760-2907-403b-8b2a-767ca5370ecd" - rel: reference - - href: "#f5edfe51-d1f2-422e-9b27-5d0e90b49c72" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-3" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-10" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-43" - rel: related - parts: - - id: sc-7_smt - name: statement - parts: - - id: sc-7_smt.a - name: item - props: - - name: label - value: a. - prose: Monitor and control communications at the external managed - interfaces to the system and at key internal managed interfaces - within the system; - - id: sc-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Implement subnetworks for publicly accessible system components\ - \ that are {{ insert: param, sc-07_odp }} separated from internal\ - \ organizational networks; and" - - id: sc-7_smt.c - name: item - props: - - name: label - value: c. - prose: Connect to external networks or systems only through managed - interfaces consisting of boundary protection devices arranged - in accordance with an organizational security and privacy architecture. - - id: sc-7_gdn - name: guidance - prose: Managed interfaces include gateways, routers, firewalls, guards, - network-based malicious code analysis, virtualization systems, or - encrypted tunnels implemented within a security architecture. Subnetworks - that are physically or logically separated from internal networks - are referred to as demilitarized zones or DMZs. Restricting or prohibiting - interfaces within organizational systems includes restricting external - web traffic to designated web servers within managed interfaces, prohibiting - external traffic that appears to be spoofing internal addresses, and - prohibiting internal traffic that appears to be spoofing external - addresses. [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) provides - additional information on source address validation techniques to - prevent ingress and egress of traffic with spoofed addresses. Commercial - telecommunications services are provided by network components and - consolidated management systems shared by customers. These services - may also include third party-provided access lines and other service - elements. Such services may represent sources of increased risk despite - contract security provisions. Boundary protection may be implemented - as a common control for all or part of an organizational network such - that the boundary to be protected is greater than a system-specific - boundary (i.e., an authorization boundary). - - name: objective - props: - - name: label - value: SC-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07a.[01] - class: sp800-53A - prose: communications at external managed interfaces to the - system are monitored; - - name: objective - props: - - name: label - value: SC-07a.[02] - class: sp800-53A - prose: communications at external managed interfaces to the - system are controlled; - - name: objective - props: - - name: label - value: SC-07a.[03] - class: sp800-53A - prose: communications at key internal managed interfaces within - the system are monitored; - - name: objective - props: - - name: label - value: SC-07a.[04] - class: sp800-53A - prose: communications at key internal managed interfaces within - the system are controlled; - - name: objective - props: - - name: label - value: SC-07b. - class: sp800-53A - prose: "subnetworks for publicly accessible system components are\ - \ {{ insert: param, sc-07_odp }} separated from internal organizational\ - \ networks;" - - name: objective - props: - - name: label - value: SC-07c. - class: sp800-53A - prose: external networks or systems are only connected through managed - interfaces consisting of boundary protection devices arranged - in accordance with an organizational security and privacy architecture. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing boundary protection - - list of key internal boundaries of the system - - system design documentation - - boundary protection hardware and software - - system configuration settings and associated documentation - - enterprise security architecture documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing boundary protection capabilities - controls: - - id: sc-7.1 - class: SP800-53-enhancement - title: Physically Separated Subnetworks - props: - - name: label - value: SC-07(01) - - name: sort-id - value: sc-07.01 - - name: status - value: withdrawn - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-7.2 - class: SP800-53-enhancement - title: Public Access - props: - - name: label - value: SC-07(02) - - name: sort-id - value: sc-07.02 - - name: status - value: withdrawn - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-7.3 - class: SP800-53-enhancement - title: Access Points - props: - - name: label - value: SC-07(03) - - name: sort-id - value: sc-07.03 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.3_smt - name: statement - prose: Limit the number of external network connections to the system. - - id: sc-7.3_gdn - name: guidance - prose: Limiting the number of external network connections facilitates - monitoring of inbound and outbound communications traffic. The - Trusted Internet Connection [DHS TIC](#4f42ee6e-86cc-403b-a51f-76c2b4f81b54) - initiative is an example of a federal guideline that requires - limits on the number of external network connections. Limiting - the number of external network connections to the system is important - during transition periods from older to newer technologies (e.g., - transitioning from IPv4 to IPv6 network protocols). Such transitions - may require implementing the older and newer technologies simultaneously - during the transition period and thus increase the number of access - points to the system. - - name: objective - props: - - name: label - value: SC-07(03) - class: sp800-53A - prose: the number of external network connections to the system - is limited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - boundary protection hardware and software - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - communications and network traffic monitoring logs - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing boundary protection - capabilities - - - automated mechanisms limiting the number of external network - connections to the system - - id: sc-7.4 - class: SP800-53-enhancement - title: External Telecommunications Services - params: - - id: sc-07.04_odp - props: - - name: legacy-identifier - value: sc-7.4_prm_1 - - name: label - value: SC-07(04)_ODP - label: frequency - guidelines: - - prose: the frequency at which to review exceptions to traffic - flow policy is defined; - props: - - name: label - value: SC-07(04) - - name: sort-id - value: sc-07.04 - links: - - href: "#sc-7" - rel: required - - href: "#ac-3" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-21" - rel: related - - href: "#sc-22" - rel: related - parts: - - id: sc-7.4_smt - name: statement - parts: - - id: sc-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Implement a managed interface for each external telecommunication - service; - - id: sc-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Establish a traffic flow policy for each managed interface; - - id: sc-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Protect the confidentiality and integrity of the information - being transmitted across each interface; - - id: sc-7.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Document each exception to the traffic flow policy with - a supporting mission or business need and duration of that - need; - - id: sc-7.4_smt.e - name: item - props: - - name: label - value: (e) - prose: "Review exceptions to the traffic flow policy {{ insert:\ - \ param, sc-07.04_odp }} and remove exceptions that are no\ - \ longer supported by an explicit mission or business need;" - - id: sc-7.4_smt.f - name: item - props: - - name: label - value: (f) - prose: Prevent unauthorized exchange of control plane traffic - with external networks; - - id: sc-7.4_smt.g - name: item - props: - - name: label - value: (g) - prose: Publish information to enable remote networks to detect - unauthorized control plane traffic from internal networks; - and - - id: sc-7.4_smt.h - name: item - props: - - name: label - value: (h) - prose: Filter unauthorized control plane traffic from external - networks. - - id: sc-7.4_gdn - name: guidance - prose: External telecommunications services can provide data and/or - voice communications services. Examples of control plane traffic - include Border Gateway Protocol (BGP) routing, Domain Name System - (DNS), and management protocols. See [SP 800-189](#f5edfe51-d1f2-422e-9b27-5d0e90b49c72) - for additional information on the use of the resource public key - infrastructure (RPKI) to protect BGP routes and detect unauthorized - BGP announcements. - - name: objective - props: - - name: label - value: SC-07(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(04)(a) - class: sp800-53A - prose: a managed interface is implemented for each external - telecommunication service; - - name: objective - props: - - name: label - value: SC-07(04)(b) - class: sp800-53A - prose: a traffic flow policy is established for each managed - interface; - - name: objective - props: - - name: label - value: SC-07(04)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(04)(c)[01] - class: sp800-53A - prose: the confidentiality of the information being transmitted - across each interface is protected; - - name: objective - props: - - name: label - value: SC-07(04)(c)[02] - class: sp800-53A - prose: the integrity of the information being transmitted - across each interface is protected; - - name: objective - props: - - name: label - value: SC-07(04)(d) - class: sp800-53A - prose: each exception to the traffic flow policy is documented - with a supporting mission or business need and duration of - that need; - - name: objective - props: - - name: label - value: SC-07(04)(e) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(04)(e)[01] - class: sp800-53A - prose: "exceptions to the traffic flow policy are reviewed\ - \ {{ insert: param, sc-07.04_odp }};" - - name: objective - props: - - name: label - value: SC-07(04)(e)[02] - class: sp800-53A - prose: exceptions to the traffic flow policy that are no - longer supported by an explicit mission or business need - are removed; - - name: objective - props: - - name: label - value: SC-07(04)(f) - class: sp800-53A - prose: unauthorized exchanges of control plan traffic with external - networks are prevented; - - name: objective - props: - - name: label - value: SC-07(04)(g) - class: sp800-53A - prose: information is published to enable remote networks to - detect unauthorized control plane traffic from internal networks; - - name: objective - props: - - name: label - value: SC-07(04)(h) - class: sp800-53A - prose: unauthorized control plan traffic is filtered from external - networks. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - traffic flow policy - - - information flow control policy - - - procedures addressing boundary protection - - - system security architecture - - - system design documentation - - - boundary protection hardware and software - - - system architecture and configuration documentation - - - system configuration settings and associated documentation - - - records of traffic flow policy exceptions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for documenting and reviewing - exceptions to the traffic flow policy - - - organizational processes for removing exceptions to the traffic - flow policy - - - automated mechanisms implementing boundary protection capabilities - - - managed interfaces implementing traffic flow policy - - id: sc-7.5 - class: SP800-53-enhancement - title: Deny by Default — Allow by Exception - params: - - id: sc-07.05_odp.01 - props: - - name: legacy-identifier - value: sc-7.5_prm_1 - - name: label - value: SC-07(05)_ODP[01] - select: - how-many: one-or-more - choice: - - at managed interfaces - - "for{{ insert: param, sc-07.05_odp.02 }} " - - id: sc-07.05_odp.02 - props: - - name: legacy-identifier - value: sc-7.5_prm_2 - - name: label - value: SC-07(05)_ODP[02] - label: systems - guidelines: - - prose: systems for which network communications traffic is denied - by default and network communications traffic is allowed by - exception are defined (if selected). - props: - - name: label - value: SC-07(05) - - name: sort-id - value: sc-07.05 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.5_smt - name: statement - prose: "Deny network communications traffic by default and allow\ - \ network communications traffic by exception {{ insert: param,\ - \ sc-07.05_odp.01 }}." - - id: sc-7.5_gdn - name: guidance - prose: Denying by default and allowing by exception applies to inbound - and outbound network communications traffic. A deny-all, permit-by-exception - network communications traffic policy ensures that only those - system connections that are essential and approved are allowed. - Deny by default, allow by exception also applies to a system that - is connected to an external system. - - name: objective - props: - - name: label - value: SC-07(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(05)[01] - class: sp800-53A - prose: "network communications traffic is denied by default\ - \ {{ insert: param, sc-07.05_odp.01 }};" - - name: objective - props: - - name: label - value: SC-07(05)[02] - class: sp800-53A - prose: "network communications traffic is allowed by exception\ - \ {{ insert: param, sc-07.05_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing traffic management - at managed interfaces - - id: sc-7.6 - class: SP800-53-enhancement - title: Response to Recognized Failures - props: - - name: label - value: SC-07(06) - - name: sort-id - value: sc-07.06 - - name: status - value: withdrawn - links: - - href: "#sc-7.18" - rel: incorporated-into - - id: sc-7.7 - class: SP800-53-enhancement - title: Split Tunneling for Remote Devices - params: - - id: sc-07.07_odp - props: - - name: legacy-identifier - value: sc-7.7_prm_1 - - name: label - value: SC-07(07)_ODP - label: safeguards - guidelines: - - prose: safeguards to securely provision split tunneling are - defined; - props: - - name: label - value: SC-07(07) - - name: sort-id - value: sc-07.07 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.7_smt - name: statement - prose: "Prevent split tunneling for remote devices connecting to\ - \ organizational systems unless the split tunnel is securely provisioned\ - \ using {{ insert: param, sc-07.07_odp }}." - - id: sc-7.7_gdn - name: guidance - prose: Split tunneling is the process of allowing a remote user - or device to establish a non-remote connection with a system and - simultaneously communicate via some other connection to a resource - in an external network. This method of network access enables - a user to access remote devices and simultaneously, access uncontrolled - networks. Split tunneling might be desirable by remote users to - communicate with local system resources, such as printers or file - servers. However, split tunneling can facilitate unauthorized - external connections, making the system vulnerable to attack and - to exfiltration of organizational information. Split tunneling - can be prevented by disabling configuration settings that allow - such capability in remote devices and by preventing those configuration - settings from being configurable by users. Prevention can also - be achieved by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and - by prohibiting the connection if the remote device is using split - tunneling. A virtual private network (VPN) can be used to securely - provision a split tunnel. A securely provisioned VPN includes - locking connectivity to exclusive, managed, and named environments, - or to a specific set of pre-approved addresses, without user control. - - name: objective - props: - - name: label - value: SC-07(07) - class: sp800-53A - prose: "split tunneling is prevented for remote devices connecting\ - \ to organizational systems unless the split tunnel is securely\ - \ provisioned using {{ insert: param, sc-07.07_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing boundary protection - capabilities - - - automated mechanisms supporting/restricting non-remote connections - - id: sc-7.8 - class: SP800-53-enhancement - title: Route Traffic to Authenticated Proxy Servers - params: - - id: sc-07.08_odp.01 - props: - - name: legacy-identifier - value: sc-7.8_prm_1 - - name: label - value: SC-07(08)_ODP[01] - label: internal communications traffic - guidelines: - - prose: internal communications traffic to be routed to external - networks is defined; - - id: sc-07.08_odp.02 - props: - - name: legacy-identifier - value: sc-7.8_prm_2 - - name: label - value: SC-07(08)_ODP[02] - label: external networks - guidelines: - - prose: external networks to which internal communications traffic - is to be routed are defined; - props: - - name: label - value: SC-07(08) - - name: sort-id - value: sc-07.08 - links: - - href: "#sc-7" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: sc-7.8_smt - name: statement - prose: "Route {{ insert: param, sc-07.08_odp.01 }} to {{ insert:\ - \ param, sc-07.08_odp.02 }} through authenticated proxy servers\ - \ at managed interfaces." - - id: sc-7.8_gdn - name: guidance - prose: External networks are networks outside of organizational - control. A proxy server is a server (i.e., system or application) - that acts as an intermediary for clients requesting system resources - from non-organizational or other organizational servers. System - resources that may be requested include files, connections, web - pages, or services. Client requests established through a connection - to a proxy server are assessed to manage complexity and provide - additional protection by limiting direct connectivity. Web content - filtering devices are one of the most common proxy servers that - provide access to the Internet. Proxy servers can support the - logging of Transmission Control Protocol sessions and the blocking - of specific Uniform Resource Locators, Internet Protocol addresses, - and domain names. Web proxies can be configured with organization-defined - lists of authorized and unauthorized websites. Note that proxy - servers may inhibit the use of virtual private networks (VPNs) - and create the potential for "man-in-the-middle" attacks (depending - on the implementation). - - name: objective - props: - - name: label - value: SC-07(08) - class: sp800-53A - prose: "{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert:\ - \ param, sc-07.08_odp.02 }} through authenticated proxy servers\ - \ at managed interfaces." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing traffic management - through authenticated proxy servers at managed interfaces - - id: sc-7.9 - class: SP800-53-enhancement - title: Restrict Threatening Outgoing Communications Traffic - props: - - name: label - value: SC-07(09) - - name: sort-id - value: sc-07.09 - links: - - href: "#sc-7" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-7.9_smt - name: statement - parts: - - id: sc-7.9_smt.a - name: item - props: - - name: label - value: (a) - prose: Detect and deny outgoing communications traffic posing - a threat to external systems; and - - id: sc-7.9_smt.b - name: item - props: - - name: label - value: (b) - prose: Audit the identity of internal users associated with - denied communications. - - id: sc-7.9_gdn - name: guidance - prose: Detecting outgoing communications traffic from internal actions - that may pose threats to external systems is known as extrusion - detection. Extrusion detection is carried out within the system - at managed interfaces. Extrusion detection includes the analysis - of incoming and outgoing communications traffic while searching - for indications of internal threats to the security of external - systems. Internal threats to external systems include traffic - indicative of denial-of-service attacks, traffic with spoofed - source addresses, and traffic that contains malicious code. Organizations - have criteria to determine, update, and manage identified threats - related to extrusion detection. - - name: objective - props: - - name: label - value: SC-07(09) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(09)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(09)(a)[01] - class: sp800-53A - prose: outgoing communications traffic posing a threat to - external systems is detected; - - name: objective - props: - - name: label - value: SC-07(09)(a)[02] - class: sp800-53A - prose: outgoing communications traffic posing a threat to - external systems is denied; - - name: objective - props: - - name: label - value: SC-07(09)(b) - class: sp800-53A - prose: the identity of internal users associated with denied - communications is audited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing boundary protection - capabilities - - - automated mechanisms implementing detection and denial of - threatening outgoing communications traffic - - - automated mechanisms implementing auditing of outgoing communications - traffic - - id: sc-7.10 - class: SP800-53-enhancement - title: Prevent Exfiltration - params: - - id: sc-07.10_odp - props: - - name: legacy-identifier - value: sc-7.10_prm_1 - - name: label - value: SC-07(10)_ODP - label: frequency - guidelines: - - prose: the frequency for conducting exfiltration tests is defined; - props: - - name: label - value: SC-07(10) - - name: sort-id - value: sc-07.10 - links: - - href: "#sc-7" - rel: required - - href: "#ac-2" - rel: related - - href: "#ca-8" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-7.10_smt - name: statement - parts: - - id: sc-7.10_smt.a - name: item - props: - - name: label - value: (a) - prose: Prevent the exfiltration of information; and - - id: sc-7.10_smt.b - name: item - props: - - name: label - value: (b) - prose: "Conduct exfiltration tests {{ insert: param, sc-07.10_odp\ - \ }}." - - id: sc-7.10_gdn - name: guidance - prose: Prevention of exfiltration applies to both the intentional - and unintentional exfiltration of information. Techniques used - to prevent the exfiltration of information from systems may be - implemented at internal endpoints, external boundaries, and across - managed interfaces and include adherence to protocol formats, - monitoring for beaconing activity from systems, disconnecting - external network interfaces except when explicitly needed, employing - traffic profile analysis to detect deviations from the volume - and types of traffic expected, call backs to command and control - centers, conducting penetration testing, monitoring for steganography, - disassembling and reassembling packet headers, and using data - loss and data leakage prevention tools. Devices that enforce strict - adherence to protocol formats include deep packet inspection firewalls - and Extensible Markup Language (XML) gateways. The devices verify - adherence to protocol formats and specifications at the application - layer and identify vulnerabilities that cannot be detected by - devices that operate at the network or transport layers. The prevention - of exfiltration is similar to data loss prevention or data leakage - prevention and is closely associated with cross-domain solutions - and system guards that enforce information flow requirements. - - name: objective - props: - - name: label - value: SC-07(10) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(10)(a) - class: sp800-53A - prose: the exfiltration of information is prevented; - - name: objective - props: - - name: label - value: SC-07(10)(b) - class: sp800-53A - prose: "exfiltration tests are conducted {{ insert: param, sc-07.10_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing boundary protection - capabilities - - - preventing unauthorized exfiltration of information across - managed interfaces - - id: sc-7.11 - class: SP800-53-enhancement - title: Restrict Incoming Communications Traffic - params: - - id: sc-07.11_odp.01 - props: - - name: legacy-identifier - value: sc-7.11_prm_1 - - name: label - value: SC-07(11)_ODP[01] - label: authorized sources - guidelines: - - prose: authorized sources of incoming communications to be routed - are defined; - - id: sc-07.11_odp.02 - props: - - name: legacy-identifier - value: sc-7.11_prm_2 - - name: label - value: SC-07(11)_ODP[02] - label: authorized destinations - guidelines: - - prose: authorized destinations to which incoming communications - from authorized sources may be routed are defined; - props: - - name: label - value: SC-07(11) - - name: sort-id - value: sc-07.11 - links: - - href: "#sc-7" - rel: required - - href: "#ac-3" - rel: related - parts: - - id: sc-7.11_smt - name: statement - prose: "Only allow incoming communications from {{ insert: param,\ - \ sc-07.11_odp.01 }} to be routed to {{ insert: param, sc-07.11_odp.02\ - \ }}." - - id: sc-7.11_gdn - name: guidance - prose: General source address validation techniques are applied - to restrict the use of illegal and unallocated source addresses - as well as source addresses that should only be used within the - system. The restriction of incoming communications traffic provides - determinations that source and destination address pairs represent - authorized or allowed communications. Determinations can be based - on several factors, including the presence of such address pairs - in the lists of authorized or allowed communications, the absence - of such address pairs in lists of unauthorized or disallowed pairs, - or meeting more general rules for authorized or allowed source - and destination pairs. Strong authentication of network addresses - is not possible without the use of explicit security protocols, - and thus, addresses can often be spoofed. Further, identity-based - incoming traffic restriction methods can be employed, including - router access control lists and firewall rules. - - name: objective - props: - - name: label - value: SC-07(11) - class: sp800-53A - prose: "only incoming communications from {{ insert: param, sc-07.11_odp.01\ - \ }} are allowed to be routed to {{ insert: param, sc-07.11_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(11)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing boundary protection - capabilities with respect to source/destination address pairs - - id: sc-7.12 - class: SP800-53-enhancement - title: Host-based Protection - params: - - id: sc-07.12_odp.01 - props: - - name: legacy-identifier - value: sc-7.12_prm_1 - - name: label - value: SC-07(12)_ODP[01] - label: host-based boundary protection mechanisms - guidelines: - - prose: host-based boundary protection mechanisms to be implemented - are defined; - - id: sc-07.12_odp.02 - props: - - name: legacy-identifier - value: sc-7.12_prm_2 - - name: label - value: SC-07(12)_ODP[02] - label: system components - guidelines: - - prose: system components where host-based boundary protection - mechanisms are to be implemented are defined; - props: - - name: label - value: SC-07(12) - - name: sort-id - value: sc-07.12 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.12_smt - name: statement - prose: "Implement {{ insert: param, sc-07.12_odp.01 }} at {{ insert:\ - \ param, sc-07.12_odp.02 }}." - - id: sc-7.12_gdn - name: guidance - prose: Host-based boundary protection mechanisms include host-based - firewalls. System components that employ host-based boundary protection - mechanisms include servers, workstations, notebook computers, - and mobile devices. - - name: objective - props: - - name: label - value: SC-07(12) - class: sp800-53A - prose: "{{ insert: param, sc-07.12_odp.01 }} are implemented {{\ - \ insert: param, sc-07.12_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - boundary protection hardware and software - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - - system users - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(12)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing host-based boundary - protection capabilities - - id: sc-7.13 - class: SP800-53-enhancement - title: Isolation of Security Tools, Mechanisms, and Support Components - params: - - id: sc-07.13_odp - props: - - name: legacy-identifier - value: sc-7.13_prm_1 - - name: label - value: SC-07(13)_ODP - label: information security tools, mechanisms, and support components - guidelines: - - prose: information security tools, mechanisms, and support components - to be isolated from other internal system components are defined; - props: - - name: label - value: SC-07(13) - - name: sort-id - value: sc-07.13 - links: - - href: "#sc-7" - rel: required - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sc-7.13_smt - name: statement - prose: "Isolate {{ insert: param, sc-07.13_odp }} from other internal\ - \ system components by implementing physically separate subnetworks\ - \ with managed interfaces to other components of the system." - - id: sc-7.13_gdn - name: guidance - prose: Physically separate subnetworks with managed interfaces are - useful in isolating computer network defenses from critical operational - processing networks to prevent adversaries from discovering the - analysis and forensics techniques employed by organizations. - - name: objective - props: - - name: label - value: SC-07(13) - class: sp800-53A - prose: "{{ insert: param, sc-07.13_odp }} are isolated from other\ - \ internal system components by implementing physically separate\ - \ subnetworks with managed interfaces to other components of the\ - \ system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - list of security tools and support components to be isolated - from other internal system components - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(13)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing isolation - of information security tools, mechanisms, and support components - - id: sc-7.14 - class: SP800-53-enhancement - title: Protect Against Unauthorized Physical Connections - params: - - id: sc-07.14_odp - props: - - name: legacy-identifier - value: sc-7.14_prm_1 - - name: label - value: SC-07(14)_ODP - label: managed interfaces - guidelines: - - prose: managed interfaces used to protect against unauthorized - physical connections are defined; - props: - - name: label - value: SC-07(14) - - name: sort-id - value: sc-07.14 - links: - - href: "#sc-7" - rel: required - - href: "#pe-4" - rel: related - - href: "#pe-19" - rel: related - parts: - - id: sc-7.14_smt - name: statement - prose: "Protect against unauthorized physical connections at {{\ - \ insert: param, sc-07.14_odp }}." - - id: sc-7.14_gdn - name: guidance - prose: Systems that operate at different security categories or - classification levels may share common physical and environmental - controls, since the systems may share space within the same facilities. - In practice, it is possible that these separate systems may share - common equipment rooms, wiring closets, and cable distribution - paths. Protection against unauthorized physical connections can - be achieved by using clearly identified and physically separated - cable trays, connection frames, and patch panels for each side - of managed interfaces with physical access controls that enforce - limited authorized access to these items. - - name: objective - props: - - name: label - value: SC-07(14) - class: sp800-53A - prose: "{{ insert: param, sc-07.14_odp }} are protected against\ - \ unauthorized physical connections." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - facility communications and wiring diagram system security - plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(14)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing protection - against unauthorized physical connections - - id: sc-7.15 - class: SP800-53-enhancement - title: Networked Privileged Accesses - props: - - name: label - value: SC-07(15) - - name: sort-id - value: sc-07.15 - links: - - href: "#sc-7" - rel: required - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-7.15_smt - name: statement - prose: Route networked, privileged accesses through a dedicated, - managed interface for purposes of access control and auditing. - - id: sc-7.15_gdn - name: guidance - prose: Privileged access provides greater accessibility to system - functions, including security functions. Adversaries attempt to - gain privileged access to systems through remote access to cause - adverse mission or business impacts, such as by exfiltrating information - or bringing down a critical system capability. Routing networked, - privileged access requests through a dedicated, managed interface - further restricts privileged access for increased access control - and auditing. - - name: objective - props: - - name: label - value: SC-07(15) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(15)[01] - class: sp800-53A - prose: networked, privileged accesses are routed through a dedicated, - managed interface for purposes of access control; - - name: objective - props: - - name: label - value: SC-07(15)[02] - class: sp800-53A - prose: networked, privileged accesses are routed through a dedicated, - managed interface for purposes of auditing. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - audit logs - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(15)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - routing of networked, privileged access through dedicated, - managed interfaces - - id: sc-7.16 - class: SP800-53-enhancement - title: Prevent Discovery of System Components - props: - - name: label - value: SC-07(16) - - name: sort-id - value: sc-07.16 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.16_smt - name: statement - prose: Prevent the discovery of specific system components that - represent a managed interface. - - id: sc-7.16_gdn - name: guidance - prose: Preventing the discovery of system components representing - a managed interface helps protect network addresses of those components - from discovery through common tools and techniques used to identify - devices on networks. Network addresses are not available for discovery - and require prior knowledge for access. Preventing the discovery - of components and devices can be accomplished by not publishing - network addresses, using network address translation, or not entering - the addresses in domain name systems. Another prevention technique - is to periodically change network addresses. - - name: objective - props: - - name: label - value: SC-07(16) - class: sp800-53A - prose: the discovery of specific system components that represent - a managed interface is prevented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(16)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(16)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(16)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - prevention of discovery of system components at managed interfaces - - id: sc-7.17 - class: SP800-53-enhancement - title: Automated Enforcement of Protocol Formats - props: - - name: label - value: SC-07(17) - - name: sort-id - value: sc-07.17 - links: - - href: "#sc-7" - rel: required - - href: "#sc-4" - rel: related - parts: - - id: sc-7.17_smt - name: statement - prose: Enforce adherence to protocol formats. - - id: sc-7.17_gdn - name: guidance - prose: System components that enforce protocol formats include deep - packet inspection firewalls and XML gateways. The components verify - adherence to protocol formats and specifications at the application - layer and identify vulnerabilities that cannot be detected by - devices operating at the network or transport layers. - - name: objective - props: - - name: label - value: SC-07(17) - class: sp800-53A - prose: adherence to protocol formats is enforced. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(17)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing enforcement - of adherence to protocol formats - - id: sc-7.18 - class: SP800-53-enhancement - title: Fail Secure - props: - - name: label - value: SC-07(18) - - name: sort-id - value: sc-07.18 - links: - - href: "#sc-7" - rel: required - - href: "#cp-2" - rel: related - - href: "#cp-12" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: sc-7.18_smt - name: statement - prose: Prevent systems from entering unsecure states in the event - of an operational failure of a boundary protection device. - - id: sc-7.18_gdn - name: guidance - prose: Fail secure is a condition achieved by employing mechanisms - to ensure that in the event of operational failures of boundary - protection devices at managed interfaces, systems do not enter - into unsecure states where intended security properties no longer - hold. Managed interfaces include routers, firewalls, and application - gateways that reside on protected subnetworks (commonly referred - to as demilitarized zones). Failures of boundary protection devices - cannot lead to or cause information external to the devices to - enter the devices nor can failures permit unauthorized information - releases. - - name: objective - props: - - name: label - value: SC-07(18) - class: sp800-53A - prose: systems are prevented from entering unsecure states in the - event of an operational failure of a boundary protection device. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(18)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(18)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(18)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing secure - failure - - id: sc-7.19 - class: SP800-53-enhancement - title: Block Communication from Non-organizationally Configured Hosts - params: - - id: sc-07.19_odp - props: - - name: legacy-identifier - value: sc-7.19_prm_1 - - name: label - value: SC-07(19)_ODP - label: communication clients - guidelines: - - prose: communication clients that are independently configured - by end users and external service providers are defined; - props: - - name: label - value: SC-07(19) - - name: sort-id - value: sc-07.19 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.19_smt - name: statement - prose: "Block inbound and outbound communications traffic between\ - \ {{ insert: param, sc-07.19_odp }} that are independently configured\ - \ by end users and external service providers." - - id: sc-7.19_gdn - name: guidance - prose: Communication clients independently configured by end users - and external service providers include instant messaging clients - and video conferencing software and applications. Traffic blocking - does not apply to communication clients that are configured by - organizations to perform authorized functions. - - name: objective - props: - - name: label - value: SC-07(19) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(19)[01] - class: sp800-53A - prose: "inbound communications traffic is blocked between {{\ - \ insert: param, sc-07.19_odp }} that are independently configured\ - \ by end users and external service providers;" - - name: objective - props: - - name: label - value: SC-07(19)[02] - class: sp800-53A - prose: "outbound communications traffic is blocked between {{\ - \ insert: param, sc-07.19_odp }} that are independently configured\ - \ by end users and external service providers." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(19)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - list of communication clients independently configured by - end users and external service providers - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(19)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(19)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - blocking of inbound and outbound communications traffic between - communication clients independently configured by end users - and external service providers - - id: sc-7.20 - class: SP800-53-enhancement - title: Dynamic Isolation and Segregation - params: - - id: sc-07.20_odp - props: - - name: legacy-identifier - value: sc-7.20_prm_1 - - name: label - value: SC-07(20)_ODP - label: system components - guidelines: - - prose: system components to be dynamically isolated from other - system components are defined; - props: - - name: label - value: SC-07(20) - - name: sort-id - value: sc-07.20 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.20_smt - name: statement - prose: "Provide the capability to dynamically isolate {{ insert:\ - \ param, sc-07.20_odp }} from other system components." - - id: sc-7.20_gdn - name: guidance - prose: The capability to dynamically isolate certain internal system - components is useful when it is necessary to partition or separate - system components of questionable origin from components that - possess greater trustworthiness. Component isolation reduces the - attack surface of organizational systems. Isolating selected system - components can also limit the damage from successful attacks when - such attacks occur. - - name: objective - props: - - name: label - value: SC-07(20) - class: sp800-53A - prose: "the capability to dynamically isolate {{ insert: param,\ - \ sc-07.20_odp }} from other system components is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(20)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - list of system components to be dynamically isolated/segregated - from other components of the system - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(20)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(20)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - capability to dynamically isolate/segregate system components - - id: sc-7.21 - class: SP800-53-enhancement - title: Isolation of System Components - params: - - id: sc-07.21_odp.01 - props: - - name: legacy-identifier - value: sc-7.21_prm_1 - - name: label - value: SC-07(21)_ODP[01] - label: system components - guidelines: - - prose: system components to be isolated by boundary protection - mechanisms are defined; - - id: sc-07.21_odp.02 - props: - - name: legacy-identifier - value: sc-7.21_prm_2 - - name: label - value: SC-07(21)_ODP[02] - label: missions and/or business functions - guidelines: - - prose: missions and/or business functions to be supported by - system components isolated by boundary protection mechanisms - are defined; - props: - - name: label - value: SC-07(21) - - name: sort-id - value: sc-07.21 - links: - - href: "#sc-7" - rel: required - - href: "#ca-9" - rel: related - parts: - - id: sc-7.21_smt - name: statement - prose: "Employ boundary protection mechanisms to isolate {{ insert:\ - \ param, sc-07.21_odp.01 }} supporting {{ insert: param, sc-07.21_odp.02\ - \ }}." - - id: sc-7.21_gdn - name: guidance - prose: Organizations can isolate system components that perform - different mission or business functions. Such isolation limits - unauthorized information flows among system components and provides - the opportunity to deploy greater levels of protection for selected - system components. Isolating system components with boundary protection - mechanisms provides the capability for increased protection of - individual system components and to more effectively control information - flows between those components. Isolating system components provides - enhanced protection that limits the potential harm from hostile - cyber-attacks and errors. The degree of isolation varies depending - upon the mechanisms chosen. Boundary protection mechanisms include - routers, gateways, and firewalls that separate system components - into physically separate networks or subnetworks; cross-domain - devices that separate subnetworks; virtualization techniques; - and the encryption of information flows among system components - using distinct encryption keys. - - name: objective - props: - - name: label - value: SC-07(21) - class: sp800-53A - prose: "boundary protection mechanisms are employed to isolate {{\ - \ insert: param, sc-07.21_odp.01 }} supporting {{ insert: param,\ - \ sc-07.21_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(21)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - enterprise architecture documentation - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(21)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(21)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - capability to separate system components supporting organizational - missions and/or business functions - - id: sc-7.22 - class: SP800-53-enhancement - title: Separate Subnets for Connecting to Different Security Domains - props: - - name: label - value: SC-07(22) - - name: sort-id - value: sc-07.22 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.22_smt - name: statement - prose: Implement separate network addresses to connect to systems - in different security domains. - - id: sc-7.22_gdn - name: guidance - prose: The decomposition of systems into subnetworks (i.e., subnets) - helps to provide the appropriate level of protection for network - connections to different security domains that contain information - with different security categories or classification levels. - - name: objective - props: - - name: label - value: SC-07(22) - class: sp800-53A - prose: separate network addresses are implemented to connect to - systems in different security domains. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(22)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(22)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(22)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing separate - network addresses/different subnets - - id: sc-7.23 - class: SP800-53-enhancement - title: Disable Sender Feedback on Protocol Validation Failure - props: - - name: label - value: SC-07(23) - - name: sort-id - value: sc-07.23 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.23_smt - name: statement - prose: Disable feedback to senders on protocol format validation - failure. - - id: sc-7.23_gdn - name: guidance - prose: Disabling feedback to senders when there is a failure in - protocol validation format prevents adversaries from obtaining - information that would otherwise be unavailable. - - name: objective - props: - - name: label - value: SC-07(23) - class: sp800-53A - prose: feedback to senders is disabled on protocol format validation - failure. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(23)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(23)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(23)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - disabling of feedback to senders on protocol format validation - failure - - id: sc-7.24 - class: SP800-53-enhancement - title: Personally Identifiable Information - params: - - id: sc-07.24_odp - props: - - name: legacy-identifier - value: sc-7.24_prm_1 - - name: label - value: SC-07(24)_ODP - label: processing rules - guidelines: - - prose: processing rules for systems that process personally - identifiable information are defined; - props: - - name: label - value: SC-07(24) - - name: sort-id - value: sc-07.24 - links: - - href: "#sc-7" - rel: required - - href: "#pt-2" - rel: related - - href: "#si-15" - rel: related - parts: - - id: sc-7.24_smt - name: statement - prose: "For systems that process personally identifiable information:" - parts: - - id: sc-7.24_smt.a - name: item - props: - - name: label - value: (a) - prose: "Apply the following processing rules to data elements\ - \ of personally identifiable information: {{ insert: param,\ - \ sc-07.24_odp }};" - - id: sc-7.24_smt.b - name: item - props: - - name: label - value: (b) - prose: Monitor for permitted processing at the external interfaces - to the system and at key internal boundaries within the system; - - id: sc-7.24_smt.c - name: item - props: - - name: label - value: (c) - prose: Document each processing exception; and - - id: sc-7.24_smt.d - name: item - props: - - name: label - value: (d) - prose: Review and remove exceptions that are no longer supported. - - id: sc-7.24_gdn - name: guidance - prose: Managing the processing of personally identifiable information - is an important aspect of protecting an individual’s privacy. - Applying, monitoring for, and documenting exceptions to processing - rules ensure that personally identifiable information is processed - only in accordance with established privacy requirements. - - name: objective - props: - - name: label - value: SC-07(24) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(24)(a) - class: sp800-53A - prose: "{{ insert: param, sc-07.24_odp }} are applied to data\ - \ elements of personally identifiable information on systems\ - \ that process personally identifiable information;" - - name: objective - props: - - name: label - value: SC-07(24)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(24)(b)[01] - class: sp800-53A - prose: permitted processing is monitored at the external - interfaces to the systems that process personally identifiable - information; - - name: objective - props: - - name: label - value: SC-07(24)(b)[02] - class: sp800-53A - prose: permitted processing is monitored at key internal - boundaries within the systems that process personally - identifiable information; - - name: objective - props: - - name: label - value: SC-07(24)(c) - class: sp800-53A - prose: each processing exception is documented for systems that - process personally identifiable information; - - name: objective - props: - - name: label - value: SC-07(24)(d) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-07(24)(d)[01] - class: sp800-53A - prose: exceptions for systems that process personally identifiable - information are reviewed; - - name: objective - props: - - name: label - value: SC-07(24)(d)[02] - class: sp800-53A - prose: exceptions for systems that process personally identifiable - information that are no longer supported are removed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(24)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - personally identifiable information processing policies - - - list of key internal boundaries of the system - - - system design documentation - - - system configuration settings and associated documentation - - - enterprise security and privacy architecture documentation - - - system audit records - - - system security plan - - - privacy plan - - - personally identifiable information inventory documentation - - - data mapping documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(24)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(24)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing boundary protection - capabilities - - id: sc-7.25 - class: SP800-53-enhancement - title: Unclassified National Security System Connections - params: - - id: sc-07.25_odp.01 - props: - - name: legacy-identifier - value: sc-7.25_prm_1 - - name: label - value: SC-07(25)_ODP[01] - label: unclassified national security system - guidelines: - - prose: the unclassified national security system prohibited - from directly connecting to an external network is defined; - - id: sc-07.25_odp.02 - props: - - name: legacy-identifier - value: sc-7.25_prm_2 - - name: label - value: SC-07(25)_ODP[02] - label: boundary protection device - guidelines: - - prose: the boundary protection device required for a direct - connection to an external network is defined; - props: - - name: label - value: SC-07(25) - - name: sort-id - value: sc-07.25 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.25_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-07.25_odp.01\ - \ }} to an external network without the use of {{ insert: param,\ - \ sc-07.25_odp.02 }}." - - id: sc-7.25_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices (e.g., firewalls, gateways, and routers) - mediate communications and information flows between unclassified - national security systems and external networks. - - name: objective - props: - - name: label - value: SC-07(25) - class: sp800-53A - prose: "the direct connection of {{ insert: param, sc-07.25_odp.01\ - \ }} to an external network without the use of {{ insert: param,\ - \ sc-07.25_odp.02 }} is prohibited." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(25)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(25)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(25)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the direct connection - of unclassified national security systems to an external network - - id: sc-7.26 - class: SP800-53-enhancement - title: Classified National Security System Connections - params: - - id: sc-07.26_odp - props: - - name: legacy-identifier - value: sc-7.26_prm_1 - - name: label - value: SC-07(26)_ODP - label: boundary protection device - guidelines: - - prose: the boundary protection device required for a direct - connection to an external network is defined; - props: - - name: label - value: SC-07(26) - - name: sort-id - value: sc-07.26 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.26_smt - name: statement - prose: "Prohibit the direct connection of a classified national\ - \ security system to an external network without the use of {{\ - \ insert: param, sc-07.26_odp }}." - - id: sc-7.26_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices (e.g., firewalls, gateways, and routers) - mediate communications and information flows between classified - national security systems and external networks. In addition, - approved boundary protection devices (typically managed interface - or cross-domain systems) provide information flow enforcement - from systems to external networks. - - name: objective - props: - - name: label - value: SC-07(26) - class: sp800-53A - prose: "the direct connection of classified national security system\ - \ to an external network without the use of a {{ insert: param,\ - \ sc-07.26_odp }} is prohibited." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(26)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(26)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(26)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the direct connection - of classified national security systems to an external network - - id: sc-7.27 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - params: - - id: sc-07.27_odp.01 - props: - - name: legacy-identifier - value: sc-7.27_prm_1 - - name: label - value: SC-07(27)_ODP[01] - label: unclassified, non-national security system - guidelines: - - prose: the unclassified, non-national security system prohibited - from directly connecting to an external network is defined; - - id: sc-07.27_odp.02 - props: - - name: legacy-identifier - value: sc-7.27_prm_2 - - name: label - value: SC-07(27)_ODP[02] - label: boundary protection device - guidelines: - - prose: the boundary protection device required for a direct - connection of unclassified, non-national security system to - an external network is defined; - props: - - name: label - value: SC-07(27) - - name: sort-id - value: sc-07.27 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.27_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-07.27_odp.01\ - \ }} to an external network without the use of {{ insert: param,\ - \ sc-07.27_odp.02 }}." - - id: sc-7.27_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices (e.g., firewalls, gateways, and routers) - mediate communications and information flows between unclassified - non-national security systems and external networks. - - name: objective - props: - - name: label - value: SC-07(27) - class: sp800-53A - prose: "the direct connection of {{ insert: param, sc-07.27_odp.01\ - \ }} to an external network without the use of a {{ insert: param,\ - \ sc-07.27_odp.02 }} is prohibited." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(27)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(27)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(27)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the direct connection - of unclassified, non-national security systems to an external - network - - id: sc-7.28 - class: SP800-53-enhancement - title: Connections to Public Networks - params: - - id: sc-07.28_odp - props: - - name: legacy-identifier - value: sc-7.28_prm_1 - - name: label - value: SC-07(28)_ODP - label: system - guidelines: - - prose: the system that is prohibited from directly connecting - to a public network is defined; - props: - - name: label - value: SC-07(28) - - name: sort-id - value: sc-07.28 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.28_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-07.28_odp\ - \ }} to a public network." - - id: sc-7.28_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. A public network is a network accessible - to the public, including the Internet and organizational extranets - with public access. - - name: objective - props: - - name: label - value: SC-07(28) - class: sp800-53A - prose: "the direct connection of the {{ insert: param, sc-07.28_odp\ - \ }} to a public network is prohibited." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(28)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(28)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(28)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the direct connection - of systems to an external network - - id: sc-7.29 - class: SP800-53-enhancement - title: Separate Subnets to Isolate Functions - params: - - id: sc-07.29_odp.01 - props: - - name: legacy-identifier - value: sc-7.29_prm_1 - - name: label - value: SC-07(29)_ODP[01] - select: - choice: - - physically - - logically - - id: sc-07.29_odp.02 - props: - - name: legacy-identifier - value: sc-7.29_prm_2 - - name: label - value: SC-07(29)_ODP[02] - label: critical system components and functions - guidelines: - - prose: critical system components and functions to be isolated - are defined; - props: - - name: label - value: SC-07(29) - - name: sort-id - value: sc-07.29 - links: - - href: "#sc-7" - rel: required - parts: - - id: sc-7.29_smt - name: statement - prose: "Implement {{ insert: param, sc-07.29_odp.01 }} separate\ - \ subnetworks to isolate the following critical system components\ - \ and functions: {{ insert: param, sc-07.29_odp.02 }}." - - id: sc-7.29_gdn - name: guidance - prose: Separating critical system components and functions from - other noncritical system components and functions through separate - subnetworks may be necessary to reduce susceptibility to a catastrophic - or debilitating breach or compromise that results in system failure. - For example, physically separating the command and control function - from the in-flight entertainment function through separate subnetworks - in a commercial aircraft provides an increased level of assurance - in the trustworthiness of critical system functions. - - name: objective - props: - - name: label - value: SC-07(29) - class: sp800-53A - prose: "subnetworks are separated {{ insert: param, sc-07.29_odp.01\ - \ }} to isolate {{ insert: param, sc-07.29_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-07(29)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing boundary protection - - - system design documentation - - - system hardware and software - - - system architecture - - - system configuration settings and associated documentation - - - criticality analysis - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-07(29)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with boundary protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-07(29)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms separating critical system components - and functions - - id: sc-8 - class: SP800-53 - title: Transmission Confidentiality and Integrity - params: - - id: sc-08_odp - props: - - name: legacy-identifier - value: sc-8_prm_1 - - name: label - value: SC-08_ODP - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - props: - - name: label - value: SC-08 - - name: sort-id - value: sc-08 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#736d6310-e403-4b57-a79d-9967970c66d7" - rel: reference - - href: "#7537638e-2837-407d-844b-40fb3fafdd99" - rel: reference - - href: "#d4d7c760-2907-403b-8b2a-767ca5370ecd" - rel: reference - - href: "#fe209006-bfd4-4033-a79a-9fee1adaf372" - rel: reference - - href: "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4" - rel: reference - - href: "#1c71b420-2bd9-4e52-9fc8-390f58b85b59" - rel: reference - - href: "#4c501da5-9d79-4cb6-ba80-97260e1ce327" - rel: reference - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: sc-8_smt - name: statement - prose: "Protect the {{ insert: param, sc-08_odp }} of transmitted information." - - id: sc-8_gdn - name: guidance - prose: >- - Protecting the confidentiality and integrity of transmitted - information applies to internal and external networks as well as - any system components that can transmit information, including - servers, notebook computers, desktop computers, mobile devices, - printers, copiers, scanners, facsimile machines, and radios. - Unprotected communication paths are exposed to the possibility - of interception and modification. Protecting the confidentiality - and integrity of information can be accomplished by physical or - logical means. Physical protection can be achieved by using - protected distribution systems. A protected distribution system - is a wireline or fiber-optics telecommunications system that - includes terminals and adequate electromagnetic, acoustical, - electrical, and physical controls to permit its use for the - unencrypted transmission of classified information. Logical - protection can be achieved by employing encryption techniques. - - - Organizations that rely on commercial providers who offer transmission - services as commodity services rather than as fully dedicated services - may find it difficult to obtain the necessary assurances regarding - the implementation of needed controls for transmission confidentiality - and integrity. In such situations, organizations determine what types - of confidentiality or integrity services are available in standard, - commercial telecommunications service packages. If it is not feasible - to obtain the necessary controls and assurances of control effectiveness - through appropriate contracting vehicles, organizations can implement - appropriate compensating controls. - - name: objective - props: - - name: label - value: SC-08 - class: sp800-53A - prose: "the {{ insert: param, sc-08_odp }} of transmitted information\ - \ is/are protected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing transmission - confidentiality and/or integrity - controls: - - id: sc-8.1 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: sc-08.01_odp - props: - - name: legacy-identifier - value: sc-8.1_prm_1 - - name: label - value: SC-08(01)_ODP - select: - how-many: one-or-more - choice: - - prevent unauthorized disclosure of information - - detect changes to information - props: - - name: label - value: SC-08(01) - - name: sort-id - value: sc-08.01 - links: - - href: "#sc-8" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-8.1_smt - name: statement - prose: "Implement cryptographic mechanisms to {{ insert: param,\ - \ sc-08.01_odp }} during transmission." - - id: sc-8.1_gdn - name: guidance - prose: Encryption protects information from unauthorized disclosure - and modification during transmission. Cryptographic mechanisms - that protect the confidentiality and integrity of information - during transmission include TLS and IPSec. Cryptographic mechanisms - used to protect information integrity include cryptographic hash - functions that have applications in digital signatures, checksums, - and message authentication codes. - - name: objective - props: - - name: label - value: SC-08(01) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to {{ insert: param,\ - \ sc-08.01_odp }} during transmission." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Cryptographic mechanisms supporting and/or implementing - transmission confidentiality and/or integrity - - - automated mechanisms supporting and/or implementing alternative - physical safeguards - - - organizational processes for defining and implementing alternative - physical safeguards - - id: sc-8.2 - class: SP800-53-enhancement - title: Pre- and Post-transmission Handling - params: - - id: sc-08.02_odp - props: - - name: legacy-identifier - value: sc-8.2_prm_1 - - name: label - value: SC-08(02)_ODP - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - props: - - name: label - value: SC-08(02) - - name: sort-id - value: sc-08.02 - links: - - href: "#sc-8" - rel: required - parts: - - id: sc-8.2_smt - name: statement - prose: "Maintain the {{ insert: param, sc-08.02_odp }} of information\ - \ during preparation for transmission and during reception." - - id: sc-8.2_gdn - name: guidance - prose: Information can be unintentionally or maliciously disclosed - or modified during preparation for transmission or during reception, - including during aggregation, at protocol transformation points, - and during packing and unpacking. Such unauthorized disclosures - or modifications compromise the confidentiality or integrity of - the information. - - name: objective - props: - - name: label - value: SC-08(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-08(02)[01] - class: sp800-53A - prose: "information {{ insert: param, sc-08.02_odp }} is/are\ - \ maintained during preparation for transmission;" - - name: objective - props: - - name: label - value: SC-08(02)[02] - class: sp800-53A - prose: "information {{ insert: param, sc-08.02_odp }} is/are\ - \ maintained during reception." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing transmission - confidentiality and/or integrity - - id: sc-8.3 - class: SP800-53-enhancement - title: Cryptographic Protection for Message Externals - params: - - id: sc-08.03_odp - props: - - name: legacy-identifier - value: sc-8.3_prm_1 - - name: label - value: SC-08(03)_ODP - label: alternative physical controls - guidelines: - - prose: alternative physical controls to protect message externals - are defined; - props: - - name: label - value: SC-08(03) - - name: sort-id - value: sc-08.03 - links: - - href: "#sc-8" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-8.3_smt - name: statement - prose: "Implement cryptographic mechanisms to protect message externals\ - \ unless otherwise protected by {{ insert: param, sc-08.03_odp\ - \ }}." - - id: sc-8.3_gdn - name: guidance - prose: Cryptographic protection for message externals addresses - protection from the unauthorized disclosure of information. Message - externals include message headers and routing information. Cryptographic - protection prevents the exploitation of message externals and - applies to internal and external networks or links that may be - visible to individuals who are not authorized users. Header and - routing information is sometimes transmitted in clear text (i.e., - unencrypted) because the information is not identified by organizations - as having significant value or because encrypting the information - can result in lower network performance or higher costs. Alternative - physical controls include protected distribution systems. - - name: objective - props: - - name: label - value: SC-08(03) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to protect message\ - \ externals unless otherwise protected by {{ insert: param, sc-08.03_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Cryptographic mechanisms supporting and/or implementing - transmission confidentiality and/or integrity for - message externals - - - automated mechanisms supporting and/or implementing alternative - physical safeguards - - - organizational processes for defining and implementing alternative - physical safeguards - - id: sc-8.4 - class: SP800-53-enhancement - title: Conceal or Randomize Communications - params: - - id: sc-08.04_odp - props: - - name: legacy-identifier - value: sc-8.4_prm_1 - - name: label - value: SC-08(04)_ODP - label: alternative physical controls - guidelines: - - prose: alternative physical controls to protect against unauthorized - disclosure of communication patterns are defined; - props: - - name: label - value: SC-08(04) - - name: sort-id - value: sc-08.04 - links: - - href: "#sc-8" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-8.4_smt - name: statement - prose: "Implement cryptographic mechanisms to conceal or randomize\ - \ communication patterns unless otherwise protected by {{ insert:\ - \ param, sc-08.04_odp }}." - - id: sc-8.4_gdn - name: guidance - prose: Concealing or randomizing communication patterns addresses - protection from unauthorized disclosure of information. Communication - patterns include frequency, periods, predictability, and amount. - Changes to communications patterns can reveal information with - intelligence value, especially when combined with other available - information related to the mission and business functions of the - organization. Concealing or randomizing communications prevents - the derivation of intelligence based on communications patterns - and applies to both internal and external networks or links that - may be visible to individuals who are not authorized users. Encrypting - the links and transmitting in continuous, fixed, or random patterns - prevents the derivation of intelligence from the system communications - patterns. Alternative physical controls include protected distribution - systems. - - name: objective - props: - - name: label - value: SC-08(04) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to conceal or randomize\ - \ communication patterns unless otherwise protected by {{ insert:\ - \ param, sc-08.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Cryptographic mechanisms supporting and/or implementing - concealment or randomization of communication patterns - - - automated mechanisms supporting and/or implementing alternative - physical safeguards - - - organizational processes for defining and implementing alternative - physical safeguards - - id: sc-8.5 - class: SP800-53-enhancement - title: Protected Distribution System - params: - - id: sc-08.05_odp.01 - props: - - name: legacy-identifier - value: sc-8.5_prm_1 - - name: label - value: SC-08(05)_ODP[01] - label: protected distribution system - guidelines: - - prose: the protected distribution system is defined; - - id: sc-08.05_odp.02 - props: - - name: legacy-identifier - value: sc-8.5_prm_2 - - name: label - value: SC-08(05)_ODP[02] - select: - how-many: one-or-more - choice: - - prevent unauthorized disclosure of information - - detect changes to information - props: - - name: label - value: SC-08(05) - - name: sort-id - value: sc-08.05 - links: - - href: "#sc-8" - rel: required - parts: - - id: sc-8.5_smt - name: statement - prose: "Implement {{ insert: param, sc-08.05_odp.01 }} to {{ insert:\ - \ param, sc-08.05_odp.02 }} during transmission." - - id: sc-8.5_gdn - name: guidance - prose: The purpose of a protected distribution system is to deter, - detect, and/or make difficult physical access to the communication - lines that carry national security information. - - name: objective - props: - - name: label - value: SC-08(05) - class: sp800-53A - prose: "the {{ insert: param, sc-08.05_odp.01 }} is implemented\ - \ to {{ insert: param, sc-08.05_odp.02 }} during transmission." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-08(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing transmission confidentiality and integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-08(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-08(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Cryptographic mechanisms supporting and/or implementing - concealment or randomization of communication patterns - - - automated mechanisms supporting and/or implementing protected - distribution systems - - id: sc-9 - class: SP800-53 - title: Transmission Confidentiality - props: - - name: label - value: SC-09 - - name: sort-id - value: sc-09 - - name: status - value: withdrawn - links: - - href: "#sc-8" - rel: incorporated-into - - id: sc-10 - class: SP800-53 - title: Network Disconnect - params: - - id: sc-10_odp - props: - - name: legacy-identifier - value: sc-10_prm_1 - - name: label - value: SC-10_ODP - label: time period - guidelines: - - prose: a time period of inactivity after which the system terminates - a network connection associated with a communication session is - defined; - props: - - name: label - value: SC-10 - - name: sort-id - value: sc-10 - links: - - href: "#ac-17" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: sc-10_smt - name: statement - prose: "Terminate the network connection associated with a communications\ - \ session at the end of the session or after {{ insert: param, sc-10_odp\ - \ }} of inactivity." - - id: sc-10_gdn - name: guidance - prose: Network disconnect applies to internal and external networks. - Terminating network connections associated with specific communications - sessions includes de-allocating TCP/IP address or port pairs at the - operating system level and de-allocating the networking assignments - at the application level if multiple application sessions are using - a single operating system-level network connection. Periods of inactivity - may be established by organizations and include time periods by type - of network access or for specific network accesses. - - name: objective - props: - - name: label - value: SC-10 - class: sp800-53A - prose: "the network connection associated with a communication session\ - \ is terminated at the end of the session or after {{ insert: param,\ - \ sc-10_odp }} of inactivity." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-10-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing network disconnect - - system design documentation - - security plan - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing network - disconnect capability - - id: sc-11 - class: SP800-53 - title: Trusted Path - params: - - id: sc-11_odp.01 - props: - - name: legacy-identifier - value: sc-11_prm_1 - - name: label - value: SC-11_ODP[01] - select: - choice: - - physically - - logically - - id: sc-11_odp.02 - props: - - name: legacy-identifier - value: sc-11_prm_2 - - name: label - value: SC-11_ODP[02] - label: security functions - guidelines: - - prose: security functions of the system are defined; - props: - - name: label - value: SC-11 - - name: sort-id - value: sc-11 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ac-16" - rel: related - - href: "#ac-25" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: sc-11_smt - name: statement - parts: - - id: sc-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide a {{ insert: param, sc-11_odp.01 }} isolated trusted\ - \ communications path for communications between the user and\ - \ the trusted components of the system; and" - - id: sc-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Permit users to invoke the trusted communications path for\ - \ communications between the user and the following security functions\ - \ of the system, including at a minimum, authentication and re-authentication:\ - \ {{ insert: param, sc-11_odp.02 }}." - - id: sc-11_gdn - name: guidance - prose: Trusted paths are mechanisms by which users can communicate (using - input devices such as keyboards) directly with the security functions - of systems with the requisite assurance to support security policies. - Trusted path mechanisms can only be activated by users or the security - functions of organizational systems. User responses that occur via - trusted paths are protected from modification by and disclosure to - untrusted applications. Organizations employ trusted paths for trustworthy, - high-assurance connections between security functions of systems and - users, including during system logons. The original implementations - of trusted paths employed an out-of-band signal to initiate the path, - such as using the key, which does not transmit characters - that can be spoofed. In later implementations, a key combination that - could not be hijacked was used (e.g., the + + keys). - Such key combinations, however, are platform-specific and may not - provide a trusted path implementation in every case. The enforcement - of trusted communications paths is provided by a specific implementation - that meets the reference monitor concept. - - name: objective - props: - - name: label - value: SC-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-11a. - class: sp800-53A - prose: "a {{ insert: param, sc-11_odp.01 }} isolated trusted communication\ - \ path is provided for communications between the user and the\ - \ trusted components of the system;" - - name: objective - props: - - name: label - value: SC-11b. - class: sp800-53A - prose: "users are permitted to invoke the trusted communication\ - \ path for communications between the user and the {{ insert:\ - \ param, sc-11_odp.02 }} of the system, including authentication\ - \ and re-authentication, at a minimum." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-11-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing trusted communication paths - - security plan - - system design documentation - - system configuration settings and associated documentation - - assessment results from independent, testing organizations - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-11-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing trusted - communication paths - controls: - - id: sc-11.1 - class: SP800-53-enhancement - title: Irrefutable Communications Path - params: - - id: sc-11.01_odp - props: - - name: legacy-identifier - value: sc-11.1_prm_1 - - name: label - value: SC-11(01)_ODP - label: security functions - guidelines: - - prose: security functions of the system are defined; - props: - - name: label - value: SC-11(01) - - name: sort-id - value: sc-11.01 - links: - - href: "#sc-11" - rel: required - parts: - - id: sc-11.1_smt - name: statement - parts: - - id: sc-11.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Provide a trusted communications path that is irrefutably - distinguishable from other communications paths; and - - id: sc-11.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Initiate the trusted communications path for communications\ - \ between the {{ insert: param, sc-11.01_odp }} of the system\ - \ and the user." - - id: sc-11.1_gdn - name: guidance - prose: An irrefutable communications path permits the system to - initiate a trusted path, which necessitates that the user can - unmistakably recognize the source of the communication as a trusted - system component. For example, the trusted path may appear in - an area of the display that other applications cannot access or - be based on the presence of an identifier that cannot be spoofed. - - name: objective - props: - - name: label - value: SC-11(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-11(01)(a) - class: sp800-53A - prose: a trusted communication path that is irrefutably distinguishable - from other communication paths is provided; - - name: objective - props: - - name: label - value: SC-11(01)(b) - class: sp800-53A - prose: "the trusted communication path for communications between\ - \ the {{ insert: param, sc-11.01_odp }} of the system and\ - \ the user is initiated." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing trusted communication paths - - - security plan - - - system design documentation - - - system configuration settings and associated documentation - - - assessment results from independent, testing organizations - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing trusted - communication paths - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - params: - - id: sc-12_odp - props: - - name: legacy-identifier - value: sc-12_prm_1 - - name: label - value: SC-12_ODP - label: requirements for key generation, distribution, storage, access, - and destruction - guidelines: - - prose: requirements for key generation, distribution, storage, access, - and destruction are defined; - props: - - name: label - value: SC-12 - - name: sort-id - value: sc-12 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e" - rel: reference - - href: "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75" - rel: reference - - href: "#eef62b16-c796-4554-955c-505824135b8a" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#849b2358-683f-4d97-b111-1cc3d522ded5" - rel: reference - - href: "#3915a084-b87b-4f02-83d4-c369e746292f" - rel: reference - - href: "#ac-17" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#cm-3" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-7" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-17" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-37" - rel: related - - href: "#sc-40" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-12_smt - name: statement - prose: "Establish and manage cryptographic keys when cryptography is\ - \ employed within the system in accordance with the following key\ - \ management requirements: {{ insert: param, sc-12_odp }}." - - id: sc-12_gdn - name: guidance - prose: Cryptographic key management and establishment can be performed - using manual procedures or automated mechanisms with supporting manual - procedures. Organizations define key management requirements in accordance - with applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines and specify appropriate options, parameters, - and levels. Organizations manage trust stores to ensure that only - approved trust anchors are part of such trust stores. This includes - certificates with visibility external to organizational systems and - certificates related to the internal operations of systems. [NIST - CMVP](#1acdc775-aafb-4d11-9341-dc6a822e9d38) and [NIST CAVP](#84dc1b0c-acb7-4269-84c4-00dbabacd78c) - provide additional information on validated cryptographic modules - and algorithms that can be used in cryptographic key management and - establishment. - - name: objective - props: - - name: label - value: SC-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-12[01] - class: sp800-53A - prose: "cryptographic keys are established when cryptography is\ - \ employed within the system in accordance with {{ insert: param,\ - \ sc-12_odp }};" - - name: objective - props: - - name: label - value: SC-12[02] - class: sp800-53A - prose: "cryptographic keys are managed when cryptography is employed\ - \ within the system in accordance with {{ insert: param, sc-12_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-12-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing cryptographic key establishment and management - - - system design documentation - - - cryptographic mechanisms - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for cryptographic - key establishment and/or management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-12-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - key establishment and management - controls: - - id: sc-12.1 - class: SP800-53-enhancement - title: Availability - props: - - name: label - value: SC-12(01) - - name: sort-id - value: sc-12.01 - links: - - href: "#sc-12" - rel: required - parts: - - id: sc-12.1_smt - name: statement - prose: Maintain availability of information in the event of the - loss of cryptographic keys by users. - - id: sc-12.1_gdn - name: guidance - prose: Escrowing of encryption keys is a common practice for ensuring - availability in the event of key loss. A forgotten passphrase - is an example of losing a cryptographic key. - - name: objective - props: - - name: label - value: SC-12(01) - class: sp800-53A - prose: information availability is maintained in the event of the - loss of cryptographic keys by users. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing cryptographic key establishment, management, - and recovery - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for cryptographic - key establishment or management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - key establishment and management - - id: sc-12.2 - class: SP800-53-enhancement - title: Symmetric Keys - params: - - id: sc-12.02_odp - props: - - name: legacy-identifier - value: sc-12.2_prm_1 - - name: label - value: SC-12(02)_ODP - select: - choice: - - NIST FIPS-validated - - NSA-approved - props: - - name: label - value: SC-12(02) - - name: sort-id - value: sc-12.02 - links: - - href: "#sc-12" - rel: required - parts: - - id: sc-12.2_smt - name: statement - prose: "Produce, control, and distribute symmetric cryptographic\ - \ keys using {{ insert: param, sc-12.02_odp }} key management\ - \ technology and processes." - - id: sc-12.2_gdn - name: guidance - prose: "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP\ - \ 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a)\ - \ provide guidance on cryptographic key establishment schemes\ - \ and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1),\ - \ [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP\ - \ 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance\ - \ on cryptographic key management." - - name: objective - props: - - name: label - value: SC-12(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-12(02)[01] - class: sp800-53A - prose: "symmetric cryptographic keys are produced using {{ insert:\ - \ param, sc-12.02_odp }} key management technology and processes;" - - name: objective - props: - - name: label - value: SC-12(02)[02] - class: sp800-53A - prose: "symmetric cryptographic keys are controlled using {{\ - \ insert: param, sc-12.02_odp }} key management technology\ - \ and processes;" - - name: objective - props: - - name: label - value: SC-12(02)[03] - class: sp800-53A - prose: "symmetric cryptographic keys are distributed using {{\ - \ insert: param, sc-12.02_odp }} key management technology\ - \ and processes." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-12(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing cryptographic key establishment and - management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of FIPS-validated cryptographic products - - - list of NSA-approved cryptographic products - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-12(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for cryptographic - key establishment or management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-12(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing symmetric - cryptographic key establishment and management - - id: sc-12.3 - class: SP800-53-enhancement - title: Asymmetric Keys - params: - - id: sc-12.03_odp - props: - - name: legacy-identifier - value: sc-12.3_prm_1 - - name: label - value: SC-12(03)_ODP - select: - choice: - - NSA-approved key management technology and processes - - prepositioned keying material - - DoD-approved or DoD-issued Medium Assurance PKI certificates - - DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates - and hardware security tokens that protect the user’s private - key - - certificates issued in accordance with organization-defined - requirements - props: - - name: label - value: SC-12(03) - - name: sort-id - value: sc-12.03 - links: - - href: "#sc-12" - rel: required - parts: - - id: sc-12.3_smt - name: statement - prose: "Produce, control, and distribute asymmetric cryptographic\ - \ keys using {{ insert: param, sc-12.03_odp }}." - - id: sc-12.3_gdn - name: guidance - prose: "[SP 800-56A](#20957dbb-6a1e-40a2-b38a-66f67d33ac2e), [SP\ - \ 800-56B](#0d083d8a-5cc6-46f1-8d79-3081d42bcb75) , and [SP 800-56C](#eef62b16-c796-4554-955c-505824135b8a)\ - \ provide guidance on cryptographic key establishment schemes\ - \ and key derivation methods. [SP 800-57-1](#110e26af-4765-49e1-8740-6750f83fcda1),\ - \ [SP 800-57-2](#e7942589-e267-4a5a-a3d9-f39a7aae81f0) , and [SP\ - \ 800-57-3](#8306620b-1920-4d73-8b21-12008528595f) provide guidance\ - \ on cryptographic key management." - - name: objective - props: - - name: label - value: SC-12(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-12(03)[01] - class: sp800-53A - prose: "asymmetric cryptographic keys are produced using {{\ - \ insert: param, sc-12.03_odp }};" - - name: objective - props: - - name: label - value: SC-12(03)[02] - class: sp800-53A - prose: "asymmetric cryptographic keys are controlled using {{\ - \ insert: param, sc-12.03_odp }};" - - name: objective - props: - - name: label - value: SC-12(03)[03] - class: sp800-53A - prose: "asymmetric cryptographic keys are distributed using\ - \ {{ insert: param, sc-12.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-12(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing cryptographic key establishment and - management - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of NSA-approved cryptographic products - - - list of approved PKI Class 3 and Class 4 certificates - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-12(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for cryptographic - key establishment or management - - - organizational personnel with responsibilities for PKI certificates - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-12(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing asymmetric - cryptographic key establishment and management - - id: sc-12.4 - class: SP800-53-enhancement - title: PKI Certificates - props: - - name: label - value: SC-12(04) - - name: sort-id - value: sc-12.04 - - name: status - value: withdrawn - links: - - href: "#sc-12.3" - rel: incorporated-into - - id: sc-12.5 - class: SP800-53-enhancement - title: PKI Certificates / Hardware Tokens - props: - - name: label - value: SC-12(05) - - name: sort-id - value: sc-12.05 - - name: status - value: withdrawn - links: - - href: "#sc-12.3" - rel: incorporated-into - - id: sc-12.6 - class: SP800-53-enhancement - title: Physical Control of Keys - props: - - name: label - value: SC-12(06) - - name: sort-id - value: sc-12.06 - links: - - href: "#sc-12" - rel: required - parts: - - id: sc-12.6_smt - name: statement - prose: Maintain physical control of cryptographic keys when stored - information is encrypted by external service providers. - - id: sc-12.6_gdn - name: guidance - prose: For organizations that use external service providers (e.g., - cloud service or data center providers), physical control of cryptographic - keys provides additional assurance that information stored by - such external providers is not subject to unauthorized disclosure - or modification. - - name: objective - props: - - name: label - value: SC-12(06) - class: sp800-53A - prose: physical control of cryptographic keys is maintained when - stored information is encrypted by external service providers. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-12(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing cryptographic key establishment, management, - and recovery - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-12(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for cryptographic - key establishment or management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-12(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - key establishment and management - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - params: - - id: sc-13_odp.01 - props: - - name: legacy-identifier - value: sc-13_prm_1 - - name: label - value: SC-13_ODP[01] - label: cryptographic uses - guidelines: - - prose: cryptographic uses are defined; - - id: sc-13_odp.02 - props: - - name: legacy-identifier - value: sc-13_prm_2 - - name: label - value: SC-13_ODP[02] - label: types of cryptography - guidelines: - - prose: types of cryptography for each specified cryptographic use - are defined; - props: - - name: label - value: SC-13 - - name: sort-id - value: sc-13 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-9" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-7" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-40" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-13_smt - name: statement - parts: - - id: sc-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine the {{ insert: param, sc-13_odp.01 }} ; and" - - id: sc-13_smt.b - name: item - props: - - name: label - value: b. - prose: "Implement the following types of cryptography required for\ - \ each specified cryptographic use: {{ insert: param, sc-13_odp.02\ - \ }}." - - id: sc-13_gdn - name: guidance - prose: Cryptography can be employed to support a variety of security - solutions, including the protection of classified information and - controlled unclassified information, the provision and implementation - of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances but lack - the necessary formal access approvals. Cryptography can also be used - to support random number and hash generation. Generally applicable - cryptographic standards include FIPS-validated cryptography and NSA-approved - cryptography. For example, organizations that need to protect classified - information may specify the use of NSA-approved cryptography. Organizations - that need to provision and implement digital signatures may specify - the use of FIPS-validated cryptography. Cryptography is implemented - in accordance with applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. - - name: objective - props: - - name: label - value: SC-13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-13a. - class: sp800-53A - prose: "{{ insert: param, sc-13_odp.01 }} are identified;" - - name: objective - props: - - name: label - value: SC-13b. - class: sp800-53A - prose: "{{ insert: param, sc-13_odp.02 }} for each specified cryptographic\ - \ use (defined in SC-13_ODP[01]) are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-13-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing cryptographic protection - - system design documentation - - system configuration settings and associated documentation - - cryptographic module validation certificates - - list of FIPS-validated cryptographic modules - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for cryptographic - protection - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-13-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic - protection - controls: - - id: sc-13.1 - class: SP800-53-enhancement - title: Fips-validated Cryptography - props: - - name: label - value: SC-13(01) - - name: sort-id - value: sc-13.01 - - name: status - value: withdrawn - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.2 - class: SP800-53-enhancement - title: Nsa-approved Cryptography - props: - - name: label - value: SC-13(02) - - name: sort-id - value: sc-13.02 - - name: status - value: withdrawn - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.3 - class: SP800-53-enhancement - title: Individuals Without Formal Access Approvals - props: - - name: label - value: SC-13(03) - - name: sort-id - value: sc-13.03 - - name: status - value: withdrawn - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.4 - class: SP800-53-enhancement - title: Digital Signatures - props: - - name: label - value: SC-13(04) - - name: sort-id - value: sc-13.04 - - name: status - value: withdrawn - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-14 - class: SP800-53 - title: Public Access Protections - props: - - name: label - value: SC-14 - - name: sort-id - value: sc-14 - - name: status - value: withdrawn - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#ac-3" - rel: incorporated-into - - href: "#ac-5" - rel: incorporated-into - - href: "#ac-6" - rel: incorporated-into - - href: "#si-3" - rel: incorporated-into - - href: "#si-4" - rel: incorporated-into - - href: "#si-5" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - href: "#si-10" - rel: incorporated-into - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices and Applications - params: - - id: sc-15_odp - props: - - name: legacy-identifier - value: sc-15_prm_1 - - name: label - value: SC-15_ODP - label: exceptions where remote activation is to be allowed - guidelines: - - prose: exceptions where remote activation is to be allowed are defined; - props: - - name: label - value: SC-15 - - name: sort-id - value: sc-15 - links: - - href: "#ac-21" - rel: related - - href: "#sc-42" - rel: related - parts: - - id: sc-15_smt - name: statement - parts: - - id: sc-15_smt.a - name: item - props: - - name: label - value: a. - prose: "Prohibit remote activation of collaborative computing devices\ - \ and applications with the following exceptions: {{ insert: param,\ - \ sc-15_odp }} ; and" - - id: sc-15_smt.b - name: item - props: - - name: label - value: b. - prose: Provide an explicit indication of use to users physically - present at the devices. - - id: sc-15_gdn - name: guidance - prose: Collaborative computing devices and applications include remote - meeting devices and applications, networked white boards, cameras, - and microphones. The explicit indication of use includes signals to - users when collaborative computing devices and applications are activated. - - name: objective - props: - - name: label - value: SC-15 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-15a. - class: sp800-53A - prose: "remote activation of collaborative computing devices and\ - \ applications is prohibited except {{ insert: param, sc-15_odp\ - \ }};" - - name: objective - props: - - name: label - value: SC-15b. - class: sp800-53A - prose: an explicit indication of use is provided to users physically - present at the devices. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-15-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing collaborative computing - - access control policy and procedures - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-15-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing collaborative - computing devices - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-15-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing the - management of remote activation of collaborative computing - devices - - - automated mechanisms providing an indication of use of collaborative - computing devices - controls: - - id: sc-15.1 - class: SP800-53-enhancement - title: Physical or Logical Disconnect - params: - - id: sc-15.01_odp - props: - - name: legacy-identifier - value: sc-15.1_prm_1 - - name: label - value: SC-15(01)_ODP - select: - how-many: one-or-more - choice: - - physical - - logical - props: - - name: label - value: SC-15(01) - - name: sort-id - value: sc-15.01 - links: - - href: "#sc-15" - rel: required - parts: - - id: sc-15.1_smt - name: statement - prose: "Provide {{ insert: param, sc-15.01_odp }} disconnect of\ - \ collaborative computing devices in a manner that supports ease\ - \ of use." - - id: sc-15.1_gdn - name: guidance - prose: Failing to disconnect from collaborative computing devices - can result in subsequent compromises of organizational information. - Providing easy methods to disconnect from such devices after a - collaborative computing session ensures that participants carry - out the disconnect activity without having to go through complex - and tedious procedures. Disconnect from collaborative computing - devices can be manual or automatic. - - name: objective - props: - - name: label - value: SC-15(01) - class: sp800-53A - prose: "the {{ insert: param, sc-15.01_odp }} disconnect of collaborative\ - \ computing devices is/are provided in a manner that supports\ - \ ease of use." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-15(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing collaborative computing - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-15(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing - collaborative computing devices - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-15(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - physical disconnect of collaborative computing devices - - id: sc-15.2 - class: SP800-53-enhancement - title: Blocking Inbound and Outbound Communications Traffic - props: - - name: label - value: SC-15(02) - - name: sort-id - value: sc-15.02 - - name: status - value: withdrawn - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-15.3 - class: SP800-53-enhancement - title: Disabling and Removal in Secure Work Areas - params: - - id: sc-15.03_odp.01 - props: - - name: legacy-identifier - value: sc-15.3_prm_1 - - name: label - value: SC-15(03)_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components from which collaborative - computing devises are to be disabled or removed are defined; - - id: sc-15.03_odp.02 - props: - - name: legacy-identifier - value: sc-15.3_prm_2 - - name: label - value: SC-15(03)_ODP[02] - label: secure work areas - guidelines: - - prose: secure work areas where collaborative computing devices - are to be disabled or removed from systems or system components - are defined; - props: - - name: label - value: SC-15(03) - - name: sort-id - value: sc-15.03 - links: - - href: "#sc-15" - rel: required - parts: - - id: sc-15.3_smt - name: statement - prose: "Disable or remove collaborative computing devices and applications\ - \ from {{ insert: param, sc-15.03_odp.01 }} in {{ insert: param,\ - \ sc-15.03_odp.02 }}." - - id: sc-15.3_gdn - name: guidance - prose: Failing to disable or remove collaborative computing devices - and applications from systems or system components can result - in compromises of information, including eavesdropping on conversations. - A Sensitive Compartmented Information Facility (SCIF) is an example - of a secure work area. - - name: objective - props: - - name: label - value: SC-15(03) - class: sp800-53A - prose: "collaborative computing devices and applications are disabled\ - \ or removed from {{ insert: param, sc-15.03_odp.01 }} in {{ insert:\ - \ param, sc-15.03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-15(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing collaborative computing - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of secure work areas - - - systems or system components in secured work areas where collaborative - computing devices are to be disabled or removed - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-15(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing - collaborative computing devices - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-15(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - capability to disable collaborative computing devices - - id: sc-15.4 - class: SP800-53-enhancement - title: Explicitly Indicate Current Participants - params: - - id: sc-15.04_odp - props: - - name: legacy-identifier - value: sc-15.4_prm_1 - - name: label - value: SC-15(04)_ODP - label: online meetings and teleconferences - guidelines: - - prose: online meetings and teleconferences for which an explicit - indication of current participants is to be provided are defined; - props: - - name: label - value: SC-15(04) - - name: sort-id - value: sc-15.04 - links: - - href: "#sc-15" - rel: required - parts: - - id: sc-15.4_smt - name: statement - prose: "Provide an explicit indication of current participants in\ - \ {{ insert: param, sc-15.04_odp }}." - - id: sc-15.4_gdn - name: guidance - prose: Explicitly indicating current participants prevents unauthorized - individuals from participating in collaborative computing sessions - without the explicit knowledge of other participants. - - name: objective - props: - - name: label - value: SC-15(04) - class: sp800-53A - prose: "an explicit indication of current participants in {{ insert:\ - \ param, sc-15.04_odp }} is provided." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-15(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing collaborative computing - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - list of types of meetings and teleconferences requiring explicit - indication of current participants - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-15(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing - collaborative computing devices - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-15(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - capability to indicate participants on collaborative computing - devices - - id: sc-16 - class: SP800-53 - title: Transmission of Security and Privacy Attributes - params: - - id: sc-16_prm_1 - props: - - name: aggregates - value: sc-16_odp.01 - label: organization-defined security and privacy attributes - - id: sc-16_odp.01 - props: - - name: label - value: SC-16_ODP[01] - label: security attributes - guidelines: - - prose: security attributes to be associated with information exchanged - are defined; - - id: sc-16_odp.02 - props: - - name: label - value: SC-16_ODP[02] - label: privacy attributes - guidelines: - - prose: privacy attributes to be associated with information exchanged - are defined; - props: - - name: label - value: SC-16 - - name: sort-id - value: sc-16 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: sc-16_smt - name: statement - prose: "Associate {{ insert: param, sc-16_prm_1 }} with information\ - \ exchanged between systems and between system components." - - id: sc-16_gdn - name: guidance - prose: Security and privacy attributes can be explicitly or implicitly - associated with the information contained in organizational systems - or system components. Attributes are abstractions that represent the - basic properties or characteristics of an entity with respect to protecting - information or the management of personally identifiable information. - Attributes are typically associated with internal data structures, - including records, buffers, and files within the system. Security - and privacy attributes are used to implement access control and information - flow control policies; reflect special dissemination, management, - or distribution instructions, including permitted uses of personally - identifiable information; or support other aspects of the information - security and privacy policies. Privacy attributes may be used independently - or in conjunction with security attributes. - - name: objective - props: - - name: label - value: SC-16 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-16[01] - class: sp800-53A - prose: "{{ insert: param, sc-16_odp.01 }} are associated with information\ - \ exchanged between systems;" - - name: objective - props: - - name: label - value: SC-16[02] - class: sp800-53A - prose: "{{ insert: param, sc-16_odp.01 }} are associated with information\ - \ exchanged between system components;" - - name: objective - props: - - name: label - value: SC-16[03] - class: sp800-53A - prose: "{{ insert: param, sc-16_odp.02 }} are associated with information\ - \ exchanged between systems;" - - name: objective - props: - - name: label - value: SC-16[04] - class: sp800-53A - prose: "{{ insert: param, sc-16_odp.02 }} are associated with information\ - \ exchanged between system components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the transmission of security and privacy - attributes - - - access control policy and procedures - - - information flow control policy - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-16-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the transmission - of security and privacy attributes between systems - controls: - - id: sc-16.1 - class: SP800-53-enhancement - title: Integrity Verification - props: - - name: label - value: SC-16(01) - - name: sort-id - value: sc-16.01 - links: - - href: "#sc-16" - rel: required - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: sc-16.1_smt - name: statement - prose: Verify the integrity of transmitted security and privacy - attributes. - - id: sc-16.1_gdn - name: guidance - prose: Part of verifying the integrity of transmitted information - is ensuring that security and privacy attributes that are associated - with such information have not been modified in an unauthorized - manner. Unauthorized modification of security or privacy attributes - can result in a loss of integrity for transmitted information. - - name: objective - props: - - name: label - value: SC-16(01)[01] - class: sp800-53A - prose: the integrity of transmitted security attributes is verified; - - name: objective - props: - - name: label - value: SC-16(01)[02] - class: sp800-53A - prose: the integrity of transmitted privacy attributes is verified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-16(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the transmission of security and privacy - attributes - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-16(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-16(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing verification - of the integrity of transmitted security and privacy attributes - - id: sc-16.2 - class: SP800-53-enhancement - title: Anti-spoofing Mechanisms - props: - - name: label - value: SC-16(02) - - name: sort-id - value: sc-16.02 - links: - - href: "#sc-16" - rel: required - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-16.2_smt - name: statement - prose: Implement anti-spoofing mechanisms to prevent adversaries - from falsifying the security attributes indicating the successful - application of the security process. - - id: sc-16.2_gdn - name: guidance - prose: Some attack vectors operate by altering the security attributes - of an information system to intentionally and maliciously implement - an insufficient level of security within the system. The alteration - of attributes leads organizations to believe that a greater number - of security functions are in place and operational than have actually - been implemented. - - name: objective - props: - - name: label - value: SC-16(02) - class: sp800-53A - prose: anti-spoofing mechanisms are implemented to prevent adversaries - from falsifying the security attributes indicating the successful - application of the security process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-16(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the transmission of security and privacy - attributes - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-16(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-16(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing anti-spoofing - mechanisms - - id: sc-16.3 - class: SP800-53-enhancement - title: Cryptographic Binding - params: - - id: sc-16.03_odp - props: - - name: legacy-identifier - value: sc-16.3_prm_1 - - name: label - value: SC-16(03)_ODP - label: mechanisms or techniques - guidelines: - - prose: mechanisms or techniques to bind security and privacy - attributes to transmitted information are defined; - props: - - name: label - value: SC-16(03) - - name: sort-id - value: sc-16.03 - links: - - href: "#sc-16" - rel: required - - href: "#ac-16" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-16.3_smt - name: statement - prose: "Implement {{ insert: param, sc-16.03_odp }} to bind security\ - \ and privacy attributes to transmitted information." - - id: sc-16.3_gdn - name: guidance - prose: Cryptographic mechanisms and techniques can provide strong - security and privacy attribute binding to transmitted information - to help ensure the integrity of such information. - - name: objective - props: - - name: label - value: SC-16(03) - class: sp800-53A - prose: "{{ insert: param, sc-16.03_odp }} are implemented to bind\ - \ security and privacy attributes to transmitted information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-16(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the transmission of security and privacy - attributes - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-16(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-16(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing anti-spoofing - mechanisms - - id: sc-17 - class: SP800-53 - title: Public Key Infrastructure Certificates - params: - - id: sc-17_odp - props: - - name: legacy-identifier - value: sc-17_prm_1 - - name: label - value: SC-17_ODP - label: certificate policy - guidelines: - - prose: a certificate policy for issuing public key certificates - is defined; - props: - - name: label - value: SC-17 - - name: sort-id - value: sc-17 - links: - - href: "#8cb338a4-e493-4177-818f-3af18983ddc5" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#737513fa-6758-403f-831d-5ddab5e23cb3" - rel: reference - - href: "#au-10" - rel: related - - href: "#ia-5" - rel: related - - href: "#sc-12" - rel: related - parts: - - id: sc-17_smt - name: statement - parts: - - id: sc-17_smt.a - name: item - props: - - name: label - value: a. - prose: "Issue public key certificates under an {{ insert: param,\ - \ sc-17_odp }} or obtain public key certificates from an approved\ - \ service provider; and" - - id: sc-17_smt.b - name: item - props: - - name: label - value: b. - prose: Include only approved trust anchors in trust stores or certificate - stores managed by the organization. - - id: sc-17_gdn - name: guidance - prose: Public key infrastructure (PKI) certificates are certificates - with visibility external to organizational systems and certificates - related to the internal operations of systems, such as application-specific - time services. In cryptographic systems with a hierarchical structure, - a trust anchor is an authoritative source (i.e., a certificate authority) - for which trust is assumed and not derived. A root certificate for - a PKI system is an example of a trust anchor. A trust store or certificate - store maintains a list of trusted root certificates. - - name: objective - props: - - name: label - value: SC-17 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-17a. - class: sp800-53A - prose: "public key certificates are issued under {{ insert: param,\ - \ sc-17_odp }} , or public key certificates are obtained from\ - \ an approved service provider;" - - name: objective - props: - - name: label - value: SC-17b. - class: sp800-53A - prose: only approved trust anchors are included in trust stores - or certificate stores managed by the organization. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-17-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing public key infrastructure certificates - - public key certificate policy or policies - - public key issuing process - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for issuing public - key certificates - - - service providers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-17-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the management - of public key infrastructure certificates - - id: sc-18 - class: SP800-53 - title: Mobile Code - props: - - name: label - value: SC-18 - - name: sort-id - value: sc-18 - links: - - href: "#f641309f-a3ad-48be-8c67-2b318648b2f5" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-18_smt - name: statement - parts: - - id: sc-18_smt.a - name: item - props: - - name: label - value: a. - prose: Define acceptable and unacceptable mobile code and mobile - code technologies; and - - id: sc-18_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize, monitor, and control the use of mobile code within - the system. - - id: sc-18_gdn - name: guidance - prose: Mobile code includes any program, application, or content that - can be transmitted across a network (e.g., embedded in an email, document, - or website) and executed on a remote system. Decisions regarding the - use of mobile code within organizational systems are based on the - potential for the code to cause damage to the systems if used maliciously. - Mobile code technologies include Java applets, JavaScript, HTML5, - WebGL, and VBScript. Usage restrictions and implementation guidelines - apply to both the selection and use of mobile code installed on servers - and mobile code downloaded and executed on individual workstations - and devices, including notebook computers and smart phones. Mobile - code policy and procedures address specific actions taken to prevent - the development, acquisition, and introduction of unacceptable mobile - code within organizational systems, including requiring mobile code - to be digitally signed by a trusted source. - - name: objective - props: - - name: label - value: SC-18 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18a.[01] - class: sp800-53A - prose: acceptable mobile code is defined; - - name: objective - props: - - name: label - value: SC-18a.[02] - class: sp800-53A - prose: unacceptable mobile code is defined; - - name: objective - props: - - name: label - value: SC-18a.[03] - class: sp800-53A - prose: acceptable mobile code and mobile code technologies are - defined; - - name: objective - props: - - name: label - value: SC-18a.[04] - class: sp800-53A - prose: unacceptable mobile code and mobile code technologies - are defined; - - name: objective - props: - - name: label - value: SC-18b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18b.[01] - class: sp800-53A - prose: the use of mobile code is authorized within the system; - - name: objective - props: - - name: label - value: SC-18b.[02] - class: sp800-53A - prose: the use of mobile code is monitored within the system; - - name: objective - props: - - name: label - value: SC-18b.[03] - class: sp800-53A - prose: the use of mobile code is controlled within the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing mobile code - - mobile code implementation policy and procedures - - list of acceptable mobile code and mobile code technologies - - list of unacceptable mobile code and mobile technologies - - authorization records - - system monitoring records - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing mobile - code - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for authorizing, monitoring, and - controlling mobile code - - - automated mechanisms supporting and/or implementing the management - of mobile code - - - automated mechanisms supporting and/or implementing the monitoring - of mobile code - controls: - - id: sc-18.1 - class: SP800-53-enhancement - title: Identify Unacceptable Code and Take Corrective Actions - params: - - id: sc-18.01_odp.01 - props: - - name: legacy-identifier - value: sc-18.1_prm_1 - - name: label - value: SC-18(01)_ODP[01] - label: unacceptable mobile code - guidelines: - - prose: unacceptable mobile code is defined; - - id: sc-18.01_odp.02 - props: - - name: legacy-identifier - value: sc-18.1_prm_2 - - name: label - value: SC-18(01)_ODP[02] - label: corrective actions - guidelines: - - prose: corrective actions to be taken when unacceptable mobile - code is identified are defined; - props: - - name: label - value: SC-18(01) - - name: sort-id - value: sc-18.01 - links: - - href: "#sc-18" - rel: required - parts: - - id: sc-18.1_smt - name: statement - prose: "Identify {{ insert: param, sc-18.01_odp.01 }} and take {{\ - \ insert: param, sc-18.01_odp.02 }}." - - id: sc-18.1_gdn - name: guidance - prose: Corrective actions when unacceptable mobile code is detected - include blocking, quarantine, or alerting administrators. Blocking - includes preventing the transmission of word processing files - with embedded macros when such macros have been determined to - be unacceptable mobile code. - - name: objective - props: - - name: label - value: SC-18(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18(01)[01] - class: sp800-53A - prose: "{{ insert: param, sc-18.01_odp.01 }} is identified;" - - name: objective - props: - - name: label - value: SC-18(01)[02] - class: sp800-53A - prose: "{{ insert: param, sc-18.01_odp.02 }} are taken if unacceptable\ - \ mobile code is identified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing mobile code - - - mobile code usage restrictions - - - mobile code implementation policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - list of unacceptable mobile code - - - list of corrective actions to be taken when unacceptable mobile - code is identified - - - system monitoring records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing - mobile code - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing mobile - code detection, inspection, and corrective capabilities - - id: sc-18.2 - class: SP800-53-enhancement - title: Acquisition, Development, and Use - params: - - id: sc-18.02_odp - props: - - name: legacy-identifier - value: sc-18.2_prm_1 - - name: label - value: SC-18(02)_ODP - label: mobile code requirements - guidelines: - - prose: mobile code requirements for the acquisition, development, - and use of mobile code to be deployed in the system are defined; - props: - - name: label - value: SC-18(02) - - name: sort-id - value: sc-18.02 - links: - - href: "#sc-18" - rel: required - parts: - - id: sc-18.2_smt - name: statement - prose: "Verify that the acquisition, development, and use of mobile\ - \ code to be deployed in the system meets {{ insert: param, sc-18.02_odp\ - \ }}." - - id: sc-18.2_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-18(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18(02)[01] - class: sp800-53A - prose: "the acquisition of mobile code to be deployed in the\ - \ system meets {{ insert: param, sc-18.02_odp }};" - - name: objective - props: - - name: label - value: SC-18(02)[02] - class: sp800-53A - prose: "the development of mobile code to be deployed in the\ - \ system meets {{ insert: param, sc-18.02_odp }};" - - name: objective - props: - - name: label - value: SC-18(02)[03] - class: sp800-53A - prose: "the use of mobile code to be deployed in the system\ - \ meets {{ insert: param, sc-18.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing mobile code - - - mobile code requirements - - - mobile code usage restrictions - - - mobile code implementation policy and procedures - - - acquisition documentation - - - acquisition contracts for system, system component, or system - service - - - system development life cycle documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing - mobile code - - - organizational personnel with acquisition and contracting - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for the acquisition, development, - and use of mobile code - - id: sc-18.3 - class: SP800-53-enhancement - title: Prevent Downloading and Execution - params: - - id: sc-18.03_odp - props: - - name: legacy-identifier - value: sc-18.3_prm_1 - - name: label - value: SC-18(03)_ODP - label: unacceptable mobile code - guidelines: - - prose: unacceptable mobile code to be prevented from downloading - and executing is defined; - props: - - name: label - value: SC-18(03) - - name: sort-id - value: sc-18.03 - links: - - href: "#sc-18" - rel: required - parts: - - id: sc-18.3_smt - name: statement - prose: "Prevent the download and execution of {{ insert: param,\ - \ sc-18.03_odp }}." - - id: sc-18.3_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-18(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18(03)[01] - class: sp800-53A - prose: "the download of {{ insert: param, sc-18.03_odp }} is\ - \ prevented;" - - name: objective - props: - - name: label - value: SC-18(03)[02] - class: sp800-53A - prose: "the execution of {{ insert: param, sc-18.03_odp }} is\ - \ prevented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing mobile code - - - mobile code usage restrictions - - - mobile code implementation policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing - mobile code - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms preventing download and execution - of unacceptable mobile code - - id: sc-18.4 - class: SP800-53-enhancement - title: Prevent Automatic Execution - params: - - id: sc-18.04_odp.01 - props: - - name: legacy-identifier - value: sc-18.4_prm_1 - - name: label - value: SC-18(04)_ODP[01] - label: software applications - guidelines: - - prose: software applications in which the automatic execution - of mobile code is to be prevented are defined; - - id: sc-18.04_odp.02 - props: - - name: legacy-identifier - value: sc-18.4_prm_2 - - name: label - value: SC-18(04)_ODP[02] - label: actions - guidelines: - - prose: actions to be enforced by the system prior to executing - mobile code are defined; - props: - - name: label - value: SC-18(04) - - name: sort-id - value: sc-18.04 - links: - - href: "#sc-18" - rel: required - parts: - - id: sc-18.4_smt - name: statement - prose: "Prevent the automatic execution of mobile code in {{ insert:\ - \ param, sc-18.04_odp.01 }} and enforce {{ insert: param, sc-18.04_odp.02\ - \ }} prior to executing the code." - - id: sc-18.4_gdn - name: guidance - prose: Actions enforced before executing mobile code include prompting - users prior to opening email attachments or clicking on web links. - Preventing the automatic execution of mobile code includes disabling - auto-execute features on system components that employ portable - storage devices, such as compact discs, digital versatile discs, - and universal serial bus devices. - - name: objective - props: - - name: label - value: SC-18(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-18(04)[01] - class: sp800-53A - prose: "the automatic execution of mobile code in {{ insert:\ - \ param, sc-18.04_odp.01 }} is prevented;" - - name: objective - props: - - name: label - value: SC-18(04)[02] - class: sp800-53A - prose: "{{ insert: param, sc-18.04_odp.02 }} are enforced prior\ - \ to executing mobile code." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing mobile code - - - mobile code usage restrictions - - - mobile code implementation policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - list of software applications in which the automatic execution - of mobile code must be prohibited - - - list of actions required before execution of mobile code - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing - mobile code - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms preventing the automatic execution - of unacceptable mobile code - - - automated mechanisms enforcing actions to be taken prior to - the execution of the mobile code - - id: sc-18.5 - class: SP800-53-enhancement - title: Allow Execution Only in Confined Environments - props: - - name: label - value: SC-18(05) - - name: sort-id - value: sc-18.05 - links: - - href: "#sc-18" - rel: required - - href: "#sc-44" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-18.5_smt - name: statement - prose: Allow execution of permitted mobile code only in confined - virtual machine environments. - - id: sc-18.5_gdn - name: guidance - prose: Permitting the execution of mobile code only in confined - virtual machine environments helps prevent the introduction of - malicious code into other systems and system components. - - name: objective - props: - - name: label - value: SC-18(05) - class: sp800-53A - prose: execution of permitted mobile code is allowed only in confined - virtual machine environments. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-18(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing mobile code - - - mobile code usage allowances - - - mobile code usage restrictions - - - system design documentation - - - system configuration settings and associated documentation - - - list of confined virtual machine environments in which the - execution of organizationally acceptable mobile code is allowed - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-18(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel with responsibilities for managing - mobile code - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-18(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms allowing the execution of permitted - mobile code in confined virtual machine environments - - id: sc-19 - class: SP800-53 - title: Voice Over Internet Protocol - props: - - name: label - value: SC-19 - - name: sort-id - value: sc-19 - - name: status - value: withdrawn - parts: - - id: sc-19_smt - name: statement - prose: Technology-specific; addressed as any other technology or protocol. - - id: sc-20 - class: SP800-53 - title: Secure Name/address Resolution Service (authoritative Source) - props: - - name: label - value: SC-20 - - name: sort-id - value: sc-20 - links: - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#fe209006-bfd4-4033-a79a-9fee1adaf372" - rel: reference - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-21" - rel: related - - href: "#sc-22" - rel: related - parts: - - id: sc-20_smt - name: statement - parts: - - id: sc-20_smt.a - name: item - props: - - name: label - value: a. - prose: Provide additional data origin authentication and integrity - verification artifacts along with the authoritative name resolution - data the system returns in response to external name/address resolution - queries; and - - id: sc-20_smt.b - name: item - props: - - name: label - value: b. - prose: Provide the means to indicate the security status of child - zones and (if the child supports secure resolution services) to - enable verification of a chain of trust among parent and child - domains, when operating as part of a distributed, hierarchical - namespace. - - id: sc-20_gdn - name: guidance - prose: Providing authoritative source information enables external clients, - including remote Internet clients, to obtain origin authentication - and integrity verification assurances for the host/service name to - network address resolution information obtained through the service. - Systems that provide name and address resolution services include - domain name system (DNS) servers. Additional artifacts include DNS - Security Extensions (DNSSEC) digital signatures and cryptographic - keys. Authoritative data includes DNS resource records. The means - for indicating the security status of child zones include the use - of delegation signer resource records in the DNS. Systems that use - technologies other than the DNS to map between host and service names - and network addresses provide other means to assure the authenticity - and integrity of response data. - - name: objective - props: - - name: label - value: SC-20 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-20a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-20a.[01] - class: sp800-53A - prose: additional data origin authentication is provided along - with the authoritative name resolution data that the system - returns in response to external name/address resolution queries; - - name: objective - props: - - name: label - value: SC-20a.[02] - class: sp800-53A - prose: integrity verification artifacts are provided along with - the authoritative name resolution data that the system returns - in response to external name/address resolution queries; - - name: objective - props: - - name: label - value: SC-20b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-20b.[01] - class: sp800-53A - prose: the means to indicate the security status of child zones - (and if the child supports secure resolution services) is - provided when operating as part of a distributed, hierarchical - namespace; - - name: objective - props: - - name: label - value: SC-20b.[02] - class: sp800-53A - prose: the means to enable verification of a chain of trust - among parent and child domains when operating as part of a - distributed, hierarchical namespace is provided. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing secure name/address resolution services - (authoritative source) - - - system design documentation - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing DNS - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-20-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing secure - name/address resolution services - controls: - - id: sc-20.1 - class: SP800-53-enhancement - title: Child Subspaces - props: - - name: label - value: SC-20(01) - - name: sort-id - value: sc-20.01 - - name: status - value: withdrawn - links: - - href: "#sc-20" - rel: incorporated-into - - id: sc-20.2 - class: SP800-53-enhancement - title: Data Origin and Integrity - props: - - name: label - value: SC-20(02) - - name: sort-id - value: sc-20.02 - links: - - href: "#sc-20" - rel: required - parts: - - id: sc-20.2_smt - name: statement - prose: Provide data origin and integrity protection artifacts for - internal name/address resolution queries. - - id: sc-20.2_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-20(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-20(02)[01] - class: sp800-53A - prose: data origin artifacts are provided for internal name/address - resolution queries; - - name: objective - props: - - name: label - value: SC-20(02)[02] - class: sp800-53A - prose: integrity protection artifacts are provided for internal - name/address resolution queries. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-20(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing secure name/address resolution services - (authoritative source) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-20(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing - DNS - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-20(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing data - origin and integrity protection for internal name/address - resolution service queries - - id: sc-21 - class: SP800-53 - title: Secure Name/address Resolution Service (recursive or Caching Resolver) - props: - - name: label - value: SC-21 - - name: sort-id - value: sc-21 - links: - - href: "#fe209006-bfd4-4033-a79a-9fee1adaf372" - rel: reference - - href: "#sc-20" - rel: related - - href: "#sc-22" - rel: related - parts: - - id: sc-21_smt - name: statement - prose: Request and perform data origin authentication and data integrity - verification on the name/address resolution responses the system receives - from authoritative sources. - - id: sc-21_gdn - name: guidance - prose: Each client of name resolution services either performs this - validation on its own or has authenticated channels to trusted validation - providers. Systems that provide name and address resolution services - for local clients include recursive resolving or caching domain name - system (DNS) servers. DNS client resolvers either perform validation - of DNSSEC signatures, or clients use authenticated channels to recursive - resolvers that perform such validations. Systems that use technologies - other than the DNS to map between host and service names and network - addresses provide some other means to enable clients to verify the - authenticity and integrity of response data. - - name: objective - props: - - name: label - value: SC-21 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-21[01] - class: sp800-53A - prose: data origin authentication is requested for the name/address - resolution responses that the system receives from authoritative - sources; - - name: objective - props: - - name: label - value: SC-21[02] - class: sp800-53A - prose: data origin authentication is performed on the name/address - resolution responses that the system receives from authoritative - sources; - - name: objective - props: - - name: label - value: SC-21[03] - class: sp800-53A - prose: data integrity verification is requested for the name/address - resolution responses that the system receives from authoritative - sources; - - name: objective - props: - - name: label - value: SC-21[04] - class: sp800-53A - prose: data integrity verification is performed on the name/address - resolution responses that the system receives from authoritative - sources. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-21-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing secure name/address resolution services - (recursive or caching resolver) - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing DNS - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-21-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing data - origin authentication and data integrity verification for name/address - resolution services - controls: - - id: sc-21.1 - class: SP800-53-enhancement - title: Data Origin and Integrity - props: - - name: label - value: SC-21(01) - - name: sort-id - value: sc-21.01 - - name: status - value: withdrawn - links: - - href: "#sc-21" - rel: incorporated-into - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name/address Resolution Service - props: - - name: label - value: SC-22 - - name: sort-id - value: sc-22 - links: - - href: "#fe209006-bfd4-4033-a79a-9fee1adaf372" - rel: reference - - href: "#sc-2" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-21" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: sc-22_smt - name: statement - prose: Ensure the systems that collectively provide name/address resolution - service for an organization are fault-tolerant and implement internal - and external role separation. - - id: sc-22_gdn - name: guidance - prose: Systems that provide name and address resolution services include - domain name system (DNS) servers. To eliminate single points of failure - in systems and enhance redundancy, organizations employ at least two - authoritative domain name system servers—one configured as the primary - server and the other configured as the secondary server. Additionally, - organizations typically deploy the servers in two geographically separated - network subnetworks (i.e., not located in the same physical facility). - For role separation, DNS servers with internal roles only process - name and address resolution requests from within organizations (i.e., - from internal clients). DNS servers with external roles only process - name and address resolution information requests from clients external - to organizations (i.e., on external networks, including the Internet). - Organizations specify clients that can access authoritative DNS servers - in certain roles (e.g., by address ranges and explicit lists). - - name: objective - props: - - name: label - value: SC-22 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-22[01] - class: sp800-53A - prose: the systems that collectively provide name/address resolution - services for an organization are fault-tolerant; - - name: objective - props: - - name: label - value: SC-22[02] - class: sp800-53A - prose: the systems that collectively provide name/address resolution - services for an organization implement internal role separation; - - name: objective - props: - - name: label - value: SC-22[03] - class: sp800-53A - prose: the systems that collectively provide name/address resolution - services for an organization implement external role separation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-22-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing architecture and provisioning for name/address - resolution services - - - access control policy and procedures - - - system design documentation - - - assessment results from independent testing organizations - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for managing DNS - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-22-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing name/address - resolution services for fault tolerance and role separation - - id: sc-23 - class: SP800-53 - title: Session Authenticity - props: - - name: label - value: SC-23 - - name: sort-id - value: sc-23 - links: - - href: "#7537638e-2837-407d-844b-40fb3fafdd99" - rel: reference - - href: "#d4d7c760-2907-403b-8b2a-767ca5370ecd" - rel: reference - - href: "#a6b9907a-2a14-4bb4-a142-d4c73026a8b4" - rel: reference - - href: "#6bc4d137-aece-42a8-8081-9ecb1ebe9fb4" - rel: reference - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-10" - rel: related - - href: "#sc-11" - rel: related - parts: - - id: sc-23_smt - name: statement - prose: Protect the authenticity of communications sessions. - - id: sc-23_gdn - name: guidance - prose: Protecting session authenticity addresses communications protection - at the session level, not at the packet level. Such protection establishes - grounds for confidence at both ends of communications sessions in - the ongoing identities of other parties and the validity of transmitted - information. Authenticity protection includes protecting against "man-in-the-middle" - attacks, session hijacking, and the insertion of false information - into sessions. - - name: objective - props: - - name: label - value: SC-23 - class: sp800-53A - prose: the authenticity of communication sessions is protected. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-23-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing session authenticity - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-23-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-23-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing session - authenticity - controls: - - id: sc-23.1 - class: SP800-53-enhancement - title: Invalidate Session Identifiers at Logout - props: - - name: label - value: SC-23(01) - - name: sort-id - value: sc-23.01 - links: - - href: "#sc-23" - rel: required - parts: - - id: sc-23.1_smt - name: statement - prose: Invalidate session identifiers upon user logout or other - session termination. - - id: sc-23.1_gdn - name: guidance - prose: Invalidating session identifiers at logout curtails the ability - of adversaries to capture and continue to employ previously valid - session IDs. - - name: objective - props: - - name: label - value: SC-23(01) - class: sp800-53A - prose: session identifiers are invalidated upon user logout or other - session termination. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-23(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing session authenticity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-23(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-23(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing session - identifier invalidation upon session termination - - id: sc-23.2 - class: SP800-53-enhancement - title: User-initiated Logouts and Message Displays - props: - - name: label - value: SC-23(02) - - name: sort-id - value: sc-23.02 - - name: status - value: withdrawn - links: - - href: "#ac-12.1" - rel: incorporated-into - - id: sc-23.3 - class: SP800-53-enhancement - title: Unique System-generated Session Identifiers - params: - - id: sc-23.03_odp - props: - - name: legacy-identifier - value: sc-23.3_prm_1 - - name: label - value: SC-23(03)_ODP - label: randomness requirements - guidelines: - - prose: randomness requirements for generating a unique session - identifier for each session are defined; - props: - - name: label - value: SC-23(03) - - name: sort-id - value: sc-23.03 - links: - - href: "#sc-23" - rel: required - - href: "#ac-10" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-23.3_smt - name: statement - prose: "Generate a unique session identifier for each session with\ - \ {{ insert: param, sc-23.03_odp }} and recognize only session\ - \ identifiers that are system-generated." - - id: sc-23.3_gdn - name: guidance - prose: Generating unique session identifiers curtails the ability - of adversaries to reuse previously valid session IDs. Employing - the concept of randomness in the generation of unique session - identifiers protects against brute-force attacks to determine - future session identifiers. - - name: objective - props: - - name: label - value: SC-23(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-23(03)[01] - class: sp800-53A - prose: "a unique session identifier is generated for each session\ - \ with {{ insert: param, sc-23.03_odp }};" - - name: objective - props: - - name: label - value: SC-23(03)[02] - class: sp800-53A - prose: only system-generated session identifiers are recognized. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-23(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing session authenticity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-23(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-23(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting, implementing, - generating, and monitoring unique session identifiers - - - automated mechanisms supporting and/or implementing randomness - requirements - - id: sc-23.4 - class: SP800-53-enhancement - title: Unique Session Identifiers with Randomization - props: - - name: label - value: SC-23(04) - - name: sort-id - value: sc-23.04 - - name: status - value: withdrawn - links: - - href: "#sc-23.3" - rel: incorporated-into - - id: sc-23.5 - class: SP800-53-enhancement - title: Allowed Certificate Authorities - params: - - id: sc-23.05_odp - props: - - name: legacy-identifier - value: sc-23.5_prm_1 - - name: label - value: SC-23(05)_ODP - label: certificated authorities - guidelines: - - prose: certificate authorities to be allowed for verification - of the establishment of protected sessions are defined; - props: - - name: label - value: SC-23(05) - - name: sort-id - value: sc-23.05 - links: - - href: "#sc-23" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-23.5_smt - name: statement - prose: "Only allow the use of {{ insert: param, sc-23.05_odp }}\ - \ for verification of the establishment of protected sessions." - - id: sc-23.5_gdn - name: guidance - prose: Reliance on certificate authorities for the establishment - of secure sessions includes the use of Transport Layer Security - (TLS) certificates. These certificates, after verification by - their respective certificate authorities, facilitate the establishment - of protected sessions between web clients and web servers. - - name: objective - props: - - name: label - value: SC-23(05) - class: sp800-53A - prose: "only the use of {{ insert: param, sc-23.05_odp }} for verification\ - \ of the establishment of protected sessions is allowed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-23(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing session authenticity - - - system design documentation - - - system configuration settings and associated documentation - - - list of certificate authorities allowed for verification of - the establishment of protected sessions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-23(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-23(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - management of certificate authorities - - id: sc-24 - class: SP800-53 - title: Fail in Known State - params: - - id: sc-24_odp.01 - props: - - name: legacy-identifier - value: sc-24_prm_3 - - name: label - value: SC-24_ODP[01] - label: types of system failures on system components - guidelines: - - prose: types of system failures for which the system components - fail to a known state are defined; - - id: sc-24_odp.02 - props: - - name: legacy-identifier - value: sc-24_prm_1 - - name: label - value: SC-24_ODP[02] - label: known system state - guidelines: - - prose: known system state to which system components fail in the - event of a system failure is defined; - - id: sc-24_odp.03 - props: - - name: legacy-identifier - value: sc-24_prm_2 - - name: label - value: SC-24_ODP[03] - label: system state information - guidelines: - - prose: system state information to be preserved in the event of - a system failure is defined; - props: - - name: label - value: SC-24 - - name: sort-id - value: sc-24 - links: - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-22" - rel: related - - href: "#si-13" - rel: related - parts: - - id: sc-24_smt - name: statement - prose: "Fail to a {{ insert: param, sc-24_odp.02 }} for the following\ - \ failures on the indicated components while preserving {{ insert:\ - \ param, sc-24_odp.03 }} in failure: {{ insert: param, sc-24_odp.01\ - \ }}." - - id: sc-24_gdn - name: guidance - prose: Failure in a known state addresses security concerns in accordance - with the mission and business needs of organizations. Failure in a - known state prevents the loss of confidentiality, integrity, or availability - of information in the event of failures of organizational systems - or system components. Failure in a known safe state helps to prevent - systems from failing to a state that may cause injury to individuals - or destruction to property. Preserving system state information facilitates - system restart and return to the operational mode with less disruption - of mission and business processes. - - name: objective - props: - - name: label - value: SC-24 - class: sp800-53A - prose: "{{ insert: param, sc-24_odp.01 }} fail to a {{ insert: param,\ - \ sc-24_odp.02 }} while preserving {{ insert: param, sc-24_odp.03\ - \ }} in failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-24-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing system failure to known state - - system design documentation - - system configuration settings and associated documentation - - list of failures requiring system to fail in a known state - - state information to be preserved in system failure - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-24-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-24-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing the fail - in known state capability - - - automated mechanisms preserving system state information in the - event of a system failure - - id: sc-25 - class: SP800-53 - title: Thin Nodes - params: - - id: sc-25_odp - props: - - name: legacy-identifier - value: sc-25_prm_1 - - name: label - value: SC-25_ODP - label: system components - guidelines: - - prose: system components to be employed with minimal functionality - and information storage are defined; - props: - - name: label - value: SC-25 - - name: sort-id - value: sc-25 - links: - - href: "#sc-30" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: sc-25_smt - name: statement - prose: "Employ minimal functionality and information storage on the\ - \ following system components: {{ insert: param, sc-25_odp }}." - - id: sc-25_gdn - name: guidance - prose: The deployment of system components with minimal functionality - reduces the need to secure every endpoint and may reduce the exposure - of information, systems, and services to attacks. Reduced or minimal - functionality includes diskless nodes and thin client technologies. - - name: objective - props: - - name: label - value: SC-25 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-25[01] - class: sp800-53A - prose: "minimal functionality for {{ insert: param, sc-25_odp }}\ - \ is employed;" - - name: objective - props: - - name: label - value: SC-25[02] - class: sp800-53A - prose: "minimal information storage on {{ insert: param, sc-25_odp\ - \ }} is allocated." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-25-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing use of thin nodes - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-25-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-25-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing thin - nodes - - id: sc-26 - class: SP800-53 - title: Decoys - props: - - name: label - value: SC-26 - - name: sort-id - value: sc-26 - links: - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-26_smt - name: statement - prose: Include components within organizational systems specifically - designed to be the target of malicious attacks for detecting, deflecting, - and analyzing such attacks. - - id: sc-26_gdn - name: guidance - prose: Decoys (i.e., honeypots, honeynets, or deception nets) are established - to attract adversaries and deflect attacks away from the operational - systems that support organizational mission and business functions. - Use of decoys requires some supporting isolation measures to ensure - that any deflected malicious code does not infect organizational systems. - Depending on the specific usage of the decoy, consultation with the - Office of the General Counsel before deployment may be needed. - - name: objective - props: - - name: label - value: SC-26 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-26[01] - class: sp800-53A - prose: components within organizational systems specifically designed - to be the target of malicious attacks are included to detect such - attacks; - - name: objective - props: - - name: label - value: SC-26[02] - class: sp800-53A - prose: components within organizational systems specifically designed - to be the target of malicious attacks are included to deflect - such attacks; - - name: objective - props: - - name: label - value: SC-26[03] - class: sp800-53A - prose: components within organizational systems specifically designed - to be the target of malicious attacks are included to analyze - such attacks. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-26-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing the use of decoys - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-26-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-26-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing decoys - controls: - - id: sc-26.1 - class: SP800-53-enhancement - title: Detection of Malicious Code - props: - - name: label - value: SC-26(01) - - name: sort-id - value: sc-26.01 - - name: status - value: withdrawn - links: - - href: "#sc-35" - rel: incorporated-into - - id: sc-27 - class: SP800-53 - title: Platform-independent Applications - params: - - id: sc-27_odp - props: - - name: legacy-identifier - value: sc-27_prm_1 - - name: label - value: SC-27_ODP - label: platform-independent applications - guidelines: - - prose: platform-independent applications to be included within organizational - systems are defined; - props: - - name: label - value: SC-27 - - name: sort-id - value: sc-27 - links: - - href: "#sc-29" - rel: related - parts: - - id: sc-27_smt - name: statement - prose: "Include within organizational systems the following platform\ - \ independent applications: {{ insert: param, sc-27_odp }}." - - id: sc-27_gdn - name: guidance - prose: Platforms are combinations of hardware, firmware, and software - components used to execute software applications. Platforms include - operating systems, the underlying computer architectures, or both. - Platform-independent applications are applications with the capability - to execute on multiple platforms. Such applications promote portability - and reconstitution on different platforms. Application portability - and the ability to reconstitute on different platforms increase the - availability of mission-essential functions within organizations in - situations where systems with specific operating systems are under - attack. - - name: objective - props: - - name: label - value: SC-27 - class: sp800-53A - prose: "{{ insert: param, sc-27_odp }} are included within organizational\ - \ systems." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-27-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing platform-independent applications - - system design documentation - - system configuration settings and associated documentation - - list of platform-independent applications - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-27-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-27-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing platform-independent - applications - - id: sc-28 - class: SP800-53 - title: Protection of Information at Rest - params: - - id: sc-28_odp.01 - props: - - name: legacy-identifier - value: sc-28_prm_1 - - name: label - value: SC-28_ODP[01] - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - - id: sc-28_odp.02 - props: - - name: legacy-identifier - value: sc-28_prm_2 - - name: label - value: SC-28_ODP[02] - label: information at rest - guidelines: - - prose: information at rest requiring protection is defined; - props: - - name: label - value: SC-28 - - name: sort-id - value: sc-28 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#20957dbb-6a1e-40a2-b38a-66f67d33ac2e" - rel: reference - - href: "#0d083d8a-5cc6-46f1-8d79-3081d42bcb75" - rel: reference - - href: "#eef62b16-c796-4554-955c-505824135b8a" - rel: reference - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#22f2d4f0-4365-4e88-a30d-275c1f5473ea" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-28_smt - name: statement - prose: "Protect the {{ insert: param, sc-28_odp.01 }} of the following\ - \ information at rest: {{ insert: param, sc-28_odp.02 }}." - - id: sc-28_gdn - name: guidance - prose: Information at rest refers to the state of information when it - is not in process or in transit and is located on system components. - Such components include internal or external hard disk drives, storage - area network devices, or databases. However, the focus of protecting - information at rest is not on the type of storage device or frequency - of access but rather on the state of the information. Information - at rest addresses the confidentiality and integrity of information - and covers user information and system information. System-related - information that requires protection includes configurations or rule - sets for firewalls, intrusion detection and prevention systems, filtering - routers, and authentication information. Organizations may employ - different mechanisms to achieve confidentiality and integrity protections, - including the use of cryptographic mechanisms and file share scanning. - Integrity protection can be achieved, for example, by implementing - write-once-read-many (WORM) technologies. When adequate protection - of information at rest cannot otherwise be achieved, organizations - may employ other controls, including frequent scanning to identify - malicious code at rest and secure offline storage in lieu of online - storage. - - name: objective - props: - - name: label - value: SC-28 - class: sp800-53A - prose: "the {{ insert: param, sc-28_odp.01 }} of {{ insert: param, sc-28_odp.02\ - \ }} is/are protected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-28-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the protection of information at rest - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated configuration documentation - - - list of information at rest requiring confidentiality and integrity - protections - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-28-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-28-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing confidentiality - and integrity protections for information at rest - controls: - - id: sc-28.1 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: sc-28.01_odp.01 - props: - - name: legacy-identifier - value: sc-28.1_prm_2 - - name: label - value: SC-28(01)_ODP[01] - label: information - guidelines: - - prose: information requiring cryptographic protection is defined; - - id: sc-28.01_odp.02 - props: - - name: legacy-identifier - value: sc-28.1_prm_1 - - name: label - value: SC-28(01)_ODP[02] - label: system components or media - guidelines: - - prose: system components or media requiring cryptographic protection - is/are defined; - props: - - name: label - value: SC-28(01) - - name: sort-id - value: sc-28.01 - links: - - href: "#sc-28" - rel: required - - href: "#ac-19" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-28.1_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent unauthorized\ - \ disclosure and modification of the following information at\ - \ rest on {{ insert: param, sc-28.01_odp.02 }}: {{ insert: param,\ - \ sc-28.01_odp.01 }}." - - id: sc-28.1_gdn - name: guidance - prose: The selection of cryptographic mechanisms is based on the - need to protect the confidentiality and integrity of organizational - information. The strength of mechanism is commensurate with the - security category or classification of the information. Organizations - have the flexibility to encrypt information on system components - or media or encrypt data structures, including files, records, - or fields. - - name: objective - props: - - name: label - value: SC-28(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-28(01)[01] - class: sp800-53A - prose: "cryptographic mechanisms are implemented to prevent\ - \ unauthorized disclosure of {{ insert: param, sc-28.01_odp.01\ - \ }} at rest on {{ insert: param, sc-28.01_odp.02 }};" - - name: objective - props: - - name: label - value: SC-28(01)[02] - class: sp800-53A - prose: "cryptographic mechanisms are implemented to prevent\ - \ unauthorized modification of {{ insert: param, sc-28.01_odp.01\ - \ }} at rest on {{ insert: param, sc-28.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-28(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the protection of information at rest - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated configuration documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-28(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-28(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms implementing confidentiality - and integrity protections for information at rest - - id: sc-28.2 - class: SP800-53-enhancement - title: Offline Storage - params: - - id: sc-28.02_odp - props: - - name: legacy-identifier - value: sc-28.2_prm_1 - - name: label - value: SC-28(02)_ODP - label: information - guidelines: - - prose: information to be removed from online storage and stored - offline in a secure location is defined; - props: - - name: label - value: SC-28(02) - - name: sort-id - value: sc-28.02 - links: - - href: "#sc-28" - rel: required - parts: - - id: sc-28.2_smt - name: statement - prose: "Remove the following information from online storage and\ - \ store offline in a secure location: {{ insert: param, sc-28.02_odp\ - \ }}." - - id: sc-28.2_gdn - name: guidance - prose: Removing organizational information from online storage to - offline storage eliminates the possibility of individuals gaining - unauthorized access to the information through a network. Therefore, - organizations may choose to move information to offline storage - in lieu of protecting such information in online storage. - - name: objective - props: - - name: label - value: SC-28(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-28(02)[01] - class: sp800-53A - prose: "{{ insert: param, sc-28.02_odp }} is removed from online\ - \ storage;" - - name: objective - props: - - name: label - value: SC-28(02)[02] - class: sp800-53A - prose: "{{ insert: param, sc-28.02_odp }} is stored offline\ - \ in a secure location." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-28(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the protection of information at rest - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated configuration documentation - - - offline storage locations for information at rest - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-28(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-28(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing the - removal of information from online storage - - - automated mechanisms supporting and/or implementing storage - of information offline - - id: sc-28.3 - class: SP800-53-enhancement - title: Cryptographic Keys - params: - - id: sc-28.03_odp.01 - props: - - name: legacy-identifier - value: sc-28.3_prm_1 - - name: label - value: SC-28(03)_ODP[01] - select: - choice: - - " {{ insert: param, sc-28.03_odp.02 }} " - - hardware-protected key store - - id: sc-28.03_odp.02 - props: - - name: legacy-identifier - value: sc-28.3_prm_2 - - name: label - value: SC-28(03)_ODP[02] - label: safeguards - guidelines: - - prose: safeguards for protecting the storage of cryptographic - keys are defined (if selected); - props: - - name: label - value: SC-28(03) - - name: sort-id - value: sc-28.03 - links: - - href: "#sc-28" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-28.3_smt - name: statement - prose: "Provide protected storage for cryptographic keys {{ insert:\ - \ param, sc-28.03_odp.01 }}." - - id: sc-28.3_gdn - name: guidance - prose: A Trusted Platform Module (TPM) is an example of a hardware-protected - data store that can be used to protect cryptographic keys. - - name: objective - props: - - name: label - value: SC-28(03) - class: sp800-53A - prose: "protected storage for cryptographic keys is provided using\ - \ {{ insert: param, sc-28.03_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-28(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the protection of information at rest - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated configuration documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-28(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-28(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing hardware-based - key store protection - - id: sc-29 - class: SP800-53 - title: Heterogeneity - params: - - id: sc-29_odp - props: - - name: legacy-identifier - value: sc-29_prm_1 - - name: label - value: SC-29_ODP - label: system components - guidelines: - - prose: system components requiring a diverse set of information - technologies to be employed in the implementation of the system - are defined; - props: - - name: label - value: SC-29 - - name: sort-id - value: sc-29 - links: - - href: "#au-9" - rel: related - - href: "#pl-8" - rel: related - - href: "#sc-27" - rel: related - - href: "#sc-30" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: sc-29_smt - name: statement - prose: "Employ a diverse set of information technologies for the following\ - \ system components in the implementation of the system: {{ insert:\ - \ param, sc-29_odp }}." - - id: sc-29_gdn - name: guidance - prose: Increasing the diversity of information technologies within organizational - systems reduces the impact of potential exploitations or compromises - of specific technologies. Such diversity protects against common mode - failures, including those failures induced by supply chain attacks. - Diversity in information technologies also reduces the likelihood - that the means adversaries use to compromise one system component - will be effective against other system components, thus further increasing - the adversary work factor to successfully complete planned attacks. - An increase in diversity may add complexity and management overhead - that could ultimately lead to mistakes and unauthorized configurations. - - name: objective - props: - - name: label - value: SC-29 - class: sp800-53A - prose: "a diverse set of information technologies is employed for {{\ - \ insert: param, sc-29_odp }} in the implementation of the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-29-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - system design documentation - - system configuration settings and associated documentation - - list of technologies deployed in the system - - acquisition documentation - - acquisition contracts for system components or services - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-29-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with system acquisition, development, - and implementation responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-29-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing employment - of a diverse set of information technologies - controls: - - id: sc-29.1 - class: SP800-53-enhancement - title: Virtualization Techniques - params: - - id: sc-29.01_odp - props: - - name: legacy-identifier - value: sc-29.1_prm_1 - - name: label - value: SC-29(01)_ODP - label: frequency - guidelines: - - prose: the frequency at which to change the diversity of operating - systems and applications deployed using virtualization techniques - is defined; - props: - - name: label - value: SC-29(01) - - name: sort-id - value: sc-29.01 - links: - - href: "#sc-29" - rel: required - parts: - - id: sc-29.1_smt - name: statement - prose: "Employ virtualization techniques to support the deployment\ - \ of a diversity of operating systems and applications that are\ - \ changed {{ insert: param, sc-29.01_odp }}." - - id: sc-29.1_gdn - name: guidance - prose: While frequent changes to operating systems and applications - can pose significant configuration management challenges, the - changes can result in an increased work factor for adversaries - to conduct successful attacks. Changing virtual operating systems - or applications, as opposed to changing actual operating systems - or applications, provides virtual changes that impede attacker - success while reducing configuration management efforts. Virtualization - techniques can assist in isolating untrustworthy software or software - of dubious provenance into confined execution environments. - - name: objective - props: - - name: label - value: SC-29(01) - class: sp800-53A - prose: "virtualization techniques are employed to support the deployment\ - \ of a diverse range of operating systems and applications that\ - \ are changed {{ insert: param, sc-29.01_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-29(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - configuration management policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of operating systems and applications deployed using - virtualization techniques - - - change control records - - - configuration management records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-29(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with responsibilities for implementing - approved virtualization techniques to the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-29(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing the - employment of a diverse set of information technologies - - - automated mechanisms supporting and/or implementing virtualization - techniques - - id: sc-30 - class: SP800-53 - title: Concealment and Misdirection - params: - - id: sc-30_odp.01 - props: - - name: legacy-identifier - value: sc-30_prm_3 - - name: label - value: SC-30_ODP[01] - label: concealment and misdirection techniques - guidelines: - - prose: concealment and misdirection techniques to be employed to - confuse and mislead adversaries potentially targeting systems - are defined; - - id: sc-30_odp.02 - props: - - name: legacy-identifier - value: sc-30_prm_1 - - name: label - value: SC-30_ODP[02] - label: systems - guidelines: - - prose: systems for which concealment and misdirection techniques - are to be employed are defined; - - id: sc-30_odp.03 - props: - - name: legacy-identifier - value: sc-30_prm_2 - - name: label - value: SC-30_ODP[03] - label: time periods - guidelines: - - prose: time periods to employ concealment and misdirection techniques - for systems are defined; - props: - - name: label - value: SC-30 - - name: sort-id - value: sc-30 - links: - - href: "#ac-6" - rel: related - - href: "#sc-25" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-14" - rel: related - parts: - - id: sc-30_smt - name: statement - prose: "Employ the following concealment and misdirection techniques\ - \ for {{ insert: param, sc-30_odp.02 }} at {{ insert: param, sc-30_odp.03\ - \ }} to confuse and mislead adversaries: {{ insert: param, sc-30_odp.01\ - \ }}." - - id: sc-30_gdn - name: guidance - prose: Concealment and misdirection techniques can significantly reduce - the targeting capabilities of adversaries (i.e., window of opportunity - and available attack surface) to initiate and complete attacks. For - example, virtualization techniques provide organizations with the - ability to disguise systems, potentially reducing the likelihood of - successful attacks without the cost of having multiple platforms. - The increased use of concealment and misdirection techniques and methods—including - randomness, uncertainty, and virtualization—may sufficiently confuse - and mislead adversaries and subsequently increase the risk of discovery - and/or exposing tradecraft. Concealment and misdirection techniques - may provide additional time to perform core mission and business functions. - The implementation of concealment and misdirection techniques may - add to the complexity and management overhead required for the system. - - name: objective - props: - - name: label - value: SC-30 - class: sp800-53A - prose: "{{ insert: param, sc-30_odp.01 }} are employed for {{ insert:\ - \ param, sc-30_odp.02 }} for {{ insert: param, sc-30_odp.03 }} to\ - \ confuse and mislead adversaries." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-30-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing concealment and misdirection techniques - for the system - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of concealment and misdirection techniques to be employed - for organizational systems - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-30-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility to implement - concealment and misdirection techniques for systems - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-30-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing concealment - and misdirection techniques - controls: - - id: sc-30.1 - class: SP800-53-enhancement - title: Virtualization Techniques - props: - - name: label - value: SC-30(01) - - name: sort-id - value: sc-30.01 - - name: status - value: withdrawn - links: - - href: "#sc-29.1" - rel: incorporated-into - - id: sc-30.2 - class: SP800-53-enhancement - title: Randomness - params: - - id: sc-30.02_odp - props: - - name: legacy-identifier - value: sc-30.2_prm_1 - - name: label - value: SC-30(02)_ODP - label: techniques - guidelines: - - prose: techniques employed to introduce randomness into organizational - operations and assets are defined; - props: - - name: label - value: SC-30(02) - - name: sort-id - value: sc-30.02 - links: - - href: "#sc-30" - rel: required - parts: - - id: sc-30.2_smt - name: statement - prose: "Employ {{ insert: param, sc-30.02_odp }} to introduce randomness\ - \ into organizational operations and assets." - - id: sc-30.2_gdn - name: guidance - prose: Randomness introduces increased levels of uncertainty for - adversaries regarding the actions that organizations take to defend - their systems against attacks. Such actions may impede the ability - of adversaries to correctly target information resources of organizations - that support critical missions or business functions. Uncertainty - may also cause adversaries to hesitate before initiating or continuing - attacks. Misdirection techniques that involve randomness include - performing certain routine actions at different times of day, - employing different information technologies, using different - suppliers, and rotating roles and responsibilities of organizational - personnel. - - name: objective - props: - - name: label - value: SC-30(02) - class: sp800-53A - prose: "{{ insert: param, sc-30.02_odp }} are employed to introduce\ - \ randomness into organizational operations and assets." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-30(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing concealment and misdirection techniques - for the system - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of techniques to be employed to introduce randomness - into organizational operations and assets - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-30(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility to implement - concealment and misdirection techniques for systems - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-30(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing randomness - as a concealment and misdirection technique - - id: sc-30.3 - class: SP800-53-enhancement - title: Change Processing and Storage Locations - params: - - id: sc-30.03_odp.01 - props: - - name: legacy-identifier - value: sc-30.3_prm_1 - - name: label - value: SC-30(03)_ODP[01] - label: processing and/or storage - guidelines: - - prose: processing and/or storage locations to be changed are - defined; - - id: sc-30.03_odp.02 - props: - - name: legacy-identifier - value: sc-30.3_prm_2 - - name: label - value: SC-30(03)_ODP[02] - select: - choice: - - " {{ insert: param, sc-30.03_odp.03 }} " - - random time intervals - - id: sc-30.03_odp.03 - props: - - name: legacy-identifier - value: sc-30.3_prm_3 - - name: label - value: SC-30(03)_ODP[03] - label: time frequency - guidelines: - - prose: time frequency at which to change the location of processing - and/or storage is defined (if selected); - props: - - name: label - value: SC-30(03) - - name: sort-id - value: sc-30.03 - links: - - href: "#sc-30" - rel: required - parts: - - id: sc-30.3_smt - name: statement - prose: "Change the location of {{ insert: param, sc-30.03_odp.01\ - \ }} {{ insert: param, sc-30.03_odp.02 }}]." - - id: sc-30.3_gdn - name: guidance - prose: Adversaries target critical mission and business functions - and the systems that support those mission and business functions - while also trying to minimize the exposure of their existence - and tradecraft. The static, homogeneous, and deterministic nature - of organizational systems targeted by adversaries make such systems - more susceptible to attacks with less adversary cost and effort - to be successful. Changing processing and storage locations (also - referred to as moving target defense) addresses the advanced persistent - threat using techniques such as virtualization, distributed processing, - and replication. This enables organizations to relocate the system - components (i.e., processing, storage) that support critical mission - and business functions. Changing the locations of processing activities - and/or storage sites introduces a degree of uncertainty into the - targeting activities of adversaries. The targeting uncertainty - increases the work factor of adversaries and makes compromises - or breaches of the organizational systems more difficult and time-consuming. - It also increases the chances that adversaries may inadvertently - disclose certain aspects of their tradecraft while attempting - to locate critical organizational resources. - - name: objective - props: - - name: label - value: SC-30(03) - class: sp800-53A - prose: "the location of {{ insert: param, sc-30.03_odp.01 }} is\ - \ changed {{ insert: param, sc-30.03_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-30(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - configuration management policy and procedures - - - procedures addressing concealment and misdirection techniques - for the system - - - list of processing/storage locations to be changed at organizational - time intervals - - - change control records - - - configuration management records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-30(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility to change - processing and/or storage locations - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-30(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing changing - processing and/or storage locations - - id: sc-30.4 - class: SP800-53-enhancement - title: Misleading Information - params: - - id: sc-30.04_odp - props: - - name: legacy-identifier - value: sc-30.4_prm_1 - - name: label - value: SC-30(04)_ODP - label: system components - guidelines: - - prose: system components for which realistic but misleading - information about their security state or posture is employed - are defined; - props: - - name: label - value: SC-30(04) - - name: sort-id - value: sc-30.04 - links: - - href: "#sc-30" - rel: required - parts: - - id: sc-30.4_smt - name: statement - prose: "Employ realistic, but misleading information in {{ insert:\ - \ param, sc-30.04_odp }} about its security state or posture." - - id: sc-30.4_gdn - name: guidance - prose: Employing misleading information is intended to confuse potential - adversaries regarding the nature and extent of controls deployed - by organizations. Thus, adversaries may employ incorrect and ineffective - attack techniques. One technique for misleading adversaries is - for organizations to place misleading information regarding the - specific controls deployed in external systems that are known - to be targeted by adversaries. Another technique is the use of - deception nets that mimic actual aspects of organizational systems - but use, for example, out-of-date software configurations. - - name: objective - props: - - name: label - value: SC-30(04) - class: sp800-53A - prose: "realistic but misleading information about the security\ - \ state or posture of {{ insert: param, sc-30.04_odp }} is employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-30(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - configuration management policy and procedures - - - procedures addressing concealment and misdirection techniques - for the system - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-30(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility to define - and employ realistic but misleading information about the - security posture of system components - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-30(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - employment of realistic but misleading information about the - security posture of system components - - id: sc-30.5 - class: SP800-53-enhancement - title: Concealment of System Components - params: - - id: sc-30.05_odp.01 - props: - - name: legacy-identifier - value: sc-30.5_prm_2 - - name: label - value: SC-30(05)_ODP[01] - label: techniques - guidelines: - - prose: techniques to be employed to hide or conceal system components - are defined; - - id: sc-30.05_odp.02 - props: - - name: legacy-identifier - value: sc-30.5_prm_1 - - name: label - value: SC-30(05)_ODP[02] - label: system components - guidelines: - - prose: system components to be hidden or concealed using techniques - (as defined in SC-30(05)_ODP[01]) are defined; - props: - - name: label - value: SC-30(05) - - name: sort-id - value: sc-30.05 - links: - - href: "#sc-30" - rel: required - parts: - - id: sc-30.5_smt - name: statement - prose: "Employ the following techniques to hide or conceal {{ insert:\ - \ param, sc-30.05_odp.02 }}: {{ insert: param, sc-30.05_odp.01\ - \ }}." - - id: sc-30.5_gdn - name: guidance - prose: By hiding, disguising, or concealing critical system components, - organizations may be able to decrease the probability that adversaries - target and successfully compromise those assets. Potential means - to hide, disguise, or conceal system components include the configuration - of routers or the use of encryption or virtualization techniques. - - name: objective - props: - - name: label - value: SC-30(05) - class: sp800-53A - prose: "{{ insert: param, sc-30.05_odp.01 }} are employed to hide\ - \ or conceal {{ insert: param, sc-30.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-30(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - configuration management policy and procedures - - - procedures addressing concealment and misdirection techniques - for the system - - - system design documentation - - - system configuration settings and associated documentation - - - list of techniques employed to hide or conceal system components - - - list of system components to be hidden or concealed - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-30(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with the responsibility to conceal - system components - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-30(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing techniques - for the concealment of system components - - id: sc-31 - class: SP800-53 - title: Covert Channel Analysis - params: - - id: sc-31_odp - props: - - name: legacy-identifier - value: sc-31_prm_1 - - name: label - value: SC-31_ODP - select: - how-many: one-or-more - choice: - - storage - - timing - props: - - name: label - value: SC-31 - - name: sort-id - value: sc-31 - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-11" - rel: related - parts: - - id: sc-31_smt - name: statement - parts: - - id: sc-31_smt.a - name: item - props: - - name: label - value: a. - prose: "Perform a covert channel analysis to identify those aspects\ - \ of communications within the system that are potential avenues\ - \ for covert {{ insert: param, sc-31_odp }} channels; and" - - id: sc-31_smt.b - name: item - props: - - name: label - value: b. - prose: Estimate the maximum bandwidth of those channels. - - id: sc-31_gdn - name: guidance - prose: Developers are in the best position to identify potential areas - within systems that might lead to covert channels. Covert channel - analysis is a meaningful activity when there is the potential for - unauthorized information flows across security domains, such as in - the case of systems that contain export-controlled information and - have connections to external networks (i.e., networks that are not - controlled by organizations). Covert channel analysis is also useful - for multilevel secure systems, multiple security level systems, and - cross-domain systems. - - name: objective - props: - - name: label - value: SC-31 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-31a. - class: sp800-53A - prose: "a covert channel analysis is performed to identify those\ - \ aspects of communications within the system that are potential\ - \ avenues for covert {{ insert: param, sc-31_odp }} channels;" - - name: objective - props: - - name: label - value: SC-31b. - class: sp800-53A - prose: the maximum bandwidth of those channels is estimated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-31-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing covert channel analysis - - system design documentation - - system configuration settings and associated documentation - - covert channel analysis documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-31-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with covert channel analysis responsibilities - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-31-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for conducting covert channel - analysis - - - automated mechanisms supporting and/or implementing covert channel - analysis - - - automated mechanisms supporting and/or implementing the capability - to estimate the bandwidth of covert channels - controls: - - id: sc-31.1 - class: SP800-53-enhancement - title: Test Covert Channels for Exploitability - props: - - name: label - value: SC-31(01) - - name: sort-id - value: sc-31.01 - links: - - href: "#sc-31" - rel: required - parts: - - id: sc-31.1_smt - name: statement - prose: Test a subset of the identified covert channels to determine - the channels that are exploitable. - - id: sc-31.1_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-31(01) - class: sp800-53A - prose: a subset of the identified covert channels is tested to determine - the channels that are exploitable. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-31(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing covert channel analysis - - - system design documentation - - - system configuration settings and associated documentation - - - list of covert channels - - - covert channel analysis documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-31(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with covert channel analysis responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-31(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for testing covert channels - - - automated mechanisms supporting and/or implementing the testing - of covert channel analysis - - id: sc-31.2 - class: SP800-53-enhancement - title: Maximum Bandwidth - params: - - id: sc-31.02_odp.01 - props: - - name: legacy-identifier - value: sc-31.2_prm_1 - - name: label - value: SC-31(02)_ODP[01] - select: - how-many: one-or-more - choice: - - storage - - timing - - id: sc-31.02_odp.02 - props: - - name: legacy-identifier - value: sc-31.2_prm_2 - - name: label - value: SC-31(02)_ODP[02] - label: values - guidelines: - - prose: values for the maximum bandwidth for identified covert - channels are defined; - props: - - name: label - value: SC-31(02) - - name: sort-id - value: sc-31.02 - links: - - href: "#sc-31" - rel: required - parts: - - id: sc-31.2_smt - name: statement - prose: "Reduce the maximum bandwidth for identified covert {{ insert:\ - \ param, sc-31.02_odp.01 }} channels to {{ insert: param, sc-31.02_odp.02\ - \ }}." - - id: sc-31.2_gdn - name: guidance - prose: The complete elimination of covert channels, especially covert - timing channels, is usually not possible without significant performance - impacts. - - name: objective - props: - - name: label - value: SC-31(02) - class: sp800-53A - prose: "the maximum bandwidth for identified covert {{ insert: param,\ - \ sc-31.02_odp.01 }} channels is reduced to {{ insert: param,\ - \ sc-31.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-31(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing covert channel analysis - - - acquisition contracts for systems or services - - - acquisition documentation - - - system design documentation - - - system configuration settings and associated documentation - - - covert channel analysis documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-31(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with covert channel analysis responsibilities - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-31(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for conducting covert channel - analysis - - - automated mechanisms supporting and/or implementing covert - channel analysis - - - automated mechanisms supporting and/or implementing the capability - to reduce the bandwidth of covert channels - - id: sc-31.3 - class: SP800-53-enhancement - title: Measure Bandwidth in Operational Environments - params: - - id: sc-31.03_odp - props: - - name: legacy-identifier - value: sc-31.3_prm_1 - - name: label - value: SC-31(03)_ODP - label: subset of identified covert channels - guidelines: - - prose: subset of identified covert channels whose bandwidth - is to be measured in the operational environment of the system - is defined; - props: - - name: label - value: SC-31(03) - - name: sort-id - value: sc-31.03 - links: - - href: "#sc-31" - rel: required - parts: - - id: sc-31.3_smt - name: statement - prose: "Measure the bandwidth of {{ insert: param, sc-31.03_odp\ - \ }} in the operational environment of the system." - - id: sc-31.3_gdn - name: guidance - prose: Measuring covert channel bandwidth in specified operational - environments helps organizations determine how much information - can be covertly leaked before such leakage adversely affects mission - or business functions. Covert channel bandwidth may be significantly - different when measured in settings that are independent of the - specific environments of operation, including laboratories or - system development environments. - - name: objective - props: - - name: label - value: SC-31(03) - class: sp800-53A - prose: "the bandwidth of {{ insert: param, sc-31.03_odp }} is measured\ - \ in the operational environment of the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-31(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing covert channel analysis - - - system design documentation - - - system configuration settings and associated documentation - - - covert channel analysis documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-31(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel with covert channel analysis responsibilities - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-31(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for conducting covert channel - analysis - - - automated mechanisms supporting and/or implementing covert - channel analysis - - - automated mechanisms supporting and/or implementing the capability - to measure the bandwidth of covert channels - - id: sc-32 - class: SP800-53 - title: System Partitioning - params: - - id: sc-32_odp.01 - props: - - name: legacy-identifier - value: sc-32_prm_1 - - name: label - value: SC-32_ODP[01] - label: system components - guidelines: - - prose: system components to reside in separate physical or logical - domains or environments based on circumstances for the physical - or logical separation of components are defined; - - id: sc-32_odp.02 - props: - - name: legacy-identifier - value: sc-32_prm_2 - - name: label - value: SC-32_ODP[02] - select: - choice: - - physical - - logical - - id: sc-32_odp.03 - props: - - name: legacy-identifier - value: sc-32_prm_3 - - name: label - value: SC-32_ODP[03] - label: circumstances for the physical or logical separation of components - guidelines: - - prose: circumstances for the physical or logical separation of components - are defined; - props: - - name: label - value: SC-32 - - name: sort-id - value: sc-32 - links: - - href: "#628d22a1-6a11-4784-bc59-5cd9497b5445" - rel: reference - - href: "#d4296805-2dca-4c63-a95f-eeccaa826aec" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-36" - rel: related - parts: - - id: sc-32_smt - name: statement - prose: "Partition the system into {{ insert: param, sc-32_odp.01 }}\ - \ residing in separate {{ insert: param, sc-32_odp.02 }} domains or\ - \ environments based on {{ insert: param, sc-32_odp.03 }}." - - id: sc-32_gdn - name: guidance - prose: System partitioning is part of a defense-in-depth protection - strategy. Organizations determine the degree of physical separation - of system components. Physical separation options include physically - distinct components in separate racks in the same room, critical components - in separate rooms, and geographical separation of critical components. - Security categorization can guide the selection of candidates for - domain partitioning. Managed interfaces restrict or prohibit network - access and information flow among partitioned system components. - - name: objective - props: - - name: label - value: SC-32 - class: sp800-53A - prose: "the system is partitioned into {{ insert: param, sc-32_odp.01\ - \ }} residing in separate {{ insert: param, sc-32_odp.02 }} domains\ - \ or environments based on {{ insert: param, sc-32_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-32-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing system partitioning - - system design documentation - - system configuration settings and associated documentation - - system architecture - - list of system physical domains (or environments) - - system facility diagrams - - system network diagrams - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-32-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-32-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the physical - separation of system components - controls: - - id: sc-32.1 - class: SP800-53-enhancement - title: Separate Physical Domains for Privileged Functions - props: - - name: label - value: SC-32(01) - - name: sort-id - value: sc-32.01 - links: - - href: "#sc-32" - rel: required - parts: - - id: sc-32.1_smt - name: statement - prose: Partition privileged functions into separate physical domains. - - id: sc-32.1_gdn - name: guidance - prose: Privileged functions that operate in a single physical domain - may represent a single point of failure if that domain becomes - compromised or experiences a denial of service. - - name: objective - props: - - name: label - value: SC-32(01) - class: sp800-53A - prose: privileged functions are partitioned into separate physical - domains. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-32-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing system partitioning - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of system physical domains (or environments) - - - system facility diagrams - - - system network diagrams - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-32-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-32-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - physical separation of system components - - id: sc-33 - class: SP800-53 - title: Transmission Preparation Integrity - props: - - name: label - value: SC-33 - - name: sort-id - value: sc-33 - - name: status - value: withdrawn - links: - - href: "#sc-8" - rel: incorporated-into - - id: sc-34 - class: SP800-53 - title: Non-modifiable Executable Programs - params: - - id: sc-34_odp.01 - props: - - name: legacy-identifier - value: sc-34_prm_1 - - name: label - value: SC-34_ODP[01] - label: system components - guidelines: - - prose: system components for which the operating environment and - applications are to be loaded and executed from hardware-enforced, - read-only media are defined; - - id: sc-34_odp.02 - props: - - name: legacy-identifier - value: sc-34_prm_2 - - name: label - value: SC-34_ODP[02] - label: applications - guidelines: - - prose: applications to be loaded and executed from hardware-enforced, - read-only media are defined; - props: - - name: label - value: SC-34 - - name: sort-id - value: sc-34 - links: - - href: "#ac-3" - rel: related - - href: "#si-7" - rel: related - - href: "#si-14" - rel: related - parts: - - id: sc-34_smt - name: statement - prose: "For {{ insert: param, sc-34_odp.01 }} , load and execute:" - parts: - - id: sc-34_smt.a - name: item - props: - - name: label - value: a. - prose: The operating environment from hardware-enforced, read-only - media; and - - id: sc-34_smt.b - name: item - props: - - name: label - value: b. - prose: "The following applications from hardware-enforced, read-only\ - \ media: {{ insert: param, sc-34_odp.02 }}." - - id: sc-34_gdn - name: guidance - prose: The operating environment for a system contains the code that - hosts applications, including operating systems, executives, or virtual - machine monitors (i.e., hypervisors). It can also include certain - applications that run directly on hardware platforms. Hardware-enforced, - read-only media include Compact Disc-Recordable (CD-R) and Digital - Versatile Disc-Recordable (DVD-R) disk drives as well as one-time, - programmable, read-only memory. The use of non-modifiable storage - ensures the integrity of software from the point of creation of the - read-only image. The use of reprogrammable, read-only memory can be - accepted as read-only media provided that integrity can be adequately - protected from the point of initial writing to the insertion of the - memory into the system, and there are reliable hardware protections - against reprogramming the memory while installed in organizational - systems. - - name: objective - props: - - name: label - value: SC-34 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-34a. - class: sp800-53A - prose: "the operating environment for {{ insert: param, sc-34_odp.01\ - \ }} is loaded and executed from hardware-enforced, read-only\ - \ media;" - - name: objective - props: - - name: label - value: SC-34b. - class: sp800-53A - prose: "{{ insert: param, sc-34_odp.02 }} for {{ insert: param,\ - \ sc-34_odp.01 }} are loaded and executed from hardware-enforced,\ - \ read-only media." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-34-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing non-modifiable executable programs - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of operating system components to be loaded from hardware-enforced, - read-only media - - - list of applications to be loaded from hardware-enforced, read-only - media - - - media used to load and execute the system operating environment - - - media used to load and execute system applications - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-34-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-34-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing, - loading, and executing the operating environment from - hardware-enforced, read-only media - - - automated mechanisms supporting and/or implementing, loading, - and executing applications from hardware-enforced, read-only media - controls: - - id: sc-34.1 - class: SP800-53-enhancement - title: No Writable Storage - params: - - id: sc-34.01_odp - props: - - name: legacy-identifier - value: sc-34.1_prm_1 - - name: label - value: SC-34(01)_ODP - label: system components - guidelines: - - prose: system components to be employed with no writeable storage - are defined; - props: - - name: label - value: SC-34(01) - - name: sort-id - value: sc-34.01 - links: - - href: "#sc-34" - rel: required - - href: "#ac-19" - rel: related - - href: "#mp-7" - rel: related - parts: - - id: sc-34.1_smt - name: statement - prose: "Employ {{ insert: param, sc-34.01_odp }} with no writeable\ - \ storage that is persistent across component restart or power\ - \ on/off." - - id: sc-34.1_gdn - name: guidance - prose: Disallowing writeable storage eliminates the possibility - of malicious code insertion via persistent, writeable storage - within the designated system components. The restriction applies - to fixed and removable storage, with the latter being addressed - either directly or as specific restrictions imposed through access - controls for mobile devices. - - name: objective - props: - - name: label - value: SC-34(01) - class: sp800-53A - prose: "{{ insert: param, sc-34.01_odp }} are employed with no writeable\ - \ storage that is persistent across component restart or power\ - \ on/off." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-34(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing non-modifiable executable programs - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of system components to be employed without writeable - storage capabilities - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-34(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-34(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing the - employment of components with no writeable storage - - - automated mechanisms supporting and/or implementing persistent - non-writeable storage across component restart and power on/off - - id: sc-34.2 - class: SP800-53-enhancement - title: Integrity Protection on Read-only Media - props: - - name: label - value: SC-34(02) - - name: sort-id - value: sc-34.02 - links: - - href: "#sc-34" - rel: required - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-9" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-34.2_smt - name: statement - prose: Protect the integrity of information prior to storage on - read-only media and control the media after such information has - been recorded onto the media. - - id: sc-34.2_gdn - name: guidance - prose: Controls prevent the substitution of media into systems or - the reprogramming of programmable read-only media prior to installation - into the systems. Integrity protection controls include a combination - of prevention, detection, and response. - - name: objective - props: - - name: label - value: SC-34(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-34(02)[01] - class: sp800-53A - prose: the integrity of information is protected prior to storage - on read-only media; - - name: objective - props: - - name: label - value: SC-34(02)[02] - class: sp800-53A - prose: the media is controlled after such information has been - recorded onto the media; - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-34(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing non-modifiable executable programs - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-34(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-34(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - capability to protect information integrity on read-only media - prior to storage and after information has been recorded onto - the media - - id: sc-34.3 - class: SP800-53-enhancement - title: Hardware-based Protection - props: - - name: label - value: SC-34(03) - - name: sort-id - value: sc-34.03 - - name: status - value: withdrawn - links: - - href: "#sc-51" - rel: moved-to - - id: sc-35 - class: SP800-53 - title: External Malicious Code Identification - props: - - name: label - value: SC-35 - - name: sort-id - value: sc-35 - links: - - href: "#sc-7" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-35_smt - name: statement - prose: Include system components that proactively seek to identify network-based - malicious code or malicious websites. - - id: sc-35_gdn - name: guidance - prose: External malicious code identification differs from decoys in - [SC-26](#sc-26) in that the components actively probe networks, including - the Internet, in search of malicious code contained on external websites. - Like decoys, the use of external malicious code identification techniques - requires some supporting isolation measures to ensure that any malicious - code discovered during the search and subsequently executed does not - infect organizational systems. Virtualization is a common technique - for achieving such isolation. - - name: objective - props: - - name: label - value: SC-35 - class: sp800-53A - prose: system components that proactively seek to identify network-based - malicious code or malicious websites are included. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-35-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing external malicious code identification - - - system design documentation - - - system configuration settings and associated documentation - - - system components deployed to identify malicious websites and/or - web-based malicious code - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-35-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-35-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing external - malicious code identification - - id: sc-36 - class: SP800-53 - title: Distributed Processing and Storage - params: - - id: sc-36_prm_1 - props: - - name: aggregates - value: sc-36_odp.02 - select: - choice: - - physical locations - - logical domains - - id: sc-36_prm_2 - props: - - name: aggregates - value: sc-36_odp.01 - label: organization-defined processing and storage components - - id: sc-36_odp.01 - props: - - name: label - value: SC-36_ODP[01] - label: processing components - guidelines: - - prose: processing components to be distributed across multiple locations/domains - are defined; - - id: sc-36_odp.02 - props: - - name: label - value: SC-36_ODP[02] - select: - choice: - - physical locations - - logical domains - - id: sc-36_odp.03 - props: - - name: label - value: SC-36_ODP[03] - label: storage components - guidelines: - - prose: storage components to be distributed across multiple locations/domains - are defined; - - id: sc-36_odp.04 - props: - - name: label - value: SC-36_ODP[04] - select: - choice: - - physical locations - - logical domains - props: - - name: label - value: SC-36 - - name: sort-id - value: sc-36 - links: - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#pl-8" - rel: related - - href: "#sc-32" - rel: related - parts: - - id: sc-36_smt - name: statement - prose: "Distribute the following processing and storage components across\ - \ multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2\ - \ }}." - - id: sc-36_gdn - name: guidance - prose: Distributing processing and storage across multiple physical - locations or logical domains provides a degree of redundancy or overlap - for organizations. The redundancy and overlap increase the work factor - of adversaries to adversely impact organizational operations, assets, - and individuals. The use of distributed processing and storage does - not assume a single primary processing or storage location. Therefore, - it allows for parallel processing and storage. - - name: objective - props: - - name: label - value: SC-36 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-36[01] - class: sp800-53A - prose: "{{ insert: param, sc-36_odp.01 }} are distributed across\ - \ {{ insert: param, sc-36_odp.02 }};" - - name: objective - props: - - name: label - value: SC-36[02] - class: sp800-53A - prose: "{{ insert: param, sc-36_odp.03 }} are distributed across\ - \ {{ insert: param, sc-36_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-36-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - contingency planning policy and procedures - - - contingency plan - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of system physical locations (or environments) with distributed - processing and storage - - - system facility diagrams - - - processing site agreements - - - storage site agreements - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-36-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel with contingency planning and plan implementation - responsibilities - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-36-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for distributed processing and - storage across multiple physical locations - - - automated mechanisms supporting and/or implementing the capability - to distribute processing and storage across multiple physical - locations - controls: - - id: sc-36.1 - class: SP800-53-enhancement - title: Polling Techniques - params: - - id: sc-36.01_odp.01 - props: - - name: legacy-identifier - value: sc-36.1_prm_1 - - name: label - value: SC-36(01)_ODP[01] - label: distributed processing and storage components - guidelines: - - prose: distributed processing and storage components for which - polling techniques are to be employed to identify potential - faults, errors, or compromises are defined; - - id: sc-36.01_odp.02 - props: - - name: legacy-identifier - value: sc-36.1_prm_2 - - name: label - value: SC-36(01)_ODP[02] - label: actions - guidelines: - - prose: actions to be taken in response to identified faults, - errors, or compromise are defined; - props: - - name: label - value: SC-36(01) - - name: sort-id - value: sc-36.01 - links: - - href: "#sc-36" - rel: required - - href: "#si-4" - rel: related - parts: - - id: sc-36.1_smt - name: statement - parts: - - id: sc-36.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ polling techniques to identify potential faults,\ - \ errors, or compromises to the following processing and storage\ - \ components: {{ insert: param, sc-36.01_odp.01 }} ; and" - - id: sc-36.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions in response to identified\ - \ faults, errors, or compromises: {{ insert: param, sc-36.01_odp.02\ - \ }}." - - id: sc-36.1_gdn - name: guidance - prose: Distributed processing and/or storage may be used to reduce - opportunities for adversaries to compromise the confidentiality, - integrity, or availability of organizational information and systems. - However, the distribution of processing and storage components - does not prevent adversaries from compromising one or more of - the components. Polling compares the processing results and/or - storage content from the distributed components and subsequently - votes on the outcomes. Polling identifies potential faults, compromises, - or errors in the distributed processing and storage components. - - name: objective - props: - - name: label - value: SC-36(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-36(01)(a) - class: sp800-53A - prose: "polling techniques are employed to identify potential\ - \ faults, errors, or compromises to {{ insert: param, sc-36.01_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SC-36(01)(b) - class: sp800-53A - prose: "{{ insert: param, sc-36.01_odp.02 }} are taken in response\ - \ to identified faults, errors, or compromise." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-36(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of distributed processing and storage components subject - to polling - - - system polling techniques and associated documentation or - records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-36(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-36(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing polling - techniques - - id: sc-36.2 - class: SP800-53-enhancement - title: Synchronization - params: - - id: sc-36.02_odp - props: - - name: legacy-identifier - value: sc-36.2_prm_1 - - name: label - value: SC-36(02)_ODP - label: duplicate systems or system components - guidelines: - - prose: duplicate systems or system components to be synchronized - are defined; - props: - - name: label - value: SC-36(02) - - name: sort-id - value: sc-36.02 - links: - - href: "#sc-36" - rel: required - - href: "#cp-9" - rel: related - parts: - - id: sc-36.2_smt - name: statement - prose: "Synchronize the following duplicate systems or system components:\ - \ {{ insert: param, sc-36.02_odp }}." - - id: sc-36.2_gdn - name: guidance - prose: "[SC-36](#sc-36) and [CP-9(6)](#cp-9.6) require the duplication\ - \ of systems or system components in distributed locations. The\ - \ synchronization of duplicated and redundant services and data\ - \ helps to ensure that information contained in the distributed\ - \ locations can be used in the mission or business functions of\ - \ organizations, as needed." - - name: objective - props: - - name: label - value: SC-36(02) - class: sp800-53A - prose: "{{ insert: param, sc-36.02_odp }} are synchronized." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-36(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of distributed processing and storage components subject - to polling - - - system polling techniques and associated documentation or - records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-36(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-36(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing duplicate - system or system component synchronization - - id: sc-37 - class: SP800-53 - title: Out-of-band Channels - params: - - id: sc-37_odp.01 - props: - - name: legacy-identifier - value: sc-37_prm_3 - - name: label - value: SC-37_ODP[01] - label: out-of-band channels - guidelines: - - prose: out-of-band channels to be employed for the physical delivery - or electronic transmission of information, system components, - or devices to individuals or the system are defined; - - id: sc-37_odp.02 - props: - - name: legacy-identifier - value: sc-37_prm_1 - - name: label - value: SC-37_ODP[02] - label: information, system components, or devices - guidelines: - - prose: information, system components, or devices to employ out-of-band-channels - for physical delivery or electronic transmission are defined; - - id: sc-37_odp.03 - props: - - name: legacy-identifier - value: sc-37_prm_2 - - name: label - value: SC-37_ODP[03] - label: individuals or systems - guidelines: - - prose: individuals or systems to which physical delivery or electronic - transmission of information, system components, or devices is - to be achieved via the employment of out-of-band channels are - defined; - props: - - name: label - value: SC-37 - - name: sort-id - value: sc-37 - links: - - href: "#110e26af-4765-49e1-8740-6750f83fcda1" - rel: reference - - href: "#e7942589-e267-4a5a-a3d9-f39a7aae81f0" - rel: reference - - href: "#8306620b-1920-4d73-8b21-12008528595f" - rel: reference - - href: "#ac-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-7" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-37_smt - name: statement - prose: "Employ the following out-of-band channels for the physical delivery\ - \ or electronic transmission of {{ insert: param, sc-37_odp.02 }}\ - \ to {{ insert: param, sc-37_odp.03 }}: {{ insert: param, sc-37_odp.01\ - \ }}." - - id: sc-37_gdn - name: guidance - prose: Out-of-band channels include local, non-network accesses to systems; - network paths physically separate from network paths used for operational - traffic; or non-electronic paths, such as the U.S. Postal Service. - The use of out-of-band channels is contrasted with the use of in-band - channels (i.e., the same channels) that carry routine operational - traffic. Out-of-band channels do not have the same vulnerability or - exposure as in-band channels. Therefore, the confidentiality, integrity, - or availability compromises of in-band channels will not compromise - or adversely affect the out-of-band channels. Organizations may employ - out-of-band channels in the delivery or transmission of organizational - items, including authenticators and credentials; cryptographic key - management information; system and data backups; configuration management - changes for hardware, firmware, or software; security updates; maintenance - information; and malicious code protection updates. - - name: objective - props: - - name: label - value: SC-37 - class: sp800-53A - prose: "{{ insert: param, sc-37_odp.01 }} are employed for the physical\ - \ delivery or electronic transmission of {{ insert: param, sc-37_odp.02\ - \ }} to {{ insert: param, sc-37_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-37-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the use of out-of-band channels - - - access control policy and procedures - - - identification and authentication policy and procedures - - - system design documentation - - - system architecture - - - system configuration settings and associated documentation - - - list of out-of-band channels - - - types of information, system components, or devices requiring - the use of out-of-band channels for physical delivery or electronic - transmission to authorized individuals or systems - - - physical delivery records - - - electronic transmission records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-37-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - operating, and/or using out-of-band channels - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-37-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the use of out-of-band channels - - - automated mechanisms supporting and/or implementing the use of - out-of-band channels - controls: - - id: sc-37.1 - class: SP800-53-enhancement - title: Ensure Delivery and Transmission - params: - - id: sc-37.01_odp.01 - props: - - name: legacy-identifier - value: sc-37.1_prm_1 - - name: label - value: SC-37(01)_ODP[01] - label: controls - guidelines: - - prose: controls to be employed to ensure that only designated - individuals or systems receive specific information, system - components, or devices are defined; - - id: sc-37.01_odp.02 - props: - - name: legacy-identifier - value: sc-37.1_prm_2 - - name: label - value: SC-37(01)_ODP[02] - label: individuals or systems - guidelines: - - prose: individuals or systems designated to receive specific - information, system components, or devices are defined; - - id: sc-37.01_odp.03 - props: - - name: legacy-identifier - value: sc-37.1_prm_3 - - name: label - value: SC-37(01)_ODP[03] - label: information, system components, or devices - guidelines: - - prose: information, system components, or devices that only - individuals or systems are designated to receive are defined; - props: - - name: label - value: SC-37(01) - - name: sort-id - value: sc-37.01 - links: - - href: "#sc-37" - rel: required - parts: - - id: sc-37.1_smt - name: statement - prose: "Employ {{ insert: param, sc-37.01_odp.01 }} to ensure that\ - \ only {{ insert: param, sc-37.01_odp.02 }} receive the following\ - \ information, system components, or devices: {{ insert: param,\ - \ sc-37.01_odp.03 }}." - - id: sc-37.1_gdn - name: guidance - prose: Techniques employed by organizations to ensure that only - designated systems or individuals receive certain information, - system components, or devices include sending authenticators via - an approved courier service but requiring recipients to show some - form of government-issued photographic identification as a condition - of receipt. - - name: objective - props: - - name: label - value: SC-37(01) - class: sp800-53A - prose: "{{ insert: param, sc-37.01_odp.01 }} are employed to ensure\ - \ that only {{ insert: param, sc-37.01_odp.02 }} receive {{ insert:\ - \ param, sc-37.01_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-37(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing the use of out-of-band channels - - - access control policy and procedures - - - identification and authentication policy and procedures - - - system design documentation - - - system architecture - - - system configuration settings and associated documentation - - - list of security safeguards to be employed to ensure that - designated individuals or systems receive organization-defined - information, system components, or devices - - - list of security safeguards for delivering designated information, - system components, or devices to designated individuals or - systems - - - list of information, system components, or devices to be delivered - to designated individuals or systems - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-37(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - operating, and/or using out-of-band channels - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-37(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the use of out-of-band - channels - - - automated mechanisms supporting and/or implementing the use - of out-of-band channels - - - automated mechanisms supporting/implementing safeguards to - ensure delivery of designated information, system components, - or devices - - id: sc-38 - class: SP800-53 - title: Operations Security - params: - - id: sc-38_odp - props: - - name: legacy-identifier - value: sc-38_prm_1 - - name: label - value: SC-38_ODP - label: operations security controls - guidelines: - - prose: operations security controls to be employed to protect key - organizational information throughout the system development life - cycle are defined; - props: - - name: label - value: SC-38 - - name: sort-id - value: sc-38 - links: - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#pl-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-7" - rel: related - parts: - - id: sc-38_smt - name: statement - prose: "Employ the following operations security controls to protect\ - \ key organizational information throughout the system development\ - \ life cycle: {{ insert: param, sc-38_odp }}." - - id: sc-38_gdn - name: guidance - prose: "Operations security (OPSEC) is a systematic process by which\ - \ potential adversaries can be denied information about the capabilities\ - \ and intentions of organizations by identifying, controlling, and\ - \ protecting generally unclassified information that specifically\ - \ relates to the planning and execution of sensitive organizational\ - \ activities. The OPSEC process involves five steps: identification\ - \ of critical information, analysis of threats, analysis of vulnerabilities,\ - \ assessment of risks, and the application of appropriate countermeasures.\ - \ OPSEC controls are applied to organizational systems and the environments\ - \ in which those systems operate. OPSEC controls protect the confidentiality\ - \ of information, including limiting the sharing of information with\ - \ suppliers, potential suppliers, and other non-organizational elements\ - \ and individuals. Information critical to organizational mission\ - \ and business functions includes user identities, element uses, suppliers,\ - \ supply chain processes, functional requirements, security requirements,\ - \ system design specifications, testing and evaluation protocols,\ - \ and security control implementation details." - - name: objective - props: - - name: label - value: SC-38 - class: sp800-53A - prose: "{{ insert: param, sc-38_odp }} are employed to protect key organizational\ - \ information throughout the system development life cycle." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-38-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing operations security - - security plan - - list of operations security safeguards - - security control assessments - - risk assessments - - threat and vulnerability assessments - - plans of action and milestones - - system development life cycle documentation - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-38-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-38-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for protecting organizational - information throughout the system development life cycle - - - automated mechanisms supporting and/or implementing safeguards - to protect organizational information throughout the system development - life cycle - - id: sc-39 - class: SP800-53 - title: Process Isolation - props: - - name: label - value: SC-39 - - name: sort-id - value: sc-39 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-39_smt - name: statement - prose: Maintain a separate execution domain for each executing system - process. - - id: sc-39_gdn - name: guidance - prose: Systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each system - process has a distinct address space so that communication between - processes is performed in a manner controlled through the security - functions, and one process cannot modify the executing code of another - process. Maintaining separate execution domains for executing processes - can be achieved, for example, by implementing separate address spaces. - Process isolation technologies, including sandboxing or virtualization, - logically separate software and firmware from other software, firmware, - and data. Process isolation helps limit the access of potentially - untrusted software to other system resources. The capability to maintain - separate execution domains is available in commercial operating systems - that employ multi-state processor technologies. - - name: objective - props: - - name: label - value: SC-39 - class: sp800-53A - prose: a separate execution domain is maintained for each executing - system process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-39-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System design documentation - - system architecture - - independent verification and validation documentation - - testing and evaluation documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-39-Interview - class: sp800-53A - parts: - - name: objects - prose: |- - System developers/integrators - - system security architect - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-39-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing separate - execution domains for each executing process - controls: - - id: sc-39.1 - class: SP800-53-enhancement - title: Hardware Separation - props: - - name: label - value: SC-39(01) - - name: sort-id - value: sc-39.01 - links: - - href: "#sc-39" - rel: required - parts: - - id: sc-39.1_smt - name: statement - prose: Implement hardware separation mechanisms to facilitate process - isolation. - - id: sc-39.1_gdn - name: guidance - prose: Hardware-based separation of system processes is generally - less susceptible to compromise than software-based separation, - thus providing greater assurance that the separation will be enforced. - Hardware separation mechanisms include hardware memory management. - - name: objective - props: - - name: label - value: SC-39(01) - class: sp800-53A - prose: hardware separation is implemented to facilitate process - isolation. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-39(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - system documentation for hardware separation mechanisms - - - system documentation from vendors, manufacturers, or developers - - - independent verification and validation documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-39(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-39(01)-Test - class: sp800-53A - parts: - - name: objects - prose: System capability implementing underlying hardware separation - mechanisms for process separation - - id: sc-39.2 - class: SP800-53-enhancement - title: Separate Execution Domain Per Thread - params: - - id: sc-39.02_odp - props: - - name: legacy-identifier - value: sc-39.2_prm_1 - - name: label - value: SC-39(02)_ODP - label: multi-threaded processing - guidelines: - - prose: multi-thread processing for which a separate execution - domain is to be maintained for each thread is defined; - props: - - name: label - value: SC-39(02) - - name: sort-id - value: sc-39.02 - links: - - href: "#sc-39" - rel: required - parts: - - id: sc-39.2_smt - name: statement - prose: "Maintain a separate execution domain for each thread in\ - \ {{ insert: param, sc-39.02_odp }}." - - id: sc-39.2_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-39(02) - class: sp800-53A - prose: "a separate execution domain is maintained for each thread\ - \ in {{ insert: param, sc-39.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-39(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of system execution domains for each thread in multi-threaded - processing - - - system documentation for multi-threaded processing - - - system documentation from vendors, manufacturers, or developers - - - independent verification and validation documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-39(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-39(02)-Test - class: sp800-53A - parts: - - name: objects - prose: System capability implementing a separate execution domain - for each thread in multi-threaded processing - - id: sc-40 - class: SP800-53 - title: Wireless Link Protection - params: - - id: sc-40_prm_1 - props: - - name: aggregates - value: sc-40_odp.01 - label: organization-defined wireless links - - id: sc-40_prm_2 - props: - - name: aggregates - value: sc-40_odp.02 - label: organization-defined types of signal parameter attacks or references - to sources for such attacks - - id: sc-40_odp.01 - props: - - name: label - value: SC-40_ODP[01] - label: wireless links - guidelines: - - prose: external wireless links to be protected from particular types - of signal parameter attacks are defined; - - id: sc-40_odp.02 - props: - - name: label - value: SC-40_ODP[02] - label: types of signal parameter attacks or references to sources for - such attacks - guidelines: - - prose: types of signal parameter attacks or references to sources - for such attacks from which to protect external wireless links - are defined; - - id: sc-40_odp.03 - props: - - name: label - value: SC-40_ODP[03] - label: wireless links - guidelines: - - prose: internal wireless links to be protected from particular types - of signal parameter attacks are defined; - - id: sc-40_odp.04 - props: - - name: label - value: SC-40_ODP[04] - label: types of signal parameter attacks or references to sources for - such attacks - guidelines: - - prose: types of signal parameter attacks or references to sources - for such attacks from which to protect internal wireless links - are defined; - props: - - name: label - value: SC-40 - - name: sort-id - value: sc-40 - links: - - href: "#ac-18" - rel: related - - href: "#sc-5" - rel: related - parts: - - id: sc-40_smt - name: statement - prose: "Protect external and internal {{ insert: param, sc-40_prm_1\ - \ }} from the following signal parameter attacks: {{ insert: param,\ - \ sc-40_prm_2 }}." - - id: sc-40_gdn - name: guidance - prose: Wireless link protection applies to internal and external wireless - communication links that may be visible to individuals who are not - authorized system users. Adversaries can exploit the signal parameters - of wireless links if such links are not adequately protected. There - are many ways to exploit the signal parameters of wireless links to - gain intelligence, deny service, or spoof system users. Protection - of wireless links reduces the impact of attacks that are unique to - wireless systems. If organizations rely on commercial service providers - for transmission services as commodity items rather than as fully - dedicated services, it may not be possible to implement wireless link - protections to the extent necessary to meet organizational security - requirements. - - name: objective - props: - - name: label - value: SC-40 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-40[01] - class: sp800-53A - prose: "external {{ insert: param, sc-40_odp.01 }} are protected\ - \ from {{ insert: param, sc-40_odp.02 }}." - - name: objective - props: - - name: label - value: SC-40[02] - class: sp800-53A - prose: "internal {{ insert: param, sc-40_odp.03 }} are protected\ - \ from {{ insert: param, sc-40_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-40-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing wireless link protection - - - system design documentation - - - wireless network diagrams - - - system configuration settings and associated documentation - - - system architecture - - - list of internal and external wireless links - - - list of signal parameter attacks or references to sources for - attacks - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-40-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - and/or maintaining internal and external wireless links - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-40-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing protection - of wireless links - controls: - - id: sc-40.1 - class: SP800-53-enhancement - title: Electromagnetic Interference - params: - - id: sc-40.01_odp - props: - - name: legacy-identifier - value: sc-40.1_prm_1 - - name: label - value: SC-40(01)_ODP - label: level of protection - guidelines: - - prose: level of protection to be employed against the effects - of intentional electromagnetic interference is defined; - props: - - name: label - value: SC-40(01) - - name: sort-id - value: sc-40.01 - links: - - href: "#sc-40" - rel: required - - href: "#pe-21" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.1_smt - name: statement - prose: "Implement cryptographic mechanisms that achieve {{ insert:\ - \ param, sc-40.01_odp }} against the effects of intentional electromagnetic\ - \ interference." - - id: sc-40.1_gdn - name: guidance - prose: The implementation of cryptographic mechanisms for electromagnetic - interference protects systems against intentional jamming that - might deny or impair communications by ensuring that wireless - spread spectrum waveforms used to provide anti-jam protection - are not predictable by unauthorized individuals. The implementation - of cryptographic mechanisms may also coincidentally mitigate the - effects of unintentional jamming due to interference from legitimate - transmitters that share the same spectrum. Mission requirements, - projected threats, concept of operations, and laws, executive - orders, directives, regulations, policies, and standards determine - levels of wireless link availability, cryptography needed, and - performance. - - name: objective - props: - - name: label - value: SC-40(01) - class: sp800-53A - prose: "cryptographic mechanisms that achieve {{ insert: param,\ - \ sc-40.01_odp }} against the effects of intentional electromagnetic\ - \ interference are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-40(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing wireless link protection - - - system design documentation - - - wireless network diagrams - - - system configuration settings and associated documentation - - - system architecture - - - system communications hardware and software - - - security categorization results - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-40(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - and/or maintaining internal and external wireless links - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-40(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms enforcing protections against - effects of intentional electromagnetic interference - - id: sc-40.2 - class: SP800-53-enhancement - title: Reduce Detection Potential - params: - - id: sc-40.02_odp - props: - - name: legacy-identifier - value: sc-40.2_prm_1 - - name: label - value: SC-40(02)_ODP - label: level of reduction - guidelines: - - prose: the level of reduction to be achieved to reduce the detection - potential of wireless links is defined; - props: - - name: label - value: SC-40(02) - - name: sort-id - value: sc-40.02 - links: - - href: "#sc-40" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.2_smt - name: statement - prose: "Implement cryptographic mechanisms to reduce the detection\ - \ potential of wireless links to {{ insert: param, sc-40.02_odp\ - \ }}." - - id: sc-40.2_gdn - name: guidance - prose: The implementation of cryptographic mechanisms to reduce - detection potential is used for covert communications and to protect - wireless transmitters from geo-location. It also ensures that - the spread spectrum waveforms used to achieve a low probability - of detection are not predictable by unauthorized individuals. - Mission requirements, projected threats, concept of operations, - and applicable laws, executive orders, directives, regulations, - policies, and standards determine the levels to which wireless - links are undetectable. - - name: objective - props: - - name: label - value: SC-40(02) - class: sp800-53A - prose: "cryptographic mechanisms to reduce the detection potential\ - \ of wireless links to {{ insert: param, sc-40.02_odp }} are implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-40(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing wireless link protection - - - system design documentation - - - wireless network diagrams - - - system configuration settings and associated documentation - - - system architecture - - - system communications hardware and software - - - security categorization results - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-40(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - and/or maintaining internal and external wireless links - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-40(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms enforcing protections to reduce - the detection of wireless links - - id: sc-40.3 - class: SP800-53-enhancement - title: Imitative or Manipulative Communications Deception - props: - - name: label - value: SC-40(03) - - name: sort-id - value: sc-40.03 - links: - - href: "#sc-40" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-40.3_smt - name: statement - prose: Implement cryptographic mechanisms to identify and reject - wireless transmissions that are deliberate attempts to achieve - imitative or manipulative communications deception based on signal - parameters. - - id: sc-40.3_gdn - name: guidance - prose: The implementation of cryptographic mechanisms to identify - and reject imitative or manipulative communications ensures that - the signal parameters of wireless transmissions are not predictable - by unauthorized individuals. Such unpredictability reduces the - probability of imitative or manipulative communications deception - based on signal parameters alone. - - name: objective - props: - - name: label - value: SC-40(03) - class: sp800-53A - prose: cryptographic mechanisms are implemented to identify and - reject wireless transmissions that are deliberate attempts to - achieve imitative or manipulative communications deception based - on signal parameters. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-40(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing system design documentation - - - wireless network diagrams - - - system configuration settings and associated documentation - - - system architecture - - - system communications hardware and software - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-40(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - and/or maintaining internal and external wireless links - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-40(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms enforcing wireless link protections - against imitative or manipulative communications deception - - id: sc-40.4 - class: SP800-53-enhancement - title: Signal Parameter Identification - params: - - id: sc-40.04_odp - props: - - name: legacy-identifier - value: sc-40.4_prm_1 - - name: label - value: SC-40(04)_ODP - label: wireless transmitters - guidelines: - - prose: wireless transmitters for which cryptographic mechanisms - are to be implemented are defined; - props: - - name: label - value: SC-40(04) - - name: sort-id - value: sc-40.04 - links: - - href: "#sc-40" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.4_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent the identification\ - \ of {{ insert: param, sc-40.04_odp }} by using the transmitter\ - \ signal parameters." - - id: sc-40.4_gdn - name: guidance - prose: The implementation of cryptographic mechanisms to prevent - the identification of wireless transmitters protects against the - unique identification of wireless transmitters for the purposes - of intelligence exploitation by ensuring that anti-fingerprinting - alterations to signal parameters are not predictable by unauthorized - individuals. It also provides anonymity when required. Radio fingerprinting - techniques identify the unique signal parameters of transmitters - to fingerprint such transmitters for purposes of tracking and - mission or user identification. - - name: objective - props: - - name: label - value: SC-40(04) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to prevent the\ - \ identification of {{ insert: param, sc-40.04_odp }} by using\ - \ the transmitter signal parameters." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-40(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing system design documentation - - - wireless network diagrams - - - system configuration settings and associated documentation - - - system architecture - - - system communications hardware and software - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-40(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel authorizing, installing, configuring, - and/or maintaining internal and external wireless links - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-40(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms preventing the identification - of wireless transmitters - - id: sc-41 - class: SP800-53 - title: Port and I/O Device Access - params: - - id: sc-41_odp.01 - props: - - name: legacy-identifier - value: sc-41_prm_2 - - name: label - value: SC-41_ODP[01] - label: connection ports or input/output devices - guidelines: - - prose: connection ports or input/output devices to be disabled or - removed are defined; - - id: sc-41_odp.02 - props: - - name: legacy-identifier - value: sc-41_prm_1 - - name: label - value: SC-41_ODP[02] - select: - choice: - - physically - - logically - - id: sc-41_odp.03 - props: - - name: legacy-identifier - value: sc-41_prm_3 - - name: label - value: SC-41_ODP[03] - label: systems or system components - guidelines: - - prose: systems or system components with connection ports or input/output - devices to be disabled or removed are defined; - props: - - name: label - value: SC-41 - - name: sort-id - value: sc-41 - links: - - href: "#ac-20" - rel: related - - href: "#mp-7" - rel: related - parts: - - id: sc-41_smt - name: statement - prose: "{{ insert: param, sc-41_odp.02 }} disable or remove {{ insert:\ - \ param, sc-41_odp.01 }} on the following systems or system components:\ - \ {{ insert: param, sc-41_odp.03 }}." - - id: sc-41_gdn - name: guidance - prose: Connection ports include Universal Serial Bus (USB), Thunderbolt, - and Firewire (IEEE 1394). Input/output (I/O) devices include compact - disc and digital versatile disc drives. Disabling or removing such - connection ports and I/O devices helps prevent the exfiltration of - information from systems and the introduction of malicious code from - those ports or devices. Physically disabling or removing ports and/or - devices is the stronger action. - - name: objective - props: - - name: label - value: SC-41 - class: sp800-53A - prose: "{{ insert: param, sc-41_odp.01 }} are {{ insert: param, sc-41_odp.02\ - \ }} disabled or removed on {{ insert: param, sc-41_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-41-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing port and input/output device access - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - systems or system components - - - list of connection ports or input/output devices to be physically - disabled or removed on systems or system components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-41-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-41-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the disabling - of connection ports or input/output devices - - id: sc-42 - class: SP800-53 - title: Sensor Capability and Data - params: - - id: sc-42_odp.01 - props: - - name: legacy-identifier - value: sc-42_prm_1 - - name: label - value: SC-42_ODP[01] - select: - how-many: one-or-more - choice: - - "the use of devices possessing{{ insert: param, sc-42_odp.02 }}in{{\ - \ insert: param, sc-42_odp.03 }} " - - "the remote activation of environmental sensing capabilities on\ - \ organizational systems or system components with the following\ - \ exceptions:{{ insert: param, sc-42_odp.04 }} " - - id: sc-42_odp.02 - props: - - name: legacy-identifier - value: sc-42_prm_2 - - name: label - value: SC-42_ODP[02] - label: environmental sensing capabilities - guidelines: - - prose: environmental sensing capabilities in devices are defined - (if selected); - - id: sc-42_odp.03 - props: - - name: legacy-identifier - value: sc-42_prm_3 - - name: label - value: SC-42_ODP[03] - label: facilities, areas, or systems - guidelines: - - prose: facilities, areas, or systems where the use of devices possessing - environmental sensing capabilities is prohibited are defined (if - selected); - - id: sc-42_odp.04 - props: - - name: legacy-identifier - value: sc-42_prm_4 - - name: label - value: SC-42_ODP[04] - label: exceptions where remote activation of sensors is allowed - guidelines: - - prose: exceptions where remote activation of sensors is allowed - are defined (if selected); - - id: sc-42_odp.05 - props: - - name: legacy-identifier - value: sc-42_prm_5 - - name: label - value: SC-42_ODP[05] - label: group of users - guidelines: - - prose: group of users to whom an explicit indication of sensor use - is to be provided is defined; - props: - - name: label - value: SC-42 - - name: sort-id - value: sc-42 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#sc-15" - rel: related - parts: - - id: sc-42_smt - name: statement - parts: - - id: sc-42_smt.a - name: item - props: - - name: label - value: a. - prose: "Prohibit {{ insert: param, sc-42_odp.01 }} ; and" - - id: sc-42_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide an explicit indication of sensor use to {{ insert:\ - \ param, sc-42_odp.05 }}." - - id: sc-42_gdn - name: guidance - prose: Sensor capability and data applies to types of systems or system - components characterized as mobile devices, such as cellular telephones, - smart phones, and tablets. Mobile devices often include sensors that - can collect and record data regarding the environment where the system - is in use. Sensors that are embedded within mobile devices include - microphones, cameras, Global Positioning System (GPS) mechanisms, - and accelerometers. While the sensors on mobiles devices provide an - important function, if activated covertly, such devices can potentially - provide a means for adversaries to learn valuable information about - individuals and organizations. For example, remotely activating the - GPS function on a mobile device could provide an adversary with the - ability to track the movements of an individual. Organizations may - prohibit individuals from bringing cellular telephones or digital - cameras into certain designated facilities or controlled areas within - facilities where classified information is stored or sensitive conversations - are taking place. - - name: objective - props: - - name: label - value: SC-42 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-42a. - class: sp800-53A - prose: "{{ insert: param, sc-42_odp.01 }} is/are prohibited;" - - name: objective - props: - - name: label - value: SC-42b. - class: sp800-53A - prose: "an explicit indication of sensor use is provided to {{ insert:\ - \ param, sc-42_odp.05 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-42-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing sensor capabilities and data collection - - - access control policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-42-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for sensor capabilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-42-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms implementing access controls for the - remote activation of system sensor capabilities - - - automated mechanisms implementing the capability to indicate sensor - use - controls: - - id: sc-42.1 - class: SP800-53-enhancement - title: Reporting to Authorized Individuals or Roles - params: - - id: sc-42.01_odp - props: - - name: legacy-identifier - value: sc-42.1_prm_1 - - name: label - value: SC-42(01)_ODP - label: sensors - guidelines: - - prose: sensors to be used to collect data or information are - defined; - props: - - name: label - value: SC-42(01) - - name: sort-id - value: sc-42.01 - links: - - href: "#sc-42" - rel: required - parts: - - id: sc-42.1_smt - name: statement - prose: "Verify that the system is configured so that data or information\ - \ collected by the {{ insert: param, sc-42.01_odp }} is only reported\ - \ to authorized individuals or roles." - - id: sc-42.1_gdn - name: guidance - prose: In situations where sensors are activated by authorized individuals, - it is still possible that the data or information collected by - the sensors will be sent to unauthorized entities. - - name: objective - props: - - name: label - value: SC-42(01) - class: sp800-53A - prose: "the system is configured so that data or information collected\ - \ by the {{ insert: param, sc-42.01_odp }} is only reported to\ - \ authorized individuals or roles." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-42(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - procedures addressing sensor capability and data collection - - - personally identifiable information processing policy - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-42(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for the sensor capabilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-42(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms restricting the reporting of sensor - information to those authorized - - - sensor data collection and reporting capabilities for the - system - - id: sc-42.2 - class: SP800-53-enhancement - title: Authorized Use - params: - - id: sc-42.02_odp.01 - props: - - name: legacy-identifier - value: sc-42.2_prm_2 - - name: label - value: SC-42(02)_ODP[01] - label: measures - guidelines: - - prose: measures to be employed so that data or information collected - by sensors is only used for authorized purposes are defined; - - id: sc-42.02_odp.02 - props: - - name: legacy-identifier - value: sc-42.2_prm_1 - - name: label - value: SC-42(02)_ODP[02] - label: sensors - guidelines: - - prose: sensors to be used to collect data or information are - defined; - props: - - name: label - value: SC-42(02) - - name: sort-id - value: sc-42.02 - links: - - href: "#sc-42" - rel: required - - href: "#pt-2" - rel: related - parts: - - id: sc-42.2_smt - name: statement - prose: "Employ the following measures so that data or information\ - \ collected by {{ insert: param, sc-42.02_odp.02 }} is only used\ - \ for authorized purposes: {{ insert: param, sc-42.02_odp.01 }}." - - id: sc-42.2_gdn - name: guidance - prose: Information collected by sensors for a specific authorized - purpose could be misused for some unauthorized purpose. For example, - GPS sensors that are used to support traffic navigation could - be misused to track the movements of individuals. Measures to - mitigate such activities include additional training to help ensure - that authorized individuals do not abuse their authority and, - in the case where sensor data is maintained by external parties, - contractual restrictions on the use of such data. - - name: objective - props: - - name: label - value: SC-42(02) - class: sp800-53A - prose: "{{ insert: param, sc-42.02_odp.01 }} are employed so that\ - \ data or information collected by {{ insert: param, sc-42.02_odp.02\ - \ }} is only used for authorized purposes." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-42(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - personally identifiable information processing policy - - - sensor capability and data collection - - - system design documentation - - - system configuration settings and associated documentation - - - system architecture - - - list of measures to be employed to that the ensure data or - information collected by sensors is only used for authorized - purposes - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-42(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for sensor capabilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-42(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - measures to ensure sensor information is only used for - authorized purposes - - - sensor information collection capability for the system - - id: sc-42.3 - class: SP800-53-enhancement - title: Prohibit Use of Devices - props: - - name: label - value: SC-42(03) - - name: sort-id - value: sc-42.03 - - name: status - value: withdrawn - links: - - href: "#sc-42" - rel: incorporated-into - - id: sc-42.4 - class: SP800-53-enhancement - title: Notice of Collection - params: - - id: sc-42.04_odp.01 - props: - - name: legacy-identifier - value: sc-42.4_prm_2 - - name: label - value: SC-42(04)_ODP[01] - label: measures - guidelines: - - prose: measures to facilitate an individual’s awareness that - personally identifiable information is being collected are - defined; - - id: sc-42.04_odp.02 - props: - - name: legacy-identifier - value: sc-42.4_prm_1 - - name: label - value: SC-42(04)_ODP[02] - label: sensors - guidelines: - - prose: sensors that collect personally identifiable information - are defined; - props: - - name: label - value: SC-42(04) - - name: sort-id - value: sc-42.04 - links: - - href: "#sc-42" - rel: required - - href: "#pt-1" - rel: related - - href: "#pt-4" - rel: related - - href: "#pt-5" - rel: related - parts: - - id: sc-42.4_smt - name: statement - prose: "Employ the following measures to facilitate an individual’s\ - \ awareness that personally identifiable information is being\ - \ collected by {{ insert: param, sc-42.04_odp.02 }}: {{ insert:\ - \ param, sc-42.04_odp.01 }}." - - id: sc-42.4_gdn - name: guidance - prose: Awareness that organizational sensors are collecting data - enables individuals to more effectively engage in managing their - privacy. Measures can include conventional written notices and - sensor configurations that make individuals directly or indirectly - aware through other devices that the sensor is collecting information. - The usability and efficacy of the notice are important considerations. - - name: objective - props: - - name: label - value: SC-42(04) - class: sp800-53A - prose: "{{ insert: param, sc-42.04_odp.01 }} are employed to facilitate\ - \ an individual’s awareness that personally identifiable information\ - \ is being collected by {{ insert: param, sc-42.04_odp.02 }} " - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-42(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - personally identifiable information processing policy - - - sensor capability and data collection policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - privacy risk assessment documentation - - - privacy impact assessments - - - system architecture - - - list of measures to be employed to ensure that individuals - are aware that personally identifiable information is being - collected by sensors - - - examples of notifications provided to individuals that personally - identifiable information is being collected by sensors - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-42(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for sensor capabilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-42(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - measures to facilitate an individual’s awareness that - personally identifiable information is being collected - by sensors - - - sensor information collection capabilities for the system - - id: sc-42.5 - class: SP800-53-enhancement - title: Collection Minimization - params: - - id: sc-42.05_odp - props: - - name: legacy-identifier - value: sc-42.5_prm_1 - - name: label - value: SC-42(05)_ODP - label: sensors - guidelines: - - prose: the sensors that are configured to minimize the collection - of unneeded information about individuals are defined; - props: - - name: label - value: SC-42(05) - - name: sort-id - value: sc-42.05 - links: - - href: "#sc-42" - rel: required - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sc-42.5_smt - name: statement - prose: "Employ {{ insert: param, sc-42.05_odp }} that are configured\ - \ to minimize the collection of information about individuals\ - \ that is not needed." - - id: sc-42.5_gdn - name: guidance - prose: Although policies to control for authorized use can be applied - to information once it is collected, minimizing the collection - of information that is not needed mitigates privacy risk at the - system entry point and mitigates the risk of policy control failures. - Sensor configurations include the obscuring of human features, - such as blurring or pixelating flesh tones. - - name: objective - props: - - name: label - value: SC-42(05) - class: sp800-53A - prose: "the {{ insert: param, sc-42.05_odp }} configured to minimize\ - \ the collection of information about individuals that is not\ - \ needed are employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-42(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - access control policy and procedures - - - personally identifiable information processing policy - - - sensor capability and data collection policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - privacy risk assessment documentation - - - privacy impact assessments - - - system architecture - - - list of information being collected by sensors - - - list of sensor configurations that minimize the collection - of personally identifiable information (e.g., obscure human - features) - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-42(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for sensor capabilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-42(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - measures to facilitate the review of information that is - being collected by sensors - - - sensor information collection capabilities for the system - - id: sc-43 - class: SP800-53 - title: Usage Restrictions - params: - - id: sc-43_odp - props: - - name: legacy-identifier - value: sc-43_prm_1 - - name: label - value: SC-43_ODP - label: components - guidelines: - - prose: the components for which usage restrictions and implementation - guidance are to be established are defined; - props: - - name: label - value: SC-43 - - name: sort-id - value: sc-43 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#0f66be67-85e7-4ca6-bd19-39453e9f4394" - rel: reference - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-6" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - parts: - - id: sc-43_smt - name: statement - parts: - - id: sc-43_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish usage restrictions and implementation guidelines\ - \ for the following system components: {{ insert: param, sc-43_odp\ - \ }} ; and" - - id: sc-43_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize, monitor, and control the use of such components - within the system. - - id: sc-43_gdn - name: guidance - prose: Usage restrictions apply to all system components including but - not limited to mobile code, mobile devices, wireless access, and wired - and wireless peripheral components (e.g., copiers, printers, scanners, - optical devices, and other similar technologies). The usage restrictions - and implementation guidelines are based on the potential for system - components to cause damage to the system and help to ensure that only - authorized system use occurs. - - name: objective - props: - - name: label - value: SC-43 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-43a. - class: sp800-53A - prose: "usage restrictions and implementation guidelines are established\ - \ for {{ insert: param, sc-43_odp }};" - - name: objective - props: - - name: label - value: SC-43b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-43b.[01] - class: sp800-53A - prose: "the use of {{ insert: param, sc-43_odp }} is authorized\ - \ within the system;" - - name: objective - props: - - name: label - value: SC-43b.[02] - class: sp800-53A - prose: "the use of {{ insert: param, sc-43_odp }} is monitored\ - \ within the system;" - - name: objective - props: - - name: label - value: SC-43b.[03] - class: sp800-53A - prose: "the use of {{ insert: param, sc-43_odp }} is controlled\ - \ within the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-43-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - usage restrictions - - procedures addressing usage restrictions - - implementation policy and procedures - - authorization records - - system monitoring records - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-43-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-43-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for authorizing, monitoring, and - controlling the use of components with usage restrictions - - - Automated mechanisms supporting and/or implementing, authorizing, - monitoring, and controlling the use of components with usage restrictions - - id: sc-44 - class: SP800-53 - title: Detonation Chambers - params: - - id: sc-44_odp - props: - - name: legacy-identifier - value: sc-44_prm_1 - - name: label - value: SC-44_ODP - label: system, system component, or location - guidelines: - - prose: the system, system component, or location where a detonation - chamber capability is to be employed is defined; - props: - - name: label - value: SC-44 - - name: sort-id - value: sc-44 - links: - - href: "#1c71b420-2bd9-4e52-9fc8-390f58b85b59" - rel: reference - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-25" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-44_smt - name: statement - prose: "Employ a detonation chamber capability within {{ insert: param,\ - \ sc-44_odp }}." - - id: sc-44_gdn - name: guidance - prose: Detonation chambers, also known as dynamic execution environments, - allow organizations to open email attachments, execute untrusted or - suspicious applications, and execute Universal Resource Locator requests - in the safety of an isolated environment or a virtualized sandbox. - Protected and isolated execution environments provide a means of determining - whether the associated attachments or applications contain malicious - code. While related to the concept of deception nets, the employment - of detonation chambers is not intended to maintain a long-term environment - in which adversaries can operate and their actions can be observed. - Rather, detonation chambers are intended to quickly identify malicious - code and either reduce the likelihood that the code is propagated - to user environments of operation or prevent such propagation completely. - - name: objective - props: - - name: label - value: SC-44 - class: sp800-53A - prose: "a detonation chamber capability is employed within the {{ insert:\ - \ param, sc-44_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-44-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing detonation chambers - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-44-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-44-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the detonation - chamber capability - - id: sc-45 - class: SP800-53 - title: System Time Synchronization - props: - - name: label - value: SC-45 - - name: sort-id - value: sc-45 - links: - - href: "#e4d37285-1e79-4029-8b6a-42df39cace30" - rel: reference - - href: "#ac-3" - rel: related - - href: "#au-8" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: sc-45_smt - name: statement - prose: Synchronize system clocks within and between systems and system - components. - - id: sc-45_gdn - name: guidance - prose: Time synchronization of system clocks is essential for the correct - execution of many system services, including identification and authentication - processes that involve certificates and time-of-day restrictions as - part of access control. Denial of service or failure to deny expired - credentials may result without properly synchronized clocks within - and between systems and system components. Time is commonly expressed - in Coordinated Universal Time (UTC), a modern continuation of Greenwich - Mean Time (GMT), or local time with an offset from UTC. The granularity - of time measurements refers to the degree of synchronization between - system clocks and reference clocks, such as clocks synchronizing within - hundreds of milliseconds or tens of milliseconds. Organizations may - define different time granularities for system components. Time service - can be critical to other security capabilities—such as access control - and identification and authentication—depending on the nature of the - mechanisms used to support the capabilities. - - name: objective - props: - - name: label - value: SC-45 - class: sp800-53A - prose: system clocks are synchronized within and between systems and - system components. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-45-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing time synchronization - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-45-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-45-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing system - time synchronization - controls: - - id: sc-45.1 - class: SP800-53-enhancement - title: Synchronization with Authoritative Time Source - params: - - id: sc-45.01_odp.01 - props: - - name: legacy-identifier - value: sc-45.1_prm_1 - - name: label - value: SC-45(01)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to compare the internal system - clocks with the authoritative time source is defined; - - id: sc-45.01_odp.02 - props: - - name: legacy-identifier - value: sc-45.1_prm_2 - - name: label - value: SC-45(01)_ODP[02] - label: authoritative time source - guidelines: - - prose: the authoritative time source to which internal system - clocks are to be compared is defined; - - id: sc-45.01_odp.03 - props: - - name: legacy-identifier - value: sc-45.1_prm_3 - - name: label - value: SC-45(01)_ODP[03] - label: time period - guidelines: - - prose: the time period to compare the internal system clocks - with the authoritative time source is defined; - props: - - name: label - value: SC-45(01) - - name: sort-id - value: sc-45.01 - links: - - href: "#sc-45" - rel: required - parts: - - id: sc-45.1_smt - name: statement - parts: - - id: sc-45.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Compare the internal system clocks {{ insert: param,\ - \ sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02\ - \ }} ; and" - - id: sc-45.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Synchronize the internal system clocks to the authoritative\ - \ time source when the time difference is greater than {{\ - \ insert: param, sc-45.01_odp.03 }}." - - id: sc-45.1_gdn - name: guidance - prose: Synchronization of internal system clocks with an authoritative - source provides uniformity of time stamps for systems with multiple - system clocks and systems connected over a network. - - name: objective - props: - - name: label - value: SC-45(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-45(01)(a) - class: sp800-53A - prose: "the internal system clocks are compared {{ insert: param,\ - \ sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: SC-45(01)(b) - class: sp800-53A - prose: "the internal system clocks are synchronized with the\ - \ authoritative time source when the time difference is greater\ - \ than {{ insert: param, sc-45.01_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-45(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing time synchronization - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-45(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-45(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing system - time synchronization - - id: sc-45.2 - class: SP800-53-enhancement - title: Secondary Authoritative Time Source - props: - - name: label - value: SC-45(02) - - name: sort-id - value: sc-45.02 - links: - - href: "#sc-45" - rel: required - parts: - - id: sc-45.2_smt - name: statement - parts: - - id: sc-45.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Identify a secondary authoritative time source that is - in a different geographic region than the primary authoritative - time source; and - - id: sc-45.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Synchronize the internal system clocks to the secondary - authoritative time source if the primary authoritative time - source is unavailable. - - id: sc-45.2_gdn - name: guidance - prose: It may be necessary to employ geolocation information to - determine that the secondary authoritative time source is in a - different geographic region. - - name: objective - props: - - name: label - value: SC-45(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-45(02)(a) - class: sp800-53A - prose: a secondary authoritative time source is identified that - is in a different geographic region than the primary authoritative - time source; - - name: objective - props: - - name: label - value: SC-45(02)(b) - class: sp800-53A - prose: the internal system clocks are synchronized to the secondary - authoritative time source if the primary authoritative time - source is unavailable. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-45(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing time synchronization - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-45(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-45(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing system - time synchronization with secondary authoritative time sources - - id: sc-46 - class: SP800-53 - title: Cross Domain Policy Enforcement - params: - - id: sc-46_odp - props: - - name: legacy-identifier - value: sc-46_prm_1 - - name: label - value: SC-46_ODP - select: - choice: - - physically - - logically - props: - - name: label - value: SC-46 - - name: sort-id - value: sc-46 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ac-4" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: sc-46_smt - name: statement - prose: "Implement a policy enforcement mechanism {{ insert: param, sc-46_odp\ - \ }} between the physical and/or network interfaces for the connecting\ - \ security domains." - - id: sc-46_gdn - name: guidance - prose: For logical policy enforcement mechanisms, organizations avoid - creating a logical path between interfaces to prevent the ability - to bypass the policy enforcement mechanism. For physical policy enforcement - mechanisms, the robustness of physical isolation afforded by the physical - implementation of policy enforcement to preclude the presence of logical - covert channels penetrating the security domain may be needed. Contact - [ncdsmo@nsa.gov](mailto:ncdsmo@nsa.gov) for more information. - - name: objective - props: - - name: label - value: SC-46 - class: sp800-53A - prose: "a policy enforcement mechanism is {{ insert: param, sc-46_odp\ - \ }} implemented between the physical and/or network interfaces for\ - \ the connecting security domains." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-46-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing cross-domain policy enforcement - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-46-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-46-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing cross-domain - policy enforcement - - id: sc-47 - class: SP800-53 - title: Alternate Communications Paths - params: - - id: sc-47_odp - props: - - name: legacy-identifier - value: sc-47_prm_1 - - name: label - value: SC-47_ODP - label: alternate communication paths - guidelines: - - prose: alternate communication paths for system operations and operational - command and control are defined; - props: - - name: label - value: SC-47 - - name: sort-id - value: sc-47 - links: - - href: "#bc39f179-c735-4da2-b7a7-b2b622119755" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-8" - rel: related - parts: - - id: sc-47_smt - name: statement - prose: "Establish {{ insert: param, sc-47_odp }} for system operations\ - \ organizational command and control." - - id: sc-47_gdn - name: guidance - prose: An incident, whether adversarial- or nonadversarial-based, can - disrupt established communications paths used for system operations - and organizational command and control. Alternate communications paths - reduce the risk of all communications paths being affected by the - same incident. To compound the problem, the inability of organizational - officials to obtain timely information about disruptions or to provide - timely direction to operational elements after a communications path - incident, can impact the ability of the organization to respond to - such incidents in a timely manner. Establishing alternate communications - paths for command and control purposes, including designating alternative - decision makers if primary decision makers are unavailable and establishing - the extent and limitations of their actions, can greatly facilitate - the organization’s ability to continue to operate and take appropriate - actions during an incident. - - name: objective - props: - - name: label - value: SC-47 - class: sp800-53A - prose: "{{ insert: param, sc-47_odp }} are established for system operations\ - \ and operational command and control." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-47-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing communication paths - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-47-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-47-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing alternate - communication paths for system operations - - id: sc-48 - class: SP800-53 - title: Sensor Relocation - params: - - id: sc-48_odp.01 - props: - - name: legacy-identifier - value: sc-48_prm_1 - - name: label - value: SC-48_ODP[01] - label: sensors and monitoring capabilities - guidelines: - - prose: sensors and monitoring capabilities to be relocated are defined; - - id: sc-48_odp.02 - props: - - name: legacy-identifier - value: sc-48_prm_2 - - name: label - value: SC-48_ODP[02] - label: locations - guidelines: - - prose: locations to where sensors and monitoring capabilities are - to be relocated are defined; - - id: sc-48_odp.03 - props: - - name: legacy-identifier - value: sc-48_prm_3 - - name: label - value: SC-48_ODP[03] - label: conditions or circumstances - guidelines: - - prose: conditions or circumstances for relocating sensors and monitoring - capabilities are defined; - props: - - name: label - value: SC-48 - - name: sort-id - value: sc-48 - links: - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#au-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-48_smt - name: statement - prose: "Relocate {{ insert: param, sc-48_odp.01 }} to {{ insert: param,\ - \ sc-48_odp.02 }} under the following conditions or circumstances:\ - \ {{ insert: param, sc-48_odp.03 }}." - - id: sc-48_gdn - name: guidance - prose: Adversaries may take various paths and use different approaches - as they move laterally through an organization (including its systems) - to reach their target or as they attempt to exfiltrate information - from the organization. The organization often only has a limited set - of monitoring and detection capabilities, and they may be focused - on the critical or likely infiltration or exfiltration paths. By using - communications paths that the organization typically does not monitor, - the adversary can increase its chances of achieving its desired goals. - By relocating its sensors or monitoring capabilities to new locations, - the organization can impede the adversary’s ability to achieve its - goals. The relocation of the sensors or monitoring capabilities might - be done based on threat information that the organization has acquired - or randomly to confuse the adversary and make its lateral transition - through the system or organization more challenging. - - name: objective - props: - - name: label - value: SC-48 - class: sp800-53A - prose: "{{ insert: param, sc-48_odp.01 }} are relocated to {{ insert:\ - \ param, sc-48_odp.02 }} under {{ insert: param, sc-48_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-48-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing sensor and monitoring capability relocation - - - list of sensors/monitoring capabilities to be relocated - - - change control records - - - configuration management records - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-48-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-48-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing sensor - relocation - controls: - - id: sc-48.1 - class: SP800-53-enhancement - title: Dynamic Relocation of Sensors or Monitoring Capabilities - params: - - id: sc-48.01_odp.01 - props: - - name: legacy-identifier - value: sc-48.1_prm_1 - - name: label - value: SC-48(01)_ODP[01] - label: sensors and monitoring capabilities - guidelines: - - prose: sensors and monitoring capabilities to be dynamically - relocated are defined; - - id: sc-48.01_odp.02 - props: - - name: legacy-identifier - value: sc-48.1_prm_2 - - name: label - value: SC-48(01)_ODP[02] - label: locations - guidelines: - - prose: locations to where sensors and monitoring capabilities - are to be dynamically relocated are defined; - - id: sc-48.01_odp.03 - props: - - name: legacy-identifier - value: sc-48.1_prm_3 - - name: label - value: SC-48(01)_ODP[03] - label: conditions or circumstances - guidelines: - - prose: conditions or circumstances for dynamically relocating - sensors and monitoring capabilities are defined; - props: - - name: label - value: SC-48(01) - - name: sort-id - value: sc-48.01 - links: - - href: "#sc-48" - rel: required - parts: - - id: sc-48.1_smt - name: statement - prose: "Dynamically relocate {{ insert: param, sc-48.01_odp.01 }}\ - \ to {{ insert: param, sc-48.01_odp.02 }} under the following\ - \ conditions or circumstances: {{ insert: param, sc-48.01_odp.03\ - \ }}." - - id: sc-48.1_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-48(01) - class: sp800-53A - prose: "{{ insert: param, sc-48.01_odp.01 }} are dynamically relocated\ - \ to {{ insert: param, sc-48.01_odp.02 }} under {{ insert: param,\ - \ sc-48.01_odp.03 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-48(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and communications protection policy - - - procedures addressing sensor and monitoring capability relocation - - - list of sensors/monitoring capabilities to be relocated - - - change control records - - - configuration management records - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-48(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-48(01)-Test - class: sp800-53A - parts: - - name: objects - prose: "SELECT FROM: Automated mechanisms supporting and/or\ - \ implementing sensor relocation" - - id: sc-49 - class: SP800-53 - title: Hardware-enforced Separation and Policy Enforcement - params: - - id: sc-49_odp - props: - - name: legacy-identifier - value: sc-49_prm_1 - - name: label - value: SC-49_ODP - label: security domains - guidelines: - - prose: security domains requiring hardware-enforced separation and - policy enforcement mechanisms are defined; - props: - - name: label - value: SC-49 - - name: sort-id - value: sc-49 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-50" - rel: related - parts: - - id: sc-49_smt - name: statement - prose: "Implement hardware-enforced separation and policy enforcement\ - \ mechanisms between {{ insert: param, sc-49_odp }}." - - id: sc-49_gdn - name: guidance - prose: System owners may require additional strength of mechanism and - robustness to ensure domain separation and policy enforcement for - specific types of threats and environments of operation. Hardware-enforced - separation and policy enforcement provide greater strength of mechanism - than software-enforced separation and policy enforcement. - - name: objective - props: - - name: label - value: SC-49 - class: sp800-53A - prose: "hardware-enforced separation and policy enforcement mechanisms\ - \ are implemented between {{ insert: param, sc-49_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-49-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing cross-domain policy enforcement - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-49-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-49-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing hardware-enforced - security domain separation and policy enforcement - - id: sc-50 - class: SP800-53 - title: Software-enforced Separation and Policy Enforcement - params: - - id: sc-50_odp - props: - - name: legacy-identifier - value: sc-50_prm_1 - - name: label - value: SC-50_ODP - label: security domains - guidelines: - - prose: security domains requiring software-enforced separation and - policy enforcement mechanisms are defined; - props: - - name: label - value: SC-50 - - name: sort-id - value: sc-50 - links: - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-49" - rel: related - parts: - - id: sc-50_smt - name: statement - prose: "Implement software-enforced separation and policy enforcement\ - \ mechanisms between {{ insert: param, sc-50_odp }}." - - id: sc-50_gdn - name: guidance - prose: System owners may require additional strength of mechanism to - ensure domain separation and policy enforcement for specific types - of threats and environments of operation. - - name: objective - props: - - name: label - value: SC-50 - class: sp800-53A - prose: "software-enforced separation and policy enforcement mechanisms\ - \ are implemented between {{ insert: param, sc-50_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-50-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing cross-domain policy enforcement - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-50-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-50-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing software-enforced - separation and policy enforcement - - id: sc-51 - class: SP800-53 - title: Hardware-based Protection - params: - - id: sc-51_odp.01 - props: - - name: legacy-identifier - value: sc-51_prm_1 - - name: label - value: SC-51_ODP[01] - label: system firmware components - guidelines: - - prose: system firmware components requiring hardware-based write-protect - are defined; - - id: sc-51_odp.02 - props: - - name: legacy-identifier - value: sc-51_prm_2 - - name: label - value: SC-51_ODP[02] - label: authorized individuals - guidelines: - - prose: authorized individuals requiring procedures for disabling - and re-enabling hardware write-protect are defined; - props: - - name: label - value: SC-51 - - name: sort-id - value: sc-51 - parts: - - id: sc-51_smt - name: statement - parts: - - id: sc-51_smt.a - name: item - props: - - name: label - value: a. - prose: "Employ hardware-based, write-protect for {{ insert: param,\ - \ sc-51_odp.01 }} ; and" - - id: sc-51_smt.b - name: item - props: - - name: label - value: b. - prose: "Implement specific procedures for {{ insert: param, sc-51_odp.02\ - \ }} to manually disable hardware write-protect for firmware modifications\ - \ and re-enable the write-protect prior to returning to operational\ - \ mode." - - id: sc-51_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SC-51 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-51a. - class: sp800-53A - prose: "hardware-based write-protect for {{ insert: param, sc-51_odp.01\ - \ }} is employed;" - - name: objective - props: - - name: label - value: SC-51b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SC-51b.[01] - class: sp800-53A - prose: "specific procedures are implemented for {{ insert: param,\ - \ sc-51_odp.02 }} to manually disable hardware write-protect\ - \ for firmware modifications;" - - name: objective - props: - - name: label - value: SC-51b.[02] - class: sp800-53A - prose: "specific procedures are implemented for {{ insert: param,\ - \ sc-51_odp.02 }} to re-enable the write-protect prior to\ - \ returning to operational mode." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SC-51-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and communications protection policy - - procedures addressing firmware modifications - - system design documentation - - system configuration settings and associated documentation - - system architecture - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SC-51-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - system developers/integrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SC-51-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for modifying system firmware - - - automated mechanisms supporting and/or implementing hardware-based - write-protection for system firmware - - id: si - class: family - title: System and Information Integrity - controls: - - id: si-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: si-1_prm_1 - props: - - name: aggregates - value: si-01_odp.01 - label: organization-defined personnel or roles - - id: si-01_odp.01 - props: - - name: label - value: SI-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and information integrity - policy is to be disseminated is/are defined; - - id: si-01_odp.02 - props: - - name: label - value: SI-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom the system and information integrity - procedures are to be disseminated is/are defined; - - id: si-01_odp.03 - props: - - name: legacy-identifier - value: si-1_prm_2 - - name: label - value: SI-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: si-01_odp.04 - props: - - name: legacy-identifier - value: si-1_prm_3 - - name: label - value: SI-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the system and information integrity - policy and procedures is defined; - - id: si-01_odp.05 - props: - - name: legacy-identifier - value: si-1_prm_4 - - name: label - value: SI-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current system and information - integrity policy is reviewed and updated is defined; - - id: si-01_odp.06 - props: - - name: legacy-identifier - value: si-1_prm_5 - - name: label - value: SI-01_ODP[06] - label: events - guidelines: - - prose: events that would require the current system and information - integrity policy to be reviewed and updated are defined; - - id: si-01_odp.07 - props: - - name: legacy-identifier - value: si-1_prm_6 - - name: label - value: SI-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current system and information - integrity procedures are reviewed and updated is defined; - - id: si-01_odp.08 - props: - - name: legacy-identifier - value: si-1_prm_7 - - name: label - value: SI-01_ODP[08] - label: events - guidelines: - - prose: events that would require the system and information integrity - procedures to be reviewed and updated are defined; - props: - - name: label - value: SI-01 - - name: sort-id - value: si-01 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: si-1_smt - name: statement - parts: - - id: si-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ si-1_prm_1 }}:" - parts: - - id: si-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, si-01_odp.03 }} system and information\ - \ integrity policy that:" - parts: - - id: si-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: si-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: si-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the system - and information integrity policy and the associated system - and information integrity controls; - - id: si-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, si-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the system\ - \ and information integrity policy and procedures; and" - - id: si-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and information integrity:" - parts: - - id: si-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, si-01_odp.05 }} and following\ - \ {{ insert: param, si-01_odp.06 }} ; and" - - id: si-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, si-01_odp.07 }} and following\ - \ {{ insert: param, si-01_odp.08 }}." - - id: si-1_gdn - name: guidance - prose: System and information integrity policy and procedures address - the controls in the SI family that are implemented within systems - and organizations. The risk management strategy is an important factor - in establishing such policies and procedures. Policies and procedures - contribute to security and privacy assurance. Therefore, it is important - that security and privacy programs collaborate on the development - of system and information integrity policy and procedures. Security - and privacy program policies and procedures at the organization level - are preferable, in general, and may obviate the need for mission- - or system-specific policies and procedures. The policy can be included - as part of the general security and privacy policy or be represented - by multiple policies that reflect the complex nature of organizations. - Procedures can be established for security and privacy programs, for - mission or business processes, and for systems, if needed. Procedures - describe how the policies or controls are implemented and can be directed - at the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - system and information integrity policy and procedures include assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: SI-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01a.[01] - class: sp800-53A - prose: a system and information integrity policy is developed - and documented; - - name: objective - props: - - name: label - value: SI-01a.[02] - class: sp800-53A - prose: "the system and information integrity policy is disseminated\ - \ to {{ insert: param, si-01_odp.01 }};" - - name: objective - props: - - name: label - value: SI-01a.[03] - class: sp800-53A - prose: system and information integrity procedures to facilitate - the implementation of the system and information integrity - policy and associated system and information integrity controls - are developed and documented; - - name: objective - props: - - name: label - value: SI-01a.[04] - class: sp800-53A - prose: "the system and information integrity procedures are\ - \ disseminated to {{ insert: param, si-01_odp.02 }};" - - name: objective - props: - - name: label - value: SI-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses purpose;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses scope;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[03] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses roles;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses responsibilities;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: SI-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system\ - \ and information integrity policy addresses compliance;" - - name: objective - props: - - name: label - value: SI-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.03 }} system and\ - \ information integrity policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: SI-01b. - class: sp800-53A - prose: "the {{ insert: param, si-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the system\ - \ and information integrity policy and procedures;" - - name: objective - props: - - name: label - value: SI-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01c.01[01] - class: sp800-53A - prose: "the current system and information integrity policy\ - \ is reviewed and updated {{ insert: param, si-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: SI-01c.01[02] - class: sp800-53A - prose: "the current system and information integrity policy\ - \ is reviewed and updated following {{ insert: param,\ - \ si-01_odp.06 }};" - - name: objective - props: - - name: label - value: SI-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-01c.02[01] - class: sp800-53A - prose: "the current system and information integrity procedures\ - \ are reviewed and updated {{ insert: param, si-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: SI-01c.02[02] - class: sp800-53A - prose: "the current system and information integrity procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ si-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and information - integrity responsibilities - - - organizational personnel with information security and privacy - responsibilities - - id: si-2 - class: SP800-53 - title: Flaw Remediation - params: - - id: si-02_odp - props: - - name: legacy-identifier - value: si-2_prm_1 - - name: label - value: SI-02_ODP - label: time period - guidelines: - - prose: time period within which to install security-relevant software - updates after the release of the updates is defined; - props: - - name: label - value: SI-02 - - name: sort-id - value: si-02 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#155f941a-cba9-4afd-9ca6-5d040d697ba9" - rel: reference - - href: "#20db4e66-e257-450c-b2e4-2bb9a62a2c88" - rel: reference - - href: "#aa5d04e0-6090-4e17-84d4-b9963d55fc2c" - rel: reference - - href: "#ca-5" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#si-3" - rel: related - - href: "#si-5" - rel: related - - href: "#si-7" - rel: related - - href: "#si-11" - rel: related - parts: - - id: si-2_smt - name: statement - parts: - - id: si-2_smt.a - name: item - props: - - name: label - value: a. - prose: Identify, report, and correct system flaws; - - id: si-2_smt.b - name: item - props: - - name: label - value: b. - prose: Test software and firmware updates related to flaw remediation - for effectiveness and potential side effects before installation; - - id: si-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Install security-relevant software and firmware updates\ - \ within {{ insert: param, si-02_odp }} of the release of the\ - \ updates; and" - - id: si-2_smt.d - name: item - props: - - name: label - value: d. - prose: Incorporate flaw remediation into the organizational configuration - management process. - - id: si-2_gdn - name: guidance - prose: >- - The need to remediate system flaws applies to all types of - software and firmware. Organizations identify systems affected - by software flaws, including potential vulnerabilities resulting - from those flaws, and report this information to designated - organizational personnel with information security and privacy - responsibilities. Security-relevant updates include patches, - service packs, and malicious code signatures. Organizations also - address flaws discovered during assessments, continuous - monitoring, incident response activities, and system error - handling. By incorporating flaw remediation into configuration - management processes, required remediation actions can be - tracked and verified. - - - Organization-defined time periods for updating security-relevant software - and firmware may vary based on a variety of risk factors, including - the security category of the system, the criticality of the update - (i.e., severity of the vulnerability related to the discovered flaw), - the organizational risk tolerance, the mission supported by the system, - or the threat environment. Some types of flaw remediation may require - more testing than other types. Organizations determine the type of - testing needed for the specific type of flaw remediation activity - under consideration and the types of changes that are to be configuration-managed. - In some situations, organizations may determine that the testing of - software or firmware updates is not necessary or practical, such as - when implementing simple malicious code signature updates. In testing - decisions, organizations consider whether security-relevant software - or firmware updates are obtained from authorized sources with appropriate - digital signatures. - - name: objective - props: - - name: label - value: SI-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-02a.[01] - class: sp800-53A - prose: system flaws are identified; - - name: objective - props: - - name: label - value: SI-02a.[02] - class: sp800-53A - prose: system flaws are reported; - - name: objective - props: - - name: label - value: SI-02a.[03] - class: sp800-53A - prose: system flaws are corrected; - - name: objective - props: - - name: label - value: SI-02b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-02b.[01] - class: sp800-53A - prose: software updates related to flaw remediation are tested - for effectiveness before installation; - - name: objective - props: - - name: label - value: SI-02b.[02] - class: sp800-53A - prose: software updates related to flaw remediation are tested - for potential side effects before installation; - - name: objective - props: - - name: label - value: SI-02b.[03] - class: sp800-53A - prose: firmware updates related to flaw remediation are tested - for effectiveness before installation; - - name: objective - props: - - name: label - value: SI-02b.[04] - class: sp800-53A - prose: firmware updates related to flaw remediation are tested - for potential side effects before installation; - - name: objective - props: - - name: label - value: SI-02c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-02c.[01] - class: sp800-53A - prose: "security-relevant software updates are installed within\ - \ {{ insert: param, si-02_odp }} of the release of the updates;" - - name: objective - props: - - name: label - value: SI-02c.[02] - class: sp800-53A - prose: "security-relevant firmware updates are installed within\ - \ {{ insert: param, si-02_odp }} of the release of the updates;" - - name: objective - props: - - name: label - value: SI-02d. - class: sp800-53A - prose: flaw remediation is incorporated into the organizational - configuration management process. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - procedures addressing configuration management - - - list of flaws and vulnerabilities potentially affecting the system - - - list of recent security flaw remediation actions performed on - the system (e.g., list of installed patches, service packs, hot - fixes, and other software updates to correct system flaws) - - - test results from the installation of software and firmware updates - to correct system flaws - - - installation/change control records for security-relevant software - and firmware updates - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel responsible for installing, configuring, - and/or maintaining the system - - - organizational personnel responsible for flaw remediation - - - organizational personnel with configuration management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying, reporting, and - correcting system flaws - - - organizational process for installing software and firmware updates - - - automated mechanisms supporting and/or implementing the reporting - and correcting of system flaws - - - automated mechanisms supporting and/or implementing testing software - and firmware updates - controls: - - id: si-2.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-02(01) - - name: sort-id - value: si-02.01 - - name: status - value: withdrawn - links: - - href: "#pl-9" - rel: incorporated-into - - id: si-2.2 - class: SP800-53-enhancement - title: Automated Flaw Remediation Status - params: - - id: si-02.02_odp.01 - props: - - name: legacy-identifier - value: si-2.2_prm_1 - - name: label - value: SI-02(02)_ODP[01] - label: automated mechanisms - guidelines: - - prose: automated mechanisms to determine if applicable security-relevant - software and firmware updates are installed on system components - are defined; - - id: si-02.02_odp.02 - props: - - name: legacy-identifier - value: si-2.2_prm_2 - - name: label - value: SI-02(02)_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to determine if applicable security-relevant - software and firmware updates are installed on system components - is defined; - props: - - name: label - value: SI-02(02) - - name: sort-id - value: si-02.02 - links: - - href: "#si-2" - rel: required - - href: "#ca-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-2.2_smt - name: statement - prose: "Determine if system components have applicable security-relevant\ - \ software and firmware updates installed using {{ insert: param,\ - \ si-02.02_odp.01 }} {{ insert: param, si-02.02_odp.02 }}." - - id: si-2.2_gdn - name: guidance - prose: Automated mechanisms can track and determine the status of - known flaws for system components. - - name: objective - props: - - name: label - value: SI-02(02) - class: sp800-53A - prose: "system components have applicable security-relevant software\ - \ and firmware updates installed {{ insert: param, si-02.02_odp.02\ - \ }} using {{ insert: param, si-02.02_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - automated mechanisms supporting centralized management of - flaw remediation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for flaw remediation - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms used to determine the state of system - components with regard to flaw remediation - - id: si-2.3 - class: SP800-53-enhancement - title: Time to Remediate Flaws and Benchmarks for Corrective Actions - params: - - id: si-02.03_odp - props: - - name: legacy-identifier - value: si-2.3_prm_1 - - name: label - value: SI-02(03)_ODP - label: benchmarks - guidelines: - - prose: the benchmarks for taking corrective actions are defined; - props: - - name: label - value: SI-02(03) - - name: sort-id - value: si-02.03 - links: - - href: "#si-2" - rel: required - parts: - - id: si-2.3_smt - name: statement - parts: - - id: si-2.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Measure the time between flaw identification and flaw - remediation; and - - id: si-2.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Establish the following benchmarks for taking corrective\ - \ actions: {{ insert: param, si-02.03_odp }}." - - id: si-2.3_gdn - name: guidance - prose: Organizations determine the time it takes on average to correct - system flaws after such flaws have been identified and subsequently - establish organizational benchmarks (i.e., time frames) for taking - corrective actions. Benchmarks can be established by the type - of flaw or the severity of the potential vulnerability if the - flaw can be exploited. - - name: objective - props: - - name: label - value: SI-02(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-02(03)(a) - class: sp800-53A - prose: the time between flaw identification and flaw remediation - is measured; - - name: objective - props: - - name: label - value: SI-02(03)(b) - class: sp800-53A - prose: "{{ insert: param, si-02.03_odp }} for taking corrective\ - \ actions have been established." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - system design documentation - - - system configuration settings and associated documentation - - - list of benchmarks for taking corrective action on identified - flaws - - - records that provide timestamps of flaw identification and - subsequent flaw remediation activities - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for flaw remediation - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying, reporting, and - correcting system flaws - - - automated mechanisms used to measure the time between flaw - identification and flaw remediation - - id: si-2.4 - class: SP800-53-enhancement - title: Automated Patch Management Tools - params: - - id: si-02.04_odp - props: - - name: legacy-identifier - value: si-2.4_prm_1 - - name: label - value: SI-02(04)_ODP - label: components - guidelines: - - prose: the system components requiring automated patch management - tools to facilitate flaw remediation are defined; - props: - - name: label - value: SI-02(04) - - name: sort-id - value: si-02.04 - links: - - href: "#si-2" - rel: required - parts: - - id: si-2.4_smt - name: statement - prose: "Employ automated patch management tools to facilitate flaw\ - \ remediation to the following system components: {{ insert: param,\ - \ si-02.04_odp }}." - - id: si-2.4_gdn - name: guidance - prose: Using automated tools to support patch management helps to - ensure the timeliness and completeness of system patching operations. - - name: objective - props: - - name: label - value: SI-02(04) - class: sp800-53A - prose: "automated patch management tools are employed to facilitate\ - \ flaw remediation to {{ insert: param, si-02.04_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - automated mechanisms supporting flaw remediation and automatic - software/firmware updates - - - system design documentation - - - system configuration settings and associated documentation - - - list of system flaws - - - records of recent security-relevant software and firmware - updates that are automatically installed to system components - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for flaw remediation - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated patch management tools - - - automated mechanisms implementing automatic software/firmware - updates - - - automated mechanisms facilitating flaw remediation to system - components - - id: si-2.5 - class: SP800-53-enhancement - title: Automatic Software and Firmware Updates - params: - - id: si-02.05_odp.01 - props: - - name: legacy-identifier - value: si-2.5_prm_1 - - name: label - value: SI-02(05)_ODP[01] - label: security-relevant software and firmware updates - guidelines: - - prose: security-relevant software and firmware updates to be - automatically installed to system components are defined; - - id: si-02.05_odp.02 - props: - - name: legacy-identifier - value: si-2.5_prm_2 - - name: label - value: SI-02(05)_ODP[02] - label: system components - guidelines: - - prose: system components requiring security-relevant software - updates to be automatically installed are defined; - props: - - name: label - value: SI-02(05) - - name: sort-id - value: si-02.05 - links: - - href: "#si-2" - rel: required - parts: - - id: si-2.5_smt - name: statement - prose: "Install {{ insert: param, si-02.05_odp.01 }} automatically\ - \ to {{ insert: param, si-02.05_odp.02 }}." - - id: si-2.5_gdn - name: guidance - prose: Due to system integrity and availability concerns, organizations - consider the methodology used to carry out automatic updates. - Organizations balance the need to ensure that the updates are - installed as soon as possible with the need to maintain configuration - management and control with any mission or operational impacts - that automatic updates might impose. - - name: objective - props: - - name: label - value: SI-02(05) - class: sp800-53A - prose: "{{ insert: param, si-02.05_odp.01 }} are installed automatically\ - \ to {{ insert: param, si-02.05_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - automated mechanisms supporting flaw remediation and automatic - software/firmware updates - - - system design documentation - - - system configuration settings and associated documentation - - - records of recent security-relevant software and firmware - updates automatically installed to system components - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for flaw remediation - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms implementing automatic software/firmware - updates - - id: si-2.6 - class: SP800-53-enhancement - title: Removal of Previous Versions of Software and Firmware - params: - - id: si-02.06_odp - props: - - name: legacy-identifier - value: si-2.6_prm_1 - - name: label - value: SI-02(06)_ODP - label: software and firmware components - guidelines: - - prose: software and firmware components to be removed after - updated versions have been installed are defined; - props: - - name: label - value: SI-02(06) - - name: sort-id - value: si-02.06 - links: - - href: "#si-2" - rel: required - parts: - - id: si-2.6_smt - name: statement - prose: "Remove previous versions of {{ insert: param, si-02.06_odp\ - \ }} after updated versions have been installed." - - id: si-2.6_gdn - name: guidance - prose: Previous versions of software or firmware components that - are not removed from the system after updates have been installed - may be exploited by adversaries. Some products may automatically - remove previous versions of software and firmware from the system. - - name: objective - props: - - name: label - value: SI-02(06) - class: sp800-53A - prose: "previous versions of {{ insert: param, si-02.06_odp }} are\ - \ removed after updated versions have been installed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-02(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing flaw remediation - - - automated mechanisms supporting flaw remediation - - - system design documentation - - - system configuration settings and associated documentation - - - records of software and firmware component removals after - updated versions are installed - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-02(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for flaw remediation - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-02(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - removal of previous versions of software/firmware - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - params: - - id: si-03_odp.01 - props: - - name: legacy-identifier - value: si-3_prm_1 - - name: label - value: SI-03_ODP[01] - select: - how-many: one-or-more - choice: - - signature-based - - non-signature-based - - id: si-03_odp.02 - props: - - name: legacy-identifier - value: si-3_prm_2 - - name: label - value: SI-03_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which malicious code protection mechanisms - perform scans is defined; - - id: si-03_odp.03 - props: - - name: legacy-identifier - value: si-3_prm_3 - - name: label - value: SI-03_ODP[03] - select: - how-many: one-or-more - choice: - - endpoint - - network entry and exit points - - id: si-03_odp.04 - props: - - name: legacy-identifier - value: si-3_prm_4 - - name: label - value: SI-03_ODP[04] - select: - how-many: one-or-more - choice: - - block malicious code - - quarantine malicious code - - "take{{ insert: param, si-03_odp.05 }} " - - id: si-03_odp.05 - props: - - name: legacy-identifier - value: si-3_prm_5 - - name: label - value: SI-03_ODP[05] - label: action - guidelines: - - prose: action to be taken in response to malicious code detection - are defined (if selected); - - id: si-03_odp.06 - props: - - name: legacy-identifier - value: si-3_prm_6 - - name: label - value: SI-03_ODP[06] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted when malicious code is detected - is/are defined; - props: - - name: label - value: SI-03 - - name: sort-id - value: si-03 - links: - - href: "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff" - rel: reference - - href: "#88660532-2dcf-442e-845c-03340ce48999" - rel: reference - - href: "#1c71b420-2bd9-4e52-9fc8-390f58b85b59" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pl-9" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-2" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-8" - rel: related - - href: "#si-15" - rel: related - parts: - - id: si-3_smt - name: statement - parts: - - id: si-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement {{ insert: param, si-03_odp.01 }} malicious code\ - \ protection mechanisms at system entry and exit points to detect\ - \ and eradicate malicious code;" - - id: si-3_smt.b - name: item - props: - - name: label - value: b. - prose: Automatically update malicious code protection mechanisms - as new releases are available in accordance with organizational - configuration management policy and procedures; - - id: si-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Configure malicious code protection mechanisms to:" - parts: - - id: si-3_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Perform periodic scans of the system {{ insert: param,\ - \ si-03_odp.02 }} and real-time scans of files from external\ - \ sources at {{ insert: param, si-03_odp.03 }} as the files\ - \ are downloaded, opened, or executed in accordance with organizational\ - \ policy; and" - - id: si-3_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "{{ insert: param, si-03_odp.04 }} ; and send alert to\ - \ {{ insert: param, si-03_odp.06 }} in response to malicious\ - \ code detection; and" - - id: si-3_smt.d - name: item - props: - - name: label - value: d. - prose: Address the receipt of false positives during malicious code - detection and eradication and the resulting potential impact on - the availability of the system. - - id: si-3_gdn - name: guidance - prose: >- - System entry and exit points include firewalls, remote access - servers, workstations, electronic mail servers, web servers, - proxy servers, notebook computers, and mobile devices. Malicious - code includes viruses, worms, Trojan horses, and spyware. - Malicious code can also be encoded in various formats contained - within compressed or hidden files or hidden in files using - techniques such as steganography. Malicious code can be inserted - into systems in a variety of ways, including by electronic mail, - the world-wide web, and portable storage devices. Malicious code - insertions occur through the exploitation of system - vulnerabilities. A variety of technologies and methods exist to - limit or eliminate the effects of malicious code. - - - Malicious code protection mechanisms include both signature- and nonsignature-based - technologies. Nonsignature-based detection mechanisms include artificial - intelligence techniques that use heuristics to detect, analyze, and - describe the characteristics or behavior of malicious code and to - provide controls against such code for which signatures do not yet - exist or for which existing signatures may not be effective. Malicious - code for which active signatures do not yet exist or may be ineffective - includes polymorphic malicious code (i.e., code that changes signatures - when it replicates). Nonsignature-based mechanisms also include reputation-based - technologies. In addition to the above technologies, pervasive configuration - management, comprehensive software integrity controls, and anti-exploitation - software may be effective in preventing the execution of unauthorized - code. Malicious code may be present in commercial off-the-shelf software - as well as custom-built software and could include logic bombs, backdoors, - and other types of attacks that could affect organizational mission - and business functions. - - - In situations where malicious code cannot be detected by detection - methods or technologies, organizations rely on other types of controls, - including secure coding practices, configuration management and control, - trusted procurement processes, and monitoring practices to ensure - that software does not perform functions other than the functions - intended. Organizations may determine that, in response to the detection - of malicious code, different actions may be warranted. For example, - organizations can define actions in response to malicious code detection - during periodic scans, the detection of malicious downloads, or the - detection of maliciousness when attempting to open or execute files. - - name: objective - props: - - name: label - value: SI-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03a.[01] - class: sp800-53A - prose: "{{ insert: param, si-03_odp.01 }} malicious code protection\ - \ mechanisms are implemented at system entry and exit points\ - \ to detect malicious code;" - - name: objective - props: - - name: label - value: SI-03a.[02] - class: sp800-53A - prose: "{{ insert: param, si-03_odp.01 }} malicious code protection\ - \ mechanisms are implemented at system entry and exit points\ - \ to eradicate malicious code;" - - name: objective - props: - - name: label - value: SI-03b. - class: sp800-53A - prose: malicious code protection mechanisms are updated automatically - as new releases are available in accordance with organizational - configuration management policy and procedures; - - name: objective - props: - - name: label - value: SI-03c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03c.01[01] - class: sp800-53A - prose: "malicious code protection mechanisms are configured\ - \ to perform periodic scans of the system {{ insert: param,\ - \ si-03_odp.02 }};" - - name: objective - props: - - name: label - value: SI-03c.01[02] - class: sp800-53A - prose: "malicious code protection mechanisms are configured\ - \ to perform real-time scans of files from external sources\ - \ at {{ insert: param, si-03_odp.03 }} as the files are\ - \ downloaded, opened, or executed in accordance with organizational\ - \ policy;" - - name: objective - props: - - name: label - value: SI-03c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03c.02[01] - class: sp800-53A - prose: "malicious code protection mechanisms are configured\ - \ to {{ insert: param, si-03_odp.04 }} in response to\ - \ malicious code detection;" - - name: objective - props: - - name: label - value: SI-03c.02[02] - class: sp800-53A - prose: "malicious code protection mechanisms are configured\ - \ to send alerts to {{ insert: param, si-03_odp.06 }}\ - \ in response to malicious code detection;" - - name: objective - props: - - name: label - value: SI-03d. - class: sp800-53A - prose: the receipt of false positives during malicious code detection - and eradication and the resulting potential impact on the availability - of the system are addressed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - configuration management policy and procedures - - - procedures addressing malicious code protection - - - malicious code protection mechanisms - - - records of malicious code protection updates - - - system design documentation - - - system configuration settings and associated documentation - - - scan results from malicious code protection mechanisms - - - record of actions initiated by malicious code protection mechanisms - in response to malicious code detection - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for malicious code protection - - - organizational personnel with configuration management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-03-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for employing, updating, and - configuring malicious code protection mechanisms - - - organizational processes for addressing false positives and resulting - potential impacts - - - automated mechanisms supporting and/or implementing, employing, - updating, and configuring malicious code protection mechanisms - - - automated mechanisms supporting and/or implementing malicious - code scanning and subsequent actions - controls: - - id: si-3.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-03(01) - - name: sort-id - value: si-03.01 - - name: status - value: withdrawn - links: - - href: "#pl-9" - rel: incorporated-into - - id: si-3.2 - class: SP800-53-enhancement - title: Automatic Updates - props: - - name: label - value: SI-03(02) - - name: sort-id - value: si-03.02 - - name: status - value: withdrawn - links: - - href: "#si-3" - rel: incorporated-into - - id: si-3.3 - class: SP800-53-enhancement - title: Non-privileged Users - props: - - name: label - value: SI-03(03) - - name: sort-id - value: si-03.03 - - name: status - value: withdrawn - links: - - href: "#ac-6.10" - rel: incorporated-into - - id: si-3.4 - class: SP800-53-enhancement - title: Updates Only by Privileged Users - props: - - name: label - value: SI-03(04) - - name: sort-id - value: si-03.04 - links: - - href: "#si-3" - rel: required - - href: "#cm-5" - rel: related - parts: - - id: si-3.4_smt - name: statement - prose: Update malicious code protection mechanisms only when directed - by a privileged user. - - id: si-3.4_gdn - name: guidance - prose: Protection mechanisms for malicious code are typically categorized - as security-related software and, as such, are only updated by - organizational personnel with appropriate access privileges. - - name: objective - props: - - name: label - value: SI-03(04) - class: sp800-53A - prose: malicious code protection mechanisms are updated only when - directed by a privileged user. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-03(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing malicious code protection - - - list of privileged users on system - - - system design documentation - - - malicious code protection mechanisms - - - records of malicious code protection updates - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-03(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for malicious code protection - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-03(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing malicious - code protection capabilities - - id: si-3.5 - class: SP800-53-enhancement - title: Portable Storage Devices - props: - - name: label - value: SI-03(05) - - name: sort-id - value: si-03.05 - - name: status - value: withdrawn - links: - - href: "#mp-7" - rel: incorporated-into - - id: si-3.6 - class: SP800-53-enhancement - title: Testing and Verification - params: - - id: si-03.06_odp - props: - - name: legacy-identifier - value: si-3.6_prm_1 - - name: label - value: SI-03(06)_ODP - label: frequency - guidelines: - - prose: the frequency at which to test malicious code protection - mechanisms is defined; - props: - - name: label - value: SI-03(06) - - name: sort-id - value: si-03.06 - links: - - href: "#si-3" - rel: required - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: si-3.6_smt - name: statement - parts: - - id: si-3.6_smt.a - name: item - props: - - name: label - value: (a) - prose: "Test malicious code protection mechanisms {{ insert:\ - \ param, si-03.06_odp }} by introducing known benign code\ - \ into the system; and" - - id: si-3.6_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify that the detection of the code and the associated - incident reporting occur. - - id: si-3.6_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SI-03(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03(06)(a) - class: sp800-53A - prose: "malicious code protection mechanisms are tested {{ insert:\ - \ param, si-03.06_odp }} by introducing known benign code\ - \ into the system;" - - name: objective - props: - - name: label - value: SI-03(06)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03(06)(b)[01] - class: sp800-53A - prose: the detection of (benign test) code occurs; - - name: objective - props: - - name: label - value: SI-03(06)(b)[02] - class: sp800-53A - prose: the associate incident reporting occurs. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-03(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing malicious code protection - - - system design documentation - - - system configuration settings and associated documentation - - - test cases - - - records providing evidence of test cases executed on malicious - code protection mechanisms - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-03(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for malicious code protection - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-03(06)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - testing and verification of malicious code protection capabilities - - id: si-3.7 - class: SP800-53-enhancement - title: Nonsignature-based Detection - props: - - name: label - value: SI-03(07) - - name: sort-id - value: si-03.07 - - name: status - value: withdrawn - links: - - href: "#si-3" - rel: incorporated-into - - id: si-3.8 - class: SP800-53-enhancement - title: Detect Unauthorized Commands - params: - - id: si-03.08_odp.01 - props: - - name: legacy-identifier - value: si-3.8_prm_2 - - name: label - value: SI-03(08)_ODP[01] - label: unauthorized operating system commands - guidelines: - - prose: system hardware components for which unauthorized operating - system commands are to be detected through the kernel application - programming interface are defined; - - id: si-03.08_odp.02 - props: - - name: legacy-identifier - value: si-3.8_prm_1 - - name: label - value: SI-03(08)_ODP[02] - label: system hardware components - guidelines: - - prose: unauthorized operating system commands to be detected - are defined; - - id: si-03.08_odp.03 - props: - - name: legacy-identifier - value: si-3.8_prm_3 - - name: label - value: SI-03(08)_ODP[03] - select: - how-many: one-or-more - choice: - - issue a warning - - audit the command execution - - prevent the execution of the command - props: - - name: label - value: SI-03(08) - - name: sort-id - value: si-03.08 - links: - - href: "#si-3" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-3.8_smt - name: statement - parts: - - id: si-3.8_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect the following unauthorized operating system commands\ - \ through the kernel application programming interface on\ - \ {{ insert: param, si-03.08_odp.02 }}: {{ insert: param,\ - \ si-03.08_odp.01 }} ; and" - - id: si-3.8_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-03.08_odp.03 }}." - - id: si-3.8_gdn - name: guidance - prose: Detecting unauthorized commands can be applied to critical - interfaces other than kernel-based interfaces, including interfaces - with virtual machines and privileged applications. Unauthorized - operating system commands include commands for kernel functions - from system processes that are not trusted to initiate such commands - as well as commands for kernel functions that are suspicious even - though commands of that type are reasonable for processes to initiate. - Organizations can define the malicious commands to be detected - by a combination of command types, command classes, or specific - instances of commands. Organizations can also define hardware - components by component type, component, component location in - the network, or a combination thereof. Organizations may select - different actions for different types, classes, or instances of - malicious commands. - - name: objective - props: - - name: label - value: SI-03(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03(08)(a) - class: sp800-53A - prose: "{{ insert: param, si-03.08_odp.01 }} are detected through\ - \ the kernel application programming interface on {{ insert:\ - \ param, si-03.08_odp.02 }};" - - name: objective - props: - - name: label - value: SI-03(08)(b) - class: sp800-53A - prose: "{{ insert: param, si-03.08_odp.03 }} is/are performed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-03(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing malicious code protection - - - system design documentation - - - malicious code protection mechanisms - - - warning messages sent upon the detection of unauthorized operating - system command execution - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-03(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for malicious code protection - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-03(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Automated mechanisms supporting and/or implementing - malicious code protection capabilities - - - automated mechanisms supporting and/or implementing the detection - of unauthorized operating system commands through the kernel - application programming interface - - id: si-3.9 - class: SP800-53-enhancement - title: Authenticate Remote Commands - props: - - name: label - value: SI-03(09) - - name: sort-id - value: si-03.09 - - name: status - value: withdrawn - links: - - href: "#ac-17.10" - rel: moved-to - - id: si-3.10 - class: SP800-53-enhancement - title: Malicious Code Analysis - params: - - id: si-03.10_odp - props: - - name: legacy-identifier - value: si-3.10_prm_1 - - name: label - value: SI-03(10)_ODP - label: tools and techniques - guidelines: - - prose: tools and techniques to be employed to analyze the characteristics - and behavior of malicious code are defined; - props: - - name: label - value: SI-03(10) - - name: sort-id - value: si-03.10 - links: - - href: "#si-3" - rel: required - parts: - - id: si-3.10_smt - name: statement - parts: - - id: si-3.10_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ the following tools and techniques to analyze\ - \ the characteristics and behavior of malicious code: {{ insert:\ - \ param, si-03.10_odp }} ; and" - - id: si-3.10_smt.b - name: item - props: - - name: label - value: (b) - prose: Incorporate the results from malicious code analysis - into organizational incident response and flaw remediation - processes. - - id: si-3.10_gdn - name: guidance - prose: The use of malicious code analysis tools provides organizations - with a more in-depth understanding of adversary tradecraft (i.e., - tactics, techniques, and procedures) and the functionality and - purpose of specific instances of malicious code. Understanding - the characteristics of malicious code facilitates effective organizational - responses to current and future threats. Organizations can conduct - malicious code analyses by employing reverse engineering techniques - or by monitoring the behavior of executing code. - - name: objective - props: - - name: label - value: SI-03(10) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03(10)(a) - class: sp800-53A - prose: "{{ insert: param, si-03.10_odp }} are employed to analyze\ - \ the characteristics and behavior of malicious code;" - - name: objective - props: - - name: label - value: SI-03(10)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-03(10)(b)[01] - class: sp800-53A - prose: the results from malicious code analysis are incorporated - into organizational incident response processes; - - name: objective - props: - - name: label - value: SI-03(10)(b)[02] - class: sp800-53A - prose: the results from malicious code analysis are incorporated - into organizational flaw remediation processes. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-03(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing malicious code protection - - - procedures addressing incident response - - - procedures addressing flaw remediation - - - system design documentation - - - malicious code protection mechanisms, tools, and techniques - - - system configuration settings and associated documentation - - - results from malicious code analyses - - - records of flaw remediation events resulting from malicious - code analyses - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-03(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for malicious code protection - - - organizational personnel responsible for flaw remediation - - - organizational personnel responsible for incident response/management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-03(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational process for incident response - - - organizational process for flaw remediation - - - automated mechanisms supporting and/or implementing malicious - code protection capabilities - - - tools and techniques for the analysis of malicious code characteristics - and behavior - - id: si-4 - class: SP800-53 - title: System Monitoring - params: - - id: si-04_odp.01 - props: - - name: legacy-identifier - value: si-4_prm_1 - - name: label - value: SI-04_ODP[01] - label: monitoring objectives - guidelines: - - prose: monitoring objectives to detect attacks and indicators of - potential attacks on the system are defined; - - id: si-04_odp.02 - props: - - name: legacy-identifier - value: si-4_prm_2 - - name: label - value: SI-04_ODP[02] - label: techniques and methods - guidelines: - - prose: techniques and methods used to identify unauthorized use - of the system are defined; - - id: si-04_odp.03 - props: - - name: legacy-identifier - value: si-4_prm_3 - - name: label - value: SI-04_ODP[03] - label: system monitoring information - guidelines: - - prose: system monitoring information to be provided to personnel - or roles is defined; - - id: si-04_odp.04 - props: - - name: legacy-identifier - value: si-4_prm_4 - - name: label - value: SI-04_ODP[04] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom system monitoring information - is to be provided is/are defined; - - id: si-04_odp.05 - props: - - name: legacy-identifier - value: si-4_prm_5 - - name: label - value: SI-04_ODP[05] - select: - how-many: one-or-more - choice: - - as needed - - " {{ insert: param, si-04_odp.06 }} " - - id: si-04_odp.06 - props: - - name: legacy-identifier - value: si-4_prm_6 - - name: label - value: SI-04_ODP[06] - label: frequency - guidelines: - - prose: a frequency for providing system monitoring to personnel - or roles is defined (if selected); - props: - - name: label - value: SI-04 - - name: sort-id - value: si-04 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb" - rel: reference - - href: "#3dd249b0-f57d-44ba-a03e-c3eab1b835ff" - rel: reference - - href: "#5eee45d8-3313-4fdc-8d54-1742092bbdd6" - rel: reference - - href: "#25e3e57b-dc2f-4934-af9b-050b020c6f0e" - rel: reference - - href: "#067223d8-1ec7-45c5-b21b-c848da6de8fb" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#au-13" - rel: related - - href: "#au-14" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-10" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-31" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-36" - rel: related - - href: "#sc-37" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-6" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - parts: - - id: si-4_smt - name: statement - parts: - - id: si-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor the system to detect:" - parts: - - id: si-4_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "Attacks and indicators of potential attacks in accordance\ - \ with the following monitoring objectives: {{ insert: param,\ - \ si-04_odp.01 }} ; and" - - id: si-4_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Unauthorized local, network, and remote connections; - - id: si-4_smt.b - name: item - props: - - name: label - value: b. - prose: "Identify unauthorized use of the system through the following\ - \ techniques and methods: {{ insert: param, si-04_odp.02 }};" - - id: si-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Invoke internal monitoring capabilities or deploy monitoring\ - \ devices:" - parts: - - id: si-4_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: Strategically within the system to collect organization-determined - essential information; and - - id: si-4_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: At ad hoc locations within the system to track specific - types of transactions of interest to the organization; - - id: si-4_smt.d - name: item - props: - - name: label - value: d. - prose: Analyze detected events and anomalies; - - id: si-4_smt.e - name: item - props: - - name: label - value: e. - prose: Adjust the level of system monitoring activity when there - is a change in risk to organizational operations and assets, individuals, - other organizations, or the Nation; - - id: si-4_smt.f - name: item - props: - - name: label - value: f. - prose: Obtain legal opinion regarding system monitoring activities; - and - - id: si-4_smt.g - name: item - props: - - name: label - value: g. - prose: "Provide {{ insert: param, si-04_odp.03 }} to {{ insert:\ - \ param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - - id: si-4_gdn - name: guidance - prose: >- - System monitoring includes external and internal monitoring. - External monitoring includes the observation of events occurring - at external interfaces to the system. Internal monitoring - includes the observation of events occurring within the system. - Organizations monitor systems by observing audit activities in - real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The - monitoring objectives guide and inform the determination of the - events. System monitoring capabilities are achieved through a - variety of tools and techniques, including intrusion detection - and prevention systems, malicious code protection software, - scanning tools, audit record monitoring software, and network - monitoring software. - - - Depending on the security architecture, the distribution and configuration - of monitoring devices may impact throughput at key internal and external - boundaries as well as at other locations across a network due to the - introduction of network throughput latency. If throughput management - is needed, such devices are strategically located and deployed as - part of an established organization-wide security architecture. Strategic - locations for monitoring devices include selected perimeter locations - and near key servers and server farms that support critical applications. - Monitoring devices are typically employed at the managed interfaces - associated with controls [SC-7](#sc-7) and [AC-17](#ac-17) . The information - collected is a function of the organizational monitoring objectives - and the capability of systems to support such objectives. Specific - types of transactions of interest include Hypertext Transfer Protocol - (HTTP) traffic that bypasses HTTP proxies. System monitoring is an - integral part of organizational continuous monitoring and incident - response programs, and output from system monitoring serves as input - to those programs. System monitoring requirements, including the need - for specific types of system monitoring, may be referenced in other - controls (e.g., [AC-2g](#ac-2_smt.g), [AC-2(7)](#ac-2.7), [AC-2(12)(a)](#ac-2.12_smt.a), - [AC-17(1)](#ac-17.1), [AU-13](#au-13), [AU-13(1)](#au-13.1), [AU-13(2)](#au-13.2), - [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [MA-3a](#ma-3_smt.a), - [MA-4a](#ma-4_smt.a), [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), - [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) - ). Adjustments to levels of system monitoring are based on law enforcement - information, intelligence information, or other sources of information. - The legality of system monitoring activities is based on applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - name: objective - props: - - name: label - value: SI-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04a.01 - class: sp800-53A - prose: "the system is monitored to detect attacks and indicators\ - \ of potential attacks in accordance with {{ insert: param,\ - \ si-04_odp.01 }};" - - name: objective - props: - - name: label - value: SI-04a.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04a.02[01] - class: sp800-53A - prose: the system is monitored to detect unauthorized local - connections; - - name: objective - props: - - name: label - value: SI-04a.02[02] - class: sp800-53A - prose: the system is monitored to detect unauthorized network - connections; - - name: objective - props: - - name: label - value: SI-04a.02[03] - class: sp800-53A - prose: the system is monitored to detect unauthorized remote - connections; - - name: objective - props: - - name: label - value: SI-04b. - class: sp800-53A - prose: "unauthorized use of the system is identified through {{\ - \ insert: param, si-04_odp.02 }};" - - name: objective - props: - - name: label - value: SI-04c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04c.01 - class: sp800-53A - prose: internal monitoring capabilities are invoked or monitoring - devices are deployed strategically within the system to collect - organization-determined essential information; - - name: objective - props: - - name: label - value: SI-04c.02 - class: sp800-53A - prose: internal monitoring capabilities are invoked or monitoring - devices are deployed at ad hoc locations within the system - to track specific types of transactions of interest to the - organization; - - name: objective - props: - - name: label - value: SI-04d. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04d.[01] - class: sp800-53A - prose: detected events are analyzed; - - name: objective - props: - - name: label - value: SI-04d.[02] - class: sp800-53A - prose: detected anomalies are analyzed; - - name: objective - props: - - name: label - value: SI-04e. - class: sp800-53A - prose: the level of system monitoring activity is adjusted when - there is a change in risk to organizational operations and assets, - individuals, other organizations, or the Nation; - - name: objective - props: - - name: label - value: SI-04f. - class: sp800-53A - prose: a legal opinion regarding system monitoring activities is - obtained; - - name: objective - props: - - name: label - value: SI-04g. - class: sp800-53A - prose: "{{ insert: param, si-04_odp.03 }} is provided to {{ insert:\ - \ param, si-04_odp.04 }} {{ insert: param, si-04_odp.05 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - continuous monitoring strategy - - - facility diagram/layout - - - system design documentation - - - system monitoring tools and techniques documentation - - - locations within the system where monitoring devices are deployed - - - system configuration settings and associated documentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing system monitoring - capabilities - controls: - - id: si-4.1 - class: SP800-53-enhancement - title: System-wide Intrusion Detection System - props: - - name: label - value: SI-04(01) - - name: sort-id - value: si-04.01 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.1_smt - name: statement - prose: Connect and configure individual intrusion detection tools - into a system-wide intrusion detection system. - - id: si-4.1_gdn - name: guidance - prose: Linking individual intrusion detection tools into a system-wide - intrusion detection system provides additional coverage and effective - detection capabilities. The information contained in one intrusion - detection tool can be shared widely across the organization, making - the system-wide detection capability more robust and powerful. - - name: objective - props: - - name: label - value: SI-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(01)[01] - class: sp800-53A - prose: individual intrusion detection tools are connected to - a system-wide intrusion detection system; - - name: objective - props: - - name: label - value: SI-04(01)[02] - class: sp800-53A - prose: individual intrusion detection tools are configured into - a system-wide intrusion detection system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection capabilities - - id: si-4.2 - class: SP800-53-enhancement - title: Automated Tools and Mechanisms for Real-time Analysis - props: - - name: label - value: SI-04(02) - - name: sort-id - value: si-04.02 - links: - - href: "#si-4" - rel: required - - href: "#pm-23" - rel: related - - href: "#pm-25" - rel: related - parts: - - id: si-4.2_smt - name: statement - prose: Employ automated tools and mechanisms to support near real-time - analysis of events. - - id: si-4.2_gdn - name: guidance - prose: Automated tools and mechanisms include host-based, network-based, - transport-based, or storage-based event monitoring tools and mechanisms - or security information and event management (SIEM) technologies - that provide real-time analysis of alerts and notifications generated - by organizational systems. Automated monitoring techniques can - create unintended privacy risks because automated controls may - connect to external or otherwise unrelated systems. The matching - of records between these systems may create linkages with unintended - consequences. Organizations assess and document these risks in - their privacy impact assessment and make determinations that are - in alignment with their privacy program plan. - - name: objective - props: - - name: label - value: SI-04(02) - class: sp800-53A - prose: automated tools and mechanisms are employed to support a - near real-time analysis of events. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - privacy program plan - - - privacy impact assessment - - - privacy risk management documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for incident response/management - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the near real-time analysis - of events - - - organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing system - monitoring - - - automated mechanisms/tools supporting and/or implementing - an analysis of events - - id: si-4.3 - class: SP800-53-enhancement - title: Automated Tool and Mechanism Integration - props: - - name: label - value: SI-04(03) - - name: sort-id - value: si-04.03 - links: - - href: "#si-4" - rel: required - - href: "#pm-23" - rel: related - - href: "#pm-25" - rel: related - parts: - - id: si-4.3_smt - name: statement - prose: Employ automated tools and mechanisms to integrate intrusion - detection tools and mechanisms into access control and flow control - mechanisms. - - id: si-4.3_gdn - name: guidance - prose: Using automated tools and mechanisms to integrate intrusion - detection tools and mechanisms into access and flow control mechanisms - facilitates a rapid response to attacks by enabling the reconfiguration - of mechanisms in support of attack isolation and elimination. - - name: objective - props: - - name: label - value: SI-04(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(03)[01] - class: sp800-53A - prose: automated tools and mechanisms are employed to integrate - intrusion detection tools and mechanisms into access control - mechanisms; - - name: objective - props: - - name: label - value: SI-04(03)[02] - class: sp800-53A - prose: automated tools and mechanisms are employed to integrate - intrusion detection tools and mechanisms into flow control - mechanisms. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - access control policy and procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing the intrusion - detection and system monitoring capability - - - automated mechanisms and tools supporting and/or implementing - the access and flow control capabilities - - - automated mechanisms and tools supporting and/or implementing - the integration of intrusion detection tools into the access - and flow control mechanisms - - id: si-4.4 - class: SP800-53-enhancement - title: Inbound and Outbound Communications Traffic - params: - - id: si-4.4_prm_1 - props: - - name: aggregates - value: si-04.04_odp.01 - label: organization-defined frequency - - id: si-4.4_prm_2 - props: - - name: aggregates - value: si-04.04_odp.02 - label: organization-defined unusual or unauthorized activities or - conditions - - id: si-04.04_odp.01 - props: - - name: label - value: SI-04(04)_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to monitor inbound communications - traffic for unusual or unauthorized activities or conditions - is defined; - - id: si-04.04_odp.02 - props: - - name: label - value: SI-04(04)_ODP[02] - label: unusual or unauthorized activities or conditions - guidelines: - - prose: unusual or unauthorized activities or conditions that - are to be monitored in inbound communications traffic are - defined; - - id: si-04.04_odp.03 - props: - - name: label - value: SI-04(04)_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to monitor outbound communications - traffic for unusual or unauthorized activities or conditions - is defined; - - id: si-04.04_odp.04 - props: - - name: label - value: SI-04(04)_ODP[04] - label: unusual or unauthorized activities or conditions - guidelines: - - prose: unusual or unauthorized activities or conditions that - are to be monitored in outbound communications traffic are - defined; - props: - - name: label - value: SI-04(04) - - name: sort-id - value: si-04.04 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.4_smt - name: statement - parts: - - id: si-4.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Determine criteria for unusual or unauthorized activities - or conditions for inbound and outbound communications traffic; - - id: si-4.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Monitor inbound and outbound communications traffic\ - \ {{ insert: param, si-4.4_prm_1 }} for {{ insert: param,\ - \ si-4.4_prm_2 }}." - - id: si-4.4_gdn - name: guidance - prose: Unusual or unauthorized activities or conditions related - to system inbound and outbound communications traffic includes - internal traffic that indicates the presence of malicious code - or unauthorized use of legitimate code or credentials within organizational - systems or propagating among system components, signaling to external - systems, and the unauthorized exporting of information. Evidence - of malicious code or unauthorized use of legitimate code or credentials - is used to identify potentially compromised systems or system - components. - - name: objective - props: - - name: label - value: SI-04(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(04)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(04)(a)[01] - class: sp800-53A - prose: criteria for unusual or unauthorized activities or - conditions for inbound communications traffic are defined; - - name: objective - props: - - name: label - value: SI-04(04)(a)[02] - class: sp800-53A - prose: criteria for unusual or unauthorized activities or - conditions for outbound communications traffic are defined; - - name: objective - props: - - name: label - value: SI-04(04)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(04)(b)[01] - class: sp800-53A - prose: "inbound communications traffic is monitored {{ insert:\ - \ param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02\ - \ }};" - - name: objective - props: - - name: label - value: SI-04(04)(b)[02] - class: sp800-53A - prose: "outbound communications traffic is monitored {{\ - \ insert: param, si-04.04_odp.03 }} for {{ insert: param,\ - \ si-04.04_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system protocols - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the monitoring - of inbound and outbound communications traffic - - id: si-4.5 - class: SP800-53-enhancement - title: System-generated Alerts - params: - - id: si-04.05_odp.01 - props: - - name: legacy-identifier - value: si-4.5_prm_1 - - name: label - value: SI-04(05)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted when indications of - compromise or potential compromise occur is/are defined; - - id: si-04.05_odp.02 - props: - - name: legacy-identifier - value: si-4.5_prm_2 - - name: label - value: SI-04(05)_ODP[02] - label: compromise indicators - guidelines: - - prose: compromise indicators are defined; - props: - - name: label - value: SI-04(05) - - name: sort-id - value: si-04.05 - links: - - href: "#si-4" - rel: required - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: si-4.5_smt - name: statement - prose: "Alert {{ insert: param, si-04.05_odp.01 }} when the following\ - \ system-generated indications of compromise or potential compromise\ - \ occur: {{ insert: param, si-04.05_odp.02 }}." - - id: si-4.5_gdn - name: guidance - prose: Alerts may be generated from a variety of sources, including - audit records or inputs from malicious code protection mechanisms, - intrusion detection or prevention mechanisms, or boundary protection - devices such as firewalls, gateways, and routers. Alerts can be - automated and may be transmitted telephonically, by electronic - mail messages, or by text messaging. Organizational personnel - on the alert notification list can include system administrators, - mission or business owners, system owners, information owners/stewards, - senior agency information security officers, senior agency officials - for privacy, system security officers, or privacy officers. In - contrast to alerts generated by the system, alerts generated by - organizations in [SI-4(12)](#si-4.12) focus on information sources - external to the system, such as suspicious activity reports and - reports on potential insider threats. - - name: objective - props: - - name: label - value: SI-04(05) - class: sp800-53A - prose: "{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated\ - \ {{ insert: param, si-04.05_odp.02 }} occur." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - list of personnel selected to receive alerts - - - documentation of alerts generated based on compromise indicators - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel on the system alert notification - list - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing alerts - for compromise indicators - - id: si-4.6 - class: SP800-53-enhancement - title: Restrict Non-privileged Users - props: - - name: label - value: SI-04(06) - - name: sort-id - value: si-04.06 - - name: status - value: withdrawn - links: - - href: "#ac-6.10" - rel: incorporated-into - - id: si-4.7 - class: SP800-53-enhancement - title: Automated Response to Suspicious Events - params: - - id: si-04.07_odp.01 - props: - - name: legacy-identifier - value: si-4.7_prm_1 - - name: label - value: SI-04(07)_ODP[01] - label: incident response personnel - guidelines: - - prose: incident response personnel (identified by name and/or - by role) to be notified of detected suspicious events is/are - defined; - - id: si-04.07_odp.02 - props: - - name: legacy-identifier - value: si-4.7_prm_2 - - name: label - value: SI-04(07)_ODP[02] - label: least-disruptive actions - guidelines: - - prose: least-disruptive actions to terminate suspicious events - are defined; - props: - - name: label - value: SI-04(07) - - name: sort-id - value: si-04.07 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.7_smt - name: statement - parts: - - id: si-4.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Notify {{ insert: param, si-04.07_odp.01 }} of detected\ - \ suspicious events; and" - - id: si-4.7_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions upon detection: {{ insert:\ - \ param, si-04.07_odp.02 }}." - - id: si-4.7_gdn - name: guidance - prose: Least-disruptive actions include initiating requests for - human responses. - - name: objective - props: - - name: label - value: SI-04(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(07)(a) - class: sp800-53A - prose: "{{ insert: param, si-04.07_odp.01 }} are notified of\ - \ detected suspicious events;" - - name: objective - props: - - name: label - value: SI-04(07)(b) - class: sp800-53A - prose: "{{ insert: param, si-04.07_odp.02 }} are taken upon\ - \ the detection of suspicious events." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - alerts and notifications generated based on detected suspicious - events - - - records of actions taken to terminate suspicious events - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developers - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing notifications - to incident response personnel - - - automated mechanisms supporting and/or implementing actions - to terminate suspicious events - - id: si-4.8 - class: SP800-53-enhancement - title: Protection of Monitoring Information - props: - - name: label - value: SI-04(08) - - name: sort-id - value: si-04.08 - - name: status - value: withdrawn - links: - - href: "#si-4" - rel: incorporated-into - - id: si-4.9 - class: SP800-53-enhancement - title: Testing of Monitoring Tools and Mechanisms - params: - - id: si-04.09_odp - props: - - name: legacy-identifier - value: si-4.9_prm_1 - - name: label - value: SI-04(09)_ODP - label: frequency - guidelines: - - prose: a frequency at which to test intrusion-monitoring tools - and mechanisms is defined; - props: - - name: label - value: SI-04(09) - - name: sort-id - value: si-04.09 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.9_smt - name: statement - prose: "Test intrusion-monitoring tools and mechanisms {{ insert:\ - \ param, si-04.09_odp }}." - - id: si-4.9_gdn - name: guidance - prose: Testing intrusion-monitoring tools and mechanisms is necessary - to ensure that the tools and mechanisms are operating correctly - and continue to satisfy the monitoring objectives of organizations. - The frequency and depth of testing depends on the types of tools - and mechanisms used by organizations and the methods of deployment. - - name: objective - props: - - name: label - value: SI-04(09) - class: sp800-53A - prose: "intrusion-monitoring tools and mechanisms are tested {{\ - \ insert: param, si-04.09_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing the testing of system monitoring tools - and techniques - - - documentation providing evidence of testing intrusion-monitoring - tools - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the testing - of intrusion-monitoring tools - - id: si-4.10 - class: SP800-53-enhancement - title: Visibility of Encrypted Communications - params: - - id: si-04.10_odp.01 - props: - - name: legacy-identifier - value: si-4.10_prm_1 - - name: label - value: SI-04(10)_ODP[01] - label: encrypted communications traffic - guidelines: - - prose: encrypted communications traffic visible to system monitoring - tools and mechanisms is defined; - - id: si-04.10_odp.02 - props: - - name: legacy-identifier - value: si-4.10_prm_2 - - name: label - value: SI-04(10)_ODP[02] - label: system monitoring tools and mechanisms - guidelines: - - prose: system monitoring tools and mechanisms to be provided - access to encrypted communications traffic are defined; - props: - - name: label - value: SI-04(10) - - name: sort-id - value: si-04.10 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.10_smt - name: statement - prose: "Make provisions so that {{ insert: param, si-04.10_odp.01\ - \ }} is visible to {{ insert: param, si-04.10_odp.02 }}." - - id: si-4.10_gdn - name: guidance - prose: Organizations balance the need to encrypt communications - traffic to protect data confidentiality with the need to maintain - visibility into such traffic from a monitoring perspective. Organizations - determine whether the visibility requirement applies to internal - encrypted traffic, encrypted traffic intended for external destinations, - or a subset of the traffic types. - - name: objective - props: - - name: label - value: SI-04(10) - class: sp800-53A - prose: "{{ insert: param, si-04.10_odp.01 }} is visible to {{ insert:\ - \ param, si-04.10_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system protocols - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the visibility - of encrypted communications traffic to monitoring tools - - id: si-4.11 - class: SP800-53-enhancement - title: Analyze Communications Traffic Anomalies - params: - - id: si-04.11_odp - props: - - name: legacy-identifier - value: si-4.11_prm_1 - - name: label - value: SI-04(11)_ODP - label: interior points - guidelines: - - prose: interior points within the system where communications - traffic is to be analyzed are defined; - props: - - name: label - value: SI-04(11) - - name: sort-id - value: si-04.11 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.11_smt - name: statement - prose: "Analyze outbound communications traffic at the external\ - \ interfaces to the system and selected {{ insert: param, si-04.11_odp\ - \ }} to discover anomalies." - - id: si-4.11_gdn - name: guidance - prose: Organization-defined interior points include subnetworks - and subsystems. Anomalies within organizational systems include - large file transfers, long-time persistent connections, attempts - to access information from unexpected locations, the use of unusual - protocols and ports, the use of unmonitored network protocols - (e.g., IPv6 usage during IPv4 transition), and attempted communications - with suspected malicious external addresses. - - name: objective - props: - - name: label - value: SI-04(11) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(11)[01] - class: sp800-53A - prose: outbound communications traffic at the external interfaces - to the system is analyzed to discover anomalies; - - name: objective - props: - - name: label - value: SI-04(11)[02] - class: sp800-53A - prose: "outbound communications traffic at {{ insert: param,\ - \ si-04.11_odp }} is analyzed to discover anomalies." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(11)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - network diagram - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(11)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(11)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the analysis - of communications traffic - - id: si-4.12 - class: SP800-53-enhancement - title: Automated Organization-generated Alerts - params: - - id: si-04.12_odp.01 - props: - - name: legacy-identifier - value: si-4.12_prm_1 - - name: label - value: SI-04(12)_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted when indications of - inappropriate or unusual activity with security or privacy - implications occur is/are defined; - - id: si-04.12_odp.02 - props: - - name: legacy-identifier - value: si-4.12_prm_2 - - name: label - value: SI-04(12)_ODP[02] - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to alert personnel or roles - are defined; - - id: si-04.12_odp.03 - props: - - name: legacy-identifier - value: si-4.12_prm_3 - - name: label - value: SI-04(12)_ODP[03] - label: activities that trigger alerts - guidelines: - - prose: activities that trigger alerts to personnel or are defined; - props: - - name: label - value: SI-04(12) - - name: sort-id - value: si-04.12 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.12_smt - name: statement - prose: "Alert {{ insert: param, si-04.12_odp.01 }} using {{ insert:\ - \ param, si-04.12_odp.02 }} when the following indications of\ - \ inappropriate or unusual activities with security or privacy\ - \ implications occur: {{ insert: param, si-04.12_odp.03 }}." - - id: si-4.12_gdn - name: guidance - prose: Organizational personnel on the system alert notification - list include system administrators, mission or business owners, - system owners, senior agency information security officer, senior - agency official for privacy, system security officers, or privacy - officers. Automated organization-generated alerts are the security - alerts generated by organizations and transmitted using automated - means. The sources for organization-generated alerts are focused - on other entities such as suspicious activity reports and reports - on potential insider threats. In contrast to alerts generated - by the organization, alerts generated by the system in [SI-4(5)](#si-4.5) - focus on information sources that are internal to the systems, - such as audit records. - - name: objective - props: - - name: label - value: SI-04(12) - class: sp800-53A - prose: "{{ insert: param, si-04.12_odp.01 }} is/are alerted using\ - \ {{ insert: param, si-04.12_odp.02 }} when {{ insert: param,\ - \ si-04.12_odp.03 }} indicate inappropriate or unusual activities\ - \ with security or privacy implications." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - list of inappropriate or unusual activities with security - and privacy implications that trigger alerts - - - suspicious activity reports - - - alerts provided to security and privacy personnel - - - system monitoring logs or records - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developers - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing automated - alerts to security personnel - - id: si-4.13 - class: SP800-53-enhancement - title: Analyze Traffic and Event Patterns - props: - - name: label - value: SI-04(13) - - name: sort-id - value: si-04.13 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.13_smt - name: statement - parts: - - id: si-4.13_smt.a - name: item - props: - - name: label - value: (a) - prose: Analyze communications traffic and event patterns for - the system; - - id: si-4.13_smt.b - name: item - props: - - name: label - value: (b) - prose: Develop profiles representing common traffic and event - patterns; and - - id: si-4.13_smt.c - name: item - props: - - name: label - value: (c) - prose: Use the traffic and event profiles in tuning system-monitoring - devices. - - id: si-4.13_gdn - name: guidance - prose: Identifying and understanding common communications traffic - and event patterns help organizations provide useful information - to system monitoring devices to more effectively identify suspicious - or anomalous traffic and events when they occur. Such information - can help reduce the number of false positives and false negatives - during system monitoring. - - name: objective - props: - - name: label - value: SI-04(13) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(13)(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(13)(a)[01] - class: sp800-53A - prose: communications traffic for the system is analyzed; - - name: objective - props: - - name: label - value: SI-04(13)(a)[02] - class: sp800-53A - prose: event patterns for the system are analyzed; - - name: objective - props: - - name: label - value: SI-04(13)(b) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(13)(b)[01] - class: sp800-53A - prose: profiles representing common traffic are developed; - - name: objective - props: - - name: label - value: SI-04(13)(b)[02] - class: sp800-53A - prose: profiles representing event patterns are developed; - - name: objective - props: - - name: label - value: SI-04(13)(c) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(13)(c)[01] - class: sp800-53A - prose: traffic profiles are used in tuning system-monitoring - devices; - - name: objective - props: - - name: label - value: SI-04(13)(c)[02] - class: sp800-53A - prose: event profiles are used in tuning system-monitoring - devices. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(13)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - list of profiles representing common traffic patterns and/or - events - - - system protocols documentation - - - list of acceptable thresholds for false positives and false - negatives - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(13)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(13)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the analysis - of communications traffic and event patterns - - id: si-4.14 - class: SP800-53-enhancement - title: Wireless Intrusion Detection - props: - - name: label - value: SI-04(14) - - name: sort-id - value: si-04.14 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - - href: "#ia-3" - rel: related - parts: - - id: si-4.14_smt - name: statement - prose: Employ a wireless intrusion detection system to identify - rogue wireless devices and to detect attack attempts and potential - compromises or breaches to the system. - - id: si-4.14_gdn - name: guidance - prose: Wireless signals may radiate beyond organizational facilities. - Organizations proactively search for unauthorized wireless connections, - including the conduct of thorough scans for unauthorized wireless - access points. Wireless scans are not limited to those areas within - facilities containing systems but also include areas outside of - facilities to verify that unauthorized wireless access points - are not connected to organizational systems. - - name: objective - props: - - name: label - value: SI-04(14) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(14)[01] - class: sp800-53A - prose: a wireless intrusion detection system is employed to - identify rogue wireless devices; - - name: objective - props: - - name: label - value: SI-04(14)[02] - class: sp800-53A - prose: a wireless intrusion detection system is employed to - detect attack attempts on the system; - - name: objective - props: - - name: label - value: SI-04(14)[03] - class: sp800-53A - prose: a wireless intrusion detection system is employed to - detect potential compromises or breaches to the system. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(14)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system protocols - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(14)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(14)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection - - - automated mechanisms supporting and/or implementing a wireless - intrusion detection capability - - id: si-4.15 - class: SP800-53-enhancement - title: Wireless to Wireline Communications - props: - - name: label - value: SI-04(15) - - name: sort-id - value: si-04.15 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - parts: - - id: si-4.15_smt - name: statement - prose: Employ an intrusion detection system to monitor wireless - communications traffic as the traffic passes from wireless to - wireline networks. - - id: si-4.15_gdn - name: guidance - prose: Wireless networks are inherently less secure than wired networks. - For example, wireless networks are more susceptible to eavesdroppers - or traffic analysis than wireline networks. When wireless to wireline - communications exist, the wireless network could become a port - of entry into the wired network. Given the greater facility of - unauthorized network access via wireless access points compared - to unauthorized wired network access from within the physical - boundaries of the system, additional monitoring of transitioning - traffic between wireless and wired networks may be necessary to - detect malicious activities. Employing intrusion detection systems - to monitor wireless communications traffic helps to ensure that - the traffic does not contain malicious code prior to transitioning - to the wireline network. - - name: objective - props: - - name: label - value: SI-04(15) - class: sp800-53A - prose: an intrusion detection system is employed to monitor wireless - communications traffic as the traffic passes from wireless to - wireline networks. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system protocols documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(15)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing a wireless - intrusion detection capability - - id: si-4.16 - class: SP800-53-enhancement - title: Correlate Monitoring Information - props: - - name: label - value: SI-04(16) - - name: sort-id - value: si-04.16 - links: - - href: "#si-4" - rel: required - - href: "#au-6" - rel: related - parts: - - id: si-4.16_smt - name: statement - prose: Correlate information from monitoring tools and mechanisms - employed throughout the system. - - id: si-4.16_gdn - name: guidance - prose: Correlating information from different system monitoring - tools and mechanisms can provide a more comprehensive view of - system activity. Correlating system monitoring tools and mechanisms - that typically work in isolation—including malicious code protection - software, host monitoring, and network monitoring—can provide - an organization-wide monitoring view and may reveal otherwise - unseen attack patterns. Understanding the capabilities and limitations - of diverse monitoring tools and mechanisms and how to maximize - the use of information generated by those tools and mechanisms - can help organizations develop, operate, and maintain effective - monitoring programs. The correlation of monitoring information - is especially important during the transition from older to newer - technologies (e.g., transitioning from IPv4 to IPv6 network protocols). - - name: objective - props: - - name: label - value: SI-04(16) - class: sp800-53A - prose: information from monitoring tools and mechanisms employed - throughout the system is correlated. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(16)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - event correlation logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(16)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(16)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the correlation - of information from monitoring tools - - id: si-4.17 - class: SP800-53-enhancement - title: Integrated Situational Awareness - props: - - name: label - value: SI-04(17) - - name: sort-id - value: si-04.17 - links: - - href: "#si-4" - rel: required - - href: "#au-16" - rel: related - - href: "#pe-6" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: si-4.17_smt - name: statement - prose: Correlate information from monitoring physical, cyber, and - supply chain activities to achieve integrated, organization-wide - situational awareness. - - id: si-4.17_gdn - name: guidance - prose: Correlating monitoring information from a more diverse set - of information sources helps to achieve integrated situational - awareness. Integrated situational awareness from a combination - of physical, cyber, and supply chain monitoring activities enhances - the capability of organizations to more quickly detect sophisticated - attacks and investigate the methods and techniques employed to - carry out such attacks. In contrast to [SI-4(16)](#si-4.16) , - which correlates the various cyber monitoring information, integrated - situational awareness is intended to correlate monitoring beyond - the cyber domain. Correlation of monitoring information from multiple - activities may help reveal attacks on organizations that are operating - across multiple attack vectors. - - name: objective - props: - - name: label - value: SI-04(17) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(17)[01] - class: sp800-53A - prose: information from monitoring physical activities is correlated - to achieve integrated, organization-wide situational awareness - - name: objective - props: - - name: label - value: SI-04(17)[02] - class: sp800-53A - prose: information from monitoring cyber activities is correlated - to achieve integrated, organization-wide situational awareness; - - name: objective - props: - - name: label - value: SI-04(17)[03] - class: sp800-53A - prose: information from monitoring supply chain activities is - correlated to achieve integrated, organization-wide situational - awareness. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - event correlation logs or records resulting from physical, - cyber, and supply chain activities - - - system audit records - - - system security plan - - - supply chain risk management plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(17)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing the correlation - of information from monitoring tools - - id: si-4.18 - class: SP800-53-enhancement - title: Analyze Traffic and Covert Exfiltration - params: - - id: si-04.18_odp - props: - - name: legacy-identifier - value: si-4.18_prm_1 - - name: label - value: SI-04(18)_ODP - label: interior points - guidelines: - - prose: interior points within the system where communications - traffic is to be analyzed are defined; - props: - - name: label - value: SI-04(18) - - name: sort-id - value: si-04.18 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.18_smt - name: statement - prose: "Analyze outbound communications traffic at external interfaces\ - \ to the system and at the following interior points to detect\ - \ covert exfiltration of information: {{ insert: param, si-04.18_odp\ - \ }}." - - id: si-4.18_gdn - name: guidance - prose: Organization-defined interior points include subnetworks - and subsystems. Covert means that can be used to exfiltrate information - include steganography. - - name: objective - props: - - name: label - value: SI-04(18) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(18)[01] - class: sp800-53A - prose: outbound communications traffic is analyzed at interfaces - external to the system to detect covert exfiltration of information. - - name: objective - props: - - name: label - value: SI-04(18)[02] - class: sp800-53A - prose: "outbound communications traffic is analyzed at {{ insert:\ - \ param, si-04.18_odp }} to detect covert exfiltration of\ - \ information." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(18)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - network diagram - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(18)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - organizational personnel responsible for the intrusion detection - system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(18)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for intrusion detection and - system monitoring - - - automated mechanisms supporting and/or implementing intrusion - detection and system monitoring capabilities - - - automated mechanisms supporting and/or implementing an analysis - of outbound communications traffic - - id: si-4.19 - class: SP800-53-enhancement - title: Risk for Individuals - params: - - id: si-04.19_odp.01 - props: - - name: legacy-identifier - value: si-4.19_prm_1 - - name: label - value: SI-04(19)_ODP[01] - label: additional monitoring - guidelines: - - prose: additional monitoring of individuals who have been identified - as posing an increased level of risk is defined; - - id: si-04.19_odp.02 - props: - - name: legacy-identifier - value: si-4.19_prm_2 - - name: label - value: SI-04(19)_ODP[02] - label: sources - guidelines: - - prose: sources that identify individuals who pose an increased - level of risk are defined; - props: - - name: label - value: SI-04(19) - - name: sort-id - value: si-04.19 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.19_smt - name: statement - prose: "Implement {{ insert: param, si-04.19_odp.01 }} of individuals\ - \ who have been identified by {{ insert: param, si-04.19_odp.02\ - \ }} as posing an increased level of risk." - - id: si-4.19_gdn - name: guidance - prose: Indications of increased risk from individuals can be obtained - from different sources, including personnel records, intelligence - agencies, law enforcement organizations, and other sources. The - monitoring of individuals is coordinated with the management, - legal, security, privacy, and human resource officials who conduct - such monitoring. Monitoring is conducted in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - name: objective - props: - - name: label - value: SI-04(19) - class: sp800-53A - prose: "{{ insert: param, si-04.19_odp.01 }} is implemented on individuals\ - \ who have been identified by {{ insert: param, si-04.19_odp.02\ - \ }} as posing an increased level of risk." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(19)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(19)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - - legal counsel - - - human resource officials - - - organizational personnel with personnel security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(19)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - id: si-4.20 - class: SP800-53-enhancement - title: Privileged Users - params: - - id: si-4.20_prm_1 - props: - - name: aggregates - value: si-04.20_odp - label: organization-defined additional monitoring - - id: si-04.20_odp - props: - - name: label - value: SI-04(20)_ODP - label: additional monitoring - guidelines: - - prose: additional monitoring of privileged users is defined; - props: - - name: label - value: SI-04(20) - - name: sort-id - value: si-04.20 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - parts: - - id: si-4.20_smt - name: statement - prose: "Implement the following additional monitoring of privileged\ - \ users: {{ insert: param, si-4.20_prm_1 }}." - - id: si-4.20_gdn - name: guidance - prose: Privileged users have access to more sensitive information, - including security-related information, than the general user - population. Access to such information means that privileged users - can potentially do greater damage to systems and organizations - than non-privileged users. Therefore, implementing additional - monitoring on privileged users helps to ensure that organizations - can identify malicious activity at the earliest possible time - and take appropriate actions. - - name: objective - props: - - name: label - value: SI-04(20) - class: sp800-53A - prose: "{{ insert: param, si-04.20_odp }} of privileged users is\ - \ implemented." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(20)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(20)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(20)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - id: si-4.21 - class: SP800-53-enhancement - title: Probationary Periods - params: - - id: si-4.21_prm_1 - props: - - name: aggregates - value: si-04.21_odp.01 - label: organization-defined probationary period - - id: si-04.21_odp.01 - props: - - name: label - value: SI-04(21)_ODP[01] - label: additional monitoring - guidelines: - - prose: additional monitoring to be implemented on individuals - during probationary periods is defined; - - id: si-04.21_odp.02 - props: - - name: legacy-identifier - value: si-4.21_prm_2 - - name: label - value: SI-04(21)_ODP[02] - label: probationary period - guidelines: - - prose: the probationary period of individuals is defined; - props: - - name: label - value: SI-04(21) - - name: sort-id - value: si-04.21 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - parts: - - id: si-4.21_smt - name: statement - prose: "Implement the following additional monitoring of individuals\ - \ during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param,\ - \ si-04.21_odp.02 }}." - - id: si-4.21_gdn - name: guidance - prose: During probationary periods, employees do not have permanent - employment status within organizations. Without such status or - access to information that is resident on the system, additional - monitoring can help identify any potentially malicious activity - or inappropriate behavior. - - name: objective - props: - - name: label - value: SI-04(21) - class: sp800-53A - prose: "{{ insert: param, si-04.21_odp.01 }} of individuals is implemented\ - \ during {{ insert: param, si-04.21_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(21)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(21)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(21)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - id: si-4.22 - class: SP800-53-enhancement - title: Unauthorized Network Services - params: - - id: si-04.22_odp.01 - props: - - name: legacy-identifier - value: si-4.22_prm_1 - - name: label - value: SI-04(22)_ODP[01] - label: authorization or approval processes - guidelines: - - prose: authorization or approval processes for network services - are defined; - - id: si-04.22_odp.02 - props: - - name: legacy-identifier - value: si-4.22_prm_2 - - name: label - value: SI-04(22)_ODP[02] - select: - how-many: one-or-more - choice: - - audit - - "alert{{ insert: param, si-04.22_odp.03 }} " - - id: si-04.22_odp.03 - props: - - name: legacy-identifier - value: si-4.22_prm_3 - - name: label - value: SI-04(22)_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted upon the detection of - network services that have not been authorized or approved - by authorization or approval processes is/are defined (if - selected); - props: - - name: label - value: SI-04(22) - - name: sort-id - value: si-04.22 - links: - - href: "#si-4" - rel: required - - href: "#cm-7" - rel: related - parts: - - id: si-4.22_smt - name: statement - parts: - - id: si-4.22_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect network services that have not been authorized\ - \ or approved by {{ insert: param, si-04.22_odp.01 }} ; and" - - id: si-4.22_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-04.22_odp.02 }} when detected." - - id: si-4.22_gdn - name: guidance - prose: Unauthorized or unapproved network services include services - in service-oriented architectures that lack organizational verification - or validation and may therefore be unreliable or serve as malicious - rogues for valid services. - - name: objective - props: - - name: label - value: SI-04(22) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(22)(a) - class: sp800-53A - prose: "network services that have not been authorized or approved\ - \ by {{ insert: param, si-04.22_odp.01 }} are detected;" - - name: objective - props: - - name: label - value: SI-04(22)(b) - class: sp800-53A - prose: "{{ insert: param, si-04.22_odp.02 }} is/are initiated\ - \ when network services that have not been authorized or approved\ - \ by authorization or approval processes are detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(22)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - documented authorization/approval of network services - - - notifications or alerts of unauthorized network services - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(22)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring the system - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(22)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - - automated mechanisms for auditing network services - - - automated mechanisms for providing alerts - - id: si-4.23 - class: SP800-53-enhancement - title: Host-based Devices - params: - - id: si-04.23_odp.01 - props: - - name: legacy-identifier - value: si-4.23_prm_2 - - name: label - value: SI-04(23)_ODP[01] - label: host-based monitoring mechanisms - guidelines: - - prose: host-based monitoring mechanisms to be implemented on - system components are defined; - - id: si-04.23_odp.02 - props: - - name: legacy-identifier - value: si-4.23_prm_1 - - name: label - value: SI-04(23)_ODP[02] - label: system components - guidelines: - - prose: system components where host-based monitoring is to be - implemented are defined; - props: - - name: label - value: SI-04(23) - - name: sort-id - value: si-04.23 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - parts: - - id: si-4.23_smt - name: statement - prose: "Implement the following host-based monitoring mechanisms\ - \ at {{ insert: param, si-04.23_odp.02 }}: {{ insert: param, si-04.23_odp.01\ - \ }}." - - id: si-4.23_gdn - name: guidance - prose: Host-based monitoring collects information about the host - (or system in which it resides). System components in which host-based - monitoring can be implemented include servers, notebook computers, - and mobile devices. Organizations may consider employing host-based - monitoring mechanisms from multiple product developers or vendors. - - name: objective - props: - - name: label - value: SI-04(23) - class: sp800-53A - prose: "{{ insert: param, si-04.23_odp.01 }} are implemented on\ - \ {{ insert: param, si-04.23_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(23)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring tools and techniques - - - system design documentation - - - host-based monitoring mechanisms - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - list of system components requiring host-based monitoring - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(23)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring system - hosts - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(23)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - automated mechanisms supporting and/or implementing host-based - monitoring capability - - id: si-4.24 - class: SP800-53-enhancement - title: Indicators of Compromise - params: - - id: si-04.24_odp.01 - props: - - name: legacy-identifier - value: si-4.24_prm_2 - - name: label - value: SI-04(24)_ODP[01] - label: sources - guidelines: - - prose: sources that provide indicators of compromise are defined; - - id: si-04.24_odp.02 - props: - - name: legacy-identifier - value: si-4.24_prm_1 - - name: label - value: SI-04(24)_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom indicators of compromise are - to be distributed is/are defined; - props: - - name: label - value: SI-04(24) - - name: sort-id - value: si-04.24 - links: - - href: "#si-4" - rel: required - - href: "#ac-18" - rel: related - parts: - - id: si-4.24_smt - name: statement - prose: "Discover, collect, and distribute to {{ insert: param, si-04.24_odp.02\ - \ }} , indicators of compromise provided by {{ insert: param,\ - \ si-04.24_odp.01 }}." - - id: si-4.24_gdn - name: guidance - prose: Indicators of compromise (IOC) are forensic artifacts from - intrusions that are identified on organizational systems at the - host or network level. IOCs provide valuable information on systems - that have been compromised. IOCs can include the creation of registry - key values. IOCs for network traffic include Universal Resource - Locator or protocol elements that indicate malicious code command - and control servers. The rapid distribution and adoption of IOCs - can improve information security by reducing the time that systems - and organizations are vulnerable to the same exploit or attack. - Threat indicators, signatures, tactics, techniques, procedures, - and other indicators of compromise may be available via government - and non-government cooperatives, including the Forum of Incident - Response and Security Teams, the United States Computer Emergency - Readiness Team, the Defense Industrial Base Cybersecurity Information - Sharing Program, and the CERT Coordination Center. - - name: objective - props: - - name: label - value: SI-04(24) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(24)[01] - class: sp800-53A - prose: "indicators of compromise provided by {{ insert: param,\ - \ si-04.24_odp.01 }} are discovered;" - - name: objective - props: - - name: label - value: SI-04(24)[02] - class: sp800-53A - prose: "indicators of compromise provided by {{ insert: param,\ - \ si-04.24_odp.01 }} are collected;" - - name: objective - props: - - name: label - value: SI-04(24)[03] - class: sp800-53A - prose: "indicators of compromise provided by {{ insert: param,\ - \ si-04.24_odp.01 }} are distributed to {{ insert: param,\ - \ si-04.24_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(24)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(24)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring system - hosts - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(24)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - organizational processes for the discovery, collection, distribution, - and use of indicators of compromise - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - - automated mechanisms supporting and/or implementing the discovery, - collection, distribution, and use of indicators of compromise - - id: si-4.25 - class: SP800-53-enhancement - title: Optimize Network Traffic Analysis - props: - - name: label - value: SI-04(25) - - name: sort-id - value: si-04.25 - links: - - href: "#si-4" - rel: required - parts: - - id: si-4.25_smt - name: statement - prose: Provide visibility into network traffic at external and key - internal system interfaces to optimize the effectiveness of monitoring - devices. - - id: si-4.25_gdn - name: guidance - prose: Encrypted traffic, asymmetric routing architectures, capacity - and latency limitations, and transitioning from older to newer - technologies (e.g., IPv4 to IPv6 network protocol transition) - may result in blind spots for organizations when analyzing network - traffic. Collecting, decrypting, pre-processing, and distributing - only relevant traffic to monitoring devices can streamline the - efficiency and use of devices and optimize traffic analysis. - - name: objective - props: - - name: label - value: SI-04(25) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-04(25)[01] - class: sp800-53A - prose: visibility into network traffic at external system interfaces - is provided to optimize the effectiveness of monitoring devices; - - name: objective - props: - - name: label - value: SI-04(25)[02] - class: sp800-53A - prose: visibility into network traffic at internal system interfaces - is provided to optimize the effectiveness of monitoring devices. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-04(25)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system monitoring - - - system design documentation - - - system monitoring tools and techniques documentation - - - system configuration settings and associated documentation - - - system monitoring logs or records - - - system architecture - - - system audit records - - - network traffic reports - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-04(25)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - System/network administrators - - - organizational personnel with information security responsibilities - - - system developer - - - organizational personnel installing, configuring, and/or maintaining - the system - - - organizational personnel responsible for monitoring system - hosts - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-04(25)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for system monitoring - - - organizational processes for the discovery, collection, distribution, - and use of indicators of compromise - - - automated mechanisms supporting and/or implementing a system - monitoring capability - - - automated mechanisms supporting and/or implementing the discovery, - collection, distribution, and use of indicators of compromise - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - params: - - id: si-05_odp.01 - props: - - name: legacy-identifier - value: si-5_prm_1 - - name: label - value: SI-05_ODP[01] - label: external organizations - guidelines: - - prose: external organizations from whom system security alerts, - advisories, and directives are to be received on an ongoing basis - are defined; - - id: si-05_odp.02 - props: - - name: legacy-identifier - value: si-5_prm_2 - - name: label - value: SI-05_ODP[02] - select: - how-many: one-or-more - choice: - - " {{ insert: param, si-05_odp.03 }} " - - " {{ insert: param, si-05_odp.04 }} " - - " {{ insert: param, si-05_odp.05 }} " - - id: si-05_odp.03 - props: - - name: legacy-identifier - value: si-5_prm_3 - - name: label - value: SI-05_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom security alerts, advisories, and - directives are to be disseminated is/are defined (if selected); - - id: si-05_odp.04 - props: - - name: legacy-identifier - value: si-5_prm_4 - - name: label - value: SI-05_ODP[04] - label: elements - guidelines: - - prose: elements within the organization to whom security alerts, - advisories, and directives are to be disseminated are defined - (if selected); - - id: si-05_odp.05 - props: - - name: legacy-identifier - value: si-5_prm_5 - - name: label - value: SI-05_ODP[05] - label: external organizations - guidelines: - - prose: external organizations to whom security alerts, advisories, - and directives are to be disseminated are defined (if selected); - props: - - name: label - value: SI-05 - - name: sort-id - value: si-05 - links: - - href: "#155f941a-cba9-4afd-9ca6-5d040d697ba9" - rel: reference - - href: "#pm-15" - rel: related - - href: "#ra-5" - rel: related - - href: "#si-2" - rel: related - parts: - - id: si-5_smt - name: statement - parts: - - id: si-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Receive system security alerts, advisories, and directives\ - \ from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - - id: si-5_smt.b - name: item - props: - - name: label - value: b. - prose: Generate internal security alerts, advisories, and directives - as deemed necessary; - - id: si-5_smt.c - name: item - props: - - name: label - value: c. - prose: "Disseminate security alerts, advisories, and directives\ - \ to: {{ insert: param, si-05_odp.02 }} ; and" - - id: si-5_smt.d - name: item - props: - - name: label - value: d. - prose: Implement security directives in accordance with established - time frames, or notify the issuing organization of the degree - of noncompliance. - - id: si-5_gdn - name: guidance - prose: The Cybersecurity and Infrastructure Security Agency (CISA) generates - security alerts and advisories to maintain situational awareness throughout - the Federal Government. Security directives are issued by OMB or other - designated organizations with the responsibility and authority to - issue such directives. Compliance with security directives is essential - due to the critical nature of many of these directives and the potential - (immediate) adverse effects on organizational operations and assets, - individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include - supply chain partners, external mission or business partners, external - service providers, and other peer or supporting organizations. - - name: objective - props: - - name: label - value: SI-05 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-05a. - class: sp800-53A - prose: "system security alerts, advisories, and directives are received\ - \ from {{ insert: param, si-05_odp.01 }} on an ongoing basis;" - - name: objective - props: - - name: label - value: SI-05b. - class: sp800-53A - prose: internal security alerts, advisories, and directives are - generated as deemed necessary; - - name: objective - props: - - name: label - value: SI-05c. - class: sp800-53A - prose: "security alerts, advisories, and directives are disseminated\ - \ to {{ insert: param, si-05_odp.02 }};" - - name: objective - props: - - name: label - value: SI-05d. - class: sp800-53A - prose: security directives are implemented in accordance with established - time frames or if the issuing organization is notified of the - degree of noncompliance. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing security alerts, advisories, and directives - - - records of security alerts and advisories - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security alert and advisory - responsibilities - - - organizational personnel implementing, operating, maintaining, - and using the system - - - organizational personnel, organizational elements, and/or external - organizations to whom alerts, advisories, and directives are to - be disseminated - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining, receiving, - generating, disseminating, and complying with security - alerts, advisories, and directives - - - automated mechanisms supporting and/or implementing the definition, - receipt, generation, and dissemination of security alerts, advisories, - and directives - - - automated mechanisms supporting and/or implementing security directives - controls: - - id: si-5.1 - class: SP800-53-enhancement - title: Automated Alerts and Advisories - params: - - id: si-05.01_odp - props: - - name: legacy-identifier - value: si-5.1_prm_1 - - name: label - value: SI-05(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to broadcast security alert - and advisory information throughout the organization are defined; - props: - - name: label - value: SI-05(01) - - name: sort-id - value: si-05.01 - links: - - href: "#si-5" - rel: required - parts: - - id: si-5.1_smt - name: statement - prose: "Broadcast security alert and advisory information throughout\ - \ the organization using {{ insert: param, si-05.01_odp }}." - - id: si-5.1_gdn - name: guidance - prose: The significant number of changes to organizational systems - and environments of operation requires the dissemination of security-related - information to a variety of organizational entities that have - a direct interest in the success of organizational mission and - business functions. Based on information provided by security - alerts and advisories, changes may be required at one or more - of the three levels related to the management of risk, including - the governance level, mission and business process level, and - the information system level. - - name: objective - props: - - name: label - value: SI-05(01) - class: sp800-53A - prose: "{{ insert: param, si-05.01_odp }} are used to broadcast\ - \ security alert and advisory information throughout the organization." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing security alerts, advisories, and directives - - - system design documentation - - - system configuration settings and associated documentation - - - automated mechanisms supporting the distribution of security - alert and advisory information - - - records of security alerts and advisories - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security alert and - advisory responsibilities - - - organizational personnel implementing, operating, maintaining, - and using the system - - - organizational personnel, organizational elements, and/or - external organizations to whom alerts and advisories are to - be disseminated - - - system/network administrators - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining, receiving, - generating, and disseminating security alerts and - advisories - - - automated mechanisms supporting and/or implementing the dissemination - of security alerts and advisories - - id: si-6 - class: SP800-53 - title: Security and Privacy Function Verification - params: - - id: si-6_prm_1 - props: - - name: aggregates - value: si-06_odp.01 - label: organization-defined security and privacy functions - - id: si-06_odp.01 - props: - - name: label - value: SI-06_ODP[01] - label: security functions - guidelines: - - prose: security functions to be verified for correct operation are - defined; - - id: si-06_odp.02 - props: - - name: label - value: SI-06_ODP[02] - label: privacy functions - guidelines: - - prose: privacy functions to be verified for correct operation are - defined; - - id: si-06_odp.03 - props: - - name: legacy-identifier - value: si-6_prm_2 - - name: label - value: SI-06_ODP[03] - select: - how-many: one-or-more - choice: - - " {{ insert: param, si-06_odp.04 }} " - - upon command by user with appropriate privilege - - " {{ insert: param, si-06_odp.05 }} " - - id: si-06_odp.04 - props: - - name: legacy-identifier - value: si-6_prm_3 - - name: label - value: SI-06_ODP[04] - label: system transitional states - guidelines: - - prose: system transitional states requiring the verification of - security and privacy functions are defined; (if selected) - - id: si-06_odp.05 - props: - - name: legacy-identifier - value: si-6_prm_4 - - name: label - value: SI-06_ODP[05] - label: frequency - guidelines: - - prose: frequency at which to verify the correct operation of security - and privacy functions is defined; (if selected) - - id: si-06_odp.06 - props: - - name: legacy-identifier - value: si-6_prm_5 - - name: label - value: SI-06_ODP[06] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted of failed security and privacy - verification tests is/are defined; - - id: si-06_odp.07 - props: - - name: legacy-identifier - value: si-6_prm_6 - - name: label - value: SI-06_ODP[07] - select: - how-many: one-or-more - choice: - - shut the system down - - restart the system - - " {{ insert: param, si-06_odp.08 }} " - - id: si-06_odp.08 - props: - - name: legacy-identifier - value: si-6_prm_7 - - name: label - value: SI-06_ODP[08] - label: alternative action(s) - guidelines: - - prose: alternative action(s) to be performed when anomalies are - discovered are defined (if selected); - props: - - name: label - value: SI-06 - - name: sort-id - value: si-06 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#si-7" - rel: related - parts: - - id: si-6_smt - name: statement - parts: - - id: si-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Verify the correct operation of {{ insert: param, si-6_prm_1\ - \ }};" - - id: si-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Perform the verification of the functions specified in SI-6a\ - \ {{ insert: param, si-06_odp.03 }};" - - id: si-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Alert {{ insert: param, si-06_odp.06 }} to failed security\ - \ and privacy verification tests; and" - - id: si-6_smt.d - name: item - props: - - name: label - value: d. - prose: "{{ insert: param, si-06_odp.07 }} when anomalies are discovered." - - id: si-6_gdn - name: guidance - prose: Transitional states for systems include system startup, restart, - shutdown, and abort. System notifications include hardware indicator - lights, electronic alerts to system administrators, and messages to - local computer consoles. In contrast to security function verification, - privacy function verification ensures that privacy functions operate - as expected and are approved by the senior agency official for privacy - or that privacy attributes are applied or used as expected. - - name: objective - props: - - name: label - value: SI-06 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06a.[01] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.01 }} are verified to be\ - \ operating correctly;" - - name: objective - props: - - name: label - value: SI-06a.[02] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.02 }} are verified to be\ - \ operating correctly;" - - name: objective - props: - - name: label - value: SI-06b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06b.[01] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.01 }} are verified {{ insert:\ - \ param, si-06_odp.03 }};" - - name: objective - props: - - name: label - value: SI-06b.[02] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.02 }} are verified {{ insert:\ - \ param, si-06_odp.03 }};" - - name: objective - props: - - name: label - value: SI-06c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06c.[01] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.06 }} is/are alerted to\ - \ failed security verification tests;" - - name: objective - props: - - name: label - value: SI-06c.[02] - class: sp800-53A - prose: "{{ insert: param, si-06_odp.06 }} is/are alerted to\ - \ failed privacy verification tests;" - - name: objective - props: - - name: label - value: SI-06d. - class: sp800-53A - prose: "{{ insert: param, si-06_odp.07 }} is/are initiated when\ - \ anomalies are discovered." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing security and privacy function verification - - - system design documentation - - - system configuration settings and associated documentation - - - alerts/notifications of failed security verification tests - - - list of system transition states requiring security functionality - verification - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy function - verification responsibilities - - - organizational personnel implementing, operating, and maintaining - the system - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for security and privacy function - verification - - - automated mechanisms supporting and/or implementing the security - and privacy function verification capability - controls: - - id: si-6.1 - class: SP800-53-enhancement - title: Notification of Failed Security Tests - props: - - name: label - value: SI-06(01) - - name: sort-id - value: si-06.01 - - name: status - value: withdrawn - links: - - href: "#si-6" - rel: incorporated-into - - id: si-6.2 - class: SP800-53-enhancement - title: Automation Support for Distributed Testing - props: - - name: label - value: SI-06(02) - - name: sort-id - value: si-06.02 - links: - - href: "#si-6" - rel: required - - href: "#si-2" - rel: related - parts: - - id: si-6.2_smt - name: statement - prose: Implement automated mechanisms to support the management - of distributed security and privacy function testing. - - id: si-6.2_gdn - name: guidance - prose: The use of automated mechanisms to support the management - of distributed function testing helps to ensure the integrity, - timeliness, completeness, and efficacy of such testing. - - name: objective - props: - - name: label - value: SI-06(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06(02)[01] - class: sp800-53A - prose: automated mechanisms are implemented to support the management - of distributed security function testing; - - name: objective - props: - - name: label - value: SI-06(02)[02] - class: sp800-53A - prose: automated mechanisms are implemented to support the management - of distributed privacy function testing. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-06(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing security and privacy function verification - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-06(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy - function verification responsibilities - - - organizational personnel implementing, operating, and maintaining - the system - - - system/network administrators - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-06(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for security and privacy - function verification - - - automated mechanisms supporting and/or implementing the management - of distributed security and privacy testing - - id: si-6.3 - class: SP800-53-enhancement - title: Report Verification Results - params: - - id: si-06.03_odp - props: - - name: legacy-identifier - value: si-6.3_prm_1 - - name: label - value: SI-06(03)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles designated to receive the results - of security and privacy function verification is/are defined; - props: - - name: label - value: SI-06(03) - - name: sort-id - value: si-06.03 - links: - - href: "#si-6" - rel: required - - href: "#si-4" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: si-6.3_smt - name: statement - prose: "Report the results of security and privacy function verification\ - \ to {{ insert: param, si-06.03_odp }}." - - id: si-6.3_gdn - name: guidance - prose: Organizational personnel with potential interest in the results - of the verification of security and privacy functions include - systems security officers, senior agency information security - officers, and senior agency officials for privacy. - - name: objective - props: - - name: label - value: SI-06(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-06(03)[01] - class: sp800-53A - prose: "the results of security function verification are reported\ - \ to {{ insert: param, si-06.03_odp }};" - - name: objective - props: - - name: label - value: SI-06(03)[02] - class: sp800-53A - prose: "the results of privacy function verification are reported\ - \ to {{ insert: param, si-06.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-06(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing security and privacy function verification - - - system design documentation - - - system configuration settings and associated documentation - - - reports of security and privacy function verification results - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-06(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with security and privacy - function verification responsibilities - - - organizational personnel who are recipients of security and - privacy function verification reports - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-06(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for reporting security and - privacy function verification results - - - automated mechanisms supporting and/or implementing the reporting - of security and privacy function verification results - - id: si-7 - class: SP800-53 - title: Software, Firmware, and Information Integrity - params: - - id: si-7_prm_1 - props: - - name: aggregates - value: si-07_odp.01 - label: organization-defined software, firmware, and information - - id: si-7_prm_2 - props: - - name: aggregates - value: si-07_odp.04 - label: organization-defined actions - - id: si-07_odp.01 - props: - - name: label - value: SI-07_ODP[01] - label: software - guidelines: - - prose: software requiring integrity verification tools to be employed - to detect unauthorized changes is defined; - - id: si-07_odp.02 - props: - - name: label - value: SI-07_ODP[02] - label: firmware - guidelines: - - prose: firmware requiring integrity verification tools to be employed - to detect unauthorized changes is defined; - - id: si-07_odp.03 - props: - - name: label - value: SI-07_ODP[03] - label: information - guidelines: - - prose: information requiring integrity verification tools to be - employed to detect unauthorized changes is defined; - - id: si-07_odp.04 - props: - - name: label - value: SI-07_ODP[04] - label: actions - guidelines: - - prose: actions to be taken when unauthorized changes to software - are detected are defined; - - id: si-07_odp.05 - props: - - name: label - value: SI-07_ODP[05] - label: actions - guidelines: - - prose: actions to be taken when unauthorized changes to firmware - are detected are defined; - - id: si-07_odp.06 - props: - - name: label - value: SI-07_ODP[06] - label: actions - guidelines: - - prose: actions to be taken when unauthorized changes to information - are detected are defined; - props: - - name: label - value: SI-07 - - name: sort-id - value: si-07 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#4895b4cd-34c5-4667-bf8a-27d443c12047" - rel: reference - - href: "#e47ee630-9cbc-4133-880e-e013f83ccd51" - rel: reference - - href: "#ac-4" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-3" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: si-7_smt - name: statement - parts: - - id: si-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Employ integrity verification tools to detect unauthorized\ - \ changes to the following software, firmware, and information:\ - \ {{ insert: param, si-7_prm_1 }} ; and" - - id: si-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Take the following actions when unauthorized changes to\ - \ the software, firmware, and information are detected: {{ insert:\ - \ param, si-7_prm_2 }}." - - id: si-7_gdn - name: guidance - prose: Unauthorized changes to software, firmware, and information can - occur due to errors or malicious activity. Software includes operating - systems (with key internal components, such as kernels or drivers), - middleware, and applications. Firmware interfaces include Unified - Extensible Firmware Interface (UEFI) and Basic Input/Output System - (BIOS). Information includes personally identifiable information and - metadata that contains security and privacy attributes associated - with information. Integrity-checking mechanisms—including parity checks, - cyclical redundancy checks, cryptographic hashes, and associated tools—can - automatically monitor the integrity of systems and hosted applications. - - name: objective - props: - - name: label - value: SI-07 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07a.[01] - class: sp800-53A - prose: "integrity verification tools are employed to detect\ - \ unauthorized changes to {{ insert: param, si-07_odp.01 }};" - - name: objective - props: - - name: label - value: SI-07a.[02] - class: sp800-53A - prose: "integrity verification tools are employed to detect\ - \ unauthorized changes to {{ insert: param, si-07_odp.02 }};" - - name: objective - props: - - name: label - value: SI-07a.[03] - class: sp800-53A - prose: "integrity verification tools are employed to detect\ - \ unauthorized changes to {{ insert: param, si-07_odp.03 }};" - - name: objective - props: - - name: label - value: SI-07b. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07b.[01] - class: sp800-53A - prose: "{{ insert: param, si-07_odp.04 }} are taken when unauthorized\ - \ changes to the software, firmware, and information are detected;" - - name: objective - props: - - name: label - value: SI-07b.[02] - class: sp800-53A - prose: "{{ insert: param, si-07_odp.05 }} are taken when unauthorized\ - \ changes to the software, firmware, and information are detected;" - - name: objective - props: - - name: label - value: SI-07b.[03] - class: sp800-53A - prose: "{{ insert: param, si-07_odp.06 }} are taken when unauthorized\ - \ changes to the software, firmware, and information are detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information integrity - - - personally identifiable information processing policy - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records generated or triggered by integrity verification tools - regarding unauthorized software, firmware, and information changes - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, firmware, - and/or information integrity - - - organizational personnel with information security and privacy - responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07-Test - class: sp800-53A - parts: - - name: objects - prose: Software, firmware, and information integrity verification - tools - controls: - - id: si-7.1 - class: SP800-53-enhancement - title: Integrity Checks - params: - - id: si-7.1_prm_1 - props: - - name: aggregates - value: si-07.01_odp.01 - label: organization-defined software, firmware, and information - - id: si-7.1_prm_2 - props: - - name: aggregates - value: si-07.01_odp.02 - select: - how-many: one-or-more - choice: - - at startup - - "at{{ insert: param, si-7.1_prm_3 }} " - - " {{ insert: param, si-7.1_prm_4 }} " - - id: si-7.1_prm_3 - depends-on: si-7.1_prm_2 - props: - - name: aggregates - value: si-07.01_odp.03 - label: organization-defined transitional states or security-relevant - events - - id: si-7.1_prm_4 - depends-on: si-7.1_prm_2 - props: - - name: aggregates - value: si-07.01_odp.04 - label: organization-defined frequency - - id: si-07.01_odp.01 - props: - - name: label - value: SI-07(01)_ODP[01] - label: software - guidelines: - - prose: software on which an integrity check is to be performed - is defined; - - id: si-07.01_odp.02 - props: - - name: label - value: SI-07(01)_ODP[02] - select: - how-many: one-or-more - choice: - - at startup - - " {{ insert: param, si-07.01_odp.03 }} " - - " {{ insert: param, si-07.01_odp.04 }} " - - id: si-07.01_odp.03 - props: - - name: label - value: SI-07(01)_ODP[03] - label: at transitional states or security-relevant events - guidelines: - - prose: transitional states or security-relevant events requiring - integrity checks (on software) are defined (if selected); - - id: si-07.01_odp.04 - props: - - name: label - value: SI-07(01)_ODP[04] - label: frequency - guidelines: - - prose: frequency with which to perform an integrity check (on - software) is defined (if selected); - - id: si-07.01_odp.05 - props: - - name: label - value: SI-07(01)_ODP[05] - label: firmware - guidelines: - - prose: firmware on which an integrity check is to be performed - is defined; - - id: si-07.01_odp.06 - props: - - name: label - value: SI-07(01)_ODP[06] - select: - how-many: one-or-more - choice: - - at startup - - " {{ insert: param, si-07.01_odp.07 }} " - - " {{ insert: param, si-07.01_odp.08 }} " - - id: si-07.01_odp.07 - props: - - name: label - value: SI-07(01)_ODP[07] - label: at transitional states or security-relevant events - guidelines: - - prose: transitional states or security-relevant events requiring - integrity checks (on firmware) are defined (if selected); - - id: si-07.01_odp.08 - props: - - name: label - value: SI-07(01)_ODP[08] - label: frequency - guidelines: - - prose: frequency with which to perform an integrity check (on - firmware) is defined (if selected); - - id: si-07.01_odp.09 - props: - - name: label - value: SI-07(01)_ODP[09] - label: information - guidelines: - - prose: information on which an integrity check is to be performed - is defined; - - id: si-07.01_odp.10 - props: - - name: label - value: SI-07(01)_ODP[10] - select: - how-many: one-or-more - choice: - - at startup - - " {{ insert: param, si-07.01_odp.11 }} " - - " {{ insert: param, si-07.01_odp.12 }} " - - id: si-07.01_odp.11 - props: - - name: label - value: SI-07(01)_ODP[11] - label: at transitional states or security-relevant events - guidelines: - - prose: transitional states or security-relevant events requiring - integrity checks (of information) are defined (if selected); - - id: si-07.01_odp.12 - props: - - name: label - value: SI-07(01)_ODP[12] - label: frequency - guidelines: - - prose: frequency with which to perform an integrity check (of - information) is defined (if selected); - props: - - name: label - value: SI-07(01) - - name: sort-id - value: si-07.01 - links: - - href: "#si-7" - rel: required - parts: - - id: si-7.1_smt - name: statement - prose: "Perform an integrity check of {{ insert: param, si-7.1_prm_1\ - \ }} {{ insert: param, si-7.1_prm_2 }}." - - id: si-7.1_gdn - name: guidance - prose: Security-relevant events include the identification of new - threats to which organizational systems are susceptible and the - installation of new hardware, software, or firmware. Transitional - states include system startup, restart, shutdown, and abort. - - name: objective - props: - - name: label - value: SI-07(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07(01)[01] - class: sp800-53A - prose: "an integrity check of {{ insert: param, si-07.01_odp.01\ - \ }} is performed {{ insert: param, si-07.01_odp.02 }};" - - name: objective - props: - - name: label - value: SI-07(01)[02] - class: sp800-53A - prose: "an integrity check of {{ insert: param, si-07.01_odp.05\ - \ }} is performed {{ insert: param, si-07.01_odp.06 }};" - - name: objective - props: - - name: label - value: SI-07(01)[03] - class: sp800-53A - prose: "an integrity check of {{ insert: param, si-07.01_odp.09\ - \ }} is performed {{ insert: param, si-07.01_odp.10 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity testing - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity scans - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Software, firmware, and information integrity verification - tools - - id: si-7.2 - class: SP800-53-enhancement - title: Automated Notifications of Integrity Violations - params: - - id: si-07.02_odp - props: - - name: legacy-identifier - value: si-7.2_prm_1 - - name: label - value: SI-07(02)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to whom notification is to be provided - upon discovering discrepancies during integrity verification - is/are defined; - props: - - name: label - value: SI-07(02) - - name: sort-id - value: si-07.02 - links: - - href: "#si-7" - rel: required - parts: - - id: si-7.2_smt - name: statement - prose: "Employ automated tools that provide notification to {{ insert:\ - \ param, si-07.02_odp }} upon discovering discrepancies during\ - \ integrity verification." - - id: si-7.2_gdn - name: guidance - prose: The employment of automated tools to report system and information - integrity violations and to notify organizational personnel in - a timely matter is essential to effective risk response. Personnel - with an interest in system and information integrity violations - include mission and business owners, system owners, senior agency - information security official, senior agency official for privacy, - system administrators, software developers, systems integrators, - information security officers, and privacy officers. - - name: objective - props: - - name: label - value: SI-07(02) - class: sp800-53A - prose: "automated tools that provide notification to {{ insert:\ - \ param, si-07.02_odp }} upon discovering discrepancies during\ - \ integrity verification are employed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - personally identifiable information processing policy - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity scans - - - automated tools supporting alerts and notifications for integrity - discrepancies - - - notifications provided upon discovering discrepancies during - integrity verifications - - - system audit records - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security and privacy - responsibilities - - - system administrators - - - software developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms providing integrity discrepancy notifications - - id: si-7.3 - class: SP800-53-enhancement - title: Centrally Managed Integrity Tools - props: - - name: label - value: SI-07(03) - - name: sort-id - value: si-07.03 - links: - - href: "#si-7" - rel: required - - href: "#au-3" - rel: related - - href: "#si-2" - rel: related - - href: "#si-8" - rel: related - parts: - - id: si-7.3_smt - name: statement - prose: Employ centrally managed integrity verification tools. - - id: si-7.3_gdn - name: guidance - prose: Centrally managed integrity verification tools provides greater - consistency in the application of such tools and can facilitate - more comprehensive coverage of integrity verification actions. - - name: objective - props: - - name: label - value: SI-07(03) - class: sp800-53A - prose: centrally managed integrity verification tools are employed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity scans - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for the central - management of integrity verification tools - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - central management of integrity verification tools - - id: si-7.4 - class: SP800-53-enhancement - title: Tamper-evident Packaging - props: - - name: label - value: SI-07(04) - - name: sort-id - value: si-07.04 - - name: status - value: withdrawn - links: - - href: "#sr-9" - rel: incorporated-into - - id: si-7.5 - class: SP800-53-enhancement - title: Automated Response to Integrity Violations - params: - - id: si-07.05_odp.01 - props: - - name: legacy-identifier - value: si-7.5_prm_1 - - name: label - value: SI-07(05)_ODP[01] - select: - how-many: one-or-more - choice: - - shut down the system - - restart the system - - "implement{{ insert: param, si-07.05_odp.02 }} " - - id: si-07.05_odp.02 - props: - - name: legacy-identifier - value: si-7.5_prm_2 - - name: label - value: SI-07(05)_ODP[02] - label: controls - guidelines: - - prose: controls to be implemented automatically when integrity - violations are discovered are defined (if selected); - props: - - name: label - value: SI-07(05) - - name: sort-id - value: si-07.05 - links: - - href: "#si-7" - rel: required - parts: - - id: si-7.5_smt - name: statement - prose: "Automatically {{ insert: param, si-07.05_odp.01 }} when\ - \ integrity violations are discovered." - - id: si-7.5_gdn - name: guidance - prose: Organizations may define different integrity-checking responses - by type of information, specific information, or a combination - of both. Types of information include firmware, software, and - user data. Specific information includes boot firmware for certain - types of machines. The automatic implementation of controls within - organizational systems includes reversing the changes, halting - the system, or triggering audit alerts when unauthorized modifications - to critical security files occur. - - name: objective - props: - - name: label - value: SI-07(05) - class: sp800-53A - prose: "{{ insert: param, si-07.05_odp.01 }} are automatically performed\ - \ when integrity violations are discovered." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity scans - - - records of integrity checks and responses to integrity violations - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms providing an automated response to integrity - violations - - - automated mechanisms supporting and/or implementing security - safeguards to be implemented when integrity violations are - discovered - - id: si-7.6 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: SI-07(06) - - name: sort-id - value: si-07.06 - links: - - href: "#si-7" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-7.6_smt - name: statement - prose: Implement cryptographic mechanisms to detect unauthorized - changes to software, firmware, and information. - - id: si-7.6_gdn - name: guidance - prose: Cryptographic mechanisms used to protect integrity include - digital signatures and the computation and application of signed - hashes using asymmetric cryptography, protecting the confidentiality - of the key used to generate the hash, and using the public key - to verify the hash information. Organizations that employ cryptographic - mechanisms also consider cryptographic key management solutions. - - name: objective - props: - - name: label - value: SI-07(06) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07(06)[01] - class: sp800-53A - prose: cryptographic mechanisms are implemented to detect unauthorized - changes to software; - - name: objective - props: - - name: label - value: SI-07(06)[02] - class: sp800-53A - prose: cryptographic mechanisms are implemented to detect unauthorized - changes to firmware; - - name: objective - props: - - name: label - value: SI-07(06)[03] - class: sp800-53A - prose: cryptographic mechanisms are implemented to detect unauthorized - changes to information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated documentation - - - records of detected unauthorized changes to software, firmware, - and information - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - cryptographic mechanisms implementing software, firmware, - and information integrity - - id: si-7.7 - class: SP800-53-enhancement - title: Integration of Detection and Response - params: - - id: si-07.07_odp - props: - - name: legacy-identifier - value: si-7.7_prm_1 - - name: label - value: SI-07(07)_ODP - label: changes - guidelines: - - prose: security-relevant changes to the system are defined; - props: - - name: label - value: SI-07(07) - - name: sort-id - value: si-07.07 - links: - - href: "#si-7" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-5" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-7.7_smt - name: statement - prose: "Incorporate the detection of the following unauthorized\ - \ changes into the organizational incident response capability:\ - \ {{ insert: param, si-07.07_odp }}." - - id: si-7.7_gdn - name: guidance - prose: Integrating detection and response helps to ensure that detected - events are tracked, monitored, corrected, and available for historical - purposes. Maintaining historical records is important for being - able to identify and discern adversary actions over an extended - time period and for possible legal actions. Security-relevant - changes include unauthorized changes to established configuration - settings or the unauthorized elevation of system privileges. - - name: objective - props: - - name: label - value: SI-07(07) - class: sp800-53A - prose: "the detection of {{ insert: param, si-07.07_odp }} are incorporated\ - \ into the organizational incident response capability." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - procedures addressing incident response - - - system design documentation - - - system configuration settings and associated documentation - - - incident response records - - - audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - organizational personnel with incident response responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(07)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for incorporating the detection - of unauthorized security-relevant changes into the - incident response capability - - - software, firmware, and information integrity verification - tools - - - automated mechanisms supporting and/or implementing the incorporation - of detection of unauthorized security-relevant changes into - the incident response capability - - id: si-7.8 - class: SP800-53-enhancement - title: Auditing Capability for Significant Events - params: - - id: si-07.08_odp.01 - props: - - name: legacy-identifier - value: si-7.8_prm_1 - - name: label - value: SI-07(08)_ODP[01] - select: - how-many: one-or-more - choice: - - generate an audit record - - alert current user - - "alert{{ insert: param, si-07.08_odp.02 }} " - - " {{ insert: param, si-07.08_odp.03 }} " - - id: si-07.08_odp.02 - props: - - name: legacy-identifier - value: si-7.8_prm_2 - - name: label - value: SI-07(08)_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to be alerted upon the detection of - a potential integrity violation is/are defined (if selected); - - id: si-07.08_odp.03 - props: - - name: legacy-identifier - value: si-7.8_prm_3 - - name: label - value: SI-07(08)_ODP[03] - label: other actions - guidelines: - - prose: other actions to be taken upon the detection of a potential - integrity violation are defined (if selected); - props: - - name: label - value: SI-07(08) - - name: sort-id - value: si-07.08 - links: - - href: "#si-7" - rel: required - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-7.8_smt - name: statement - prose: "Upon detection of a potential integrity violation, provide\ - \ the capability to audit the event and initiate the following\ - \ actions: {{ insert: param, si-07.08_odp.01 }}." - - id: si-7.8_gdn - name: guidance - prose: Organizations select response actions based on types of software, - specific software, or information for which there are potential - integrity violations. - - name: objective - props: - - name: label - value: SI-07(08) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-07(08)[01] - class: sp800-53A - prose: the capability to audit an event upon the detection of - a potential integrity violation is provided; - - name: objective - props: - - name: label - value: SI-07(08)[02] - class: sp800-53A - prose: "{{ insert: param, si-07.08_odp.01 }} is/are initiated\ - \ upon the detection of a potential integrity violation." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity scans - - - incident response records - - - list of security-relevant changes to the system - - - automated tools supporting alerts and notifications if unauthorized - security changes are detected - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(08)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing the capability - to audit potential integrity violations - - - automated mechanisms supporting and/or implementing alerts - about potential integrity violations - - id: si-7.9 - class: SP800-53-enhancement - title: Verify Boot Process - params: - - id: si-07.09_odp - props: - - name: legacy-identifier - value: si-7.9_prm_1 - - name: label - value: SI-07(09)_ODP - label: system components - guidelines: - - prose: system components requiring integrity verification of - the boot process are defined; - props: - - name: label - value: SI-07(09) - - name: sort-id - value: si-07.09 - links: - - href: "#si-7" - rel: required - - href: "#si-6" - rel: related - parts: - - id: si-7.9_smt - name: statement - prose: "Verify the integrity of the boot process of the following\ - \ system components: {{ insert: param, si-07.09_odp }}." - - id: si-7.9_gdn - name: guidance - prose: Ensuring the integrity of boot processes is critical to starting - system components in known, trustworthy states. Integrity verification - mechanisms provide a level of assurance that only trusted code - is executed during boot processes. - - name: objective - props: - - name: label - value: SI-07(09) - class: sp800-53A - prose: "the integrity of the boot process of {{ insert: param, si-07.09_odp\ - \ }} is verified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(09)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - documentation - - - records of integrity verification scans - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(09)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(09)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing integrity - verification of the boot process - - id: si-7.10 - class: SP800-53-enhancement - title: Protection of Boot Firmware - params: - - id: si-07.10_odp.01 - props: - - name: legacy-identifier - value: si-7.10_prm_2 - - name: label - value: SI-07(10)_ODP[01] - label: mechanisms - guidelines: - - prose: mechanisms to be implemented to protect the integrity - of boot firmware in system components are defined; - - id: si-07.10_odp.02 - props: - - name: legacy-identifier - value: si-7.10_prm_1 - - name: label - value: SI-07(10)_ODP[02] - label: system components - guidelines: - - prose: system components requiring mechanisms to protect the - integrity of boot firmware are defined; - props: - - name: label - value: SI-07(10) - - name: sort-id - value: si-07.10 - links: - - href: "#si-7" - rel: required - - href: "#si-6" - rel: related - parts: - - id: si-7.10_smt - name: statement - prose: "Implement the following mechanisms to protect the integrity\ - \ of boot firmware in {{ insert: param, si-07.10_odp.02 }}: {{\ - \ insert: param, si-07.10_odp.01 }}." - - id: si-7.10_gdn - name: guidance - prose: Unauthorized modifications to boot firmware may indicate - a sophisticated, targeted attack. These types of targeted attacks - can result in a permanent denial of service or a persistent malicious - code presence. These situations can occur if the firmware is corrupted - or if the malicious code is embedded within the firmware. System - components can protect the integrity of boot firmware in organizational - systems by verifying the integrity and authenticity of all updates - to the firmware prior to applying changes to the system component - and preventing unauthorized processes from modifying the boot - firmware. - - name: objective - props: - - name: label - value: SI-07(10) - class: sp800-53A - prose: "{{ insert: param, si-07.10_odp.01 }} are implemented to\ - \ protect the integrity of boot firmware in {{ insert: param,\ - \ si-07.10_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(10)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification tools and associated documentation - - - records of integrity verification scans - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(10)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(10)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing protection - of the integrity of boot firmware - - - safeguards implementing protection of the integrity of boot - firmware - - id: si-7.11 - class: SP800-53-enhancement - title: Confined Environments with Limited Privileges - props: - - name: label - value: SI-07(11) - - name: sort-id - value: si-07.11 - - name: status - value: withdrawn - links: - - href: "#cm-7.6" - rel: moved-to - - id: si-7.12 - class: SP800-53-enhancement - title: Integrity Verification - params: - - id: si-07.12_odp - props: - - name: legacy-identifier - value: si-7.12_prm_1 - - name: label - value: SI-07(12)_ODP - label: user-installed software - guidelines: - - prose: user-installed software requiring integrity verification - prior to execution is defined; - props: - - name: label - value: SI-07(12) - - name: sort-id - value: si-07.12 - links: - - href: "#si-7" - rel: required - - href: "#cm-11" - rel: related - parts: - - id: si-7.12_smt - name: statement - prose: "Require that the integrity of the following user-installed\ - \ software be verified prior to execution: {{ insert: param, si-07.12_odp\ - \ }}." - - id: si-7.12_gdn - name: guidance - prose: Organizations verify the integrity of user-installed software - prior to execution to reduce the likelihood of executing malicious - code or programs that contains errors from unauthorized modifications. - Organizations consider the practicality of approaches to verifying - software integrity, including the availability of trustworthy - checksums from software developers and vendors. - - name: objective - props: - - name: label - value: SI-07(12) - class: sp800-53A - prose: "the integrity of {{ insert: param, si-07.12_odp }} is verified\ - \ prior to execution." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(12)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - integrity verification records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(12)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(12)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing verification - of the integrity of user-installed software prior to execution - - id: si-7.13 - class: SP800-53-enhancement - title: Code Execution in Protected Environments - props: - - name: label - value: SI-07(13) - - name: sort-id - value: si-07.13 - - name: status - value: withdrawn - links: - - href: "#cm-7.7" - rel: moved-to - - id: si-7.14 - class: SP800-53-enhancement - title: Binary or Machine Executable Code - props: - - name: label - value: SI-07(14) - - name: sort-id - value: si-07.14 - - name: status - value: withdrawn - links: - - href: "#cm-7.8" - rel: moved-to - - id: si-7.15 - class: SP800-53-enhancement - title: Code Authentication - params: - - id: si-07.15_odp - props: - - name: legacy-identifier - value: si-7.15_prm_1 - - name: label - value: SI-07(15)_ODP - label: software or firmware components - guidelines: - - prose: software or firmware components to be authenticated by - cryptographic mechanisms prior to installation are defined; - props: - - name: label - value: SI-07(15) - - name: sort-id - value: si-07.15 - links: - - href: "#si-7" - rel: required - - href: "#cm-5" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-7.15_smt - name: statement - prose: "Implement cryptographic mechanisms to authenticate the following\ - \ software or firmware components prior to installation: {{ insert:\ - \ param, si-07.15_odp }}." - - id: si-7.15_gdn - name: guidance - prose: Cryptographic authentication includes verifying that software - or firmware components have been digitally signed using certificates - recognized and approved by organizations. Code signing is an effective - method to protect against malicious code. Organizations that employ - cryptographic mechanisms also consider cryptographic key management - solutions. - - name: objective - props: - - name: label - value: SI-07(15) - class: sp800-53A - prose: "cryptographic mechanisms are implemented to authenticate\ - \ {{ insert: param, si-07.15_odp }} prior to installation." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(15)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software, firmware, and information - integrity - - - system design documentation - - - system configuration settings and associated documentation - - - cryptographic mechanisms and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(15)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(15)-Test - class: sp800-53A - parts: - - name: objects - prose: Cryptographic mechanisms authenticating software and - firmware prior to installation - - id: si-7.16 - class: SP800-53-enhancement - title: Time Limit on Process Execution Without Supervision - params: - - id: si-07.16_odp - props: - - name: legacy-identifier - value: si-7.16_prm_1 - - name: label - value: SI-07(16)_ODP - label: time period - guidelines: - - prose: the maximum time period permitted for processes to execute - without supervision is defined; - props: - - name: label - value: SI-07(16) - - name: sort-id - value: si-07.16 - links: - - href: "#si-7" - rel: required - parts: - - id: si-7.16_smt - name: statement - prose: "Prohibit processes from executing without supervision for\ - \ more than {{ insert: param, si-07.16_odp }}." - - id: si-7.16_gdn - name: guidance - prose: Placing a time limit on process execution without supervision - is intended to apply to processes for which typical or normal - execution periods can be determined and situations in which organizations - exceed such periods. Supervision includes timers on operating - systems, automated responses, and manual oversight and response - when system process anomalies occur. - - name: objective - props: - - name: label - value: SI-07(16) - class: sp800-53A - prose: "processes are prohibited from executing without supervision\ - \ for more than {{ insert: param, si-07.16_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(16)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software and information integrity - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(16)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(16)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing time limits - on process execution without supervision - - id: si-7.17 - class: SP800-53-enhancement - title: Runtime Application Self-protection - params: - - id: si-07.17_odp - props: - - name: legacy-identifier - value: si-7.17_prm_1 - - name: label - value: SI-07(17)_ODP - label: controls - guidelines: - - prose: controls to be implemented for application self-protection - at runtime are defined; - props: - - name: label - value: SI-07(17) - - name: sort-id - value: si-07.17 - links: - - href: "#si-7" - rel: required - - href: "#si-16" - rel: related - parts: - - id: si-7.17_smt - name: statement - prose: "Implement {{ insert: param, si-07.17_odp }} for application\ - \ self-protection at runtime." - - id: si-7.17_gdn - name: guidance - prose: Runtime application self-protection employs runtime instrumentation - to detect and block the exploitation of software vulnerabilities - by taking advantage of information from the software in execution. - Runtime exploit prevention differs from traditional perimeter-based - protections such as guards and firewalls which can only detect - and block attacks by using network information without contextual - awareness. Runtime application self-protection technology can - reduce the susceptibility of software to attacks by monitoring - its inputs and blocking those inputs that could allow attacks. - It can also help protect the runtime environment from unwanted - changes and tampering. When a threat is detected, runtime application - self-protection technology can prevent exploitation and take other - actions (e.g., sending a warning message to the user, terminating - the user's session, terminating the application, or sending an - alert to organizational personnel). Runtime application self-protection - solutions can be deployed in either a monitor or protection mode. - - name: objective - props: - - name: label - value: SI-07(17) - class: sp800-53A - prose: "{{ insert: param, si-07.17_odp }} are implemented for application\ - \ self-protection at runtime." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-07(17)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing software and information integrity - - - system design documentation - - - system configuration settings and associated documentation - - - list of known vulnerabilities addressed by runtime instrumentation - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-07(17)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for software, - firmware, and/or information integrity - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-07(17)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Software, firmware, and information integrity - verification tools - - - automated mechanisms supporting and/or implementing runtime - application self-protection - - id: si-8 - class: SP800-53 - title: Spam Protection - props: - - name: label - value: SI-08 - - name: sort-id - value: si-08 - links: - - href: "#314e33cb-3681-4b50-a2a2-3fae9604accd" - rel: reference - - href: "#1c71b420-2bd9-4e52-9fc8-390f58b85b59" - rel: reference - - href: "#pl-9" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-8_smt - name: statement - parts: - - id: si-8_smt.a - name: item - props: - - name: label - value: a. - prose: Employ spam protection mechanisms at system entry and exit - points to detect and act on unsolicited messages; and - - id: si-8_smt.b - name: item - props: - - name: label - value: b. - prose: Update spam protection mechanisms when new releases are available - in accordance with organizational configuration management policy - and procedures. - - id: si-8_gdn - name: guidance - prose: System entry and exit points include firewalls, remote-access - servers, electronic mail servers, web servers, proxy servers, workstations, - notebook computers, and mobile devices. Spam can be transported by - different means, including email, email attachments, and web accesses. - Spam protection mechanisms include signature definitions. - - name: objective - props: - - name: label - value: SI-08 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-08a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-08a.[01] - class: sp800-53A - prose: spam protection mechanisms are employed at system entry - points to detect unsolicited messages; - - name: objective - props: - - name: label - value: SI-08a.[02] - class: sp800-53A - prose: spam protection mechanisms are employed at system exit - points to detect unsolicited messages; - - name: objective - props: - - name: label - value: SI-08a.[03] - class: sp800-53A - prose: spam protection mechanisms are employed at system entry - points to act on unsolicited messages; - - name: objective - props: - - name: label - value: SI-08a.[04] - class: sp800-53A - prose: spam protection mechanisms are employed at system exit - points to act on unsolicited messages; - - name: objective - props: - - name: label - value: SI-08b. - class: sp800-53A - prose: spam protection mechanisms are updated when new releases - are available in accordance with organizational configuration - management policies and procedures. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-08-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - configuration management policies and procedures (CM-01) - - procedures addressing spam protection - - spam protection mechanisms - - records of spam protection updates - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for spam protection - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-08-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for implementing spam protection - - - automated mechanisms supporting and/or implementing spam protection - controls: - - id: si-8.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-08(01) - - name: sort-id - value: si-08.01 - - name: status - value: withdrawn - links: - - href: "#pl-9" - rel: incorporated-into - - id: si-8.2 - class: SP800-53-enhancement - title: Automatic Updates - params: - - id: si-08.02_odp - props: - - name: legacy-identifier - value: si-8.2_prm_1 - - name: label - value: SI-08(02)_ODP - label: frequency - guidelines: - - prose: the frequency at which to automatically update spam protection - mechanisms is defined; - props: - - name: label - value: SI-08(02) - - name: sort-id - value: si-08.02 - links: - - href: "#si-8" - rel: required - parts: - - id: si-8.2_smt - name: statement - prose: "Automatically update spam protection mechanisms {{ insert:\ - \ param, si-08.02_odp }}." - - id: si-8.2_gdn - name: guidance - prose: Using automated mechanisms to update spam protection mechanisms - helps to ensure that updates occur on a regular basis and provide - the latest content and protection capabilities. - - name: objective - props: - - name: label - value: SI-08(02) - class: sp800-53A - prose: "spam protection mechanisms are automatically updated {{\ - \ insert: param, si-08.02_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-08(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing spam protection - - - spam protection mechanisms - - - records of spam protection updates - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-08(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for spam protection - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-08(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for spam protection - - - automated mechanisms supporting and/or implementing automatic - updates to spam protection mechanisms - - id: si-8.3 - class: SP800-53-enhancement - title: Continuous Learning Capability - props: - - name: label - value: SI-08(03) - - name: sort-id - value: si-08.03 - links: - - href: "#si-8" - rel: required - parts: - - id: si-8.3_smt - name: statement - prose: Implement spam protection mechanisms with a learning capability - to more effectively identify legitimate communications traffic. - - id: si-8.3_gdn - name: guidance - prose: Learning mechanisms include Bayesian filters that respond - to user inputs that identify specific traffic as spam or legitimate - by updating algorithm parameters and thereby more accurately separating - types of traffic. - - name: objective - props: - - name: label - value: SI-08(03) - class: sp800-53A - prose: spam protection mechanisms with a learning capability are - implemented to more effectively identify legitimate communications - traffic. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-08(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing spam protection - - - spam protection mechanisms - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-08(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for spam protection - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-08(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for spam protection - - - automated mechanisms supporting and/or implementing spam protection - mechanisms with a learning capability - - id: si-9 - class: SP800-53 - title: Information Input Restrictions - props: - - name: label - value: SI-09 - - name: sort-id - value: si-09 - - name: status - value: withdrawn - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#ac-3" - rel: incorporated-into - - href: "#ac-5" - rel: incorporated-into - - href: "#ac-6" - rel: incorporated-into - - id: si-10 - class: SP800-53 - title: Information Input Validation - params: - - id: si-10_odp - props: - - name: legacy-identifier - value: si-10_prm_1 - - name: legacy-identifier - value: si-10.1_prm_1 - - name: label - value: SI-10_ODP - label: information inputs - guidelines: - - prose: information inputs to the system requiring validity checks - are defined; - props: - - name: label - value: SI-10 - - name: sort-id - value: si-10 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - parts: - - id: si-10_smt - name: statement - prose: "Check the validity of the following information inputs: {{ insert:\ - \ param, si-10_odp }}." - - id: si-10_gdn - name: guidance - prose: Checking the valid syntax and semantics of system inputs—including - character set, length, numerical range, and acceptable values—verifies - that inputs match specified definitions for format and content. For - example, if the organization specifies that numerical values between - 1-100 are the only acceptable inputs for a field in a given application, - inputs of "387," "abc," or "%K%" are invalid inputs and are not accepted - as input to the system. Valid inputs are likely to vary from field - to field within a software application. Applications typically follow - well-defined protocols that use structured messages (i.e., commands - or queries) to communicate between software modules or system components. - Structured messages can contain raw or unstructured data interspersed - with metadata or control information. If software applications use - attacker-supplied inputs to construct structured messages without - properly encoding such messages, then the attacker could insert malicious - commands or special characters that can cause the data to be interpreted - as control information or metadata. Consequently, the module or component - that receives the corrupted output will perform the wrong operations - or otherwise interpret the data incorrectly. Prescreening inputs prior - to passing them to interpreters prevents the content from being unintentionally - interpreted as commands. Input validation ensures accurate and correct - inputs and prevents attacks such as cross-site scripting and a variety - of injection attacks. - - name: objective - props: - - name: label - value: SI-10 - class: sp800-53A - prose: "the validity of the {{ insert: param, si-10_odp }} are checked." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - access control policy and procedures - - - separation of duties policy and procedures - - - procedures addressing information input validation - - - documentation for automated tools and applications to verify the - validity of information - - - list of information inputs requiring validity checks - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information input - validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing validity - checks on information inputs - controls: - - id: si-10.1 - class: SP800-53-enhancement - title: Manual Override Capability - params: - - id: si-10.01_odp - props: - - name: legacy-identifier - value: si-10.1_prm_2 - - name: label - value: SI-10(01)_ODP - label: authorized individuals - guidelines: - - prose: authorized individuals who can use the manual override - capability are defined; - props: - - name: label - value: SI-10(01) - - name: sort-id - value: si-10.01 - links: - - href: "#si-10" - rel: required - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-10.1_smt - name: statement - parts: - - id: si-10.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Provide a manual override capability for input validation\ - \ of the following information inputs: {{ insert: param, si-10_odp\ - \ }};" - - id: si-10.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Restrict the use of the manual override capability to\ - \ only {{ insert: param, si-10.01_odp }} ; and" - - id: si-10.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Audit the use of the manual override capability. - - id: si-10.1_gdn - name: guidance - prose: In certain situations, such as during events that are defined - in contingency plans, a manual override capability for input validation - may be needed. Manual overrides are used only in limited circumstances - and with the inputs defined by the organization. - - name: objective - props: - - name: label - value: SI-10(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-10(01)(a) - class: sp800-53A - prose: "a manual override capability for the validation of {{\ - \ insert: param, si-10_odp }} is provided;" - - name: objective - props: - - name: label - value: SI-10(01)(b) - class: sp800-53A - prose: "the use of the manual override capability is restricted\ - \ to only {{ insert: param, si-10.01_odp }};" - - name: objective - props: - - name: label - value: SI-10(01)(c) - class: sp800-53A - prose: the use of the manual override capability is audited. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - access control policy and procedures - - - separation of duties policy and procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the use of a manual - override capability - - - automated mechanisms supporting and/or implementing a manual - override capability for input validation - - - automated mechanisms supporting and/or implementing auditing - of the use of a manual override capability - - id: si-10.2 - class: SP800-53-enhancement - title: Review and Resolve Errors - params: - - id: si-10.2_prm_1 - props: - - name: aggregates - value: si-10.02_odp.01 - label: organization-defined time period - - id: si-10.02_odp.01 - props: - - name: label - value: SI-10(02)_ODP[01] - label: time period - guidelines: - - prose: the time period within which input validation errors - are to be reviewed is defined; - - id: si-10.02_odp.02 - props: - - name: label - value: SI-10(02)_ODP[02] - label: time period - guidelines: - - prose: the time period within which input validation errors - are to be resolved is defined; - props: - - name: label - value: SI-10(02) - - name: sort-id - value: si-10.02 - links: - - href: "#si-10" - rel: required - parts: - - id: si-10.2_smt - name: statement - prose: "Review and resolve input validation errors within {{ insert:\ - \ param, si-10.2_prm_1 }}." - - id: si-10.2_gdn - name: guidance - prose: Resolution of input validation errors includes correcting - systemic causes of errors and resubmitting transactions with corrected - input. Input validation errors are those related to the information - inputs defined by the organization in the base control ( [SI-10](#si-10)). - - name: objective - props: - - name: label - value: SI-10(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-10(02)[01] - class: sp800-53A - prose: "input validation errors are reviewed within {{ insert:\ - \ param, si-10.02_odp.01 }};" - - name: objective - props: - - name: label - value: SI-10(02)[02] - class: sp800-53A - prose: "input validation errors are resolved within {{ insert:\ - \ param, si-10.02_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - review records of information input validation errors and - resulting resolutions - - - information input validation error logs or records - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the review and resolution - of input validation errors - - - automated mechanisms supporting and/or implementing the review - and resolution of input validation errors - - id: si-10.3 - class: SP800-53-enhancement - title: Predictable Behavior - props: - - name: label - value: SI-10(03) - - name: sort-id - value: si-10.03 - links: - - href: "#si-10" - rel: required - parts: - - id: si-10.3_smt - name: statement - prose: Verify that the system behaves in a predictable and documented - manner when invalid inputs are received. - - id: si-10.3_gdn - name: guidance - prose: A common vulnerability in organizational systems is unpredictable - behavior when invalid inputs are received. Verification of system - predictability helps ensure that the system behaves as expected - when invalid inputs are received. This occurs by specifying system - responses that allow the system to transition to known states - without adverse, unintended side effects. The invalid inputs are - those related to the information inputs defined by the organization - in the base control ( [SI-10](#si-10)). - - name: objective - props: - - name: label - value: SI-10(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-10(03)[01] - class: sp800-53A - prose: the system behaves in a predictable manner when invalid - inputs are received; - - name: objective - props: - - name: label - value: SI-10(03)[02] - class: sp800-53A - prose: the system behaves in a documented manner when invalid - inputs are received. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing predictable - behavior when invalid inputs are received - - id: si-10.4 - class: SP800-53-enhancement - title: Timing Interactions - props: - - name: label - value: SI-10(04) - - name: sort-id - value: si-10.04 - links: - - href: "#si-10" - rel: required - parts: - - id: si-10.4_smt - name: statement - prose: Account for timing interactions among system components in - determining appropriate responses for invalid inputs. - - id: si-10.4_gdn - name: guidance - prose: In addressing invalid system inputs received across protocol - interfaces, timing interactions become relevant, where one protocol - needs to consider the impact of the error response on other protocols - in the protocol stack. For example, 802.11 standard wireless network - protocols do not interact well with Transmission Control Protocols - (TCP) when packets are dropped (which could be due to invalid - packet input). TCP assumes packet losses are due to congestion, - while packets lost over 802.11 links are typically dropped due - to noise or collisions on the link. If TCP makes a congestion - response, it takes the wrong action in response to a collision - event. Adversaries may be able to use what appear to be acceptable - individual behaviors of the protocols in concert to achieve adverse - effects through suitable construction of invalid input. The invalid - inputs are those related to the information inputs defined by - the organization in the base control ( [SI-10](#si-10)). - - name: objective - props: - - name: label - value: SI-10(04) - class: sp800-53A - prose: timing interactions among system components are accounted - for in determining appropriate responses for invalid inputs. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for determining appropriate - responses to invalid inputs - - - automated mechanisms supporting and/or implementing responses - to invalid inputs - - id: si-10.5 - class: SP800-53-enhancement - title: Restrict Inputs to Trusted Sources and Approved Formats - params: - - id: si-10.05_odp.01 - props: - - name: legacy-identifier - value: si-10.5_prm_1 - - name: label - value: SI-10(05)_ODP[01] - label: trusted sources - guidelines: - - prose: trusted sources to which the use of information inputs - is to be restricted are defined; - - id: si-10.05_odp.02 - props: - - name: legacy-identifier - value: si-10.5_prm_2 - - name: label - value: SI-10(05)_ODP[02] - label: formats - guidelines: - - prose: formats to which the use of information inputs is to - be restricted are defined; - props: - - name: label - value: SI-10(05) - - name: sort-id - value: si-10.05 - links: - - href: "#si-10" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: si-10.5_smt - name: statement - prose: "Restrict the use of information inputs to {{ insert: param,\ - \ si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02\ - \ }}." - - id: si-10.5_gdn - name: guidance - prose: Restricting the use of inputs to trusted sources and in trusted - formats applies the concept of authorized or permitted software - to information inputs. Specifying known trusted sources for information - inputs and acceptable formats for such inputs can reduce the probability - of malicious activity. The information inputs are those defined - by the organization in the base control ( [SI-10](#si-10)). - - name: objective - props: - - name: label - value: SI-10(05) - class: sp800-53A - prose: "the use of information inputs is restricted to {{ insert:\ - \ param, si-10.05_odp.01 }} and/or {{ insert: param, si-10.05_odp.02\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - list of trusted sources for information inputs - - - list of acceptable formats for input restrictions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for restricting information - inputs - - - automated mechanisms supporting and/or implementing restriction - of information inputs - - id: si-10.6 - class: SP800-53-enhancement - title: Injection Prevention - props: - - name: label - value: SI-10(06) - - name: sort-id - value: si-10.06 - links: - - href: "#si-10" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: si-10.6_smt - name: statement - prose: Prevent untrusted data injections. - - id: si-10.6_gdn - name: guidance - prose: Untrusted data injections may be prevented using a parameterized - interface or output escaping (output encoding). Parameterized - interfaces separate data from code so that injections of malicious - or unintended data cannot change the semantics of commands being - sent. Output escaping uses specified characters to inform the - interpreter’s parser whether data is trusted. Prevention of untrusted - data injections are with respect to the information inputs defined - by the organization in the base control ( [SI-10](#si-10)). - - name: objective - props: - - name: label - value: SI-10(06) - class: sp800-53A - prose: untrusted data injections are prevented. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-10(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing information input validation - - - system design documentation - - - system configuration settings and associated documentation - - - list of trusted sources for information inputs - - - list of acceptable formats for input restrictions - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-10(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information - input validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-10(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for preventing untrusted data - injections - - - automated mechanisms supporting and/or implementing injection - prevention - - id: si-11 - class: SP800-53 - title: Error Handling - params: - - id: si-11_odp - props: - - name: legacy-identifier - value: si-11_prm_1 - - name: label - value: SI-11_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles to whom error messages are to be revealed - is/are defined; - props: - - name: label - value: SI-11 - - name: sort-id - value: si-11 - links: - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#sc-31" - rel: related - - href: "#si-2" - rel: related - - href: "#si-15" - rel: related - parts: - - id: si-11_smt - name: statement - parts: - - id: si-11_smt.a - name: item - props: - - name: label - value: a. - prose: Generate error messages that provide information necessary - for corrective actions without revealing information that could - be exploited; and - - id: si-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Reveal error messages only to {{ insert: param, si-11_odp\ - \ }}." - - id: si-11_gdn - name: guidance - prose: Organizations consider the structure and content of error messages. - The extent to which systems can handle error conditions is guided - and informed by organizational policy and operational requirements. - Exploitable information includes stack traces and implementation details; - erroneous logon attempts with passwords mistakenly entered as the - username; mission or business information that can be derived from, - if not stated explicitly by, the information recorded; and personally - identifiable information, such as account numbers, social security - numbers, and credit card numbers. Error messages may also provide - a covert channel for transmitting information. - - name: objective - props: - - name: label - value: SI-11a. - class: sp800-53A - prose: error messages that provide the information necessary for corrective - actions are generated without revealing information that could be - exploited; - - name: objective - props: - - name: label - value: SI-11b. - class: sp800-53A - prose: "error messages are revealed only to {{ insert: param, si-11_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing system error handling - - - system design documentation - - - system configuration settings and associated documentation - - - documentation providing the structure and content of error messages - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for information input - validation - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-11-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for error handling - - - automated mechanisms supporting and/or implementing error handling - - - automated mechanisms supporting and/or implementing the management - of error messages - - id: si-12 - class: SP800-53 - title: Information Management and Retention - props: - - name: label - value: SI-12 - - name: sort-id - value: si-12 - links: - - href: "#e922fc50-b1f9-469f-92ef-ed7d9803611c" - rel: reference - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#ac-16" - rel: related - - href: "#au-5" - rel: related - - href: "#au-11" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-9" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-8" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: si-12_smt - name: statement - prose: Manage and retain information within the system and information - output from the system in accordance with applicable laws, executive - orders, directives, regulations, policies, standards, guidelines and - operational requirements. - - id: si-12_gdn - name: guidance - prose: "Information management and retention requirements cover the\ - \ full life cycle of information, in some cases extending beyond system\ - \ disposal. Information to be retained may also include policies,\ - \ procedures, plans, reports, data output from control implementation,\ - \ and other types of administrative information. The National Archives\ - \ and Records Administration (NARA) provides federal policy and guidance\ - \ on records retention and schedules. If organizations have a records\ - \ management office, consider coordinating with records management\ - \ personnel. Records produced from the output of implemented controls\ - \ that may require management and retention include, but are not limited\ - \ to: All XX-1, [AC-6(9)](#ac-6.9), [AT-4](#at-4), [AU-12](#au-12),\ - \ [CA-2](#ca-2), [CA-3](#ca-3), [CA-5](#ca-5), [CA-6](#ca-6), [CA-7](#ca-7),\ - \ [CA-8](#ca-8), [CA-9](#ca-9), [CM-2](#cm-2), [CM-3](#cm-3), [CM-4](#cm-4),\ - \ [CM-6](#cm-6), [CM-8](#cm-8), [CM-9](#cm-9), [CM-12](#cm-12), [CM-13](#cm-13),\ - \ [CP-2](#cp-2), [IR-6](#ir-6), [IR-8](#ir-8), [MA-2](#ma-2), [MA-4](#ma-4),\ - \ [PE-2](#pe-2), [PE-8](#pe-8), [PE-16](#pe-16), [PE-17](#pe-17),\ - \ [PL-2](#pl-2), [PL-4](#pl-4), [PL-7](#pl-7), [PL-8](#pl-8), [PM-5](#pm-5),\ - \ [PM-8](#pm-8), [PM-9](#pm-9), [PM-18](#pm-18), [PM-21](#pm-21),\ - \ [PM-27](#pm-27), [PM-28](#pm-28), [PM-30](#pm-30), [PM-31](#pm-31),\ - \ [PS-2](#ps-2), [PS-6](#ps-6), [PS-7](#ps-7), [PT-2](#pt-2), [PT-3](#pt-3),\ - \ [PT-7](#pt-7), [RA-2](#ra-2), [RA-3](#ra-3), [RA-5](#ra-5), [RA-8](#ra-8),\ - \ [SA-4](#sa-4), [SA-5](#sa-5), [SA-8](#sa-8), [SA-10](#sa-10), [SI-4](#si-4),\ - \ [SR-2](#sr-2), [SR-4](#sr-4), [SR-8](#sr-8)." - - name: objective - props: - - name: label - value: SI-12 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-12[01] - class: sp800-53A - prose: information within the system is managed in accordance with - applicable laws, Executive Orders, directives, regulations, policies, - standards, guidelines, and operational requirements; - - name: objective - props: - - name: label - value: SI-12[02] - class: sp800-53A - prose: information within the system is retained in accordance with - applicable laws, Executive Orders, directives, regulations, policies, - standards, guidelines, and operational requirements; - - name: objective - props: - - name: label - value: SI-12[03] - class: sp800-53A - prose: information output from the system is managed in accordance - with applicable laws, Executive Orders, directives, regulations, - policies, standards, guidelines, and operational requirements; - - name: objective - props: - - name: label - value: SI-12[04] - class: sp800-53A - prose: information output from the system is retained in accordance - with applicable laws, Executive Orders, directives, regulations, - policies, standards, guidelines, and operational requirements. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-12-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - records retention and disposition policy - - - records retention and disposition procedures - - - federal laws, Executive Orders, directives, policies, regulations, - standards, and operational requirements applicable to information - management and retention - - - media protection policy - - - media protection procedures - - - audit findings - - - system security plan - - - privacy plan - - - privacy program plan - - - personally identifiable information inventory - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information and records - management, retention, and disposition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-12-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for information management, - retention, and disposition - - - automated mechanisms supporting and/or implementing information - management, retention, and disposition - controls: - - id: si-12.1 - class: SP800-53-enhancement - title: Limit Personally Identifiable Information Elements - params: - - id: si-12.01_odp - props: - - name: legacy-identifier - value: si-12.1_prm_1 - - name: label - value: SI-12(01)_ODP - label: elements of personally identifiable information - guidelines: - - prose: elements of personally identifiable information being - processed in the information life cycle are defined; - props: - - name: label - value: SI-12(01) - - name: sort-id - value: si-12.01 - links: - - href: "#si-12" - rel: required - - href: "#pm-25" - rel: related - parts: - - id: si-12.1_smt - name: statement - prose: "Limit personally identifiable information being processed\ - \ in the information life cycle to the following elements of personally\ - \ identifiable information: {{ insert: param, si-12.01_odp }}." - - id: si-12.1_gdn - name: guidance - prose: Limiting the use of personally identifiable information throughout - the information life cycle when the information is not needed - for operational purposes helps to reduce the level of privacy - risk created by a system. The information life cycle includes - information creation, collection, use, processing, storage, maintenance, - dissemination, disclosure, and disposition. Risk assessments as - well as applicable laws, regulations, and policies can provide - useful inputs to determining which elements of personally identifiable - information may create risk. - - name: objective - props: - - name: label - value: SI-12(01) - class: sp800-53A - prose: "personally identifiable information being processed in the\ - \ information life cycle is limited to {{ insert: param, si-12.01_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-12(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - personally identifiable information processing procedures - - - records retention and disposition policy - - - records retention and disposition procedures - - - federal laws, Executive Orders, directives, policies, regulations, - standards, and operational requirements applicable to limiting - personally identifiable information elements - - - personally identifiable information inventory - - - system audit records - - - audit findings - - - system security plan - - - privacy plan - - - privacy program plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - data mapping documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-12(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information and records - management, retention, and disposition responsibilities - - - organizational personnel with security and privacy responsibilities - - - network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-12(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for information management and - retention (including limiting personally identifiable - information processing) - - - automated mechanisms supporting and/or implementing limits - to personally identifiable information processing - - id: si-12.2 - class: SP800-53-enhancement - title: Minimize Personally Identifiable Information in Testing, Training, - and Research - params: - - id: si-12.2_prm_1 - props: - - name: aggregates - value: si-12.02_odp.01 - label: organization-defined techniques - - id: si-12.02_odp.01 - props: - - name: label - value: SI-12(02)_ODP[01] - label: techniques - guidelines: - - prose: techniques used to minimize the use of personally identifiable - information for research are defined; - - id: si-12.02_odp.02 - props: - - name: label - value: SI-12(02)_ODP[02] - label: techniques - guidelines: - - prose: techniques used to minimize the use of personally identifiable - information for testing are defined; - - id: si-12.02_odp.03 - props: - - name: label - value: SI-12(02)_ODP[03] - label: techniques - guidelines: - - prose: techniques used to minimize the use of personally identifiable - information for training are defined; - props: - - name: label - value: SI-12(02) - - name: sort-id - value: si-12.02 - links: - - href: "#si-12" - rel: required - - href: "#pm-22" - rel: related - - href: "#pm-25" - rel: related - - href: "#si-19" - rel: related - parts: - - id: si-12.2_smt - name: statement - prose: "Use the following techniques to minimize the use of personally\ - \ identifiable information for research, testing, or training:\ - \ {{ insert: param, si-12.2_prm_1 }}." - - id: si-12.2_gdn - name: guidance - prose: Organizations can minimize the risk to an individual’s privacy - by employing techniques such as de-identification or synthetic - data. Limiting the use of personally identifiable information - throughout the information life cycle when the information is - not needed for research, testing, or training helps reduce the - level of privacy risk created by a system. Risk assessments as - well as applicable laws, regulations, and policies can provide - useful inputs to determining the techniques to use and when to - use them. - - name: objective - props: - - name: label - value: SI-12(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-12(02)[01] - class: sp800-53A - prose: "{{ insert: param, si-12.02_odp.01 }} are used to minimize\ - \ the use of personally identifiable information for research;" - - name: objective - props: - - name: label - value: SI-12(02)[02] - class: sp800-53A - prose: "{{ insert: param, si-12.02_odp.02 }} are used to minimize\ - \ the use of personally identifiable information for testing;" - - name: objective - props: - - name: label - value: SI-12(02)[03] - class: sp800-53A - prose: "{{ insert: param, si-12.02_odp.03 }} are used to minimize\ - \ the use of personally identifiable information for training." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-12(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - personally identifiable information processing procedures - - - federal laws, Executive Orders, directives, policies, regulations, - standards, and operational requirements applicable to minimizing - the use of personally identifiable information in testing, - training, and research - - - policy for the minimization of personally identifiable information - used in testing, training, and research - - - procedures for the minimization of personally identifiable - information used in testing, training, and research - - - documentation supporting minimization policy implementation - (e.g., templates for testing, training, and research) - - - data sets used for testing, training, and research - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-12(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information and records - management, retention, and disposition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - network administrators - - - system developers - - - personnel with IRB responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-12(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the minimization of - personally identifiable information used in testing, - training, and research - - - automated mechanisms supporting and/or implementing the minimization - of personally identifiable information used in testing, training, - and research - - id: si-12.3 - class: SP800-53-enhancement - title: Information Disposal - params: - - id: si-12.3_prm_1 - props: - - name: aggregates - value: si-12.03_odp.01 - label: organization-defined techniques - - id: si-12.03_odp.01 - props: - - name: label - value: SI-12(03)_ODP[01] - label: techniques - guidelines: - - prose: techniques used to dispose of information following the - retention period are defined; - - id: si-12.03_odp.02 - props: - - name: label - value: SI-12(03)_ODP[02] - label: techniques - guidelines: - - prose: techniques used to destroy information following the - retention period are defined; - - id: si-12.03_odp.03 - props: - - name: label - value: SI-12(03)_ODP[03] - label: techniques - guidelines: - - prose: techniques used to erase information following the retention - period are defined; - props: - - name: label - value: SI-12(03) - - name: sort-id - value: si-12.03 - links: - - href: "#si-12" - rel: required - parts: - - id: si-12.3_smt - name: statement - prose: "Use the following techniques to dispose of, destroy, or\ - \ erase information following the retention period: {{ insert:\ - \ param, si-12.3_prm_1 }}." - - id: si-12.3_gdn - name: guidance - prose: Organizations can minimize both security and privacy risks - by disposing of information when it is no longer needed. The disposal - or destruction of information applies to originals as well as - copies and archived records, including system logs that may contain - personally identifiable information. - - name: objective - props: - - name: label - value: SI-12(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-12(03)[01] - class: sp800-53A - prose: "{{ insert: param, si-12.03_odp.01 }} are used to dispose\ - \ of information following the retention period;" - - name: objective - props: - - name: label - value: SI-12(03)[02] - class: sp800-53A - prose: "{{ insert: param, si-12.03_odp.02 }} are used to destroy\ - \ information following the retention period;" - - name: objective - props: - - name: label - value: SI-12(03)[03] - class: sp800-53A - prose: "{{ insert: param, si-12.03_odp.03 }} are used to erase\ - \ information following the retention period." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-12(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - personally identifiable information processing procedures - - - records retention and disposition policy - - - records retention and disposition procedures - - - laws, Executive Orders, directives, policies, regulations, - standards, and operational requirements applicable to information - disposal - - - media protection policy - - - media protection procedures - - - system audit records - - - audit findings - - - information disposal records - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-12(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information and records - management, retention, and disposition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - network administrators - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-12(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for information disposition - - - automated mechanisms supporting and/or implementing information - disposition - - id: si-13 - class: SP800-53 - title: Predictable Failure Prevention - params: - - id: si-13_odp.01 - props: - - name: legacy-identifier - value: si-13_prm_1 - - name: label - value: SI-13_ODP[01] - label: system components - guidelines: - - prose: system components for which mean time to failure (MTTF) should - be determined are defined; - - id: si-13_odp.02 - props: - - name: legacy-identifier - value: si-13_prm_2 - - name: label - value: SI-13_ODP[02] - label: mean time to failure (MTTF) substitution criteria - guidelines: - - prose: mean time to failure (MTTF) substitution criteria to be used - as a means to exchange active and standby components are defined; - props: - - name: label - value: SI-13 - - name: sort-id - value: si-13 - links: - - href: "#cp-2" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-13" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-6" - rel: related - parts: - - id: si-13_smt - name: statement - parts: - - id: si-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine mean time to failure (MTTF) for the following\ - \ system components in specific environments of operation: {{\ - \ insert: param, si-13_odp.01 }} ; and" - - id: si-13_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide substitute system components and a means to exchange\ - \ active and standby components in accordance with the following\ - \ criteria: {{ insert: param, si-13_odp.02 }}." - - id: si-13_gdn - name: guidance - prose: While MTTF is primarily a reliability issue, predictable failure - prevention is intended to address potential failures of system components - that provide security capabilities. Failure rates reflect installation-specific - consideration rather than the industry-average. Organizations define - the criteria for the substitution of system components based on the - MTTF value with consideration for the potential harm from component - failures. The transfer of responsibilities between active and standby - components does not compromise safety, operational readiness, or security - capabilities. The preservation of system state variables is also critical - to help ensure a successful transfer process. Standby components remain - available at all times except for maintenance issues or recovery failures - in progress. - - name: objective - props: - - name: label - value: SI-13 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-13a. - class: sp800-53A - prose: "mean time to failure (MTTF) is determined for {{ insert:\ - \ param, si-13_odp.01 }} in specific environments of operation;" - - name: objective - props: - - name: label - value: SI-13b. - class: sp800-53A - prose: "substitute system components and a means to exchange active\ - \ and standby components are provided in accordance with {{ insert:\ - \ param, si-13_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-13-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - procedures addressing predictable failure prevention - - system design documentation - - system configuration settings and associated documentation - - list of MTTF substitution criteria - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-13-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for MTTF determinations - and activities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with contingency planning responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-13-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing MTTF - controls: - - id: si-13.1 - class: SP800-53-enhancement - title: Transferring Component Responsibilities - params: - - id: si-13.01_odp - props: - - name: legacy-identifier - value: si-13.1_prm_1 - - name: label - value: SI-13(01)_ODP - label: fraction or percentage - guidelines: - - prose: the fraction or percentage of mean time to failure within - which to transfer the responsibilities of a system component - to a substitute component is defined; - props: - - name: label - value: SI-13(01) - - name: sort-id - value: si-13.01 - links: - - href: "#si-13" - rel: required - parts: - - id: si-13.1_smt - name: statement - prose: "Take system components out of service by transferring component\ - \ responsibilities to substitute components no later than {{ insert:\ - \ param, si-13.01_odp }} of mean time to failure." - - id: si-13.1_gdn - name: guidance - prose: Transferring primary system component responsibilities to - other substitute components prior to primary component failure - is important to reduce the risk of degraded or debilitated mission - or business functions. Making such transfers based on a percentage - of mean time to failure allows organizations to be proactive based - on their risk tolerance. However, the premature replacement of - system components can result in the increased cost of system operations. - - name: objective - props: - - name: label - value: SI-13(01) - class: sp800-53A - prose: "system components are taken out of service by transferring\ - \ component responsibilities to substitute components no later\ - \ than {{ insert: param, si-13.01_odp }} of mean time to failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-13(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing predictable failure prevention - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-13(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for MTTF activities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with contingency planning responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-13(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing MTTF - - - automated mechanisms supporting and/or implementing the transfer - of component responsibilities to substitute components - - id: si-13.2 - class: SP800-53-enhancement - title: Time Limit on Process Execution Without Supervision - props: - - name: label - value: SI-13(02) - - name: sort-id - value: si-13.02 - - name: status - value: withdrawn - links: - - href: "#si-7.16" - rel: incorporated-into - - id: si-13.3 - class: SP800-53-enhancement - title: Manual Transfer Between Components - params: - - id: si-13.03_odp - props: - - name: legacy-identifier - value: si-13.3_prm_1 - - name: label - value: SI-13(03)_ODP - label: percentage - guidelines: - - prose: "the percentage of the mean time to failure for transfers\ - \ to be manually initiated is defined:" - props: - - name: label - value: SI-13(03) - - name: sort-id - value: si-13.03 - links: - - href: "#si-13" - rel: required - parts: - - id: si-13.3_smt - name: statement - prose: "Manually initiate transfers between active and standby system\ - \ components when the use of the active component reaches {{ insert:\ - \ param, si-13.03_odp }} of the mean time to failure." - - id: si-13.3_gdn - name: guidance - prose: For example, if the MTTF for a system component is 100 days - and the MTTF percentage defined by the organization is 90 percent, - the manual transfer would occur after 90 days. - - name: objective - props: - - name: label - value: SI-13(03) - class: sp800-53A - prose: "transfers are initiated manually between active and standby\ - \ system components when the use of the active component reaches\ - \ {{ insert: param, si-13.03_odp }} of the mean time to failure." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-13(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing predictable failure prevention - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-13(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for MTTF activities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with contingency planning responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-13(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for managing MTTF and conducting - the manual transfer between active and standby components - - id: si-13.4 - class: SP800-53-enhancement - title: Standby Component Installation and Notification - params: - - id: si-13.04_odp.01 - props: - - name: legacy-identifier - value: si-13.4_prm_1 - - name: label - value: SI-13(04)_ODP[01] - label: time period - guidelines: - - prose: time period for standby components to be installed is - defined; - - id: si-13.04_odp.02 - props: - - name: legacy-identifier - value: si-13.4_prm_2 - - name: label - value: SI-13(04)_ODP[02] - select: - how-many: one-or-more - choice: - - "activate{{ insert: param, si-13.04_odp.03 }} " - - automatically shut down the system - - " {{ insert: param, si-13.04_odp.04 }} " - - id: si-13.04_odp.03 - props: - - name: legacy-identifier - value: si-13.4_prm_3 - - name: label - value: SI-13(04)_ODP[03] - label: alarm - guidelines: - - prose: alarm to be activated when system component failures - are detected is defined (if selected); - - id: si-13.04_odp.04 - props: - - name: legacy-identifier - value: si-13.4_prm_4 - - name: label - value: SI-13(04)_ODP[04] - label: action - guidelines: - - prose: action to be taken when system component failures are - detected is defined (if selected); - props: - - name: label - value: SI-13(04) - - name: sort-id - value: si-13.04 - links: - - href: "#si-13" - rel: required - parts: - - id: si-13.4_smt - name: statement - prose: "If system component failures are detected:" - parts: - - id: si-13.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Ensure that the standby components are successfully\ - \ and transparently installed within {{ insert: param, si-13.04_odp.01\ - \ }} ; and" - - id: si-13.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-13.04_odp.02 }}." - - id: si-13.4_gdn - name: guidance - prose: Automatic or manual transfer of components from standby to - active mode can occur upon the detection of component failures. - - name: objective - props: - - name: label - value: SI-13(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-13(04)(a) - class: sp800-53A - prose: "the standby components are successfully and transparently\ - \ installed within {{ insert: param, si-13.04_odp.01 }} if\ - \ system component failures are detected;" - - name: objective - props: - - name: label - value: SI-13(04)(b) - class: sp800-53A - prose: "{{ insert: param, si-13.04_odp.02 }} are performed if\ - \ system component failures are detected." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-13(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing predictable failure prevention - - - system design documentation - - - system configuration settings and associated documentation - - - list of actions to be taken once system component failure - is detected - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-13(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for MTTF activities - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with contingency planning responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-13(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing MTTF - - - automated mechanisms supporting and/or implementing the transparent - installation of standby components - - - automated mechanisms supporting and/or implementing alarms - or system shutdown if component failures are detected - - id: si-13.5 - class: SP800-53-enhancement - title: Failover Capability - params: - - id: si-13.05_odp.01 - props: - - name: legacy-identifier - value: si-13.5_prm_1 - - name: label - value: SI-13(05)_ODP[01] - select: - choice: - - real-time - - near real-time - - id: si-13.05_odp.02 - props: - - name: legacy-identifier - value: si-13.5_prm_2 - - name: label - value: SI-13(05)_ODP[02] - label: failover capability - guidelines: - - prose: a failover capability for the system has been defined; - props: - - name: label - value: SI-13(05) - - name: sort-id - value: si-13.05 - links: - - href: "#si-13" - rel: required - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - parts: - - id: si-13.5_smt - name: statement - prose: "Provide {{ insert: param, si-13.05_odp.01 }} {{ insert:\ - \ param, si-13.05_odp.02 }} for the system." - - id: si-13.5_gdn - name: guidance - prose: Failover refers to the automatic switchover to an alternate - system upon the failure of the primary system. Failover capability - includes incorporating mirrored system operations at alternate - processing sites or periodic data mirroring at regular intervals - defined by the recovery time periods of organizations. - - name: objective - props: - - name: label - value: SI-13(05) - class: sp800-53A - prose: "{{ insert: param, si-13.05_odp.01 }} {{ insert: param, si-13.05_odp.02\ - \ }} is provided for the system." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-13(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing predictable failure prevention - - - system design documentation - - - system configuration settings and associated documentation - - - documentation describing the failover capability provided - for the system - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-13(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for the failover - capability - - - organizational personnel with information security responsibilities - - - system/network administrators - - - organizational personnel with contingency planning responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-13(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for managing the failover - capability - - - automated mechanisms supporting and/or implementing the failover - capability - - id: si-14 - class: SP800-53 - title: Non-persistence - params: - - id: si-14_odp.01 - props: - - name: legacy-identifier - value: si-14_prm_1 - - name: label - value: SI-14_ODP[01] - label: system components and services - guidelines: - - prose: non-persistent system components and services to be implemented - are defined; - - id: si-14_odp.02 - props: - - name: legacy-identifier - value: si-14_prm_2 - - name: label - value: SI-14_ODP[02] - select: - how-many: one-or-more - choice: - - upon end of session of use - - " {{ insert: param, si-14_odp.03 }} " - - id: si-14_odp.03 - props: - - name: legacy-identifier - value: si-14_prm_3 - - name: label - value: SI-14_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to terminate non-persistent components - and services that are initiated in a known state is defined (if - selected); - props: - - name: label - value: SI-14 - - name: sort-id - value: si-14 - links: - - href: "#sc-30" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-21" - rel: related - parts: - - id: si-14_smt - name: statement - prose: "Implement non-persistent {{ insert: param, si-14_odp.01 }} that\ - \ are initiated in a known state and terminated {{ insert: param,\ - \ si-14_odp.02 }}." - - id: si-14_gdn - name: guidance - prose: >- - Implementation of non-persistent components and services - mitigates risk from advanced persistent threats (APTs) by - reducing the targeting capability of adversaries (i.e., window - of opportunity and available attack surface) to initiate and - complete attacks. By implementing the concept of non-persistence - for selected system components, organizations can provide a - trusted, known state computing resource for a specific time - period that does not give adversaries sufficient time to exploit - vulnerabilities in organizational systems or operating - environments. Since the APT is a high-end, sophisticated threat - with regard to capability, intent, and targeting, organizations - assume that over an extended period, a percentage of attacks - will be successful. Non-persistent system components and - services are activated as required using protected information - and terminated periodically or at the end of sessions. - Non-persistence increases the work factor of adversaries - attempting to compromise or breach organizational systems. - - - Non-persistence can be achieved by refreshing system components, periodically - reimaging components, or using a variety of common virtualization - techniques. Non-persistent services can be implemented by using virtualization - techniques as part of virtual machines or as new instances of processes - on physical machines (either persistent or non-persistent). The benefit - of periodic refreshes of system components and services is that it - does not require organizations to first determine whether compromises - of components or services have occurred (something that may often - be difficult to determine). The refresh of selected system components - and services occurs with sufficient frequency to prevent the spread - or intended impact of attacks, but not with such frequency that it - makes the system unstable. Refreshes of critical components and services - may be done periodically to hinder the ability of adversaries to exploit - optimum windows of vulnerabilities. - - name: objective - props: - - name: label - value: SI-14 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-14[01] - class: sp800-53A - prose: "non-persistent {{ insert: param, si-14_odp.01 }} that are\ - \ initiated in a known state;" - - name: objective - props: - - name: label - value: SI-14[02] - class: sp800-53A - prose: "non-persistent {{ insert: param, si-14_odp.01 }} are terminated\ - \ {{ insert: param, si-14_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-14-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - procedures addressing non-persistence for system components - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-14-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for non-persistence - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-14-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the initiation - and termination of non-persistent components - controls: - - id: si-14.1 - class: SP800-53-enhancement - title: Refresh from Trusted Sources - params: - - id: si-14.01_odp - props: - - name: legacy-identifier - value: si-14.1_prm_1 - - name: label - value: SI-14(01)_ODP - label: trusted sources - guidelines: - - prose: trusted sources to obtain software and data for system - component and service refreshes are defined; - props: - - name: label - value: SI-14(01) - - name: sort-id - value: si-14.01 - links: - - href: "#si-14" - rel: required - parts: - - id: si-14.1_smt - name: statement - prose: "Obtain software and data employed during system component\ - \ and service refreshes from the following trusted sources: {{\ - \ insert: param, si-14.01_odp }}." - - id: si-14.1_gdn - name: guidance - prose: Trusted sources include software and data from write-once, - read-only media or from selected offline secure storage facilities. - - name: objective - props: - - name: label - value: SI-14(01) - class: sp800-53A - prose: "the software and data employed during system component and\ - \ service refreshes are obtained from {{ insert: param, si-14.01_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-14(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing non-persistence for system components - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-14(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for obtaining - component and service refreshes from trusted sources - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-14(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and obtaining - component and service refreshes from trusted sources - - - automated mechanisms supporting and/or implementing component - and service refreshes - - id: si-14.2 - class: SP800-53-enhancement - title: Non-persistent Information - params: - - id: si-14.02_odp.01 - props: - - name: legacy-identifier - value: si-14.2_prm_1 - - name: label - value: SI-14(02)_ODP[01] - select: - choice: - - "refresh{{ insert: param, si-14.02_odp.02 }} {{ insert: param,\ - \ si-14.02_odp.03 }} " - - "generate{{ insert: param, si-14.02_odp.04 }}on demand" - - id: si-14.02_odp.02 - props: - - name: legacy-identifier - value: si-14.2_prm_2 - - name: label - value: SI-14(02)_ODP[02] - label: information - guidelines: - - prose: the information to be refreshed is defined (if selected); - - id: si-14.02_odp.03 - props: - - name: legacy-identifier - value: si-14.2_prm_3 - - name: label - value: SI-14(02)_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to refresh information is defined - (if selected); - - id: si-14.02_odp.04 - props: - - name: legacy-identifier - value: si-14.2_prm_4 - - name: label - value: SI-14(02)_ODP[04] - label: information - guidelines: - - prose: the information to be generated is defined (if selected); - props: - - name: label - value: SI-14(02) - - name: sort-id - value: si-14.02 - links: - - href: "#si-14" - rel: required - parts: - - id: si-14.2_smt - name: statement - parts: - - id: si-14.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, si-14.02_odp.01 }} ; and" - - id: si-14.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Delete information when no longer needed. - - id: si-14.2_gdn - name: guidance - prose: Retaining information longer than is needed makes the information - a potential target for advanced adversaries searching for high - value assets to compromise through unauthorized disclosure, unauthorized - modification, or exfiltration. For system-related information, - unnecessary retention provides advanced adversaries information - that can assist in their reconnaissance and lateral movement through - the system. - - name: objective - props: - - name: label - value: SI-14(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-14(02)(a) - class: sp800-53A - prose: "{{ insert: param, si-14.02_odp.01 }} is performed;" - - name: objective - props: - - name: label - value: SI-14(02)(b) - class: sp800-53A - prose: information is deleted when no longer needed. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-14(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing non-persistence for system components - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-14(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for ensuring that - information is and remains non-persistent - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-14(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for ensuring that information - is and remains non-persistent - - - automated mechanisms supporting and/or implementing component - and service refreshes - - id: si-14.3 - class: SP800-53-enhancement - title: Non-persistent Connectivity - params: - - id: si-14.03_odp - props: - - name: legacy-identifier - value: si-14.3_prm_1 - - name: label - value: SI-14(03)_ODP - select: - choice: - - completion of a request - - a period of non-use - props: - - name: label - value: SI-14(03) - - name: sort-id - value: si-14.03 - links: - - href: "#si-14" - rel: required - - href: "#sc-10" - rel: related - parts: - - id: si-14.3_smt - name: statement - prose: "Establish connections to the system on demand and terminate\ - \ connections after {{ insert: param, si-14.03_odp }}." - - id: si-14.3_gdn - name: guidance - prose: Persistent connections to systems can provide advanced adversaries - with paths to move laterally through systems and potentially position - themselves closer to high value assets. Limiting the availability - of such connections impedes the adversary’s ability to move freely - through organizational systems. - - name: objective - props: - - name: label - value: SI-14(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-14(03)[01] - class: sp800-53A - prose: connections to the system are established on demand; - - name: objective - props: - - name: label - value: SI-14(03)[02] - class: sp800-53A - prose: "connections to the system are terminated after {{ insert:\ - \ param, si-14.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-14(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing non-persistence for system components - - - system design documentation - - - system configuration settings and associated documentation - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-14(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for limiting - persistent connections - - - organizational personnel with information security responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-14(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for limiting persistent - connections - - - automated mechanisms supporting and/or implementing non-persistent - connectivity - - id: si-15 - class: SP800-53 - title: Information Output Filtering - params: - - id: si-15_odp - props: - - name: legacy-identifier - value: si-15_prm_1 - - name: label - value: SI-15_ODP - label: software programs and/or applications - guidelines: - - prose: software programs and/or applications whose information output - requires validation are defined; - props: - - name: label - value: SI-15 - - name: sort-id - value: si-15 - links: - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-11" - rel: related - parts: - - id: si-15_smt - name: statement - prose: "Validate information output from the following software programs\ - \ and/or applications to ensure that the information is consistent\ - \ with the expected content: {{ insert: param, si-15_odp }}." - - id: si-15_gdn - name: guidance - prose: Certain types of attacks, including SQL injections, produce output - results that are unexpected or inconsistent with the output results - that would be expected from software programs or applications. Information - output filtering focuses on detecting extraneous content, preventing - such extraneous content from being displayed, and then alerting monitoring - tools that anomalous behavior has been discovered. - - name: objective - props: - - name: label - value: SI-15 - class: sp800-53A - prose: "information output from {{ insert: param, si-15_odp }} is validated\ - \ to ensure that the information is consistent with the expected content." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-15-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - procedures addressing information output filtering - - system design documentation - - system configuration settings and associated documentation - - system audit records - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-15-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for validating - information output - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-15-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for validating information output - - - automated mechanisms supporting and/or implementing information - output validation - - id: si-16 - class: SP800-53 - title: Memory Protection - params: - - id: si-16_odp - props: - - name: legacy-identifier - value: si-16_prm_1 - - name: label - value: SI-16_ODP - label: controls - guidelines: - - prose: controls to be implemented to protect the system memory from - unauthorized code execution are defined; - props: - - name: label - value: SI-16 - - name: sort-id - value: si-16 - links: - - href: "#ac-25" - rel: related - - href: "#sc-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: si-16_smt - name: statement - prose: "Implement the following controls to protect the system memory\ - \ from unauthorized code execution: {{ insert: param, si-16_odp }}." - - id: si-16_gdn - name: guidance - prose: Some adversaries launch attacks with the intent of executing - code in non-executable regions of memory or in memory locations that - are prohibited. Controls employed to protect memory include data execution - prevention and address space layout randomization. Data execution - prevention controls can either be hardware-enforced or software-enforced - with hardware enforcement providing the greater strength of mechanism. - - name: objective - props: - - name: label - value: SI-16 - class: sp800-53A - prose: "{{ insert: param, si-16_odp }} are implemented to protect the\ - \ system memory from unauthorized code execution." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-16-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - procedures addressing memory protection for the system - - - system design documentation - - - system configuration settings and associated documentation - - - list of security safeguards protecting system memory from unauthorized - code execution - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-16-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for memory protection - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-16-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing safeguards - to protect the system memory from unauthorized code execution - - id: si-17 - class: SP800-53 - title: Fail-safe Procedures - params: - - id: si-17_prm_1 - props: - - name: aggregates - value: si-17_odp.01 - label: organization-defined list of failure conditions and associated - fail-safe procedures - - id: si-17_odp.01 - props: - - name: label - value: SI-17_ODP[01] - label: fail-safe procedures - guidelines: - - prose: fail-safe procedures associated with failure conditions are - defined; - - id: si-17_odp.02 - props: - - name: label - value: SI-17_ODP[02] - label: list of failure conditions - guidelines: - - prose: a list of failure conditions requiring fail-safe procedures - is defined; - props: - - name: label - value: SI-17 - - name: sort-id - value: si-17 - links: - - href: "#cp-12" - rel: related - - href: "#cp-13" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: si-17_smt - name: statement - prose: "Implement the indicated fail-safe procedures when the indicated\ - \ failures occur: {{ insert: param, si-17_prm_1 }}." - - id: si-17_gdn - name: guidance - prose: Failure conditions include the loss of communications among critical - system components or between system components and operational facilities. - Fail-safe procedures include alerting operator personnel and providing - specific instructions on subsequent steps to take. Subsequent steps - may include doing nothing, reestablishing system settings, shutting - down processes, restarting the system, or contacting designated organizational - personnel. - - name: objective - props: - - name: label - value: SI-17 - class: sp800-53A - prose: "{{ insert: param, si-17_odp.01 }} are implemented when {{ insert:\ - \ param, si-17_odp.02 }} occur." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-17-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - documentation addressing fail-safe procedures for the system - - - system design documentation - - - system configuration settings and associated documentation - - - list of security safeguards protecting the system memory from - unauthorized code execution - - - system audit records - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-17-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for fail-safe - procedures - - - organizational personnel with information security responsibilities - - - system/network administrators - - - system developer - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-17-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational fail-safe procedures - - - automated mechanisms supporting and/or implementing fail-safe - procedures - - id: si-18 - class: SP800-53 - title: Personally Identifiable Information Quality Operations - params: - - id: si-18_prm_1 - props: - - name: aggregates - value: si-18_odp.01 - label: organization-defined frequency - - id: si-18_odp.01 - props: - - name: label - value: SI-18_ODP[01] - label: frequency - guidelines: - - prose: the frequency at which to check the accuracy of personally - identifiable information across the information life cycle is - defined; - - id: si-18_odp.02 - props: - - name: label - value: SI-18_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to check the relevance of personally - identifiable information across the information life cycle is - defined; - - id: si-18_odp.03 - props: - - name: label - value: SI-18_ODP[03] - label: frequency - guidelines: - - prose: the frequency at which to check the timeliness of personally - identifiable information across the information life cycle is - defined; - - id: si-18_odp.04 - props: - - name: label - value: SI-18_ODP[04] - label: frequency - guidelines: - - prose: the frequency at which to check the completeness of personally - identifiable information across the information life cycle is - defined; - props: - - name: label - value: SI-18 - - name: sort-id - value: si-18 - links: - - href: "#227063d4-431e-435f-9e8f-009b6dbc20f4" - rel: reference - - href: "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2" - rel: reference - - href: "#a2590922-82f3-4277-83c0-ca5bee06dba4" - rel: reference - - href: "#pm-22" - rel: related - - href: "#pm-24" - rel: related - - href: "#pt-2" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-18_smt - name: statement - parts: - - id: si-18_smt.a - name: item - props: - - name: label - value: a. - prose: "Check the accuracy, relevance, timeliness, and completeness\ - \ of personally identifiable information across the information\ - \ life cycle {{ insert: param, si-18_prm_1 }} ; and" - - id: si-18_smt.b - name: item - props: - - name: label - value: b. - prose: Correct or delete inaccurate or outdated personally identifiable - information. - - id: si-18_gdn - name: guidance - prose: Personally identifiable information quality operations include - the steps that organizations take to confirm the accuracy and relevance - of personally identifiable information throughout the information - life cycle. The information life cycle includes the creation, collection, - use, processing, storage, maintenance, dissemination, disclosure, - and disposal of personally identifiable information. Personally identifiable - information quality operations include editing and validating addresses - as they are collected or entered into systems using automated address - verification look-up application programming interfaces. Checking - personally identifiable information quality includes the tracking - of updates or changes to data over time, which enables organizations - to know how and what personally identifiable information was changed - should erroneous information be identified. The measures taken to - protect personally identifiable information quality are based on the - nature and context of the personally identifiable information, how - it is to be used, how it was obtained, and the potential de-identification - methods employed. The measures taken to validate the accuracy of personally - identifiable information used to make determinations about the rights, - benefits, or privileges of individuals covered under federal programs - may be more comprehensive than the measures used to validate personally - identifiable information used for less sensitive purposes. - - name: objective - props: - - name: label - value: SI-18 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-18a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-18a.[01] - class: sp800-53A - prose: "the accuracy of personally identifiable information\ - \ across the information life cycle is checked {{ insert:\ - \ param, si-18_odp.01 }};" - - name: objective - props: - - name: label - value: SI-18a.[02] - class: sp800-53A - prose: "the relevance of personally identifiable information\ - \ across the information life cycle is checked {{ insert:\ - \ param, si-18_odp.02 }};" - - name: objective - props: - - name: label - value: SI-18a.[03] - class: sp800-53A - prose: "the timeliness of personally identifiable information\ - \ across the information life cycle is checked {{ insert:\ - \ param, si-18_odp.03 }};" - - name: objective - props: - - name: label - value: SI-18a.[04] - class: sp800-53A - prose: "the completeness of personally identifiable information\ - \ across the information life cycle is checked {{ insert:\ - \ param, si-18_odp.04 }};" - - name: objective - props: - - name: label - value: SI-18(b) - class: sp800-53A - prose: inaccurate or outdated personally identifiable information - is corrected or deleted. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - documentation addressing personally identifiable information quality - operations - - - quality reports - - - maintenance logs - - - system audit records - - - audit findings - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for performing - personally identifiable information quality inspections - - - organizational personnel with information security responsibilities - - - organizational personnel with privacy responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for personally identifiable - information quality inspection - - - automated mechanisms supporting and/or implementing personally - identifiable information quality operations - controls: - - id: si-18.1 - class: SP800-53-enhancement - title: Automation Support - params: - - id: si-18.01_odp - props: - - name: legacy-identifier - value: si-18.1_prm_1 - - name: label - value: SI-18(01)_ODP - label: automated mechanisms - guidelines: - - prose: automated mechanisms used to correct or delete personally - identifiable information that is inaccurate, outdated, incorrectly - determined regarding impact, or incorrectly de-identified - are defined; - props: - - name: label - value: SI-18(01) - - name: sort-id - value: si-18.01 - links: - - href: "#si-18" - rel: required - - href: "#pm-18" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: si-18.1_smt - name: statement - prose: "Correct or delete personally identifiable information that\ - \ is inaccurate or outdated, incorrectly determined regarding\ - \ impact, or incorrectly de-identified using {{ insert: param,\ - \ si-18.01_odp }}." - - id: si-18.1_gdn - name: guidance - prose: >- - The use of automated mechanisms to improve data quality may - inadvertently create privacy risks. Automated tools may - connect to external or otherwise unrelated systems, and the - matching of records between these systems may create - linkages with unintended consequences. Organizations assess - and document these risks in their privacy impact assessments - and make determinations that are in alignment with their - privacy program plans. - - - As data is obtained and used across the information life cycle, - it is important to confirm the accuracy and relevance of personally - identifiable information. Automated mechanisms can augment existing - data quality processes and procedures and enable an organization - to better identify and manage personally identifiable information - in large-scale systems. For example, automated tools can greatly - improve efforts to consistently normalize data or identify malformed - data. Automated tools can also be used to improve the auditing - of data and detect errors that may incorrectly alter personally - identifiable information or incorrectly associate such information - with the wrong individual. Automated capabilities backstop processes - and procedures at-scale and enable more fine-grained detection - and correction of data quality errors. - - name: objective - props: - - name: label - value: SI-18(01) - class: sp800-53A - prose: "{{ insert: param, si-18.01_odp }} are used to correct or\ - \ delete personally identifiable information that is inaccurate,\ - \ outdated, incorrectly determined regarding impact, or incorrectly\ - \ de-identified." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - documentation addressing personally identifiable information - quality operations - - - quality reports - - - maintenance logs - - - system audit records - - - audit findings - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for performing - personally identifiable information quality inspections - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for personally identifiable - information quality inspection - - - automated mechanisms supporting and/or implementing personally - identifiable information quality operations - - id: si-18.2 - class: SP800-53-enhancement - title: Data Tags - props: - - name: label - value: SI-18(02) - - name: sort-id - value: si-18.02 - links: - - href: "#si-18" - rel: required - - href: "#ac-3" - rel: related - - href: "#ac-16" - rel: related - - href: "#sc-16" - rel: related - parts: - - id: si-18.2_smt - name: statement - prose: Employ data tags to automate the correction or deletion of - personally identifiable information across the information life - cycle within organizational systems. - - id: si-18.2_gdn - name: guidance - prose: Data tagging personally identifiable information includes - tags that note processing permissions, authority to process, de-identification, - impact level, information life cycle stage, and retention or last - updated dates. Employing data tags for personally identifiable - information can support the use of automation tools to correct - or delete relevant personally identifiable information. - - name: objective - props: - - name: label - value: SI-18(02) - class: sp800-53A - prose: data tags are employed to automate the correction or deletion - of personally identifiable information across the information - life cycle within organizational systems. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - procedures addressing data tagging - - personally identifiable information inventory - - system audit records - - audit findings - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for tagging data - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Data tagging mechanisms - - - automated mechanisms supporting and/or implementing data tagging - - id: si-18.3 - class: SP800-53-enhancement - title: Collection - props: - - name: label - value: SI-18(03) - - name: sort-id - value: si-18.03 - links: - - href: "#si-18" - rel: required - parts: - - id: si-18.3_smt - name: statement - prose: Collect personally identifiable information directly from - the individual. - - id: si-18.3_gdn - name: guidance - prose: Individuals or their designated representatives can be sources - of correct personally identifiable information. Organizations - consider contextual factors that may incentivize individuals to - provide correct data versus false data. Additional steps may be - necessary to validate collected information based on the nature - and context of the personally identifiable information, how it - is to be used, and how it was obtained. The measures taken to - validate the accuracy of personally identifiable information used - to make determinations about the rights, benefits, or privileges - of individuals under federal programs may be more comprehensive - than the measures taken to validate less sensitive personally - identifiable information. - - name: objective - props: - - name: label - value: SI-18(03) - class: sp800-53A - prose: personally identifiable information is collected directly - from the individual. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - system configuration documentation - - - system audit records - - - user interface where personally identifiable information is - collected - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for data collection - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Data collection mechanisms - - - automated mechanisms supporting and/or validating collection - directly from the individual - - id: si-18.4 - class: SP800-53-enhancement - title: Individual Requests - props: - - name: label - value: SI-18(04) - - name: sort-id - value: si-18.04 - links: - - href: "#si-18" - rel: required - parts: - - id: si-18.4_smt - name: statement - prose: Correct or delete personally identifiable information upon - request by individuals or their designated representatives. - - id: si-18.4_gdn - name: guidance - prose: Inaccurate personally identifiable information maintained - by organizations may cause problems for individuals, especially - in those business functions where inaccurate information may result - in inappropriate decisions or the denial of benefits and services - to individuals. Even correct information, in certain circumstances, - can cause problems for individuals that outweigh the benefits - of an organization maintaining the information. Organizations - use discretion when determining if personally identifiable information - is to be corrected or deleted based on the scope of requests, - the changes sought, the impact of the changes, and laws, regulations, - and policies. Organizational personnel consult with the senior - agency official for privacy and legal counsel regarding appropriate - instances of correction or deletion. - - name: objective - props: - - name: label - value: SI-18(04) - class: sp800-53A - prose: personally identifiable information is corrected or deleted - upon request by individuals or their designated representatives. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - system configuration - - individual requests - - records of correction or deletion actions performed - - system audit records - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for responding to - individual requests for personally identifiable - information correction or deletion - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Request mechanisms - - - automated mechanisms supporting and/or implementing individual - requests for correction or deletion - - id: si-18.5 - class: SP800-53-enhancement - title: Notice of Correction or Deletion - params: - - id: si-18.05_odp - props: - - name: legacy-identifier - value: si-18.5_prm_1 - - name: label - value: SI-18(05)_ODP - label: recipients - guidelines: - - prose: recipients of personally identifiable information to - be notified when the personally identifiable information has - been corrected or deleted are defined; - props: - - name: label - value: SI-18(05) - - name: sort-id - value: si-18.05 - links: - - href: "#si-18" - rel: required - parts: - - id: si-18.5_smt - name: statement - prose: "Notify {{ insert: param, si-18.05_odp }} and individuals\ - \ that the personally identifiable information has been corrected\ - \ or deleted." - - id: si-18.5_gdn - name: guidance - prose: When personally identifiable information is corrected or - deleted, organizations take steps to ensure that all authorized - recipients of such information, and the individual with whom the - information is associated or their designated representatives, - are informed of the corrected or deleted information. - - name: objective - props: - - name: label - value: SI-18(05) - class: sp800-53A - prose: "{{ insert: param, si-18.05_odp }} and individuals are notified\ - \ when the personally identifiable information has been corrected\ - \ or deleted." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-18(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - system configuration - - individual requests for corrections or deletions - - notifications of correction or deletion action - - system audit records - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-18(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for sending - correction or deletion notices - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-18(05)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for notifications of correction - or deletion - - - automated mechanisms supporting and/or implementing notifications - of correction or deletion - - id: si-19 - class: SP800-53 - title: De-identification - params: - - id: si-19_odp.01 - props: - - name: legacy-identifier - value: si-19_prm_1 - - name: label - value: SI-19_ODP[01] - label: elements - guidelines: - - prose: elements of personally identifiable information to be removed - from datasets are defined; - - id: si-19_odp.02 - props: - - name: legacy-identifier - value: si-19_prm_2 - - name: label - value: SI-19_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to evaluate the effectiveness of de-identification - is defined; - props: - - name: label - value: SI-19 - - name: sort-id - value: si-19 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2" - rel: reference - - href: "#mp-6" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-24" - rel: related - - href: "#ra-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: si-19_smt - name: statement - parts: - - id: si-19_smt.a - name: item - props: - - name: label - value: a. - prose: "Remove the following elements of personally identifiable\ - \ information from datasets: {{ insert: param, si-19_odp.01 }}\ - \ ; and" - - id: si-19_smt.b - name: item - props: - - name: label - value: b. - prose: "Evaluate {{ insert: param, si-19_odp.02 }} for effectiveness\ - \ of de-identification." - - id: si-19_gdn - name: guidance - prose: De-identification is the general term for the process of removing - the association between a set of identifying data and the data subject. - Many datasets contain information about individuals that can be used - to distinguish or trace an individual’s identity, such as name, social - security number, date and place of birth, mother’s maiden name, or - biometric records. Datasets may also contain other information that - is linked or linkable to an individual, such as medical, educational, - financial, and employment information. Personally identifiable information - is removed from datasets by trained individuals when such information - is not (or no longer) necessary to satisfy the requirements envisioned - for the data. For example, if the dataset is only used to produce - aggregate statistics, the identifiers that are not needed for producing - those statistics are removed. Removing identifiers improves privacy - protection since information that is removed cannot be inadvertently - disclosed or improperly used. Organizations may be subject to specific - de-identification definitions or methods under applicable laws, regulations, - or policies. Re-identification is a residual risk with de-identified - data. Re-identification attacks can vary, including combining new - datasets or other improvements in data analytics. Maintaining awareness - of potential attacks and evaluating for the effectiveness of the de-identification - over time support the management of this residual risk. - - name: objective - props: - - name: label - value: SI-19 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-19a. - class: sp800-53A - prose: "{{ insert: param, si-19_odp.01 }} are removed from datasets;" - - name: objective - props: - - name: label - value: SI-19b. - class: sp800-53A - prose: "the effectiveness of de-identification is evaluated {{ insert:\ - \ param, si-19_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration - - datasets with personally identifiable information removed - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for identifying - unnecessary identifiers - - - organizational personnel responsible for removing personally identifiable - information from datasets - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the removal - of personally identifiable information elements - controls: - - id: si-19.1 - class: SP800-53-enhancement - title: Collection - props: - - name: label - value: SI-19(01) - - name: sort-id - value: si-19.01 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.1_smt - name: statement - prose: De-identify the dataset upon collection by not collecting - personally identifiable information. - - id: si-19.1_gdn - name: guidance - prose: If a data source contains personally identifiable information - but the information will not be used, the dataset can be de-identified - when it is created by not collecting the data elements that contain - the personally identifiable information. For example, if an organization - does not intend to use the social security number of an applicant, - then application forms do not ask for a social security number. - - name: objective - props: - - name: label - value: SI-19(01) - class: sp800-53A - prose: the dataset is de-identified upon collection by not collecting - personally identifiable information. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - de-identification procedures - - - procedures for minimizing the collection of personally identifiable - information - - - system configuration - - - data collection mechanisms - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms preventing the collection of personally - identifiable information - - id: si-19.2 - class: SP800-53-enhancement - title: Archiving - props: - - name: label - value: SI-19(02) - - name: sort-id - value: si-19.02 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.2_smt - name: statement - prose: Prohibit archiving of personally identifiable information - elements if those elements in a dataset will not be needed after - the dataset is archived. - - id: si-19.2_gdn - name: guidance - prose: Datasets can be archived for many reasons. The envisioned - purposes for the archived dataset are specified, and if personally - identifiable information elements are not required, the elements - are not archived. For example, social security numbers may have - been collected for record linkage, but the archived dataset may - include the required elements from the linked records. In this - case, it is not necessary to archive the social security numbers. - - name: objective - props: - - name: label - value: SI-19(02) - class: sp800-53A - prose: the archiving of personally identifiable information elements - is prohibited if those elements in a dataset will not be needed - after the dataset is archived. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration documentation - - data archiving mechanisms - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with dataset archival responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(02)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms prohibiting the archival of personally - identifiable information elements - - id: si-19.3 - class: SP800-53-enhancement - title: Release - props: - - name: label - value: SI-19(03) - - name: sort-id - value: si-19.03 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.3_smt - name: statement - prose: Remove personally identifiable information elements from - a dataset prior to its release if those elements in the dataset - do not need to be part of the data release. - - id: si-19.3_gdn - name: guidance - prose: Prior to releasing a dataset, a data custodian considers - the intended uses of the dataset and determines if it is necessary - to release personally identifiable information. If the personally - identifiable information is not necessary, the information can - be removed using de-identification techniques. - - name: objective - props: - - name: label - value: SI-19(03) - class: sp800-53A - prose: personally identifiable information elements are removed - from a dataset prior to its release if those elements in the dataset - do not need to be part of the data release. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - de-identification procedures - - - procedures for minimizing the release of personally identifiable - information - - - system configuration - - - data release mechanisms - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - removal of personally identifiable information elements from - a dataset - - id: si-19.4 - class: SP800-53-enhancement - title: Removal, Masking, Encryption, Hashing, or Replacement of Direct - Identifiers - props: - - name: label - value: SI-19(04) - - name: sort-id - value: si-19.04 - links: - - href: "#si-19" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-19.4_smt - name: statement - prose: Remove, mask, encrypt, hash, or replace direct identifiers - in a dataset. - - id: si-19.4_gdn - name: guidance - prose: 'There are many possible processes for removing direct identifiers - from a dataset. Columns in a dataset that contain a direct identifier - can be removed. In masking, the direct identifier is transformed - into a repeating character, such as XXXXXX or 999999. Identifiers - can be encrypted or hashed so that the linked records remain linked. - In the case of encryption or hashing, algorithms are employed - that require the use of a key, including the Advanced Encryption - Standard or a Hash-based Message Authentication Code. Implementations - may use the same key for all identifiers or use a different key - for each identifier. Using a different key for each identifier - provides a higher degree of security and privacy. Identifiers - can alternatively be replaced with a keyword, including transforming - "George Washington" to "PATIENT" or replacing it with a surrogate - value, such as transforming "George Washington" to "Abraham Polk." ' - - name: objective - props: - - name: label - value: SI-19(04) - class: sp800-53A - prose: direct identifiers in a dataset are removed, masked, encrypted, - hashed, or replaced. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - de-identification procedures - - - system configuration - - - documentation of de-identified datasets - - - tools for the removal, masking, encryption, hashing or replacement - of direct identifiers - - - system security plan - - - privacy plan - - - privacy impact assessment - - - privacy risk assessment documentation - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(04)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - removal, masking, encryption, hashing or replacement of direct - identifiers - - id: si-19.5 - class: SP800-53-enhancement - title: Statistical Disclosure Control - props: - - name: label - value: SI-19(05) - - name: sort-id - value: si-19.05 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.5_smt - name: statement - prose: Manipulate numerical data, contingency tables, and statistical - findings so that no individual or organization is identifiable - in the results of the analysis. - - id: si-19.5_gdn - name: guidance - prose: Many types of statistical analyses can result in the disclosure - of information about individuals even if only summary information - is provided. For example, if a school that publishes a monthly - table with the number of minority students enrolled, reports that - it has 10-19 such students in January, and subsequently reports - that it has 20-29 such students in March, then it can be inferred - that the student who enrolled in February was a minority. - - name: objective - props: - - name: label - value: SI-19(05) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-19(05)[01] - class: sp800-53A - prose: numerical data is manipulated so that no individual or - organization is identifiable in the results of the analysis; - - name: objective - props: - - name: label - value: SI-19(05)[02] - class: sp800-53A - prose: contingency tables are manipulated so that no individual - or organization is identifiable in the results of the analysis; - - name: objective - props: - - name: label - value: SI-19(05)[03] - class: sp800-53A - prose: statistical findings are manipulated so that no individual - or organization is identifiable in the results of the analysis. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(05)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration - - de-identified datasets - - statistical analysis report - - tools for the control of statistical disclosure - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(05)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(05)-Test - class: sp800-53A - parts: - - name: objects - prose: Automated mechanisms supporting and/or implementing the - control of statistical disclosure - - id: si-19.6 - class: SP800-53-enhancement - title: Differential Privacy - props: - - name: label - value: SI-19(06) - - name: sort-id - value: si-19.06 - links: - - href: "#si-19" - rel: required - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-19.6_smt - name: statement - prose: Prevent disclosure of personally identifiable information - by adding non-deterministic noise to the results of mathematical - operations before the results are reported. - - id: si-19.6_gdn - name: guidance - prose: The mathematical definition for differential privacy holds - that the result of a dataset analysis should be approximately - the same before and after the addition or removal of a single - data record (which is assumed to be the data from a single individual). - In its most basic form, differential privacy applies only to online - query systems. However, it can also be used to produce machine-learning - statistical classifiers and synthetic data. Differential privacy - comes at the cost of decreased accuracy of results, forcing organizations - to quantify the trade-off between privacy protection and the overall - accuracy, usefulness, and utility of the de-identified dataset. - Non-deterministic noise can include adding small, random values - to the results of mathematical operations in dataset analysis. - - name: objective - props: - - name: label - value: SI-19(06) - class: sp800-53A - prose: the disclosure of personally identifiable information is - prevented by adding non-deterministic noise to the results of - mathematical operations before the results are reported. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(06)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration - - de-identified datasets - - differential privacy tools - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(06)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(06)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Online query systems - - - automated mechanisms supporting and/or implementing differential - privacy - - id: si-19.7 - class: SP800-53-enhancement - title: Validated Algorithms and Software - props: - - name: label - value: SI-19(07) - - name: sort-id - value: si-19.07 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.7_smt - name: statement - prose: Perform de-identification using validated algorithms and - software that is validated to implement the algorithms. - - id: si-19.7_gdn - name: guidance - prose: Algorithms that appear to remove personally identifiable - information from a dataset may in fact leave information that - is personally identifiable or data that is re-identifiable. Software - that is claimed to implement a validated algorithm may contain - bugs or implement a different algorithm. Software may de-identify - one type of data, such as integers, but not de-identify another - type of data, such as floating point numbers. For these reasons, - de-identification is performed using algorithms and software that - are validated. - - name: objective - props: - - name: label - value: SI-19(07) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-19(07)[01] - class: sp800-53A - prose: de-identification is performed using validated algorithms; - - name: objective - props: - - name: label - value: SI-19(07)[02] - class: sp800-53A - prose: de-identification is performed using software that is - validated to implement the algorithms. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(07)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration - - de-identified datasets - - algorithm and software validation tools - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(07)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(07)-Test - class: sp800-53A - parts: - - name: objects - prose: Validated algorithms and software - - id: si-19.8 - class: SP800-53-enhancement - title: Motivated Intruder - props: - - name: label - value: SI-19(08) - - name: sort-id - value: si-19.08 - links: - - href: "#si-19" - rel: required - parts: - - id: si-19.8_smt - name: statement - prose: Perform a motivated intruder test on the de-identified dataset - to determine if the identified data remains or if the de-identified - data can be re-identified. - - id: si-19.8_gdn - name: guidance - prose: A motivated intruder test is a test in which an individual - or group takes a data release and specified resources and attempts - to re-identify one or more individuals in the de-identified dataset. - Such tests specify the amount of inside knowledge, computational - resources, financial resources, data, and skills that intruders - possess to conduct the tests. A motivated intruder test can determine - if the de-identification is insufficient. It can also be a useful - diagnostic tool to assess if de-identification is likely to be - sufficient. However, the test alone cannot prove that de-identification - is sufficient. - - name: objective - props: - - name: label - value: SI-19(08) - class: sp800-53A - prose: a motivated intruder test is performed on the de-identified - dataset to determine if the identified data remains or if the - de-identified data can be re-identified. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-19(08)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - de-identification procedures - - system configuration - - motivated intruder test procedures - - de-identified datasets - - system security plan - - privacy plan - - privacy impact assessment - - privacy risk assessment documentation - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-19(08)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for de-identifying - the dataset - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-19(08)-Test - class: sp800-53A - parts: - - name: objects - prose: Motivated intruder test - - id: si-20 - class: SP800-53 - title: Tainting - params: - - id: si-20_odp - props: - - name: legacy-identifier - value: si-20_prm_1 - - name: label - value: SI-20_ODP - label: systems or system components - guidelines: - - prose: the systems or system components with data or capabilities - to be embedded are defined; - props: - - name: label - value: SI-20 - - name: sort-id - value: si-20 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#au-13" - rel: related - parts: - - id: si-20_smt - name: statement - prose: "Embed data or capabilities in the following systems or system\ - \ components to determine if organizational data has been exfiltrated\ - \ or improperly removed from the organization: {{ insert: param, si-20_odp\ - \ }}." - - id: si-20_gdn - name: guidance - prose: Many cyber-attacks target organizational information, or information - that the organization holds on behalf of other entities (e.g., personally - identifiable information), and exfiltrate that data. In addition, - insider attacks and erroneous user procedures can remove information - from the system that is in violation of the organizational policies. - Tainting approaches can range from passive to active. A passive tainting - approach can be as simple as adding false email names and addresses - to an internal database. If the organization receives email at one - of the false email addresses, it knows that the database has been - compromised. Moreover, the organization knows that the email was sent - by an unauthorized entity, so any packets it includes potentially - contain malicious code, and that the unauthorized entity may have - potentially obtained a copy of the database. Another tainting approach - can include embedding false data or steganographic data in files to - enable the data to be found via open-source analysis. Finally, an - active tainting approach can include embedding software in the data - that is able to "call home," thereby alerting the organization to - its "capture," and possibly its location, and the path by which it - was exfiltrated or removed. - - name: objective - props: - - name: label - value: SI-20 - class: sp800-53A - prose: "data or capabilities are embedded in {{ insert: param, si-20_odp\ - \ }} to determine if organizational data has been exfiltrated or improperly\ - \ removed from the organization." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-20-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - procedures addressing software and information integrity - - - system design documentation - - - system configuration settings and associated documentation - - - policy and procedures addressing the systems security engineering - technique of deception - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-20-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for detecting tainted - data - - - organizational personnel with systems security engineering responsibilities - - - organizational personnel with information security and privacy - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-20-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Automated mechanisms for post-breach detection - - decoys, traps, lures, and methods for deceiving adversaries - - detection and notification mechanisms - - id: si-21 - class: SP800-53 - title: Information Refresh - params: - - id: si-21_odp.01 - props: - - name: legacy-identifier - value: si-21_prm_1 - - name: label - value: SI-21_ODP[01] - label: information - guidelines: - - prose: the information to be refreshed is defined; - - id: si-21_odp.02 - props: - - name: legacy-identifier - value: si-21_prm_2 - - name: label - value: SI-21_ODP[02] - label: frequencies - guidelines: - - prose: the frequencies at which to refresh information are defined; - props: - - name: label - value: SI-21 - - name: sort-id - value: si-21 - links: - - href: "#27847491-5ce1-4f6a-a1e4-9e483782f0ef" - rel: reference - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - - href: "#si-14" - rel: related - parts: - - id: si-21_smt - name: statement - prose: "Refresh {{ insert: param, si-21_odp.01 }} at {{ insert: param,\ - \ si-21_odp.02 }} or generate the information on demand and delete\ - \ the information when no longer needed." - - id: si-21_gdn - name: guidance - prose: Retaining information for longer than it is needed makes it an - increasingly valuable and enticing target for adversaries. Keeping - information available for the minimum period of time needed to support - organizational missions or business functions reduces the opportunity - for adversaries to compromise, capture, and exfiltrate that information. - - name: objective - props: - - name: label - value: SI-21 - class: sp800-53A - prose: "the {{ insert: param, si-21_odp.01 }} is refreshed {{ insert:\ - \ param, si-21_odp.02 }} or is generated on demand and deleted when\ - \ no longer needed." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-21-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - procedures addressing software and information integrity - - system design documentation - - system configuration settings and associated documentation - - information refresh procedures - - list of information to be refreshed - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-21-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel responsible for refreshing - information - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with systems security engineering responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-21-Test - class: sp800-53A - parts: - - name: objects - prose: |- - Mechanisms for information refresh - - organizational processes for information refresh - - id: si-22 - class: SP800-53 - title: Information Diversity - params: - - id: si-22_odp.01 - props: - - name: legacy-identifier - value: si-22_prm_2 - - name: label - value: SI-22_ODP[01] - label: alternative information sources - guidelines: - - prose: alternative information sources for essential functions and - services are defined; - - id: si-22_odp.02 - props: - - name: legacy-identifier - value: si-22_prm_1 - - name: label - value: SI-22_ODP[02] - label: essential functions and services - guidelines: - - prose: essential functions and services that require alternative - sources of information are defined; - - id: si-22_odp.03 - props: - - name: legacy-identifier - value: si-22_prm_3 - - name: label - value: SI-22_ODP[03] - label: systems or system components - guidelines: - - prose: systems or system components that require an alternative - information source for the execution of essential functions or - services are defined; - props: - - name: label - value: SI-22 - - name: sort-id - value: si-22 - links: - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - parts: - - id: si-22_smt - name: statement - parts: - - id: si-22_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify the following alternative sources of information\ - \ for {{ insert: param, si-22_odp.02 }}: {{ insert: param, si-22_odp.01\ - \ }} ; and" - - id: si-22_smt.b - name: item - props: - - name: label - value: b. - prose: "Use an alternative information source for the execution\ - \ of essential functions or services on {{ insert: param, si-22_odp.03\ - \ }} when the primary source of information is corrupted or unavailable." - - id: si-22_gdn - name: guidance - prose: Actions taken by a system service or a function are often driven - by the information it receives. Corruption, fabrication, modification, - or deletion of that information could impact the ability of the service - function to properly carry out its intended actions. By having multiple - sources of input, the service or function can continue operation if - one source is corrupted or no longer available. It is possible that - the alternative sources of information may be less precise or less - accurate than the primary source of information. But having such sub-optimal - information sources may still provide a sufficient level of quality - that the essential service or function can be carried out, even in - a degraded or debilitated manner. - - name: objective - props: - - name: label - value: SI-22 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-22a. - class: sp800-53A - prose: "{{ insert: param, si-22_odp.01 }} for {{ insert: param,\ - \ si-22_odp.02 }} are identified;" - - name: objective - props: - - name: label - value: SI-22b. - class: sp800-53A - prose: "an alternative information source is used for the execution\ - \ of essential functions or services on {{ insert: param, si-22_odp.03\ - \ }} when the primary source of information is corrupted or unavailable." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-22-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - System and information integrity policy - - system and information integrity procedures - - personally identifiable information processing policy - - system design documentation - - system configuration settings and associated documentation - - list of information sources - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-22-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with systems security engineering responsibilities - - - system developers - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-22-Test - class: sp800-53A - parts: - - name: objects - prose: Automated methods and mechanisms to convert information from - an analog to digital medium - - id: si-23 - class: SP800-53 - title: Information Fragmentation - params: - - id: si-23_odp.01 - props: - - name: legacy-identifier - value: si-23_prm_1 - - name: label - value: SI-23_ODP[01] - label: circumstances - guidelines: - - prose: circumstances that require information fragmentation are - defined; - - id: si-23_odp.02 - props: - - name: legacy-identifier - value: si-23_prm_2 - - name: label - value: SI-23_ODP[02] - label: information - guidelines: - - prose: the information to be fragmented is defined; - - id: si-23_odp.03 - props: - - name: legacy-identifier - value: si-23_prm_3 - - name: label - value: SI-23_ODP[03] - label: systems or system components - guidelines: - - prose: systems or system components across which the fragmented - information is to be distributed are defined; - props: - - name: label - value: SI-23 - - name: sort-id - value: si-23 - links: - - href: "#61ccf0f4-d3e7-42db-9796-ce6cb1c85989" - rel: reference - parts: - - id: si-23_smt - name: statement - prose: "Based on {{ insert: param, si-23_odp.01 }}:" - parts: - - id: si-23_smt.a - name: item - props: - - name: label - value: a. - prose: "Fragment the following information: {{ insert: param, si-23_odp.02\ - \ }} ; and" - - id: si-23_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute the fragmented information across the following\ - \ systems or system components: {{ insert: param, si-23_odp.03\ - \ }}." - - id: si-23_gdn - name: guidance - prose: One objective of the advanced persistent threat is to exfiltrate - valuable information. Once exfiltrated, there is generally no way - for the organization to recover the lost information. Therefore, organizations - may consider dividing the information into disparate elements and - distributing those elements across multiple systems or system components - and locations. Such actions will increase the adversary’s work factor - to capture and exfiltrate the desired information and, in so doing, - increase the probability of detection. The fragmentation of information - impacts the organization’s ability to access the information in a - timely manner. The extent of the fragmentation is dictated by the - impact or classification level (and value) of the information, threat - intelligence information received, and whether data tainting is used - (i.e., data tainting-derived information about the exfiltration of - some information could result in the fragmentation of the remaining - information). - - name: objective - props: - - name: label - value: SI-23 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SI-23a. - class: sp800-53A - prose: "under {{ insert: param, si-23_odp.01 }}, {{ insert: param,\ - \ si-23_odp.02 }} is fragmented;" - - name: objective - props: - - name: label - value: SI-23b. - class: sp800-53A - prose: "under {{ insert: param, si-23_odp.01 }} , the fragmented\ - \ information is distributed across {{ insert: param, si-23_odp.03\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SI-23-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System and information integrity policy - - - system and information integrity procedures - - - personally identifiable information processing policy - - - procedures addressing software and information integrity - - - system design documentation - - - system configuration settings and associated documentation - - - procedures to identify information for fragmentation and distribution - across systems/system components - - - list of distributed and fragmented information - - - list of circumstances requiring information fragmentation - - - enterprise architecture - - - system security architecture - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SI-23-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security and - privacy responsibilities - - - organizational personnel with systems security engineering responsibilities - - - system developers - - - security architects - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SI-23-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes to identify information for - fragmentation and distribution across systems/system - components - - - automated mechanisms supporting and/or implementing information - fragmentation and distribution across systems/system components - - id: sr - class: family - title: Supply Chain Risk Management - controls: - - id: sr-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sr-1_prm_1 - props: - - name: aggregates - value: sr-01_odp.01 - label: organization-defined personnel or roles - - id: sr-01_odp.01 - props: - - name: label - value: SR-01_ODP[01] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom supply chain risk management policy - is to be disseminated to is/are defined; - - id: sr-01_odp.02 - props: - - name: label - value: SR-01_ODP[02] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom supply chain risk management procedures - are disseminated to is/are defined; - - id: sr-01_odp.03 - props: - - name: legacy-identifier - value: sr-1_prm_2 - - name: label - value: SR-01_ODP[03] - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: sr-01_odp.04 - props: - - name: legacy-identifier - value: sr-1_prm_3 - - name: label - value: SR-01_ODP[04] - label: official - guidelines: - - prose: an official to manage the development, documentation, and - dissemination of the supply chain risk management policy and procedures - is defined; - - id: sr-01_odp.05 - props: - - name: legacy-identifier - value: sr-1_prm_4 - - name: label - value: SR-01_ODP[05] - label: frequency - guidelines: - - prose: the frequency at which the current supply chain risk management - policy is reviewed and updated is defined; - - id: sr-01_odp.06 - props: - - name: legacy-identifier - value: sr-1_prm_5 - - name: label - value: SR-01_ODP[06] - label: events - guidelines: - - prose: events that require the current supply chain risk management - policy to be reviewed and updated are defined; - - id: sr-01_odp.07 - props: - - name: legacy-identifier - value: sr-1_prm_6 - - name: label - value: SR-01_ODP[07] - label: frequency - guidelines: - - prose: the frequency at which the current supply chain risk management - procedure is reviewed and updated is defined; - - id: sr-01_odp.08 - props: - - name: legacy-identifier - value: sr-1_prm_7 - - name: label - value: SR-01_ODP[08] - label: events - guidelines: - - prose: events that require the supply chain risk management procedures - to be reviewed and updated are defined; - props: - - name: label - value: SR-01 - - name: sort-id - value: sr-01 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#031cc4b7-9adf-4835-98f1-f1ca493519cf" - rel: reference - - href: "#c7ac44e8-10db-4b64-b2b9-9e32ec1efed0" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#4c0ec2ee-a0d6-428a-9043-4504bc3ade6f" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#pm-9" - rel: related - - href: "#pm-30" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sr-1_smt - name: statement - parts: - - id: sr-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sr-1_prm_1 }}:" - parts: - - id: sr-1_smt.a.1 - name: item - props: - - name: label - value: "01." - prose: "{{ insert: param, sr-01_odp.03 }} supply chain risk\ - \ management policy that:" - parts: - - id: sr-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sr-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sr-1_smt.a.2 - name: item - props: - - name: label - value: "02." - prose: Procedures to facilitate the implementation of the supply - chain risk management policy and the associated supply chain - risk management controls; - - id: sr-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sr-01_odp.04 }} to manage\ - \ the development, documentation, and dissemination of the supply\ - \ chain risk management policy and procedures; and" - - id: sr-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current supply chain risk management:" - parts: - - id: sr-1_smt.c.1 - name: item - props: - - name: label - value: "01." - prose: "Policy {{ insert: param, sr-01_odp.05 }} and following\ - \ {{ insert: param, sr-01_odp.06 }} ; and" - - id: sr-1_smt.c.2 - name: item - props: - - name: label - value: "02." - prose: "Procedures {{ insert: param, sr-01_odp.07 }} and following\ - \ {{ insert: param, sr-01_odp.08 }}." - - id: sr-1_gdn - name: guidance - prose: Supply chain risk management policy and procedures address the - controls in the SR family as well as supply chain-related controls - in other families that are implemented within systems and organizations. - The risk management strategy is an important factor in establishing - such policies and procedures. Policies and procedures contribute to - security and privacy assurance. Therefore, it is important that security - and privacy programs collaborate on the development of supply chain - risk management policy and procedures. Security and privacy program - policies and procedures at the organization level are preferable, - in general, and may obviate the need for mission- or system-specific - policies and procedures. The policy can be included as part of the - general security and privacy policy or be represented by multiple - policies that reflect the complex nature of organizations. Procedures - can be established for security and privacy programs, for mission - or business processes, and for systems, if needed. Procedures describe - how the policies or controls are implemented and can be directed at - the individual or role that is the object of the procedure. Procedures - can be documented in system security and privacy plans or in one or - more separate documents. Events that may precipitate an update to - supply chain risk management policy and procedures include assessment - or audit findings, security incidents or breaches, or changes in applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Simply restating controls does not constitute an organizational - policy or procedure. - - name: objective - props: - - name: label - value: SR-01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01a.[01] - class: sp800-53A - prose: a supply chain risk management policy is developed and - documented; - - name: objective - props: - - name: label - value: SR-01a.[02] - class: sp800-53A - prose: "the supply chain risk management policy is disseminated\ - \ to {{ insert: param, sr-01_odp.01 }};" - - name: objective - props: - - name: label - value: SR-01a.[03] - class: sp800-53A - prose: supply chain risk management procedures to facilitate - the implementation of the supply chain risk management policy - and the associated supply chain risk management controls are - developed and documented; - - name: objective - props: - - name: label - value: SR-01a.[04] - class: sp800-53A - prose: "the supply chain risk management procedures are disseminated\ - \ to {{ insert: param, sr-01_odp.02 }}." - - name: objective - props: - - name: label - value: SR-01a.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01a.01(a) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01a.01(a)[01] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses purpose;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[02] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses scope;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[03] - class: sp800-53A - prose: "{{ insert: param, sr-01_odp.03 }} supply chain\ - \ risk management policy addresses roles;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[04] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses responsibilities;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[05] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses management\ - \ commitment;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[06] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses coordination\ - \ among organizational entities;" - - name: objective - props: - - name: label - value: SR-01a.01(a)[07] - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply\ - \ chain risk management policy addresses compliance." - - name: objective - props: - - name: label - value: SR-01a.01(b) - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.03 }} supply chain\ - \ risk management policy is consistent with applicable\ - \ laws, Executive Orders, directives, regulations, policies,\ - \ standards, and guidelines;" - - name: objective - props: - - name: label - value: SR-01b. - class: sp800-53A - prose: "the {{ insert: param, sr-01_odp.04 }} is designated to manage\ - \ the development, documentation, and dissemination of the supply\ - \ chain risk management policy and procedures;" - - name: objective - props: - - name: label - value: SR-01c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01c.01 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01c.01[01] - class: sp800-53A - prose: "the current supply chain risk management policy\ - \ is reviewed and updated {{ insert: param, sr-01_odp.05\ - \ }};" - - name: objective - props: - - name: label - value: SR-01c.01[02] - class: sp800-53A - prose: "the current supply chain risk management policy\ - \ is reviewed and updated following {{ insert: param,\ - \ sr-01_odp.06 }};" - - name: objective - props: - - name: label - value: SR-01c.02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-01c.02[01] - class: sp800-53A - prose: "the current supply chain risk management procedures\ - \ are reviewed and updated {{ insert: param, sr-01_odp.07\ - \ }};" - - name: objective - props: - - name: label - value: SR-01c.02[02] - class: sp800-53A - prose: "the current supply chain risk management procedures\ - \ are reviewed and updated following {{ insert: param,\ - \ sr-01_odp.08 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-01-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Supply chain risk management policy - - supply chain risk management procedures - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-01-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with acquisition responsibilities - - - organizational personnel with enterprise risk management responsibilities - - id: sr-2 - class: SP800-53 - title: Supply Chain Risk Management Plan - params: - - id: sr-02_odp.01 - props: - - name: legacy-identifier - value: sr-2_prm_1 - - name: label - value: SR-02_ODP[01] - label: systems, system components, or system services - guidelines: - - prose: systems, system components, or system services for which - a supply chain risk management plan is developed are defined; - - id: sr-02_odp.02 - props: - - name: legacy-identifier - value: sr-2_prm_2 - - name: label - value: SR-02_ODP[02] - label: frequency - guidelines: - - prose: the frequency at which to review and update the supply chain - risk management plan is defined; - props: - - name: label - value: SR-02 - - name: sort-id - value: sr-02 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#031cc4b7-9adf-4835-98f1-f1ca493519cf" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#cec037f3-8aba-4c97-84b4-4082f9e515d2" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#276bd50a-7e58-48e5-a405-8c8cb91d7a5f" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#ca-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-30" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sr-2_smt - name: statement - parts: - - id: sr-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop a plan for managing supply chain risks associated\ - \ with the research and development, design, manufacturing, acquisition,\ - \ delivery, integration, operations and maintenance, and disposal\ - \ of the following systems, system components or system services:\ - \ {{ insert: param, sr-02_odp.01 }};" - - id: sr-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the supply chain risk management plan\ - \ {{ insert: param, sr-02_odp.02 }} or as required, to address\ - \ threat, organizational or environmental changes; and" - - id: sr-2_smt.c - name: item - props: - - name: label - value: c. - prose: Protect the supply chain risk management plan from unauthorized - disclosure and modification. - - id: sr-2_gdn - name: guidance - prose: >- - The dependence on products, systems, and services from external - providers, as well as the nature of the relationships with those - providers, present an increasing level of risk to an - organization. Threat actions that may increase security or - privacy risks include unauthorized production, the insertion or - use of counterfeits, tampering, theft, insertion of malicious - software and hardware, and poor manufacturing and development - practices in the supply chain. Supply chain risks can be endemic - or systemic within a system element or component, a system, an - organization, a sector, or the Nation. Managing supply chain - risk is a complex, multifaceted undertaking that requires a - coordinated effort across an organization to build trust - relationships and communicate with internal and external - stakeholders. Supply chain risk management (SCRM) activities - include identifying and assessing risks, determining appropriate - risk response actions, developing SCRM plans to document - response actions, and monitoring performance against plans. The - SCRM plan (at the system-level) is implementation specific, - providing policy implementation, requirements, constraints and - implications. It can either be stand-alone, or incorporated into - system security and privacy plans. The SCRM plan addresses - managing, implementation, and monitoring of SCRM controls and - the development/sustainment of systems across the SDLC to - support mission and business functions. - - - Because supply chains can differ significantly across and within organizations, - SCRM plans are tailored to the individual program, organizational, - and operational contexts. Tailored SCRM plans provide the basis for - determining whether a technology, service, system component, or system - is fit for purpose, and as such, the controls need to be tailored - accordingly. Tailored SCRM plans help organizations focus their resources - on the most critical mission and business functions based on mission - and business requirements and their risk environment. Supply chain - risk management plans include an expression of the supply chain risk - tolerance for the organization, acceptable supply chain risk mitigation - strategies or controls, a process for consistently evaluating and - monitoring supply chain risk, approaches for implementing and communicating - the plan, a description of and justification for supply chain risk - mitigation measures taken, and associated roles and responsibilities. - Finally, supply chain risk management plans address requirements for - developing trustworthy, secure, privacy-protective, and resilient - system components and systems, including the application of the security - design principles implemented as part of life cycle-based systems - security engineering processes (see [SA-8](#sa-8)). - - name: objective - props: - - name: label - value: SR-02 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-02a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-02a.[01] - class: sp800-53A - prose: a plan for managing supply chain risks is developed; - - name: objective - props: - - name: label - value: SR-02a.[02] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the research and development of {{ insert:\ - \ param, sr-02_odp.01 }};" - - name: objective - props: - - name: label - value: SR-02a.[03] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the design of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02a.[04] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the manufacturing of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02a.[05] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the acquisition of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02a.[06] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the delivery of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02a.[07] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the integration of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02a.[08] - class: sp800-53A - prose: >- - the supply chain risk management plan addresses risks - associated with the operation of {{ insert: param, - sr-02_odp.01 }}; - - - the supply chain risk management plan addresses risks associated - with the maintenance of {{ insert: param, sr-02_odp.01 }}; - - name: objective - props: - - name: label - value: SR-02a.[09] - class: sp800-53A - prose: "the supply chain risk management plan addresses risks\ - \ associated with the disposal of {{ insert: param, sr-02_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-02b. - class: sp800-53A - prose: "the supply chain risk management plan is reviewed and updated\ - \ {{ insert: param, sr-02_odp.02 }} or as required to address\ - \ threat, organizational, or environmental changes;" - - name: objective - props: - - name: label - value: SR-02c. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-02c.[01] - class: sp800-53A - prose: the supply chain risk management plan is protected from - unauthorized disclosure; - - name: objective - props: - - name: label - value: SR-02c.[02] - class: sp800-53A - prose: the supply chain risk management plan is protected from - unauthorized modification. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-02-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy - - - supply chain risk management procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing supply chain protection - - - procedures for protecting the supply chain risk management plan - from unauthorized disclosure and modification - - - system development life cycle procedures - - - procedures addressing the integration of information security - and privacy requirements into the acquisition process - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - list of supply chain threats - - - list of safeguards to be taken against supply chain threats - - - system life cycle documentation - - - inter-organizational agreements and procedures - - - system security plan - - - privacy plan - - - privacy program plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-02-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-02-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and documenting the - system development life cycle (SDLC) - - - organizational processes for identifying SDLC roles and responsibilities - - - organizational processes for integrating supply chain risk management - into the SDLC - - - automated mechanisms supporting and/or implementing the SDLC - controls: - - id: sr-2.1 - class: SP800-53-enhancement - title: Establish Scrm Team - params: - - id: sr-02.01_odp.01 - props: - - name: legacy-identifier - value: sr-2.1_prm_1 - - name: label - value: SR-02(01)_ODP[01] - label: personnel, roles and responsibilities - guidelines: - - prose: the personnel, roles, and responsibilities of the supply - chain risk management team are defined; - - id: sr-02.01_odp.02 - props: - - name: legacy-identifier - value: sr-2.1_prm_2 - - name: label - value: SR-02(01)_ODP[02] - label: supply chain risk management activities - guidelines: - - prose: supply chain risk management activities are defined; - props: - - name: label - value: SR-02(01) - - name: sort-id - value: sr-02.01 - links: - - href: "#sr-2" - rel: required - parts: - - id: sr-2.1_smt - name: statement - prose: "Establish a supply chain risk management team consisting\ - \ of {{ insert: param, sr-02.01_odp.01 }} to lead and support\ - \ the following SCRM activities: {{ insert: param, sr-02.01_odp.02\ - \ }}." - - id: sr-2.1_gdn - name: guidance - prose: To implement supply chain risk management plans, organizations - establish a coordinated, team-based approach to identify and assess - supply chain risks and manage these risks by using programmatic - and technical mitigation techniques. The team approach enables - organizations to conduct an analysis of their supply chain, communicate - with internal and external partners or stakeholders, and gain - broad consensus regarding the appropriate resources for SCRM. - The SCRM team consists of organizational personnel with diverse - roles and responsibilities for leading and supporting SCRM activities, - including risk executive, information technology, contracting, - information security, privacy, mission or business, legal, supply - chain and logistics, acquisition, business continuity, and other - relevant functions. Members of the SCRM team are involved in various - aspects of the SDLC and, collectively, have an awareness of and - provide expertise in acquisition processes, legal practices, vulnerabilities, - threats, and attack vectors, as well as an understanding of the - technical aspects and dependencies of systems. The SCRM team can - be an extension of the security and privacy risk management processes - or be included as part of an organizational risk management team. - - name: objective - props: - - name: label - value: SR-02(01) - class: sp800-53A - prose: "a supply chain risk management team consisting of {{ insert:\ - \ param, sr-02.01_odp.01 }} is established to lead and support\ - \ {{ insert: param, sr-02.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-02(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Supply chain risk management policy - - supply chain risk management procedures - - supply chain risk management team charter documentation - - supply chain risk management strategy - - supply chain risk management implementation plan - - procedures addressing supply chain protection - - system security plan - - privacy plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-02(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition - responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with enterprise risk management responsibilities - - - legal counsel - - - organizational personnel with business continuity responsibilities - - id: sr-3 - class: SP800-53 - title: Supply Chain Controls and Processes - params: - - id: sr-03_odp.01 - props: - - name: legacy-identifier - value: sr-3_prm_1 - - name: label - value: SR-03_ODP[01] - label: system or system component - guidelines: - - prose: the system or system component requiring a process or processes - to identify and address weaknesses or deficiencies is defined; - - id: sr-03_odp.02 - props: - - name: legacy-identifier - value: sr-3_prm_2 - - name: label - value: SR-03_ODP[02] - label: supply chain personnel - guidelines: - - prose: supply chain personnel with whom to coordinate the process - or processes to identify and address weaknesses or deficiencies - in the supply chain elements and processes is/are defined; - - id: sr-03_odp.03 - props: - - name: legacy-identifier - value: sr-3_prm_3 - - name: label - value: SR-03_ODP[03] - label: supply chain controls - guidelines: - - prose: supply chain controls employed to protect against supply - chain risks to the system, system component, or system service - and to limit the harm or consequences from supply chain-related - events are defined; - - id: sr-03_odp.04 - props: - - name: legacy-identifier - value: sr-3_prm_4 - - name: label - value: SR-03_ODP[04] - select: - how-many: one-or-more - choice: - - security and privacy plans - - supply chain risk management plan - - " {{ insert: param, sr-03_odp.05 }} " - - id: sr-03_odp.05 - props: - - name: legacy-identifier - value: sr-3_prm_5 - - name: label - value: SR-03_ODP[05] - label: document - guidelines: - - prose: the document identifying the selected and implemented supply - chain processes and controls is defined (if selected); - props: - - name: label - value: SR-03 - - name: sort-id - value: sr-03 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-30" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-3_smt - name: statement - parts: - - id: sr-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish a process or processes to identify and address\ - \ weaknesses or deficiencies in the supply chain elements and\ - \ processes of {{ insert: param, sr-03_odp.01 }} in coordination\ - \ with {{ insert: param, sr-03_odp.02 }};" - - id: sr-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following controls to protect against supply\ - \ chain risks to the system, system component, or system service\ - \ and to limit the harm or consequences from supply chain-related\ - \ events: {{ insert: param, sr-03_odp.03 }} ; and" - - id: sr-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Document the selected and implemented supply chain processes\ - \ and controls in {{ insert: param, sr-03_odp.04 }}." - - id: sr-3_gdn - name: guidance - prose: Supply chain elements include organizations, entities, or tools - employed for the research and development, design, manufacturing, - acquisition, delivery, integration, operations and maintenance, and - disposal of systems and system components. Supply chain processes - include hardware, software, and firmware development processes; shipping - and handling procedures; personnel security and physical security - programs; configuration management tools, techniques, and measures - to maintain provenance; or other programs, processes, or procedures - associated with the development, acquisition, maintenance and disposal - of systems and system components. Supply chain elements and processes - may be provided by organizations, system integrators, or external - providers. Weaknesses or deficiencies in supply chain elements or - processes represent potential vulnerabilities that can be exploited - by adversaries to cause harm to the organization and affect its ability - to carry out its core missions or business functions. Supply chain - personnel are individuals with roles and responsibilities in the supply - chain. - - name: objective - props: - - name: label - value: SR-03 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-03a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-03a.[01] - class: sp800-53A - prose: "a process or processes is/are established to identify\ - \ and address weaknesses or deficiencies in the supply chain\ - \ elements and processes of {{ insert: param, sr-03_odp.01\ - \ }};" - - name: objective - props: - - name: label - value: SR-03a.[02] - class: sp800-53A - prose: "the process or processes to identify and address weaknesses\ - \ or deficiencies in the supply chain elements and processes\ - \ of {{ insert: param, sr-03_odp.01 }} is/are coordinated\ - \ with {{ insert: param, sr-03_odp.02 }};" - - name: objective - props: - - name: label - value: SR-03b. - class: sp800-53A - prose: "{{ insert: param, sr-03_odp.03 }} are employed to protect\ - \ against supply chain risks to the system, system component,\ - \ or system service and to limit the harm or consequences from\ - \ supply chain-related events;" - - name: objective - props: - - name: label - value: SR-03c. - class: sp800-53A - prose: "the selected and implemented supply chain processes and\ - \ controls are documented in {{ insert: param, sr-03_odp.04 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-03-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy - - - supply chain risk management procedures - - - supply chain risk management strategy - - - supply chain risk management plan - - - systems and critical system components inventory documentation - - - system and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing the integration of information security - and privacy requirements into the acquisition process - - - solicitation documentation - - - acquisition documentation (including purchase orders) - - - service level agreements - - - acquisition contracts for systems or services - - - risk register documentation - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-03-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-03-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for identifying and addressing supply - chain element and process deficiencies - controls: - - id: sr-3.1 - class: SP800-53-enhancement - title: Diverse Supply Base - params: - - id: sr-3.1_prm_1 - props: - - name: aggregates - value: sr-03.01_odp.01 - label: organization-defined system components and services - - id: sr-03.01_odp.01 - props: - - name: label - value: SR-03(01)_ODP[01] - label: system components - guidelines: - - prose: system components with a diverse set of sources are defined; - - id: sr-03.01_odp.02 - props: - - name: label - value: SR-03(01)_ODP[02] - label: services - guidelines: - - prose: services with a diverse set of sources are defined; - props: - - name: label - value: SR-03(01) - - name: sort-id - value: sr-03.01 - links: - - href: "#sr-3" - rel: required - parts: - - id: sr-3.1_smt - name: statement - prose: "Employ a diverse set of sources for the following system\ - \ components and services: {{ insert: param, sr-3.1_prm_1 }}." - - id: sr-3.1_gdn - name: guidance - prose: Diversifying the supply of systems, system components, and - services can reduce the probability that adversaries will successfully - identify and target the supply chain and can reduce the impact - of a supply chain event or compromise. Identifying multiple suppliers - for replacement components can reduce the probability that the - replacement component will become unavailable. Employing a diverse - set of developers or logistics service providers can reduce the - impact of a natural disaster or other supply chain event. Organizations - consider designing the system to include diverse materials and - components. - - name: objective - props: - - name: label - value: SR-03(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-03(01)[01] - class: sp800-53A - prose: "a diverse set of sources is employed for {{ insert:\ - \ param, sr-03.01_odp.01 }};" - - name: objective - props: - - name: label - value: SR-03(01)[02] - class: sp800-53A - prose: "a diverse set of sources is employed for {{ insert:\ - \ param, sr-03.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-03(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - system and services acquisition policy - - - planning policy - - - procedures addressing supply chain protection - - - physical inventory of critical systems and system components - - - inventory of critical suppliers, service providers, developers, - and contracts - - - inventory records of critical system components - - - list of security safeguards ensuring an adequate supply of - critical system components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-03(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-03(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - security safeguards to ensure an adequate supply of - critical system components - - - processes to identify critical suppliers - - - automated mechanisms supporting and/or implementing the security - safeguards that ensure an adequate supply of critical system - components - - id: sr-3.2 - class: SP800-53-enhancement - title: Limitation of Harm - params: - - id: sr-03.02_odp - props: - - name: legacy-identifier - value: sr-3.2_prm_1 - - name: label - value: SR-03(02)_ODP - label: controls - guidelines: - - prose: controls to limit harm from potential supply chain adversaries - are defined; - props: - - name: label - value: SR-03(02) - - name: sort-id - value: sr-03.02 - links: - - href: "#sr-3" - rel: required - parts: - - id: sr-3.2_smt - name: statement - prose: "Employ the following controls to limit harm from potential\ - \ adversaries identifying and targeting the organizational supply\ - \ chain: {{ insert: param, sr-03.02_odp }}." - - id: sr-3.2_gdn - name: guidance - prose: Controls that can be implemented to reduce the probability - of adversaries successfully identifying and targeting the supply - chain include avoiding the purchase of custom or non-standardized - configurations, employing approved vendor lists with standing - reputations in industry, following pre-agreed maintenance schedules - and update and patch delivery mechanisms, maintaining a contingency - plan in case of a supply chain event, using procurement carve-outs - that provide exclusions to commitments or obligations, using diverse - delivery routes, and minimizing the time between purchase decisions - and delivery. - - name: objective - props: - - name: label - value: SR-03(02) - class: sp800-53A - prose: "{{ insert: param, sr-03.02_odp }} are employed to limit\ - \ harm from potential adversaries identifying and targeting the\ - \ organizational supply chain." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-03(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - configuration management policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - procedures addressing the baseline configuration of the system - - - configuration management plan - - - system design documentation - - - system architecture and associated configuration documentation - - - solicitation documentation - - - acquisition documentation - - - acquisition contracts for the system, system component, or - system service - - - threat assessments - - - vulnerability assessments - - - list of security safeguards to be taken to protect the organizational - supply chain against potential supply chain threats - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-03(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-03(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - safeguards to limit harm from adversaries of the - organizational supply chain - - - automated mechanisms supporting and/or implementing the definition - and employment of safeguards to protect the organizational - supply chain - - id: sr-3.3 - class: SP800-53-enhancement - title: Sub-tier Flow Down - props: - - name: label - value: SR-03(03) - - name: sort-id - value: sr-03.03 - links: - - href: "#sr-3" - rel: required - - href: "#sr-5" - rel: related - - href: "#sr-8" - rel: related - parts: - - id: sr-3.3_smt - name: statement - prose: Ensure that the controls included in the contracts of prime - contractors are also included in the contracts of subcontractors. - - id: sr-3.3_gdn - name: guidance - prose: To manage supply chain risk effectively and holistically, - it is important that organizations ensure that supply chain risk - management controls are included at all tiers in the supply chain. - This includes ensuring that Tier 1 (prime) contractors have implemented - processes to facilitate the "flow down" of supply chain risk management - controls to sub-tier contractors. The controls subject to flow - down are identified in [SR-3b](#sr-3_smt.b). - - name: objective - props: - - name: label - value: SR-03(03) - class: sp800-53A - prose: the controls included in the contracts of prime contractors - are also included in the contracts of subcontractors. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-03(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - inter-organizational agreements and procedures - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-03(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-03(03)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for establishing inter-organizational - agreements and procedures with supply chain entities - - id: sr-4 - class: SP800-53 - title: Provenance - params: - - id: sr-04_odp - props: - - name: legacy-identifier - value: sr-4_prm_1 - - name: label - value: SR-04_ODP - label: systems, system components, and associated data - guidelines: - - prose: systems, system components, and associated data that require - valid provenance are defined; - props: - - name: label - value: SR-04 - - name: sort-id - value: sr-04 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#e3cc0520-a366-4fc9-abc2-5272db7e3564" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#a2590922-82f3-4277-83c0-ca5bee06dba4" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sr-4_smt - name: statement - prose: "Document, monitor, and maintain valid provenance of the following\ - \ systems, system components, and associated data: {{ insert: param,\ - \ sr-04_odp }}." - - id: sr-4_gdn - name: guidance - prose: Every system and system component has a point of origin and may - be changed throughout its existence. Provenance is the chronology - of the origin, development, ownership, location, and changes to a - system or system component and associated data. It may also include - personnel and processes used to interact with or make modifications - to the system, component, or associated data. Organizations consider - developing procedures (see [SR-1](#sr-1) ) for allocating responsibilities - for the creation, maintenance, and monitoring of provenance for systems - and system components; transferring provenance documentation and responsibility - between organizations; and preventing and monitoring for unauthorized - changes to the provenance records. Organizations have methods to document, - monitor, and maintain valid provenance baselines for systems, system - components, and related data. These actions help track, assess, and - document any changes to the provenance, including changes in supply - chain elements or configuration, and help ensure non-repudiation of - provenance information and the provenance change records. Provenance - considerations are addressed throughout the system development life - cycle and incorporated into contracts and other arrangements, as appropriate. - - name: objective - props: - - name: label - value: SR-04 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-04[01] - class: sp800-53A - prose: "valid provenance is documented for {{ insert: param, sr-04_odp\ - \ }};" - - name: objective - props: - - name: label - value: SR-04[02] - class: sp800-53A - prose: "valid provenance is monitored for {{ insert: param, sr-04_odp\ - \ }};" - - name: objective - props: - - name: label - value: SR-04[03] - class: sp800-53A - prose: "valid provenance is maintained for {{ insert: param, sr-04_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-04-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy - - - supply chain risk management procedures - - - supply chain risk management plan - - - documentation of critical systems, critical system components, - and associated data - - - documentation showing the history of ownership, custody, and location - of and changes to critical systems or critical system components - - - system architecture - - - inter-organizational agreements and procedures - - - contracts - - - system security plan - - - privacy plan - - - personally identifiable information processing policy - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-04-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-04-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying the provenance of - critical systems and critical system components - - - automated mechanisms used to document, monitor, or maintain provenance - controls: - - id: sr-4.1 - class: SP800-53-enhancement - title: Identity - params: - - id: sr-04.01_odp - props: - - name: legacy-identifier - value: sr-4.1_prm_1 - - name: label - value: SR-04(01)_ODP - label: supply chain elements, processes, and personnel - guidelines: - - prose: supply chain elements, processes, and personnel associated - with systems and critical system components that require unique - identification are defined; - props: - - name: label - value: SR-04(01) - - name: sort-id - value: sr-04.01 - links: - - href: "#sr-4" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pe-16" - rel: related - parts: - - id: sr-4.1_smt - name: statement - prose: "Establish and maintain unique identification of the following\ - \ supply chain elements, processes, and personnel associated with\ - \ the identified system and critical system components: {{ insert:\ - \ param, sr-04.01_odp }}." - - id: sr-4.1_gdn - name: guidance - prose: Knowing who and what is in the supply chains of organizations - is critical to gaining visibility into supply chain activities. - Visibility into supply chain activities is also important for - monitoring and identifying high-risk events and activities. Without - reasonable visibility into supply chains elements, processes, - and personnel, it is very difficult for organizations to understand - and manage risk and reduce their susceptibility to adverse events. - Supply chain elements include organizations, entities, or tools - used for the research and development, design, manufacturing, - acquisition, delivery, integration, operations, maintenance, and - disposal of systems and system components. Supply chain processes - include development processes for hardware, software, and firmware; - shipping and handling procedures; configuration management tools, - techniques, and measures to maintain provenance; personnel and - physical security programs; or other programs, processes, or procedures - associated with the production and distribution of supply chain - elements. Supply chain personnel are individuals with specific - roles and responsibilities related to the secure the research - and development, design, manufacturing, acquisition, delivery, - integration, operations and maintenance, and disposal of a system - or system component. Identification methods are sufficient to - support an investigation in case of a supply chain change (e.g. - if a supply company is purchased), compromise, or event. - - name: objective - props: - - name: label - value: SR-04(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-04(01)[01] - class: sp800-53A - prose: "unique identification of {{ insert: param, sr-04.01_odp\ - \ }} is established;" - - name: objective - props: - - name: label - value: SR-04(01)[02] - class: sp800-53A - prose: "unique identification of {{ insert: param, sr-04.01_odp\ - \ }} is maintained." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-04(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - list of supply chain elements, processes, and actors (associated - with the system, system component, or system service) requiring - implementation of unique identification processes, procedures, - tools, mechanisms, equipment, techniques, and/or configurations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-04(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - - organizational personnel with responsibilities for establishing - and retaining the unique identification of supply chain elements, - processes, and actors - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-04(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining, establishing, and - retaining unique identification for supply chain - elements, processes, and actors - - - automated mechanisms supporting and/or implementing the definition, - establishment, and retention of unique identification for - supply chain elements, processes, and actors - - id: sr-4.2 - class: SP800-53-enhancement - title: Track and Trace - params: - - id: sr-04.02_odp - props: - - name: legacy-identifier - value: sr-4.2_prm_1 - - name: label - value: SR-04(02)_ODP - label: systems and critical system components - guidelines: - - prose: systems and critical system components that require unique - identification for tracking through the supply chain are defined; - props: - - name: label - value: SR-04(02) - - name: sort-id - value: sr-04.02 - links: - - href: "#sr-4" - rel: required - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: sr-4.2_smt - name: statement - prose: "Establish and maintain unique identification of the following\ - \ systems and critical system components for tracking through\ - \ the supply chain: {{ insert: param, sr-04.02_odp }}." - - id: sr-4.2_gdn - name: guidance - prose: Tracking the unique identification of systems and system - components during development and transport activities provides - a foundational identity structure for the establishment and maintenance - of provenance. For example, system components may be labeled using - serial numbers or tagged using radio-frequency identification - tags. Labels and tags can help provide better visibility into - the provenance of a system or system component. A system or system - component may have more than one unique identifier. Identification - methods are sufficient to support a forensic investigation after - a supply chain compromise or event. - - name: objective - props: - - name: label - value: SR-04(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-04(02)[01] - class: sp800-53A - prose: "the unique identification of {{ insert: param, sr-04.02_odp\ - \ }} is established for tracking through the supply chain;" - - name: objective - props: - - name: label - value: SR-04(02)[02] - class: sp800-53A - prose: "the unique identification of {{ insert: param, sr-04.02_odp\ - \ }} is maintained for tracking through the supply chain." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-04(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - supply chain risk management plan - - - list of supply chain elements, processes, and actors (associated - with the system, system component, or system service) requiring - implementation of unique identification processes, procedures, - tools, mechanisms, equipment, techniques, and/or configurations - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-04(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - - organizational personnel with responsibilities for establishing - and retaining the unique identification of supply chain elements, - processes, and actors - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-04(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining, establishing, and - retaining unique identification for supply chain - elements, processes, and actors - - - automated mechanisms supporting and/or implementing the definition, - establishment, and retention of unique identification for - supply chain elements, processes, and actors - - id: sr-4.3 - class: SP800-53-enhancement - title: Validate as Genuine and Not Altered - params: - - id: sr-4.3_prm_1 - props: - - name: aggregates - value: sr-04.03_odp.01 - label: organization-defined controls - - id: sr-04.03_odp.01 - props: - - name: label - value: SR-04(03)_ODP[01] - label: controls - guidelines: - - prose: controls to validate that the system or system component - received is genuine are defined; - - id: sr-04.03_odp.02 - props: - - name: label - value: SR-04(03)_ODP[02] - label: controls - guidelines: - - prose: controls to validate that the system or system component - received has not been altered are defined; - props: - - name: label - value: SR-04(03) - - name: sort-id - value: sr-04.03 - links: - - href: "#sr-4" - rel: required - - href: "#at-3" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-4.3_smt - name: statement - prose: "Employ the following controls to validate that the system\ - \ or system component received is genuine and has not been altered:\ - \ {{ insert: param, sr-4.3_prm_1 }}." - - id: sr-4.3_gdn - name: guidance - prose: For many systems and system components, especially hardware, - there are technical means to determine if the items are genuine - or have been altered, including optical and nanotechnology tagging, - physically unclonable functions, side-channel analysis, cryptographic - hash verifications or digital signatures, and visible anti-tamper - labels or stickers. Controls can also include monitoring for out - of specification performance, which can be an indicator of tampering - or counterfeits. Organizations may leverage supplier and contractor - processes for validating that a system or component is genuine - and has not been altered and for replacing a suspect system or - component. Some indications of tampering may be visible and addressable - before accepting delivery, such as inconsistent packaging, broken - seals, and incorrect labels. When a system or system component - is suspected of being altered or counterfeit, the supplier, contractor, - or original equipment manufacturer may be able to replace the - item or provide a forensic capability to determine the origin - of the counterfeit or altered item. Organizations can provide - training to personnel on how to identify suspicious system or - component deliveries. - - name: objective - props: - - name: label - value: SR-04(03) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-04(03)[01] - class: sp800-53A - prose: "{{ insert: param, sr-04.03_odp.01 }} are employed to\ - \ validate that the system or system component received is\ - \ genuine;" - - name: objective - props: - - name: label - value: SR-04(03)[02] - class: sp800-53A - prose: "{{ insert: param, sr-04.03_odp.02 }} are employed to\ - \ validate that the system or system component received has\ - \ not been altered." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-04(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the security design principle of trusted - components used in the specification, design, development, - implementation, and modification of the system - - - system design documentation - - - procedures addressing the integration of information security - requirements into the acquisition process - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - evidentiary documentation (including applicable configurations) - indicating that the system or system component is genuine - and has not been altered - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-04(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-04(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - validation safeguards - - - automated mechanisms supporting and/or implementing the definition - and employment of validation safeguards - - - automated mechanisms supporting the application of the security - design principle of trusted components in system specification, - design, development, implementation, and modification - - id: sr-4.4 - class: SP800-53-enhancement - title: Supply Chain Integrity — Pedigree - params: - - id: sr-04.04_odp.01 - props: - - name: legacy-identifier - value: sr-4.4_prm_1 - - name: label - value: SR-04(04)_ODP[01] - label: controls - guidelines: - - prose: controls employed to ensure that the integrity of the - system and system component are defined; - - id: sr-04.04_odp.02 - props: - - name: legacy-identifier - value: sr-4.4_prm_2 - - name: label - value: SR-04(04)_ODP[02] - label: analysis method - guidelines: - - prose: an analysis method to be conducted to validate the internal - composition and provenance of critical or mission-essential - technologies, products, and services to ensure the integrity - of the system and system component is defined; - props: - - name: label - value: SR-04(04) - - name: sort-id - value: sr-04.04 - links: - - href: "#sr-4" - rel: required - - href: "#ra-3" - rel: related - parts: - - id: sr-4.4_smt - name: statement - prose: "Employ {{ insert: param, sr-04.04_odp.01 }} and conduct\ - \ {{ insert: param, sr-04.04_odp.02 }} to ensure the integrity\ - \ of the system and system components by validating the internal\ - \ composition and provenance of critical or mission-essential\ - \ technologies, products, and services." - - id: sr-4.4_gdn - name: guidance - prose: Authoritative information regarding the internal composition - of system components and the provenance of technology, products, - and services provides a strong basis for trust. The validation - of the internal composition and provenance of technologies, products, - and services is referred to as the pedigree. For microelectronics, - this includes material composition of components. For software - this includes the composition of open-source and proprietary code, - including the version of the component at a given point in time. - Pedigrees increase the assurance that the claims suppliers assert - about the internal composition and provenance of the products, - services, and technologies they provide are valid. The validation - of the internal composition and provenance can be achieved by - various evidentiary artifacts or records that manufacturers and - suppliers produce during the research and development, design, - manufacturing, acquisition, delivery, integration, operations - and maintenance, and disposal of technology, products, and services. - Evidentiary artifacts include, but are not limited to, software - identification (SWID) tags, software component inventory, the - manufacturers’ declarations of platform attributes (e.g., serial - numbers, hardware component inventory), and measurements (e.g., - firmware hashes) that are tightly bound to the hardware itself. - - name: objective - props: - - name: label - value: SR-04(04) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-04(04)[01] - class: sp800-53A - prose: "{{ insert: param, sr-04.04_odp.01 }} are employed to\ - \ ensure the integrity of the system and system components;" - - name: objective - props: - - name: label - value: SR-04(04)[02] - class: sp800-53A - prose: "{{ insert: param, sr-04.04_odp.02 }} is conducted to\ - \ ensure the integrity of the system and system components." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-04(04)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - bill of materials for critical systems or system components - - - acquisition documentation - - - software identification tags - - - manufacturer declarations of platform attributes (e.g., serial - numbers, hardware component inventory) and measurements (e.g., - firmware hashes) that are tightly bound to the hardware itself - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-04(04)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-04(04)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for identifying pedigree - information - - - organizational processes to determine and validate the integrity - of the internal composition of critical systems and critical - system components - - - automated mechanisms to determine and validate the integrity - of the internal composition of critical systems and critical - system components - - id: sr-5 - class: SP800-53 - title: Acquisition Strategies, Tools, and Methods - params: - - id: sr-05_odp - props: - - name: legacy-identifier - value: sr-5_prm_1 - - name: label - value: SR-05_ODP - label: strategies, tools, and methods - guidelines: - - prose: acquisition strategies, contract tools, and procurement methods - to protect against, identify, and mitigate supply chain risks - are defined; - props: - - name: label - value: SR-05 - - name: sort-id - value: sr-05 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#at-3" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-5_smt - name: statement - prose: "Employ the following acquisition strategies, contract tools,\ - \ and procurement methods to protect against, identify, and mitigate\ - \ supply chain risks: {{ insert: param, sr-05_odp }}." - - id: sr-5_gdn - name: guidance - prose: The use of the acquisition process provides an important vehicle - to protect the supply chain. There are many useful tools and techniques - available, including obscuring the end use of a system or system component, - using blind or filtered buys, requiring tamper-evident packaging, - or using trusted or controlled distribution. The results from a supply - chain risk assessment can guide and inform the strategies, tools, - and methods that are most applicable to the situation. Tools and techniques - may provide protections against unauthorized production, theft, tampering, - insertion of counterfeits, insertion of malicious software or backdoors, - and poor development practices throughout the system development life - cycle. Organizations also consider providing incentives for suppliers - who implement controls, promote transparency into their processes - and security and privacy practices, provide contract language that - addresses the prohibition of tainted or counterfeit components, and - restrict purchases from untrustworthy suppliers. Organizations consider - providing training, education, and awareness programs for personnel - regarding supply chain risk, available mitigation strategies, and - when the programs should be employed. Methods for reviewing and protecting - development plans, documentation, and evidence are commensurate with - the security and privacy requirements of the organization. Contracts - may specify documentation protection requirements. - - name: objective - props: - - name: label - value: SR-05 - class: sp800-53A - prose: >- - {{ insert: param, sr-05_odp }} are employed to protect against - supply chain risks; - - - {{ insert: param, sr-05_odp }} are employed to identify supply chain - risks; - - - {{ insert: param, sr-05_odp }} are employed to mitigate supply chain - risks. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-05-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy - - - supply chain risk management procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - and privacy requirements into the acquisition process - - - solicitation documentation - - - acquisition documentation (including purchase orders) - - - service level agreements - - - acquisition contracts for systems, system components, or services - - - documentation of training, education, and awareness programs for - personnel regarding supply chain risk - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-05-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-05-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing tailored - acquisition strategies, contract tools, and procurement - methods - - - automated mechanisms supporting and/or implementing the definition - and employment of tailored acquisition strategies, contract tools, - and procurement methods - controls: - - id: sr-5.1 - class: SP800-53-enhancement - title: Adequate Supply - params: - - id: sr-05.01_odp.01 - props: - - name: legacy-identifier - value: sr-5.1_prm_2 - - name: label - value: SR-05(01)_ODP[01] - label: controls - guidelines: - - prose: controls to ensure an adequate supply of critical system - components are defined; - - id: sr-05.01_odp.02 - props: - - name: legacy-identifier - value: sr-5.1_prm_1 - - name: label - value: SR-05(01)_ODP[02] - label: critical system components - guidelines: - - prose: critical system components of which an adequate supply - is required are defined; - props: - - name: label - value: SR-05(01) - - name: sort-id - value: sr-05.01 - links: - - href: "#sr-5" - rel: required - - href: "#ra-9" - rel: related - parts: - - id: sr-5.1_smt - name: statement - prose: "Employ the following controls to ensure an adequate supply\ - \ of {{ insert: param, sr-05.01_odp.02 }}: {{ insert: param, sr-05.01_odp.01\ - \ }}." - - id: sr-5.1_gdn - name: guidance - prose: Adversaries can attempt to impede organizational operations - by disrupting the supply of critical system components or corrupting - supplier operations. Organizations may track systems and component - mean time to failure to mitigate the loss of temporary or permanent - system function. Controls to ensure that adequate supplies of - critical system components include the use of multiple suppliers - throughout the supply chain for the identified critical components, - stockpiling spare components to ensure operation during mission-critical - times, and the identification of functionally identical or similar - components that may be used, if necessary. - - name: objective - props: - - name: label - value: SR-05(01) - class: sp800-53A - prose: "{{ insert: param, sr-05.01_odp.01 }} are employed to ensure\ - \ an adequate supply of {{ insert: param, sr-05.01_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-05(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management strategy - - - supply chain risk management plan - - - contingency planning documents - - - inventory of critical systems and system components - - - determination of adequate supply - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - procedures addressing the integration of acquisition strategies, - contract tools, and procurement methods into the acquisition - process - - - solicitation documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for systems or services - - - purchase orders/requisitions for the system, system component, - or system service from suppliers - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-05(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-05(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - tailored acquisition strategies, contract tools, and - procurement methods - - - automated mechanisms supporting and/or implementing the definition - and employment of tailored acquisition strategies, contract - tools, and procurement methods - - id: sr-5.2 - class: SP800-53-enhancement - title: Assessments Prior to Selection, Acceptance, Modification, or - Update - props: - - name: label - value: SR-05(02) - - name: sort-id - value: sr-05.02 - links: - - href: "#sr-5" - rel: required - - href: "#ca-8" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-11" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sr-5.2_smt - name: statement - prose: Assess the system, system component, or system service prior - to selection, acceptance, modification, or update. - - id: sr-5.2_gdn - name: guidance - prose: Organizational personnel or independent, external entities - conduct assessments of systems, components, products, tools, and - services to uncover evidence of tampering, unintentional and intentional - vulnerabilities, or evidence of non-compliance with supply chain - controls. These include malicious code, malicious processes, defective - software, backdoors, and counterfeits. Assessments can include - evaluations; design proposal reviews; visual or physical inspection; - static and dynamic analyses; visual, x-ray, or magnetic particle - inspections; simulations; white, gray, or black box testing; fuzz - testing; stress testing; and penetration testing (see [SR-6(1)](#sr-6.1) - ). Evidence generated during assessments is documented for follow-on - actions by organizations. The evidence generated during the organizational - or independent assessments of supply chain elements may be used - to improve supply chain processes and inform the supply chain - risk management process. The evidence can be leveraged in follow-on - assessments. Evidence and other documentation may be shared in - accordance with organizational agreements. - - name: objective - props: - - name: label - value: SR-05(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-05(02)[01] - class: sp800-53A - prose: the system, system component, or system service is assessed - prior to selection; - - name: objective - props: - - name: label - value: SR-05(02)[02] - class: sp800-53A - prose: the system, system component, or system service is assessed - prior to acceptance; - - name: objective - props: - - name: label - value: SR-05(02)[03] - class: sp800-53A - prose: the system, system component, or system service is assessed - prior to modification; - - name: objective - props: - - name: label - value: SR-05(02)[04] - class: sp800-53A - prose: the system, system component, or system service is assessed - prior to update. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-05(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - System security plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - security test and evaluation results - - - vulnerability assessment results - - - penetration testing results - - - organizational risk assessment results - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-05(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-05(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting assessments - prior to selection, acceptance, or update - - - automated mechanisms supporting and/or implementing the conducting - of assessments prior to selection, acceptance, or update - - id: sr-6 - class: SP800-53 - title: Supplier Assessments and Reviews - params: - - id: sr-06_odp - props: - - name: legacy-identifier - value: sr-6_prm_1 - - name: label - value: SR-06_ODP - label: frequency - guidelines: - - prose: the frequency at which to assess and review the supply chain-related - risks associated with suppliers or contractors and the systems, - system components, or system services they provide is defined; - props: - - name: label - value: SR-06 - - name: sort-id - value: sr-06 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#678e3d6c-150b-4393-aec5-6e3481eb1e00" - rel: reference - - href: "#eea3c092-42ed-4382-a6f4-1adadef01b9d" - rel: reference - - href: "#7c37a38d-21d7-40d8-bc3d-b5e27eac17e1" - rel: reference - - href: "#a295ca19-8c75-4b4c-8800-98024732e181" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#38ff38f0-1366-4f50-a4c9-26a39aacee16" - rel: reference - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sr-6_smt - name: statement - prose: "Assess and review the supply chain-related risks associated\ - \ with suppliers or contractors and the system, system component,\ - \ or system service they provide {{ insert: param, sr-06_odp }}." - - id: sr-6_gdn - name: guidance - prose: An assessment and review of supplier risk includes security and - supply chain risk management processes, foreign ownership, control - or influence (FOCI), and the ability of the supplier to effectively - assess subordinate second-tier and third-tier suppliers and contractors. - The reviews may be conducted by the organization or by an independent - third party. The reviews consider documented processes, documented - controls, all-source intelligence, and publicly available information - related to the supplier or contractor. Organizations can use open-source - information to monitor for indications of stolen information, poor - development and quality control practices, information spillage, or - counterfeits. In some cases, it may be appropriate or required to - share assessment and review results with other organizations in accordance - with any applicable rules, policies, or inter-organizational agreements - or contracts. - - name: objective - props: - - name: label - value: SR-06 - class: sp800-53A - prose: "the supply chain-related risks associated with suppliers or\ - \ contractors and the systems, system components, or system services\ - \ they provide are assessed and reviewed {{ insert: param, sr-06_odp\ - \ }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-06-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management strategy - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing the integration of information security - requirements into the acquisition process - - - records of supplier due diligence reviews - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-06-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-06-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for conducting supplier reviews - - - automated mechanisms supporting and/or implementing supplier reviews - controls: - - id: sr-6.1 - class: SP800-53-enhancement - title: Testing and Analysis - params: - - id: sr-06.01_odp.01 - props: - - name: legacy-identifier - value: sr-6.1_prm_1 - - name: label - value: SR-06(01)_ODP[01] - select: - how-many: one-or-more - choice: - - organizational analysis - - independent third-party analysis - - organizational testing - - independent third-party testing - - id: sr-06.01_odp.02 - props: - - name: legacy-identifier - value: sr-6.1_prm_2 - - name: label - value: SR-06(01)_ODP[02] - label: supply chain elements, processes, and actors - guidelines: - - prose: supply chain elements, processes, and actors to be analyzed - and tested are defined; - props: - - name: label - value: SR-06(01) - - name: sort-id - value: sr-06.01 - links: - - href: "#sr-6" - rel: required - - href: "#ca-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sr-6.1_smt - name: statement - prose: "Employ {{ insert: param, sr-06.01_odp.01 }} of the following\ - \ supply chain elements, processes, and actors associated with\ - \ the system, system component, or system service: {{ insert:\ - \ param, sr-06.01_odp.02 }}." - - id: sr-6.1_gdn - name: guidance - prose: Relationships between entities and procedures within the - supply chain, including development and delivery, are considered. - Supply chain elements include organizations, entities, or tools - that are used for the research and development, design, manufacturing, - acquisition, delivery, integration, operations, maintenance, and - disposal of systems, system components, or system services. Supply - chain processes include supply chain risk management programs; - SCRM strategies and implementation plans; personnel and physical - security programs; hardware, software, and firmware development - processes; configuration management tools, techniques, and measures - to maintain provenance; shipping and handling procedures; and - programs, processes, or procedures associated with the production - and distribution of supply chain elements. Supply chain actors - are individuals with specific roles and responsibilities in the - supply chain. The evidence generated and collected during analyses - and testing of supply chain elements, processes, and actors is - documented and used to inform organizational risk management activities - and decisions. - - name: objective - props: - - name: label - value: SR-06(01) - class: sp800-53A - prose: "{{ insert: param, sr-06.01_odp.01 }} is/are employed on\ - \ {{ insert: param, sr-06.01_odp.02 }} associated with the system,\ - \ system component, or system service." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-06(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - evidence of organizational analysis, independent third-party - analysis, organizational penetration testing, and/or independent - third-party penetration testing - - - list of supply chain elements, processes, and actors (associated - with the system, system component, or system service) subject - to analysis and/or testing - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-06(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with responsibilities for analyzing - and/or testing supply chain elements, processes, and actors - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-06(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing - methods of analysis/testing of supply chain elements, - processes, and actors - - - automated mechanisms supporting and/or implementing the analysis/testing - of supply chain elements, processes, and actors - - id: sr-7 - class: SP800-53 - title: Supply Chain Operations Security - params: - - id: sr-07_odp - props: - - name: legacy-identifier - value: sr-7_prm_1 - - name: label - value: SR-07_ODP - label: OPSEC controls - guidelines: - - prose: Operations Security (OPSEC) controls to protect supply chain-related - information for the system, system component, or system service - are defined; - props: - - name: label - value: SR-07 - - name: sort-id - value: sr-07 - links: - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#sc-38" - rel: related - parts: - - id: sr-7_smt - name: statement - prose: "Employ the following Operations Security (OPSEC) controls to\ - \ protect supply chain-related information for the system, system\ - \ component, or system service: {{ insert: param, sr-07_odp }}." - - id: sr-7_gdn - name: guidance - prose: Supply chain OPSEC expands the scope of OPSEC to include suppliers - and potential suppliers. OPSEC is a process that includes identifying - critical information, analyzing friendly actions related to operations - and other activities to identify actions that can be observed by potential - adversaries, determining indicators that potential adversaries might - obtain that could be interpreted or pieced together to derive information - in sufficient time to cause harm to organizations, implementing safeguards - or countermeasures to eliminate or reduce exploitable vulnerabilities - and risk to an acceptable level, and considering how aggregated information - may expose users or specific uses of the supply chain. Supply chain - information includes user identities; uses for systems, system components, - and system services; supplier identities; security and privacy requirements; - system and component configurations; supplier processes; design specifications; - and testing and evaluation results. Supply chain OPSEC may require - organizations to withhold mission or business information from suppliers - and may include the use of intermediaries to hide the end use or users - of systems, system components, or system services. - - name: objective - props: - - name: label - value: SR-07 - class: sp800-53A - prose: "{{ insert: param, sr-07_odp }} are employed to protect supply\ - \ chain-related information for the system, system component, or system\ - \ service." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-07-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management plan - - - supply chain risk management procedures - - - system and services acquisition policy - - - system and services acquisition procedures - - - procedures addressing supply chain protection - - - list of OPSEC controls to be employed - - - solicitation documentation - - - acquisition documentation - - - acquisition contracts for the system, system component, or system - service - - - records of all-source intelligence analyses - - - system security plan - - - privacy plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-07-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with acquisition responsibilities - - - organizational personnel with information security and privacy - responsibilities - - - organizational personnel with OPSEC responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-07-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for defining and employing OPSEC - safeguards - - - automated mechanisms supporting and/or implementing the definition - and employment of OPSEC safeguards - - id: sr-8 - class: SP800-53 - title: Notification Agreements - params: - - id: sr-08_odp.01 - props: - - name: legacy-identifier - value: sr-8_prm_1 - - name: label - value: SR-08_ODP[01] - select: - how-many: one-or-more - choice: - - notification of supply chain compromises - - " {{ insert: param, sr-08_odp.02 }} " - - id: sr-08_odp.02 - props: - - name: legacy-identifier - value: sr-8_prm_2 - - name: label - value: SR-08_ODP[02] - label: results of assessments or audits - guidelines: - - prose: information for which agreements and procedures are to be - established are defined (if selected); - props: - - name: label - value: SR-08 - - name: sort-id - value: sr-08 - links: - - href: "#4ff10ed3-d8fe-4246-99e3-443045e27482" - rel: reference - - href: "#0f963c17-ab5a-432a-a867-91eac550309b" - rel: reference - - href: "#21caa535-1154-4369-ba7b-32c309fee0f7" - rel: reference - - href: "#863caf2a-978a-4260-9e8d-4a8929bce40c" - rel: reference - - href: "#08b07465-dbdc-48d6-8a0b-37279602ac16" - rel: reference - - href: "#e8e84963-14fc-4c3a-be05-b412a5d37cd2" - rel: reference - - href: "#e24b06cc-9129-4998-a76a-65c3d7a576ba" - rel: reference - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - parts: - - id: sr-8_smt - name: statement - prose: "Establish agreements and procedures with entities involved in\ - \ the supply chain for the system, system component, or system service\ - \ for the {{ insert: param, sr-08_odp.01 }}." - - id: sr-8_gdn - name: guidance - prose: The establishment of agreements and procedures facilitates communications - among supply chain entities. Early notification of compromises and - potential compromises in the supply chain that can potentially adversely - affect or have adversely affected organizational systems or system - components is essential for organizations to effectively respond to - such incidents. The results of assessments or audits may include open-source - information that contributed to a decision or result and could be - used to help the supply chain entity resolve a concern or improve - its processes. - - name: objective - props: - - name: label - value: SR-08 - class: sp800-53A - prose: "agreements and procedures are established with entities involved\ - \ in the supply chain for the system, system components, or system\ - \ service for {{ insert: param, sr-08_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-08-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - inter-organizational agreements and procedures - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-08-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-08-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for establishing inter-organizational - agreements and procedures with supply chain entities - - id: sr-9 - class: SP800-53 - title: Tamper Resistance and Detection - props: - - name: label - value: SR-09 - - name: sort-id - value: sr-09 - links: - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#pe-3" - rel: related - - href: "#pm-30" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-9_smt - name: statement - prose: Implement a tamper protection program for the system, system - component, or system service. - - id: sr-9_gdn - name: guidance - prose: Anti-tamper technologies, tools, and techniques provide a level - of protection for systems, system components, and services against - many threats, including reverse engineering, modification, and substitution. - Strong identification combined with tamper resistance and/or tamper - detection is essential to protecting systems and components during - distribution and when in use. - - name: objective - props: - - name: label - value: SR-09 - class: sp800-53A - prose: a tamper protection program is implemented for the system, system - component, or system service. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-09-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing supply chain protection - - - procedures addressing tamper resistance and detection - - - tamper protection program documentation - - - tamper protection tools and techniques documentation - - - tamper resistance and detection tools and techniques documentation - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-09-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with tamper protection program - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-09-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for the implementation of the - tamper protection program - - - automated mechanisms supporting and/or implementing the tamper - protection program - controls: - - id: sr-9.1 - class: SP800-53-enhancement - title: Multiple Stages of System Development Life Cycle - props: - - name: label - value: SR-09(01) - - name: sort-id - value: sr-09.01 - links: - - href: "#sr-9" - rel: required - - href: "#sa-3" - rel: related - parts: - - id: sr-9.1_smt - name: statement - prose: Employ anti-tamper technologies, tools, and techniques throughout - the system development life cycle. - - id: sr-9.1_gdn - name: guidance - prose: The system development life cycle includes research and development, - design, manufacturing, acquisition, delivery, integration, operations - and maintenance, and disposal. Organizations use a combination - of hardware and software techniques for tamper resistance and - detection. Organizations use obfuscation and self-checking to - make reverse engineering and modifications more difficult, time-consuming, - and expensive for adversaries. The customization of systems and - system components can make substitutions easier to detect and - therefore limit damage. - - name: objective - props: - - name: label - value: SR-09(01) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-09(01)[01] - class: sp800-53A - prose: anti-tamper technologies are employed throughout the - system development life cycle; - - name: objective - props: - - name: label - value: SR-09(01)[02] - class: sp800-53A - prose: anti-tamper tools are employed throughout the system - development life cycle; - - name: objective - props: - - name: label - value: SR-09(01)[03] - class: sp800-53A - prose: anti-tamper techniques are employed throughout the system - development life cycle. - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-09(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - procedures addressing tamper resistance and detection - - - tamper protection program documentation - - - tamper protection tools and techniques documentation - - - tamper resistance and detection tools (technologies) and techniques - documentation - - - system development life cycle documentation - - - procedures addressing supply chain protection - - - system development life cycle procedures - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or - system service - - - inter-organizational agreements and procedures - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-09(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with SDLC responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-09(01)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for employing anti-tamper - technologies - - - automated mechanisms supporting and/or implementing anti-tamper - technologies - - id: sr-10 - class: SP800-53 - title: Inspection of Systems or Components - params: - - id: sr-10_odp.01 - props: - - name: legacy-identifier - value: sr-10_prm_4 - - name: label - value: SR-10_ODP[01] - label: systems or system components - guidelines: - - prose: systems or system components that require inspection are - defined; - - id: sr-10_odp.02 - props: - - name: legacy-identifier - value: sr-10_prm_1 - - name: label - value: SR-10_ODP[02] - select: - how-many: one-or-more - choice: - - at random - - "at{{ insert: param, sr-10_odp.03 }} " - - "upon{{ insert: param, sr-10_odp.04 }} " - - id: sr-10_odp.03 - props: - - name: legacy-identifier - value: sr-10_prm_2 - - name: label - value: SR-10_ODP[03] - label: frequency - guidelines: - - prose: frequency at which to inspect systems or system components - is defined (if selected); - - id: sr-10_odp.04 - props: - - name: legacy-identifier - value: sr-10_prm_3 - - name: label - value: SR-10_ODP[04] - label: indications of need for inspection - guidelines: - - prose: indications of the need for an inspection of systems or system - components are defined (if selected); - props: - - name: label - value: SR-10 - - name: sort-id - value: sr-10 - links: - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#at-3" - rel: related - - href: "#pm-30" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-10_smt - name: statement - prose: "Inspect the following systems or system components {{ insert:\ - \ param, sr-10_odp.02 }} to detect tampering: {{ insert: param, sr-10_odp.01\ - \ }}." - - id: sr-10_gdn - name: guidance - prose: The inspection of systems or systems components for tamper resistance - and detection addresses physical and logical tampering and is applied - to systems and system components removed from organization-controlled - areas. Indications of a need for inspection include changes in packaging, - specifications, factory location, or entity in which the part is purchased, - and when individuals return from travel to high-risk locations. - - name: objective - props: - - name: label - value: SR-10 - class: sp800-53A - prose: "{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param,\ - \ sr-10_odp.02 }} to detect tampering." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-10-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - records of random inspections - - - inspection reports/results - - - assessment reports/results - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - inter-organizational agreements and procedures - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-10-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-10-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for establishing - inter-organizational agreements and procedures with supply - chain entities - - - organizational processes to inspect for tampering - - id: sr-11 - class: SP800-53 - title: Component Authenticity - params: - - id: sr-11_odp.01 - props: - - name: legacy-identifier - value: sr-11_prm_1 - - name: label - value: SR-11_ODP[01] - select: - how-many: one-or-more - choice: - - source of counterfeit component - - " {{ insert: param, sr-11_odp.02 }} " - - " {{ insert: param, sr-11_odp.03 }} " - - id: sr-11_odp.02 - props: - - name: legacy-identifier - value: sr-11_prm_2 - - name: label - value: SR-11_ODP[02] - label: external reporting organizations - guidelines: - - prose: external reporting organizations to whom counterfeit system - components are to be reported is/are defined (if selected); - - id: sr-11_odp.03 - props: - - name: legacy-identifier - value: sr-11_prm_3 - - name: label - value: SR-11_ODP[03] - label: personnel or roles - guidelines: - - prose: personnel or roles to whom counterfeit system components - are to be reported is/are defined (if selected); - props: - - name: label - value: SR-11 - - name: sort-id - value: sr-11 - links: - - href: "#15a95e24-65b6-4686-bc18-90855a10457d" - rel: reference - - href: "#pe-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - parts: - - id: sr-11_smt - name: statement - parts: - - id: sr-11_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and implement anti-counterfeit policy and procedures - that include the means to detect and prevent counterfeit components - from entering the system; and - - id: sr-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Report counterfeit system components to {{ insert: param,\ - \ sr-11_odp.01 }}." - - id: sr-11_gdn - name: guidance - prose: Sources of counterfeit components include manufacturers, developers, - vendors, and contractors. Anti-counterfeiting policies and procedures - support tamper resistance and provide a level of protection against - the introduction of malicious code. External reporting organizations - include CISA. - - name: objective - props: - - name: label - value: SR-11 - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-11a. - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-11a.[01] - class: sp800-53A - prose: an anti-counterfeit policy is developed and implemented; - - name: objective - props: - - name: label - value: SR-11a.[02] - class: sp800-53A - prose: anti-counterfeit procedures are developed and implemented; - - name: objective - props: - - name: label - value: SR-11a.[03] - class: sp800-53A - prose: the anti-counterfeit procedures include the means to - detect counterfeit components entering the system; - - name: objective - props: - - name: label - value: SR-11a.[04] - class: sp800-53A - prose: the anti-counterfeit procedures include the means to - prevent counterfeit components from entering the system; - - name: objective - props: - - name: label - value: SR-11b. - class: sp800-53A - prose: "counterfeit system components are reported to {{ insert:\ - \ param, sr-11_odp.01 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-11-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - anti-counterfeit plan - - - anti-counterfeit policy and procedures - - - media disposal policy - - - media protection policy - - - incident response policy - - - reports notifying developers, manufacturers, vendors, contractors, - and/or external reporting organizations of counterfeit system - components - - - acquisition documentation - - - service level agreements - - - acquisition contracts for the system, system component, or system - service - - - inter-organizational agreements and procedures - - - records of reported counterfeit system components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-11-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and service acquisition - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management responsibilities - - - organizational personnel with responsibilities for anti-counterfeit - policies, procedures, and reporting - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-11-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for counterfeit prevention, - detection, and reporting - - - automated mechanisms supporting and/or implementing anti-counterfeit - detection, prevention, and reporting - controls: - - id: sr-11.1 - class: SP800-53-enhancement - title: Anti-counterfeit Training - params: - - id: sr-11.01_odp - props: - - name: legacy-identifier - value: sr-11.1_prm_1 - - name: label - value: SR-11(01)_ODP - label: personnel or roles - guidelines: - - prose: personnel or roles requiring training to detect counterfeit - system components (including hardware, software, and firmware) - is/are defined; - props: - - name: label - value: SR-11(01) - - name: sort-id - value: sr-11.01 - links: - - href: "#sr-11" - rel: required - - href: "#at-3" - rel: related - parts: - - id: sr-11.1_smt - name: statement - prose: "Train {{ insert: param, sr-11.01_odp }} to detect counterfeit\ - \ system components (including hardware, software, and firmware)." - - id: sr-11.1_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SR-11(01) - class: sp800-53A - prose: "{{ insert: param, sr-11.01_odp }} are trained to detect\ - \ counterfeit system components (including hardware, software,\ - \ and firmware)." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-11(01)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - system and services acquisition policy - - - anti-counterfeit plan - - - anti-counterfeit policy and procedures - - - media disposal policy - - - media protection policy - - - incident response policy - - - training materials addressing counterfeit system components - - - training records on the detection and prevention of counterfeit - components entering the system - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-11(01)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with information security - responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with responsibilities for anti-counterfeit - policies, procedures, and training - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-11(01)-Test - class: sp800-53A - parts: - - name: objects - prose: Organizational processes for anti-counterfeit training - - id: sr-11.2 - class: SP800-53-enhancement - title: Configuration Control for Component Service and Repair - params: - - id: sr-11.02_odp - props: - - name: legacy-identifier - value: sr-11.2_prm_1 - - name: label - value: SR-11(02)_ODP - label: system components - guidelines: - - prose: system components requiring configuration control are - defined; - props: - - name: label - value: SR-11(02) - - name: sort-id - value: sr-11.02 - links: - - href: "#sr-11" - rel: required - - href: "#cm-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-4" - rel: related - - href: "#sa-10" - rel: related - parts: - - id: sr-11.2_smt - name: statement - prose: "Maintain configuration control over the following system\ - \ components awaiting service or repair and serviced or repaired\ - \ components awaiting return to service: {{ insert: param, sr-11.02_odp\ - \ }}." - - id: sr-11.2_gdn - name: guidance - prose: None. - - name: objective - props: - - name: label - value: SR-11(02) - class: sp800-53A - parts: - - name: objective - props: - - name: label - value: SR-11(02)[01] - class: sp800-53A - prose: "configuration control over {{ insert: param, sr-11.02_odp\ - \ }} awaiting service or repair is maintained;" - - name: objective - props: - - name: label - value: SR-11(02)[02] - class: sp800-53A - prose: "configuration control over serviced or repaired {{ insert:\ - \ param, sr-11.02_odp }} awaiting return to service is maintained." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-11(02)-Examine - class: sp800-53A - parts: - - name: objects - prose: |- - Supply chain risk management policy and procedures - - supply chain risk management plan - - configuration control procedures - - acquisition documentation - - service level agreements - - acquisition contracts for the system component - - inter-organizational agreements and procedures - - system security plan - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-11(02)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-11(02)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for establishing - inter-organizational agreements and procedures with - supply chain entities - - - organizational configuration control processes - - id: sr-11.3 - class: SP800-53-enhancement - title: Anti-counterfeit Scanning - params: - - id: sr-11.03_odp - props: - - name: legacy-identifier - value: sr-11.3_prm_1 - - name: label - value: SR-11(03)_ODP - label: frequency - guidelines: - - prose: the frequency at which to scan for counterfeit system - components is defined; - props: - - name: label - value: SR-11(03) - - name: sort-id - value: sr-11.03 - links: - - href: "#sr-11" - rel: required - - href: "#ra-5" - rel: related - parts: - - id: sr-11.3_smt - name: statement - prose: "Scan for counterfeit system components {{ insert: param,\ - \ sr-11.03_odp }}." - - id: sr-11.3_gdn - name: guidance - prose: The type of component determines the type of scanning to - be conducted (e.g., web application scanning if the component - is a web application). - - name: objective - props: - - name: label - value: SR-11(03) - class: sp800-53A - prose: "scanning for counterfeit system components is conducted\ - \ {{ insert: param, sr-11.03_odp }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-11(03)-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - anti-counterfeit policy and procedures - - - system design documentation - - - system configuration settings and associated documentation - - - scanning tools and associated documentation - - - scanning results - - - procedures addressing supply chain protection - - - acquisition documentation - - - inter-organizational agreements and procedures - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-11(03)-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system and services - acquisition responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain risk management - responsibilities - - - organizational personnel with responsibilities for anti-counterfeit - policies and procedures - - - organizational personnel with responsibility for anti-counterfeit - scanning - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-11(03)-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational processes for scanning for counterfeit - system components - - - automated mechanisms supporting and/or implementing anti-counterfeit - scanning - - id: sr-12 - class: SP800-53 - title: Component Disposal - params: - - id: sr-12_odp.01 - props: - - name: legacy-identifier - value: sr-12_prm_1 - - name: label - value: SR-12_ODP[01] - label: data, documentation, tools, or system components - guidelines: - - prose: data, documentation, tools, or system components to be disposed - of are defined; - - id: sr-12_odp.02 - props: - - name: legacy-identifier - value: sr-12_prm_2 - - name: label - value: SR-12_ODP[02] - label: techniques and methods - guidelines: - - prose: techniques and methods for disposing of data, documentation, - tools, or system components are defined; - props: - - name: label - value: SR-12 - - name: sort-id - value: sr-12 - links: - - href: "#mp-6" - rel: related - parts: - - id: sr-12_smt - name: statement - prose: "Dispose of {{ insert: param, sr-12_odp.01 }} using the following\ - \ techniques and methods: {{ insert: param, sr-12_odp.02 }}." - - id: sr-12_gdn - name: guidance - prose: Data, documentation, tools, or system components can be disposed - of at any time during the system development life cycle (not only - in the disposal or retirement phase of the life cycle). For example, - disposal can occur during research and development, design, prototyping, - or operations/maintenance and include methods such as disk cleaning, - removal of cryptographic keys, partial reuse of components. Opportunities - for compromise during disposal affect physical and logical data, including - system documentation in paper-based or digital files; shipping and - delivery documentation; memory sticks with software code; or complete - routers or servers that include permanent media, which contain sensitive - or proprietary information. Additionally, proper disposal of system - components helps to prevent such components from entering the gray - market. - - name: objective - props: - - name: label - value: SR-12 - class: sp800-53A - prose: "{{ insert: param, sr-12_odp.01 }} are disposed of using {{ insert:\ - \ param, sr-12_odp.02 }}." - - name: assessment - props: - - name: method - value: EXAMINE - - name: label - value: SR-12-Examine - class: sp800-53A - parts: - - name: objects - prose: >- - Supply chain risk management policy and procedures - - - supply chain risk management plan - - - disposal procedures addressing supply chain protection - - - media disposal policy - - - media protection policy - - - disposal records for system components - - - documentation of the system components identified for disposal - - - documentation of the disposal techniques and methods employed - for system components - - - system security plan - - - other relevant documents or records - - name: assessment - props: - - name: method - value: INTERVIEW - - name: label - value: SR-12-Interview - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational personnel with system component disposal - responsibilities - - - organizational personnel with information security responsibilities - - - organizational personnel with supply chain protection responsibilities - - name: assessment - props: - - name: method - value: TEST - - name: label - value: SR-12-Test - class: sp800-53A - parts: - - name: objects - prose: >- - Organizational techniques and methods for system component - disposal - - - automated mechanisms supporting and/or implementing system component - disposal - back-matter: - resources: - - uuid: 91f992fb-f668-4c91-a50f-0f05b95ccee3 - title: 32 CFR 2002 - citation: - text: Code of Federal Regulations, Title 32, *Controlled Unclassified Information* - (32 C.F.R. 2002). - rlinks: - - href: https://www.federalregister.gov/documents/2016/09/14/2016-21665/controlled-unclassified-information - - uuid: 0f963c17-ab5a-432a-a867-91eac550309b - title: 41 CFR 201 - citation: - text: ' "Federal Acquisition Supply Chain Security Act; Rule," 85 Federal - Register 54263 (September 1, 2020), pp 54263-54271.' - rlinks: - - href: https://www.federalregister.gov/d/2020-18939 - - uuid: a5ef5e56-5c1a-4911-b419-37dddc1b3581 - title: 5 CFR 731 - citation: - text: Code of Federal Regulations, Title 5, *Administrative Personnel* , - Section 731.106, *Designation of Public Trust Positions and Investigative - Requirements* (5 C.F.R. 731.106). - rlinks: - - href: https://www.govinfo.gov/content/pkg/CFR-2012-title5-vol2/pdf/CFR-2012-title5-vol2-sec731-106.pdf - - uuid: d3b71d4d-27c1-40f7-ad7f-1c1fe6d8bde8 - title: ATOM54 - citation: - text: Atomic Energy Act (P.L. 83-703), August 1954. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-68/pdf/STATUTE-68-Pg919.pdf - - uuid: 94c64e1a-456c-457f-86da-83ac0dfc85ac - title: CMPPA - citation: - text: Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), - October 1988. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-102/pdf/STATUTE-102-Pg2507.pdf - - uuid: 031cc4b7-9adf-4835-98f1-f1ca493519cf - title: CNSSD 505 - citation: - text: Committee on National Security Systems Directive No. 505, *Supply - Chain Risk Management (SCRM)* , August 2017. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Directives.cfm - - uuid: 4e4fbc93-333d-45e6-a875-de36b878b6b9 - title: CNSSI 1253 - citation: - text: Committee on National Security Systems Instruction No. 1253, *Security - Categorization and Control Selection for National Security Systems* , - March 2014. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - - uuid: 6f63a36d-24bb-44f3-885a-5a50b5e1ada0 - title: CNSSI 4009 - citation: - text: Committee on National Security Systems Instruction No. 4009, *Committee - on National Security Systems (CNSS) Glossary* , April 2015. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - - uuid: 8a687894-cdab-423d-b95b-8d9475e4b51e - title: CNSSP 22 - citation: - text: Committee on National Security Systems Policy No. 22, *Cybersecurity - Risk Management Policy* , August 2016. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Policies.cfm - - uuid: b9951d04-6385-478c-b1a3-ab68c19d9041 - title: DHS NIPP - citation: - text: Department of Homeland Security, *National Infrastructure Protection - Plan (NIPP)* , 2009. - rlinks: - - href: https://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf - - uuid: 4f42ee6e-86cc-403b-a51f-76c2b4f81b54 - title: DHS TIC - citation: - text: Department of Homeland Security, *Trusted Internet Connections (TIC)*. - rlinks: - - href: https://www.dhs.gov/trusted-internet-connections - - uuid: aa66e14f-e7cb-4a37-99d2-07578dfd4608 - title: DOD STIG - citation: - text: Defense Information Systems Agency, *Security Technical Implementation - Guides (STIG)*. - rlinks: - - href: https://public.cyber.mil/stigs - - uuid: d6f8ff7f-4b71-47ba-b61b-a5ee3ffd3af0 - title: DODI 8510.01 - citation: - text: Department of Defense Instruction 8510.01, *Risk Management Framework - (RMF) for DoD Information Technology (IT)* , March 2014. - rlinks: - - href: https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/851001p.pdf?ver=2019-02-26-101520-300 - - uuid: 1c861e8c-cb40-463e-9cf2-693554107693 - title: DODTERMS - citation: - text: Department of Defense, *Dictionary of Military and Associated Terms*. - rlinks: - - href: https://www.jcs.mil/Portals/36/Documents/Doctrine/pubs/dictionary.pdf - - uuid: 00db708b-4704-4fcb-b854-b66d1d756a58 - title: DSB 2017 - citation: - text: Department of Defense, Defense Science Board, *Task Force on Cyber - Deterrence* , February 2017. - rlinks: - - href: https://dsb.cto.mil/reports/2010s/DSB-CyberDeterrenceReport_02-28-17_Final.pdf - - uuid: 7b0b9634-741a-4335-b6fa-161228c3a76e - title: EGOV - citation: - text: E-Government Act [includes FISMA] (P.L. 107-347), December 2002. - rlinks: - - href: https://www.congress.gov/107/plaws/publ347/PLAW-107publ347.pdf - - uuid: 55b0c93a-5e48-457a-baa6-5ce81c239c49 - title: EO 13526 - citation: - text: Executive Order 13526, *Classified National Security Information* - , December 2009. - rlinks: - - href: https://www.archives.gov/isoo/policy-documents/cnsi-eo.html - - uuid: 34a5571f-e252-4309-a8a1-2fdb2faefbcd - title: EO 13556 - citation: - text: Executive Order 13556, *Controlled Unclassified Information* , November - 2010. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information - - uuid: 0af071a6-cf8e-48ee-8c82-fe91efa20f94 - title: EO 13587 - citation: - text: Executive Order 13587, *Structural Reforms to Improve the Security - of Classified Networks and the Responsible Sharing and Safeguarding of - Classified Information* , October 2011. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net - - uuid: 3406fdc0-d61c-44a9-a5ca-84180544c83a - title: EO 13636 - citation: - text: Executive Order 13636, *Improving Critical Infrastructure Cybersecurity* - , February 2013. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2013/02/12/executive-order-improving-critical-infrastructure-cybersecurity - - uuid: 09afa3a7-e564-4c5f-865f-2679049563b0 - title: EO 13800 - citation: - text: Executive Order 13800, *Strengthening the Cybersecurity of Federal - Networks and Critical Infrastructure* , May 2017. - rlinks: - - href: https://www.whitehouse.gov/presidential-actions/presidential-executive-order-strengthening-cybersecurity-federal-networks-critical-infrastructure - - uuid: 21caa535-1154-4369-ba7b-32c309fee0f7 - title: EO 13873 - citation: - text: Executive Order 13873, *Executive Order on Securing the Information - and Communications Technology and Services Supply Chain* , May 2019. - rlinks: - - href: https://www.whitehouse.gov/presidential-actions/executive-order-securing-information-communications-technology-services-supply-chain - - uuid: 511da9ca-604d-43f7-be41-b862085420a9 - title: EVIDACT - citation: - text: Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), - January 2019. - rlinks: - - href: https://www.congress.gov/115/plaws/publ435/PLAW-115publ435.pdf - - uuid: 4ff10ed3-d8fe-4246-99e3-443045e27482 - title: FASC18 - citation: - text: Secure Technology Act [includes Federal Acquisition Supply Chain Security - Act] (P.L. 115-390), December 2018. - rlinks: - - href: https://www.congress.gov/bill/115th-congress/senate-bill/3085 - - uuid: a1555677-2b9d-4868-a97b-a1363aff32f5 - title: FED PKI - citation: - text: General Services Administration, *Federal Public Key Infrastructure*. - rlinks: - - href: https://www.idmanagement.gov/topics/fpki - - uuid: 678e3d6c-150b-4393-aec5-6e3481eb1e00 - title: FIPS 140-3 - citation: - text: National Institute of Standards and Technology (2019) Security Requirements - for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), - Federal Information Processing Standards Publication (FIPS) 140-3. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.140-3 - - uuid: eea3c092-42ed-4382-a6f4-1adadef01b9d - title: FIPS 180-4 - citation: - text: National Institute of Standards and Technology (2015) Secure Hash - Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 180-4. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.180-4 - - uuid: 7c37a38d-21d7-40d8-bc3d-b5e27eac17e1 - title: FIPS 186-4 - citation: - text: National Institute of Standards and Technology (2013) Digital Signature - Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 186-4. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.186-4 - - uuid: 736d6310-e403-4b57-a79d-9967970c66d7 - title: FIPS 197 - citation: - text: National Institute of Standards and Technology (2001) Advanced Encryption - Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 197. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.197 - - uuid: 628d22a1-6a11-4784-bc59-5cd9497b5445 - title: FIPS 199 - citation: - text: National Institute of Standards and Technology (2004) Standards for - Security Categorization of Federal Information and Information Systems. - (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing - Standards Publication (FIPS) 199. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.199 - - uuid: 599fb53d-5041-444e-a7fe-640d6d30ad05 - title: FIPS 200 - citation: - text: National Institute of Standards and Technology (2006) Minimum Security - Requirements for Federal Information and Information Systems. (U.S. Department - of Commerce, Washington, D.C.), Federal Information Processing Standards - Publication (FIPS) 200. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.200 - - uuid: 7ba1d91c-3934-4d5a-8532-b32f864ad34c - title: FIPS 201-2 - citation: - text: National Institute of Standards and Technology (2013) Personal Identity - Verification (PIV) of Federal Employees and Contractors. (U.S. Department - of Commerce, Washington, D.C.), Federal Information Processing Standards - Publication (FIPS) 201-2. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.201-2 - - uuid: a295ca19-8c75-4b4c-8800-98024732e181 - title: FIPS 202 - citation: - text: "National Institute of Standards and Technology (2015) SHA-3 Standard:\ - \ Permutation-Based Hash and Extendable-Output Functions. (U.S. Department\ - \ of Commerce, Washington, D.C.), Federal Information Processing Standards\ - \ Publication (FIPS) 202." - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.202 - - uuid: d68867c0-2f21-4193-bef8-300f3270db56 - title: FISMA IMP - citation: - text: Federal Information Security Modernization Act (FISMA) Implementation - Project. - rlinks: - - href: https://nist.gov/RMF - - uuid: 0c67b2a9-bede-43d2-b86d-5f35b8be36e9 - title: FISMA - citation: - text: Federal Information Security Modernization Act (P.L. 113-283), December - 2014. - rlinks: - - href: https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf - - uuid: d9b1262c-9ee6-4c3e-846f-3a15f9d7eaa6 - title: FOIA96 - citation: - text: Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public - Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act - Amendments of 1996. - rlinks: - - href: https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf - - uuid: f16e438e-7114-4144-bfe2-2dfcad8cb2d0 - title: HSPD 12 - citation: - text: Homeland Security Presidential Directive 12, Policy for a Common Identification - Standard for Federal Employees and Contractors, August 2004. - rlinks: - - href: https://www.dhs.gov/homeland-security-presidential-directive-12 - - uuid: 488d6934-00b2-4252-bf23-1b3c2d71eb13 - title: HSPD 7 - citation: - text: Homeland Security Presidential Directive 7, *Critical Infrastructure - Identification, Prioritization, and Protection* , December 2003. - rlinks: - - href: https://www.dhs.gov/homeland-security-presidential-directive-7 - - uuid: 7623635e-1a92-4250-a829-4a5c8a4da2bc - title: IETF 4949 - citation: - text: "Internet Engineering Task Force (IETF), Request for Comments: 4949,\ - \ *Internet Security Glossary, Version 2* , August 2007." - rlinks: - - href: https://tools.ietf.org/html/rfc4949 - - uuid: e4d37285-1e79-4029-8b6a-42df39cace30 - title: IETF 5905 - citation: - text: "Internet Engineering Task Force (IETF), Request for Comments: 5905,\ - \ *Network Time Protocol Version 4: Protocol and Algorithms Specification*\ - \ , June 2010." - rlinks: - - href: https://tools.ietf.org/pdf/rfc5905.pdf - - uuid: 15dc76ff-b17a-4eeb-8948-8ea8de3ccc2c - title: IR 7539 - citation: - text: Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart - Cards. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7539. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7539 - - uuid: 2be7b163-e50a-435c-8906-f1162f2a457a - title: IR 7559 - citation: - text: Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services - (FWS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7559. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7559 - - uuid: e24b06cc-9129-4998-a76a-65c3d7a576ba - title: IR 7622 - citation: - text: Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional - Supply Chain Risk Management Practices for Federal Information Systems. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 7622. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7622 - - uuid: 4b38e961-1125-4a5b-aa35-1d6c02846dad - title: IR 7676 - citation: - text: Cooper DA (2010) Maintaining and Using Key History on Personal Identity - Verification (PIV) Cards. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7676 - - uuid: aa5d04e0-6090-4e17-84d4-b9963d55fc2c - title: IR 7788 - citation: - text: Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks - Using Probabilistic Attack Graphs. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) - 7788. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7788 - - uuid: 91701292-8bcd-4d2e-a5bd-59ab61e34b3c - title: IR 7817 - citation: - text: Ferraiolo H (2012) A Credential Reliability and Revocation Model for - Federated Identities. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7817 - - uuid: 4f5f51ac-2b8d-4b90-a3c7-46f56e967617 - title: IR 7849 - citation: - text: Chandramouli R (2014) A Methodology for Developing Authentication - Assurance Level Taxonomy for Smart Card-based Identity Verification. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency - or Internal Report (IR) 7849. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7849 - - uuid: 604774da-9e1d-48eb-9c62-4e959dc80737 - title: IR 7870 - citation: - text: Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 7870. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7870 - - uuid: 7f473f21-fdbf-4a6c-81a1-0ab95919609d - title: IR 7874 - citation: - text: Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation - Metrics. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7874. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7874 - - uuid: 849b2358-683f-4d97-b111-1cc3d522ded5 - title: IR 7956 - citation: - text: Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management - Issues & Challenges in Cloud Services. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Interagency or Internal Report - (IR) 7956. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7956 - - uuid: 3915a084-b87b-4f02-83d4-c369e746292f - title: IR 7966 - citation: - text: Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive - and Automated Access Management Using Secure Shell (SSH). (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal - Report (IR) 7966. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7966 - - uuid: bbac9fc2-df5b-4f2d-bf99-90d0ade45349 - title: IR 8011-1 - citation: - text: "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security\ - \ Control Assessments: Volume 1: Overview. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Interagency or Internal Report\ - \ (IR) 8011, Volume 1." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8011-1 - - uuid: 70402863-5078-43af-9a6c-e11b0f3ec370 - title: IR 8011-2 - citation: - text: "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security\ - \ Control Assessments: Volume 2: Hardware Asset Management. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency\ - \ or Internal Report (IR) 8011, Volume 2." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8011-2 - - uuid: 996241f8-f692-42d5-91f1-ce8b752e39e6 - title: IR 8011-3 - citation: - text: "Dempsey KL, Eavy P, Goren N, Moore G (2018) Automation Support for\ - \ Security Control Assessments: Volume 3: Software Asset Management. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency\ - \ or Internal Report (IR) 8011, Volume 3." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8011-3 - - uuid: d2ebec9b-f868-4ee1-a2bd-0b2282aed248 - title: IR 8011-4 - citation: - text: "Dempsey KL, Takamura E, Eavy P, Moore G (2020) Automation Support\ - \ for Security Control Assessments: Volume 4: Software Vulnerability Management.\ - \ (National Institute of Standards and Technology, Gaithersburg, MD),\ - \ NIST Interagency or Internal Report (IR) 8011, Volume 4." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8011-4 - - uuid: 4c501da5-9d79-4cb6-ba80-97260e1ce327 - title: IR 8023 - citation: - text: Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 8023. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8023 - - uuid: 81aeb0a3-d0ee-4e44-b842-6bf28d2bd7f5 - title: IR 8040 - citation: - text: Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and - Security of Permuted Passwords on Mobile Platforms. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal - Report (IR) 8040. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8040 - - uuid: 98d415ca-7281-4064-9931-0c366637e324 - title: IR 8062 - citation: - text: Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction - to Privacy Engineering and Risk Management in Federal Systems. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency - or Internal Report (IR) 8062. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8062 - - uuid: a2590922-82f3-4277-83c0-ca5bee06dba4 - title: IR 8112 - citation: - text: "Grassi P, Lefkovitz N, Nadeau E, Galluzzo R, Dinh, A (2018) Attribute\ - \ Metadata: A Proposed Schema for Evaluating Federated Attributes. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency\ - \ or Internal Report (IR) 8112." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8112 - - uuid: d4296805-2dca-4c63-a95f-eeccaa826aec - title: IR 8179 - citation: - text: "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis\ - \ Process Model: Prioritizing Systems and Components. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Interagency or\ - \ Internal Report (IR) 8179." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8179 - - uuid: 38ff38f0-1366-4f50-a4c9-26a39aacee16 - title: IR 8272 - citation: - text: Paulsen C, Winkler K, Boyens JM, Ng J, Gimbi J (2020) Impact Analysis - Tool for Interdependent Cyber Supply Chain Risks. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal - Report (IR) 8272. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8272 - - uuid: 0c559766-0df1-468f-a499-3577bb6dfa46 - title: ISO 15026-1 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE)\ - \ 15026-1:2019, *Systems and software engineering — Systems and software\ - \ assurance — Part 1: Concepts and vocabulary* , March 2019." - rlinks: - - href: https://www.iso.org/standard/73567.html - - uuid: 7d8ec7b7-dba0-4a17-981c-c959dbcc6c68 - title: ISO 15288 - citation: - text: International Organization for Standardization/International Electrotechnical - Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) - 15288:2015, *Systems and software engineering —Systems life cycle processes* - , May 2015. - rlinks: - - href: https://www.iso.org/standard/63711.html - - uuid: 6afc1b04-c9d6-4023-adbc-f8fbe33a3c73 - title: ISO 15408-1 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-1:2009, *Information technology —Security techniques\ - \ — Evaluation criteria for IT security — Part 1: Introduction and general\ - \ model* , April 2017." - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART1V3.1R5.pdf - - uuid: 87087451-2af5-43d4-88c1-d66ad850f614 - title: ISO 15408-2 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-2:2008, *Information technology —Security techniques\ - \ — Evaluation criteria for IT security — Part 2: Security functional\ - \ requirements* , April 2017." - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART2V3.1R5.pdf - - uuid: 4452efc0-e79e-47b8-aa30-b54f3ef61c2f - title: ISO 15408-3 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-3:2008, *Information technology—Security techniques\ - \ — Evaluation criteria for IT security — Part 3: Security assurance requirements*\ - \ , April 2017." - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART3V3.1R5.pdf - - uuid: 15a95e24-65b6-4686-bc18-90855a10457d - title: ISO 20243 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 20243-1:2018, *Information technology — Open Trusted Technology\ - \ Provider™ Standard (O-TTPS) — Mitigating maliciously tainted and counterfeit\ - \ products — Part 1: Requirements and recommendations* , February 2018." - rlinks: - - href: https://www.iso.org/standard/74399.html - - uuid: c22d2905-4087-4397-b574-c534b9e808c8 - title: ISO 25237 - citation: - text: International Organization for Standardization/International Electrotechnical - Commission 25237:2017, *Health informatics —Pseudonymization* , January - 2017. - rlinks: - - href: https://www.iso.org/standard/63553.html - - uuid: 863caf2a-978a-4260-9e8d-4a8929bce40c - title: ISO 27036 - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 27036-1:2014, *Information technology—Security techniques—Information\ - \ security for supplier relationships, Part 1: Overview and concepts*\ - \ , April 2014." - rlinks: - - href: https://www.iso.org/standard/59648.html - - uuid: 094ad8c9-960f-4091-acff-8c99a390f08d - title: ISO 29100 - citation: - text: International Organization for Standardization/International Electrotechnical - Commission 29100:2011, *Information technology—Security techniques—Privacy - framework* , December 2011. - rlinks: - - href: https://www.iso.org/standard/45123.html - - uuid: 8df72805-2e5c-4731-a73e-81db0f0318d0 - title: ISO 29147 - citation: - text: International Organization for Standardization/International Electrotechnical - Commission 29147:2018, *Information technology—Security techniques—Vulnerability - disclosure* , October 2018. - rlinks: - - href: https://www.iso.org/standard/72311.html - - uuid: 06ce9216-bd54-4054-a422-94f358b50a5d - title: ISO 29148 - citation: - text: International Organization for Standardization/International Electrotechnical - Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) - 29148:2018, *Systems and software engineering—Life cycle processes—Requirements - engineering* , November 2018. - rlinks: - - href: https://www.iso.org/standard/72089.html - - uuid: d1cdab13-4218-400d-91a9-c3818dfa5ec8 - title: LAMPSON73 - citation: - text: B. W. Lampson, *A Note on the Confinement Problem* , Communications - of the ACM 16, 10, pp. 613-615, October 1973. - - uuid: c28ae9a8-1121-42a9-a85e-00cfcc9b9a94 - title: NARA CUI - citation: - text: National Archives and Records Administration, Controlled Unclassified - Information (CUI) Registry. - rlinks: - - href: https://www.archives.gov/cui - - uuid: d744d9a3-73eb-4085-b9ff-79e82e9e2d6e - title: NCPR - citation: - text: National Institute of Standards and Technology (2020) *National Checklist - Program Repository* . Available at - rlinks: - - href: https://nvd.nist.gov/ncp/repository - - uuid: aea5026f-e5c5-4256-8293-ffcdc487bcd5 - title: NEUM04 - citation: - text: " *Principled Assuredly Trustworthy Composable Architectures* , P.\ - \ Neumann, CDRL A001 Final Report, SRI International, December 2004." - rlinks: - - href: http://www.csl.sri.com/users/neumann/chats4.pdf - - uuid: 795aff72-3e6c-4b6b-a80a-b14d84b7f544 - title: NIAP CCEVS - citation: - text: National Information Assurance Partnership, *Common Criteria Evaluation - and Validation Scheme*. - rlinks: - - href: https://www.niap-ccevs.org - - uuid: 84dc1b0c-acb7-4269-84c4-00dbabacd78c - title: NIST CAVP - citation: - text: National Institute of Standards and Technology (2020) *Cryptographic - Algorithm Validation Program* . Available at - rlinks: - - href: https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program - - uuid: 1acdc775-aafb-4d11-9341-dc6a822e9d38 - title: NIST CMVP - citation: - text: National Institute of Standards and Technology (2020) *Cryptographic - Module Validation Program* . Available at - rlinks: - - href: https://csrc.nist.gov/projects/cryptographic-module-validation-program - - uuid: a806de34-70a2-4239-8030-4ab286acc7b8 - title: NIST CSF - citation: - text: National Institute of Standards and Technology (2018) Framework for - Improving Critical Infrastructure Cybersecurity, Version 1.1. (National - Institute of Standards and Technology, Gaithersburg, MD). - rlinks: - - href: https://doi.org/10.6028/NIST.CSWP.04162018 - - uuid: 956dcbb3-8109-4b6a-9058-ff0b909ec812 - title: NIST PF - citation: - text: "National Institute of Standards and Technology (2020) Privacy Framework:\ - \ A Tool for Improving Privacy through Enterprise Risk Management, Version\ - \ 1.0. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD)." - rlinks: - - href: https://doi.org/10.6028/NIST.CSWP.01162020 - - uuid: 528135e3-c65b-461a-93d3-46513610f792 - title: NITP12 - citation: - text: Presidential Memorandum for the Heads of Executive Departments and - Agencies, *National Insider Threat Policy and Minimum Standards for Executive - Branch Insider Threat Programs* , November 2012. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2012/11/21/presidential-memorandum-national-insider-threat-policy-and-minimum-stand - - uuid: 3d575737-98cb-459d-b41c-d7e82b73ad78 - title: NSA CSFC - citation: - text: National Security Agency, *Commercial Solutions for Classified Program - (CSfC)*. - rlinks: - - href: https://www.nsa.gov/resources/everyone/csfc - - uuid: df9f87e9-71e7-4c74-9ac3-3cabd4e92f21 - title: NSA MEDIA - citation: - text: National Security Agency, *Media Destruction Guidance*. - rlinks: - - href: https://www.nsa.gov/resources/everyone/media-destruction - - uuid: 782a8c6d-39a4-45df-a6db-ad0b9226fa38 - title: NVD 800-53 - citation: - text: "National Institute of Standards and Technology (2020) *National Vulnerability\ - \ Database: NIST Special Publication 800-53 [database of controls].* Available\ - \ at" - rlinks: - - href: https://nvd.nist.gov/800-53 - - uuid: 89f2a08d-fc49-46d0-856e-bf974c9b1573 - title: ODNI CTF - citation: - text: Office of the Director of National Intelligence (ODNI) Cyber Threat - Framework. - rlinks: - - href: https://www.dni.gov/index.php/cyber-threat-framework - - uuid: 06d74ea9-2178-449c-a9c5-b2980f804ac8 - title: ODNI NITP - citation: - text: "Office of the Director National Intelligence, *National Insider Threat\ - \ Policy* " - rlinks: - - href: https://www.dni.gov/files/NCSC/documents/nittf/National_Insider_Threat_Policy.pdf - - uuid: 3671ff20-c17c-44d6-8a88-7de203fa74aa - title: OMB A-108 - citation: - text: Office of Management and Budget Memorandum Circular A-108, *Federal - Agency Responsibilities for Review, Reporting, and Publication under the - Privacy Act* , December 2016. - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A108/omb_circular_a-108.pdf - - uuid: 27847491-5ce1-4f6a-a1e4-9e483782f0ef - title: OMB A-130 - citation: - text: Office of Management and Budget Memorandum Circular A-130, *Managing - Information as a Strategic Resource* , July 2016. - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A130/a130revised.pdf - - uuid: d229ae60-51dd-4d7b-a8bf-1f7195cc7561 - title: OMB M-03-22 - citation: - text: "Office of Management and Budget Memorandum M-03-22, *OMB Guidance\ - \ for Implementing the Privacy Provisions of the E-Government Act of 2002*\ - \ , September 2003. [https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf](https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf) " - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2003/m03_22.pdf - - uuid: 047b041a-b4b0-4537-ab2d-2b36283eeda0 - title: OMB M-08-05 - citation: - text: Office of Management and Budget Memorandum M-08-05, *Implementation - of Trusted Internet Connections (TIC)* , November 2007. - rlinks: - - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-05.pdf - - uuid: 206a3284-6a7e-423c-8ea9-25b22542541d - title: OMB M-17-06 - citation: - text: Office of Management and Budget Memorandum M-17-06, *Policies for - Federal Agency Public Websites and Digital Services* , November 2016. - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-06.pdf - - uuid: 5f4705ac-8d17-438c-b23a-ac7f12362ae4 - title: OMB M-17-12 - citation: - text: Office of Management and Budget Memorandum M-17-12, *Preparing for - and Responding to a Breach of Personally Identifiable Information* , January - 2017. - rlinks: - - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/memoranda/2017/m-17-12_0.pdf - - uuid: 81c44706-0227-4258-a920-620a4d259990 - title: OMB M-17-25 - citation: - text: Office of Management and Budget Memorandum M-17-25, *Reporting Guidance - for Executive Order on Strengthening the Cybersecurity of Federal Networks - and Critical Infrastructure* , May 2017. - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/M-17-25.pdf - - uuid: c5e11048-1d38-4af3-b00b-0d88dc26860c - title: OMB M-19-03 - citation: - text: Office of Management and Budget Memorandum M-19-03, *Strengthening - the Cybersecurity of Federal Agencies by Enhancing the High Value Asset - Program* , December 2018. - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2018/12/M-19-03.pdf - - uuid: 227063d4-431e-435f-9e8f-009b6dbc20f4 - title: OMB M-19-15 - citation: - text: Office of Management and Budget Memorandum M-19-15, *Improving Implementation - of the Information Quality Act* , April 2019. - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2019/04/M-19-15.pdf - - uuid: d886c141-c832-4ad7-ac6d-4b94f4b550d3 - title: OMB M-19-23 - citation: - text: "Office of Management and Budget Memorandum M-19-23, *Phase 1 Implementation\ - \ of the Foundations for Evidence-Based Policymaking Act of 2018: Learning\ - \ Agendas, Personnel, and Planning Guidance* , July 2019." - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2019/07/M-19-23.pdf - - uuid: 79453f84-26a4-4995-8257-d32d37aefea3 - title: POPEK74 - citation: - text: G. Popek, *The Principle of Kernel Design* , in 1974 NCC, AFIPS Cong. - Proc., Vol. 43, pp. 977-978. - - uuid: 18e71fec-c6fd-475a-925a-5d8495cf8455 - title: PRIVACT - citation: - text: Privacy Act (P.L. 93-579), December 1974. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-88/pdf/STATUTE-88-Pg1896.pdf - - uuid: c9495d6e-ef64-4090-8509-e58c3b9009ff - title: SALTZER75 - citation: - text: J. Saltzer and M. Schroeder, *The Protection of Information in Computer - Systems* , in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308. - - uuid: 4c0ec2ee-a0d6-428a-9043-4504bc3ade6f - title: SP 800-100 - citation: - text: "Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A\ - \ Guide for Managers. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates\ - \ as of March 7, 2007." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-100 - - uuid: 10cf2fad-a216-41f9-bb1a-531b7e3119e3 - title: SP 800-101 - citation: - text: Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device - Forensics. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-101, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-101r1 - - uuid: 22f2d4f0-4365-4e88-a30d-275c1f5473ea - title: SP 800-111 - citation: - text: Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption - Technologies for End User Devices. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-111 - - uuid: 6bc4d137-aece-42a8-8081-9ecb1ebe9fb4 - title: SP 800-113 - citation: - text: Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-113. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-113 - - uuid: 42e37e51-7cc0-4ffa-81c9-0ac942da7e99 - title: SP 800-114 - citation: - text: Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring - Your Own Device (BYOD) Security. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-114r1 - - uuid: 122177fa-c4ed-485d-8345-3082c0fb9a06 - title: SP 800-115 - citation: - text: Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide - to Information Security Testing and Assessment. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-115. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-115 - - uuid: 2100332a-16a5-4598-bacf-7261baea9711 - title: SP 800-116 - citation: - text: Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) - A Recommendation for the Use of PIV Credentials in Physical Access Control - Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-116, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-116r1 - - uuid: d17ebd7a-ffab-499d-bfff-e705bbb01fa6 - title: SP 800-121 - citation: - text: Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone - KA (2017) Guide to Bluetooth Security. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, - Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-121r2 - - uuid: 0f66be67-85e7-4ca6-bd19-39453e9f4394 - title: SP 800-124 - citation: - text: Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security - of Mobile Devices in the Enterprise. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-124r1 - - uuid: 88660532-2dcf-442e-845c-03340ce48999 - title: SP 800-125B - citation: - text: Chandramouli R (2016) Secure Virtual Network Configuration for Virtual - Machine (VM) Protection. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-125B. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-125B - - uuid: 8016d2ed-d30f-4416-9c45-0f42c7aa3232 - title: SP 800-126 - citation: - text: "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018)\ - \ The Technical Specification for the Security Content Automation Protocol\ - \ (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-126r3 - - uuid: 20db4e66-e257-450c-b2e4-2bb9a62a2c88 - title: SP 800-128 - citation: - text: Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for - Security-Focused Configuration Management of Information Systems. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-128, Includes updates as of October 10, 2019. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-128 - - uuid: c7ac44e8-10db-4b64-b2b9-9e32ec1efed0 - title: SP 800-12 - citation: - text: Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information - Security. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-12, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-12r1 - - uuid: 3653e316-8923-430e-8943-b3b2b2562fc6 - title: SP 800-130 - citation: - text: Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for - Designing Cryptographic Key Management Systems. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-130. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-130 - - uuid: 62ea77ca-e450-4323-b210-e0d75390e785 - title: SP 800-137A - citation: - text: "Dempsey KL, Pillitteri VY, Baer C, Niemeyer R, Rudman R, Urban S\ - \ (2020) Assessing Information Security Continuous Monitoring (ISCM) Programs:\ - \ Developing an ISCM Program Assessment. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137A." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-137A - - uuid: 067223d8-1ec7-45c5-b21b-c848da6de8fb - title: SP 800-137 - citation: - text: Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh - AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring - (ISCM) for Federal Information Systems and Organizations. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-137. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-137 - - uuid: e47ee630-9cbc-4133-880e-e013f83ccd51 - title: SP 800-147 - citation: - text: Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection - Guidelines. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-147. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-147 - - uuid: 9ef4b43c-42a4-4316-87dc-ffaf528bc05c - title: SP 800-150 - citation: - text: Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) - Guide to Cyber Threat Information Sharing. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-150 - - uuid: 2494df28-9049-4196-b233-540e7440993f - title: SP 800-152 - citation: - text: Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal - Cryptographic Key Management Systems (CKMS). (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-152 - - uuid: 708b94e1-3d5e-4b22-ab43-1c69f3a97e37 - title: SP 800-154 - citation: - text: Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat - Modeling. (National Institute of Standards and Technology, Gaithersburg, - MD), Draft NIST Special Publication (SP) 800-154. - rlinks: - - href: https://csrc.nist.gov/publications/detail/sp/800-154/draft - - uuid: d9e036ba-6eec-46a6-9340-b0bf1fea23b4 - title: SP 800-156 - citation: - text: Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady - S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-156. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-156 - - uuid: e3cc0520-a366-4fc9-abc2-5272db7e3564 - title: SP 800-160-1 - citation: - text: "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering:\ - \ Considerations for a Multidisciplinary Approach in the Engineering of\ - \ Trustworthy Secure Systems. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes\ - \ updates as of March 21, 2018." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-160v1 - - uuid: 61ccf0f4-d3e7-42db-9796-ce6cb1c85989 - title: SP 800-160-2 - citation: - text: "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing\ - \ Cyber Resilient Systems: A Systems Security Engineering Approach. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Special\ - \ Publication (SP) 800-160, Vol. 2." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-160v2 - - uuid: e8e84963-14fc-4c3a-be05-b412a5d37cd2 - title: SP 800-161 - citation: - text: Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk - Management Practices for Federal Information Systems and Organizations. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-161. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-161 - - uuid: 2956e175-f674-43f4-b1b9-e074ad9fc39c - title: SP 800-162 - citation: - text: Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone - KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and - Considerations. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-162, Includes updates as of August - 2, 2019. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-162 - - uuid: e8552d48-cf41-40aa-8b06-f45f7fb4706c - title: SP 800-166 - citation: - text: Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady - S (2016) Derived PIV Application and Data Model Test Guidelines. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-166. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-166 - - uuid: 38f39739-1ebd-43b1-8b8c-00f591d89ebd - title: SP 800-167 - citation: - text: Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application - Whitelisting. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-167. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-167 - - uuid: 7dbd6d9f-29d6-4d1d-9766-f2d77ff3c849 - title: SP 800-171 - citation: - text: Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting - Controlled Unclassified Information in Nonfederal Systems and Organizations. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-171, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-171r2 - - uuid: f26af0d0-6d72-4a9d-8ecd-01bc21fd4f0e - title: SP 800-172 - citation: - text: "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau\ - \ D (2020) Enhanced Security Requirements for Protecting Controlled Unclassified\ - \ Information: A Supplement to NIST Special Publication 800-171 (Final\ - \ Public Draft). (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-172." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-172-draft - - uuid: 1c71b420-2bd9-4e52-9fc8-390f58b85b59 - title: SP 800-177 - citation: - text: Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy - Email. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-177, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-177r1 - - uuid: 388a3aa2-5d85-4bad-b8a3-77db80d63c4f - title: SP 800-178 - citation: - text: "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of\ - \ Attribute Based Access Control (ABAC) Standards for Data Service Applications:\ - \ Extensible Access Control Markup Language (XACML) and Next Generation\ - \ Access Control (NGAC). (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-178." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-178 - - uuid: 276bd50a-7e58-48e5-a405-8c8cb91d7a5f - title: SP 800-181 - citation: - text: Petersen R, Santos D, Smith MC, Wetzel KA, Witte G (2020) Workforce - Framework for Cybersecurity (NICE Framework). (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-181r1 - - uuid: 31ae65ab-3f26-46b7-9d64-f25a4dac5778 - title: SP 800-184 - citation: - text: Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya - MP (2016) Guide for Cybersecurity Event Recovery. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-184. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-184 - - uuid: c15bfc12-a61e-4ca5-bf35-fa9ce3ccb5d2 - title: SP 800-188 - citation: - text: Garfinkel S (2016) De-Identifying Government Datasets. (National Institute - of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special - Publication (SP) 800-188. - rlinks: - - href: https://csrc.nist.gov/publications/detail/sp/800-188/draft - - uuid: f5edfe51-d1f2-422e-9b27-5d0e90b49c72 - title: SP 800-189 - citation: - text: "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange:\ - \ BGP Security and DDoS Mitigation. (National Institute of Standards and\ - \ Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-189 - - uuid: 30eb758a-2707-4bca-90ad-949a74d4eb16 - title: SP 800-18 - citation: - text: Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans - for Federal Information Systems. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. - 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-18r1 - - uuid: 53df282b-8b3f-483a-bad1-6a8b8ac00114 - title: SP 800-192 - citation: - text: Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access - Control Policies/Models. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-192. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-192 - - uuid: f641309f-a3ad-48be-8c67-2b318648b2f5 - title: SP 800-28 - citation: - text: Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content - and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-28, Version 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-28ver2 - - uuid: 08b07465-dbdc-48d6-8a0b-37279602ac16 - title: SP 800-30 - citation: - text: Joint Task Force Transformation Initiative (2012) Guide for Conducting - Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-30, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-30r1 - - uuid: 8cb338a4-e493-4177-818f-3af18983ddc5 - title: SP 800-32 - citation: - text: Kuhn R, Hu VC, Polk T, Chang S-J (2001) Introduction to Public Key - Technology and the Federal PKI Infrastructure. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-32. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-32 - - uuid: bc39f179-c735-4da2-b7a7-b2b622119755 - title: SP 800-34 - citation: - text: Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency - Planning Guide for Federal Information Systems. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-34r1 - - uuid: 77faf0bc-c394-44ad-9154-bbac3b79c8ad - title: SP 800-35 - citation: - text: Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information - Technology Security Services. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-35. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-35 - - uuid: 482e4c99-9dc4-41ad-bba8-0f3f0032c1f8 - title: SP 800-37 - citation: - text: "Joint Task Force (2018) Risk Management Framework for Information\ - \ Systems and Organizations: A System Life Cycle Approach for Security\ - \ and Privacy. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-37, Rev. 2." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-37r2 - - uuid: cec037f3-8aba-4c97-84b4-4082f9e515d2 - title: SP 800-39 - citation: - text: "Joint Task Force Transformation Initiative (2011) Managing Information\ - \ Security Risk: Organization, Mission, and Information System View. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Special\ - \ Publication (SP) 800-39." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-39 - - uuid: 155f941a-cba9-4afd-9ca6-5d040d697ba9 - title: SP 800-40 - citation: - text: Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management - Technologies. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-40, Rev. 3. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-40r3 - - uuid: a7f0e897-29a3-45c4-bd88-40dfef0e034a - title: SP 800-41 - citation: - text: Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall - Policy. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-41, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-41r1 - - uuid: 314e33cb-3681-4b50-a2a2-3fae9604accd - title: SP 800-45 - citation: - text: Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on - Electronic Mail Security. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-45ver2 - - uuid: 83b9d63b-66b1-467c-9f3b-3a0b108771e9 - title: SP 800-46 - citation: - text: Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote - Access, and Bring Your Own Device (BYOD) Security. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-46, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-46r2 - - uuid: c3a76872-e160-4267-99e8-6952de967d04 - title: SP 800-47 - citation: - text: Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide - for Interconnecting Information Technology Systems. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-47. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-47 - - uuid: 511f6832-23ca-49a3-8c0f-ce493373cab8 - title: SP 800-50 - citation: - text: Wilson M, Hash J (2003) Building an Information Technology Security - Awareness and Training Program. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-50. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-50 - - uuid: 7537638e-2837-407d-844b-40fb3fafdd99 - title: SP 800-52 - citation: - text: McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, - and Use of Transport Layer Security (TLS) Implementations. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-52, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-52r2 - - uuid: 4e0d3c99-0f4e-496f-8951-d4f57c122fc2 - title: SP 800-53 RES - citation: - text: NIST Special Publication 800-53, Revision 5 Resource Center. - rlinks: - - href: https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final - - uuid: a21aef46-7330-48a0-b2e1-c5bb8b2dd11d - title: SP 800-53A - citation: - text: "Joint Task Force Transformation Initiative (2014) Assessing Security\ - \ and Privacy Controls in Federal Information Systems and Organizations:\ - \ Building Effective Assessment Plans. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A,\ - \ Rev. 4, Includes updates as of December 18, 2014." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-53Ar4 - - uuid: 46d9e201-840e-440e-987c-2c773333c752 - title: SP 800-53B - citation: - text: Joint Task Force (2020) Control Baselines and Tailoring Guidance for - Federal Information Systems and Organizations. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-53B. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-53B - - uuid: 7798067b-4ed0-4adc-a505-79dad4741693 - title: SP 800-55 - citation: - text: Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) - Performance Measurement Guide for Information Security. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-55, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-55r1 - - uuid: 20957dbb-6a1e-40a2-b38a-66f67d33ac2e - title: SP 800-56A - citation: - text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation - for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-56A, Rev. 3. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Ar3 - - uuid: 0d083d8a-5cc6-46f1-8d79-3081d42bcb75 - title: SP 800-56B - citation: - text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) - Recommendation for Pair-Wise Key-Establishment Using Integer Factorization - Cryptography. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-56B, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Br2 - - uuid: eef62b16-c796-4554-955c-505824135b8a - title: SP 800-56C - citation: - text: Barker EB, Chen L, Davis R (2020) Recommendation for Key-Derivation - Methods in Key-Establishment Schemes. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, - Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Cr2 - - uuid: 110e26af-4765-49e1-8740-6750f83fcda1 - title: SP 800-57-1 - citation: - text: "Barker EB (2020) Recommendation for Key Management: Part 1 – General.\ - \ (National Institute of Standards and Technology, Gaithersburg, MD),\ - \ NIST Special Publication (SP) 800-57 Part 1, Rev. 5." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt1r5 - - uuid: e7942589-e267-4a5a-a3d9-f39a7aae81f0 - title: SP 800-57-2 - citation: - text: "Barker EB, Barker WC (2019) Recommendation for Key Management: Part\ - \ 2 – Best Practices for Key Management Organizations. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-57 Part 2, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt2r1 - - uuid: 8306620b-1920-4d73-8b21-12008528595f - title: SP 800-57-3 - citation: - text: "Barker EB, Dang QH (2015) Recommendation for Key Management, Part\ - \ 3: Application-Specific Key Management Guidance. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-57 Part 3, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt3r1 - - uuid: e72fde0b-6fc2-497e-a9db-d8fce5a11b8a - title: SP 800-60-1 - citation: - text: Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide - for Mapping Types of Information and Information Systems to Security Categories. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-60, Vol. 1, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-60v1r1 - - uuid: 9be5d661-421f-41ad-854e-86f98b811891 - title: SP 800-60-2 - citation: - text: "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for\ - \ Mapping Types of Information and Information Systems to Security Categories:\ - \ Appendices. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-60v2r1 - - uuid: 49b8aa2d-a88c-4bff-9f20-876ccb8f7dcb - title: SP 800-61 - citation: - text: Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security - Incident Handling Guide. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-61r2 - - uuid: 737513fa-6758-403f-831d-5ddab5e23cb3 - title: SP 800-63-3 - citation: - text: Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-63-3 - - uuid: 9099ed2c-922a-493d-bcb4-d896192243ff - title: SP 800-63A - citation: - text: "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene\ - \ KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and\ - \ Identity Proofing. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates\ - \ as of March 2, 2020." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-63a - - uuid: e59c5a7c-8b1f-49ca-8de0-6ee0882180ce - title: SP 800-63B - citation: - text: "Grassi PA, Fenton JL, Newton EM, Perlner RA, Regenscheid AR, Burr\ - \ WE, Richer, JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos\ - \ MF (2017) Digital Identity Guidelines: Authentication and Lifecycle\ - \ Management. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-63B, Includes updates as of March\ - \ 2, 2020." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-63b - - uuid: 4895b4cd-34c5-4667-bf8a-27d443c12047 - title: SP 800-70 - citation: - text: "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist\ - \ Program for IT Products: Guidelines for Checklist Users and Developers.\ - \ (National Institute of Standards and Technology, Gaithersburg, MD),\ - \ NIST Special Publication (SP) 800-70, Rev. 4." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-70r4 - - uuid: 858705be-3c1f-48aa-a328-0ce398d95ef0 - title: SP 800-73-4 - citation: - text: Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, - Mohler J (2015) Interfaces for Personal Identity Verification. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-73-4, Includes updates as of February 8, 2016. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-73-4 - - uuid: 7af2e6ec-9f7e-4232-ad3f-09888eb0793a - title: SP 800-76-2 - citation: - text: Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications - for Personal Identity Verification. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-76-2 - - uuid: d4d7c760-2907-403b-8b2a-767ca5370ecd - title: SP 800-77 - citation: - text: Barker EB, Dang QH, Frankel SE, Scarfone KA, Wouters P (2020) Guide - to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-77, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-77r1 - - uuid: 828856bd-d7c4-427b-8b51-815517ec382d - title: SP 800-78-4 - citation: - text: Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic - Algorithms and Key Sizes for Personal Identity Verification. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-78-4. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-78-4 - - uuid: 10963761-58fc-4b20-b3d6-b44a54daba03 - title: SP 800-79-2 - citation: - text: Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) - Guidelines for the Authorization of Personal Identity Verification Card - Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-79-2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-79-2 - - uuid: fe209006-bfd4-4033-a79a-9fee1adaf372 - title: SP 800-81-2 - citation: - text: Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment - Guide. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-81-2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-81-2 - - uuid: 6264c85d-19f5-408a-aa44-d737daaf311e - title: SP 800-82 - citation: - text: Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide - to Industrial Control Systems (ICS) Security. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, - Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-82r2 - - uuid: 3dd249b0-f57d-44ba-a03e-c3eab1b835ff - title: SP 800-83 - citation: - text: Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention - and Handling for Desktops and Laptops. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-83r1 - - uuid: 53be2fcf-cfd1-4bcb-896b-9a3b65c22098 - title: SP 800-84 - citation: - text: Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide - to Test, Training, and Exercise Programs for IT Plans and Capabilities. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-84. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-84 - - uuid: cfdb1858-c473-46b3-89f9-a700308d0be2 - title: SP 800-86 - citation: - text: Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating - Forensic Techniques into Incident Response. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-86 - - uuid: a5b1d18d-e670-4586-9e6d-4a88b7ba3df6 - title: SP 800-88 - citation: - text: Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for - Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-88, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-88r1 - - uuid: 5eee45d8-3313-4fdc-8d54-1742092bbdd6 - title: SP 800-92 - citation: - text: Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-92. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-92 - - uuid: 25e3e57b-dc2f-4934-af9b-050b020c6f0e - title: SP 800-94 - citation: - text: Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention - Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-94. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-94 - - uuid: a6b9907a-2a14-4bb4-a142-d4c73026a8b4 - title: SP 800-95 - citation: - text: Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-95. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-95 - - uuid: 03fb73bc-1b12-4182-bd96-e5719254ea61 - title: SP 800-97 - citation: - text: "Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless\ - \ Robust Security Networks: A Guide to IEEE 802.11i. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-97." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-97 - - uuid: 13f0c39d-eaf7-417a-baef-69a041878bb5 - title: USA PATRIOT - citation: - text: USA Patriot Act (P.L. 107-56), October 2001. - rlinks: - - href: https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf - - uuid: dd1a42a3-20c0-43ba-bbdb-6ea3624f1d38 - title: USC 11101 - citation: - text: ' "Definitions," Title 40 U.S. Code, Sec. 11101. 2018 ed.' - rlinks: - - href: https://www.govinfo.gov/app/details/USCODE-2018-title40/USCODE-2018-title40-subtitleIII-chap111-sec11101 - - uuid: e922fc50-b1f9-469f-92ef-ed7d9803611c - title: USC 2901 - citation: - text: United States Code, 2008 Edition, Title 44 - *Public Printing and - Documents* , Chapters 29, 31, and 33, January 2012. - rlinks: - - href: https://www.govinfo.gov/content/pkg/USCODE-2011-title44/pdf/USCODE-2011-title44-chap29-sec2901.pdf - - uuid: 82460f0b-1060-420e-9181-554e2dc921df - title: USC 3502 - citation: - text: ' "Definitions," Title 44 U.S. Code, Sec. 3502. 2011 ed.' - rlinks: - - href: https://www.govinfo.gov/app/details/USCODE-2011-title44/USCODE-2011-title44-chap35-subchapI-sec3502 - - uuid: ef3550b5-60a0-4489-8d4e-08223a929c7a - title: USC 552 - citation: - text: United States Code, 2006 Edition, Supplement 4, Title 5 - *Government - Organization and Employees* , January 2011. - rlinks: - - href: https://www.govinfo.gov/content/pkg/USCODE-2010-title5/pdf/USCODE-2010-title5-partI-chap5-subchapII-sec552a.pdf - - uuid: 40b78258-c892-480e-9af8-77ac36648301 - title: USCERT IR - citation: - text: Department of Homeland Security, *US-CERT Federal Incident Notification - Guidelines* , April 2017. - rlinks: - - href: https://us-cert.cisa.gov/incident-notification-guidelines - - uuid: 98498928-3ca3-44b3-8b1e-f48685373087 - title: USGCB - citation: - text: National Institute of Standards and Technology (2020) *United States - Government Configuration Baseline* . Available at - rlinks: - - href: https://csrc.nist.gov/projects/united-states-government-configuration-baseline - - uuid: c3397cc9-83c6-4459-adb2-836739dc1b94 - title: "NIST Special Publication 800-53, Revision 5: *Security and Privacy\ - \ Controls for Information Systems and Organizations* (PDF)" - rlinks: - - href: https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf - media-type: application/pdf - - uuid: f7cf488d-bc64-4a91-a994-810e153ee481 - title: "NIST Special Publication 800-53, Revision 5: *Security and Privacy\ - \ Controls for Information Systems and Organizations* (DOI link)" - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-53r5 - media-type: application/pdf diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline-resolved-profile_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 234b27ce..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,38 +0,0 @@ ---- -catalog: - uuid: cf5ffcda-2032-4884-b3ba-7f6b5c790dd1 - metadata: - title: SP800-53 HIGH IMPACT BASELINE - last-modified: 2022-11-01T18:57:12.719504Z - version: FPD - oscal-version: 1.0.0 - links: - - href: NIST_SP-800-53_rev5-FPD_HIGH-baseline_profile.yaml - rel: resolution-source - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: a90f4235-ab3c-4bf1-ba0a-865bbc833346 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - a90f4235-ab3c-4bf1-ba0a-865bbc833346 - - role-id: contact - party-uuids: - - a90f4235-ab3c-4bf1-ba0a-865bbc833346 diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline_profile.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline_profile.yaml deleted file mode 100644 index 620d322e..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_HIGH-baseline_profile.yaml +++ /dev/null @@ -1,450 +0,0 @@ ---- -profile: - uuid: 25009e9c-c752-458c-8bf8-5b4f3ece73ea - metadata: - title: SP800-53 HIGH IMPACT BASELINE - last-modified: 2021-06-08T13:57:31.45647-04:00 - version: FPD - oscal-version: 1.0.0 - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: a90f4235-ab3c-4bf1-ba0a-865bbc833346 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - a90f4235-ab3c-4bf1-ba0a-865bbc833346 - - role-id: contact - party-uuids: - - a90f4235-ab3c-4bf1-ba0a-865bbc833346 - imports: - - href: NIST_SP-800-53_rev5-FINAL_catalog.yaml - include-controls: - - with-ids: - - ac-1 - - ac-2 - - ac-2.1 - - ac-2.2 - 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- sr-2 - - sr-2.1 - - sr-3 - - sr-5 - - sr-6 - - sr-8 - - sr-9 - - sr-9.1 - - sr-10 - - sr-11 - - sr-11.1 - - sr-11.2 - - sr-11.3 - merge: - as-is: true diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline-resolved-profile_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 75421821..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,38 +0,0 @@ ---- -catalog: - uuid: 2cb5f4fe-7a77-4154-a181-dab118997044 - metadata: - title: SP800-53 LOW IMPACT BASELINE - last-modified: 2022-11-01T18:57:21.307935Z - version: FPD - oscal-version: 1.0.0 - links: - - href: NIST_SP-800-53_rev5-FPD_LOW-baseline_profile.yaml - rel: resolution-source - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: fcba95f8-df3b-47cd-ae6f-57089a2b7174 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - fcba95f8-df3b-47cd-ae6f-57089a2b7174 - - role-id: contact - party-uuids: - - fcba95f8-df3b-47cd-ae6f-57089a2b7174 diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline_profile.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline_profile.yaml deleted file mode 100644 index 5f257139..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_LOW-baseline_profile.yaml +++ /dev/null @@ -1,225 +0,0 @@ ---- -profile: - uuid: 69757251-0190-4ebe-8cce-fdf06cec9bc7 - metadata: - title: SP800-53 LOW IMPACT BASELINE - last-modified: 2021-06-08T13:57:31.860472-04:00 - version: FPD - oscal-version: 1.0.0 - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: fcba95f8-df3b-47cd-ae6f-57089a2b7174 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - fcba95f8-df3b-47cd-ae6f-57089a2b7174 - - role-id: contact - party-uuids: - - fcba95f8-df3b-47cd-ae6f-57089a2b7174 - imports: - - href: NIST_SP-800-53_rev5-FINAL_catalog.yaml - include-controls: - - with-ids: - - ac-1 - - ac-2 - - ac-3 - - ac-6.7 - - ac-6.9 - - ac-7 - - ac-8 - - ac-14 - - ac-17 - - ac-18 - - ac-19 - - ac-20 - - ac-22 - - at-1 - - at-2 - - at-2.2 - - at-3 - - at-4 - - au-1 - - au-2 - - au-3 - - au-4 - - au-5 - - au-6 - - au-8 - - au-9 - - au-11 - - au-12 - - ca-1 - - ca-2 - - ca-3 - - ca-5 - - ca-6 - - ca-7 - - ca-7.4 - - ca-9 - - cm-1 - - cm-2 - - cm-4 - - cm-5 - - cm-6 - - cm-7 - - cm-8 - - cm-10 - - cm-11 - - cp-1 - - cp-2 - - cp-3 - - cp-4 - - cp-9 - - cp-10 - - ia-1 - - ia-2 - - ia-2.1 - - ia-2.2 - - ia-2.8 - - ia-2.12 - - ia-4 - - ia-5 - - ia-5.1 - - ia-6 - - ia-7 - - ia-8 - - ia-8.1 - - ia-8.2 - - ia-8.4 - - ia-11 - - ir-1 - - ir-2 - - ir-4 - - ir-5 - - ir-6 - - ir-7 - - ir-8 - - ma-1 - - ma-2 - - ma-4 - - ma-5 - - mp-1 - - mp-2 - - mp-6 - - mp-7 - - pe-1 - - pe-2 - - pe-3 - - pe-6 - - pe-8 - - pe-12 - - pe-13 - - pe-14 - - pe-15 - - pe-16 - - pl-1 - - pl-2 - - pl-4 - - pl-4.1 - - pl-10 - - pl-11 - - pm-1 - - pm-2 - - pm-3 - - pm-4 - - pm-5 - - pm-5.1 - - pm-6 - - pm-7 - - pm-7.1 - - pm-8 - - pm-9 - - pm-10 - - pm-11 - - pm-12 - - pm-13 - - pm-14 - - pm-15 - - pm-16 - - pm-16.1 - - pm-17 - - pm-18 - - pm-19 - - pm-20 - - pm-21 - - pm-22 - - pm-23 - - pm-24 - - pm-25 - - pm-26 - - pm-27 - - pm-28 - - pm-29 - - pm-30 - - pm-31 - - pm-32 - - ps-1 - - ps-2 - - ps-3 - - ps-4 - - ps-5 - - ps-6 - - ps-7 - - ps-8 - - ra-1 - - ra-2 - - ra-3 - - ra-3.1 - - ra-5 - - ra-5.2 - - ra-7 - - sa-1 - - sa-2 - - sa-3 - - sa-4 - - sa-4.10 - - sa-5 - - sa-8 - - sa-9 - - sa-22 - - sc-1 - - sc-5 - - sc-7 - - sc-12 - - sc-13 - - sc-15 - - sc-20 - - sc-21 - - sc-22 - - sc-39 - - si-1 - - si-2 - - si-3 - - si-4 - - si-5 - - si-12 - - sr-1 - - sr-2 - - sr-2.1 - - sr-3 - - sr-5 - - sr-8 - - sr-10 - - sr-11 - - sr-11.1 - - sr-11.2 - - sr-11.3 - merge: - as-is: true diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline-resolved-profile_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 03e0d078..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,38 +0,0 @@ ---- -catalog: - uuid: c5a15fc5-6b0f-4c41-a25e-3ade3af1c919 - metadata: - title: SP800-53 MODERATE IMPACT BASELINE - last-modified: 2022-11-01T18:57:29.713995Z - version: FPD - oscal-version: 1.0.0 - links: - - href: NIST_SP-800-53_rev5-FPD_MODERATE-baseline_profile.yaml - rel: resolution-source - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a - - role-id: contact - party-uuids: - - 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline_profile.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline_profile.yaml deleted file mode 100644 index 966b322b..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_MODERATE-baseline_profile.yaml +++ /dev/null @@ -1,364 +0,0 @@ ---- -profile: - uuid: 3b5e4f70-153e-4a76-a6d1-215dbed4467d - metadata: - title: SP800-53 MODERATE IMPACT BASELINE - last-modified: 2021-06-08T13:57:32.277476-04:00 - version: FPD - oscal-version: 1.0.0 - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a - - role-id: contact - party-uuids: - - 2ef7cfec-cb8e-4571-a7a2-a5c609b4767a - imports: - - href: NIST_SP-800-53_rev5-FINAL_catalog.yaml - include-controls: - - with-ids: - - ac-1 - - ac-2 - - ac-2.1 - - ac-2.2 - - ac-2.3 - - ac-2.4 - - ac-2.5 - - ac-2.13 - - ac-3 - - ac-4 - - ac-5 - - ac-6 - - ac-6.1 - - ac-6.2 - - ac-6.5 - - ac-6.7 - - ac-6.9 - - ac-6.10 - - ac-7 - - ac-8 - - ac-11 - - ac-11.1 - - ac-12 - - ac-14 - - ac-17 - - ac-17.1 - - ac-17.2 - - ac-17.3 - - ac-17.4 - - ac-18 - - ac-18.1 - - ac-18.3 - - ac-19 - - ac-19.5 - - ac-20 - - ac-20.1 - - ac-20.2 - - ac-21 - - ac-22 - - at-1 - - at-2 - - at-2.2 - - at-2.3 - - at-3 - - at-4 - - au-1 - - au-2 - - au-3 - - au-3.1 - - au-4 - - au-5 - - au-6 - - au-6.1 - - au-6.3 - - au-7 - - au-7.1 - - au-8 - - au-8.1 - - au-9 - - au-9.4 - - au-11 - - au-12 - - ca-1 - - ca-2 - - ca-2.1 - - ca-3 - - ca-5 - - ca-6 - - ca-7 - - ca-7.1 - - ca-7.4 - - ca-9 - - cm-1 - - cm-2 - - cm-2.2 - - cm-2.3 - - cm-2.7 - - cm-3 - - cm-3.2 - - cm-3.4 - - cm-4 - - cm-4.2 - - cm-5 - - cm-6 - - cm-7 - - cm-7.1 - - cm-7.2 - - cm-7.5 - - cm-8 - - cm-8.1 - - cm-8.3 - - cm-9 - - cm-10 - - cm-11 - - cm-12 - - cm-12.1 - - cp-1 - - cp-2 - - cp-2.1 - - cp-2.3 - - cp-2.8 - - cp-3 - - cp-4 - - cp-4.1 - - cp-6 - - cp-6.1 - - cp-6.3 - - cp-7 - - cp-7.1 - - cp-7.2 - - cp-7.3 - - cp-8 - - cp-8.1 - - cp-8.2 - - cp-9 - - cp-9.1 - - cp-9.8 - - cp-10 - - cp-10.2 - - ia-1 - - ia-2 - - ia-2.1 - - ia-2.2 - - ia-2.8 - - ia-2.12 - - ia-3 - - ia-4 - - ia-4.4 - - ia-5 - - ia-5.1 - - ia-5.2 - - ia-5.6 - - ia-6 - - ia-7 - - ia-8 - - ia-8.1 - - ia-8.2 - - ia-8.4 - - ia-11 - - ia-12 - - ia-12.2 - - ia-12.3 - - ia-12.5 - - ir-1 - - ir-2 - - ir-3 - - ir-3.2 - - ir-4 - - ir-4.1 - - ir-5 - - ir-6 - - ir-6.1 - - ir-6.3 - - ir-7 - - ir-7.1 - - ir-8 - - ma-1 - - ma-2 - - ma-3 - - ma-3.1 - - ma-3.2 - - ma-3.3 - - ma-4 - - ma-5 - - ma-6 - - mp-1 - - mp-2 - - mp-3 - - mp-4 - - mp-5 - - mp-6 - - mp-7 - - pe-1 - - pe-2 - - pe-3 - - pe-4 - - pe-5 - - pe-6 - - pe-6.1 - - pe-8 - - pe-9 - - pe-10 - - pe-11 - - pe-12 - - pe-13 - - pe-13.1 - - pe-14 - - pe-15 - - pe-16 - - pe-17 - - pl-1 - - pl-2 - - pl-4 - - pl-4.1 - - pl-8 - - pl-10 - - pl-11 - - pm-1 - - pm-2 - - pm-3 - - pm-4 - - pm-5 - - pm-5.1 - - pm-6 - - pm-7 - - pm-7.1 - - pm-8 - - pm-9 - - pm-10 - - pm-11 - - pm-12 - - pm-13 - - pm-14 - - pm-15 - - pm-16 - - pm-16.1 - - pm-17 - - pm-18 - - pm-19 - - pm-20 - - pm-21 - - pm-22 - - pm-23 - - pm-24 - - pm-25 - - pm-26 - - pm-27 - - pm-28 - - pm-29 - - pm-30 - - pm-31 - - pm-32 - - ps-1 - - ps-2 - - ps-3 - - ps-4 - - ps-5 - - ps-6 - - ps-7 - - ps-8 - - ra-1 - - ra-2 - - ra-3 - - ra-3.1 - - ra-5 - - ra-5.2 - - ra-5.5 - - ra-7 - - ra-9 - - sa-1 - - sa-2 - - sa-3 - - sa-4 - - sa-4.1 - - sa-4.2 - - sa-4.9 - - sa-4.10 - - sa-5 - - sa-8 - - sa-9 - - sa-9.2 - - sa-10 - - sa-11 - - sa-15 - - sa-15.3 - - sa-22 - - sc-1 - - sc-2 - - sc-4 - - sc-5 - - sc-7 - - sc-7.3 - - sc-7.4 - - sc-7.5 - - sc-7.7 - - sc-7.8 - - sc-8 - - sc-8.1 - - sc-10 - - sc-12 - - sc-13 - - sc-15 - - sc-17 - - sc-18 - - sc-20 - - sc-21 - - sc-22 - - sc-23 - - sc-28 - - sc-28.1 - - sc-39 - - si-1 - - si-2 - - si-2.2 - - si-3 - - si-3.1 - - si-4 - - si-4.2 - - si-4.4 - - si-4.5 - - si-5 - - si-7 - - si-7.1 - - si-7.7 - - si-8 - - si-8.1 - - si-8.2 - - si-10 - - si-11 - - si-12 - - si-16 - - sr-1 - - sr-2 - - sr-2.1 - - sr-3 - - sr-5 - - sr-6 - - sr-8 - - sr-10 - - sr-11 - - sr-11.1 - - sr-11.2 - - sr-11.3 - merge: - as-is: true diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline-resolved-profile_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index ef1864ea..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,38 +0,0 @@ ---- -catalog: - uuid: 38c32260-4187-407b-8e81-2f8f5a3754b4 - metadata: - title: SP800-53 PRIVACY BASELINE - last-modified: 2022-11-01T18:57:38.380464Z - version: FPD - oscal-version: 1.0.0 - links: - - href: NIST_SP-800-53_rev5-FPD_PRIVACY-baseline_profile.yaml - rel: resolution-source - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 - - role-id: contact - party-uuids: - - d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline_profile.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline_profile.yaml deleted file mode 100644 index 1b2197d1..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_PRIVACY-baseline_profile.yaml +++ /dev/null @@ -1,127 +0,0 @@ ---- -profile: - uuid: 767c11dd-de88-4222-8241-acc2ba3865d0 - metadata: - title: SP800-53 PRIVACY BASELINE - last-modified: 2021-06-08T13:57:32.630978-04:00 - version: FPD - oscal-version: 1.0.0 - roles: - - id: creator - title: Document Creator - - id: contact - title: Contact - parties: - - uuid: d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 - type: organization - name: Joint Task Force, Transformation Initiative - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 - - role-id: contact - party-uuids: - - d8bc8fc4-0f2e-4bfd-983f-e2ec9dc64696 - imports: - - href: NIST_SP-800-53_rev5-FINAL_catalog.yaml - include-controls: - - with-ids: - - ac-1 - - ac-3.14 - - at-1 - - at-2 - - at-2.5 - - at-3 - - at-3.5 - - at-4 - - au-1 - - au-2 - - au-11 - - ca-1 - - ca-2 - - ca-5 - - ca-6 - - ca-7 - - ca-7.4 - - cm-1 - - cm-4 - - ir-1 - - ir-3 - - ir-4 - - ir-6 - - ir-7 - - ir-8 - - ir-8.1 - - mp-1 - - mp-6 - - pl-1 - - pl-2 - - pl-4 - - pl-4.1 - - pl-8 - - pl-9 - - pm-3 - - pm-4 - - pm-5.1 - - pm-6 - - pm-7 - - pm-8 - - pm-9 - - pm-10 - - pm-11 - - pm-13 - - pm-14 - - pm-18 - - pm-19 - - pm-20 - - pm-21 - - pm-22 - - pm-24 - - pm-25 - - pm-26 - - pm-27 - - pm-31 - - pm-33 - - pt-1 - - pt-2 - - pt-3 - - pt-4 - - pt-5 - - pt-6 - - pt-6.2 - - pt-7 - - pt-7.1 - - pt-7.2 - - pt-8 - - pt-8.1 - - pt-8.2 - - pt-9 - - ra-1 - - ra-3 - - ra-7 - - ra-8 - - sa-1 - - sa-4 - - sa-9 - - sa-11 - - si-1 - - si-12 - - si-12.1 - - si-12.2 - - si-12.3 - - si-18 - - si-18.4 - - si-19 - merge: - as-is: true diff --git a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_catalog.yaml b/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_catalog.yaml deleted file mode 100644 index 57e1d812..00000000 --- a/nist.gov/SP800-53/rev5/yaml/draft/NIST_SP-800-53_rev5-FPD_catalog.yaml +++ /dev/null @@ -1,50020 +0,0 @@ ---- -catalog: - uuid: 3774332f-a28d-4e61-8c3e-31171abbe07c - metadata: - title: "NIST Special Publication 800-53: Security and Privacy Controls for Federal\ - \ Information Systems and Organizations, Revision 5 Final Public Draft" - last-modified: 2021-06-08T13:57:30.880464-04:00 - version: Revision 5 - oscal-version: 1.0.0 - props: - - name: keywords - value: assurance, availability, computer security, confidentiality, control, - cybersecurity, FISMA, information security, information system, integrity, - personally identifiable information, Privacy Act, privacy controls, privacy - functions, privacy requirements, Risk Management Framework, security controls, - security functions, security requirements, system, system security - links: - - href: "#90ec1671-8dcf-4bcf-8efe-ac6d06a806f0" - rel: alternate - - href: "#abe434a3-7630-4138-8699-2ab8c7a9aa6c" - rel: canonical - roles: - - id: creator - title: Document creator - - id: contact - title: Contact - parties: - - uuid: d2cd65bd-2123-4dd9-afb2-c7564f3251c2 - type: organization - name: Joint Task Force, Interagency Working Group - email-addresses: - - sec-cert@nist.gov - addresses: - - addr-lines: - - National Institute of Standards and Technology - - "Attn: Computer Security Division" - - Information Technology Laboratory - - 100 Bureau Drive (Mail Stop 8930) - city: Gaithersburg - state: MD - postal-code: 20899-8930 - responsible-parties: - - role-id: creator - party-uuids: - - 4ae7292e-6d8e-4735-86ea-11047c575e87 - - role-id: contact - party-uuids: - - 4ae7292e-6d8e-4735-86ea-11047c575e87 - groups: - - id: ac - class: family - title: Access Control - controls: - - id: ac-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ac-1_prm_1 - label: organization-defined personnel or roles - - id: ac-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ac-1_prm_3 - label: organization-defined official - - id: ac-1_prm_4 - label: organization-defined frequency - - id: ac-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: AC-1 - - name: sort-id - value: AC-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#bb22d510-54a9-4588-b725-00d37576562b" - rel: reference - - href: "#ia-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-24" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ac-1_smt - name: statement - parts: - - id: ac-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ac-1_prm_1 }}:" - parts: - - id: ac-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ac-1_prm_2 }} access control policy\ - \ that:" - parts: - - id: ac-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ac-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ac-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the access - control policy and the associated access controls; - - id: ac-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ac-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the access\ - \ control policy and procedures; and" - - id: ac-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current access control:" - parts: - - id: ac-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ac-1_prm_4 }}; and" - - id: ac-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ac-1_prm_5 }}." - - id: ac-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the AC family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ac-2 - class: SP800-53 - title: Account Management - params: - - id: ac-2_prm_1 - label: organization-defined attributes (as required) - - id: ac-2_prm_2 - label: organization-defined personnel or roles - - id: ac-2_prm_3 - label: organization-defined policy, procedures, and conditions - - id: ac-2_prm_4 - label: organization-defined personnel or roles - - id: ac-2_prm_5 - label: organization-defined time-period - - id: ac-2_prm_6 - label: organization-defined time-period - - id: ac-2_prm_7 - label: organization-defined time-period - - id: ac-2_prm_8 - label: organization-defined attributes (as required) - - id: ac-2_prm_9 - label: organization-defined frequency - props: - - name: label - value: AC-2 - - name: sort-id - value: AC-02 - links: - - href: "#359f960c-2598-454c-ba3b-a30c553e498f" - rel: reference - - href: "#223b23a9-baea-4a50-8058-63cf7967b61f" - rel: reference - - href: "#06d3c11a-4a00-42d9-ad75-e6a777ffae5e" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-20" - rel: related - - href: "#ac-24" - rel: related - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-5" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-7" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ac-2_smt - name: statement - parts: - - id: ac-2_smt.a - name: item - props: - - name: label - value: a. - prose: Define and document the types of accounts allowed for use - within the system; - - id: ac-2_smt.b - name: item - props: - - name: label - value: b. - prose: Assign account managers; - - id: ac-2_smt.c - name: item - props: - - name: label - value: c. - prose: Establish conditions for group and role membership; - - id: ac-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Specify:" - parts: - - id: ac-2_smt.d.1 - name: item - props: - - name: label - value: "1." - prose: Authorized users of the system; - - id: ac-2_smt.d.2 - name: item - props: - - name: label - value: "2." - prose: Group and role membership; and - - id: ac-2_smt.d.3 - name: item - props: - - name: label - value: "3." - prose: "Access authorizations (i.e., privileges) and {{ insert:\ - \ param, ac-2_prm_1 }} for each account;" - - id: ac-2_smt.e - name: item - props: - - name: label - value: e. - prose: "Require approvals by {{ insert: param, ac-2_prm_2 }} for\ - \ requests to create accounts;" - - id: ac-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Create, enable, modify, disable, and remove accounts in\ - \ accordance with {{ insert: param, ac-2_prm_3 }};" - - id: ac-2_smt.g - name: item - props: - - name: label - value: g. - prose: Monitor the use of accounts; - - id: ac-2_smt.h - name: item - props: - - name: label - value: h. - prose: "Notify account managers and {{ insert: param, ac-2_prm_4\ - \ }} within:" - parts: - - id: ac-2_smt.h.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ac-2_prm_5 }} when accounts are no\ - \ longer required;" - - id: ac-2_smt.h.2 - name: item - props: - - name: label - value: "2." - prose: "{{ insert: param, ac-2_prm_6 }} when users are terminated\ - \ or transferred; and" - - id: ac-2_smt.h.3 - name: item - props: - - name: label - value: "3." - prose: "{{ insert: param, ac-2_prm_7 }} when system usage or\ - \ need-to-know changes for an individual;" - - id: ac-2_smt.i - name: item - props: - - name: label - value: i. - prose: "Authorize access to the system based on:" - parts: - - id: ac-2_smt.i.1 - name: item - props: - - name: label - value: "1." - prose: A valid access authorization; - - id: ac-2_smt.i.2 - name: item - props: - - name: label - value: "2." - prose: Intended system usage; and - - id: ac-2_smt.i.3 - name: item - props: - - name: label - value: "3." - prose: "{{ insert: param, ac-2_prm_8 }};" - - id: ac-2_smt.j - name: item - props: - - name: label - value: j. - prose: "Review accounts for compliance with account management requirements\ - \ {{ insert: param, ac-2_prm_9 }};" - - id: ac-2_smt.k - name: item - props: - - name: label - value: k. - prose: Establish and implement a process for changing shared or - group account credentials (if deployed) when individuals are removed - from the group; and - - id: ac-2_smt.l - name: item - props: - - name: label - value: l. - prose: Align account management processes with personnel termination - and transfer processes. - - id: ac-2_gdn - name: guidance - prose: Examples of system account types include individual, shared, - group, system, guest, anonymous, emergency, developer, temporary, - and service. Identification of authorized system users and the specification - of access privileges reflects the requirements in other controls in - the security plan. Users requiring administrative privileges on system - accounts receive additional scrutiny by organizational personnel responsible - for approving such accounts and privileged access, including system - owner, mission or business owner, senior agency information security - officer, or senior agency official for privacy. External system accounts - are not included in the scope of this control. Organizations address - external system accounts through organizational policy. Where access - involves personally identifiable information, security programs collaborate - with the senior agency official for privacy on establishing the specific - conditions for group and role membership; specifying for each account, - authorized users, group and role membership, and access authorizations; - and creating, adjusting, or removing system accounts in accordance - with organizational policies. Policies can include such information - as account expiration dates or other factors triggering the disabling - of accounts. Organizations may choose to define access privileges - or other attributes by account, by type of account, or a combination - of the two. Examples of other attributes required for authorizing - access include restrictions on time-of-day, day-of-week, and point-of-origin. - In defining other system account attributes, organizations consider - system-related requirements and mission/business requirements. Failure - to consider these factors could affect system availability. Temporary - and emergency accounts are intended for short-term use. Organizations - establish temporary accounts as a part of normal account activation - procedures when there is a need for short-term accounts without the - demand for immediacy in account activation. Organizations establish - emergency accounts in response to crisis situations and with the need - for rapid account activation. Therefore, emergency account activation - may bypass normal account authorization processes. Emergency and temporary - accounts are not to be confused with infrequently used accounts, including - local logon accounts used for special tasks or when network resources - are unavailable (may also be known as accounts of last resort). Such - accounts remain available and are not subject to automatic disabling - or removal dates. Conditions for disabling or deactivating accounts - include when shared/group, emergency, or temporary accounts are no - longer required; and when individuals are transferred or terminated. - Changing shared/group account credentials when members leave the group - is intended to ensure that former group members do not retain access - to the shared or group account. Some types of system accounts may - require specialized training. - controls: - - id: ac-2.1 - class: SP800-53-enhancement - title: Automated System Account Management - params: - - id: ac-2.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: AC-2(1) - - name: sort-id - value: AC-02(01) - parts: - - id: ac-2.1_smt - name: statement - prose: "Support the management of system accounts using {{ insert:\ - \ param, ac-2.1_prm_1 }}." - - id: ac-2.1_gdn - name: guidance - prose: Automated mechanisms include using email or text messaging - to automatically notify account managers when users are terminated - or transferred; using the system to monitor account usage; and - using telephonic notification to report atypical system account - usage. - - id: ac-2.2 - class: SP800-53-enhancement - title: Automated Temporary and Emergency Account Management - params: - - id: ac-2.2_prm_1 - select: - choice: - - remove - - disable - - id: ac-2.2_prm_2 - label: organization-defined time-period for each type of account - props: - - name: label - value: AC-2(2) - - name: sort-id - value: AC-02(02) - parts: - - id: ac-2.2_smt - name: statement - prose: "Automatically {{ insert: param, ac-2.2_prm_1 }} temporary\ - \ and emergency accounts after {{ insert: param, ac-2.2_prm_2\ - \ }}." - - id: ac-2.2_gdn - name: guidance - prose: Management of temporary and emergency accounts includes the - removal or disabling of such accounts automatically after a predefined - time-period, rather than at the convenience of the systems administrator. - Automatic removal or disabling of accounts provides a more consistent - implementation. - - id: ac-2.3 - class: SP800-53-enhancement - title: Disable Accounts - params: - - id: ac-2.3_prm_1 - label: organization-defined time-period - props: - - name: label - value: AC-2(3) - - name: sort-id - value: AC-02(03) - parts: - - id: ac-2.3_smt - name: statement - prose: "Disable accounts when the accounts:" - parts: - - id: ac-2.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Have expired; - - id: ac-2.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Are no longer associated with a user or individual; - - id: ac-2.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Are in violation of organizational policy; or - - id: ac-2.3_smt.d - name: item - props: - - name: label - value: (d) - prose: "Have been inactive for {{ insert: param, ac-2.3_prm_1\ - \ }}." - - id: ac-2.3_gdn - name: guidance - prose: Disabling expired, inactive, or otherwise anomalous accounts - supports the concept of least privilege and least functionality - which reduces the attack surface of the system. - - id: ac-2.4 - class: SP800-53-enhancement - title: Automated Audit Actions - props: - - name: label - value: AC-2(4) - - name: sort-id - value: AC-02(04) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - parts: - - id: ac-2.4_smt - name: statement - prose: Automatically audit account creation, modification, enabling, - disabling, and removal actions. - - id: ac-2.4_gdn - name: guidance - prose: Account management audit records are defined in accordance - with AU-2 and reviewed, analyzed, and reported in accordance with - AU-6. - - id: ac-2.5 - class: SP800-53-enhancement - title: Inactivity Logout - params: - - id: ac-2.5_prm_1 - label: organization-defined time-period of expected inactivity or - description of when to log out - props: - - name: label - value: AC-2(5) - - name: sort-id - value: AC-02(05) - links: - - href: "#ac-11" - rel: related - parts: - - id: ac-2.5_smt - name: statement - prose: "Require that users log out when {{ insert: param, ac-2.5_prm_1\ - \ }}." - - id: ac-2.5_gdn - name: guidance - prose: Inactivity logout is behavior or policy-based and requires - users to take physical action to log out when they are expecting - inactivity longer than the defined period. Automatic enforcement - of this control enhancement is addressed by AC-11. - - id: ac-2.6 - class: SP800-53-enhancement - title: Dynamic Privilege Management - params: - - id: ac-2.6_prm_1 - label: organization-defined dynamic privilege management capabilities - props: - - name: label - value: AC-2(6) - - name: sort-id - value: AC-02(06) - links: - - href: "#ac-16" - rel: related - parts: - - id: ac-2.6_smt - name: statement - prose: "Implement {{ insert: param, ac-2.6_prm_1 }}." - - id: ac-2.6_gdn - name: guidance - prose: In contrast to access control approaches that employ static - accounts and predefined user privileges, dynamic access control - approaches rely on run time access control decisions facilitated - by dynamic privilege management such as attribute-based access - control. While user identities remain relatively constant over - time, user privileges typically change more frequently based on - ongoing mission or business requirements and operational needs - of organizations. An example of dynamic privilege management is - the immediate revocation of privileges from users, as opposed - to requiring that users terminate and restart their sessions to - reflect changes in privileges. Dynamic privilege management can - also include mechanisms that change user privileges based on dynamic - rules as opposed to editing specific user profiles. Examples include - automatic adjustments of user privileges if they are operating - out of their normal work times, their job function or assignment - changes, or if systems are under duress or in emergency situations. - Dynamic privilege management includes the effects of privilege - changes, for example, when there are changes to encryption keys - used for communications. - - id: ac-2.7 - class: SP800-53-enhancement - title: Privileged User Accounts - params: - - id: ac-2.7_prm_1 - select: - choice: - - a role-based access scheme - - an attribute-based access scheme - props: - - name: label - value: AC-2(7) - - name: sort-id - value: AC-02(07) - links: - - href: "#ac-3" - rel: related - parts: - - id: ac-2.7_smt - name: statement - parts: - - id: ac-2.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Establish and administer privileged user accounts in\ - \ accordance with {{ insert: param, ac-2.7_prm_1 }};" - - id: ac-2.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Monitor privileged role or attribute assignments; - - id: ac-2.7_smt.c - name: item - props: - - name: label - value: (c) - prose: Monitor changes to roles or attributes; and - - id: ac-2.7_smt.d - name: item - props: - - name: label - value: (d) - prose: Revoke access when privileged role or attribute assignments - are no longer appropriate. - - id: ac-2.7_gdn - name: guidance - prose: Privileged roles are organization-defined roles assigned - to individuals that allow those individuals to perform certain - security-relevant functions that ordinary users are not authorized - to perform. Privileged roles include key management, account management, - database administration, system and network administration, and - web administration. A role-based access scheme organizes permitted - system access and privileges into roles. In contrast, an attribute-based - access scheme specifies allowed system access and privileges based - on attributes. - - id: ac-2.8 - class: SP800-53-enhancement - title: Dynamic Account Management - params: - - id: ac-2.8_prm_1 - label: organization-defined system accounts - props: - - name: label - value: AC-2(8) - - name: sort-id - value: AC-02(08) - links: - - href: "#ac-16" - rel: related - parts: - - id: ac-2.8_smt - name: statement - prose: "Create, activate, manage, and deactivate {{ insert: param,\ - \ ac-2.8_prm_1 }} dynamically." - - id: ac-2.8_gdn - name: guidance - prose: Approaches for dynamically creating, activating, managing, - and deactivating system accounts rely on automatically provisioning - the accounts at run time for entities that were previously unknown. - Organizations plan for the dynamic management, creation, activation, - and deactivation of system accounts by establishing trust relationships, - business rules, and mechanisms with appropriate authorities to - validate related authorizations and privileges. - - id: ac-2.9 - class: SP800-53-enhancement - title: Restrictions on Use of Shared and Group Accounts - params: - - id: ac-2.9_prm_1 - label: organization-defined conditions for establishing shared and - group accounts - props: - - name: label - value: AC-2(9) - - name: sort-id - value: AC-02(09) - parts: - - id: ac-2.9_smt - name: statement - prose: "Only permit the use of shared and group accounts that meet\ - \ {{ insert: param, ac-2.9_prm_1 }}." - - id: ac-2.9_gdn - name: guidance - prose: Before permitting the use of shared or group accounts, organizations - consider the increased risk due to the lack of accountability - with such accounts. - - id: ac-2.10 - class: SP800-53-enhancement - title: Shared and Group Account Credential Change - props: - - name: label - value: AC-2(10) - - name: status - value: Withdrawn - - name: sort-id - value: AC-02(10) - links: - - href: "#ac-2_smt.k" - rel: incorporated-into - - id: ac-2.11 - class: SP800-53-enhancement - title: Usage Conditions - params: - - id: ac-2.11_prm_1 - label: organization-defined circumstances and/or usage conditions - - id: ac-2.11_prm_2 - label: organization-defined system accounts - props: - - name: label - value: AC-2(11) - - name: sort-id - value: AC-02(11) - parts: - - id: ac-2.11_smt - name: statement - prose: "Enforce {{ insert: param, ac-2.11_prm_1 }} for {{ insert:\ - \ param, ac-2.11_prm_2 }}." - - id: ac-2.11_gdn - name: guidance - prose: Specifying and enforcing usage conditions helps to enforce - the principle of least privilege, increase user accountability, - and enable effective account monitoring. Account monitoring includes - alerts generated if the account is used in violation of organizational - parameters. Organizations can describe specific conditions or - circumstances under which system accounts can be used, for example, - by restricting usage to certain days of the week, time of day, - or specific durations of time. - - id: ac-2.12 - class: SP800-53-enhancement - title: Account Monitoring for Atypical Usage - params: - - id: ac-2.12_prm_1 - label: organization-defined atypical usage - - id: ac-2.12_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: AC-2(12) - - name: sort-id - value: AC-02(12) - links: - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ca-7" - rel: related - - href: "#ir-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-2.12_smt - name: statement - parts: - - id: ac-2.12_smt.a - name: item - props: - - name: label - value: (a) - prose: "Monitor system accounts for {{ insert: param, ac-2.12_prm_1\ - \ }}; and" - - id: ac-2.12_smt.b - name: item - props: - - name: label - value: (b) - prose: "Report atypical usage of system accounts to {{ insert:\ - \ param, ac-2.12_prm_2 }}." - - id: ac-2.12_gdn - name: guidance - prose: Atypical usage includes accessing systems at certain times - of the day or from locations that are not consistent with the - normal usage patterns of individuals working in organizations. - Account monitoring may inadvertently create privacy risks. Data - collected to identify atypical usage may reveal previously unknown - information about the behavior of individuals. Organizations assess - and document privacy risks from monitoring accounts for atypical - usage in their privacy impact assessment and make determinations - that are in alignment with their privacy program plan. - - id: ac-2.13 - class: SP800-53-enhancement - title: Disable Accounts for High-risk Individuals - params: - - id: ac-2.13_prm_1 - label: organization-defined time-period - - id: ac-2.13_prm_2 - label: organization-defined significant risks - props: - - name: label - value: AC-2(13) - - name: sort-id - value: AC-02(13) - links: - - href: "#au-6" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-2.13_smt - name: statement - prose: "Disable accounts of users within {{ insert: param, ac-2.13_prm_1\ - \ }} of discovery of {{ insert: param, ac-2.13_prm_2 }}." - - id: ac-2.13_gdn - name: guidance - prose: Users posing a significant security and/or privacy risk include - individuals for whom reliable evidence indicates either the intention - to use authorized access to systems to cause harm or through whom - adversaries will cause harm. Such harm includes the adverse impacts - to organizational operations, organizational assets, individuals, - other organizations, or the Nation. Close coordination among system - administrators, legal staff, human resource managers, and authorizing - officials is essential for execution of this control enhancement. - - id: ac-2.14 - class: SP800-53-enhancement - title: Prohibit Specific Account Types - params: - - id: ac-2.14_prm_1 - select: - how-many: one-or-more - choice: - - shared - - guest - - anonymous - - temporary - - emergency - - id: ac-2.14_prm_2 - label: organization-defined information types - props: - - name: label - value: AC-2(14) - - name: sort-id - value: AC-02(14) - links: - - href: "#ps-4" - rel: related - parts: - - id: ac-2.14_smt - name: statement - prose: "Prohibit the use of {{ insert: param, ac-2.14_prm_1 }} accounts\ - \ for access to {{ insert: param, ac-2.14_prm_2 }}." - - id: ac-2.14_gdn - name: guidance - prose: Organizations determine what types of accounts are prohibited - based on the security and privacy risk. - - id: ac-3 - class: SP800-53 - title: Access Enforcement - props: - - name: label - value: AC-3 - - name: sort-id - value: AC-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#359f960c-2598-454c-ba3b-a30c553e498f" - rel: reference - - href: "#223b23a9-baea-4a50-8058-63cf7967b61f" - rel: reference - - href: "#bb22d510-54a9-4588-b725-00d37576562b" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#ac-21" - rel: related - - href: "#ac-22" - rel: related - - href: "#ac-24" - rel: related - - href: "#ac-25" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#au-9" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-6" - rel: related - - href: "#ia-7" - rel: related - - href: "#ia-11" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#pm-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-31" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-3_smt - name: statement - prose: Enforce approved authorizations for logical access to information - and system resources in accordance with applicable access control - policies. - - id: ac-3_gdn - name: guidance - prose: Access control policies control access between active entities - or subjects (i.e., users or processes acting on behalf of users) and - passive entities or objects (i.e., devices, files, records, domains) - in organizational systems. In addition to enforcing authorized access - at the system level and recognizing that systems can host many applications - and services in support of missions and business functions, access - enforcement mechanisms can also be employed at the application and - service level to provide increased information security and privacy. - In contrast to logical access controls that are implemented within - the system, physical access controls are addressed by the controls - in the Physical and Environmental Protection (PE) family. - controls: - - id: ac-3.1 - class: SP800-53-enhancement - title: Restricted Access to Privileged Functions - props: - - name: label - value: AC-3(1) - - name: status - value: Withdrawn - - name: sort-id - value: AC-03(01) - links: - - href: "#ac-6" - rel: incorporated-into - - id: ac-3.2 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: ac-3.2_prm_1 - label: organization-defined privileged commands and/or other organization-defined - actions - props: - - name: label - value: AC-3(2) - - name: sort-id - value: AC-03(02) - links: - - href: "#cp-9" - rel: related - - href: "#mp-6" - rel: related - parts: - - id: ac-3.2_smt - name: statement - prose: "Enforce dual authorization for {{ insert: param, ac-3.2_prm_1\ - \ }}." - - id: ac-3.2_gdn - name: guidance - prose: Dual authorization, also known as two-person control, reduces - risk related to insider threat. Dual authorization mechanisms - require the approval of two authorized individuals to execute. - To reduce the risk of collusion, organizations consider rotating - dual authorization duties to other individuals. Organizations - do not require dual authorization mechanisms when immediate responses - are necessary to ensure public and environmental safety. - - id: ac-3.3 - class: SP800-53-enhancement - title: Mandatory Access Control - params: - - id: ac-3.3_prm_1 - label: organization-defined mandatory access control policy - - id: ac-3.3_prm_2 - label: organization-defined subjects - - id: ac-3.3_prm_3 - label: organization-defined privileges - props: - - name: label - value: AC-3(3) - - name: sort-id - value: AC-03(03) - links: - - href: "#sc-7" - rel: related - parts: - - id: ac-3.3_smt - name: statement - prose: "Enforce {{ insert: param, ac-3.3_prm_1 }} over the set of\ - \ covered subjects and objects specified in the policy, and where\ - \ the policy:" - parts: - - id: ac-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Is uniformly enforced across the covered subjects and - objects within the system; - - id: ac-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Specifies that a subject that has been granted access - to information is constrained from doing any of the following; - parts: - - id: ac-3.3_smt.b.1 - name: item - props: - - name: label - value: (1) - prose: Passing the information to unauthorized subjects - or objects; - - id: ac-3.3_smt.b.2 - name: item - props: - - name: label - value: (2) - prose: Granting its privileges to other subjects; - - id: ac-3.3_smt.b.3 - name: item - props: - - name: label - value: (3) - prose: Changing one or more security attributes (specified - by the policy) on subjects, objects, the system, or system - components; - - id: ac-3.3_smt.b.4 - name: item - props: - - name: label - value: (4) - prose: Choosing the security attributes and attribute values - (specified by the policy) to be associated with newly - created or modified objects; and - - id: ac-3.3_smt.b.5 - name: item - props: - - name: label - value: (5) - prose: Changing the rules governing access control; and - - id: ac-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "Specifies that {{ insert: param, ac-3.3_prm_2 }} may\ - \ explicitly be granted {{ insert: param, ac-3.3_prm_3 }}\ - \ such that they are not limited by any defined subset (or\ - \ all) of the above constraints." - - id: ac-3.3_gdn - name: guidance - prose: Mandatory access control is a type of nondiscretionary access - control. Mandatory access control policies constrain what actions - subjects can take with information obtained from objects for which - they have already been granted access. This prevents the subjects - from passing the information to unauthorized subjects and objects. - Mandatory access control policies constrain actions subjects can - take with respect to the propagation of access control privileges; - that is, a subject with a privilege cannot pass that privilege - to other subjects. The policy is uniformly enforced over all subjects - and objects to which the system has control; otherwise, the access - control policy can be circumvented. This enforcement is provided - by an implementation that meets the reference monitor concept - as described in AC-25. The policy is bounded by the system (i.e., - once the information is passed outside of the control of the system, - additional means may be required to ensure that the constraints - on the information remain in effect). The trusted subjects described - above are granted privileges consistent with the concept of least - privilege (see AC-6). Trusted subjects are only given the minimum - privileges relative to the above policy necessary for satisfying - organizational mission/business needs. The control is most applicable - when there is a mandate that establishes a policy regarding access - to controlled unclassified information or classified information - and some users of the system are not authorized access to all - such information resident in the system. Mandatory access control - can operate in conjunction with discretionary access control as - described in AC-3(4). A subject constrained in its operation by - policies governed by this control can still operate under the - less rigorous constraints of AC-3(4), but mandatory access control - policies take precedence over the less rigorous constraints of - AC-3(4). For example, while a mandatory access control policy - imposes a constraint preventing a subject from passing information - to another subject operating at a different sensitivity level, - AC-3(4) permits the subject to pass the information to any subject - with the same sensitivity level as the subject. Examples of mandatory - access control policies include the Bell-La Padula policy to protect - confidentiality of information and the Biba policy to protect - the integrity of information. - - id: ac-3.4 - class: SP800-53-enhancement - title: Discretionary Access Control - params: - - id: ac-3.4_prm_1 - label: organization-defined discretionary access control policy - props: - - name: label - value: AC-3(4) - - name: sort-id - value: AC-03(04) - parts: - - id: ac-3.4_smt - name: statement - prose: "Enforce {{ insert: param, ac-3.4_prm_1 }} over the set of\ - \ covered subjects and objects specified in the policy, and where\ - \ the policy specifies that a subject that has been granted access\ - \ to information can do one or more of the following:" - parts: - - id: ac-3.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Pass the information to any other subjects or objects; - - id: ac-3.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Grant its privileges to other subjects; - - id: ac-3.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Change security attributes on subjects, objects, the - system, or the system’s components; - - id: ac-3.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Choose the security attributes to be associated with - newly created or revised objects; or - - id: ac-3.4_smt.e - name: item - props: - - name: label - value: (e) - prose: Change the rules governing access control. - - id: ac-3.4_gdn - name: guidance - prose: When discretionary access control policies are implemented, - subjects are not constrained regarding what actions they can take - with information for which they have already been granted access. - Thus, subjects that have been granted access to information are - not prevented from passing the information to other subjects or - objects (i.e., subjects have the discretion to pass). Discretionary - access control can operate in conjunction with mandatory access - control as described in AC-3(3) and AC-3(15). A subject that is - constrained in its operation by mandatory access control policies - can still operate under the less rigorous constraints of discretionary - access control. Therefore, while AC-3(3) imposes constraints preventing - a subject from passing information to another subject operating - at a different sensitivity level, AC-3(4) permits the subject - to pass the information to any subject at the same sensitivity - level. The policy is bounded by the system. Once the information - is passed outside of system control, additional means may be required - to ensure that the constraints remain in effect. While traditional - definitions of discretionary access control require identity-based - access control, that limitation is not required for this particular - use of discretionary access control. - - id: ac-3.5 - class: SP800-53-enhancement - title: Security-relevant Information - params: - - id: ac-3.5_prm_1 - label: organization-defined security-relevant information - props: - - name: label - value: AC-3(5) - - name: sort-id - value: AC-03(05) - links: - - href: "#cm-6" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: ac-3.5_smt - name: statement - prose: "Prevent access to {{ insert: param, ac-3.5_prm_1 }} except\ - \ during secure, non-operable system states." - - id: ac-3.5_gdn - name: guidance - prose: Security-relevant information is information within systems - that can potentially impact the operation of security functions - or the provision of security services in a manner that could result - in failure to enforce system security policies or maintain the - separation of code and data. Security-relevant information includes - access control lists, filtering rules for routers or firewalls, - configuration parameters for security services, and cryptographic - key management information. Secure, non-operable system states - include the times in which systems are not performing mission - or business-related processing such as when the system is off-line - for maintenance, boot-up, troubleshooting, or shut down. - - id: ac-3.6 - class: SP800-53-enhancement - title: Protection of User and System Information - props: - - name: label - value: AC-3(6) - - name: status - value: Withdrawn - - name: sort-id - value: AC-03(06) - links: - - href: "#mp-4" - rel: incorporated-into - - href: "#sc-28" - rel: incorporated-into - - id: ac-3.7 - class: SP800-53-enhancement - title: Role-based Access Control - params: - - id: ac-3.7_prm_1 - label: organization-defined roles and users authorized to assume - such roles - props: - - name: label - value: AC-3(7) - - name: sort-id - value: AC-03(07) - parts: - - id: ac-3.7_smt - name: statement - prose: "Enforce a role-based access control policy over defined\ - \ subjects and objects and control access based upon {{ insert:\ - \ param, ac-3.7_prm_1 }}." - - id: ac-3.7_gdn - name: guidance - prose: Role-based access control (RBAC) is an access control policy - that enforces access to objects and system functions based on - the defined role (i.e., job function) of the subject. Organizations - can create specific roles based on job functions and the authorizations - (i.e., privileges) to perform needed operations on the systems - associated with the organization-defined roles. When users are - assigned to the specific roles, they inherit the authorizations - or privileges defined for those roles. RBAC simplifies privilege - administration for because privileges are not assigned directly - to every user (which can potentially be a large number of individuals) - but are instead acquired through role assignments. RBAC can be - implemented as a mandatory or discretionary form of access control. - For those organizations implementing RBAC with mandatory access - controls, the requirements in AC-3(3) define the scope of the - subjects and objects covered by the policy. - - id: ac-3.8 - class: SP800-53-enhancement - title: Revocation of Access Authorizations - params: - - id: ac-3.8_prm_1 - label: organization-defined rules governing the timing of revocations - of access authorizations - props: - - name: label - value: AC-3(8) - - name: sort-id - value: AC-03(08) - parts: - - id: ac-3.8_smt - name: statement - prose: "Enforce the revocation of access authorizations resulting\ - \ from changes to the security attributes of subjects and objects\ - \ based on {{ insert: param, ac-3.8_prm_1 }}." - - id: ac-3.8_gdn - name: guidance - prose: Revocation of access rules may differ based on the types - of access revoked. For example, if a subject (i.e., user or process - acting on behalf of a user) is removed from a group, access may - not be revoked until the next time the object is opened or the - next time the subject attempts a new access to the object. Revocation - based on changes to security labels may take effect immediately. - Organizations provide alternative approaches on how to make revocations - immediate if systems cannot provide such capability and immediate - revocation is necessary. - - id: ac-3.9 - class: SP800-53-enhancement - title: Controlled Release - params: - - id: ac-3.9_prm_1 - label: organization-defined system or system component - - id: ac-3.9_prm_2 - label: organization-defined controls - - id: ac-3.9_prm_3 - label: organization-defined controls - props: - - name: label - value: AC-3(9) - - name: sort-id - value: AC-03(09) - links: - - href: "#ca-3" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-16" - rel: related - parts: - - id: ac-3.9_smt - name: statement - prose: "Release information outside of the system only if:" - parts: - - id: ac-3.9_smt.a - name: item - props: - - name: label - value: (a) - prose: "The receiving {{ insert: param, ac-3.9_prm_1 }} provides\ - \ {{ insert: param, ac-3.9_prm_2 }}; and" - - id: ac-3.9_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-3.9_prm_3 }} are used to validate\ - \ the appropriateness of the information designated for release." - - id: ac-3.9_gdn - name: guidance - prose: Systems can only protect organizational information within - the confines of established system boundaries. Additional controls - may be needed to ensure that such information is adequately protected - once it is passed beyond the established system boundaries. In - situations where the system is unable to determine the adequacy - of the protections provided by external entities, as a mitigating - control, organizations determine procedurally whether the external - systems are providing adequate controls. The means used to determine - the adequacy of controls provided by external systems include - conducting periodic assessments (inspections/tests); establishing - agreements between the organization and its counterpart organizations; - or some other process. The means used by external entities to - protect the information received need not be the same as those - used by the organization, but the means employed are sufficient - to provide consistent adjudication of the security and privacy - policy to protect the information and individuals’ privacy. Controlled - release of information requires systems to implement technical - or procedural means to validate the information prior to releasing - it to external systems. For example, if the system passes information - to a system controlled by another organization, technical means - are employed to validate that the security and privacy attributes - associated with the exported information are appropriate for the - receiving system. Alternatively, if the system passes information - to a printer in organization-controlled space, procedural means - can be employed to ensure that only authorized individuals gain - access to the printer. - - id: ac-3.10 - class: SP800-53-enhancement - title: Audited Override of Access Control Mechanisms - params: - - id: ac-3.10_prm_1 - label: organization-defined conditions - - id: ac-3.10_prm_2 - label: organization-defined roles - props: - - name: label - value: AC-3(10) - - name: sort-id - value: AC-03(10) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - parts: - - id: ac-3.10_smt - name: statement - prose: "Employ an audited override of automated access control mechanisms\ - \ under {{ insert: param, ac-3.10_prm_1 }} by {{ insert: param,\ - \ ac-3.10_prm_2 }}." - - id: ac-3.10_gdn - name: guidance - prose: In certain situations, for example, where there is a threat - to human life or an event that threatens the organization’s ability - to carry out critical missions or business functions, an override - capability for access control mechanisms may be needed. Override - conditions are defined by organizations and are used only in those - limited circumstances. Audit events are defined in AU-2. Audit - records are generated in AU-12. - - id: ac-3.11 - class: SP800-53-enhancement - title: Restrict Access to Specific Information Types - params: - - id: ac-3.11_prm_1 - label: organization-defined information types - props: - - name: label - value: AC-3(11) - - name: sort-id - value: AC-03(11) - parts: - - id: ac-3.11_smt - name: statement - prose: "Restrict access to data repositories containing {{ insert:\ - \ param, ac-3.11_prm_1 }}." - - id: ac-3.11_gdn - name: guidance - prose: Restricting access to specific information is intended to - provide flexibility regarding access control of specific information - types within a system. For example, role-based access could be - employed to allow access to only a specific type of personally - identifiable information within a database rather than allowing - access to the database in its entirety. Other examples include - restricting access to cryptographic keys, authentication information, - and selected system information. - - id: ac-3.12 - class: SP800-53-enhancement - title: Assert and Enforce Application Access - params: - - id: ac-3.12_prm_1 - label: organization-defined system applications and functions - props: - - name: label - value: AC-3(12) - - name: sort-id - value: AC-03(12) - links: - - href: "#cm-7" - rel: related - parts: - - id: ac-3.12_smt - name: statement - parts: - - id: ac-3.12_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require applications to assert, as part of the installation\ - \ process, the access needed to the following system applications\ - \ and functions: {{ insert: param, ac-3.12_prm_1 }};" - - id: ac-3.12_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide an enforcement mechanism to prevent unauthorized - access; and - - id: ac-3.12_smt.c - name: item - props: - - name: label - value: (c) - prose: Approve access changes after initial installation of - the application. - - id: ac-3.12_gdn - name: guidance - prose: Asserting and enforcing application access is intended to - address applications that need to access existing system applications - and functions, including user contacts, global positioning system, - camera, keyboard, microphone, network, phones, or other files. - - id: ac-3.13 - class: SP800-53-enhancement - title: Attribute-based Access Control - params: - - id: ac-3.13_prm_1 - label: organization-defined attributes to assume access permissions - props: - - name: label - value: AC-3(13) - - name: sort-id - value: AC-03(13) - parts: - - id: ac-3.13_smt - name: statement - prose: "Enforce attribute-based access control policy over defined\ - \ subjects and objects and control access based upon {{ insert:\ - \ param, ac-3.13_prm_1 }}." - - id: ac-3.13_gdn - name: guidance - prose: Attribute-based access control is an access control policy - that restricts system access to authorized users based on specified - organizational attributes (e.g., job function, identity); action - attributes (e.g., read, write, delete); environmental attributes - (e.g., time of day, location); and resource attributes (e.g., - classification of a document). Organizations can create rules - based on attributes and the authorizations (i.e., privileges) - to perform needed operations on the systems associated with the - organization-defined attributes and rules. When users are assigned - to attributes defined in attribute-based access control policies - or rules, they can be provisioned to a system with the appropriate - privileges or dynamically granted access to a protected resource - upon access. Attribute-based access control can be implemented - as a mandatory or discretionary form of access control. For attribute-based - access control implemented with mandatory access controls, the - requirements in AC-3(3) define the scope of the subjects and objects - covered by the policy. - - id: ac-3.14 - class: SP800-53-enhancement - title: Individual Access - params: - - id: ac-3.14_prm_1 - label: organization-defined mechanisms - - id: ac-3.14_prm_2 - label: organization-defined elements - props: - - name: label - value: AC-3(14) - - name: sort-id - value: AC-03(14) - links: - - href: "#ia-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-3" - rel: related - - href: "#si-18" - rel: related - parts: - - id: ac-3.14_smt - name: statement - prose: "Provide {{ insert: param, ac-3.14_prm_1 }} to enable individuals\ - \ to have access to the following elements of their personally\ - \ identifiable information: {{ insert: param, ac-3.14_prm_2 }}." - - id: ac-3.14_gdn - name: guidance - prose: Individual access affords individuals the ability to review - personally identifiable information about them held within organizational - records, regardless of format. Access helps individuals to develop - an understanding about how their personally identifiable information - is being processed. It can also help individuals ensure that their - data is accurate. Access mechanisms can include request forms - and application interfaces. Access to certain types of records - may not be appropriate or may require certain levels of authentication - assurance. Organizational personnel consult with the senior agency - official for privacy and legal counsel to determine appropriate - mechanisms and access rights or limitations. - - id: ac-3.15 - class: SP800-53-enhancement - title: Discretionary and Mandatory Access Control - params: - - id: ac-3.15_prm_1 - label: organization-defined mandatory access control policy - - id: ac-3.15_prm_2 - label: organization-defined discretionary access control policy - props: - - name: label - value: AC-3(15) - - name: sort-id - value: AC-03(15) - links: - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ac-3.15_smt - name: statement - parts: - - id: ac-3.15_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce {{ insert: param, ac-3.15_prm_1 }} over the\ - \ set of covered subjects and objects specified in the policy;\ - \ and" - - id: ac-3.15_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce {{ insert: param, ac-3.15_prm_2 }} over the\ - \ set of covered subjects and objects specified in the policy." - - id: ac-3.15_gdn - name: guidance - prose: Implementing a mandatory access control policy and a discretionary - access control policy simultaneously can provide additional protection - against the unauthorized execution of code by users or processes - acting on behalf of users. This helps prevent a single compromised - user or process from compromising the entire system. - - id: ac-4 - class: SP800-53 - title: Information Flow Enforcement - params: - - id: ac-4_prm_1 - label: organization-defined information flow control policies - props: - - name: label - value: AC-4 - - name: sort-id - value: AC-04 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#359f960c-2598-454c-ba3b-a30c553e498f" - rel: reference - - href: "#223b23a9-baea-4a50-8058-63cf7967b61f" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-21" - rel: related - - href: "#au-10" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-7" - rel: related - - href: "#pm-24" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-31" - rel: related - parts: - - id: ac-4_smt - name: statement - prose: "Enforce approved authorizations for controlling the flow of\ - \ information within the system and between connected systems based\ - \ on {{ insert: param, ac-4_prm_1 }}." - - id: ac-4_gdn - name: guidance - prose: Information flow control regulates where information can travel - within a system and between systems (in contrast to who is allowed - to access the information) and without regard to subsequent accesses - to that information. Flow control restrictions include blocking external - traffic that claims to be from within the organization; keeping export-controlled - information from being transmitted in the clear to the Internet; restricting - web requests that are not from the internal web proxy server; and - limiting information transfers between organizations based on data - structures and content. Transferring information between organizations - may require an agreement specifying how the information flow is enforced - (see CA-3). Transferring information between systems in different - security or privacy domains with different security or privacy policies - introduces risk that such transfers violate one or more domain security - or privacy policies. In such situations, information owners/stewards - provide guidance at designated policy enforcement points between connected - systems. Organizations consider mandating specific architectural solutions - to enforce specific security and privacy policies. Enforcement includes - prohibiting information transfers between connected systems (i.e., - allowing access only); verifying write permissions before accepting - information from another security or privacy domain or connected system; - employing hardware mechanisms to enforce one-way information flows; - and implementing trustworthy regrading mechanisms to reassign security - or privacy attributes and security or privacy labels. Organizations - commonly employ information flow control policies and enforcement - mechanisms to control the flow of information between designated sources - and destinations within systems and between connected systems. Flow - control is based on the characteristics of the information and/or - the information path. Enforcement occurs, for example, in boundary - protection devices that employ rule sets or establish configuration - settings that restrict system services, provide a packet-filtering - capability based on header information, or message-filtering capability - based on message content. Organizations also consider the trustworthiness - of filtering and/or inspection mechanisms (i.e., hardware, firmware, - and software components) that are critical to information flow enforcement. - Control enhancements 3 through 32 primarily address cross-domain solution - needs that focus on more advanced filtering techniques, in-depth analysis, - and stronger flow enforcement mechanisms implemented in cross-domain - products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products. This control also applies to control plane traffic (e.g., - routing and DNS). - controls: - - id: ac-4.1 - class: SP800-53-enhancement - title: Object Security and Privacy Attributes - params: - - id: ac-4.1_prm_1 - label: organization-defined security and privacy attributes - - id: ac-4.1_prm_2 - label: organization-defined information, source, and destination - objects - - id: ac-4.1_prm_3 - label: organization-defined information flow control policies - props: - - name: label - value: AC-4(1) - - name: sort-id - value: AC-04(01) - parts: - - id: ac-4.1_smt - name: statement - prose: "Use {{ insert: param, ac-4.1_prm_1 }} associated with {{\ - \ insert: param, ac-4.1_prm_2 }} to enforce {{ insert: param,\ - \ ac-4.1_prm_3 }} as a basis for flow control decisions." - - id: ac-4.1_gdn - name: guidance - prose: Information flow enforcement mechanisms compare security - and privacy attributes associated with information (i.e., data - content and structure) and source and destination objects and - respond appropriately when the enforcement mechanisms encounter - information flows not explicitly allowed by information flow policies. - For example, an information object labeled Secret would be allowed - to flow to a destination object labeled Secret, but an information - object labeled Top Secret would not be allowed to flow to a destination - object labeled Secret. A dataset of personally identifiable information - may be tagged with restrictions against combining with other types - of datasets, and therefore, would not be allowed to flow to the - restricted dataset. Security and privacy attributes can also include - source and destination addresses employed in traffic filter firewalls. - Flow enforcement using explicit security or privacy attributes - can be used, for example, to control the release of certain types - of information. - - id: ac-4.2 - class: SP800-53-enhancement - title: Processing Domains - params: - - id: ac-4.2_prm_1 - label: organization-defined information flow control policies - props: - - name: label - value: AC-4(2) - - name: sort-id - value: AC-04(02) - links: - - href: "#sc-39" - rel: related - parts: - - id: ac-4.2_smt - name: statement - prose: "Use protected processing domains to enforce {{ insert: param,\ - \ ac-4.2_prm_1 }} as a basis for flow control decisions." - - id: ac-4.2_gdn - name: guidance - prose: Protected processing domains within systems are processing - spaces that have controlled interactions with other processing - spaces, enabling control of information flows between these spaces - and to/from information objects. A protected processing domain - can be provided, for example, by implementing domain and type - enforcement. In domain and type enforcement, system processes - are assigned to domains; information is identified by types; and - information flows are controlled based on allowed information - accesses (i.e., determined by domain and type), allowed signaling - among domains, and allowed process transitions to other domains. - - id: ac-4.3 - class: SP800-53-enhancement - title: Dynamic Information Flow Control - params: - - id: ac-4.3_prm_1 - label: organization-defined information flow control policies - props: - - name: label - value: AC-4(3) - - name: sort-id - value: AC-04(03) - links: - - href: "#si-4" - rel: related - parts: - - id: ac-4.3_smt - name: statement - prose: "Enforce {{ insert: param, ac-4.3_prm_1 }}." - - id: ac-4.3_gdn - name: guidance - prose: Organizational policies regarding dynamic information flow - control include allowing or disallowing information flows based - on changing conditions or mission or operational considerations. - Changing conditions include changes in risk tolerance due to changes - in the immediacy of mission or business needs, changes in the - threat environment, and detection of potentially harmful or adverse - events. - - id: ac-4.4 - class: SP800-53-enhancement - title: Flow Control of Encrypted Information - params: - - id: ac-4.4_prm_1 - label: organization-defined information flow control mechanisms - - id: ac-4.4_prm_2 - select: - how-many: one-or-more - choice: - - decrypting the information - - blocking the flow of the encrypted information - - terminating communications sessions attempting to pass encrypted - information - - " {{ insert: param, ac-4.4_prm_3 }} " - - id: ac-4.4_prm_3 - depends-on: ac-4.4_prm_2 - label: organization-defined procedure or method - props: - - name: label - value: AC-4(4) - - name: sort-id - value: AC-04(04) - links: - - href: "#si-4" - rel: related - parts: - - id: ac-4.4_smt - name: statement - prose: "Prevent encrypted information from bypassing {{ insert:\ - \ param, ac-4.4_prm_1 }} by {{ insert: param, ac-4.4_prm_2 }}." - - id: ac-4.4_gdn - name: guidance - prose: Flow control mechanisms include content checking, security - policy filters, and data type identifiers. The term encryption - is extended to cover encoded data not recognized by filtering - mechanisms. - - id: ac-4.5 - class: SP800-53-enhancement - title: Embedded Data Types - params: - - id: ac-4.5_prm_1 - label: organization-defined limitations - props: - - name: label - value: AC-4(5) - - name: sort-id - value: AC-04(05) - parts: - - id: ac-4.5_smt - name: statement - prose: "Enforce {{ insert: param, ac-4.5_prm_1 }} on embedding data\ - \ types within other data types." - - id: ac-4.5_gdn - name: guidance - prose: Embedding data types within other data types may result in - reduced flow control effectiveness. Data type embedding includes - inserting files as objects within other files and using compressed - or archived data types that may include multiple embedded data - types. Limitations on data type embedding consider the levels - of embedding and prohibit levels of data type embedding that are - beyond the capability of the inspection tools. - - id: ac-4.6 - class: SP800-53-enhancement - title: Metadata - params: - - id: ac-4.6_prm_1 - label: organization-defined metadata - props: - - name: label - value: AC-4(6) - - name: sort-id - value: AC-04(06) - links: - - href: "#ac-16" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ac-4.6_smt - name: statement - prose: "Enforce information flow control based on {{ insert: param,\ - \ ac-4.6_prm_1 }}." - - id: ac-4.6_gdn - name: guidance - prose: Metadata is information that describes the characteristics - of data. Metadata can include structural metadata describing data - structures or descriptive metadata describing data content. Enforcement - of allowed information flows based on metadata enables simpler - and more effective flow control. Organizations consider the trustworthiness - of metadata regarding data accuracy (i.e., knowledge that the - metadata values are correct with respect to the data), data integrity - (i.e., protecting against unauthorized changes to metadata tags), - and the binding of metadata to the data payload (i.e., ensuring - sufficiently strong binding techniques with appropriate levels - of assurance). - - id: ac-4.7 - class: SP800-53-enhancement - title: One-way Flow Mechanisms - props: - - name: label - value: AC-4(7) - - name: sort-id - value: AC-04(07) - parts: - - id: ac-4.7_smt - name: statement - prose: Enforce one-way information flows through hardware-based - flow control mechanisms. - - id: ac-4.7_gdn - name: guidance - prose: One-way flow mechanisms may also be referred to as a unidirectional - network, unidirectional security gateway, or data diode. One-way - flow mechanisms can be used to prevent data from being exported - from a higher impact or classified domain or system, while permitting - data from a lower impact or unclassified domain or system to be - imported. - - id: ac-4.8 - class: SP800-53-enhancement - title: Security and Privacy Policy Filters - params: - - id: ac-4.8_prm_1 - label: organization-defined security or privacy policy filters - - id: ac-4.8_prm_2 - label: organization-defined information flows - - id: ac-4.8_prm_3 - select: - how-many: one-or-more - choice: - - block - - strip - - modify - - quarantine - - id: ac-4.8_prm_4 - label: organization-defined security or privacy policy - props: - - name: label - value: AC-4(8) - - name: sort-id - value: AC-04(08) - parts: - - id: ac-4.8_smt - name: statement - parts: - - id: ac-4.8_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce information flow control using {{ insert: param,\ - \ ac-4.8_prm_1 }} as a basis for flow control decisions for\ - \ {{ insert: param, ac-4.8_prm_2 }}; and" - - id: ac-4.8_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-4.8_prm_3 }} data after a filter\ - \ processing failure in accordance with {{ insert: param,\ - \ ac-4.8_prm_4 }}." - - id: ac-4.8_gdn - name: guidance - prose: Organization-defined security or privacy policy filters can - address data structures and content. For example, security or - privacy policy filters for data structures can check for maximum - file lengths, maximum field sizes, and data/file types (for structured - and unstructured data). Security or privacy policy filters for - data content can check for specific words enumerated values or - data value ranges, and hidden content. Structured data permits - the interpretation of data content by applications. Unstructured - data refers to digital information without a data structure or - with a data structure that does not facilitate the development - of rule sets to address the sensitivity of the information conveyed - by the data or the flow enforcement decisions. Unstructured data - consists of bitmap objects that are inherently non-language-based - (i.e., image, video, or audio files); and textual objects that - are based on written or printed languages. Organizations can implement - more than one security or privacy policy filter to meet information - flow control objectives. - - id: ac-4.9 - class: SP800-53-enhancement - title: Human Reviews - params: - - id: ac-4.9_prm_1 - label: organization-defined information flows - - id: ac-4.9_prm_2 - label: organization-defined conditions - props: - - name: label - value: AC-4(9) - - name: sort-id - value: AC-04(09) - parts: - - id: ac-4.9_smt - name: statement - prose: "Enforce the use of human reviews for {{ insert: param, ac-4.9_prm_1\ - \ }} under the following conditions: {{ insert: param, ac-4.9_prm_2\ - \ }}." - - id: ac-4.9_gdn - name: guidance - prose: Organizations define security or privacy policy filters for - all situations where automated flow control decisions are possible. - When a fully automated flow control decision is not possible, - then a human review may be employed in lieu of, or as a complement - to, automated security or privacy policy filtering. Human reviews - may also be employed as deemed necessary by organizations. - - id: ac-4.10 - class: SP800-53-enhancement - title: Enable and Disable Security or Privacy Policy Filters - params: - - id: ac-4.10_prm_1 - label: organization-defined security or privacy policy filters - - id: ac-4.10_prm_2 - label: organization-defined conditions - props: - - name: label - value: AC-4(10) - - name: sort-id - value: AC-04(10) - parts: - - id: ac-4.10_smt - name: statement - prose: "Provide the capability for privileged administrators to\ - \ enable and disable {{ insert: param, ac-4.10_prm_1 }} under\ - \ the following conditions: {{ insert: param, ac-4.10_prm_2 }}." - - id: ac-4.10_gdn - name: guidance - prose: For example, as allowed by the system authorization, administrators - can enable security or privacy policy filters to accommodate approved - data types. Administrators also have the capability to select - the filters that are executed on a specific data flow based on - the type of data that is being transferred, the source and destination - security or privacy domains, and other security or privacy relevant - features, as needed. - - id: ac-4.11 - class: SP800-53-enhancement - title: Configuration of Security or Privacy Policy Filters - params: - - id: ac-4.11_prm_1 - label: organization-defined security or privacy policy filters - props: - - name: label - value: AC-4(11) - - name: sort-id - value: AC-04(11) - parts: - - id: ac-4.11_smt - name: statement - prose: "Provide the capability for privileged administrators to\ - \ configure {{ insert: param, ac-4.11_prm_1 }} to support different\ - \ security or privacy policies." - - id: ac-4.11_gdn - name: guidance - prose: Documentation contains detailed information for configuring - security or privacy policy filters. For example, administrators - can configure security or privacy policy filters to include the - list of “dirty words” that security or privacy policy mechanisms - check in accordance with the definitions provided by organizations. - - id: ac-4.12 - class: SP800-53-enhancement - title: Data Type Identifiers - params: - - id: ac-4.12_prm_1 - label: organization-defined data type identifiers - props: - - name: label - value: AC-4(12) - - name: sort-id - value: AC-04(12) - parts: - - id: ac-4.12_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, use {{ insert: param, ac-4.12_prm_1 }} to\ - \ validate data essential for information flow decisions." - - id: ac-4.12_gdn - name: guidance - prose: Data type identifiers include filenames, file types, file - signatures or tokens, and multiple internal file signatures or - tokens. Systems allow transfer of data only if compliant with - data type format specifications. Identification and validation - of data types is based on defined specifications associated with - each allowed data format. The filename and number alone are not - used for data type identification. Content is validated syntactically - and semantically against its specification to ensure it is the - proper data type. - - id: ac-4.13 - class: SP800-53-enhancement - title: Decomposition into Policy-relevant Subcomponents - params: - - id: ac-4.13_prm_1 - label: organization-defined policy-relevant subcomponents - props: - - name: label - value: AC-4(13) - - name: sort-id - value: AC-04(13) - parts: - - id: ac-4.13_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, decompose information into {{ insert: param,\ - \ ac-4.13_prm_1 }} for submission to policy enforcement mechanisms." - - id: ac-4.13_gdn - name: guidance - prose: Decomposing information into policy-relevant subcomponents - prior to information transfer facilitates policy decisions on - source, destination, certificates, classification, attachments, - and other security- or privacy-related component differentiators. - Policy enforcement mechanisms apply filtering, inspection, and/or - sanitization rules to the policy-relevant subcomponents of information - to facilitate flow enforcement prior to transferring such information - to different security or privacy domains. - - id: ac-4.14 - class: SP800-53-enhancement - title: Security or Privacy Policy Filter Constraints - params: - - id: ac-4.14_prm_1 - label: organization-defined security or privacy policy filters - props: - - name: label - value: AC-4(14) - - name: sort-id - value: AC-04(14) - parts: - - id: ac-4.14_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, implement {{ insert: param, ac-4.14_prm_1\ - \ }} requiring fully enumerated formats that restrict data structure\ - \ and content." - - id: ac-4.14_gdn - name: guidance - prose: Data structure and content restrictions reduce the range - of potential malicious or unsanctioned content in cross-domain - transactions. Security or privacy policy filters that restrict - data structures include restricting file sizes and field lengths. - Data content policy filters include encoding formats for character - sets; restricting character data fields to only contain alpha-numeric - characters; prohibiting special characters; and validating schema - structures. - - id: ac-4.15 - class: SP800-53-enhancement - title: Detection of Unsanctioned Information - params: - - id: ac-4.15_prm_1 - label: organization-defined unsanctioned information - - id: ac-4.15_prm_2 - label: organization-defined security or privacy policy - props: - - name: label - value: AC-4(15) - - name: sort-id - value: AC-04(15) - links: - - href: "#si-3" - rel: related - parts: - - id: ac-4.15_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, examine the information for the presence\ - \ of {{ insert: param, ac-4.15_prm_1 }} and prohibit the transfer\ - \ of such information in accordance with the {{ insert: param,\ - \ ac-4.15_prm_2 }}." - - id: ac-4.15_gdn - name: guidance - prose: Unsanctioned information includes malicious code, dirty words, - sensitive information inappropriate for release from the source - network, or executable code that could disrupt or harm the services - or systems on the destination network. - - id: ac-4.16 - class: SP800-53-enhancement - title: Information Transfers on Interconnected Systems - props: - - name: label - value: AC-4(16) - - name: status - value: Withdrawn - - name: sort-id - value: AC-04(16) - links: - - href: "#ac-4" - rel: incorporated-into - - id: ac-4.17 - class: SP800-53-enhancement - title: Domain Authentication - params: - - id: ac-4.17_prm_1 - select: - how-many: one-or-more - choice: - - organization - - system - - application - - service - - individual - props: - - name: label - value: AC-4(17) - - name: sort-id - value: AC-04(17) - links: - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-9" - rel: related - parts: - - id: ac-4.17_smt - name: statement - prose: "Uniquely identify and authenticate source and destination\ - \ points by {{ insert: param, ac-4.17_prm_1 }} for information\ - \ transfer." - - id: ac-4.17_gdn - name: guidance - prose: Attribution is a critical component of a security and privacy - concept of operations. The ability to identify source and destination - points for information flowing within systems, allows the forensic - reconstruction of events, and encourages policy compliance by - attributing policy violations to specific organizations or individuals. - Successful domain authentication requires that system labels distinguish - among systems, organizations, and individuals involved in preparing, - sending, receiving, or disseminating information. Attribution - also allows organizations to better maintain the lineage of personally - identifiable information processing as it flows through systems - and can facilitate consent tracking, as well as correction, deletion, - or access requests from individuals. - - id: ac-4.18 - class: SP800-53-enhancement - title: Security Attribute Binding - props: - - name: label - value: AC-4(18) - - name: status - value: Withdrawn - - name: sort-id - value: AC-04(18) - links: - - href: "#ac-16" - rel: incorporated-into - - id: ac-4.19 - class: SP800-53-enhancement - title: Validation of Metadata - params: - - id: ac-4.19_prm_1 - label: organization-defined security or privacy policy filters - props: - - name: label - value: AC-4(19) - - name: sort-id - value: AC-04(19) - parts: - - id: ac-4.19_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, implement {{ insert: param, ac-4.19_prm_1\ - \ }} on metadata." - - id: ac-4.19_gdn - name: guidance - prose: All information (including metadata and the data to which - the metadata applies) is subject to filtering and inspection. - Some organizations distinguish between metadata and data payloads - (i.e., only the data to which the metadata is bound). Other organizations - do not make such distinctions, considering metadata and the data - to which the metadata applies as part of the payload. - - id: ac-4.20 - class: SP800-53-enhancement - title: Approved Solutions - params: - - id: ac-4.20_prm_1 - label: organization-defined solutions in approved configurations - - id: ac-4.20_prm_2 - label: organization-defined information - props: - - name: label - value: AC-4(20) - - name: sort-id - value: AC-04(20) - parts: - - id: ac-4.20_smt - name: statement - prose: "Employ {{ insert: param, ac-4.20_prm_1 }} to control the\ - \ flow of {{ insert: param, ac-4.20_prm_2 }} across security or\ - \ privacy domains." - - id: ac-4.20_gdn - name: guidance - prose: Organizations define approved solutions and configurations - in cross-domain policies and guidance in accordance with the types - of information flows across classification boundaries. The NSA - National Cross Domain Strategy and Management Office provides - a baseline listing of approved cross-domain solutions. - - id: ac-4.21 - class: SP800-53-enhancement - title: Physical or Logical Separation of Information Flows - params: - - id: ac-4.21_prm_1 - label: organization-defined mechanisms and/or techniques - - id: ac-4.21_prm_2 - label: organization-defined required separations by types of information - props: - - name: label - value: AC-4(21) - - name: sort-id - value: AC-04(21) - links: - - href: "#sc-32" - rel: related - parts: - - id: ac-4.21_smt - name: statement - prose: "Separate information flows logically or physically using\ - \ {{ insert: param, ac-4.21_prm_1 }} to accomplish {{ insert:\ - \ param, ac-4.21_prm_2 }}." - - id: ac-4.21_gdn - name: guidance - prose: Enforcing the separation of information flows associated - with defined types of data can enhance protection by ensuring - that information is not commingled while in transit and by enabling - flow control by transmission paths perhaps not otherwise achievable. - Types of separable information include inbound and outbound communications - traffic, service requests and responses, and information of differing - security categories. - - id: ac-4.22 - class: SP800-53-enhancement - title: Access Only - props: - - name: label - value: AC-4(22) - - name: sort-id - value: AC-04(22) - parts: - - id: ac-4.22_smt - name: statement - prose: Provide access from a single device to computing platforms, - applications, or data residing in multiple different security - domains, while preventing any information flow between the different - security domains. - - id: ac-4.22_gdn - name: guidance - prose: The system provides a capability for users to access each - connected security domain without providing any mechanisms to - allow transfer of data or information between the different security - domains. An example of an access-only solution is a terminal that - provides a user access to information with different security - classifications while assuredly keeping the information separate. - - id: ac-4.23 - class: SP800-53-enhancement - title: Modify Non-releasable Information - params: - - id: ac-4.23_prm_1 - label: organization-defined modification action - props: - - name: label - value: AC-4(23) - - name: sort-id - value: AC-04(23) - parts: - - id: ac-4.23_smt - name: statement - prose: "When transferring information between different security\ - \ domains, modify non-releasable information by implementing {{\ - \ insert: param, ac-4.23_prm_1 }}." - - id: ac-4.23_gdn - name: guidance - prose: Modifying non-releasable information can help prevent a data - spill or attack when information is transferred across security - domains. Modification actions include masking, permutation, alteration, - removal, or redaction. - - id: ac-4.24 - class: SP800-53-enhancement - title: Internal Normalized Format - props: - - name: label - value: AC-4(24) - - name: sort-id - value: AC-04(24) - parts: - - id: ac-4.24_smt - name: statement - prose: When transferring information between different security - domains, parse incoming data into an internal normalized format - and regenerate the data to be consistent with its intended specification. - - id: ac-4.24_gdn - name: guidance - prose: Converting data into normalized forms is one of most of effective - mechanisms to stop malicious attacks and large classes of data - exfiltration. - - id: ac-4.25 - class: SP800-53-enhancement - title: Data Sanitization - params: - - id: ac-4.25_prm_1 - select: - how-many: one-or-more - choice: - - delivery of malicious content, command and control of malicious - code, malicious code augmentation, and steganography encoded - data - - spillage of sensitive information - - id: ac-4.25_prm_2 - label: organization-defined policy - props: - - name: label - value: AC-4(25) - - name: sort-id - value: AC-04(25) - parts: - - id: ac-4.25_smt - name: statement - prose: "When transferring information between different security\ - \ domains, sanitize data to minimize {{ insert: param, ac-4.25_prm_1\ - \ }} in accordance with {{ insert: param, ac-4.25_prm_2 }}]." - - id: ac-4.25_gdn - name: guidance - prose: Data sanitization is the process of irreversibly removing - or destroying data stored on a memory device (e.g., hard drives, - flash memory/SSDs, mobile devices, CDs, and DVDs) or in hard copy - form. - - id: ac-4.26 - class: SP800-53-enhancement - title: Audit Filtering Actions - props: - - name: label - value: AC-4(26) - - name: sort-id - value: AC-04(26) - links: - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ac-4.26_smt - name: statement - prose: When transferring information between different security - domains, record and audit content filtering actions and results - for the information being filtered. - - id: ac-4.26_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross domain solution and determines if the - information meets a pre-defined policy. Content filtering actions - and results of filtering actions are recorded for individual messages - to ensure the correct filter actions were applied. Content filter - reports are used to assist in troubleshooting actions, for example, - determining why message content was modified and/or why it failed - the filtering process. Audit events are defined in AU-2. Audit - records are generated in AU-12. - - id: ac-4.27 - class: SP800-53-enhancement - title: Redundant/independent Filtering Mechanisms - props: - - name: label - value: AC-4(27) - - name: sort-id - value: AC-04(27) - parts: - - id: ac-4.27_smt - name: statement - prose: When transferring information between different security - or privacy domains, implement content filtering solutions that - provide redundant and independent filtering mechanisms for each - data type. - - id: ac-4.27_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross domain solution and determines if the - information meets a pre-defined policy. Redundant and independent - content filtering eliminates a single point of failure filtering - system. Independence is defined as implementation of a content - filter that uses a different code base and supporting libraries - (e.g., two JPEG filters using different vendors’ JPEG libraries) - and multiple, independent system processes. - - id: ac-4.28 - class: SP800-53-enhancement - title: Linear Filter Pipelines - props: - - name: label - value: AC-4(28) - - name: sort-id - value: AC-04(28) - parts: - - id: ac-4.28_smt - name: statement - prose: When transferring information between different security - or privacy domains, implement a linear content filter pipeline - that is enforced with discretionary and mandatory access controls. - - id: ac-4.28_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross domain solution and determines if the - information meets a pre-defined policy. The use of linear content - filter pipelines ensures that filter processes are non-bypassable - and always invoked. In general, the use of parallel filtering - architectures for content filtering of a single data type introduces - by-pass and non-invocation issues. - - id: ac-4.29 - class: SP800-53-enhancement - title: Filter Orchestration Engines - params: - - id: ac-4.29_prm_1 - label: organization-defined policy - props: - - name: label - value: AC-4(29) - - name: sort-id - value: AC-04(29) - parts: - - id: ac-4.29_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, employ content filter orchestration engines\ - \ to ensure that:" - parts: - - id: ac-4.29_smt.a - name: item - props: - - name: label - value: (a) - prose: Content filtering mechanisms successfully complete execution - without errors; and - - id: ac-4.29_smt.b - name: item - props: - - name: label - value: (b) - prose: "Content filtering actions occur in the correct order\ - \ and comply with {{ insert: param, ac-4.29_prm_1 }}." - - id: ac-4.29_gdn - name: guidance - prose: Content filtering is the process of inspecting information - as it traverses a cross domain solution and determines if the - information meets a pre-defined security policy. An orchestration - engine coordinates the sequencing of activities (manual and automated) - in a content filtering process. Errors are defined as either anomalous - actions or unexpected termination of the content filter process. - This is not the same as a filter failing content due non-compliance - with policy. Content filter reports are a commonly used mechanism - to ensure expected filtering actions are completed successfully. - - id: ac-4.30 - class: SP800-53-enhancement - title: Filter Mechanisms Using Multiple Processes - props: - - name: label - value: AC-4(30) - - name: sort-id - value: AC-04(30) - parts: - - id: ac-4.30_smt - name: statement - prose: When transferring information between different security - or privacy domains, implement content filtering mechanisms using - multiple processes. - - id: ac-4.30_gdn - name: guidance - prose: The use of multiple processes to implement content filtering - mechanisms reduces the likelihood of a single point of failure. - - id: ac-4.31 - class: SP800-53-enhancement - title: Failed Content Transfer Prevention - props: - - name: label - value: AC-4(31) - - name: sort-id - value: AC-04(31) - parts: - - id: ac-4.31_smt - name: statement - prose: When transferring information between different security - or privacy domains, prevent the transfer of failed content to - the receiving domain. - - id: ac-4.31_gdn - name: guidance - prose: Content that failed filtering checks, can corrupt the system - if transferred to the receiving domain. - - id: ac-4.32 - class: SP800-53-enhancement - title: Process Requirements for Information Transfer - props: - - name: label - value: AC-4(32) - - name: sort-id - value: AC-04(32) - parts: - - id: ac-4.32_smt - name: statement - prose: "When transferring information between different security\ - \ or privacy domains, the process that transfers information between\ - \ filter pipelines:" - parts: - - id: ac-4.32_smt.a - name: item - props: - - name: label - value: (a) - prose: Does not filter message content; - - id: ac-4.32_smt.b - name: item - props: - - name: label - value: (b) - prose: Validates filtering metadata; - - id: ac-4.32_smt.c - name: item - props: - - name: label - value: (c) - prose: Ensures the content associated with the filtering metadata - has successfully completed filtering; and - - id: ac-4.32_smt.d - name: item - props: - - name: label - value: (d) - prose: Transfers the content to the destination filter pipeline. - - id: ac-4.32_gdn - name: guidance - prose: The processes transferring information between filter pipelines - have minimum complexity and functionality to provide assurance - that the processes operate correctly. - - id: ac-5 - class: SP800-53 - title: Separation of Duties - params: - - id: ac-5_prm_1 - label: organization-defined duties of individuals requiring separation - props: - - name: label - value: AC-5 - - name: sort-id - value: AC-05 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#au-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-9" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-5" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#ps-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - parts: - - id: ac-5_smt - name: statement - parts: - - id: ac-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document {{ insert: param, ac-5_prm_1 }}; and" - - id: ac-5_smt.b - name: item - props: - - name: label - value: b. - prose: Define system access authorizations to support separation - of duties. - - id: ac-5_gdn - name: guidance - prose: Separation of duties addresses the potential for abuse of authorized - privileges and helps to reduce the risk of malevolent activity without - collusion. Separation of duties includes dividing mission or business - functions and support functions among different individuals or roles; - conducting system support functions with different individuals; and - ensuring security personnel administering access control functions - do not also administer audit functions. Because separation of duty - violations can span systems and application domains, organizations - consider the entirety of systems and system components when developing - policy on separation of duties. This control is enforced through the - account management activities in AC-2 and access control mechanisms - in AC-3. - - id: ac-6 - class: SP800-53 - title: Least Privilege - props: - - name: label - value: AC-6 - - name: sort-id - value: AC-06 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-16" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-11" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-38" - rel: related - parts: - - id: ac-6_smt - name: statement - prose: Employ the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) that are - necessary to accomplish assigned organizational tasks. - - id: ac-6_gdn - name: guidance - prose: Organizations employ least privilege for specific duties and - systems. The principle of least privilege is also applied to system - processes, ensuring that the processes have access to systems and - operate at privilege levels no higher than necessary to accomplish - organizational missions or business functions. Organizations consider - the creation of additional processes, roles, and accounts as necessary, - to achieve least privilege. Organizations apply least privilege to - the development, implementation, and operation of organizational systems. - controls: - - id: ac-6.1 - class: SP800-53-enhancement - title: Authorize Access to Security Functions - params: - - id: ac-6.1_prm_1 - label: organization-defined individuals or roles - - id: ac-6.1_prm_2 - label: organization-defined security functions (deployed in hardware, - software, and firmware) - - id: ac-6.1_prm_3 - label: organization-defined security-relevant information - props: - - name: label - value: AC-6(1) - - name: sort-id - value: AC-06(01) - links: - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#pe-2" - rel: related - parts: - - id: ac-6.1_smt - name: statement - prose: "Explicitly authorize access for {{ insert: param, ac-6.1_prm_1\ - \ }} to:" - parts: - - id: ac-6.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, ac-6.1_prm_2 }}; and" - - id: ac-6.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, ac-6.1_prm_3 }}." - - id: ac-6.1_gdn - name: guidance - prose: Security functions include establishing system accounts; - configuring access authorizations (i.e., permissions, privileges), - configuring settings for events to be audited, and establishing - intrusion detection parameters. Security-relevant information - includes filtering rules for routers or firewalls, configuration - parameters for security services, cryptographic key management - information, and access control lists. Explicitly authorized personnel - include security administrators, system administrators, system - security officers, system programmers, and other privileged users. - - id: ac-6.2 - class: SP800-53-enhancement - title: Non-privileged Access for Nonsecurity Functions - params: - - id: ac-6.2_prm_1 - label: organization-defined security functions or security-relevant - information - props: - - name: label - value: AC-6(2) - - name: sort-id - value: AC-06(02) - links: - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-6.2_smt - name: statement - prose: "Require that users of system accounts (or roles) with access\ - \ to {{ insert: param, ac-6.2_prm_1 }}, use non-privileged accounts\ - \ or roles, when accessing nonsecurity functions." - - id: ac-6.2_gdn - name: guidance - prose: Requiring use of non-privileged accounts when accessing nonsecurity - functions limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations - where organizations implement access control policies such as - role-based access control and where a change of role provides - the same degree of assurance in the change of access authorizations - for both the user and all processes acting on behalf of the user - as would be provided by a change between a privileged and non-privileged - account. - - id: ac-6.3 - class: SP800-53-enhancement - title: Network Access to Privileged Commands - params: - - id: ac-6.3_prm_1 - label: organization-defined privileged commands - - id: ac-6.3_prm_2 - label: organization-defined compelling operational needs - props: - - name: label - value: AC-6(3) - - name: sort-id - value: AC-06(03) - links: - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - parts: - - id: ac-6.3_smt - name: statement - prose: "Authorize network access to {{ insert: param, ac-6.3_prm_1\ - \ }} only for {{ insert: param, ac-6.3_prm_2 }} and document the\ - \ rationale for such access in the security plan for the system." - - id: ac-6.3_gdn - name: guidance - prose: Network access is any access across a network connection - in lieu of local access (i.e., user being physically present at - the device). - - id: ac-6.4 - class: SP800-53-enhancement - title: Separate Processing Domains - props: - - name: label - value: AC-6(4) - - name: sort-id - value: AC-06(04) - links: - - href: "#ac-4" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: ac-6.4_smt - name: statement - prose: Provide separate processing domains to enable finer-grained - allocation of user privileges. - - id: ac-6.4_gdn - name: guidance - prose: Providing separate processing domains for finer-grained allocation - of user privileges includes using virtualization techniques to - permit additional user privileges within a virtual machine while - restricting privileges to other virtual machines or to the underlying - physical machine; implementing separate physical domains, and - employing hardware or software domain separation mechanisms. - - id: ac-6.5 - class: SP800-53-enhancement - title: Privileged Accounts - params: - - id: ac-6.5_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: AC-6(5) - - name: sort-id - value: AC-06(05) - links: - - href: "#ia-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - parts: - - id: ac-6.5_smt - name: statement - prose: "Restrict privileged accounts on the system to {{ insert:\ - \ param, ac-6.5_prm_1 }}." - - id: ac-6.5_gdn - name: guidance - prose: Privileged accounts, including super user accounts, are typically - described as system administrator for various types of commercial - off-the-shelf operating systems. Restricting privileged accounts - to specific personnel or roles prevents day-to-day users from - accessing privileged information or privileged functions. Organizations - may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts - provided they retain the ability to control system configurations - for key security parameters and as otherwise necessary to sufficiently - mitigate risk. - - id: ac-6.6 - class: SP800-53-enhancement - title: Privileged Access by Non-organizational Users - props: - - name: label - value: AC-6(6) - - name: sort-id - value: AC-06(06) - links: - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ac-6.6_smt - name: statement - prose: Prohibit privileged access to the system by non-organizational - users. - - id: ac-6.6_gdn - name: guidance - prose: An organizational user is an employee or an individual considered - by the organization to have the equivalent status of an employee. - Organizational users include contractors, guest researchers, or - individuals detailed from other organizations. A non-organizational - user is a user who is not an organizational user. Policy and procedures - for granting equivalent status of employees to individuals include - a need-to-know, citizenship, and the relationship to the organization. - - id: ac-6.7 - class: SP800-53-enhancement - title: Review of User Privileges - params: - - id: ac-6.7_prm_1 - label: organization-defined frequency - - id: ac-6.7_prm_2 - label: organization-defined roles or classes of users - props: - - name: label - value: AC-6(7) - - name: sort-id - value: AC-06(07) - links: - - href: "#ca-7" - rel: related - parts: - - id: ac-6.7_smt - name: statement - parts: - - id: ac-6.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Review {{ insert: param, ac-6.7_prm_1 }} the privileges\ - \ assigned to {{ insert: param, ac-6.7_prm_2 }} to validate\ - \ the need for such privileges; and" - - id: ac-6.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Reassign or remove privileges, if necessary, to correctly - reflect organizational mission and business needs. - - id: ac-6.7_gdn - name: guidance - prose: The need for certain assigned user privileges may change - over time reflecting changes in organizational missions and business - functions, environments of operation, technologies, or threat. - Periodic review of assigned user privileges is necessary to determine - if the rationale for assigning such privileges remains valid. - If the need cannot be revalidated, organizations take appropriate - corrective actions. - - id: ac-6.8 - class: SP800-53-enhancement - title: Privilege Levels for Code Execution - params: - - id: ac-6.8_prm_1 - label: organization-defined software - props: - - name: label - value: AC-6(8) - - name: sort-id - value: AC-06(08) - parts: - - id: ac-6.8_smt - name: statement - prose: "Prevent the following software from executing at higher\ - \ privilege levels than users executing the software: {{ insert:\ - \ param, ac-6.8_prm_1 }}." - - id: ac-6.8_gdn - name: guidance - prose: In certain situations, software applications or programs - need to execute with elevated privileges to perform required functions. - However, depending on the software functionality and configuration, - if the privileges required for execution are at a higher level - than the privileges assigned to organizational users invoking - such applications or programs, those users may indirectly be provided - with greater privileges than assigned. - - id: ac-6.9 - class: SP800-53-enhancement - title: Log Use of Privileged Functions - props: - - name: label - value: AC-6(9) - - name: sort-id - value: AC-06(09) - links: - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ac-6.9_smt - name: statement - prose: Audit the execution of privileged functions. - - id: ac-6.9_gdn - name: guidance - prose: The misuse of privileged functions, either intentionally - or unintentionally by authorized users, or by unauthorized external - entities that have compromised system accounts, is a serious and - ongoing concern and can have significant adverse impacts on organizations. - Capturing the use of privileged functions in audit logs is one - way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat. - - id: ac-6.10 - class: SP800-53-enhancement - title: Prohibit Non-privileged Users from Executing Privileged Functions - props: - - name: label - value: AC-6(10) - - name: sort-id - value: AC-06(10) - parts: - - id: ac-6.10_smt - name: statement - prose: Prevent non-privileged users from executing privileged functions. - - id: ac-6.10_gdn - name: guidance - prose: Privileged functions include disabling, circumventing, or - altering implemented security or privacy controls; establishing - system accounts; performing system integrity checks; and administering - cryptographic key management activities. Non-privileged users - are individuals that do not possess appropriate authorizations. - Privileged functions that require protection from non-privileged - users include circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms. This control - enhancement is enforced by AC-3. - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - params: - - id: ac-7_prm_1 - label: organization-defined number - - id: ac-7_prm_2 - label: organization-defined time-period - - id: ac-7_prm_3 - select: - how-many: one-or-more - choice: - - "lock the account or node for an {{ insert: param, ac-7_prm_4\ - \ }} " - - lock the account or node until released by an administrator - - "delay next logon prompt per {{ insert: param, ac-7_prm_5 }} " - - notify system administrator - - "take other {{ insert: param, ac-7_prm_6 }} " - - id: ac-7_prm_4 - depends-on: ac-7_prm_3 - label: organization-defined time-period - - id: ac-7_prm_5 - depends-on: ac-7_prm_3 - label: organization-defined delay algorithm - - id: ac-7_prm_6 - depends-on: ac-7_prm_3 - label: organization-defined action - props: - - name: label - value: AC-7 - - name: sort-id - value: AC-07 - links: - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-9" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ac-7_smt - name: statement - parts: - - id: ac-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Enforce a limit of {{ insert: param, ac-7_prm_1 }} consecutive\ - \ invalid logon attempts by a user during a {{ insert: param,\ - \ ac-7_prm_2 }}; and" - - id: ac-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Automatically {{ insert: param, ac-7_prm_3 }} when the maximum\ - \ number of unsuccessful attempts is exceeded." - - id: ac-7_gdn - name: guidance - prose: This control applies regardless of whether the logon occurs via - a local or network connection. Due to the potential for denial of - service, automatic lockouts initiated by systems are usually temporary - and automatically release after a predetermined, organization-defined - time period. If a delay algorithm is selected, organizations may employ - different algorithms for different components of the system based - on the capabilities of those components. Responses to unsuccessful - logon attempts may be implemented at the operating system and the - application levels. Organization-defined actions that may be taken - when the number of allowed consecutive invalid logon attempts is exceeded - include prompting the user to answer a secret question in addition - to the username and password; invoking a lockdown mode with limited - user capabilities (instead of full lockout); or comparing the IP address - to a list of known IP addresses for the user and then allowing additional - logon attempts if the attempts are from a known IP address. Techniques - to help prevent brute force attacks in lieu of an automatic system - lockout or the execution of delay algorithms support the objective - of availability while still protecting against such attacks. Techniques - that are effective when used in combination include prompting the - user to respond to a secret question before the number of allowed - unsuccessful logon attempts is exceeded; allowing users to logon only - from specified IP addresses; requiring a CAPTCHA to prevent automated - attacks; or applying user profiles such as location, time of day, - IP address, device, or MAC address. Automatically unlocking an account - after a specified period of time is generally not permitted. However, - exceptions may be required based on operational mission or need. - controls: - - id: ac-7.1 - class: SP800-53-enhancement - title: Automatic Account Lock - props: - - name: label - value: AC-7(1) - - name: status - value: Withdrawn - - name: sort-id - value: AC-07(01) - links: - - href: "#ac-7" - rel: incorporated-into - - id: ac-7.2 - class: SP800-53-enhancement - title: Purge or Wipe Mobile Device - params: - - id: ac-7.2_prm_1 - label: organization-defined mobile devices - - id: ac-7.2_prm_2 - label: organization-defined purging or wiping requirements and techniques - - id: ac-7.2_prm_3 - label: organization-defined number - props: - - name: label - value: AC-7(2) - - name: sort-id - value: AC-07(02) - links: - - href: "#ac-19" - rel: related - - href: "#mp-5" - rel: related - - href: "#mp-6" - rel: related - parts: - - id: ac-7.2_smt - name: statement - prose: "Purge or wipe information from {{ insert: param, ac-7.2_prm_1\ - \ }} based on {{ insert: param, ac-7.2_prm_2 }} after {{ insert:\ - \ param, ac-7.2_prm_3 }} consecutive, unsuccessful device logon\ - \ attempts." - - id: ac-7.2_gdn - name: guidance - prose: A mobile device is a computing device that has a small form - factor such that it can be carried by a single individual; is - designed to operate without a physical connection; possesses local, - non-removable or removable data storage; and includes a self-contained - power source. Purging or wiping the device applies only to mobile - devices for which the organization-defined number of unsuccessful - logons occurs. The logon is to the mobile device, not to any one - account on the device. Successful logons to accounts on mobile - devices reset the unsuccessful logon count to zero. Purging or - wiping may be unnecessary if the information on the device is - protected with sufficiently strong encryption mechanisms. - - id: ac-7.3 - class: SP800-53-enhancement - title: Biometric Attempt Limiting - params: - - id: ac-7.3_prm_1 - label: organization-defined number - props: - - name: label - value: AC-7(3) - - name: sort-id - value: AC-07(03) - links: - - href: "#ia-3" - rel: related - parts: - - id: ac-7.3_smt - name: statement - prose: "Limit the number of unsuccessful biometric logon attempts\ - \ to {{ insert: param, ac-7.3_prm_1 }}." - - id: ac-7.3_gdn - name: guidance - prose: Biometrics are probabilistic in nature. The ability to successfully - authenticate can be impacted by many factors, including matching - performance and presentation attack detection mechanisms. Organizations - select the appropriate number of attempts and fall back mechanisms - for users based on organizationally-defined factors. - - id: ac-7.4 - class: SP800-53-enhancement - title: Use of Alternate Factor - params: - - id: ac-7.4_prm_1 - label: organization-defined authentication factors - - id: ac-7.4_prm_2 - label: organization-defined number - - id: ac-7.4_prm_3 - label: organization-defined time-period - props: - - name: label - value: AC-7(4) - - name: sort-id - value: AC-07(04) - links: - - href: "#ia-3" - rel: related - parts: - - id: ac-7.4_smt - name: statement - parts: - - id: ac-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Allow the use of {{ insert: param, ac-7.4_prm_1 }} that\ - \ are different from the primary authentication factors after\ - \ the number of organization-defined consecutive invalid logon\ - \ attempts have been exceeded; and" - - id: ac-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce a limit of {{ insert: param, ac-7.4_prm_2 }}\ - \ consecutive invalid logon attempts through use of the alternative\ - \ factors by a user during a {{ insert: param, ac-7.4_prm_3\ - \ }}." - - id: ac-7.4_gdn - name: guidance - prose: The use of alternate authentication factors supports the - objective of availability and allows a user that has inadvertently - been locked out to use additional authentication factors to bypass - the lockout. - - id: ac-8 - class: SP800-53 - title: System Use Notification - params: - - id: ac-8_prm_1 - label: organization-defined system use notification message or banner - - id: ac-8_prm_2 - label: organization-defined conditions - props: - - name: label - value: AC-8 - - name: sort-id - value: AC-08 - links: - - href: "#ac-14" - rel: related - - href: "#pl-4" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-8_smt - name: statement - parts: - - id: ac-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Display {{ insert: param, ac-8_prm_1 }} to users before\ - \ granting access to the system that provides privacy and security\ - \ notices consistent with applicable laws, executive orders, directives,\ - \ regulations, policies, standards, and guidelines and state that:" - parts: - - id: ac-8_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Users are accessing a U.S. Government system; - - id: ac-8_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: System usage may be monitored, recorded, and subject - to audit; - - id: ac-8_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Unauthorized use of the system is prohibited and subject - to criminal and civil penalties; and - - id: ac-8_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Use of the system indicates consent to monitoring and - recording; - - id: ac-8_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the notification message or banner on the screen until - users acknowledge the usage conditions and take explicit actions - to log on to or further access the system; and - - id: ac-8_smt.c - name: item - props: - - name: label - value: c. - prose: "For publicly accessible systems:" - parts: - - id: ac-8_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Display system use information {{ insert: param, ac-8_prm_2\ - \ }}, before granting further access to the publicly accessible\ - \ system;" - - id: ac-8_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: Display references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations - for such systems that generally prohibit those activities; - and - - id: ac-8_smt.c.3 - name: item - props: - - name: label - value: "3." - prose: Include a description of the authorized uses of the system. - - id: ac-8_gdn - name: guidance - prose: System use notifications can be implemented using messages or - warning banners displayed before individuals log in to systems. System - use notifications are used only for access via logon interfaces with - human users. Notifications are not required when human interfaces - do not exist. Based on an assessment of risk, organizations consider - whether or not a secondary system use notification is needed to access - applications or other system resources after the initial network logon. - Organizations consider system use notification messages or banners - displayed in multiple languages based on organizational needs and - the demographics of system users. Organizations also consult with - the Office of the General Counsel for legal review and approval of - warning banner content. - - id: ac-9 - class: SP800-53 - title: Previous Logon Notification - props: - - name: label - value: AC-9 - - name: sort-id - value: AC-09 - links: - - href: "#ac-7" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-9_smt - name: statement - prose: Notify the user, upon successful logon to the system, of the - date and time of the last logon. - - id: ac-9_gdn - name: guidance - prose: Previous logon notification is applicable to system access via - human user interfaces and access to systems that occurs in other types - of architectures. Information about the last successful logon allows - the user to recognize if the date and time provided is not consistent - with the user’s last access. - controls: - - id: ac-9.1 - class: SP800-53-enhancement - title: Unsuccessful Logons - props: - - name: label - value: AC-9(1) - - name: sort-id - value: AC-09(01) - parts: - - id: ac-9.1_smt - name: statement - prose: Notify the user, upon successful logon, of the number of - unsuccessful logon attempts since the last successful logon. - - id: ac-9.1_gdn - name: guidance - prose: Information about the number of unsuccessful logon attempts - since the last successful logon allows the user to recognize if - the number of unsuccessful logon attempts is consistent with the - user’s actual logon attempts. - - id: ac-9.2 - class: SP800-53-enhancement - title: Successful and Unsuccessful Logons - params: - - id: ac-9.2_prm_1 - select: - choice: - - successful logons - - unsuccessful logon attempts - - both - - id: ac-9.2_prm_2 - label: organization-defined time-period - props: - - name: label - value: AC-9(2) - - name: sort-id - value: AC-09(02) - parts: - - id: ac-9.2_smt - name: statement - prose: "Notify the user, upon successful logon, of the number of\ - \ {{ insert: param, ac-9.2_prm_1 }} during {{ insert: param, ac-9.2_prm_2\ - \ }}." - - id: ac-9.2_gdn - name: guidance - prose: Information about the number of successful and unsuccessful - logon attempts within a specified time period allows the user - to recognize if the number and type of logon attempts is consistent - with the user’s actual logon attempts. - - id: ac-9.3 - class: SP800-53-enhancement - title: Notification of Account Changes - params: - - id: ac-9.3_prm_1 - label: organization-defined security-related characteristics or - parameters of the user’s account - - id: ac-9.3_prm_2 - label: organization-defined time-period - props: - - name: label - value: AC-9(3) - - name: sort-id - value: AC-09(03) - parts: - - id: ac-9.3_smt - name: statement - prose: "Notify the user, upon successful logon, of changes to {{\ - \ insert: param, ac-9.3_prm_1 }} during {{ insert: param, ac-9.3_prm_2\ - \ }}." - - id: ac-9.3_gdn - name: guidance - prose: Information about changes to security-related account characteristics - within a specified time period allows users to recognize if changes - were made without their knowledge. - - id: ac-9.4 - class: SP800-53-enhancement - title: Additional Logon Information - params: - - id: ac-9.4_prm_1 - label: organization-defined additional information - props: - - name: label - value: AC-9(4) - - name: sort-id - value: AC-09(04) - parts: - - id: ac-9.4_smt - name: statement - prose: "Notify the user, upon successful logon, of the following\ - \ additional information: {{ insert: param, ac-9.4_prm_1 }}." - - id: ac-9.4_gdn - name: guidance - prose: Organizations can specify additional information to be provided - to users upon logon, including the location of last logon. User - location is defined as that information which can be determined - by systems, for example, Internet Protocol (IP) addresses from - which network logons occurred, notifications of local logons, - or device identifiers. - - id: ac-10 - class: SP800-53 - title: Concurrent Session Control - params: - - id: ac-10_prm_1 - label: organization-defined account and/or account type - - id: ac-10_prm_2 - label: organization-defined number - props: - - name: label - value: AC-10 - - name: sort-id - value: AC-10 - links: - - href: "#sc-23" - rel: related - parts: - - id: ac-10_smt - name: statement - prose: "Limit the number of concurrent sessions for each {{ insert:\ - \ param, ac-10_prm_1 }} to {{ insert: param, ac-10_prm_2 }}." - - id: ac-10_gdn - name: guidance - prose: Organizations may define the maximum number of concurrent sessions - for system accounts globally, by account type, by account, or any - combination thereof. For example, organizations may limit the number - of concurrent sessions for system administrators or other individuals - working in particularly sensitive domains or mission-critical applications. - This control addresses concurrent sessions for system accounts and - does not address concurrent sessions by single users via multiple - system accounts. - - id: ac-11 - class: SP800-53 - title: Device Lock - params: - - id: ac-11_prm_1 - select: - how-many: one-or-more - choice: - - "initiating a device lock after {{ insert: param, ac-11_prm_2\ - \ }} of inactivity" - - requiring the user to initiate a device lock before leaving the - system unattended - - id: ac-11_prm_2 - depends-on: ac-11_prm_1 - label: organization-defined time-period - props: - - name: label - value: AC-11 - - name: sort-id - value: AC-11 - links: - - href: "#ac-2" - rel: related - - href: "#ac-7" - rel: related - - href: "#ia-11" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ac-11_smt - name: statement - parts: - - id: ac-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Prevent further access to the system by {{ insert: param,\ - \ ac-11_prm_1 }}; and" - - id: ac-11_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the device lock until the user reestablishes access - using established identification and authentication procedures. - - id: ac-11_gdn - name: guidance - prose: Device locks are temporary actions taken to prevent logical access - to organizational systems when users stop work and move away from - the immediate vicinity of those systems but do not want to log out - because of the temporary nature of their absences. Device locks can - be implemented at the operating system level or at the application - level. A proximity lock may be used to initiate the device lock (e.g., - via a Bluetooth-enabled device or dongle). User initiated device locking - is behavior or policy-based and as such, requires users to take physical - action to initiate the device lock. Device locks are not an acceptable - substitute for logging out of systems, for example, if organizations - require users to log out at the end of workdays. - controls: - - id: ac-11.1 - class: SP800-53-enhancement - title: Pattern-hiding Displays - props: - - name: label - value: AC-11(1) - - name: sort-id - value: AC-11(01) - parts: - - id: ac-11.1_smt - name: statement - prose: Conceal, via the device lock, information previously visible - on the display with a publicly viewable image. - - id: ac-11.1_gdn - name: guidance - prose: The pattern-hiding display can include static or dynamic - images, for example, patterns used with screen savers, photographic - images, solid colors, clock, battery life indicator, or a blank - screen, with the caveat that controlled unclassified information - is not displayed. - - id: ac-12 - class: SP800-53 - title: Session Termination - params: - - id: ac-12_prm_1 - label: organization-defined conditions or trigger events requiring session - disconnect - props: - - name: label - value: AC-12 - - name: sort-id - value: AC-12 - links: - - href: "#ma-4" - rel: related - - href: "#sc-10" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: ac-12_smt - name: statement - prose: "Automatically terminate a user session after {{ insert: param,\ - \ ac-12_prm_1 }}." - - id: ac-12_gdn - name: guidance - prose: Session termination addresses the termination of user-initiated - logical sessions (in contrast to SC-10, which addresses the termination - of network connections associated with communications sessions (i.e., - network disconnect)). A logical session (for local, network, and remote - access) is initiated whenever a user (or process acting on behalf - of a user) accesses an organizational system. Such user sessions can - be terminated without terminating network sessions. Session termination - ends all processes associated with a user’s logical session except - those processes that are specifically created by the user (i.e., session - owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination include organization-defined - periods of user inactivity, targeted responses to certain types of - incidents, or time-of-day restrictions on system use. - controls: - - id: ac-12.1 - class: SP800-53-enhancement - title: User-initiated Logouts - params: - - id: ac-12.1_prm_1 - label: organization-defined information resources - props: - - name: label - value: AC-12(1) - - name: sort-id - value: AC-12(01) - parts: - - id: ac-12.1_smt - name: statement - prose: "Provide a logout capability for user-initiated communications\ - \ sessions whenever authentication is used to gain access to {{\ - \ insert: param, ac-12.1_prm_1 }}." - - id: ac-12.1_gdn - name: guidance - prose: Information resources to which users gain access via authentication - include local workstations, databases, and password-protected - websites or web-based services. - - id: ac-12.2 - class: SP800-53-enhancement - title: Termination Message - props: - - name: label - value: AC-12(2) - - name: sort-id - value: AC-12(02) - parts: - - id: ac-12.2_smt - name: statement - prose: Display an explicit logout message to users indicating the - termination of authenticated communications sessions. - - id: ac-12.2_gdn - name: guidance - prose: Logout messages for web access can be displayed after authenticated - sessions have been terminated. However, for certain types of sessions, - including file transfer protocol (FTP) sessions, systems typically - send logout messages as final messages prior to terminating sessions. - - id: ac-12.3 - class: SP800-53-enhancement - title: Timeout Warning Message - params: - - id: ac-12.3_prm_1 - label: organization-defined time until end of session - props: - - name: label - value: AC-12(3) - - name: sort-id - value: AC-12(03) - parts: - - id: ac-12.3_smt - name: statement - prose: "Display an explicit message to users indicating that the\ - \ session will end in {{ insert: param, ac-12.3_prm_1 }}." - - id: ac-12.3_gdn - name: guidance - prose: To increase usability, notify users of pending session termination - and prompt users to continue the session. - - id: ac-13 - class: SP800-53 - title: Supervision and Review — Access Control - props: - - name: label - value: AC-13 - - name: status - value: Withdrawn - - name: sort-id - value: AC-13 - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#au-6" - rel: incorporated-into - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - params: - - id: ac-14_prm_1 - label: organization-defined user actions - props: - - name: label - value: AC-14 - - name: sort-id - value: AC-14 - links: - - href: "#ac-8" - rel: related - - href: "#ia-2" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: ac-14_smt - name: statement - parts: - - id: ac-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify {{ insert: param, ac-14_prm_1 }} that can be performed\ - \ on the system without identification or authentication consistent\ - \ with organizational missions and business functions; and" - - id: ac-14_smt.b - name: item - props: - - name: label - value: b. - prose: Document and provide supporting rationale in the security - plan for the system, user actions not requiring identification - or authentication. - - id: ac-14_gdn - name: guidance - prose: Specific user actions may be permitted without identification - or authentication if organizations determine that identification and - authentication is not required for the specified user actions. Organizations - may allow a limited number of user actions without identification - or authentication, including when individuals access public websites - or other publicly accessible federal systems; when individuals use - mobile phones to receive calls; or when facsimiles are received. Organizations - identify actions that normally require identification or authentication - but may under certain circumstances, allow identification or authentication - mechanisms to be bypassed. Such bypasses may occur, for example, via - a software-readable physical switch that commands bypass of the logon - functionality and is protected from accidental or unmonitored use. - This control does not apply to situations where identification and - authentication have already occurred and are not repeated, but rather - to situations where identification and authentication have not yet - occurred. Organizations may decide that there are no user actions - that can be performed on organizational systems without identification - and authentication and therefore, the value for the assignment can - be none. - controls: - - id: ac-14.1 - class: SP800-53-enhancement - title: Necessary Uses - props: - - name: label - value: AC-14(1) - - name: status - value: Withdrawn - - name: sort-id - value: AC-14(01) - links: - - href: "#ac-14" - rel: incorporated-into - - id: ac-15 - class: SP800-53 - title: Automated Marking - props: - - name: label - value: AC-15 - - name: status - value: Withdrawn - - name: sort-id - value: AC-15 - links: - - href: "#mp-3" - rel: incorporated-into - - id: ac-16 - class: SP800-53 - title: Security and Privacy Attributes - params: - - id: ac-16_prm_1 - label: organization-defined types of security and privacy attributes - - id: ac-16_prm_2 - label: organization-defined security and privacy attribute values - - id: ac-16_prm_3 - label: organization-defined security and privacy attributes - - id: ac-16_prm_4 - label: organization-defined systems - - id: ac-16_prm_5 - label: organization-defined values or ranges - - id: ac-16_prm_6 - label: organization-defined security and privacy attributes - - id: ac-16_prm_7 - label: organization-defined frequency - props: - - name: label - value: AC-16 - - name: sort-id - value: AC-16 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#359f960c-2598-454c-ba3b-a30c553e498f" - rel: reference - - href: "#223b23a9-baea-4a50-8058-63cf7967b61f" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-21" - rel: related - - href: "#ac-25" - rel: related - - href: "#au-2" - rel: related - - href: "#au-10" - rel: related - - href: "#mp-3" - rel: related - - href: "#pe-22" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-5" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-16" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ac-16_smt - name: statement - parts: - - id: ac-16_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide the means to associate {{ insert: param, ac-16_prm_1\ - \ }} having {{ insert: param, ac-16_prm_2 }} with information\ - \ in storage, in process, and/or in transmission;" - - id: ac-16_smt.b - name: item - props: - - name: label - value: b. - prose: Ensure that the attribute associations are made and retained - with the information; - - id: ac-16_smt.c - name: item - props: - - name: label - value: c. - prose: "Establish the permitted {{ insert: param, ac-16_prm_3 }}\ - \ for {{ insert: param, ac-16_prm_4 }};" - - id: ac-16_smt.d - name: item - props: - - name: label - value: d. - prose: "Determine the permitted {{ insert: param, ac-16_prm_5 }}\ - \ for each of the established attributes;" - - id: ac-16_smt.e - name: item - props: - - name: label - value: e. - prose: Audit changes to attributes; and - - id: ac-16_smt.f - name: item - props: - - name: label - value: f. - prose: "Review {{ insert: param, ac-16_prm_6 }} for applicability\ - \ {{ insert: param, ac-16_prm_7 }}." - - id: ac-16_gdn - name: guidance - prose: Information is represented internally within systems using abstractions - known as data structures. Internal data structures can represent different - types of entities, both active and passive. Active entities, also - known as subjects, are typically associated with individuals, devices, - or processes acting on behalf of individuals. Passive entities, also - known as objects, are typically associated with data structures such - as records, buffers, tables, files, inter-process pipes, and communications - ports. Security attributes, a form of metadata, are abstractions representing - the basic properties or characteristics of active and passive entities - with respect to safeguarding information. Privacy attributes, which - may be used independently, or in conjunction with security attributes, - represent the basic properties or characteristics of active or passive - entities with respect to the management of personally identifiable - information. Attributes can be either explicitly or implicitly associated - with the information contained in organizational systems or system - components. Attributes may be associated with active entities (i.e., - subjects) that have the potential to send or receive information, - to cause information to flow among objects, or to change the system - state. These attributes may also be associated with passive entities - (i.e., objects) that contain or receive information. The association - of attributes to subjects and objects by a system is referred to as - binding and is inclusive of setting the attribute value and the attribute - type. Attributes, when bound to data or information, permit the enforcement - of security and privacy policies for access control and information - flow control, including data retention limits, permitted uses of personally - identifiable information, and identification of personal information - within data objects. Such enforcement occurs through organizational - processes or system functions or mechanisms. The binding techniques - implemented by systems affect the strength of attribute binding to - information. Binding strength and the assurance associated with binding - techniques play an important part in the trust organizations have - in the information flow enforcement process. The binding techniques - affect the number and degree of additional reviews required by organizations. - The content or assigned values of attributes can directly affect the - ability of individuals to access organizational information. Organizations - can define the types of attributes needed for systems to support missions - or business functions. There are many values that can be assigned - to a security attribute. Release markings include US only, NATO (North - Atlantic Treaty Organization), or NOFORN (not releasable to foreign - nationals). By specifying the permitted attribute ranges and values, - organizations ensure that attribute values are meaningful and relevant. - Labeling refers to the association of attributes with the subjects - and objects represented by the internal data structures within systems. - This facilitates system-based enforcement of information security - and privacy policies. Labels include classification of information - in accordance with legal and compliance requirements; access authorizations; - nationality; data life cycle protection (i.e., encryption and data - expiration); personally identifiable information processing permissions; - individual consent to personally identifiable information processing; - and affiliation as a contractor. Conversely, marking refers to the - association of attributes with objects in a human-readable form. Marking - enables manual, procedural, or process-based enforcement of information - security and privacy policies. Attribute types include classification - level for objects and clearance (access authorization) level for subjects. - An attribute value for both attribute types is Top Secret. - controls: - - id: ac-16.1 - class: SP800-53-enhancement - title: Dynamic Attribute Association - params: - - id: ac-16.1_prm_1 - label: organization-defined subjects and objects - - id: ac-16.1_prm_2 - label: organization-defined security and privacy policies - props: - - name: label - value: AC-16(1) - - name: sort-id - value: AC-16(01) - parts: - - id: ac-16.1_smt - name: statement - prose: "Dynamically associate security and privacy attributes with\ - \ {{ insert: param, ac-16.1_prm_1 }} in accordance with the following\ - \ security and privacy policies as information is created and\ - \ combined: {{ insert: param, ac-16.1_prm_2 }}." - - id: ac-16.1_gdn - name: guidance - prose: Dynamic association of attributes is appropriate whenever - the security or privacy characteristics of information change - over time. Attributes may change due to information aggregation - issues (i.e., characteristics of individual data elements are - different from the combined elements); changes in individual access - authorizations (i.e., privileges); changes in the security category - of information; or changes in security or privacy policies. Attributes - may also change situationally. - - id: ac-16.2 - class: SP800-53-enhancement - title: Attribute Value Changes by Authorized Individuals - props: - - name: label - value: AC-16(2) - - name: sort-id - value: AC-16(02) - parts: - - id: ac-16.2_smt - name: statement - prose: Provide authorized individuals (or processes acting on behalf - of individuals) the capability to define or change the value of - associated security and privacy attributes. - - id: ac-16.2_gdn - name: guidance - prose: The content or assigned values of attributes can directly - affect the ability of individuals to access organizational information. - Therefore, it is important for systems to be able to limit the - ability to create or modify attributes to authorized individuals. - - id: ac-16.3 - class: SP800-53-enhancement - title: Maintenance of Attribute Associations by System - params: - - id: ac-16.3_prm_1 - label: organization-defined security and privacy attributes - - id: ac-16.3_prm_2 - label: organization-defined subjects and objects - props: - - name: label - value: AC-16(3) - - name: sort-id - value: AC-16(03) - parts: - - id: ac-16.3_smt - name: statement - prose: "Maintain the association and integrity of {{ insert: param,\ - \ ac-16.3_prm_1 }} to {{ insert: param, ac-16.3_prm_2 }}." - - id: ac-16.3_gdn - name: guidance - prose: Maintaining the association and integrity of security and - privacy attributes to subjects and objects with sufficient assurance - helps to ensure that the attribute associations can be used as - the basis of automated policy actions. The integrity of specific - items, such as security configuration files, may be maintained - through the use of an integrity monitoring mechanism that detects - anomalies and changes that deviate from “known good” baselines. - Automated policy actions include retention date expirations, access - control decisions, information flow control decisions, and information - disclosure decisions. - - id: ac-16.4 - class: SP800-53-enhancement - title: Association of Attributes by Authorized Individuals - params: - - id: ac-16.4_prm_1 - label: organization-defined security and privacy attributes - - id: ac-16.4_prm_2 - label: organization-defined subjects and objects - props: - - name: label - value: AC-16(4) - - name: sort-id - value: AC-16(04) - parts: - - id: ac-16.4_smt - name: statement - prose: "Provide the capability to associate {{ insert: param, ac-16.4_prm_1\ - \ }} with {{ insert: param, ac-16.4_prm_2 }} by authorized individuals\ - \ (or processes acting on behalf of individuals)." - - id: ac-16.4_gdn - name: guidance - prose: Systems in general, provide the capability for privileged - users to assign security and privacy attributes to system-defined - subjects (e.g., users) and objects (e.g., directories, files, - and ports). Some systems provide additional capability for general - users to assign security and privacy attributes to additional - objects (e.g., files, emails). The association of attributes by - authorized individuals is described in the design documentation. - The support provided by systems can include prompting users to - select security and privacy attributes to be associated with information - objects; employing automated mechanisms to categorize information - with attributes based on defined policies; or ensuring that the - combination of the security or privacy attributes selected is - valid. Organizations consider the creation, deletion, or modification - of attributes when defining auditable events. - - id: ac-16.5 - class: SP800-53-enhancement - title: Attribute Displays for Output Devices - params: - - id: ac-16.5_prm_1 - label: organization-defined special dissemination, handling, or - distribution instructions - - id: ac-16.5_prm_2 - label: organization-defined human-readable, standard naming conventions - props: - - name: label - value: AC-16(5) - - name: sort-id - value: AC-16(05) - parts: - - id: ac-16.5_smt - name: statement - prose: "Display security and privacy attributes in human-readable\ - \ form on each object that the system transmits to output devices\ - \ to identify {{ insert: param, ac-16.5_prm_1 }} using {{ insert:\ - \ param, ac-16.5_prm_2 }}." - - id: ac-16.5_gdn - name: guidance - prose: System outputs include printed pages, screens, or equivalent. - System output devices include printers, notebook computers, video - displays, tablets, and smartphones. To mitigate the risk of unauthorized - exposure of selected information, for example, shoulder surfing, - the outputs display full attribute values when unmasked by the - subscriber. - - id: ac-16.6 - class: SP800-53-enhancement - title: Maintenance of Attribute Association by Organization - params: - - id: ac-16.6_prm_1 - label: organization-defined security and privacy attributes - - id: ac-16.6_prm_2 - label: organization-defined subjects and objects - - id: ac-16.6_prm_3 - label: organization-defined security and privacy policies - props: - - name: label - value: AC-16(6) - - name: sort-id - value: AC-16(06) - parts: - - id: ac-16.6_smt - name: statement - prose: "Require personnel to associate and maintain the association\ - \ of {{ insert: param, ac-16.6_prm_1 }} with {{ insert: param,\ - \ ac-16.6_prm_2 }} in accordance with {{ insert: param, ac-16.6_prm_3\ - \ }}." - - id: ac-16.6_gdn - name: guidance - prose: This control enhancement requires individual users (as opposed - to the system) to maintain associations of defined security and - privacy attributes with subjects and objects. - - id: ac-16.7 - class: SP800-53-enhancement - title: Consistent Attribute Interpretation - props: - - name: label - value: AC-16(7) - - name: sort-id - value: AC-16(07) - parts: - - id: ac-16.7_smt - name: statement - prose: Provide a consistent interpretation of security and privacy - attributes transmitted between distributed system components. - - id: ac-16.7_gdn - name: guidance - prose: To enforce security and privacy policies across multiple - system components in distributed systems, organizations provide - a consistent interpretation of security and privacy attributes - employed in access enforcement and flow enforcement decisions. - Organizations can establish agreements and processes to help ensure - that distributed system components implement attributes with consistent - interpretations in automated access enforcement and flow enforcement - actions. - - id: ac-16.8 - class: SP800-53-enhancement - title: Association Techniques and Technologies - params: - - id: ac-16.8_prm_1 - label: organization-defined techniques and technologies - - id: ac-16.8_prm_2 - label: organization-defined level of assurance - props: - - name: label - value: AC-16(8) - - name: sort-id - value: AC-16(08) - parts: - - id: ac-16.8_smt - name: statement - prose: "Implement {{ insert: param, ac-16.8_prm_1 }} with {{ insert:\ - \ param, ac-16.8_prm_2 }} in associating security and privacy\ - \ attributes to information." - - id: ac-16.8_gdn - name: guidance - prose: The association of security and privacy attributes to information - within systems is important for conducting automated access enforcement - and flow enforcement actions. The association of such attributes - to information (i.e., binding) can be accomplished with technologies - and techniques providing different levels of assurance. For example, - systems can bind attributes to information cryptographically using - digital signatures supporting cryptographic keys protected by - hardware devices (sometimes known as hardware roots of trust). - - id: ac-16.9 - class: SP800-53-enhancement - title: Attribute Reassignment — Regrading Mechanisms - params: - - id: ac-16.9_prm_1 - label: organization-defined techniques or procedures - props: - - name: label - value: AC-16(9) - - name: sort-id - value: AC-16(09) - parts: - - id: ac-16.9_smt - name: statement - prose: "Change security and privacy attributes associated with information\ - \ only via regrading mechanisms validated using {{ insert: param,\ - \ ac-16.9_prm_1 }}." - - id: ac-16.9_gdn - name: guidance - prose: A regrading mechanism is a trusted process authorized to - re-classify and re-label data in accordance with a defined policy - exception. Validated regrading mechanisms are used by organizations - to provide the requisite levels of assurance for attribute reassignment - activities. The validation is facilitated by ensuring that regrading - mechanisms are single purpose and of limited function. Since security - and privacy attribute changes can directly affect policy enforcement - actions, implementing trustworthy regrading mechanisms is necessary - to help ensure that such mechanisms perform in a consistent and - correct mode of operation. - - id: ac-16.10 - class: SP800-53-enhancement - title: Attribute Configuration by Authorized Individuals - props: - - name: label - value: AC-16(10) - - name: sort-id - value: AC-16(10) - parts: - - id: ac-16.10_smt - name: statement - prose: Provide authorized individuals the capability to define or - change the type and value of security and privacy attributes available - for association with subjects and objects. - - id: ac-16.10_gdn - name: guidance - prose: The content or assigned values of security and privacy attributes - can directly affect the ability of individuals to access organizational - information. Therefore, it is important for systems to be able - to limit the ability to create or modify attributes to authorized - individuals only. - - id: ac-17 - class: SP800-53 - title: Remote Access - props: - - name: label - value: AC-17 - - name: sort-id - value: AC-17 - links: - - href: "#7768c184-088d-4ee8-a316-f9286b52df7f" - rel: reference - - href: "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa" - rel: reference - - href: "#36132a58-56fd-4980-9f6c-c010d3faf52b" - rel: reference - - href: "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc" - rel: reference - - href: "#60b24979-65b8-4ca5-a442-11b74339fab5" - rel: reference - - href: "#30213e10-2aca-47b3-8cdb-61303e0959f5" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-3" - rel: related - - href: "#cm-10" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-17" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-10" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-17_smt - name: statement - parts: - - id: ac-17_smt.a - name: item - props: - - name: label - value: a. - prose: Establish and document usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote - access allowed; and - - id: ac-17_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize each type of remote access to the system prior - to allowing such connections. - - id: ac-17_gdn - name: guidance - prose: Remote access is access to organizational systems (or processes - acting on behalf of users) communicating through external networks - such as the Internet. Types of remote access include dial-up, broadband, - and wireless. Organizations use encrypted virtual private networks - (VPNs) to enhance confidentiality and integrity for remote connections. - The use of encrypted VPNs provides sufficient assurance to the organization - that it can effectively treat such connections as internal networks - if the cryptographic mechanisms used are implemented in accordance - with applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. Still, VPN connections traverse external - networks, and the encrypted VPN does not enhance the availability - of remote connections. VPNs with encrypted tunnels can also affect - the capability to adequately monitor network communications traffic - for malicious code. Remote access controls apply to systems other - than public web servers or systems designed for public access. This - control addresses authorization prior to allowing remote access without - specifying the specific formats for such authorization. While organizations - may use information exchange and system connection security agreements - to authorize remote access connections, such agreements are not required - by this control. Enforcing access restrictions for remote access is - addressed via AC-3. - controls: - - id: ac-17.1 - class: SP800-53-enhancement - title: Monitoring and Control - props: - - name: label - value: AC-17(1) - - name: sort-id - value: AC-17(01) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - parts: - - id: ac-17.1_smt - name: statement - prose: Employ automated mechanisms to monitor and control remote - access methods. - - id: ac-17.1_gdn - name: guidance - prose: Monitoring and control of remote access methods allows organizations - to detect attacks and ensure compliance with remote access policies - by auditing connection activities of remote users on a variety - of system components, including servers, notebook computers, workstations, - smart phones, and tablets. Audit logging for remote access is - enforced by AU-2. Audit events are defined in AU-2a. - - id: ac-17.2 - class: SP800-53-enhancement - title: Protection of Confidentiality and Integrity Using Encryption - props: - - name: label - value: AC-17(2) - - name: sort-id - value: AC-17(02) - links: - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-17.2_smt - name: statement - prose: Implement cryptographic mechanisms to protect the confidentiality - and integrity of remote access sessions. - - id: ac-17.2_gdn - name: guidance - prose: Virtual private networks can be used to protect the confidentiality - and integrity of remote access sessions. Transport Layer Security - (TLS) is an example of a cryptographic protocol that provides - end-to-end communications security over networks and is used for - Internet communications and online transactions. - - id: ac-17.3 - class: SP800-53-enhancement - title: Managed Access Control Points - props: - - name: label - value: AC-17(3) - - name: sort-id - value: AC-17(03) - links: - - href: "#sc-7" - rel: related - parts: - - id: ac-17.3_smt - name: statement - prose: Route remote accesses through authorized and managed network - access control points. - - id: ac-17.3_gdn - name: guidance - prose: Organizations consider the Trusted Internet Connections initiative - [DHS TIC] requirements for external network connections since - limiting the number of access control points for remote accesses - reduces attack surface. - - id: ac-17.4 - class: SP800-53-enhancement - title: Privileged Commands and Access - params: - - id: ac-17.4_prm_1 - label: organization-defined needs - props: - - name: label - value: AC-17(4) - - name: sort-id - value: AC-17(04) - links: - - href: "#ac-6" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-17.4_smt - name: statement - parts: - - id: ac-17.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Authorize the execution of privileged commands and access\ - \ to security-relevant information via remote access only\ - \ in a format that provides assessable evidence and for the\ - \ following needs: {{ insert: param, ac-17.4_prm_1 }}; and" - - id: ac-17.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Document the rationale for remote access in the security - plan for the system. - - id: ac-17.4_gdn - name: guidance - prose: Remote access to systems represents a significant potential - vulnerability that can be exploited by adversaries. As such, restricting - the execution of privileged commands and access to security-relevant - information via remote access reduces the exposure of the organization - and the susceptibility to threats by adversaries to the remote - access capability. - - id: ac-17.5 - class: SP800-53-enhancement - title: Monitoring for Unauthorized Connections - props: - - name: label - value: AC-17(5) - - name: status - value: Withdrawn - - name: sort-id - value: AC-17(05) - links: - - href: "#si-4" - rel: incorporated-into - - id: ac-17.6 - class: SP800-53-enhancement - title: Protection of Mechanism Information - props: - - name: label - value: AC-17(6) - - name: sort-id - value: AC-17(06) - links: - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: ac-17.6_smt - name: statement - prose: Protect information about remote access mechanisms from unauthorized - use and disclosure. - - id: ac-17.6_gdn - name: guidance - prose: Remote access to organizational information by nonorganizational - entities can increase the risk of unauthorized use and disclosure - about remote access mechanisms. The organization considers including - remote access requirements in the information exchange agreements - with other organizations, as applicable. Remote access requirements - can also be included in rules of behavior (see PL-4) and access - agreements (see PS-6). - - id: ac-17.7 - class: SP800-53-enhancement - title: Additional Protection for Security Function Access - props: - - name: label - value: AC-17(7) - - name: status - value: Withdrawn - - name: sort-id - value: AC-17(07) - links: - - href: "#ac-3.10" - rel: incorporated-into - - id: ac-17.8 - class: SP800-53-enhancement - title: Disable Nonsecure Network Protocols - props: - - name: label - value: AC-17(8) - - name: status - value: Withdrawn - - name: sort-id - value: AC-17(08) - links: - - href: "#cm-7" - rel: incorporated-into - - id: ac-17.9 - class: SP800-53-enhancement - title: Disconnect or Disable Access - params: - - id: ac-17.9_prm_1 - label: organization-defined time-period - props: - - name: label - value: AC-17(9) - - name: sort-id - value: AC-17(09) - parts: - - id: ac-17.9_smt - name: statement - prose: "Provide the capability to disconnect or disable remote access\ - \ to the system within {{ insert: param, ac-17.9_prm_1 }}." - - id: ac-17.9_gdn - name: guidance - prose: This control enhancement requires organizations to have the - capability to rapidly disconnect current users remotely accessing - the system or disable further remote access. The speed of disconnect - or disablement varies based on the criticality of missions or - business functions and the need to eliminate immediate or future - remote access to systems. - - id: ac-17.10 - class: SP800-53-enhancement - title: Authenticate Remote Commands - params: - - id: ac-17.10_prm_1 - label: organization-defined controls - - id: ac-17.10_prm_2 - label: organization-defined remote commands - props: - - name: label - value: AC-17(10) - - name: sort-id - value: AC-17(10) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: ac-17.10_smt - name: statement - prose: "Implement {{ insert: param, ac-17.10_prm_1 }} to authenticate\ - \ {{ insert: param, ac-17.10_prm_2 }}." - - id: ac-17.10_gdn - name: guidance - prose: Authenticating remote commands protects against unauthorized - commands and the replay of authorized commands. The capability - to authenticate remote commands is important for remote systems - whose loss, malfunction, misdirection, or exploitation would have - immediate or serious consequences, including injury or death; - property damage; loss of high value assets; failure of missions - or business functions; or compromise of classified or controlled - unclassified information. Authentication controls for remote commands - ensure that systems accept and execute commands in the order intended, - execute only authorized commands, and reject unauthorized commands. - Cryptographic mechanisms can be used, for example, to authenticate - remote commands. - - id: ac-18 - class: SP800-53 - title: Wireless Access - props: - - name: label - value: AC-18 - - name: sort-id - value: AC-18 - links: - - href: "#41e2e2c6-2260-4258-85c8-09db17c43103" - rel: reference - - href: "#6bed1550-cd5d-4e80-8d83-4e597c1514fe" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-7" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-40" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-18_smt - name: statement - parts: - - id: ac-18_smt.a - name: item - props: - - name: label - value: a. - prose: Establish configuration requirements, connection requirements, - and implementation guidance for each type of wireless access; - and - - id: ac-18_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize each type of wireless access to the system prior - to allowing such connections. - - id: ac-18_gdn - name: guidance - prose: Wireless technologies include microwave, packet radio (ultra-high - frequency or very high frequency), 802.11x, and Bluetooth. Wireless - networks use authentication protocols that provide credential protection - and mutual authentication. - controls: - - id: ac-18.1 - class: SP800-53-enhancement - title: Authentication and Encryption - params: - - id: ac-18.1_prm_1 - select: - how-many: one-or-more - choice: - - users - - devices - props: - - name: label - value: AC-18(1) - - name: sort-id - value: AC-18(01) - links: - - href: "#sc-8" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ac-18.1_smt - name: statement - prose: "Protect wireless access to the system using authentication\ - \ of {{ insert: param, ac-18.1_prm_1 }} and encryption." - - id: ac-18.1_gdn - name: guidance - prose: Wireless networking capabilities represent a significant - potential vulnerability that can be exploited by adversaries. - To protect systems with wireless access points, strong authentication - of users and devices with encryption can reduce susceptibility - to threats by adversaries involving wireless technologies. - - id: ac-18.2 - class: SP800-53-enhancement - title: Monitoring Unauthorized Connections - props: - - name: label - value: AC-18(2) - - name: status - value: Withdrawn - - name: sort-id - value: AC-18(02) - links: - - href: "#si-4" - rel: incorporated-into - - id: ac-18.3 - class: SP800-53-enhancement - title: Disable Wireless Networking - props: - - name: label - value: AC-18(3) - - name: sort-id - value: AC-18(03) - parts: - - id: ac-18.3_smt - name: statement - prose: Disable, when not intended for use, wireless networking capabilities - embedded within system components prior to issuance and deployment. - - id: ac-18.3_gdn - name: guidance - prose: Wireless networking capabilities that are embedded within - system components represent a significant potential vulnerability - that can be exploited by adversaries. Disabling wireless capabilities - when not needed for essential organizational missions or functions - can reduce susceptibility to threats by adversaries involving - wireless technologies. - - id: ac-18.4 - class: SP800-53-enhancement - title: Restrict Configurations by Users - props: - - name: label - value: AC-18(4) - - name: sort-id - value: AC-18(04) - links: - - href: "#sc-7" - rel: related - - href: "#sc-15" - rel: related - parts: - - id: ac-18.4_smt - name: statement - prose: Identify and explicitly authorize users allowed to independently - configure wireless networking capabilities. - - id: ac-18.4_gdn - name: guidance - prose: Organizational authorizations to allow selected users to - configure wireless networking capability are enforced in part, - by the access enforcement mechanisms employed within organizational - systems. - - id: ac-18.5 - class: SP800-53-enhancement - title: Antennas and Transmission Power Levels - props: - - name: label - value: AC-18(5) - - name: sort-id - value: AC-18(05) - links: - - href: "#pe-19" - rel: related - parts: - - id: ac-18.5_smt - name: statement - prose: Select radio antennas and calibrate transmission power levels - to reduce the probability that signals from wireless access points - can be received outside of organization-controlled boundaries. - - id: ac-18.5_gdn - name: guidance - prose: Actions that may be taken to limit unauthorized use of wireless - communications outside of organization-controlled boundaries include - reducing the power of wireless transmissions so that the transmissions - are less likely to emit a signal that can be captured outside - of the physical perimeters of the organization; employing measures - such as emissions security to control wireless emanations; and - using directional or beam forming antennas that reduce the likelihood - that unintended receivers will be able to intercept signals. Prior - to taking such mitigating actions, organizations can conduct periodic - wireless surveys to understand the radio frequency profile of - organizational systems as well as other systems that may be operating - in the area. - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - props: - - name: label - value: AC-19 - - name: sort-id - value: AC-19 - links: - - href: "#49fa1ee1-aaf7-4270-bb5a-a86497f717dc" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-11" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#mp-7" - rel: related - - href: "#pl-4" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ac-19_smt - name: statement - parts: - - id: ac-19_smt.a - name: item - props: - - name: label - value: a. - prose: Establish configuration requirements, connection requirements, - and implementation guidance for organization-controlled mobile - devices, to include when such devices are outside of controlled - areas; and - - id: ac-19_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize the connection of mobile devices to organizational - systems. - - id: ac-19_gdn - name: guidance - prose: A mobile device is a computing device that has a small form factor - such that it can easily be carried by a single individual; is designed - to operate without a physical connection; possesses local, non-removable - or removable data storage; and includes a self-contained power source. - Mobile device functionality may also include voice communication capabilities, - on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. - Examples include smart phones and tablets. Mobile devices are typically - associated with a single individual. The processing, storage, and - transmission capability of the mobile device may be comparable to - or merely a subset of notebook/desktop systems, depending upon the - nature and intended purpose of the device. Protection and control - of mobile devices is behavior or policy-based and requires users to - take physical action to protect and control such devices when outside - of controlled areas. Controlled areas are spaces for which organizations - provide physical or procedural controls to meet the requirements established - for protecting information and systems. Due to the large variety of - mobile devices with different characteristics and capabilities, organizational - restrictions may vary for the different classes or types of such devices. - Usage restrictions and specific implementation guidance for mobile - devices include configuration management, device identification and - authentication, implementation of mandatory protective software, scanning - devices for malicious code, updating virus protection software, scanning - for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and - disabling unnecessary hardware. Usage restrictions and authorization - to connect may vary among organizational systems. For example, the - organization may authorize the connection of mobile devices to the - organizational network and impose a set of usage restrictions while - a system owner may withhold authorization for mobile device connection - to specific applications or may impose additional usage restrictions - before allowing mobile device connections to a system. The need to - provide adequate security for mobile devices goes beyond the requirements - in this control. Many controls for mobile devices are reflected in - other controls allocated to the initial control baselines as starting - points for the development of security plans and overlays using the - tailoring process. There may also be some overlap by the security - controls within the different families of controls. AC-20 addresses - mobile devices that are not organization-controlled. - controls: - - id: ac-19.1 - class: SP800-53-enhancement - title: Use of Writable and Portable Storage Devices - props: - - name: label - value: AC-19(1) - - name: status - value: Withdrawn - - name: sort-id - value: AC-19(01) - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.2 - class: SP800-53-enhancement - title: Use of Personally Owned Portable Storage Devices - props: - - name: label - value: AC-19(2) - - name: status - value: Withdrawn - - name: sort-id - value: AC-19(02) - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.3 - class: SP800-53-enhancement - title: Use of Portable Storage Devices with No Identifiable Owner - props: - - name: label - value: AC-19(3) - - name: status - value: Withdrawn - - name: sort-id - value: AC-19(03) - links: - - href: "#mp-7" - rel: incorporated-into - - id: ac-19.4 - class: SP800-53-enhancement - title: Restrictions for Classified Information - params: - - id: ac-19.4_prm_1 - label: organization-defined security officials - - id: ac-19.4_prm_2 - label: organization-defined security policies - props: - - name: label - value: AC-19(4) - - name: sort-id - value: AC-19(04) - links: - - href: "#cm-8" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: ac-19.4_smt - name: statement - parts: - - id: ac-19.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Prohibit the use of unclassified mobile devices in facilities - containing systems processing, storing, or transmitting classified - information unless specifically permitted by the authorizing - official; and - - id: ac-19.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Enforce the following restrictions on individuals permitted\ - \ by the authorizing official to use unclassified mobile devices\ - \ in facilities containing systems processing, storing, or\ - \ transmitting classified information:" - parts: - - id: ac-19.4_smt.b.1 - name: item - props: - - name: label - value: (1) - prose: Connection of unclassified mobile devices to classified - systems is prohibited; - - id: ac-19.4_smt.b.2 - name: item - props: - - name: label - value: (2) - prose: Connection of unclassified mobile devices to unclassified - systems requires approval from the authorizing official; - - id: ac-19.4_smt.b.3 - name: item - props: - - name: label - value: (3) - prose: Use of internal or external modems or wireless interfaces - within the unclassified mobile devices is prohibited; - and - - id: ac-19.4_smt.b.4 - name: item - props: - - name: label - value: (4) - prose: "Unclassified mobile devices and the information\ - \ stored on those devices are subject to random reviews\ - \ and inspections by {{ insert: param, ac-19.4_prm_1 }},\ - \ and if classified information is found, the incident\ - \ handling policy is followed." - - id: ac-19.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Restrict the connection of classified mobile devices\ - \ to classified systems in accordance with {{ insert: param,\ - \ ac-19.4_prm_2 }}." - - id: ac-19.4_gdn - name: guidance - prose: None. - - id: ac-19.5 - class: SP800-53-enhancement - title: Full Device and Container-based Encryption - params: - - id: ac-19.5_prm_1 - select: - choice: - - full-device encryption - - container-based encryption - - id: ac-19.5_prm_2 - label: organization-defined mobile devices - props: - - name: label - value: AC-19(5) - - name: sort-id - value: AC-19(05) - links: - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: ac-19.5_smt - name: statement - prose: "Employ {{ insert: param, ac-19.5_prm_1 }} to protect the\ - \ confidentiality and integrity of information on {{ insert: param,\ - \ ac-19.5_prm_2 }}." - - id: ac-19.5_gdn - name: guidance - prose: Container-based encryption provides a more fine-grained approach - to data and information encryption on mobile devices, including - encrypting selected data structures such as files, records, or - fields. - - id: ac-20 - class: SP800-53 - title: Use of External Systems - params: - - id: ac-20_prm_1 - select: - how-many: one-or-more - choice: - - " {{ insert: param, ac-20_prm_2 }} " - - " {{ insert: param, ac-20_prm_3 }} " - - id: ac-20_prm_2 - depends-on: ac-20_prm_1 - label: organization-defined terms and conditions - - id: ac-20_prm_3 - depends-on: ac-20_prm_1 - label: organization-defined controls asserted to be implemented on external - systems - props: - - name: label - value: AC-20 - - name: sort-id - value: AC-20 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a" - rel: reference - - href: "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: ac-20_smt - name: statement - prose: "Establish {{ insert: param, ac-20_prm_1 }}, consistent with\ - \ the trust relationships established with other organizations owning,\ - \ operating, and/or maintaining external systems, allowing authorized\ - \ individuals to:" - parts: - - id: ac-20_smt.a - name: item - props: - - name: label - value: a. - prose: Access the system from external systems; and - - id: ac-20_smt.b - name: item - props: - - name: label - value: b. - prose: Process, store, or transmit organization-controlled information - using external systems. - - id: ac-20_gdn - name: guidance - prose: "External systems are systems that are used by, but not a part\ - \ of, organizational systems and for which the organization has no\ - \ direct control over the implementation of required security and\ - \ privacy controls or the assessment of control effectiveness. External\ - \ systems include personally owned systems, components, or devices;\ - \ privately owned computing and communications devices in commercial\ - \ or public facilities; systems owned or controlled by nonfederal\ - \ organizations; systems managed by contractors; and federal information\ - \ systems that are not owned by, operated by, or under the direct\ - \ supervision and authority of the organization. External systems\ - \ also include systems owned or operated by other components within\ - \ the same organization, and systems within the organization with\ - \ different authorization boundaries. For some external systems (i.e.,\ - \ systems operated by other organizations), the trust relationships\ - \ that have been established between those organizations and the originating\ - \ organization may be such, that no explicit terms and conditions\ - \ are required. Systems within these organizations may not be considered\ - \ external. These situations occur when, for example, there are pre-existing\ - \ information exchange agreements (either implicit or explicit) established\ - \ between organizations or components, or when such agreements are\ - \ specified by applicable laws, executive orders, directives, regulations,\ - \ policies, or standards. Authorized individuals include organizational\ - \ personnel, contractors, or other individuals with authorized access\ - \ to organizational systems and over which organizations have the\ - \ authority to impose specific rules of behavior regarding system\ - \ access. Restrictions that organizations impose on authorized individuals\ - \ need not be uniform, as the restrictions may vary depending on trust\ - \ relationships between organizations. Therefore, organizations may\ - \ choose to impose different security restrictions on contractors\ - \ than on state, local, or tribal governments. This control does not\ - \ apply to external systems used to access public interfaces to organizational\ - \ systems. Organizations establish specific terms and conditions for\ - \ the use of external systems in accordance with organizational security\ - \ policies and procedures. Terms and conditions address as a minimum:\ - \ the specific types of applications that can be accessed on organizational\ - \ systems from external systems; and the highest security category\ - \ of information that can be processed, stored, or transmitted on\ - \ external systems. If the terms and conditions with the owners of\ - \ the external systems cannot be established, organizations may impose\ - \ restrictions on organizational personnel using those external systems." - controls: - - id: ac-20.1 - class: SP800-53-enhancement - title: Limits on Authorized Use - props: - - name: label - value: AC-20(1) - - name: sort-id - value: AC-20(01) - links: - - href: "#ca-2" - rel: related - parts: - - id: ac-20.1_smt - name: statement - prose: "Permit authorized individuals to use an external system\ - \ to access the system or to process, store, or transmit organization-controlled\ - \ information only after:" - parts: - - id: ac-20.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Verification of the implementation of controls on the - external system as specified in the organization’s security - and privacy policies and security and privacy plans; or - - id: ac-20.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Retention of approved system connection or processing - agreements with the organizational entity hosting the external - system. - - id: ac-20.1_gdn - name: guidance - prose: Limits on authorized use recognizes the circumstances where - individuals using external systems may need to access organizational - systems. Organizations need assurance that the external systems - contain the necessary controls so as not to compromise, damage, - or otherwise harm organizational systems. Verification that the - required controls have been implemented can be achieved by external, - independent assessments, attestations, or other means, depending - on the confidence level required by organizations. - - id: ac-20.2 - class: SP800-53-enhancement - title: Portable Storage Devices — Restricted Use - params: - - id: ac-20.2_prm_1 - label: organization-defined restrictions - props: - - name: label - value: AC-20(2) - - name: sort-id - value: AC-20(02) - links: - - href: "#mp-7" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: ac-20.2_smt - name: statement - prose: "Restrict the use of organization-controlled portable storage\ - \ devices by authorized individuals on external systems using\ - \ {{ insert: param, ac-20.2_prm_1 }}." - - id: ac-20.2_gdn - name: guidance - prose: Limits on the use of organization-controlled portable storage - devices in external systems include restrictions on how the devices - may be used and under what conditions the devices may be used. - - id: ac-20.3 - class: SP800-53-enhancement - title: Non-organizationally Owned Systems — Restricted Use - params: - - id: ac-20.3_prm_1 - label: organization-defined restrictions - props: - - name: label - value: AC-20(3) - - name: sort-id - value: AC-20(03) - parts: - - id: ac-20.3_smt - name: statement - prose: "Restrict the use of non-organizationally owned systems or\ - \ system components to process, store, or transmit organizational\ - \ information using {{ insert: param, ac-20.3_prm_1 }}." - - id: ac-20.3_gdn - name: guidance - prose: Non-organizationally owned systems or system components include - systems or system components owned by other organizations and - personally owned devices. There are potential risks to using non-organizationally - owned systems or system components. In some cases, the risk is - sufficiently high as to prohibit such use (see AC-20(6)). In other - cases, the use of such systems or system components may be allowed - but restricted in some way. Restrictions include requiring the - implementation of approved controls prior to authorizing connection - of non-organizationally owned systems and components; limiting - access to types of information, services, or applications; using - virtualization techniques to limit processing and storage activities - to servers or system components provisioned by the organization; - and agreeing to the terms and conditions for usage. Organizations - consult with the Office of the General Counsel regarding legal - issues associated with using personally owned devices, including - requirements for conducting forensic analyses during investigations - after an incident. - - id: ac-20.4 - class: SP800-53-enhancement - title: Network Accessible Storage Devices - params: - - id: ac-20.4_prm_1 - label: organization-defined network accessible storage devices - props: - - name: label - value: AC-20(4) - - name: sort-id - value: AC-20(04) - parts: - - id: ac-20.4_smt - name: statement - prose: "Prohibit the use of {{ insert: param, ac-20.4_prm_1 }} in\ - \ external systems." - - id: ac-20.4_gdn - name: guidance - prose: Network accessible storage devices in external systems include - online storage devices in public, hybrid, or community cloud-based - systems. - - id: ac-20.5 - class: SP800-53-enhancement - title: Portable Storage Devices — Prohibited Use - props: - - name: label - value: AC-20(5) - - name: sort-id - value: AC-20(05) - links: - - href: "#mp-7" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: ac-20.5_smt - name: statement - prose: Prohibit the use of organization-controlled portable storage - devices by authorized individuals on external systems. - - id: ac-20.5_gdn - name: guidance - prose: Limits on the use of organization-controlled portable storage - devices in external systems include a complete prohibition of - the use of such devices. - - id: ac-20.6 - class: SP800-53-enhancement - title: Non-organizationally Owned Systems — Prohibited Use - props: - - name: label - value: AC-20(6) - - name: sort-id - value: AC-20(06) - parts: - - id: ac-20.6_smt - name: statement - prose: Prohibit the use of non-organizationally owned systems or - system components to process, store, or transmit organizational - information. - - id: ac-20.6_gdn - name: guidance - prose: Non-organizationally owned systems or system components include - systems or system components owned by other organizations and - personally owned devices. There are potential risks to using non-organizationally - owned systems or system components. In some cases, the risk is - sufficiently high as to prohibit such use. In other cases, the - use of such systems or system components may be allowed but restricted - in some way (see AC-20(4)). - - id: ac-21 - class: SP800-53 - title: Information Sharing - params: - - id: ac-21_prm_1 - label: organization-defined information sharing circumstances where - user discretion is required - - id: ac-21_prm_2 - label: organization-defined automated mechanisms or manual processes - props: - - name: label - value: AC-21 - - name: sort-id - value: AC-21 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ad3e8f21-07c6-4968-b002-00b64dfa70ae" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#sc-15" - rel: related - parts: - - id: ac-21_smt - name: statement - parts: - - id: ac-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Enable authorized users to determine whether access authorizations\ - \ assigned to a sharing partner match the information’s access\ - \ and use restrictions for {{ insert: param, ac-21_prm_1 }}; and" - - id: ac-21_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ {{ insert: param, ac-21_prm_2 }} to assist users\ - \ in making information sharing and collaboration decisions." - - id: ac-21_gdn - name: guidance - prose: Information sharing applies to information that may be restricted - in some manner based on some formal or administrative determination. - Examples of such information include, contract-sensitive information, - classified information related to special access programs or compartments, - privileged information, proprietary information, and personally identifiable - information. Security and privacy risk assessments as well as applicable - laws, regulations, and policies can provide useful inputs to these - determinations. Depending on the circumstances, sharing partners may - be defined at the individual, group, or organizational level. Information - may be defined by content, type, security category, or special access - program or compartment. Access restrictions may include non-disclosure - agreements (NDA). - controls: - - id: ac-21.1 - class: SP800-53-enhancement - title: Automated Decision Support - params: - - id: ac-21.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: AC-21(1) - - name: sort-id - value: AC-21(01) - parts: - - id: ac-21.1_smt - name: statement - prose: "Employ {{ insert: param, ac-21.1_prm_1 }} to enforce information-sharing\ - \ decisions by authorized users based on access authorizations\ - \ of sharing partners and access restrictions on information to\ - \ be shared." - - id: ac-21.1_gdn - name: guidance - prose: Automated mechanisms are used to enforce information sharing - decisions. - - id: ac-21.2 - class: SP800-53-enhancement - title: Information Search and Retrieval - params: - - id: ac-21.2_prm_1 - label: organization-defined information sharing restrictions - props: - - name: label - value: AC-21(2) - - name: sort-id - value: AC-21(02) - parts: - - id: ac-21.2_smt - name: statement - prose: "Implement information search and retrieval services that\ - \ enforce {{ insert: param, ac-21.2_prm_1 }}." - - id: ac-21.2_gdn - name: guidance - prose: Information search and retrieval services identify information - system resources relevant to an information need. - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - params: - - id: ac-22_prm_1 - label: organization-defined frequency - props: - - name: label - value: AC-22 - - name: sort-id - value: AC-22 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#ac-3" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#au-13" - rel: related - parts: - - id: ac-22_smt - name: statement - parts: - - id: ac-22_smt.a - name: item - props: - - name: label - value: a. - prose: Designate individuals authorized to make information publicly - accessible; - - id: ac-22_smt.b - name: item - props: - - name: label - value: b. - prose: Train authorized individuals to ensure that publicly accessible - information does not contain nonpublic information; - - id: ac-22_smt.c - name: item - props: - - name: label - value: c. - prose: Review the proposed content of information prior to posting - onto the publicly accessible system to ensure that nonpublic information - is not included; and - - id: ac-22_smt.d - name: item - props: - - name: label - value: d. - prose: "Review the content on the publicly accessible system for\ - \ nonpublic information {{ insert: param, ac-22_prm_1 }} and remove\ - \ such information, if discovered." - - id: ac-22_gdn - name: guidance - prose: In accordance with applicable laws, executive orders, directives, - policies, regulations, standards, and guidelines, the public is not - authorized to have access to nonpublic information, including information - protected under the [PRIVACT] and proprietary information. This control - addresses systems that are controlled by the organization and accessible - to the public, typically without identification or authentication. - Posting information on non-organizational systems (e.g., non-organizational - public websites, forums, and social media) is covered by organizational - policy. While organizations may have individuals who are responsible - for developing and implementing policies about the information that - can be made publicly accessible, this control addresses the management - of the individuals who make such information publicly accessible. - - id: ac-23 - class: SP800-53 - title: Data Mining Protection - params: - - id: ac-23_prm_1 - label: organization-defined data mining prevention and detection techniques - - id: ac-23_prm_2 - label: organization-defined data storage objects - props: - - name: label - value: AC-23 - - name: sort-id - value: AC-23 - links: - - href: "#2b5e12fb-633f-49e6-8aff-81d75bf53545" - rel: reference - - href: "#pm-12" - rel: related - - href: "#pt-2" - rel: related - parts: - - id: ac-23_smt - name: statement - prose: "Employ {{ insert: param, ac-23_prm_1 }} for {{ insert: param,\ - \ ac-23_prm_2 }} to detect and protect against unauthorized data mining." - - id: ac-23_gdn - name: guidance - prose: Data mining is an analytical process that attempts to find correlations - or patterns in large data sets for the purpose of data or knowledge - discovery. Data storage objects include database records and database - fields. Sensitive information can be extracted from data mining operations. - When information is personally identifiable information, it may lead - to unanticipated revelations about individuals and give rise to privacy - risks. Prior to performing data mining activities, organizations determine - whether such activities are authorized. Organizations may be subject - to applicable laws, executive orders, directives, regulations, or - policies that address data mining requirements. Organizational personnel - consult with the senior agency official for privacy and legal counsel - regarding such requirements. Data mining prevention and detection - techniques include limiting the number and the frequency of database - queries to increase the work factor needed to determine the contents - of such databases; limiting types of responses provided to database - queries; applying differential privacy techniques or homomorphic encryption; - and notifying personnel when atypical database queries or accesses - occur. Data mining protection focuses on protecting information from - data mining while such information resides in organizational data - stores. In contrast, AU-13 focuses on monitoring for organizational - information that may have been mined or otherwise obtained from data - stores and is available as open source information residing on external - sites, for example, through social networking or social media websites. - [EO 13587] requires the establishment of an insider threat program - for deterring, detecting, and mitigating insider threats, including - the safeguarding of sensitive information from exploitation, compromise, - or other unauthorized disclosure. This control requires organizations - to identify appropriate techniques to prevent and detect unnecessary - or unauthorized data mining, which can be used by an insider to collect - organizational information for the purpose of exfiltration. - - id: ac-24 - class: SP800-53 - title: Access Control Decisions - params: - - id: ac-24_prm_1 - select: - choice: - - Establish procedures - - Implement mechanisms - - id: ac-24_prm_2 - label: organization-defined access control decisions - props: - - name: label - value: AC-24 - - name: sort-id - value: AC-24 - links: - - href: "#359f960c-2598-454c-ba3b-a30c553e498f" - rel: reference - - href: "#223b23a9-baea-4a50-8058-63cf7967b61f" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - parts: - - id: ac-24_smt - name: statement - prose: "{{ insert: param, ac-24_prm_1 }} to ensure {{ insert: param,\ - \ ac-24_prm_2 }} are applied to each access request prior to access\ - \ enforcement." - - id: ac-24_gdn - name: guidance - prose: Access control decisions (also known as authorization decisions) - occur when authorization information is applied to specific accesses. - In contrast, access enforcement occurs when systems enforce access - control decisions. While it is very common to have access control - decisions and access enforcement implemented by the same entity, it - is not required, and it is not always an optimal implementation choice. - For some architectures and distributed systems, different entities - may perform access control decisions and access enforcement. - controls: - - id: ac-24.1 - class: SP800-53-enhancement - title: Transmit Access Authorization Information - params: - - id: ac-24.1_prm_1 - label: organization-defined access authorization information - - id: ac-24.1_prm_2 - label: organization-defined controls - - id: ac-24.1_prm_3 - label: organization-defined systems - props: - - name: label - value: AC-24(1) - - name: sort-id - value: AC-24(01) - links: - - href: "#au-10" - rel: related - parts: - - id: ac-24.1_smt - name: statement - prose: "Transmit {{ insert: param, ac-24.1_prm_1 }} using {{ insert:\ - \ param, ac-24.1_prm_2 }} to {{ insert: param, ac-24.1_prm_3 }}\ - \ that enforce access control decisions." - - id: ac-24.1_gdn - name: guidance - prose: Authorization processes and access control decisions may - occur in separate parts of systems or in separate systems. In - such instances, authorization information is transmitted securely - (e.g., using cryptographic mechanisms) so timely access control - decisions can be enforced at the appropriate locations. To support - the access control decisions, it may be necessary to transmit - as part of the access authorization information, supporting security - and privacy attributes. This is because in distributed systems, - there are various access control decisions that need to be made - and different entities make these decisions in a serial fashion, - each requiring those attributes to make the decisions. Protecting - access authorization information ensures that such information - cannot be altered, spoofed, or compromised during transmission. - - id: ac-24.2 - class: SP800-53-enhancement - title: No User or Process Identity - params: - - id: ac-24.2_prm_1 - label: organization-defined security or privacy attributes - props: - - name: label - value: AC-24(2) - - name: sort-id - value: AC-24(02) - parts: - - id: ac-24.2_smt - name: statement - prose: "Enforce access control decisions based on {{ insert: param,\ - \ ac-24.2_prm_1 }} that do not include the identity of the user\ - \ or process acting on behalf of the user." - - id: ac-24.2_gdn - name: guidance - prose: In certain situations, it is important that access control - decisions can be made without information regarding the identity - of the users issuing the requests. These are generally instances - where preserving individual privacy is of paramount importance. - In other situations, user identification information is simply - not needed for access control decisions and, especially in the - case of distributed systems, transmitting such information with - the needed degree of assurance may be very expensive or difficult - to accomplish. MAC, RBAC, ABAC, and label-based control policies, - for example, might not include user identity as an attribute. - - id: ac-25 - class: SP800-53 - title: Reference Monitor - params: - - id: ac-25_prm_1 - label: organization-defined access control policies - props: - - name: label - value: AC-25 - - name: sort-id - value: AC-25 - links: - - href: "#ac-3" - rel: related - - href: "#ac-16" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-13" - rel: related - parts: - - id: ac-25_smt - name: statement - prose: "Implement a reference monitor for {{ insert: param, ac-25_prm_1\ - \ }} that is tamperproof, always invoked, and small enough to be subject\ - \ to analysis and testing, the completeness of which can be assured." - - id: ac-25_gdn - name: guidance - prose: A reference monitor is a set of design requirements on a reference - validation mechanism that as key component of an operating system, - enforces an access control policy over all subjects and objects. A - reference validation mechanism is always invoked (i.e., complete mediation); - tamperproof; and small enough to be subject to analysis and tests, - the completeness of which can be assured (i.e., verifiable). Information - is represented internally within systems using abstractions known - as data structures. Internal data structures can represent different - types of entities, both active and passive. Active entities, also - known as subjects, are associated with individuals, devices, or processes - acting on behalf of individuals. Passive entities, also known as objects, - are associated with data structures such as records, buffers, communications - ports, tables, files, and inter-process pipes. Reference monitors - enforce access control policies that restrict access to objects based - on the identity of subjects or groups to which the subjects belong. - The system enforces the access control policy based on the rule set - established by the policy. The tamperproof property of the reference - monitor prevents determined adversaries from compromising the functioning - of the mechanism. The always invoked property prevents adversaries - from bypassing the mechanism and hence violating the security policy. - The smallness property helps to ensure the completeness in the analysis - and testing of the mechanism to detect any weaknesses or deficiencies - (i.e., latent flaws) that would prevent the enforcement of the security - policy. - - id: at - class: family - title: Awareness and Training - controls: - - id: at-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: at-1_prm_1 - label: organization-defined personnel or roles - - id: at-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: at-1_prm_3 - label: organization-defined official - - id: at-1_prm_4 - label: organization-defined frequency - - id: at-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: AT-1 - - name: sort-id - value: AT-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: at-1_smt - name: statement - parts: - - id: at-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ at-1_prm_1 }}:" - parts: - - id: at-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, at-1_prm_2 }} awareness and training\ - \ policy that:" - parts: - - id: at-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: at-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: at-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the awareness - and training policy and the associated awareness and training - controls; - - id: at-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, at-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the awareness\ - \ and training policy and procedures; and" - - id: at-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current awareness and training:" - parts: - - id: at-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, at-1_prm_4 }}; and" - - id: at-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, at-1_prm_5 }}." - - id: at-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the AT family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: at-2 - class: SP800-53 - title: Awareness Training - params: - - id: at-2_prm_1 - label: organization-defined frequency - - id: at-2_prm_2 - label: organization-defined frequency - props: - - name: label - value: AT-2 - - name: sort-id - value: AT-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-22" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-13" - rel: related - - href: "#pm-21" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-16" - rel: related - parts: - - id: at-2_smt - name: statement - parts: - - id: at-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide security and privacy awareness training to system\ - \ users (including managers, senior executives, and contractors):" - parts: - - id: at-2_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "As part of initial training for new users and {{ insert:\ - \ param, at-2_prm_1 }} thereafter; and" - - id: at-2_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: When required by system changes; and - - id: at-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Update awareness training {{ insert: param, at-2_prm_2 }}." - - id: at-2_gdn - name: guidance - prose: Organizations provide foundational and advanced levels of awareness - training to system users, including measures to test the knowledge - level of users. Organizations determine the content of awareness training - based on specific organizational requirements, the systems to which - personnel have authorized access, and work environments (e.g., telework). - The content includes an understanding of the need for security and - privacy and actions by users to maintain security and personal privacy - and to respond to suspected incidents. The content addresses the need - for operations security and the handling of personally identifiable - information. Awareness techniques include displaying posters, offering - supplies inscribed with security and privacy reminders, displaying - logon screen messages, generating email advisories or notices from - organizational officials, and conducting awareness events. Awareness - training after the initial training described in AT-2a.1, is conducted - at a minimum frequency consistent with applicable laws, directives, - regulations, and policies. Subsequent awareness training may be satisfied - by one or more short ad hoc sessions and include topical information - on recent attack schemes; changes to organizational security and privacy - policies; revised security and privacy expectations; or a subset of - topics from the initial training. Updating awareness training on a - regular basis helps to ensure the content remains relevant and effective. - controls: - - id: at-2.1 - class: SP800-53-enhancement - title: Practical Exercises - props: - - name: label - value: AT-2(1) - - name: sort-id - value: AT-02(01) - links: - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-3" - rel: related - parts: - - id: at-2.1_smt - name: statement - prose: Provide practical exercises in awareness training that simulate - events and incidents. - - id: at-2.1_gdn - name: guidance - prose: Practical exercises include no-notice social engineering - attempts to collect information, gain unauthorized access, or - simulate the adverse impact of opening malicious email attachments; - or invoking, via spear phishing attacks, malicious web links. - - id: at-2.2 - class: SP800-53-enhancement - title: Insider Threat - props: - - name: label - value: AT-2(2) - - name: sort-id - value: AT-02(02) - links: - - href: "#pm-12" - rel: related - parts: - - id: at-2.2_smt - name: statement - prose: Provide awareness training on recognizing and reporting potential - indicators of insider threat. - - id: at-2.2_gdn - name: guidance - prose: Potential indicators and possible precursors of insider threat - can include behaviors such as inordinate, long-term job dissatisfaction; - attempts to gain access to information not required for job performance; - unexplained access to financial resources; bullying or sexual - harassment of fellow employees; workplace violence; and other - serious violations of policies, procedures, directives, regulations, - rules, or practices. Awareness training includes how to communicate - concerns of employees and management regarding potential indicators - of insider threat through channels established by the organization - and in accordance with established policies and procedures. Organizations - may consider tailoring insider threat awareness topics to the - role. For example, training for managers may be focused on changes - in behavior of team members, while training for employees may - be focused on more general observations. - - id: at-2.3 - class: SP800-53-enhancement - title: Social Engineering and Mining - props: - - name: label - value: AT-2(3) - - name: sort-id - value: AT-02(03) - parts: - - id: at-2.3_smt - name: statement - prose: Provide awareness training on recognizing and reporting potential - and actual instances of social engineering and social mining. - - id: at-2.3_gdn - name: guidance - prose: Social engineering is an attempt to trick an individual into - revealing information or taking an action that can be used to - breach, compromise, or otherwise adversely impact a system. Social - engineering includes phishing, pretexting, impersonation, baiting, - quid pro quo, thread-jacking, social media exploitation, and tailgating. - Social mining is an attempt to gather information about the organization - that may be used to support future attacks. Awareness training - includes information on how to communicate the concerns of employees - and management regarding potential and actual instances of social - engineering and data mining through organizational channels based - on established policies and procedures. - - id: at-2.4 - class: SP800-53-enhancement - title: Suspicious Communications and Anomalous System Behavior - params: - - id: at-2.4_prm_1 - label: organization-defined indicators of malicious code - props: - - name: label - value: AT-2(4) - - name: sort-id - value: AT-02(04) - parts: - - id: at-2.4_smt - name: statement - prose: "Provide awareness training on recognizing suspicious communications\ - \ and anomalous behavior in organizational systems using {{ insert:\ - \ param, at-2.4_prm_1 }}." - - id: at-2.4_gdn - name: guidance - prose: A well-trained workforce provides another organizational - control that can be employed as part of a defense-in-depth strategy - to protect organizations against malicious code coming into organizations - via email or the web applications. Personnel are trained to look - for indications of potentially suspicious email (e.g., receiving - an unexpected email, receiving an email containing strange or - poor grammar, or receiving an email from an unfamiliar sender - but who appears to be from a known sponsor or contractor). Personnel - are also trained on how to respond to suspicious email or web - communications. For this process to work effectively, personnel - are trained and made aware of what constitutes suspicious communications. - Training personnel on how to recognize anomalous behaviors in - systems can provide organizations with early warning for the presence - of malicious code. Recognition of anomalous behavior by organizational - personnel can supplement malicious code detection and protection - tools and systems employed by organizations. - - id: at-2.5 - class: SP800-53-enhancement - title: Breach - props: - - name: label - value: AT-2(5) - - name: sort-id - value: AT-02(05) - links: - - href: "#ir-1" - rel: related - - href: "#ir-2" - rel: related - parts: - - id: at-2.5_smt - name: statement - prose: Provide awareness training on how to identify and respond - to a breach, including the organization’s process for reporting - a breach. - - id: at-2.5_gdn - name: guidance - prose: A breach is a type of incident that involves personally identifiable - information. A breach results in the loss of control, compromise, - unauthorized disclosure, unauthorized acquisition, or a similar - occurrence where a person other than an authorized user accesses - or potentially accesses personally identifiable information or - an authorized user accesses or potentially accesses such information - for other than authorized purposes. The awareness training emphasizes - the obligation of individuals to report both confirmed and suspected - breaches involving information in any medium or form, including - paper, oral, and electronic. Awareness training includes tabletop - exercises that simulate a breach. - - id: at-2.6 - class: SP800-53-enhancement - title: Advanced Persistent Threat - props: - - name: label - value: AT-2(6) - - name: sort-id - value: AT-02(06) - parts: - - id: at-2.6_smt - name: statement - prose: Provide awareness training on the advanced persistent threat. - - id: at-2.6_gdn - name: guidance - prose: An effective way to detect advanced persistent threats (APT) - and to preclude success attacks is to provide specific awareness - training for individuals. Threat awareness training includes educating - individuals on the various ways APTs can infiltrate into the organization - (e.g., through websites, emails, advertisement pop-ups, articles, - and social engineering). Effective training includes techniques - for recognizing suspicious emails, use of removable systems in - non-secure settings, and the potential targeting of individuals - at home. - - id: at-2.7 - class: SP800-53-enhancement - title: Cyber Threat Environment - props: - - name: label - value: AT-2(7) - - name: sort-id - value: AT-02(07) - links: - - href: "#ra-3" - rel: related - parts: - - id: at-2.7_smt - name: statement - parts: - - id: at-2.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Provide awareness training on the cyber threat environment; - and - - id: at-2.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Reflect current cyber threat information in system operations. - - id: at-2.7_gdn - name: guidance - prose: Since threats continue to change over time, the threat awareness - training by the organization is dynamic. Moreover, threat awareness - training is not performed in isolation from the system operations - that support organizational missions and business functions. - - id: at-2.8 - class: SP800-53-enhancement - title: Training Feedback - params: - - id: at-2.8_prm_1 - label: organization-defined frequency - - id: at-2.8_prm_2 - label: organization-defined personnel - props: - - name: label - value: AT-2(8) - - name: sort-id - value: AT-02(08) - parts: - - id: at-2.8_smt - name: statement - prose: "Provide feedback on organizational training results to the\ - \ following personnel {{ insert: param, at-2.8_prm_1 }}: {{ insert:\ - \ param, at-2.8_prm_2 }}." - - id: at-2.8_gdn - name: guidance - prose: Training feedback includes awareness training results and - role-based training results. Training results, especially failures - of personnel in critical roles, can be indicative of a potentially - serious problem. Therefore, it is important that senior managers - are made aware of such situations so that they can take appropriate - response actions. Training feedback supports the assessment and - update of organization training described in AT-2b. - - id: at-3 - class: SP800-53 - title: Role-based Training - params: - - id: at-3_prm_1 - label: organization-defined roles and responsibilities - - id: at-3_prm_2 - label: organization-defined frequency - - id: at-3_prm_3 - label: organization-defined frequency - props: - - name: label - value: AT-3 - - name: sort-id - value: AT-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-22" - rel: related - - href: "#at-2" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#ir-10" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-13" - rel: related - - href: "#pm-23" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-16" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: at-3_smt - name: statement - parts: - - id: at-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide role-based security and privacy training to personnel\ - \ with the following roles and responsibilities: {{ insert: param,\ - \ at-3_prm_1 }}:" - parts: - - id: at-3_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "Before authorizing access to the system, information,\ - \ or performing assigned duties, and {{ insert: param, at-3_prm_2\ - \ }} thereafter; and" - - id: at-3_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: When required by system changes; and - - id: at-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Update role-based training {{ insert: param, at-3_prm_3\ - \ }}." - - id: at-3_gdn - name: guidance - prose: Organizations determine the content of training based on the - assigned roles and responsibilities of individuals and the security - and privacy requirements of organizations and the systems to which - personnel have authorized access, including technical training specifically - tailored for assigned duties. Roles that may require role-based training - include system owners; authorizing officials; system security officers; - privacy officers; acquisition and procurement officials; enterprise - architects; systems engineers; system and software developers; system, - network, and database administrators; personnel conducting configuration - management activities; personnel performing verification and validation - activities; auditors; personnel having access to system-level software; - control assessors; personnel with contingency planning and incident - response duties; personnel with privacy management responsibilities; - and personnel having access to personally identifiable information. - Comprehensive role-based training addresses management, operational, - and technical roles and responsibilities covering physical, personnel, - and technical controls. Role-based training also includes policies, - procedures, tools, methods, and artifacts for the security and privacy - roles defined. Organizations provide the training necessary for individuals - to fulfill their responsibilities related to operations and supply - chain security within the context of organizational security and privacy - programs. Role-based training also applies to contractors providing - services to federal agencies. Types of training include web-based - and computer-based training, classroom-style training, and hands-on - training (including micro-training). Updating role-based training - on a regular basis helps to ensure the content remains relevant and - effective. - controls: - - id: at-3.1 - class: SP800-53-enhancement - title: Environmental Controls - params: - - id: at-3.1_prm_1 - label: organization-defined personnel or roles - - id: at-3.1_prm_2 - label: organization-defined frequency - props: - - name: label - value: AT-3(1) - - name: sort-id - value: AT-03(01) - links: - - href: "#pe-1" - rel: related - - href: "#pe-11" - rel: related - - href: "#pe-13" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-15" - rel: related - parts: - - id: at-3.1_smt - name: statement - prose: "Provide {{ insert: param, at-3.1_prm_1 }} with initial and\ - \ {{ insert: param, at-3.1_prm_2 }} training in the employment\ - \ and operation of environmental controls." - - id: at-3.1_gdn - name: guidance - prose: Environmental controls include fire suppression and detection - devices or systems, sprinkler systems, handheld fire extinguishers, - fixed fire hoses, smoke detectors, temperature or humidity, heating, - ventilation, and air conditioning, and power within the facility. - - id: at-3.2 - class: SP800-53-enhancement - title: Physical Security Controls - params: - - id: at-3.2_prm_1 - label: organization-defined personnel or roles - - id: at-3.2_prm_2 - label: organization-defined frequency - props: - - name: label - value: AT-3(2) - - name: sort-id - value: AT-03(02) - links: - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - parts: - - id: at-3.2_smt - name: statement - prose: "Provide {{ insert: param, at-3.2_prm_1 }} with initial and\ - \ {{ insert: param, at-3.2_prm_2 }} training in the employment\ - \ and operation of physical security controls." - - id: at-3.2_gdn - name: guidance - prose: Physical security controls include physical access control - devices, physical intrusion and detection alarms, operating procedures - for facility security guards, and monitoring or surveillance equipment. - - id: at-3.3 - class: SP800-53-enhancement - title: Practical Exercises - props: - - name: label - value: AT-3(3) - - name: sort-id - value: AT-03(03) - parts: - - id: at-3.3_smt - name: statement - prose: Provide practical exercises in security and privacy training - that reinforce training objectives. - - id: at-3.3_gdn - name: guidance - prose: Practical exercises for security include training for software - developers that addresses simulated attacks exploiting common - software vulnerabilities or spear or whale phishing attacks targeted - at senior leaders or executives. Practical exercises for privacy - include modules with quizzes on handling personally identifiable - information in various scenarios, or scenarios on conducting privacy - impact assessments. - - id: at-3.4 - class: SP800-53-enhancement - title: Suspicious Communications and Anomalous System Behavior - props: - - name: label - value: AT-3(4) - - name: status - value: Withdrawn - - name: sort-id - value: AT-03(04) - links: - - href: "#at-2.4" - rel: moved-to - - id: at-3.5 - class: SP800-53-enhancement - title: Accessing Personally Identifiable Information - params: - - id: at-3.5_prm_1 - label: organization-defined personnel or roles - - id: at-3.5_prm_2 - label: organization-defined frequency - props: - - name: label - value: AT-3(5) - - name: sort-id - value: AT-03(05) - parts: - - id: at-3.5_smt - name: statement - prose: "Provide {{ insert: param, at-3.5_prm_1 }} with initial and\ - \ {{ insert: param, at-3.5_prm_2 }} training on:" - parts: - - id: at-3.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Organizational authority for collecting personally identifiable - information; - - id: at-3.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Authorized uses of personally identifiable information; - - id: at-3.5_smt.c - name: item - props: - - name: label - value: (c) - prose: Identifying, reporting, and responding to a suspected - or confirmed breach; - - id: at-3.5_smt.d - name: item - props: - - name: label - value: (d) - prose: Content of system of records notices, computer matching - agreements, and privacy impact assessments; - - id: at-3.5_smt.e - name: item - props: - - name: label - value: (e) - prose: Authorized sharing of personally identifiable information - with external parties; and - - id: at-3.5_smt.f - name: item - props: - - name: label - value: (f) - prose: Rules of behavior and the consequences for unauthorized - collection, use, or sharing of personally identifiable information. - - id: at-3.5_gdn - name: guidance - prose: Role-based training addresses the responsibility of individuals - when accessing personally identifiable information; the organization’s - established rules of behavior when accessing personally identifiable - information; the consequences for violating the rules of behavior; - and how to respond to a breach. Role-based training helps ensure - personnel comply with applicable privacy requirements and is necessary - to manage privacy risks. - - id: at-4 - class: SP800-53 - title: Training Records - params: - - id: at-4_prm_1 - label: organization-defined time-period - props: - - name: label - value: AT-4 - - name: sort-id - value: AT-04 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - - href: "#pm-14" - rel: related - - href: "#si-12" - rel: related - parts: - - id: at-4_smt - name: statement - parts: - - id: at-4_smt.a - name: item - props: - - name: label - value: a. - prose: Document and monitor information security and privacy training - activities, including security and privacy awareness training - and specific role-based security and privacy training; and - - id: at-4_smt.b - name: item - props: - - name: label - value: b. - prose: "Retain individual training records for {{ insert: param,\ - \ at-4_prm_1 }}." - - id: at-4_gdn - name: guidance - prose: Documentation for specialized training may be maintained by individual - supervisors at the discretion of the organization. The National Archives - and Records Administration provides guidance on records retention - for federal agencies. - - id: at-5 - class: SP800-53 - title: Contacts with Security Groups and Associations - props: - - name: label - value: AT-5 - - name: status - value: Withdrawn - - name: sort-id - value: AT-05 - links: - - href: "#pm-15" - rel: incorporated-into - - id: au - class: family - title: Audit and Accountability - controls: - - id: au-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: au-1_prm_1 - label: organization-defined personnel or roles - - id: au-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: au-1_prm_3 - label: organization-defined official - - id: au-1_prm_4 - label: organization-defined frequency - - id: au-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: AU-1 - - name: sort-id - value: AU-01 - links: - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-1_smt - name: statement - parts: - - id: au-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ au-1_prm_1 }}:" - parts: - - id: au-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, au-1_prm_2 }} audit and accountability\ - \ policy that:" - parts: - - id: au-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: au-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: au-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the audit - and accountability policy and the associated audit and accountability - controls; - - id: au-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, au-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the audit and\ - \ accountability policy and procedures; and" - - id: au-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current audit and accountability:" - parts: - - id: au-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, au-1_prm_4 }}; and" - - id: au-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, au-1_prm_5 }}." - - id: au-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the AU family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: au-2 - class: SP800-53 - title: Event Logging - params: - - id: au-2_prm_1 - label: organization-defined event types that the system is capable of - logging - - id: au-2_prm_2 - label: organization-defined event types (subset of the event types defined - in AU-2 a.) along with the frequency of (or situation requiring) logging - for each identified event type - - id: au-2_prm_3 - label: organization-defined frequency - props: - - name: label - value: AU-2 - - name: sort-id - value: AU-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#02d8ec60-6197-43f8-9f47-18732127963e" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-16" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-13" - rel: related - - href: "#ia-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pm-21" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - - href: "#si-11" - rel: related - parts: - - id: au-2_smt - name: statement - parts: - - id: au-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify the types of events that the system is capable\ - \ of logging in support of the audit function: {{ insert: param,\ - \ au-2_prm_1 }};" - - id: au-2_smt.b - name: item - props: - - name: label - value: b. - prose: Coordinate the event logging function with other organizational - entities requiring audit-related information to guide and inform - the selection criteria for events to be logged; - - id: au-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Specify the following event types for logging within the\ - \ system: {{ insert: param, au-2_prm_2 }};" - - id: au-2_smt.d - name: item - props: - - name: label - value: d. - prose: Provide a rationale for why the event types selected for - logging are deemed to be adequate to support after-the-fact investigations - of incidents; and - - id: au-2_smt.e - name: item - props: - - name: label - value: e. - prose: "Review and update the event types selected for logging {{\ - \ insert: param, au-2_prm_3 }}." - - id: au-2_gdn - name: guidance - prose: An event is an observable occurrence in a system. The types of - events that require logging are those events that are significant - and relevant to the security of systems and the privacy of individuals. - Event logging also supports specific monitoring and auditing needs. - Event types include password changes; failed logons or failed accesses - related to systems; security or privacy attribute changes; administrative - privilege usage; PIV credential usage; data action changes; query - parameters; or external credential usage. In determining the set of - event types that require logging, organizations consider the monitoring - and auditing appropriate for each of the controls to be implemented. - For completeness, event logging includes all protocols that are operational - and supported by the system. To balance monitoring and auditing requirements - with other system needs, this control also requires identifying the - subset of event types that are logged at a given point in time. For - example, organizations may determine that systems need the capability - to log every file access successful and unsuccessful, but not activate - that capability except for specific circumstances due to the potential - burden on system performance. The types of events that organizations - desire to be logged may change. Reviewing and updating the set of - logged events is necessary to help ensure that the events remain relevant - and continue to support the needs of the organization. Organizations - consider how the types of logging events can reveal information about - individuals that may give rise to privacy risk and how best to mitigate - such risks. For example, there is the potential for personally identifiable - information in the audit trail especially if the logging event is - based on patterns or time of usage. Event logging requirements, including - the need to log specific event types, may be referenced in other controls - and control enhancements. These include AC-2(4), AC-3(10), AC-6(9), - AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), - PE-3, PM-21, PT-8, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), - and SI-10(1). Organizations include event types that are required - by applicable laws, executive orders, directives, policies, regulations, - standards, and guidelines. Audit records can be generated at various - levels, including at the packet level as information traverses the - network. Selecting the appropriate level of event logging is an important - part of a monitoring and auditing capability and can identify the - root causes of problems. Organizations consider in the definition - of event types, the logging necessary to cover related event types - such as the steps in distributed, transaction-based processes and - the actions that occur in service-oriented architectures. - controls: - - id: au-2.1 - class: SP800-53-enhancement - title: Compilation of Audit Records from Multiple Sources - props: - - name: label - value: AU-2(1) - - name: status - value: Withdrawn - - name: sort-id - value: AU-02(01) - links: - - href: "#au-12" - rel: incorporated-into - - id: au-2.2 - class: SP800-53-enhancement - title: Selection of Audit Events by Component - props: - - name: label - value: AU-2(2) - - name: status - value: Withdrawn - - name: sort-id - value: AU-02(02) - links: - - href: "#au-12" - rel: incorporated-into - - id: au-2.3 - class: SP800-53-enhancement - title: Reviews and Updates - props: - - name: label - value: AU-2(3) - - name: status - value: Withdrawn - - name: sort-id - value: AU-02(03) - links: - - href: "#au-2" - rel: incorporated-into - - id: au-2.4 - class: SP800-53-enhancement - title: Privileged Functions - props: - - name: label - value: AU-2(4) - - name: status - value: Withdrawn - - name: sort-id - value: AU-02(04) - links: - - href: "#ac-6.9" - rel: incorporated-into - - id: au-3 - class: SP800-53 - title: Content of Audit Records - props: - - name: label - value: AU-3 - - name: sort-id - value: AU-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-8" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#ma-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-7" - rel: related - - href: "#si-11" - rel: related - parts: - - id: au-3_smt - name: statement - prose: "Ensure that audit records contain information that establishes\ - \ the following:" - parts: - - id: au-3_smt.a - name: item - props: - - name: label - value: a. - prose: What type of event occurred; - - id: au-3_smt.b - name: item - props: - - name: label - value: b. - prose: When the event occurred; - - id: au-3_smt.c - name: item - props: - - name: label - value: c. - prose: Where the event occurred; - - id: au-3_smt.d - name: item - props: - - name: label - value: d. - prose: Source of the event; - - id: au-3_smt.e - name: item - props: - - name: label - value: e. - prose: Outcome of the event; and - - id: au-3_smt.f - name: item - props: - - name: label - value: f. - prose: Identity of any individuals, subjects, or objects/entities - associated with the event. - - id: au-3_gdn - name: guidance - prose: Audit record content that may be necessary to support the auditing - function includes, but is not limited to, event descriptions (item - a), time stamps (item b), source and destination addresses (item c), - user or process identifiers (items d and f), success or fail indications - (item e), and filenames involved (items a, c, e, and f) . Event outcomes - include indicators of event success or failure and event-specific - results, such as the system security and privacy posture after the - event occurred. Organizations consider how audit records can reveal - information about individuals that may give rise to privacy risk and - how best to mitigate such risks. For example, there is the potential - for personally identifiable information in the audit trail especially - if the trail records inputs or is based on patterns or time of usage. - controls: - - id: au-3.1 - class: SP800-53-enhancement - title: Additional Audit Information - params: - - id: au-3.1_prm_1 - label: organization-defined additional information - props: - - name: label - value: AU-3(1) - - name: sort-id - value: AU-03(01) - parts: - - id: au-3.1_smt - name: statement - prose: "Generate audit records containing the following additional\ - \ information: {{ insert: param, au-3.1_prm_1 }}." - - id: au-3.1_gdn - name: guidance - prose: The ability to add information generated in audit records - is dependent on system functionality to configure the audit record - content. Organizations may consider additional information in - audit records including, but not limited to, access control or - flow control rules invoked and individual identities of group - account users. Organizations may also consider limiting additional - audit record information to only information explicitly needed - for audit requirements. This facilitates the use of audit trails - and audit logs by not including information in audit records that - could potentially be misleading or that could make it more difficult - to locate information of interest. - - id: au-3.2 - class: SP800-53-enhancement - title: Centralized Management of Planned Audit Record Content - params: - - id: au-3.2_prm_1 - label: organization-defined system components - props: - - name: label - value: AU-3(2) - - name: sort-id - value: AU-03(02) - links: - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - parts: - - id: au-3.2_smt - name: statement - prose: "Provide centralized management and configuration of the\ - \ content to be captured in audit records generated by {{ insert:\ - \ param, au-3.2_prm_1 }}." - - id: au-3.2_gdn - name: guidance - prose: Centralized management of planned audit record content requires - that the content to be captured in audit records be configured - from a central location (necessitating an automated capability). - Organizations coordinate the selection of the required audit record - content to support the centralized management and configuration - capability provided by the system. - - id: au-3.3 - class: SP800-53-enhancement - title: Limit Personally Identifiable Information Elements - params: - - id: au-3.3_prm_1 - label: organization-defined elements - props: - - name: label - value: AU-3(3) - - name: sort-id - value: AU-03(03) - links: - - href: "#ra-3" - rel: related - parts: - - id: au-3.3_smt - name: statement - prose: "Limit personally identifiable information contained in audit\ - \ records to the following elements identified in the privacy\ - \ risk assessment: {{ insert: param, au-3.3_prm_1 }}." - - id: au-3.3_gdn - name: guidance - prose: Limiting personally identifiable information in audit records - when such information is not needed for operational purposes helps - reduce the level of privacy risk created by a system. - - id: au-4 - class: SP800-53 - title: Audit Log Storage Capacity - params: - - id: au-4_prm_1 - label: organization-defined audit log retention requirements - props: - - name: label - value: AU-4 - - name: sort-id - value: AU-04 - links: - - href: "#au-2" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-4_smt - name: statement - prose: "Allocate audit log storage capacity to accommodate {{ insert:\ - \ param, au-4_prm_1 }}." - - id: au-4_gdn - name: guidance - prose: Organizations consider the types of audit logging to be performed - and the audit log processing requirements when allocating audit log - storage capacity. Allocating sufficient audit log storage capacity - reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of audit logging capability. - controls: - - id: au-4.1 - class: SP800-53-enhancement - title: Transfer to Alternate Storage - params: - - id: au-4.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: AU-4(1) - - name: sort-id - value: AU-04(01) - parts: - - id: au-4.1_smt - name: statement - prose: "Transfer audit logs {{ insert: param, au-4.1_prm_1 }} to\ - \ a different system, system component, or media other than the\ - \ system or system component conducting the logging." - - id: au-4.1_gdn - name: guidance - prose: Audit log transfer, also known as off-loading, is a common - process in systems with limited audit log storage capacity and - thus supports availability of the audit logs. The initial audit - log storage is used only in a transitory fashion until the system - can communicate with the secondary or alternate system allocated - to audit log storage, at which point the audit logs are transferred. - This control enhancement is similar to AU-9(2) in that audit logs - are transferred to a different entity. However, the primary purpose - of selecting AU-9(2) is to protect the confidentiality and integrity - of audit records. Organizations can select either control enhancement - to obtain the dual benefit of increased audit log storage capacity - and preserving the confidentiality, integrity, and availability - of audit records and logs. - - id: au-5 - class: SP800-53 - title: Response to Audit Logging Process Failures - params: - - id: au-5_prm_1 - label: organization-defined personnel or roles - - id: au-5_prm_2 - label: organization-defined time-period - - id: au-5_prm_3 - label: organization-defined additional actions - props: - - name: label - value: AU-5 - - name: sort-id - value: AU-05 - links: - - href: "#au-2" - rel: related - - href: "#au-4" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-5_smt - name: statement - parts: - - id: au-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Alert {{ insert: param, au-5_prm_1 }} within {{ insert:\ - \ param, au-5_prm_2 }} in the event of an audit logging process\ - \ failure; and" - - id: au-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Take the following additional actions: {{ insert: param,\ - \ au-5_prm_3 }}." - - id: au-5_gdn - name: guidance - prose: Audit logging process failures include, for example, software - and hardware errors; reaching or exceeding audit log storage capacity; - and failures in audit log capturing mechanisms. Organization-defined - actions include overwriting oldest audit records; shutting down the - system; and stopping the generation of audit records. Organizations - may choose to define additional actions for audit logging process - failures based on the type of failure, the location of the failure, - the severity of the failure, or a combination of such factors. When - the audit logging process failure is related to storage, the response - is carried out for the audit log storage repository (i.e., the distinct - system component where the audit logs are stored); the system on which - the audit logs reside; the total audit log storage capacity of the - organization (i.e., all audit log storage repositories combined), - or all three. Organizations may decide to take no additional actions - after alerting designated roles or personnel. - controls: - - id: au-5.1 - class: SP800-53-enhancement - title: Storage Capacity Warning - params: - - id: au-5.1_prm_1 - label: organization-defined personnel, roles, and/or locations - - id: au-5.1_prm_2 - label: organization-defined time-period - - id: au-5.1_prm_3 - label: organization-defined percentage - props: - - name: label - value: AU-5(1) - - name: sort-id - value: AU-05(01) - parts: - - id: au-5.1_smt - name: statement - prose: "Provide a warning to {{ insert: param, au-5.1_prm_1 }} within\ - \ {{ insert: param, au-5.1_prm_2 }} when allocated audit log storage\ - \ volume reaches {{ insert: param, au-5.1_prm_3 }} of repository\ - \ maximum audit log storage capacity." - - id: au-5.1_gdn - name: guidance - prose: Organizations may have multiple audit log storage repositories - distributed across multiple system components, with each repository - having different storage volume capacities. - - id: au-5.2 - class: SP800-53-enhancement - title: Real-time Alerts - params: - - id: au-5.2_prm_1 - label: organization-defined real-time-period - - id: au-5.2_prm_2 - label: organization-defined personnel, roles, and/or locations - - id: au-5.2_prm_3 - label: organization-defined audit logging failure events requiring - real-time alerts - props: - - name: label - value: AU-5(2) - - name: sort-id - value: AU-05(02) - parts: - - id: au-5.2_smt - name: statement - prose: "Provide an alert within {{ insert: param, au-5.2_prm_1 }}\ - \ to {{ insert: param, au-5.2_prm_2 }} when the following audit\ - \ failure events occur: {{ insert: param, au-5.2_prm_3 }}." - - id: au-5.2_gdn - name: guidance - prose: Alerts provide organizations with urgent messages. Real-time - alerts provide these messages at information technology speed - (i.e., the time from event detection to alert occurs in seconds - or less). - - id: au-5.3 - class: SP800-53-enhancement - title: Configurable Traffic Volume Thresholds - params: - - id: au-5.3_prm_1 - select: - choice: - - reject - - delay - props: - - name: label - value: AU-5(3) - - name: sort-id - value: AU-05(03) - parts: - - id: au-5.3_smt - name: statement - prose: "Enforce configurable network communications traffic volume\ - \ thresholds reflecting limits on audit log storage capacity and\ - \ {{ insert: param, au-5.3_prm_1 }} network traffic above those\ - \ thresholds." - - id: au-5.3_gdn - name: guidance - prose: Organizations have the capability to reject or delay the - processing of network communications traffic if audit logging - information about such traffic is determined to exceed the storage - capacity of the system audit logging function. The rejection or - delay response is triggered by the established organizational - traffic volume thresholds that can be adjusted based on changes - to audit log storage capacity. - - id: au-5.4 - class: SP800-53-enhancement - title: Shutdown on Failure - params: - - id: au-5.4_prm_1 - select: - choice: - - full system shutdown - - partial system shutdown - - degraded operational mode with limited mission or business - functionality available - - id: au-5.4_prm_2 - label: organization-defined audit logging failures - props: - - name: label - value: AU-5(4) - - name: sort-id - value: AU-05(04) - links: - - href: "#au-15" - rel: related - parts: - - id: au-5.4_smt - name: statement - prose: "Invoke a {{ insert: param, au-5.4_prm_1 }} in the event\ - \ of {{ insert: param, au-5.4_prm_2 }}, unless an alternate audit\ - \ logging capability exists." - - id: au-5.4_gdn - name: guidance - prose: Organizations determine the types of audit logging failures - that can trigger automatic system shutdowns or degraded operations. - Because of the importance of ensuring mission and business continuity, - organizations may determine that the nature of the audit logging - failure is not so severe that it warrants a complete shutdown - of the system supporting the core organizational missions and - business operations. In those instances, partial system shutdowns - or operating in a degraded mode with reduced capability may be - viable alternatives. - - id: au-5.5 - class: SP800-53-enhancement - title: Alternate Audit Logging Capability - params: - - id: au-5.5_prm_1 - label: organization-defined alternate audit logging functionality - props: - - name: label - value: AU-5(5) - - name: sort-id - value: AU-05(05) - links: - - href: "#au-9" - rel: related - parts: - - id: au-5.5_smt - name: statement - prose: "Provide an alternate audit logging capability in the event\ - \ of a failure in primary audit logging capability that implements\ - \ {{ insert: param, au-5.5_prm_1 }}." - - id: au-5.5_gdn - name: guidance - prose: Since an alternate audit logging capability may be a short-term - protection solution employed until the failure in the primary - audit logging capability is corrected, organizations may determine - that the alternate audit logging capability need only provide - a subset of the primary audit logging functionality that is impacted - by the failure. - - id: au-6 - class: SP800-53 - title: Audit Record Review, Analysis, and Reporting - params: - - id: au-6_prm_1 - label: organization-defined frequency - - id: au-6_prm_2 - label: organization-defined inappropriate or unusual activity - - id: au-6_prm_3 - label: organization-defined personnel or roles - props: - - name: label - value: AU-6 - - name: sort-id - value: AU-06 - links: - - href: "#35dfd59f-eef2-4f71-bdb5-6d878267456a" - rel: reference - - href: "#1e2c475a-84ae-4c60-b420-8fb2ea552b71" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-7" - rel: related - - href: "#au-16" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: au-6_smt - name: statement - parts: - - id: au-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Review and analyze system audit records {{ insert: param,\ - \ au-6_prm_1 }} for indications of {{ insert: param, au-6_prm_2\ - \ }};" - - id: au-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Report findings to {{ insert: param, au-6_prm_3 }}; and" - - id: au-6_smt.c - name: item - props: - - name: label - value: c. - prose: Adjust the level of audit record review, analysis, and reporting - within the system when there is a change in risk based on law - enforcement information, intelligence information, or other credible - sources of information. - - id: au-6_gdn - name: guidance - prose: Audit record review, analysis, and reporting covers information - security- and privacy-related logging performed by organizations, - including logging that results from monitoring of account usage, remote - access, wireless connectivity, mobile device connection, configuration - settings, system component inventory, use of maintenance tools and - nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at system boundaries, and use - of mobile code or VoIP. Findings can be reported to organizational - entities that include the incident response team, help desk, and security - or privacy offices. If organizations are prohibited from reviewing - and analyzing audit records or unable to conduct such activities, - the review or analysis may be carried out by other organizations granted - such authority. The frequency, scope, and/or depth of the audit record - review, analysis, and reporting may be adjusted to meet organizational - needs based on new information received. - controls: - - id: au-6.1 - class: SP800-53-enhancement - title: Automated Process Integration - params: - - id: au-6.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: AU-6(1) - - name: sort-id - value: AU-06(01) - links: - - href: "#pm-7" - rel: related - parts: - - id: au-6.1_smt - name: statement - prose: "Integrate audit record review, analysis, and reporting processes\ - \ using {{ insert: param, au-6.1_prm_1 }}." - - id: au-6.1_gdn - name: guidance - prose: Organizational processes benefiting from integrated audit - record review, analysis, and reporting include incident response, - continuous monitoring, contingency planning, investigation and - response to suspicious activities, and Inspector General audits. - - id: au-6.2 - class: SP800-53-enhancement - title: Automated Security Alerts - props: - - name: label - value: AU-6(2) - - name: status - value: Withdrawn - - name: sort-id - value: AU-06(02) - links: - - href: "#si-4" - rel: incorporated-into - - id: au-6.3 - class: SP800-53-enhancement - title: Correlate Audit Record Repositories - props: - - name: label - value: AU-6(3) - - name: sort-id - value: AU-06(03) - links: - - href: "#au-12" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: au-6.3_smt - name: statement - prose: Analyze and correlate audit records across different repositories - to gain organization-wide situational awareness. - - id: au-6.3_gdn - name: guidance - prose: Organization-wide situational awareness includes awareness - across all three levels of risk management (i.e., organizational - level, mission/business process level, and information system - level) and supports cross-organization awareness. - - id: au-6.4 - class: SP800-53-enhancement - title: Central Review and Analysis - props: - - name: label - value: AU-6(4) - - name: sort-id - value: AU-06(04) - links: - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-6.4_smt - name: statement - prose: Provide and implement the capability to centrally review - and analyze audit records from multiple components within the - system. - - id: au-6.4_gdn - name: guidance - prose: Automated mechanisms for centralized reviews and analyses - include Security Information and Event Management products. - - id: au-6.5 - class: SP800-53-enhancement - title: Integrated Analysis of Audit Records - params: - - id: au-6.5_prm_1 - select: - how-many: one-or-more - choice: - - vulnerability scanning information - - performance data - - system monitoring information - - " {{ insert: param, au-6.5_prm_2 }} " - - id: au-6.5_prm_2 - depends-on: au-6.5_prm_1 - label: organization-defined data/information collected from other - sources - props: - - name: label - value: AU-6(5) - - name: sort-id - value: AU-06(05) - links: - - href: "#au-12" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: au-6.5_smt - name: statement - prose: "Integrate analysis of audit records with analysis of {{\ - \ insert: param, au-6.5_prm_1 }} to further enhance the ability\ - \ to identify inappropriate or unusual activity." - - id: au-6.5_gdn - name: guidance - prose: Integrated analysis of audit records does not require vulnerability - scanning, the generation of performance data, or system monitoring. - Rather, integrated analysis requires that the analysis of information - generated by scanning, monitoring, or other data collection activities - is integrated with the analysis of audit record information. Security - Information and Event Management tools can facilitate audit record - aggregation or consolidation from multiple system components as - well as audit record correlation and analysis. The use of standardized - audit record analysis scripts developed by organizations (with - localized script adjustments, as necessary) provides more cost-effective - approaches for analyzing audit record information collected. The - correlation of audit record information with vulnerability scanning - information is important in determining the veracity of vulnerability - scans of the system and in correlating attack detection events - with scanning results. Correlation with performance data can uncover - denial of service attacks or other types of attacks resulting - in unauthorized use of resources. Correlation with system monitoring - information can assist in uncovering attacks and in better relating - audit information to operational situations. - - id: au-6.6 - class: SP800-53-enhancement - title: Correlation with Physical Monitoring - props: - - name: label - value: AU-6(6) - - name: sort-id - value: AU-06(06) - parts: - - id: au-6.6_smt - name: statement - prose: Correlate information from audit records with information - obtained from monitoring physical access to further enhance the - ability to identify suspicious, inappropriate, unusual, or malevolent - activity. - - id: au-6.6_gdn - name: guidance - prose: The correlation of physical audit record information and - the audit records from systems may assist organizations in identifying - suspicious behavior or supporting evidence of such behavior. For - example, the correlation of an individual’s identity for logical - access to certain systems with the additional physical security - information that the individual was present at the facility when - the logical access occurred, may be useful in investigations. - - id: au-6.7 - class: SP800-53-enhancement - title: Permitted Actions - params: - - id: au-6.7_prm_1 - select: - how-many: one-or-more - choice: - - system process - - role - - user - props: - - name: label - value: AU-6(7) - - name: sort-id - value: AU-06(07) - parts: - - id: au-6.7_smt - name: statement - prose: "Specify the permitted actions for each {{ insert: param,\ - \ au-6.7_prm_1 }} associated with the review, analysis, and reporting\ - \ of audit record information." - - id: au-6.7_gdn - name: guidance - prose: Organizations specify permitted actions for system processes, - roles, and users associated with the review, analysis, and reporting - of audit records through system account management activities. - Specifying permitted actions on audit record information is a - way to enforce the principle of least privilege. Permitted actions - are enforced by the system and include read, write, execute, append, - and delete. - - id: au-6.8 - class: SP800-53-enhancement - title: Full Text Analysis of Privileged Commands - props: - - name: label - value: AU-6(8) - - name: sort-id - value: AU-06(08) - links: - - href: "#au-3" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-6.8_smt - name: statement - prose: Perform a full text analysis of logged privileged commands - in a physically distinct component or subsystem of the system, - or other system that is dedicated to that analysis. - - id: au-6.8_gdn - name: guidance - prose: Full text analysis of privileged commands requires a distinct - environment for the analysis of audit record information related - to privileged users without compromising such information on the - system where the users have elevated privileges, including the - capability to execute privileged commands. Full text analysis - refers to analysis that considers the full text of privileged - commands (i.e., commands and parameters) as opposed to analysis - that considers only the name of the command. Full text analysis - includes the use of pattern matching and heuristics. - - id: au-6.9 - class: SP800-53-enhancement - title: Correlation with Information from Nontechnical Sources - props: - - name: label - value: AU-6(9) - - name: sort-id - value: AU-06(09) - links: - - href: "#pm-12" - rel: related - parts: - - id: au-6.9_smt - name: statement - prose: Correlate information from nontechnical sources with audit - record information to enhance organization-wide situational awareness. - - id: au-6.9_gdn - name: guidance - prose: Nontechnical sources include records documenting organizational - policy violations related to sexual harassment incidents and the - improper use of information assets. Such information can lead - to a directed analytical effort to detect potential malicious - insider activity. Organizations limit access to information that - is available from nontechnical sources due to its sensitive nature. - Limited access minimizes the potential for inadvertent release - of privacy-related information to individuals that do not have - a need to know. Thus, the correlation of information from nontechnical - sources with audit record information generally occurs only when - individuals are suspected of being involved in an incident. Organizations - obtain legal advice prior to initiating such actions. - - id: au-6.10 - class: SP800-53-enhancement - title: Audit Level Adjustment - props: - - name: label - value: AU-6(10) - - name: status - value: Withdrawn - - name: sort-id - value: AU-06(10) - links: - - href: "#au-6" - rel: incorporated-into - - id: au-7 - class: SP800-53 - title: Audit Record Reduction and Report Generation - props: - - name: label - value: AU-7 - - name: sort-id - value: AU-07 - links: - - href: "#ac-2" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - - href: "#au-16" - rel: related - - href: "#cm-5" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-7_smt - name: statement - prose: "Provide and implement an audit record reduction and report generation\ - \ capability that:" - parts: - - id: au-7_smt.a - name: item - props: - - name: label - value: a. - prose: Supports on-demand audit record review, analysis, and reporting - requirements and after-the-fact investigations of incidents; and - - id: au-7_smt.b - name: item - props: - - name: label - value: b. - prose: Does not alter the original content or time ordering of audit - records. - - id: au-7_gdn - name: guidance - prose: Audit record reduction is a process that manipulates collected - audit log information and organizes such information in a summary - format that is more meaningful to analysts. Audit record reduction - and report generation capabilities do not always emanate from the - same system or from the same organizational entities conducting audit - logging activities. The audit record reduction capability includes - modern data mining techniques with advanced data filters to identify - anomalous behavior in audit records. The report generation capability - provided by the system can generate customizable reports. Time ordering - of audit records can be an issue if the granularity of the timestamp - in the record is insufficient. - controls: - - id: au-7.1 - class: SP800-53-enhancement - title: Automatic Processing - params: - - id: au-7.1_prm_1 - label: organization-defined fields within audit records - props: - - name: label - value: AU-7(1) - - name: sort-id - value: AU-07(01) - parts: - - id: au-7.1_smt - name: statement - prose: "Provide and implement the capability to process, sort, and\ - \ search audit records for events of interest based on the following\ - \ content: {{ insert: param, au-7.1_prm_1 }}." - - id: au-7.1_gdn - name: guidance - prose: Events of interest can be identified by the content of audit - records including system resources involved, information objects - accessed, identities of individuals, event types, event locations, - event dates and times, Internet Protocol addresses involved, or - event success or failure. Organizations may define event criteria - to any degree of granularity required, for example, locations - selectable by a general networking location or by specific system - component. - - id: au-7.2 - class: SP800-53-enhancement - title: Automatic Sort and Search - props: - - name: label - value: AU-7(2) - - name: status - value: Withdrawn - - name: sort-id - value: AU-07(02) - links: - - href: "#au-7.1" - rel: incorporated-into - - id: au-8 - class: SP800-53 - title: Time Stamps - params: - - id: au-8_prm_1 - label: organization-defined granularity of time measurement - props: - - name: label - value: AU-8 - - name: sort-id - value: AU-08 - links: - - href: "#17ca9481-ea11-4ef2-81c1-885fd37d4be5" - rel: reference - - href: "#au-3" - rel: related - - href: "#au-12" - rel: related - - href: "#au-14" - rel: related - - href: "#sc-45" - rel: related - parts: - - id: au-8_smt - name: statement - parts: - - id: au-8_smt.a - name: item - props: - - name: label - value: a. - prose: Use internal system clocks to generate time stamps for audit - records; and - - id: au-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Record time stamps for audit records that meet {{ insert:\ - \ param, au-8_prm_1 }} and that use Coordinated Universal Time,\ - \ have a fixed local time offset from Coordinated Universal Time,\ - \ or that include the local time offset as part of the time stamp." - - id: au-8_gdn - name: guidance - prose: Time stamps generated by the system include date and time. Time - is commonly expressed in Coordinated Universal Time (UTC), a modern - continuation of Greenwich Mean Time (GMT), or local time with an offset - from UTC. Granularity of time measurements refers to the degree of - synchronization between system clocks and reference clocks, for example, - clocks synchronizing within hundreds of milliseconds or tens of milliseconds. - Organizations may define different time granularities for different - system components. Time service can be critical to other security - capabilities such as access control and identification and authentication, - depending on the nature of the mechanisms used to support those capabilities. - controls: - - id: au-8.1 - class: SP800-53-enhancement - title: Synchronization with Authoritative Time Source - params: - - id: au-8.1_prm_1 - label: organization-defined frequency - - id: au-8.1_prm_2 - label: organization-defined authoritative time source - - id: au-8.1_prm_3 - label: organization-defined time-period - props: - - name: label - value: AU-8(1) - - name: sort-id - value: AU-08(01) - parts: - - id: au-8.1_smt - name: statement - parts: - - id: au-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Compare the internal system clocks {{ insert: param,\ - \ au-8.1_prm_1 }} with {{ insert: param, au-8.1_prm_2 }};\ - \ and" - - id: au-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Synchronize the internal system clocks to the authoritative\ - \ time source when the time difference is greater than {{\ - \ insert: param, au-8.1_prm_3 }}." - - id: au-8.1_gdn - name: guidance - prose: Synchronization of internal system clocks with an authoritative - source provides uniformity of time stamps for systems with multiple - system clocks and systems connected over a network. - - id: au-8.2 - class: SP800-53-enhancement - title: Secondary Authoritative Time Source - props: - - name: label - value: AU-8(2) - - name: sort-id - value: AU-08(02) - parts: - - id: au-8.2_smt - name: statement - parts: - - id: au-8.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Identify a secondary authoritative time source that is - in a different geographic region than the primary authoritative - time source; and - - id: au-8.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Synchronize the internal system clocks to the secondary - authoritative time source if the primary authoritative time - source is unavailable. - - id: au-8.2_gdn - name: guidance - prose: It may be necessary to employ geolocation information to - determine that the secondary authoritative time source is in a - different geographic region. - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - props: - - name: label - value: AU-9 - - name: sort-id - value: AU-09 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#au-6" - rel: related - - href: "#au-11" - rel: related - - href: "#au-14" - rel: related - - href: "#au-15" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-8" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-9_smt - name: statement - prose: Protect audit information and audit logging tools from unauthorized - access, modification, and deletion. - - id: au-9_gdn - name: guidance - prose: Audit information includes all information, for example, audit - records, audit log settings, audit reports, and personally identifiable - information, needed to successfully audit system activity. Audit logging - tools are those programs and devices used to conduct system audit - and logging activities. Protection of audit information focuses on - technical protection and limits the ability to access and execute - audit logging tools to authorized individuals. Physical protection - of audit information is addressed by both media protection controls - and physical and environmental protection controls. - controls: - - id: au-9.1 - class: SP800-53-enhancement - title: Hardware Write-once Media - props: - - name: label - value: AU-9(1) - - name: sort-id - value: AU-09(01) - links: - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - parts: - - id: au-9.1_smt - name: statement - prose: Write audit trails to hardware-enforced, write-once media. - - id: au-9.1_gdn - name: guidance - prose: Writing audit trails to hardware-enforced, write-once media - applies to the initial generation of audit trails (i.e., the collection - of audit records that represents the information to be used for - detection, analysis, and reporting purposes) and to the backup - of those audit trails. Writing audit trails to hardware-enforced, - write-once media does not apply to the initial generation of audit - records prior to being written to an audit trail. Write-once, - read-many (WORM) media includes Compact Disk-Recordable (CD-R) - and Digital Versatile Disk-Recordable (DVD-R). In contrast, the - use of switchable write-protection media such as on tape cartridges - or Universal Serial Bus (USB) drives results in write-protected, - but not write-once, media. - - id: au-9.2 - class: SP800-53-enhancement - title: Store on Separate Physical Systems or Components - params: - - id: au-9.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: AU-9(2) - - name: sort-id - value: AU-09(02) - links: - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - parts: - - id: au-9.2_smt - name: statement - prose: "Store audit records {{ insert: param, au-9.2_prm_1 }} in\ - \ a repository that is part of a physically different system or\ - \ system component than the system or component being audited." - - id: au-9.2_gdn - name: guidance - prose: Storing audit records in a repository separate from the audited - system or system component helps to ensure that a compromise of - the system being audited does not also result in a compromise - of the audit records. Storing audit records on separate physical - systems or components also preserves the confidentiality and integrity - of audit records and facilitates the management of audit records - as an organization-wide activity. Storing audit records on separate - systems or components applies to initial generation as well as - backup or long-term storage of audit records. - - id: au-9.3 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: AU-9(3) - - name: sort-id - value: AU-09(03) - links: - - href: "#au-10" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: au-9.3_smt - name: statement - prose: Implement cryptographic mechanisms to protect the integrity - of audit information and audit tools. - - id: au-9.3_gdn - name: guidance - prose: Cryptographic mechanisms used for protecting the integrity - of audit information include signed hash functions using asymmetric - cryptography. This enables the distribution of the public key - to verify the hash information while maintaining the confidentiality - of the secret key used to generate the hash. - - id: au-9.4 - class: SP800-53-enhancement - title: Access by Subset of Privileged Users - params: - - id: au-9.4_prm_1 - label: organization-defined subset of privileged users or roles - props: - - name: label - value: AU-9(4) - - name: sort-id - value: AU-09(04) - links: - - href: "#ac-5" - rel: related - parts: - - id: au-9.4_smt - name: statement - prose: "Authorize access to management of audit logging functionality\ - \ to only {{ insert: param, au-9.4_prm_1 }}." - - id: au-9.4_gdn - name: guidance - prose: Individuals or roles with privileged access to a system and - who are also the subject of an audit by that system, may affect - the reliability of the audit information by inhibiting audit activities - or modifying audit records. Requiring privileged access to be - further defined between audit-related privileges and other privileges, - limits the number of users or roles with audit-related privileges. - - id: au-9.5 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: au-9.5_prm_1 - select: - how-many: one-or-more - choice: - - movement - - deletion - - id: au-9.5_prm_2 - label: organization-defined audit information - props: - - name: label - value: AU-9(5) - - name: sort-id - value: AU-09(05) - links: - - href: "#ac-3" - rel: related - parts: - - id: au-9.5_smt - name: statement - prose: "Enforce dual authorization for {{ insert: param, au-9.5_prm_1\ - \ }} of {{ insert: param, au-9.5_prm_2 }}." - - id: au-9.5_gdn - name: guidance - prose: Organizations may choose different selection options for - different types of audit information. Dual authorization mechanisms - (also known as two-person control) require the approval of two - authorized individuals to execute audit functions. To reduce the - risk of collusion, organizations consider rotating dual authorization - duties to other individuals. Organizations do not require dual - authorization mechanisms when immediate responses are necessary - to ensure public and environmental safety. - - id: au-9.6 - class: SP800-53-enhancement - title: Read-only Access - params: - - id: au-9.6_prm_1 - label: organization-defined subset of privileged users or roles - props: - - name: label - value: AU-9(6) - - name: sort-id - value: AU-09(06) - parts: - - id: au-9.6_smt - name: statement - prose: "Authorize read-only access to audit information to {{ insert:\ - \ param, au-9.6_prm_1 }}." - - id: au-9.6_gdn - name: guidance - prose: Restricting privileged user or role authorizations to read-only - helps to limit the potential damage to organizations that could - be initiated by such users or roles, for example, deleting audit - records to cover up malicious activity. - - id: au-9.7 - class: SP800-53-enhancement - title: Store on Component with Different Operating System - props: - - name: label - value: AU-9(7) - - name: sort-id - value: AU-09(07) - parts: - - id: au-9.7_smt - name: statement - prose: Store audit information on a component running a different - operating system than the system or component being audited. - - id: au-9.7_gdn - name: guidance - prose: "Storing auditing information on a system component running\ - \ a different operating system reduces the risk of a vulnerability\ - \ specific to the system resulting in a compromise of the audit\ - \ records. Related controls: AU-4, AU-5, AU-11, SC-29." - - id: au-10 - class: SP800-53 - title: Non-repudiation - params: - - id: au-10_prm_1 - label: organization-defined actions to be covered by non-repudiation - props: - - name: label - value: AU-10 - - name: sort-id - value: AU-10 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#64e044e4-b2a9-490f-a079-1106407c812f" - rel: reference - - href: "#au-9" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-17" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: au-10_smt - name: statement - prose: "Provide irrefutable evidence that an individual (or process\ - \ acting on behalf of an individual) has performed {{ insert: param,\ - \ au-10_prm_1 }}." - - id: au-10_gdn - name: guidance - prose: Types of individual actions covered by non-repudiation include - creating information, sending and receiving messages, and approving - information. Non-repudiation protects against claims by authors of - not having authored certain documents; senders of not having transmitted - messages; receivers of not having received messages; and signatories - of not having signed documents. Non-repudiation services can be used - to determine if information originated from an individual, or if an - individual took specific actions (e.g., sending an email, signing - a contract, or approving a procurement request, or received specific - information). Organizations obtain non-repudiation services by employing - various techniques or mechanisms, including digital signatures and - digital message receipts. - controls: - - id: au-10.1 - class: SP800-53-enhancement - title: Association of Identities - params: - - id: au-10.1_prm_1 - label: organization-defined strength of binding - props: - - name: label - value: AU-10(1) - - name: sort-id - value: AU-10(01) - links: - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.1_smt - name: statement - parts: - - id: au-10.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Bind the identity of the information producer with the\ - \ information to {{ insert: param, au-10.1_prm_1 }}; and" - - id: au-10.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide the means for authorized individuals to determine - the identity of the producer of the information. - - id: au-10.1_gdn - name: guidance - prose: Binding identities to the information supports audit requirements - that provide organizational personnel with the means to identify - who produced specific information in the event of an information - transfer. Organizations determine and approve the strength of - attribute binding between the information producer and the information - based on the security category of the information and other relevant - risk factors. - - id: au-10.2 - class: SP800-53-enhancement - title: Validate Binding of Information Producer Identity - params: - - id: au-10.2_prm_1 - label: organization-defined frequency - - id: au-10.2_prm_2 - label: organization-defined actions - props: - - name: label - value: AU-10(2) - - name: sort-id - value: AU-10(02) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.2_smt - name: statement - parts: - - id: au-10.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Validate the binding of the information producer identity\ - \ to the information at {{ insert: param, au-10.2_prm_1 }};\ - \ and" - - id: au-10.2_smt.b - name: item - props: - - name: label - value: (b) - prose: "Perform {{ insert: param, au-10.2_prm_2 }} in the event\ - \ of a validation error." - - id: au-10.2_gdn - name: guidance - prose: Validating the binding of the information producer identity - to the information prevents the modification of information between - production and review. The validation of bindings can be achieved, - for example, using cryptographic checksums. Organizations determine - if validations are in response to user requests or generated automatically. - - id: au-10.3 - class: SP800-53-enhancement - title: Chain of Custody - props: - - name: label - value: AU-10(3) - - name: sort-id - value: AU-10(03) - links: - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.3_smt - name: statement - prose: Maintain reviewer or releaser identity and credentials within - the established chain of custody for information reviewed or released. - - id: au-10.3_gdn - name: guidance - prose: Chain of custody is a process that tracks the movement of - evidence through its collection, safeguarding, and analysis life - cycle by documenting each person who handled the evidence, the - date and time it was collected or transferred, and the purpose - for the transfer. If the reviewer is a human or if the review - function is automated but separate from the release or transfer - function, the system associates the identity of the reviewer of - the information to be released with the information and the information - label. In the case of human reviews, maintaining the identity - and credentials of reviewers or releasers provides organizational - officials the means to identify who reviewed and released the - information. In the case of automated reviews, it ensures that - only approved review functions are used. - - id: au-10.4 - class: SP800-53-enhancement - title: Validate Binding of Information Reviewer Identity - params: - - id: au-10.4_prm_1 - label: organization-defined security domains - - id: au-10.4_prm_2 - label: organization-defined actions - props: - - name: label - value: AU-10(4) - - name: sort-id - value: AU-10(04) - links: - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: au-10.4_smt - name: statement - parts: - - id: au-10.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Validate the binding of the information reviewer identity\ - \ to the information at the transfer or release points prior\ - \ to release or transfer between {{ insert: param, au-10.4_prm_1\ - \ }}; and" - - id: au-10.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Perform {{ insert: param, au-10.4_prm_2 }} in the event\ - \ of a validation error." - - id: au-10.4_gdn - name: guidance - prose: Validating the binding of the information reviewer identity - to the information at transfer or release points prevents the - unauthorized modification of information between review and the - transfer or release. The validation of bindings can be achieved - by using cryptographic checksums. Organizations determine if validations - are in response to user requests or generated automatically. - - id: au-10.5 - class: SP800-53-enhancement - title: Digital Signatures - props: - - name: label - value: AU-10(5) - - name: status - value: Withdrawn - - name: sort-id - value: AU-10(05) - links: - - href: "#si-7" - rel: incorporated-into - - id: au-11 - class: SP800-53 - title: Audit Record Retention - params: - - id: au-11_prm_1 - label: organization-defined time-period consistent with records retention - policy - props: - - name: label - value: AU-11 - - name: sort-id - value: AU-11 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-14" - rel: related - - href: "#mp-6" - rel: related - - href: "#ra-5" - rel: related - - href: "#si-12" - rel: related - parts: - - id: au-11_smt - name: statement - prose: "Retain audit records for {{ insert: param, au-11_prm_1 }} to\ - \ provide support for after-the-fact investigations of incidents and\ - \ to meet regulatory and organizational information retention requirements." - - id: au-11_gdn - name: guidance - prose: Organizations retain audit records until it is determined that - the records are no longer needed for administrative, legal, audit, - or other operational purposes. This includes the retention and availability - of audit records relative to Freedom of Information Act (FOIA) requests, - subpoenas, and law enforcement actions. Organizations develop standard - categories of audit records relative to such types of actions and - standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules - provide federal policy on record retention. - controls: - - id: au-11.1 - class: SP800-53-enhancement - title: Long-term Retrieval Capability - params: - - id: au-11.1_prm_1 - label: organization-defined measures - props: - - name: label - value: AU-11(1) - - name: sort-id - value: AU-11(01) - parts: - - id: au-11.1_smt - name: statement - prose: "Employ {{ insert: param, au-11.1_prm_1 }} to ensure that\ - \ long-term audit records generated by the system can be retrieved." - - id: au-11.1_gdn - name: guidance - prose: Organizations need to access and read audit records requiring - long-term storage (on the order of years). Measures employed to - help facilitate the retrieval of audit records include converting - records to newer formats, retaining equipment capable of reading - the records, and retaining necessary documentation to help personnel - understand how to interpret the records. - - id: au-12 - class: SP800-53 - title: Audit Record Generation - params: - - id: au-12_prm_1 - label: organization-defined system components - - id: au-12_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: AU-12 - - name: sort-id - value: AU-12 - links: - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-14" - rel: related - - href: "#cm-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-18" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - parts: - - id: au-12_smt - name: statement - parts: - - id: au-12_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide audit record generation capability for the event\ - \ types the system is capable of auditing as defined in AU-2a\ - \ on {{ insert: param, au-12_prm_1 }};" - - id: au-12_smt.b - name: item - props: - - name: label - value: b. - prose: "Allow {{ insert: param, au-12_prm_2 }} to select the event\ - \ types that are to be logged by specific components of the system;\ - \ and" - - id: au-12_smt.c - name: item - props: - - name: label - value: c. - prose: Generate audit records for the event types defined in AU-2c - that include the audit record content defined in AU-3. - - id: au-12_gdn - name: guidance - prose: Audit records can be generated from many different system components. - The event types specified in AU-2d are the event types for which audit - logs are to be generated and are a subset of all event types for which - the system can generate audit records. - controls: - - id: au-12.1 - class: SP800-53-enhancement - title: System-wide and Time-correlated Audit Trail - params: - - id: au-12.1_prm_1 - label: organization-defined system components - - id: au-12.1_prm_2 - label: organization-defined level of tolerance for the relationship - between time stamps of individual records in the audit trail - props: - - name: label - value: AU-12(1) - - name: sort-id - value: AU-12(01) - links: - - href: "#au-8" - rel: related - parts: - - id: au-12.1_smt - name: statement - prose: "Compile audit records from {{ insert: param, au-12.1_prm_1\ - \ }} into a system-wide (logical or physical) audit trail that\ - \ is time-correlated to within {{ insert: param, au-12.1_prm_2\ - \ }}." - - id: au-12.1_gdn - name: guidance - prose: Audit trails are time-correlated if the time stamps in the - individual audit records can be reliably related to the time stamps - in other audit records to achieve a time ordering of the records - within organizational tolerances. - - id: au-12.2 - class: SP800-53-enhancement - title: Standardized Formats - props: - - name: label - value: AU-12(2) - - name: sort-id - value: AU-12(02) - parts: - - id: au-12.2_smt - name: statement - prose: Produce a system-wide (logical or physical) audit trail composed - of audit records in a standardized format. - - id: au-12.2_gdn - name: guidance - prose: Audit records that follow common standards promote interoperability - and information exchange between devices and systems. This facilitates - the production of event information that can be readily analyzed - and correlated. Standard formats for audit records include records - that are compliant with Common Event Expressions. If logging mechanisms - within systems do not conform to standardized formats, systems - may convert individual audit records into standardized formats - when compiling system-wide audit trails. - - id: au-12.3 - class: SP800-53-enhancement - title: Changes by Authorized Individuals - params: - - id: au-12.3_prm_1 - label: organization-defined individuals or roles - - id: au-12.3_prm_2 - label: organization-defined system components - - id: au-12.3_prm_3 - label: organization-defined selectable event criteria - - id: au-12.3_prm_4 - label: organization-defined time thresholds - props: - - name: label - value: AU-12(3) - - name: sort-id - value: AU-12(03) - links: - - href: "#ac-3" - rel: related - parts: - - id: au-12.3_smt - name: statement - prose: "Provide and implement the capability for {{ insert: param,\ - \ au-12.3_prm_1 }} to change the logging to be performed on {{\ - \ insert: param, au-12.3_prm_2 }} based on {{ insert: param, au-12.3_prm_3\ - \ }} within {{ insert: param, au-12.3_prm_4 }}." - - id: au-12.3_gdn - name: guidance - prose: Permitting authorized individuals to make changes to system - logging enables organizations to extend or limit logging as necessary - to meet organizational requirements. Logging that is limited to - conserve system resources may be extended (either temporarily - or permanently) to address certain threat situations. In addition, - logging may be limited to a specific set of event types to facilitate - audit reduction, analysis, and reporting. Organizations can establish - time thresholds in which logging actions are changed, for example, - near real-time, within minutes, or within hours. - - id: au-12.4 - class: SP800-53-enhancement - title: Query Parameter Audits of Personally Identifiable Information - props: - - name: label - value: AU-12(4) - - name: sort-id - value: AU-12(04) - parts: - - id: au-12.4_smt - name: statement - prose: Provide and implement the capability for auditing the parameters - of user query events for data sets containing personally identifiable - information. - - id: au-12.4_gdn - name: guidance - prose: Query parameters are explicit criteria that an individual - or an automated system submits to a system to retrieve data. Auditing - of query parameters for datasets that contain personally identifiable - information augments the capability of an organization to track - and understand the access, usage, or sharing of personally identifiable - information by authorized personnel. - - id: au-13 - class: SP800-53 - title: Monitoring for Information Disclosure - params: - - id: au-13_prm_1 - label: organization-defined open source information and/or information - sites - - id: au-13_prm_2 - label: organization-defined frequency - - id: au-13_prm_3 - label: organization-defined personnel or roles - - id: au-13_prm_4 - label: organization-defined additional actions - props: - - name: label - value: AU-13 - - name: sort-id - value: AU-13 - links: - - href: "#ac-22" - rel: related - - href: "#pe-3" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: au-13_smt - name: statement - parts: - - id: au-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor {{ insert: param, au-13_prm_1 }} {{ insert: param,\ - \ au-13_prm_2 }} for evidence of unauthorized disclosure of organizational\ - \ information; and" - - id: au-13_smt.b - name: item - props: - - name: label - value: b. - prose: "If an information disclosure is discovered:" - parts: - - id: au-13_smt.b.1 - name: item - props: - - name: label - value: "1." - prose: "Notify {{ insert: param, au-13_prm_3 }}; and" - - id: au-13_smt.b.2 - name: item - props: - - name: label - value: "2." - prose: "Take the following additional actions: {{ insert: param,\ - \ au-13_prm_4 }}." - - id: au-13_gdn - name: guidance - prose: Unauthorized disclosure of information is a form of data leakage. - Open source information includes social networking sites and code - sharing platforms and repositories. Organizational information can - include personally identifiable information retained by the organization. - controls: - - id: au-13.1 - class: SP800-53-enhancement - title: Use of Automated Tools - params: - - id: au-13.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: AU-13(1) - - name: sort-id - value: AU-13(01) - parts: - - id: au-13.1_smt - name: statement - prose: "Monitor open source information and information sites using\ - \ {{ insert: param, au-13.1_prm_1 }}." - - id: au-13.1_gdn - name: guidance - prose: Automated mechanisms include commercial services providing - notifications and alerts to organizations and automated scripts - to monitor new posts on websites. - - id: au-13.2 - class: SP800-53-enhancement - title: Review of Monitored Sites - params: - - id: au-13.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: AU-13(2) - - name: sort-id - value: AU-13(02) - parts: - - id: au-13.2_smt - name: statement - prose: "Review the list of open source information sites being monitored\ - \ {{ insert: param, au-13.2_prm_1 }}." - - id: au-13.2_gdn - name: guidance - prose: Reviewing on a regular basis, the current list of open source - information sites being monitored, helps to ensure that the selected - sites remain relevant. The review also provides the opportunity - to add new open source information sites with the potential to - provide evidence of unauthorized disclosure of organizational - information. The list of sites monitored can be guided and informed - by threat intelligence of other credible sources of information. - - id: au-13.3 - class: SP800-53-enhancement - title: Unauthorized Replication of Information - props: - - name: label - value: AU-13(3) - - name: sort-id - value: AU-13(03) - parts: - - id: au-13.3_smt - name: statement - prose: Employ discovery techniques, processes, and tools to determine - if external entities are replicating organizational information - in an unauthorized manner. - - id: au-13.3_gdn - name: guidance - prose: The unauthorized use or replication of organizational information - by external entities can cause adverse impact on organizational - operations and assets including damage to reputation. Such activity - can include, for example, the replication of an organizational - website by an adversary or hostile threat actor who attempts to - impersonate the web-hosting organization. Discovery tools, techniques - and processes used to determine if external entities are replicating - organizational information in an unauthorized manner include scanning - external websites, monitoring social media, and training staff - to recognize unauthorized use of organizational information. - - id: au-14 - class: SP800-53 - title: Session Audit - params: - - id: au-14_prm_1 - label: organization-defined users or roles - - id: au-14_prm_2 - select: - how-many: one-or-more - choice: - - record - - view - - hear - - log - - id: au-14_prm_3 - label: organization-defined circumstances - props: - - name: label - value: AU-14 - - name: sort-id - value: AU-14 - links: - - href: "#ac-3" - rel: related - - href: "#ac-8" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#au-8" - rel: related - - href: "#au-9" - rel: related - - href: "#au-11" - rel: related - - href: "#au-12" - rel: related - parts: - - id: au-14_smt - name: statement - parts: - - id: au-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide and implement the capability for {{ insert: param,\ - \ au-14_prm_1 }} to {{ insert: param, au-14_prm_2 }} the content\ - \ of a user session under {{ insert: param, au-14_prm_3 }}; and" - - id: au-14_smt.b - name: item - props: - - name: label - value: b. - prose: Develop, integrate, and use session auditing activities in - consultation with legal counsel and in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - id: au-14_gdn - name: guidance - prose: Session audits can include monitoring keystrokes, tracking websites - visited, and recording information and/or file transfers. Organizations - consider how session auditing can reveal information about individuals - that may give rise to privacy risk and how to mitigate those risks. - Because session auditing can impact system and network performance, - organizations activate the capability under well-defined situations - (e.g., the organization is suspicious of a specific individual). Organizations - consult with legal counsel, civil liberties officials, and privacy - officials to ensure that any legal, privacy, civil rights, or civil - liberties issues, including use of personally identifiable information, - are appropriately addressed. - controls: - - id: au-14.1 - class: SP800-53-enhancement - title: System Start-up - props: - - name: label - value: AU-14(1) - - name: sort-id - value: AU-14(01) - parts: - - id: au-14.1_smt - name: statement - prose: Initiate session audits automatically at system start-up. - - id: au-14.1_gdn - name: guidance - prose: The initiation of session audits automatically at startup - helps to ensure the information being captured on selected individuals - is complete and is not subject to compromise through tampering - by malicious threat actors. - - id: au-14.2 - class: SP800-53-enhancement - title: Capture and Record Content - props: - - name: label - value: AU-14(2) - - name: status - value: Withdrawn - - name: sort-id - value: AU-14(02) - links: - - href: "#au-14" - rel: incorporated-into - - id: au-14.3 - class: SP800-53-enhancement - title: Remote Viewing and Listening - props: - - name: label - value: AU-14(3) - - name: sort-id - value: AU-14(03) - links: - - href: "#ac-17" - rel: related - parts: - - id: au-14.3_smt - name: statement - prose: Provide and implement the capability for authorized users - to remotely view and hear content related to an established user - session in real time. - - id: au-14.3_gdn - name: guidance - prose: None. - - id: au-15 - class: SP800-53 - title: Alternate Audit Logging Capability - props: - - name: label - value: AU-15 - - name: status - value: Withdrawn - - name: sort-id - value: AU-15 - links: - - href: "#au-5.5" - rel: moved-to - - id: au-16 - class: SP800-53 - title: Cross-organizational Audit Logging - params: - - id: au-16_prm_1 - label: organization-defined methods - - id: au-16_prm_2 - label: organization-defined audit information - props: - - name: label - value: AU-16 - - name: sort-id - value: AU-16 - links: - - href: "#au-3" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ca-3" - rel: related - - href: "#pt-8" - rel: related - parts: - - id: au-16_smt - name: statement - prose: "Employ {{ insert: param, au-16_prm_1 }} for coordinating {{\ - \ insert: param, au-16_prm_2 }} among external organizations when\ - \ audit information is transmitted across organizational boundaries." - - id: au-16_gdn - name: guidance - prose: When organizations use systems or services of external organizations, - the audit logging capability necessitates a coordinated, cross-organization - approach. For example, maintaining the identity of individuals that - requested specific services across organizational boundaries may often - be difficult, and doing so may prove to have significant performance - and privacy ramifications. Therefore, it is often the case that cross-organizational - audit logging simply captures the identity of individuals issuing - requests at the initial system, and subsequent systems record that - the requests originated from authorized individuals. Organizations - consider including processes for coordinating audit information requirements - and protection of audit information in information exchange agreements. - controls: - - id: au-16.1 - class: SP800-53-enhancement - title: Identity Preservation - props: - - name: label - value: AU-16(1) - - name: sort-id - value: AU-16(01) - links: - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: au-16.1_smt - name: statement - prose: Preserve the identity of individuals in cross-organizational - audit trails. - - id: au-16.1_gdn - name: guidance - prose: Identity preservation is applied when there is a need to - be able to trace actions that are performed across organizational - boundaries to a specific individual. - - id: au-16.2 - class: SP800-53-enhancement - title: Sharing of Audit Information - params: - - id: au-16.2_prm_1 - label: organization-defined organizations - - id: au-16.2_prm_2 - label: organization-defined cross-organizational sharing agreements - props: - - name: label - value: AU-16(2) - - name: sort-id - value: AU-16(02) - links: - - href: "#ir-4" - rel: related - - href: "#si-4" - rel: related - parts: - - id: au-16.2_smt - name: statement - prose: "Provide cross-organizational audit information to {{ insert:\ - \ param, au-16.2_prm_1 }} based on {{ insert: param, au-16.2_prm_2\ - \ }}." - - id: au-16.2_gdn - name: guidance - prose: Due to the distributed nature of the audit information, cross-organization - sharing of audit information may be essential for effective analysis - of the auditing being performed. For example, the audit records - of one organization may not provide sufficient information to - determine the appropriate or inappropriate use of organizational - information resources by individuals in other organizations. In - some instances, only individuals’ home organizations have appropriate - knowledge to make such determinations, thus requiring the sharing - of audit information among organizations. - - id: au-16.3 - class: SP800-53-enhancement - title: Disassociability - params: - - id: au-16.3_prm_1 - label: organization-defined measures - props: - - name: label - value: AU-16(3) - - name: sort-id - value: AU-16(03) - parts: - - id: au-16.3_smt - name: statement - prose: "Implement {{ insert: param, au-16.3_prm_1 }} to disassociate\ - \ individuals from audit information transmitted across organizational\ - \ boundaries." - - id: au-16.3_gdn - name: guidance - prose: Preserving identities in audit trails could have privacy - ramifications such as enabling the tracking and profiling of individuals - but may not be operationally necessary. These risks could be further - amplified when transmitting information across organizational - boundaries. Using privacy-enhancing cryptographic techniques can - disassociate individuals from audit information and reduce privacy - risk while maintaining accountability. - - id: ca - class: family - title: Assessment, Authorization, and Monitoring - controls: - - id: ca-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ca-1_prm_1 - label: organization-defined personnel or roles - - id: ca-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ca-1_prm_3 - label: organization-defined official - - id: ca-1_prm_4 - label: organization-defined frequency - - id: ca-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: CA-1 - - name: sort-id - value: CA-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-1_smt - name: statement - parts: - - id: ca-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ca-1_prm_1 }}:" - parts: - - id: ca-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ca-1_prm_2 }} assessment, authorization,\ - \ and monitoring policy that:" - parts: - - id: ca-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ca-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ca-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the assessment, - authorization, and monitoring policy and the associated assessment, - authorization, and monitoring controls; - - id: ca-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ca-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the assessment,\ - \ authorization, and monitoring policy and procedures; and" - - id: ca-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current assessment, authorization,\ - \ and monitoring:" - parts: - - id: ca-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ca-1_prm_4 }}; and" - - id: ca-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ca-1_prm_5 }}." - - id: ca-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the CA family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ca-2 - class: SP800-53 - title: Control Assessments - params: - - id: ca-2_prm_1 - label: organization-defined frequency - - id: ca-2_prm_2 - label: organization-defined individuals or roles - props: - - name: label - value: CA-2 - - name: sort-id - value: CA-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#ae962073-f9bb-4210-b1ad-53ef6f6afad6" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#a6b97214-55d4-4b86-a3a4-53d5911d96f7" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ac-20" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: ca-2_smt - name: statement - parts: - - id: ca-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop a control assessment plan that describes the scope\ - \ of the assessment including:" - parts: - - id: ca-2_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Controls and control enhancements under assessment; - - id: ca-2_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Assessment procedures to be used to determine control - effectiveness; and - - id: ca-2_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Assessment environment, assessment team, and assessment - roles and responsibilities; - - id: ca-2_smt.b - name: item - props: - - name: label - value: b. - prose: Ensure the control assessment plan is reviewed and approved - by the authorizing official or designated representative prior - to conducting the assessment; - - id: ca-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Assess the controls in the system and its environment of\ - \ operation {{ insert: param, ca-2_prm_1 }} to determine the extent\ - \ to which the controls are implemented correctly, operating as\ - \ intended, and producing the desired outcome with respect to\ - \ meeting established security and privacy requirements;" - - id: ca-2_smt.d - name: item - props: - - name: label - value: d. - prose: Produce a control assessment report that document the results - of the assessment; and - - id: ca-2_smt.e - name: item - props: - - name: label - value: e. - prose: "Provide the results of the control assessment to {{ insert:\ - \ param, ca-2_prm_2 }}." - - id: ca-2_gdn - name: guidance - prose: "Organizations assess controls in systems and the environments\ - \ in which those systems operate as part of initial and ongoing authorizations;\ - \ continuous monitoring; FISMA annual assessments; system design and\ - \ development; systems security engineering; and the system development\ - \ life cycle. Assessments help to ensure that organizations meet information\ - \ security and privacy requirements; identify weaknesses and deficiencies\ - \ in the system design and development process; provide essential\ - \ information needed to make risk-based decisions as part of authorization\ - \ processes; and comply with vulnerability mitigation procedures.\ - \ Organizations conduct assessments on the implemented controls as\ - \ documented in security and privacy plans. Assessments can also be\ - \ conducted throughout the system development life cycle as part of\ - \ systems engineering and systems security engineering processes.\ - \ For example, the design for the controls can be assessed as RFPs\ - \ are developed and responses assessed, and as design reviews are\ - \ conducted. If design to implement controls and subsequent implementation\ - \ in accordance with the design is assessed during development, the\ - \ final control testing can be a simple confirmation utilizing previously\ - \ completed control assessment and aggregating the outcomes. Organizations\ - \ may develop a single, consolidated security and privacy assessment\ - \ plan for the system or maintain separate plans. A consolidated assessment\ - \ plan clearly delineates roles and responsibilities for control assessment.\ - \ If multiple organizations participate in assessing a system, a coordinated\ - \ approach can reduce redundancies and associated costs. Organizations\ - \ can use other types of assessment activities such as vulnerability\ - \ scanning and system monitoring to maintain the security and privacy\ - \ posture of systems during the system life cycle. Assessment reports\ - \ document assessment results in sufficient detail as deemed necessary\ - \ by organizations, to determine the accuracy and completeness of\ - \ the reports and whether the controls are implemented correctly,\ - \ operating as intended, and producing the desired outcome with respect\ - \ to meeting requirements. Assessment results are provided to the\ - \ individuals or roles appropriate for the types of assessments being\ - \ conducted. For example, assessments conducted in support of authorization\ - \ decisions are provided to authorizing officials, senior agency officials\ - \ for privacy, senior agency information security officers, and authorizing\ - \ official designated representatives. To satisfy annual assessment\ - \ requirements, organizations can use assessment results from the\ - \ following sources: initial or ongoing system authorizations; continuous\ - \ monitoring; systems engineering processes, or system development\ - \ life cycle activities. Organizations ensure that assessment results\ - \ are current, relevant to the determination of control effectiveness,\ - \ and obtained with the appropriate level of assessor independence.\ - \ Existing control assessment results can be reused to the extent\ - \ that the results are still valid and can also be supplemented with\ - \ additional assessments as needed. After the initial authorizations,\ - \ organizations assess controls during continuous monitoring. Organizations\ - \ also establish the frequency for ongoing assessments in accordance\ - \ with organizational continuous monitoring strategies. External audits,\ - \ including audits by external entities such as regulatory agencies,\ - \ are outside the scope of this control." - controls: - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - props: - - name: label - value: CA-2(1) - - name: sort-id - value: CA-02(01) - parts: - - id: ca-2.1_smt - name: statement - prose: Employ independent assessors or assessment teams to conduct - control assessments. - - id: ca-2.1_gdn - name: guidance - prose: Independent assessors or assessment teams are individuals - or groups conducting impartial assessments of systems. Impartiality - means that assessors are free from any perceived or actual conflicts - of interest regarding development, operation, sustainment, or - management of the systems under assessment or the determination - of control effectiveness. To achieve impartiality, assessors do - not create a mutual or conflicting interest with the organizations - where the assessments are being conducted; assess their own work; - act as management or employees of the organizations they are serving; - or place themselves in positions of advocacy for the organizations - acquiring their services. Independent assessments can be obtained - from elements within organizations or can be contracted to public - or private sector entities outside of organizations. Authorizing - officials determine the required level of independence based on - the security categories of systems and/or the risk to organizational - operations, organizational assets, or individuals. Authorizing - officials also determine if the level of assessor independence - provides sufficient assurance that the results are sound and can - be used to make credible, risk-based decisions. Assessor independence - determination also includes whether contracted assessment services - have sufficient independence, for example, when system owners - are not directly involved in contracting processes or cannot influence - the impartiality of the assessors conducting the assessments. - During the system design and development phase, the analogy to - independent assessors is having independent SMEs involved in design - reviews. When organizations that own the systems are small or - the structures of the organizations require that assessments are - conducted by individuals that are in the developmental, operational, - or management chain of the system owners, independence in assessment - processes can be achieved by ensuring that assessment results - are carefully reviewed and analyzed by independent teams of experts - to validate the completeness, accuracy, integrity, and reliability - of the results. Assessments performed for purposes other than - to support authorization decisions, are more likely to be useable - for such decisions when performed by assessors with sufficient - independence, thereby reducing the need to repeat assessments. - - id: ca-2.2 - class: SP800-53-enhancement - title: Specialized Assessments - params: - - id: ca-2.2_prm_1 - label: organization-defined frequency - - id: ca-2.2_prm_2 - select: - choice: - - announced - - unannounced - - id: ca-2.2_prm_3 - select: - how-many: one-or-more - choice: - - in-depth monitoring - - security instrumentation - - automated security test cases - - vulnerability scanning - - malicious user testing - - insider threat assessment - - performance and load testing - - "data leakage or data loss assessment {{ insert: param, ca-2.2_prm_4\ - \ }} " - - id: ca-2.2_prm_4 - depends-on: ca-2.2_prm_3 - label: organization-defined other forms of assessment - props: - - name: label - value: CA-2(2) - - name: sort-id - value: CA-02(02) - links: - - href: "#pe-3" - rel: related - - href: "#si-2" - rel: related - parts: - - id: ca-2.2_smt - name: statement - prose: "Include as part of control assessments, {{ insert: param,\ - \ ca-2.2_prm_1 }}, {{ insert: param, ca-2.2_prm_2 }}, {{ insert:\ - \ param, ca-2.2_prm_3 }}." - - id: ca-2.2_gdn - name: guidance - prose: Organizations can conduct specialized assessments, including - verification and validation, system monitoring, insider threat - assessments, malicious user testing, and other forms of testing. - These assessments can improve readiness by exercising organizational - capabilities and indicating current levels of performance as a - means of focusing actions to improve security and privacy. Organizations - conduct specialized assessments in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. - Organizations can include vulnerabilities uncovered during assessments - into vulnerability remediation processes. Specialized assessments - can also be conducted early in the system development life cycle, - for example, during design, development, and unit testing. - - id: ca-2.3 - class: SP800-53-enhancement - title: External Organizations - params: - - id: ca-2.3_prm_1 - label: organization-defined external organization - - id: ca-2.3_prm_2 - label: organization-defined system - - id: ca-2.3_prm_3 - label: organization-defined requirements - props: - - name: label - value: CA-2(3) - - name: sort-id - value: CA-02(03) - links: - - href: "#sa-4" - rel: related - parts: - - id: ca-2.3_smt - name: statement - prose: "Leverage the results of control assessments performed by\ - \ {{ insert: param, ca-2.3_prm_1 }} on {{ insert: param, ca-2.3_prm_2\ - \ }} when the assessment meets {{ insert: param, ca-2.3_prm_3\ - \ }}." - - id: ca-2.3_gdn - name: guidance - prose: Organizations may rely on control assessments of organizational - systems by other (external) organizations. Using such assessments - and reusing existing assessment evidence can decrease the time - and resources required for assessments by limiting the independent - assessment activities that organizations need to perform. The - factors that organizations consider in determining whether to - accept assessment results from external organizations can vary. - Such factors include the organization’s past experience with the - organization that conducted the assessment; the reputation of - the assessment organization; the level of detail of supporting - assessment evidence provided; and mandates imposed by applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Accredited testing laboratories supporting the - Common Criteria Program [ISO 15408-1], the NIST Cryptographic - Module Validation Program (CMVP), or the NIST Cryptographic Algorithm - Validation Program (CAVP) can provide independent assessment results - that organizations can leverage. - - id: ca-3 - class: SP800-53 - title: Information Exchange - params: - - id: ca-3_prm_1 - select: - how-many: one-or-more - choice: - - interconnection security agreements - - information exchange security agreements - - memoranda of understanding or agreement - - service level agreements - - user agreements - - nondisclosure agreements - - " {{ insert: param, ca-3_prm_2 }} " - - id: ca-3_prm_2 - depends-on: ca-3_prm_1 - label: organization-defined type of agreement - - id: ca-3_prm_3 - label: organization-defined frequency - props: - - name: label - value: CA-3 - - name: sort-id - value: CA-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#2e66c31a-190e-49ad-8e00-f306f8a0df17" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-20" - rel: related - - href: "#au-16" - rel: related - - href: "#ca-6" - rel: related - - href: "#ia-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-3_smt - name: statement - parts: - - id: ca-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Approve and manage the exchange of information between the\ - \ system and other systems using {{ insert: param, ca-3_prm_1\ - \ }};" - - id: ca-3_smt.b - name: item - props: - - name: label - value: b. - prose: Document, as part of each exchange agreement, the interface - characteristics, security and privacy requirements, controls, - and responsibilities for each system, and the impact level of - the information communicated; and - - id: ca-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the agreements {{ insert: param, ca-3_prm_3\ - \ }}." - - id: ca-3_gdn - name: guidance - prose: System information exchange requirements apply to information - exchanges between two or more systems. System information exchanges - include connections via leased lines or virtual private networks, - connections to internet service providers, database sharing or exchanges - of database transaction information, connections and exchanges associated - with cloud services, exchanges via web-based services, or exchanges - of files via file transfer protocols, network protocols (e.g., IPv4, - IPv6), email, or other organization to organization communications. - Organizations consider the risk related to new or increased threats, - that may be introduced when systems exchange information with other - systems that may have different security and privacy requirements - and controls. This includes systems within the same organization and - systems that are external to the organization. A joint authorization - of the systems exchanging information as described in CA-6(1) or CA-6(2) - may help to communicate and reduce risk. Authorizing officials determine - the risk associated with system information exchange and the controls - needed for appropriate risk mitigation. The type of agreement selected - is based on factors such as the impact level of the information being - exchanged, the relationship between the organizations exchanging information - (e.g., government to government, government to business, business - to business, government or business to service provider, government - or business to individual), or the level of access to the organizational - system by users of the other system. If systems that exchange information - have the same authorizing official, organizations need not develop - agreements. Instead, the interface characteristics between the systems - (e.g., how the information is being exchanged; how the information - is protected) are described in the respective security and privacy - plans. If the systems that exchange information have different authorizing - officials within the same organization, the organizations can develop - agreements, or they can provide the same information that would be - provided in the appropriate agreement type from CA-3a in the respective - security and privacy plans for the systems. Organizations may incorporate - agreement information into formal contracts, especially for information - exchanges established between federal agencies and nonfederal organizations - (including service providers, contractors, system developers, and - system integrators). Risk considerations include systems sharing the - same networks. - controls: - - id: ca-3.1 - class: SP800-53-enhancement - title: Unclassified National Security System Connections - props: - - name: label - value: CA-3(1) - - name: status - value: Withdrawn - - name: sort-id - value: CA-03(01) - links: - - href: "#sc-7.25" - rel: moved-to - - id: ca-3.2 - class: SP800-53-enhancement - title: Classified National Security System Connections - props: - - name: label - value: CA-3(2) - - name: status - value: Withdrawn - - name: sort-id - value: CA-03(02) - links: - - href: "#sc-7.26" - rel: moved-to - - id: ca-3.3 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - props: - - name: label - value: CA-3(3) - - name: status - value: Withdrawn - - name: sort-id - value: CA-03(03) - links: - - href: "#sc-7.27" - rel: moved-to - - id: ca-3.4 - class: SP800-53-enhancement - title: Connections to Public Networks - props: - - name: label - value: CA-3(4) - - name: status - value: Withdrawn - - name: sort-id - value: CA-03(04) - links: - - href: "#sc-7.28" - rel: moved-to - - id: ca-3.5 - class: SP800-53-enhancement - title: Restrictions on External System Connections - props: - - name: label - value: CA-3(5) - - name: status - value: Withdrawn - - name: sort-id - value: CA-03(05) - links: - - href: "#sc-7.5" - rel: moved-to - - id: ca-3.6 - class: SP800-53-enhancement - title: Transfer Authorizations - props: - - name: label - value: CA-3(6) - - name: sort-id - value: CA-03(06) - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ca-3.6_smt - name: statement - prose: Verify that individuals or systems transferring data between - interconnecting systems have the requisite authorizations (i.e., - write permissions or privileges) prior to accepting such data. - - id: ca-3.6_gdn - name: guidance - prose: To prevent unauthorized individuals and systems from making - information transfers to protected systems, the protected system - verifies via independent means, whether the individual or system - attempting to transfer information is authorized to do so. This - control enhancement also applies to control plane traffic (e.g., - routing and DNS) and services such as authenticated SMTP relays. - - id: ca-3.7 - class: SP800-53-enhancement - title: Transitive Information Exchanges - props: - - name: label - value: CA-3(7) - - name: sort-id - value: CA-03(07) - links: - - href: "#sc-7" - rel: related - parts: - - id: ca-3.7_smt - name: statement - parts: - - id: ca-3.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Identify transitive (downstream) information exchanges - with other systems through the systems identified in CA-3a; - and - - id: ca-3.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Take measures to ensure that transitive (downstream) - information exchanges cease when the controls on identified - transitive (downstream) systems cannot be verified or validated. - - id: ca-3.7_gdn - name: guidance - prose: Transitive or “downstream” information exchanges are information - exchanges between the system or systems with which the organizational - system exchanges information and other systems. For mission essential - systems, services, and applications, including high value assets, - it is necessary to identify such information exchanges. The transparency - of the controls or protection measures in place in such downstream - systems connected directly or indirectly to organizational systems - is essential in understanding the security and privacy risks resulting - from those interconnections. Organizational systems can inherit - risk from downstream systems through transitive connections and - information exchanges which can make the organizational systems - more susceptible to threats, hazards, and adverse impacts. - - id: ca-4 - class: SP800-53 - title: Security Certification - props: - - name: label - value: CA-4 - - name: status - value: Withdrawn - - name: sort-id - value: CA-04 - links: - - href: "#ca-2" - rel: incorporated-into - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - params: - - id: ca-5_prm_1 - label: organization-defined frequency - props: - - name: label - value: CA-5 - - name: sort-id - value: CA-05 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-7" - rel: related - - href: "#si-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-5_smt - name: statement - parts: - - id: ca-5_smt.a - name: item - props: - - name: label - value: a. - prose: Develop a plan of action and milestones for the system to - document the planned remediation actions of the organization to - correct weaknesses or deficiencies noted during the assessment - of the controls and to reduce or eliminate known vulnerabilities - in the system; and - - id: ca-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Update existing plan of action and milestones {{ insert:\ - \ param, ca-5_prm_1 }} based on the findings from control assessments,\ - \ audits, and continuous monitoring activities." - - id: ca-5_gdn - name: guidance - prose: Plans of action and milestones are useful for any type of organization - to track planned remedial actions. Plans of action and milestones - are required in authorization packages and are subject to federal - reporting requirements established by OMB. - controls: - - id: ca-5.1 - class: SP800-53-enhancement - title: Automation Support for Accuracy and Currency - params: - - id: ca-5.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CA-5(1) - - name: sort-id - value: CA-05(01) - parts: - - id: ca-5.1_smt - name: statement - prose: "Ensure the accuracy, currency, and availability of the plan\ - \ of action and milestones for the system using {{ insert: param,\ - \ ca-5.1_prm_1 }}." - - id: ca-5.1_gdn - name: guidance - prose: Using automated tools helps to maintain the accuracy, currency, - and availability of the plan of action and milestones and facilitates - the coordination and sharing of security and privacy information - throughout the organization. Such coordination and information - sharing helps to identify systemic weaknesses or deficiencies - in organizational systems and ensure that appropriate resources - are directed at the most critical system vulnerabilities in a - timely manner. - - id: ca-6 - class: SP800-53 - title: Authorization - params: - - id: ca-6_prm_1 - label: organization-defined frequency - props: - - name: label - value: CA-6 - - name: sort-id - value: CA-06 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-6_smt - name: statement - parts: - - id: ca-6_smt.a - name: item - props: - - name: label - value: a. - prose: Assign a senior official as the authorizing official for - the system; - - id: ca-6_smt.b - name: item - props: - - name: label - value: b. - prose: Assign a senior official as the authorizing official for - common controls available for inheritance by organizational systems; - - id: ca-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Ensure that the authorizing official for the system, before\ - \ commencing operations:" - parts: - - id: ca-6_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: Accepts the use of common controls inherited by the system; - and - - id: ca-6_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: Authorizes the system to operate; - - id: ca-6_smt.d - name: item - props: - - name: label - value: d. - prose: Ensure that the authorizing official for common controls - authorizes the use of those controls for inheritance by organizational - systems; - - id: ca-6_smt.e - name: item - props: - - name: label - value: e. - prose: "Update the authorizations {{ insert: param, ca-6_prm_1 }}." - - id: ca-6_gdn - name: guidance - prose: Authorizations are official management decisions by senior officials - to authorize operation of systems, to authorize the use of common - controls for inheritance by organizational systems and to explicitly - accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of - agreed-upon controls. Authorizing officials provide budgetary oversight - for organizational systems and for common controls or assume responsibility - for the mission and business operations supported by those systems - or common controls. The authorization process is a federal responsibility - and therefore, authorizing officials must be federal employees. Authorizing - officials are both responsible and accountable for security and privacy - risks associated with the operation and use of organizational systems. - Nonfederal organizations may have similar processes to authorize systems - and senior officials that assume the authorization role and associated - responsibilities. Authorizing officials issue ongoing authorizations - of systems based on evidence produced from implemented continuous - monitoring programs. Robust continuous monitoring programs reduce - the need for separate reauthorization processes. Through the employment - of comprehensive continuous monitoring processes, the information - contained in authorization packages (i.e., the security and privacy - plans, assessment reports, and plans of action and milestones), is - updated on an ongoing basis. This provides authorizing officials, - system owners, and common control providers with an up-to-date status - of the security and privacy posture of their systems, controls, and - operating environments. To reduce the cost of reauthorization, authorizing - officials can leverage the results of continuous monitoring processes - to the maximum extent possible as the basis for rendering reauthorization - decisions. - controls: - - id: ca-6.1 - class: SP800-53-enhancement - title: Joint Authorization — Intra-organization - props: - - name: label - value: CA-6(1) - - name: sort-id - value: CA-06(01) - links: - - href: "#ac-6" - rel: related - parts: - - id: ca-6.1_smt - name: statement - prose: Employ a joint authorization process for the system that - includes multiple authorizing officials from the same organization - conducting the authorization. - - id: ca-6.1_gdn - name: guidance - prose: Assigning multiple authorizing officials from the same organization - to serve as co-authorizing officials for the system, increases - the level of independence in the risk-based decision-making process. - It also implements the concepts of separation of duties and dual - authorization as applied to the system authorization process. - The intra-organization joint authorization process is most relevant - for connected systems, shared systems, and systems with multiple - information owners. - - id: ca-6.2 - class: SP800-53-enhancement - title: Joint Authorization — Inter-organization - props: - - name: label - value: CA-6(2) - - name: sort-id - value: CA-06(02) - links: - - href: "#ac-6" - rel: related - parts: - - id: ca-6.2_smt - name: statement - prose: Employ a joint authorization process for the system that - includes multiple authorizing officials with at least one authorizing - official from an organization external to the organization conducting - the authorization. - - id: ca-6.2_gdn - name: guidance - prose: Assigning multiple authorizing officials, at least one of - which comes from an external organization, to serve as co-authorizing - officials for the system, increases the level of independence - in the risk-based decision-making process. It implements the concepts - of separation of duties and dual authorization as applied to the - system authorization process. Employing authorizing officials - from external organizations to supplement the authorizing official - from the organization owning or hosting the system may be necessary - when the external organizations have a vested interest or equities - in the outcome of the authorization decision. The inter-organization - joint authorization process is relevant and appropriate for connected - systems, shared systems or services, and systems with multiple - information owners. The authorizing officials from the external - organizations are key stakeholders of the system undergoing authorization. - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - params: - - id: ca-7_prm_1 - label: organization-defined system-level metrics - - id: ca-7_prm_2 - label: organization-defined frequencies - - id: ca-7_prm_3 - label: organization-defined frequencies - - id: ca-7_prm_4 - label: organization-defined personnel or roles - - id: ca-7_prm_5 - label: organization-defined frequency - props: - - name: label - value: CA-7 - - name: sort-id - value: CA-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#a6b97214-55d4-4b86-a3a4-53d5911d96f7" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#851b5ba4-6aa0-4583-857c-4c360cbdf2a0" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#at-4" - rel: related - - href: "#au-6" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-16" - rel: related - - href: "#pe-20" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-6" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-12" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-28" - rel: related - - href: "#pm-31" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-43" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: ca-7_smt - name: statement - prose: "Develop a system-level continuous monitoring strategy and implement\ - \ continuous monitoring in accordance with the organization-level\ - \ continuous monitoring strategy that includes:" - parts: - - id: ca-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Establishing the following system-level metrics to be monitored:\ - \ {{ insert: param, ca-7_prm_1 }};" - - id: ca-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Establishing {{ insert: param, ca-7_prm_2 }} for monitoring\ - \ and {{ insert: param, ca-7_prm_3 }} for assessment of control\ - \ effectiveness;" - - id: ca-7_smt.c - name: item - props: - - name: label - value: c. - prose: Ongoing control assessments in accordance with the continuous - monitoring strategy; - - id: ca-7_smt.d - name: item - props: - - name: label - value: d. - prose: Ongoing monitoring of system and organization-defined metrics - in accordance with the continuous monitoring strategy; - - id: ca-7_smt.e - name: item - props: - - name: label - value: e. - prose: Correlation and analysis of information generated by control - assessments and monitoring; - - id: ca-7_smt.f - name: item - props: - - name: label - value: f. - prose: Response actions to address results of the analysis of control - assessment and monitoring information; and - - id: ca-7_smt.g - name: item - props: - - name: label - value: g. - prose: "Reporting the security and privacy status of the system\ - \ to {{ insert: param, ca-7_prm_4 }} {{ insert: param, ca-7_prm_5\ - \ }}." - - id: ca-7_gdn - name: guidance - prose: Continuous monitoring at the system level facilitates ongoing - awareness of the system security and privacy posture to support organizational - risk management decisions. The terms continuous and ongoing imply - that organizations assess and monitor their controls and risks at - a frequency sufficient to support risk-based decisions. Different - types of controls may require different monitoring frequencies. The - results of continuous monitoring generate risk response actions by - organizations. When monitoring the effectiveness of multiple controls - that have been grouped into capabilities, a root-cause analysis may - be needed to determine the specific control that has failed. Continuous - monitoring programs allow organizations to maintain the authorizations - of systems and common controls in highly dynamic environments of operation - with changing mission and business needs, threats, vulnerabilities, - and technologies. Having access to security and privacy information - on a continuing basis through reports and dashboards gives organizational - officials the ability to make effective and timely risk management - decisions, including ongoing authorization decisions. Automation supports - more frequent updates to hardware, software, and firmware inventories, - authorization packages, and other system information. Effectiveness - is further enhanced when continuous monitoring outputs are formatted - to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance - with the security categories of systems. Monitoring requirements, - including the need for specific monitoring, may be referenced in other - controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), - AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), - CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, - PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5(3)(b), - SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4. - controls: - - id: ca-7.1 - class: SP800-53-enhancement - title: Independent Assessment - props: - - name: label - value: CA-7(1) - - name: sort-id - value: CA-07(01) - parts: - - id: ca-7.1_smt - name: statement - prose: Employ independent assessors or assessment teams to monitor - the controls in the system on an ongoing basis. - - id: ca-7.1_gdn - name: guidance - prose: Organizations maximize the value of control assessments by - requiring that assessments be conducted by assessors with appropriate - levels of independence. The level of required independence is - based on organizational continuous monitoring strategies. Assessor - independence provides a degree of impartiality to the monitoring - process. To achieve such impartiality, assessors do not create - a mutual or conflicting interest with the organizations where - the assessments are being conducted; assess their own work; act - as management or employees of the organizations they are serving; - or place themselves in advocacy positions for the organizations - acquiring their services. - - id: ca-7.2 - class: SP800-53-enhancement - title: Types of Assessments - props: - - name: label - value: CA-7(2) - - name: status - value: Withdrawn - - name: sort-id - value: CA-07(02) - links: - - href: "#ca-2" - rel: incorporated-into - - id: ca-7.3 - class: SP800-53-enhancement - title: Trend Analyses - props: - - name: label - value: CA-7(3) - - name: sort-id - value: CA-07(03) - parts: - - id: ca-7.3_smt - name: statement - prose: Employ trend analyses to determine if control implementations, - the frequency of continuous monitoring activities, and the types - of activities used in the continuous monitoring process need to - be modified based on empirical data. - - id: ca-7.3_gdn - name: guidance - prose: Trend analyses include examining recent threat information - addressing the types of threat events that have occurred within - the organization or the federal government; success rates of certain - types of attacks; emerging vulnerabilities in technologies; evolving - social engineering techniques; the effectiveness of configuration - settings; results from multiple control assessments; and findings - from Inspectors General or auditors. - - id: ca-7.4 - class: SP800-53-enhancement - title: Risk Monitoring - props: - - name: label - value: CA-7(4) - - name: sort-id - value: CA-07(04) - parts: - - id: ca-7.4_smt - name: statement - prose: "Ensure risk monitoring is an integral part of the continuous\ - \ monitoring strategy that includes the following:" - parts: - - id: ca-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Effectiveness monitoring; - - id: ca-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Compliance monitoring; and - - id: ca-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Change monitoring. - - id: ca-7.4_gdn - name: guidance - prose: Risk monitoring is informed by the established organizational - risk tolerance. Effectiveness monitoring determines the ongoing - effectiveness of the implemented risk response measures. Compliance - monitoring verifies that required risk response measures are implemented. - It also verifies that security and privacy requirements are satisfied. - Change monitoring identifies changes to organizational systems - and environments of operation that may affect security and privacy - risk. - - id: ca-7.5 - class: SP800-53-enhancement - title: Consistency Analysis - params: - - id: ca-7.5_prm_1 - label: organization-defined actions - props: - - name: label - value: CA-7(5) - - name: sort-id - value: CA-07(05) - parts: - - id: ca-7.5_smt - name: statement - prose: "Employ the following actions to validate that policies are\ - \ established and implemented controls are operating in a consistent\ - \ manner: {{ insert: param, ca-7.5_prm_1 }}." - - id: ca-7.5_gdn - name: guidance - prose: Security and privacy controls are often added incrementally - to a system. As a result, policies for selecting and implementing - controls may be inconsistent and the controls could fail to work - together in a consistent or coordinated manner. At a minimum, - the lack of consistency and coordination could mean that there - are unacceptable security and privacy gaps in the system. At worst, - it could mean that some of the controls implemented in one location - or by one component are actually impeding the functionality of - other controls (e.g., encrypting internal network traffic can - impede monitoring). Or in other situations, failing to consistently - monitor all implemented network protocols (e.g., a dual stack - of IPv4 and IPv6) may create unintended vulnerabilities in the - system that could be exploited by adversaries. It is important - to validate through testing, monitoring, and analysis that the - implemented controls are operating in a consistent, coordinated, - non-interfering manner. - - id: ca-8 - class: SP800-53 - title: Penetration Testing - params: - - id: ca-8_prm_1 - label: organization-defined frequency - - id: ca-8_prm_2 - label: organization-defined systems or system components - props: - - name: label - value: CA-8 - - name: sort-id - value: CA-08 - links: - - href: "#sa-11" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: ca-8_smt - name: statement - prose: "Conduct penetration testing {{ insert: param, ca-8_prm_1 }}\ - \ on {{ insert: param, ca-8_prm_2 }}." - - id: ca-8_gdn - name: guidance - prose: Penetration testing is a specialized type of assessment conducted - on systems or individual system components to identify vulnerabilities - that could be exploited by adversaries. Penetration testing goes beyond - automated vulnerability scanning and is conducted by agents and teams - with demonstrable skills and experience that include technical expertise - in network, operating system, and/or application level security. Penetration - testing can be used to validate vulnerabilities or determine the degree - of penetration resistance of systems to adversaries within specified - constraints. Such constraints include time, resources, and skills. - Penetration testing attempts to duplicate the actions of adversaries - in carrying out attacks and provides a more in-depth analysis of security- - and privacy-related weaknesses or deficiencies. Penetration testing - is especially important when organizations are transitioning from - older technologies to newer technologies (e.g., transitioning from - IPv4 to IPv6 network protocols). Organizations can use the results - of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted internally or externally on the - hardware, software, or firmware components of a system and can exercise - both physical and technical controls. A standard method for penetration - testing includes pretest analysis based on full knowledge of the system; - pretest identification of potential vulnerabilities based on pretest - analysis; and testing designed to determine exploitability of vulnerabilities. - All parties agree to the rules of engagement before commencement of - penetration testing scenarios. Organizations correlate the rules of - engagement for the penetration tests with the tools, techniques, and - procedures that are anticipated to be employed by adversaries. Risk - assessments guide the decisions on the level of independence required - for the personnel conducting penetration testing. - controls: - - id: ca-8.1 - class: SP800-53-enhancement - title: Independent Penetration Testing Agent or Team - props: - - name: label - value: CA-8(1) - - name: sort-id - value: CA-08(01) - links: - - href: "#ca-2" - rel: related - parts: - - id: ca-8.1_smt - name: statement - prose: Employ an independent penetration testing agent or team to - perform penetration testing on the system or system components. - - id: ca-8.1_gdn - name: guidance - prose: Independent penetration testing agents or teams are individuals - or groups who conduct impartial penetration testing of organizational - systems. Impartiality implies that penetration testing agents - or teams are free from perceived or actual conflicts of interest - with respect to the development, operation, or management of the - systems that are the targets of the penetration testing. CA-2(1) - provides additional information on independent assessments that - can be applied to penetration testing. - - id: ca-8.2 - class: SP800-53-enhancement - title: Red Team Exercises - params: - - id: ca-8.2_prm_1 - label: organization-defined red team exercises - props: - - name: label - value: CA-8(2) - - name: sort-id - value: CA-08(02) - parts: - - id: ca-8.2_smt - name: statement - prose: "Employ the following red-team exercises to simulate attempts\ - \ by adversaries to compromise organizational systems in accordance\ - \ with applicable rules of engagement: {{ insert: param, ca-8.2_prm_1\ - \ }}." - - id: ca-8.2_gdn - name: guidance - prose: Red team exercises extend the objectives of penetration testing - by examining the security and privacy posture of organizations - and the capability to implement effective cyber defenses. Red - team exercises simulate attempts by adversaries to compromise - missions and business functions and provide a comprehensive assessment - of the security and privacy posture of systems and organizations. - Such attempts may include technology-based attacks and social - engineering-based attacks. Technology-based attacks include interactions - with hardware, software, or firmware components and/or mission - and business processes. Social engineering-based attacks include - interactions via email, telephone, shoulder surfing, or personal - conversations. Red team exercises are most effective when conducted - by penetration testing agents and teams with knowledge of and - experience with current adversarial tactics, techniques, procedures, - and tools. While penetration testing may be primarily laboratory-based - testing, organizations can use red team exercises to provide more - comprehensive assessments that reflect real-world conditions. - The results from red team exercises can be used by organizations - to improve security and privacy awareness and training and to - assess control effectiveness. - - id: ca-8.3 - class: SP800-53-enhancement - title: Facility Penetration Testing - params: - - id: ca-8.3_prm_1 - label: organization-defined frequency - - id: ca-8.3_prm_2 - select: - choice: - - announced - - unannounced - props: - - name: label - value: CA-8(3) - - name: sort-id - value: CA-08(03) - links: - - href: "#ca-2" - rel: related - - href: "#pe-3" - rel: related - parts: - - id: ca-8.3_smt - name: statement - prose: "Employ a penetration testing process that includes {{ insert:\ - \ param, ca-8.3_prm_1 }} {{ insert: param, ca-8.3_prm_2 }} attempts\ - \ to bypass or circumvent controls associated with physical access\ - \ points to the facility." - - id: ca-8.3_gdn - name: guidance - prose: Penetration testing of physical access points can provide - information on critical vulnerabilities in the operating environments - of organizational systems. Such information can be used to correct - weaknesses or deficiencies in physical controls that are necessary - to protect organizational systems. - - id: ca-9 - class: SP800-53 - title: Internal System Connections - params: - - id: ca-9_prm_1 - label: organization-defined system components or classes of components - - id: ca-9_prm_2 - label: organization-defined conditions - - id: ca-9_prm_3 - label: organization-defined frequency - props: - - name: label - value: CA-9 - - name: sort-id - value: CA-09 - links: - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ca-9_smt - name: statement - parts: - - id: ca-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Authorize internal connections of {{ insert: param, ca-9_prm_1\ - \ }} to the system;" - - id: ca-9_smt.b - name: item - props: - - name: label - value: b. - prose: Document, for each internal connection, the interface characteristics, - security and privacy requirements, and the nature of the information - communicated; - - id: ca-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Terminate internal system connections after {{ insert: param,\ - \ ca-9_prm_2 }}; and" - - id: ca-9_smt.d - name: item - props: - - name: label - value: d. - prose: "Review {{ insert: param, ca-9_prm_3 }} the continued need\ - \ for each internal connection." - - id: ca-9_gdn - name: guidance - prose: Internal system connections are connections between organizational - systems and separate constituent system components (i.e., connections - between components that are part of the same system). Intra-system - connections include connections with mobile devices, notebook and - desktop computers, workstations, printers, copiers, facsimile machines, - scanners, sensors, and servers. Instead of authorizing each individual - internal system connection, organizations can authorize internal connections - for a class of system components with common characteristics and/or - configurations, including printers, scanners, and copiers with a specified - processing, transmission, and storage capability; or smart phones - and tablets with a specific baseline configuration. The continued - need for an internal system connection is reviewed from the perspective - of whether it provides support for organizational missions or business - functions. - controls: - - id: ca-9.1 - class: SP800-53-enhancement - title: Compliance Checks - props: - - name: label - value: CA-9(1) - - name: sort-id - value: CA-09(01) - links: - - href: "#cm-6" - rel: related - parts: - - id: ca-9.1_smt - name: statement - prose: Perform security and privacy compliance checks on constituent - system components prior to the establishment of the internal connection. - - id: ca-9.1_gdn - name: guidance - prose: Compliance checks include verification of the relevant baseline - configuration. - - id: cm - class: family - title: Configuration Management - controls: - - id: cm-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: cm-1_prm_1 - label: organization-defined personnel or roles - - id: cm-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: cm-1_prm_3 - label: organization-defined official - - id: cm-1_prm_4 - label: organization-defined frequency - - id: cm-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: CM-1 - - name: sort-id - value: CM-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-1_smt - name: statement - parts: - - id: cm-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ cm-1_prm_1 }}:" - parts: - - id: cm-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, cm-1_prm_2 }} configuration management\ - \ policy that:" - parts: - - id: cm-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: cm-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: cm-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the configuration - management policy and the associated configuration management - controls; - - id: cm-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, cm-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the configuration\ - \ management policy and procedures; and" - - id: cm-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current configuration management:" - parts: - - id: cm-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, cm-1_prm_4 }}; and" - - id: cm-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, cm-1_prm_5 }}." - - id: cm-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the CM family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - params: - - id: cm-2_prm_1 - label: organization-defined frequency - - id: cm-2_prm_2 - label: Assignment organization-defined circumstances - props: - - name: label - value: CM-2 - - name: sort-id - value: CM-02 - links: - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-1" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-9" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#ma-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-18" - rel: related - parts: - - id: cm-2_smt - name: statement - parts: - - id: cm-2_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, document, and maintain under configuration control, - a current baseline configuration of the system; and - - id: cm-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the baseline configuration of the system:" - parts: - - id: cm-2_smt.b.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, cm-2_prm_1 }};" - - id: cm-2_smt.b.2 - name: item - props: - - name: label - value: "2." - prose: "When required due to {{ insert: param, cm-2_prm_2 }};\ - \ and" - - id: cm-2_smt.b.3 - name: item - props: - - name: label - value: "3." - prose: When system components are installed or upgraded. - - id: cm-2_gdn - name: guidance - prose: Baseline configurations for systems and system components include - connectivity, operational, and communications aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon - specifications for systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, - or changes to systems and include security and privacy control implementations, - operational procedures, information about system components, network - topology, and logical placement of components in the system architecture. - Maintaining baseline configurations requires creating new baselines - as organizational systems change over time. Baseline configurations - of systems reflect the current enterprise architecture. - controls: - - id: cm-2.1 - class: SP800-53-enhancement - title: Reviews and Updates - props: - - name: label - value: CM-2(1) - - name: status - value: Withdrawn - - name: sort-id - value: CM-02(01) - links: - - href: "#cm-2" - rel: incorporated-into - - id: cm-2.2 - class: SP800-53-enhancement - title: Automation Support for Accuracy and Currency - params: - - id: cm-2.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-2(2) - - name: sort-id - value: CM-02(02) - links: - - href: "#cm-7" - rel: related - - href: "#ia-3" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: cm-2.2_smt - name: statement - prose: "Maintain the currency, completeness, accuracy, and availability\ - \ of the baseline configuration of the system using {{ insert:\ - \ param, cm-2.2_prm_1 }}." - - id: cm-2.2_gdn - name: guidance - prose: Automated mechanisms that help organizations maintain consistent - baseline configurations for systems include configuration management - tools, hardware, software, and firmware inventory tools, and network - management tools. Automated tools can be used at the organization - level, mission/business process level or system level on workstations, - servers, notebook computers, network components, or mobile devices. - Tools can be used to track version numbers on operating systems, - applications, types of software installed, and current patch levels. - Automation support for accuracy and currency can be satisfied - by the implementation of CM-8(2) for organizations that combine - system component inventory and baseline configuration activities. - - id: cm-2.3 - class: SP800-53-enhancement - title: Retention of Previous Configurations - params: - - id: cm-2.3_prm_1 - label: organization-defined number - props: - - name: label - value: CM-2(3) - - name: sort-id - value: CM-02(03) - parts: - - id: cm-2.3_smt - name: statement - prose: "Retain {{ insert: param, cm-2.3_prm_1 }} of previous versions\ - \ of baseline configurations of the system to support rollback." - - id: cm-2.3_gdn - name: guidance - prose: Retaining previous versions of baseline configurations to - support rollback include hardware, software, firmware, configuration - files, and configuration records. - - id: cm-2.4 - class: SP800-53-enhancement - title: Unauthorized Software - props: - - name: label - value: CM-2(4) - - name: status - value: Withdrawn - - name: sort-id - value: CM-02(04) - links: - - href: "#cm-7.4" - rel: incorporated-into - - id: cm-2.5 - class: SP800-53-enhancement - title: Authorized Software - props: - - name: label - value: CM-2(5) - - name: status - value: Withdrawn - - name: sort-id - value: CM-02(05) - links: - - href: "#cm-7.5" - rel: incorporated-into - - id: cm-2.6 - class: SP800-53-enhancement - title: Development and Test Environments - props: - - name: label - value: CM-2(6) - - name: sort-id - value: CM-02(06) - links: - - href: "#cm-4" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-2.6_smt - name: statement - prose: Maintain a baseline configuration for system development - and test environments that is managed separately from the operational - baseline configuration. - - id: cm-2.6_gdn - name: guidance - prose: Establishing separate baseline configurations for development, - testing, and operational environments protects systems from unplanned - or unexpected events related to development and testing activities. - Separate baseline configurations allow organizations to apply - the configuration management that is most appropriate for each - type of configuration. For example, the management of operational - configurations typically emphasizes the need for stability, while - the management of development or test configurations requires - greater flexibility. Configurations in the test environment mirror - configurations in the operational environment to the extent practicable - so that the results of the testing are representative of the proposed - changes to the operational systems. Separate baseline configurations - does not necessarily require separate physical environments. - - id: cm-2.7 - class: SP800-53-enhancement - title: Configure Systems and Components for High-risk Areas - params: - - id: cm-2.7_prm_1 - label: organization-defined systems or system components - - id: cm-2.7_prm_2 - label: organization-defined configurations - - id: cm-2.7_prm_3 - label: organization-defined controls - props: - - name: label - value: CM-2(7) - - name: sort-id - value: CM-02(07) - links: - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - parts: - - id: cm-2.7_smt - name: statement - parts: - - id: cm-2.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Issue {{ insert: param, cm-2.7_prm_1 }} with {{ insert:\ - \ param, cm-2.7_prm_2 }} to individuals traveling to locations\ - \ that the organization deems to be of significant risk; and" - - id: cm-2.7_smt.b - name: item - props: - - name: label - value: (b) - prose: "Apply the following controls to the systems or components\ - \ when the individuals return from travel: {{ insert: param,\ - \ cm-2.7_prm_3 }}." - - id: cm-2.7_gdn - name: guidance - prose: When it is known that systems or system components will be - in high-risk areas external to the organization, additional controls - may be implemented to counter the increased threat in such areas. - For example, organizations can take actions for notebook computers - used by individuals departing on and returning from travel. Actions - include determining the locations that are of concern, defining - the required configurations for the components, ensuring that - components are configured as intended before travel is initiated, - and applying controls to the components after travel is completed. - Specially configured notebook computers include computers with - sanitized hard drives, limited applications, and more stringent - configuration settings. Controls applied to mobile devices upon - return from travel include examining the mobile device for signs - of physical tampering and purging and reimaging disk drives. Protecting - information that resides on mobile devices is addressed in the - MP (Media Protection) family. - - id: cm-3 - class: SP800-53 - title: Configuration Change Control - params: - - id: cm-3_prm_1 - label: organization-defined time-period - - id: cm-3_prm_2 - label: organization-defined configuration change control element - - id: cm-3_prm_3 - select: - how-many: one-or-more - choice: - - " {{ insert: param, cm-3_prm_4 }} " - - "when {{ insert: param, cm-3_prm_5 }} " - - id: cm-3_prm_4 - depends-on: cm-3_prm_3 - label: organization-defined frequency - - id: cm-3_prm_5 - depends-on: cm-3_prm_3 - label: organization-defined configuration change conditions - props: - - name: label - value: CM-3 - - name: sort-id - value: CM-03 - links: - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#pe-16" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-2" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: cm-3_smt - name: statement - parts: - - id: cm-3_smt.a - name: item - props: - - name: label - value: a. - prose: Determine and document the types of changes to the system - that are configuration-controlled; - - id: cm-3_smt.b - name: item - props: - - name: label - value: b. - prose: Review proposed configuration-controlled changes to the system - and approve or disapprove such changes with explicit consideration - for security and privacy impact analyses; - - id: cm-3_smt.c - name: item - props: - - name: label - value: c. - prose: Document configuration change decisions associated with the - system; - - id: cm-3_smt.d - name: item - props: - - name: label - value: d. - prose: Implement approved configuration-controlled changes to the - system; - - id: cm-3_smt.e - name: item - props: - - name: label - value: e. - prose: "Retain records of configuration-controlled changes to the\ - \ system for {{ insert: param, cm-3_prm_1 }};" - - id: cm-3_smt.f - name: item - props: - - name: label - value: f. - prose: Monitor and review activities associated with configuration-controlled - changes to the system; and - - id: cm-3_smt.g - name: item - props: - - name: label - value: g. - prose: "Coordinate and provide oversight for configuration change\ - \ control activities through {{ insert: param, cm-3_prm_2 }} that\ - \ convenes {{ insert: param, cm-3_prm_3 }}." - - id: cm-3_gdn - name: guidance - prose: Configuration change control for organizational systems involves - the systematic proposal, justification, implementation, testing, review, - and disposition of system changes, including system upgrades and modifications. - Configuration change control includes changes to baseline configurations - and configuration items of systems; changes to operational procedures; - changes to configuration settings for system components; unscheduled - or unauthorized changes; and changes to remediate vulnerabilities. - Processes for managing configuration changes to systems include Configuration - Control Boards or Change Advisory Boards that review and approve proposed - changes. For changes impacting privacy risk, the senior agency official - for privacy updates privacy impact assessments and system of records - notices. For new systems or major upgrades, organizations consider - including representatives from the development organizations on the - Configuration Control Boards or Change Advisory Boards. Auditing of - changes includes activities before and after changes are made to systems - and the auditing activities required to implement such changes. See - also SA-10. - controls: - - id: cm-3.1 - class: SP800-53-enhancement - title: Automated Documentation, Notification, and Prohibition of Changes - params: - - id: cm-3.1_prm_1 - label: organization-defined automated mechanisms - - id: cm-3.1_prm_2 - label: organization-defined approval authorities - - id: cm-3.1_prm_3 - label: organization-defined time-period - - id: cm-3.1_prm_4 - label: organization-defined personnel - props: - - name: label - value: CM-3(1) - - name: sort-id - value: CM-03(01) - parts: - - id: cm-3.1_smt - name: statement - prose: "Use {{ insert: param, cm-3.1_prm_1 }} to:" - parts: - - id: cm-3.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Document proposed changes to the system; - - id: cm-3.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Notify {{ insert: param, cm-3.1_prm_2 }} of proposed\ - \ changes to the system and request change approval;" - - id: cm-3.1_smt.c - name: item - props: - - name: label - value: (c) - prose: "Highlight proposed changes to the system that have not\ - \ been approved or disapproved within {{ insert: param, cm-3.1_prm_3\ - \ }};" - - id: cm-3.1_smt.d - name: item - props: - - name: label - value: (d) - prose: Prohibit changes to the system until designated approvals - are received; - - id: cm-3.1_smt.e - name: item - props: - - name: label - value: (e) - prose: Document all changes to the system; and - - id: cm-3.1_smt.f - name: item - props: - - name: label - value: (f) - prose: "Notify {{ insert: param, cm-3.1_prm_4 }} when approved\ - \ changes to the system are completed." - - id: cm-3.1_gdn - name: guidance - prose: None. - - id: cm-3.2 - class: SP800-53-enhancement - title: Testing, Validation, and Documentation of Changes - props: - - name: label - value: CM-3(2) - - name: sort-id - value: CM-03(02) - parts: - - id: cm-3.2_smt - name: statement - prose: Test, validate, and document changes to the system before - finalizing the implementation of the changes. - - id: cm-3.2_gdn - name: guidance - prose: Changes to systems include modifications to hardware, software, - or firmware components and configuration settings defined in CM-6. - Organizations ensure that testing does not interfere with system - operations supporting organizational missions and business functions. - Individuals or groups conducting tests understand security and - privacy policies and procedures, system security and privacy policies - and procedures, and the health, safety, and environmental risks - associated with specific facilities or processes. Operational - systems may need to be taken off-line, or replicated to the extent - feasible, before testing can be conducted. If systems must be - taken off-line for testing, the tests are scheduled to occur during - planned system outages whenever possible. If the testing cannot - be conducted on operational systems, organizations employ compensating - controls. - - id: cm-3.3 - class: SP800-53-enhancement - title: Automated Change Implementation - params: - - id: cm-3.3_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-3(3) - - name: sort-id - value: CM-03(03) - parts: - - id: cm-3.3_smt - name: statement - prose: "Implement changes to the current system baseline and deploy\ - \ the updated baseline across the installed base using {{ insert:\ - \ param, cm-3.3_prm_1 }}." - - id: cm-3.3_gdn - name: guidance - prose: Automated tools (e.g., Security Information and Event Management - tools) can improve the accuracy, consistency, and availability - of configuration baseline information. Automation can also provide - data aggregation and data correlation capabilities; alerting mechanisms; - and dashboards to support risk-based decision making within the - organization. - - id: cm-3.4 - class: SP800-53-enhancement - title: Security and Privacy Representatives - params: - - id: cm-3.4_prm_1 - label: organization-defined security and privacy representatives - - id: cm-3.4_prm_2 - label: organization-defined configuration change control element - props: - - name: label - value: CM-3(4) - - name: sort-id - value: CM-03(04) - parts: - - id: cm-3.4_smt - name: statement - prose: "Require {{ insert: param, cm-3.4_prm_1 }} to be members\ - \ of the {{ insert: param, cm-3.4_prm_2 }}." - - id: cm-3.4_gdn - name: guidance - prose: Information security and privacy representatives include - system security officers, senior agency information security officers, - senior agency officials for privacy, or system privacy officers. - Representation by personnel with information security and privacy - expertise is important because changes to system configurations - can have unintended side effects, some of which may be security- - or privacy-relevant. Detecting such changes early in the process - can help avoid unintended, negative consequences that could ultimately - affect the security and privacy posture of systems. The configuration - change control element in this control enhancement reflects the - change control elements defined by organizations in CM-3. - - id: cm-3.5 - class: SP800-53-enhancement - title: Automated Security Response - params: - - id: cm-3.5_prm_1 - label: organization-defined security responses - props: - - name: label - value: CM-3(5) - - name: sort-id - value: CM-03(05) - parts: - - id: cm-3.5_smt - name: statement - prose: "Implement the following security responses automatically\ - \ if baseline configurations are changed in an unauthorized manner:\ - \ {{ insert: param, cm-3.5_prm_1 }}." - - id: cm-3.5_gdn - name: guidance - prose: Automated security responses include halting selected system - functions, halting system processing, or issuing alerts or notifications - to organizational personnel when there is an unauthorized modification - of a configuration item. - - id: cm-3.6 - class: SP800-53-enhancement - title: Cryptography Management - params: - - id: cm-3.6_prm_1 - label: organization-defined controls - props: - - name: label - value: CM-3(6) - - name: sort-id - value: CM-03(06) - links: - - href: "#sc-12" - rel: related - parts: - - id: cm-3.6_smt - name: statement - prose: "Ensure that cryptographic mechanisms used to provide the\ - \ following controls are under configuration management: {{ insert:\ - \ param, cm-3.6_prm_1 }}." - - id: cm-3.6_gdn - name: guidance - prose: The controls referenced in the control enhancement refer - to security and privacy controls from the control catalog. Regardless - of the cryptographic mechanisms employed, processes and procedures - are in place to manage those mechanisms. For example, if system - components use certificates for identification and authentication, - a process is implemented to address the expiration of those certificates. - - id: cm-3.7 - class: SP800-53-enhancement - title: Review System Changes - params: - - id: cm-3.7_prm_1 - label: organization-defined frequency - - id: cm-3.7_prm_2 - label: organization-defined circumstances - props: - - name: label - value: CM-3(7) - - name: sort-id - value: CM-03(07) - links: - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#cm-3" - rel: related - parts: - - id: cm-3.7_smt - name: statement - prose: "Review changes to the system {{ insert: param, cm-3.7_prm_1\ - \ }} or when {{ insert: param, cm-3.7_prm_2 }} to determine whether\ - \ unauthorized changes have occurred." - - id: cm-3.7_gdn - name: guidance - prose: Indications that warrant review of changes to the system - and the specific circumstances justifying such reviews may be - obtained from activities carried out by organizations during the - configuration change process or continuous monitoring process. - - id: cm-3.8 - class: SP800-53-enhancement - title: Prevent or Restrict Configuration Changes - params: - - id: cm-3.8_prm_1 - label: organization-defined circumstances - props: - - name: label - value: CM-3(8) - - name: sort-id - value: CM-03(08) - parts: - - id: cm-3.8_smt - name: statement - prose: "Prevent or restrict changes to the configuration of the\ - \ system under the following circumstances: {{ insert: param,\ - \ cm-3.8_prm_1 }}." - - id: cm-3.8_gdn - name: guidance - prose: System configuration changes made in an ad hoc manner or - in uncontrolled environments can adversely affect critical system - security and privacy functionality. Change restrictions can be - enforced through automated mechanisms. - - id: cm-4 - class: SP800-53 - title: Impact Analyses - props: - - name: label - value: CM-4 - - name: sort-id - value: CM-04 - links: - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-9" - rel: related - - href: "#ma-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-2" - rel: related - parts: - - id: cm-4_smt - name: statement - prose: Analyze changes to the system to determine potential security - and privacy impacts prior to change implementation. - - id: cm-4_gdn - name: guidance - prose: Organizational personnel with security or privacy responsibilities - conduct impact analyses. Individuals conducting impact analyses possess - the necessary skills and technical expertise to analyze the changes - to systems and the security or privacy ramifications. Impact analyses - include reviewing security and privacy plans, policies, and procedures - to understand control requirements; reviewing system design documentation - and operational procedures to understand control implementation and - how specific system changes might affect the controls; reviewing with - stakeholders the impact of changes on organizational supply chain - partners; and determining how potential changes to a system create - new risks to the privacy of individuals and the ability of implemented - controls to mitigate those risks. Impact analyses also include risk - assessments to understand the impact of the changes and to determine - if additional controls are required. - controls: - - id: cm-4.1 - class: SP800-53-enhancement - title: Separate Test Environments - props: - - name: label - value: CM-4(1) - - name: sort-id - value: CM-04(01) - links: - - href: "#sa-11" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-4.1_smt - name: statement - prose: Analyze changes to the system in a separate test environment - before implementation in an operational environment, looking for - security and privacy impacts due to flaws, weaknesses, incompatibility, - or intentional malice. - - id: cm-4.1_gdn - name: guidance - prose: A separate test environment requires an environment that - is physically or logically separate and distinct from the operational - environment. The separation is sufficient to ensure that activities - in the test environment do not impact activities in the operational - environment, and that information in the operational environment - is not inadvertently transmitted to the test environment. Separate - environments can be achieved by physical or logical means. If - physically separate test environments are not implemented, organizations - determine the strength of mechanism required when implementing - logical separation. - - id: cm-4.2 - class: SP800-53-enhancement - title: Verification of Controls - props: - - name: label - value: CM-4(2) - - name: sort-id - value: CM-04(02) - links: - - href: "#sa-11" - rel: related - - href: "#sc-3" - rel: related - - href: "#si-6" - rel: related - parts: - - id: cm-4.2_smt - name: statement - prose: After system changes, verify that the impacted controls are - implemented correctly, operating as intended, and producing the - desired outcome with regard to meeting the security and privacy - requirements for the system. - - id: cm-4.2_gdn - name: guidance - prose: Implementation in this context refers to installing changed - code in the operational system that may have an impact on security - or privacy controls. - - id: cm-5 - class: SP800-53 - title: Access Restrictions for Change - props: - - name: label - value: CM-5 - - name: sort-id - value: CM-05 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#cm-9" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-2" - rel: related - - href: "#si-10" - rel: related - parts: - - id: cm-5_smt - name: statement - prose: Define, document, approve, and enforce physical and logical access - restrictions associated with changes to the system. - - id: cm-5_gdn - name: guidance - prose: Changes to the hardware, software, or firmware components of - systems or the operational procedures related to the system, can potentially - have significant effects on the security of the systems or individual - privacy. Therefore, organizations permit only qualified and authorized - individuals to access systems for purposes of initiating changes. - Access restrictions include physical and logical access controls (see - AC-3 and PE-3), software libraries, workflow automation, media libraries, - abstract layers (i.e., changes implemented into external interfaces - rather than directly into systems), and change windows (i.e., changes - occur only during specified times). - controls: - - id: cm-5.1 - class: SP800-53-enhancement - title: Automated Access Enforcement and Audit Records - params: - - id: cm-5.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-5(1) - - name: sort-id - value: CM-05(01) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-5.1_smt - name: statement - parts: - - id: cm-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Enforce access restrictions using {{ insert: param,\ - \ cm-5.1_prm_1 }}; and" - - id: cm-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Automatically generate audit records of the enforcement - actions. - - id: cm-5.1_gdn - name: guidance - prose: Organizations log access records associated with applying - configuration changes to ensure that configuration change control - is implemented and to support after-the-fact actions should organizations - discover any unauthorized changes. - - id: cm-5.2 - class: SP800-53-enhancement - title: Review System Changes - props: - - name: label - value: CM-5(2) - - name: status - value: Withdrawn - - name: sort-id - value: CM-05(02) - links: - - href: "#cm-3.7" - rel: incorporated-into - - id: cm-5.3 - class: SP800-53-enhancement - title: Signed Components - params: - - id: cm-5.3_prm_1 - label: organization-defined software and firmware components - props: - - name: label - value: CM-5(3) - - name: sort-id - value: CM-05(03) - links: - - href: "#cm-7" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-5.3_smt - name: statement - prose: "Prevent the installation of {{ insert: param, cm-5.3_prm_1\ - \ }} without verification that the component has been digitally\ - \ signed using a certificate that is recognized and approved by\ - \ the organization." - - id: cm-5.3_gdn - name: guidance - prose: Software and firmware components prevented from installation - unless signed with recognized and approved certificates include - software and firmware version updates, patches, service packs, - device drivers, and basic input/output system updates. Organizations - can identify applicable software and firmware components by type, - by specific items, or a combination of both. Digital signatures - and organizational verification of such signatures is a method - of code authentication. - - id: cm-5.4 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: cm-5.4_prm_1 - label: organization-defined system components and system-level information - props: - - name: label - value: CM-5(4) - - name: sort-id - value: CM-05(04) - links: - - href: "#ac-2" - rel: related - - href: "#ac-5" - rel: related - - href: "#cm-3" - rel: related - parts: - - id: cm-5.4_smt - name: statement - prose: "Enforce dual authorization for implementing changes to {{\ - \ insert: param, cm-5.4_prm_1 }}." - - id: cm-5.4_gdn - name: guidance - prose: Organizations employ dual authorization to help ensure that - any changes to selected system components and information cannot - occur unless two qualified individuals approve and implement such - changes. The two individuals possess the skills and expertise - to determine if the proposed changes are correct implementations - of approved changes. The individuals are also accountable for - the changes. Dual authorization may also be known as two-person - control. To reduce the risk of collusion, organizations consider - rotating dual authorization duties to other individuals. System-level - information includes operational procedures. - - id: cm-5.5 - class: SP800-53-enhancement - title: Privilege Limitation for Production and Operation - params: - - id: cm-5.5_prm_1 - label: organization-defined frequency - props: - - name: label - value: CM-5(5) - - name: sort-id - value: CM-05(05) - links: - - href: "#ac-2" - rel: related - parts: - - id: cm-5.5_smt - name: statement - parts: - - id: cm-5.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Limit privileges to change system components and system-related - information within a production or operational environment; - and - - id: cm-5.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Review and reevaluate privileges {{ insert: param, cm-5.5_prm_1\ - \ }}." - - id: cm-5.5_gdn - name: guidance - prose: In many organizations, systems support multiple missions - and business functions. Limiting privileges to change system components - with respect to operational systems is necessary because changes - to a system component may have far-reaching effects on mission - and business processes supported by the system. The relationships - between systems and mission/business processes are in some cases, - unknown to developers. System-related information includes operational - procedures. - - id: cm-5.6 - class: SP800-53-enhancement - title: Limit Library Privileges - props: - - name: label - value: CM-5(6) - - name: sort-id - value: CM-05(06) - links: - - href: "#ac-2" - rel: related - parts: - - id: cm-5.6_smt - name: statement - prose: Limit privileges to change software resident within software - libraries. - - id: cm-5.6_gdn - name: guidance - prose: Software libraries include privileged programs. - - id: cm-5.7 - class: SP800-53-enhancement - title: Automatic Implementation of Security Safeguards - props: - - name: label - value: CM-5(7) - - name: status - value: Withdrawn - - name: sort-id - value: CM-05(07) - links: - - href: "#si-7" - rel: incorporated-into - - id: cm-6 - class: SP800-53 - title: Configuration Settings - params: - - id: cm-6_prm_1 - label: organization-defined common secure configurations - - id: cm-6_prm_2 - label: organization-defined system components - - id: cm-6_prm_3 - label: organization-defined operational requirements - props: - - name: label - value: CM-6 - - name: sort-id - value: CM-06 - links: - - href: "#14a7d982-9747-48e0-a877-3e8fbf6ae381" - rel: reference - - href: "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#06842bea-64c9-4e20-807a-b8fc003fa737" - rel: reference - - href: "#5cc04a1c-5489-4751-a493-746a9639067b" - rel: reference - - href: "#294eed19-7471-4517-9480-2ec73e7c6a78" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#pl-8" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-2" - rel: related - - href: "#si-4" - rel: related - - href: "#si-6" - rel: related - parts: - - id: cm-6_smt - name: statement - parts: - - id: cm-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish and document configuration settings for components\ - \ employed within the system using {{ insert: param, cm-6_prm_1\ - \ }} that reflect the most restrictive mode consistent with operational\ - \ requirements;" - - id: cm-6_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the configuration settings; - - id: cm-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Identify, document, and approve any deviations from established\ - \ configuration settings for {{ insert: param, cm-6_prm_2 }} based\ - \ on {{ insert: param, cm-6_prm_3 }}; and" - - id: cm-6_smt.d - name: item - props: - - name: label - value: d. - prose: Monitor and control changes to the configuration settings - in accordance with organizational policies and procedures. - - id: cm-6_gdn - name: guidance - prose: Configuration settings are the parameters that can be changed - in the hardware, software, or firmware components of the system that - affect the security posture or functionality of the system. Information - technology products for which security-related configuration settings - can be defined include mainframe computers, servers, workstations, - operating systems, mobile devices, input/output devices, protocols, - and applications. Security parameters are parameters impacting the - security posture of systems, including the parameters required to - satisfy other security control requirements. Security parameters include - registry settings; account, file, or directory permission settings; - and settings for functions, protocols, ports, services, and remote - connections. Organizations establish organization-wide configuration - settings and subsequently derive specific configuration settings for - systems. The established settings become part of the configuration - baseline for the system. Common secure configurations (also known - as security configuration checklists, lockdown and hardening guides, - security reference guides) provide recognized, standardized, and established - benchmarks that stipulate secure configuration settings for information - technology products and platforms as well as instructions for configuring - those products or platforms to meet operational requirements. Common - secure configurations can be developed by a variety of organizations, - including information technology product developers, manufacturers, - vendors, federal agencies, consortia, academia, industry, and other - organizations in the public and private sectors. Implementation of - a common secure configuration may be mandated at the organization - level, mission/business process level, or system level, or may be - mandated at a higher level, including by a regulatory agency. Common - secure configurations include the United States Government Configuration - Baseline [USGCB] and security technical implementation guides (STIGs), - which affect the implementation of CM-6 and other controls such as - AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and - the defined standards within the protocol provide an effective method - to uniquely identify, track, and control configuration settings. - controls: - - id: cm-6.1 - class: SP800-53-enhancement - title: Automated Management, Application, and Verification - params: - - id: cm-6.1_prm_1 - label: organization-defined system components - - id: cm-6.1_prm_2 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-6(1) - - name: sort-id - value: CM-06(01) - links: - - href: "#ca-7" - rel: related - parts: - - id: cm-6.1_smt - name: statement - prose: "Centrally manage, apply, and verify configuration settings\ - \ for {{ insert: param, cm-6.1_prm_1 }} using {{ insert: param,\ - \ cm-6.1_prm_2 }}." - - id: cm-6.1_gdn - name: guidance - prose: Automated tools (e.g., security information and event management - tools or enterprise security monitoring tools) can improve the - accuracy, consistency, and availability of configuration settings - information. Automation can also provide data aggregation and - data correlation capabilities; alerting mechanisms; and dashboards - to support risk-based decision making within the organization. - - id: cm-6.2 - class: SP800-53-enhancement - title: Respond to Unauthorized Changes - params: - - id: cm-6.2_prm_1 - label: organization-defined configuration settings - - id: cm-6.2_prm_2 - label: organization-defined actions - props: - - name: label - value: CM-6(2) - - name: sort-id - value: CM-06(02) - links: - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-6.2_smt - name: statement - prose: "Take the following actions in response to unauthorized changes\ - \ to {{ insert: param, cm-6.2_prm_1 }}: {{ insert: param, cm-6.2_prm_2\ - \ }}." - - id: cm-6.2_gdn - name: guidance - prose: Responses to unauthorized changes to configuration settings - include alerting designated organizational personnel, restoring - established configuration settings, or in extreme cases, halting - affected system processing. - - id: cm-6.3 - class: SP800-53-enhancement - title: Unauthorized Change Detection - props: - - name: label - value: CM-6(3) - - name: status - value: Withdrawn - - name: sort-id - value: CM-06(03) - links: - - href: "#si-7" - rel: incorporated-into - - id: cm-6.4 - class: SP800-53-enhancement - title: Conformance Demonstration - props: - - name: label - value: CM-6(4) - - name: status - value: Withdrawn - - name: sort-id - value: CM-06(04) - links: - - href: "#cm-4" - rel: incorporated-into - - id: cm-7 - class: SP800-53 - title: Least Functionality - params: - - id: cm-7_prm_1 - label: organization-defined mission essential capabilities - - id: cm-7_prm_2 - label: organization-defined prohibited or restricted functions, ports, - protocols, software, and/or services - props: - - name: label - value: CM-7 - - name: sort-id - value: CM-07 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#893d1736-324c-41d6-a5f4-d526b5ca981a" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-4" - rel: related - parts: - - id: cm-7_smt - name: statement - parts: - - id: cm-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Configure the system to provide only {{ insert: param, cm-7_prm_1\ - \ }}; and" - - id: cm-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Prohibit or restrict the use of the following functions,\ - \ ports, protocols, software, and/or services: {{ insert: param,\ - \ cm-7_prm_2 }}." - - id: cm-7_gdn - name: guidance - prose: Systems provide a wide variety of functions and services. Some - of the functions and services routinely provided by default, may not - be necessary to support essential organizational missions, functions, - or operations. Additionally, it is sometimes convenient to provide - multiple services from a single system component but doing so increases - risk over limiting the services provided by that single component. - Where feasible, organizations limit component functionality to a single - function per component. Organizations consider removing unused or - unnecessary software and disabling unused or unnecessary physical - and logical ports and protocols to prevent unauthorized connection - of components, transfer of information, and tunneling. Organizations - employ network scanning tools, intrusion detection and prevention - systems, and end-point protection technologies such as firewalls and - host-based intrusion detection systems to identify and prevent the - use of prohibited functions, protocols, ports, and services. Least - functionality can also be achieved as part of the fundamental design - and development of the system (see SA-8, SC-2, and SC-3). - controls: - - id: cm-7.1 - class: SP800-53-enhancement - title: Periodic Review - params: - - id: cm-7.1_prm_1 - label: organization-defined frequency - - id: cm-7.1_prm_2 - label: organization-defined functions, ports, protocols, software, - and services within the system deemed to be unnecessary and/or - nonsecure - props: - - name: label - value: CM-7(1) - - name: sort-id - value: CM-07(01) - links: - - href: "#ac-18" - rel: related - parts: - - id: cm-7.1_smt - name: statement - parts: - - id: cm-7.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Review the system {{ insert: param, cm-7.1_prm_1 }}\ - \ to identify unnecessary and/or nonsecure functions, ports,\ - \ protocols, software, and services; and" - - id: cm-7.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Disable or remove {{ insert: param, cm-7.1_prm_2 }}." - - id: cm-7.1_gdn - name: guidance - prose: Organizations review functions, ports, protocols, and services - provided by systems or system components to determine the functions - and services that are candidates for elimination. Such reviews - are especially important during transition periods from older - technologies to newer technologies (e.g., transition from IPv4 - to IPv6). These technology transitions may require implementing - the older and newer technologies simultaneously during the transition - period and returning to minimum essential functions, ports, protocols, - and services at the earliest opportunity. Organizations can either - decide the relative security of the function, port, protocol, - and/or service or base the security decision on the assessment - of other entities. Unsecure protocols include Bluetooth, FTP, - and peer-to-peer networking. - - id: cm-7.2 - class: SP800-53-enhancement - title: Prevent Program Execution - params: - - id: cm-7.2_prm_1 - select: - how-many: one-or-more - choice: - - " {{ insert: param, cm-7.2_prm_2 }} " - - rules authorizing the terms and conditions of software program - usage - - id: cm-7.2_prm_2 - depends-on: cm-7.2_prm_1 - label: organization-defined policies, rules of behavior, and/or - access agreements regarding software program usage and restrictions - props: - - name: label - value: CM-7(2) - - name: sort-id - value: CM-07(02) - links: - - href: "#cm-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-5" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: cm-7.2_smt - name: statement - prose: "Prevent program execution in accordance with {{ insert:\ - \ param, cm-7.2_prm_1 }}." - - id: cm-7.2_gdn - name: guidance - prose: Prevention of program execution addresses organizational - policies, rules of behavior, and/or access agreements restricting - software usage and the terms and conditions imposed by the developer - or manufacturer, including software licensing and copyrights. - Restrictions include prohibiting auto-execute features; restricting - roles allowed to approve program execution; program blacklisting - and whitelisting; or restricting the number of program instances - executed at the same time. - - id: cm-7.3 - class: SP800-53-enhancement - title: Registration Compliance - params: - - id: cm-7.3_prm_1 - label: organization-defined registration requirements for functions, - ports, protocols, and services - props: - - name: label - value: CM-7(3) - - name: sort-id - value: CM-07(03) - parts: - - id: cm-7.3_smt - name: statement - prose: "Ensure compliance with {{ insert: param, cm-7.3_prm_1 }}." - - id: cm-7.3_gdn - name: guidance - prose: Organizations use the registration process to manage, track, - and provide oversight for systems and implemented functions, ports, - protocols, and services. - - id: cm-7.4 - class: SP800-53-enhancement - title: Unauthorized Software — Blacklisting - params: - - id: cm-7.4_prm_1 - label: organization-defined software programs not authorized to - execute on the system - - id: cm-7.4_prm_2 - label: organization-defined frequency - props: - - name: label - value: CM-7(4) - - name: sort-id - value: CM-07(04) - links: - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-10" - rel: related - - href: "#pm-5" - rel: related - parts: - - id: cm-7.4_smt - name: statement - parts: - - id: cm-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Identify {{ insert: param, cm-7.4_prm_1 }};" - - id: cm-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ an allow-all, deny-by-exception policy to prohibit - the execution of unauthorized software programs on the system; - and - - id: cm-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Review and update the list of unauthorized software\ - \ programs {{ insert: param, cm-7.4_prm_2 }}." - - id: cm-7.4_gdn - name: guidance - prose: The process used to identify software programs or categories - of software programs that are not authorized to execute on organizational - systems is commonly referred to as blacklisting. Software programs - identified can be limited to specific versions or from a specific - source. The concept of blacklisting may also be applied to user - actions, ports, IP addresses, and media access control (MAC) addresses. - - id: cm-7.5 - class: SP800-53-enhancement - title: Authorized Software — Whitelisting - params: - - id: cm-7.5_prm_1 - label: organization-defined software programs authorized to execute - on the system - - id: cm-7.5_prm_2 - label: organization-defined frequency - props: - - name: label - value: CM-7(5) - - name: sort-id - value: CM-07(05) - links: - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-10" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-7.5_smt - name: statement - parts: - - id: cm-7.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Identify {{ insert: param, cm-7.5_prm_1 }};" - - id: cm-7.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ a deny-all, permit-by-exception policy to allow - the execution of authorized software programs on the system; - and - - id: cm-7.5_smt.c - name: item - props: - - name: label - value: (c) - prose: "Review and update the list of authorized software programs\ - \ {{ insert: param, cm-7.5_prm_2 }}." - - id: cm-7.5_gdn - name: guidance - prose: The process used to identify specific software programs or - entire categories of software programs that are authorized to - execute on organizational systems is commonly referred to as whitelisting. - Software programs identified can be limited to specific versions - or from a specific source. To facilitate comprehensive whitelisting - and increase the strength of protection for attacks that bypass - application level whitelisting, software programs may be decomposed - into and monitored at different levels of detail. Software program - levels of detail include applications, application programming - interfaces, application modules, scripts, system processes, system - services, kernel functions, registries, drivers, and dynamic link - libraries. The concept of whitelisting may also be applied to - user actions, ports, IP addresses, and media access control (MAC) - addresses. Organizations consider verifying the integrity of white-listed - software programs using, cryptographic checksums, digital signatures, - or hash functions. Verification of white-listed software can occur - either prior to execution or at system startup. Whitelisting of - URLs for websites is addressed in CA-3(5) and SC-7. - - id: cm-7.6 - class: SP800-53-enhancement - title: Confined Environments with Limited Privileges - params: - - id: cm-7.6_prm_1 - label: organization-defined user-installed software - props: - - name: label - value: CM-7(6) - - name: sort-id - value: CM-07(06) - links: - - href: "#cm-11" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: cm-7.6_smt - name: statement - prose: "Require that the following user-installed software execute\ - \ in a confined physical or virtual machine environment with limited\ - \ privileges: {{ insert: param, cm-7.6_prm_1 }}." - - id: cm-7.6_gdn - name: guidance - prose: Organizations identify software that may be of concern regarding - its origin or potential for containing malicious code. For this - type of software, user installations occur in confined environments - of operation to limit or contain damage from malicious code that - may be executed. - - id: cm-7.7 - class: SP800-53-enhancement - title: Code Execution in Protected Environments - params: - - id: cm-7.7_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: CM-7(7) - - name: sort-id - value: CM-07(07) - links: - - href: "#cm-10" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: cm-7.7_smt - name: statement - prose: "Allow execution of binary or machine-executable code only\ - \ in confined physical or virtual machine environments and with\ - \ the explicit approval of {{ insert: param, cm-7.7_prm_1 }} when\ - \ such code is:" - parts: - - id: cm-7.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Obtained from sources with limited or no warranty; and/or - - id: cm-7.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Without the provision of source code. - - id: cm-7.7_gdn - name: guidance - prose: This control enhancement applies to all sources of binary - or machine-executable code, including commercial software and - firmware and open source software. - - id: cm-7.8 - class: SP800-53-enhancement - title: Binary or Machine Executable Code - props: - - name: label - value: CM-7(8) - - name: sort-id - value: CM-07(08) - links: - - href: "#sa-5" - rel: related - - href: "#sa-22" - rel: related - parts: - - id: cm-7.8_smt - name: statement - parts: - - id: cm-7.8_smt.a - name: item - props: - - name: label - value: (a) - prose: Prohibit the use of binary or machine-executable code - from sources with limited or no warranty or without the provision - of source code; and - - id: cm-7.8_smt.b - name: item - props: - - name: label - value: (b) - prose: Allow exceptions only for compelling mission or operational - requirements and with the approval of the authorizing official. - - id: cm-7.8_gdn - name: guidance - prose: This control enhancement applies to all sources of binary - or machine-executable code, including commercial software and - firmware and open source software. Organizations assess software - products without accompanying source code or from sources with - limited or no warranty for potential security impacts. The assessments - address the fact that software products without the provision - of source code may be difficult to review, repair, or extend. - In addition, there may be no owners to make such repairs on behalf - of organizations. If open source software is used, the assessments - address the fact that there is no warranty, the open source software - could contain back doors or malware, and there may be no support - available. - - id: cm-8 - class: SP800-53 - title: System Component Inventory - params: - - id: cm-8_prm_1 - label: organization-defined information deemed necessary to achieve - effective system component accountability - - id: cm-8_prm_2 - label: organization-defined frequency - props: - - name: label - value: CM-8 - - name: sort-id - value: CM-08 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-20" - rel: related - - href: "#pm-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: cm-8_smt - name: statement - parts: - - id: cm-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and document an inventory of system components that:" - parts: - - id: cm-8_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Accurately reflects the system; - - id: cm-8_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Includes all components within the system; - - id: cm-8_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Is at the level of granularity deemed necessary for tracking - and reporting; and - - id: cm-8_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: "Includes the following information to achieve system\ - \ component accountability: {{ insert: param, cm-8_prm_1 }};\ - \ and" - - id: cm-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the system component inventory {{ insert:\ - \ param, cm-8_prm_2 }}." - - id: cm-8_gdn - name: guidance - prose: System components are discrete, identifiable information technology - assets that include hardware, software, and firmware. Organizations - may choose to implement centralized system component inventories that - include components from all organizational systems. In such situations, - organizations ensure that the inventories include system-specific - information required for component accountability. The information - necessary for effective accountability of system components includes - system name, software owners, software version numbers, hardware inventory - specifications, software license information, and for networked components, - the machine names and network addresses across all implemented protocols - (e.g., IPv4, IPv6). Inventory specifications include date of receipt, - cost, model, serial number, manufacturer, supplier information, component - type, and physical location. - controls: - - id: cm-8.1 - class: SP800-53-enhancement - title: Updates During Installation and Removal - props: - - name: label - value: CM-8(1) - - name: sort-id - value: CM-08(01) - links: - - href: "#pm-16" - rel: related - parts: - - id: cm-8.1_smt - name: statement - prose: Update the inventory of system components as part of component - installations, removals, and system updates. - - id: cm-8.1_gdn - name: guidance - prose: Organizations can improve the accuracy, completeness, and - consistency of system component inventories if the inventories - are updated routinely as part of component installations or removals, - or during general system updates. If inventories are not updated - at these key times, there is a greater likelihood that the information - will not be appropriately captured and documented. System updates - include hardware, software, and firmware components. - - id: cm-8.2 - class: SP800-53-enhancement - title: Automated Maintenance - params: - - id: cm-8.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-8(2) - - name: sort-id - value: CM-08(02) - parts: - - id: cm-8.2_smt - name: statement - prose: "Maintain the currency, completeness, accuracy, and availability\ - \ of the inventory of system components using {{ insert: param,\ - \ cm-8.2_prm_1 }}." - - id: cm-8.2_gdn - name: guidance - prose: Organizations maintain system inventories to the extent feasible. - For example, virtual machines can be difficult to monitor because - such machines are not visible to the network when not in use. - In such cases, organizations maintain as up-to-date, complete, - and accurate an inventory as is deemed reasonable. Automated maintenance - can be achieved by the implementation of CM-2(2) for organizations - that combine system component inventory and baseline configuration - activities. - - id: cm-8.3 - class: SP800-53-enhancement - title: Automated Unauthorized Component Detection - params: - - id: cm-8.3_prm_1 - label: organization-defined automated mechanisms - - id: cm-8.3_prm_2 - label: organization-defined frequency - - id: cm-8.3_prm_3 - select: - how-many: one-or-more - choice: - - disable network access by such components - - isolate the components - - "notify {{ insert: param, cm-8.3_prm_4 }} " - - id: cm-8.3_prm_4 - depends-on: cm-8.3_prm_3 - label: organization-defined personnel or roles - props: - - name: label - value: CM-8(3) - - name: sort-id - value: CM-08(03) - links: - - href: "#ac-19" - rel: related - - href: "#ca-7" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-39" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-8.3_smt - name: statement - parts: - - id: cm-8.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect the presence of unauthorized hardware, software,\ - \ and firmware components within the system using {{ insert:\ - \ param, cm-8.3_prm_1 }} {{ insert: param, cm-8.3_prm_2 }};\ - \ and" - - id: cm-8.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions when unauthorized components\ - \ are detected: {{ insert: param, cm-8.3_prm_3 }}." - - id: cm-8.3_gdn - name: guidance - prose: Automated unauthorized component detection is applied in - addition to the monitoring for unauthorized remote connections - and mobile devices. Monitoring for unauthorized system components - may be accomplished on an ongoing basis or by the periodic scanning - of systems for that purpose. Automated mechanisms can be implemented - in systems or in separate system components. When acquiring and - implementing automated mechanisms, organizations consider whether - such mechanisms depend on the ability of the system component - to support an agent or supplicant in order to be detected since - some types of components do not have or cannot support agents - (e.g., IoT devices). Isolation can be achieved, for example, by - placing unauthorized system components in separate domains or - subnets or quarantining such components. This type of component - isolation is commonly referred to as sandboxing. - - id: cm-8.4 - class: SP800-53-enhancement - title: Accountability Information - params: - - id: cm-8.4_prm_1 - select: - how-many: one-or-more - choice: - - name - - position - - role - props: - - name: label - value: CM-8(4) - - name: sort-id - value: CM-08(04) - parts: - - id: cm-8.4_smt - name: statement - prose: "Include in the system component inventory information, a\ - \ means for identifying by {{ insert: param, cm-8.4_prm_1 }},\ - \ individuals responsible and accountable for administering those\ - \ components." - - id: cm-8.4_gdn - name: guidance - prose: Identifying individuals who are responsible and accountable - for administering system components ensures that the assigned - components are properly administered and that organizations can - contact those individuals if some action is required, for example, - the component is determined to be the source of a breach; the - component needs to be recalled or replaced; or the component needs - to be relocated. - - id: cm-8.5 - class: SP800-53-enhancement - title: No Duplicate Accounting of Components - props: - - name: label - value: CM-8(5) - - name: sort-id - value: CM-08(05) - parts: - - id: cm-8.5_smt - name: statement - parts: - - id: cm-8.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Verify that all components within the system are not - duplicated in other system component inventories; or - - id: cm-8.5_smt.b - name: item - props: - - name: label - value: (b) - prose: If a centralized component inventory is used, verify - components are not assigned to multiple systems. - - id: cm-8.5_gdn - name: guidance - prose: Preventing duplicate accounting of system components addresses - the lack of accountability that occurs when component ownership - and system association is not known, especially in large or complex - connected systems. For software inventory, centrally managed software - that is accessed via other systems is addressed as a component - of the system on which it is installed and managed. Software installed - on multiple organizational systems and managed at the system level - is addressed for each individual system and may appear more than - once in a centralized component inventory, necessitating a system - association for each software instance in the centralized inventory - to avoid duplicate accounting of components. Scanning systems - implementing multiple network protocols (e.g., IPv4 and IPv6) - can result in duplicate components being identified in different - address spaces. The implementation of CM-8(7) can help to eliminate - duplicate accounting of components. - - id: cm-8.6 - class: SP800-53-enhancement - title: Assessed Configurations and Approved Deviations - props: - - name: label - value: CM-8(6) - - name: sort-id - value: CM-08(06) - parts: - - id: cm-8.6_smt - name: statement - prose: Include assessed component configurations and any approved - deviations to current deployed configurations in the system component - inventory. - - id: cm-8.6_gdn - name: guidance - prose: Assessed configurations and approved deviations focus on - configuration settings established by organizations for system - components, the specific components that have been assessed to - determine compliance with the required configuration settings, - and any approved deviations from established configuration settings. - - id: cm-8.7 - class: SP800-53-enhancement - title: Centralized Repository - props: - - name: label - value: CM-8(7) - - name: sort-id - value: CM-08(07) - parts: - - id: cm-8.7_smt - name: statement - prose: Provide a centralized repository for the inventory of system - components. - - id: cm-8.7_gdn - name: guidance - prose: Organizations may implement centralized system component - inventories that include components from all organizational systems. - Centralized repositories of component inventories provide opportunities - for efficiencies in accounting for organizational hardware, software, - and firmware assets. Such repositories may also help organizations - rapidly identify the location and responsible individuals of components - that have been compromised, breached, or are otherwise in need - of mitigation actions. Organizations ensure that the resulting - centralized inventories include system-specific information required - for proper component accountability. - - id: cm-8.8 - class: SP800-53-enhancement - title: Automated Location Tracking - params: - - id: cm-8.8_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CM-8(8) - - name: sort-id - value: CM-08(08) - parts: - - id: cm-8.8_smt - name: statement - prose: "Support the tracking of system components by geographic\ - \ location using {{ insert: param, cm-8.8_prm_1 }}." - - id: cm-8.8_gdn - name: guidance - prose: The use of automated mechanisms to track the location of - system components can increase the accuracy of component inventories. - Such capability may help organizations rapidly identify the location - and responsible individuals of system components that have been - compromised, breached, or are otherwise in need of mitigation - actions. The use of tracking mechanisms can be coordinated with - senior agency officials for privacy if there are implications - affecting individual privacy. - - id: cm-8.9 - class: SP800-53-enhancement - title: Assignment of Components to Systems - params: - - id: cm-8.9_prm_1 - label: organization-defined acquired system components - - id: cm-8.9_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: CM-8(9) - - name: sort-id - value: CM-08(09) - parts: - - id: cm-8.9_smt - name: statement - parts: - - id: cm-8.9_smt.a - name: item - props: - - name: label - value: (a) - prose: "Assign {{ insert: param, cm-8.9_prm_1 }} to a system;\ - \ and" - - id: cm-8.9_smt.b - name: item - props: - - name: label - value: (b) - prose: "Receive an acknowledgement from {{ insert: param, cm-8.9_prm_2\ - \ }} of this assignment." - - id: cm-8.9_gdn - name: guidance - prose: Acquired system components that are not assigned to a specific - system may be unmanaged, lack the required protection, and thus, - become an organizational vulnerability. Organizations determine - the types of system components that are subject to this control - enhancement. - - id: cm-9 - class: SP800-53 - title: Configuration Management Plan - params: - - id: cm-9_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: CM-9 - - name: sort-id - value: CM-09 - links: - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-2" - rel: related - - href: "#sa-10" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cm-9_smt - name: statement - prose: "Develop, document, and implement a configuration management\ - \ plan for the system that:" - parts: - - id: cm-9_smt.a - name: item - props: - - name: label - value: a. - prose: Addresses roles, responsibilities, and configuration management - processes and procedures; - - id: cm-9_smt.b - name: item - props: - - name: label - value: b. - prose: Establishes a process for identifying configuration items - throughout the system development life cycle and for managing - the configuration of the configuration items; - - id: cm-9_smt.c - name: item - props: - - name: label - value: c. - prose: Defines the configuration items for the system and places - the configuration items under configuration management; - - id: cm-9_smt.d - name: item - props: - - name: label - value: d. - prose: "Is reviewed and approved by {{ insert: param, cm-9_prm_1\ - \ }}; and" - - id: cm-9_smt.e - name: item - props: - - name: label - value: e. - prose: Protects the configuration management plan from unauthorized - disclosure and modification. - - id: cm-9_gdn - name: guidance - prose: Configuration management activities occur throughout the system - development life cycle. As such, there are developmental configuration - management activities (e.g., the control of code and software libraries) - and operational configuration management activities (e.g., control - of installed components and how the components are configured). Configuration - management plans satisfy the requirements in configuration management - policies while being tailored to individual systems. Configuration - management plans define processes and procedures for how configuration - management is used to support system development life cycle activities. - Configuration management plans are generated during the development - and acquisition stage of the system development life cycle. The plans - describe how to advance changes through change management processes, - how to update configuration settings and baselines, how to maintain - component inventories, how to control development, test, and operational - environments, and how to develop, release, and update key documents. - Organizations can employ templates to help ensure consistent and timely - development and implementation of configuration management plans. - Templates can represent a master configuration management plan for - the organization with subsets of the plan implemented on a system - by system basis. Configuration management approval processes include - designation of key management stakeholders responsible for reviewing - and approving proposed changes to systems, and personnel that conduct - security impact analyses prior to the implementation of changes to - the systems. Configuration items are the system components, for example, - the hardware, software, firmware, and documentation to be configuration-managed. - As systems continue through the system development life cycle, new - configuration items may be identified, and some existing configuration - items may no longer need to be under configuration control. - controls: - - id: cm-9.1 - class: SP800-53-enhancement - title: Assignment of Responsibility - props: - - name: label - value: CM-9(1) - - name: sort-id - value: CM-09(01) - parts: - - id: cm-9.1_smt - name: statement - prose: Assign responsibility for developing the configuration management - process to organizational personnel that are not directly involved - in system development. - - id: cm-9.1_gdn - name: guidance - prose: In the absence of dedicated configuration management teams - assigned within organizations, system developers may be tasked - to develop configuration management processes using personnel - who are not directly involved in system development or system - integration. This separation of duties ensures that organizations - establish and maintain a sufficient degree of independence between - the system development and integration processes and configuration - management processes to facilitate quality control and more effective - oversight. - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - props: - - name: label - value: CM-10 - - name: sort-id - value: CM-10 - links: - - href: "#ac-17" - rel: related - - href: "#au-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cm-10_smt - name: statement - parts: - - id: cm-10_smt.a - name: item - props: - - name: label - value: a. - prose: Use software and associated documentation in accordance with - contract agreements and copyright laws; - - id: cm-10_smt.b - name: item - props: - - name: label - value: b. - prose: Track the use of software and associated documentation protected - by quantity licenses to control copying and distribution; and - - id: cm-10_smt.c - name: item - props: - - name: label - value: c. - prose: Control and document the use of peer-to-peer file sharing - technology to ensure that this capability is not used for the - unauthorized distribution, display, performance, or reproduction - of copyrighted work. - - id: cm-10_gdn - name: guidance - prose: Software license tracking can be accomplished by manual or automated - methods depending on organizational needs. A non-disclosure agreement - is an example of a contract agreement. - controls: - - id: cm-10.1 - class: SP800-53-enhancement - title: Open Source Software - params: - - id: cm-10.1_prm_1 - label: organization-defined restrictions - props: - - name: label - value: CM-10(1) - - name: sort-id - value: CM-10(01) - links: - - href: "#si-7" - rel: related - parts: - - id: cm-10.1_smt - name: statement - prose: "Establish the following restrictions on the use of open\ - \ source software: {{ insert: param, cm-10.1_prm_1 }}." - - id: cm-10.1_gdn - name: guidance - prose: Open source software refers to software that is available - in source code form. Certain software rights normally reserved - for copyright holders are routinely provided under software license - agreements that permit individuals to study, change, and improve - the software. From a security perspective, the major advantage - of open source software is that it provides organizations with - the ability to examine the source code. However, remediating vulnerabilities - in open source software may be problematic. There may also be - licensing issues associated with open source software, including - the constraints on derivative use of such software. Open source - software that is available only in binary form may increase the - level of risk in using such software. - - id: cm-11 - class: SP800-53 - title: User-installed Software - params: - - id: cm-11_prm_1 - label: organization-defined policies - - id: cm-11_prm_2 - label: organization-defined methods - - id: cm-11_prm_3 - label: organization-defined frequency - props: - - name: label - value: CM-11 - - name: sort-id - value: CM-11 - links: - - href: "#ac-3" - rel: related - - href: "#au-6" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-11_smt - name: statement - parts: - - id: cm-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish {{ insert: param, cm-11_prm_1 }} governing the\ - \ installation of software by users;" - - id: cm-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Enforce software installation policies through the following\ - \ methods: {{ insert: param, cm-11_prm_2 }}; and" - - id: cm-11_smt.c - name: item - props: - - name: label - value: c. - prose: "Monitor policy compliance {{ insert: param, cm-11_prm_3\ - \ }}." - - id: cm-11_gdn - name: guidance - prose: If provided the necessary privileges, users can install software - in organizational systems. To maintain control over the software installed, - organizations identify permitted and prohibited actions regarding - software installation. Permitted software installations include updates - and security patches to existing software and downloading new applications - from organization-approved “app stores.” Prohibited software installations - include software with unknown or suspect pedigrees or software that - organizations consider potentially malicious. Policies selected for - governing user-installed software are organization-developed or provided - by some external entity. Policy enforcement methods can include procedural - methods and automated methods. - controls: - - id: cm-11.1 - class: SP800-53-enhancement - title: Alerts for Unauthorized Installations - props: - - name: label - value: CM-11(1) - - name: status - value: Withdrawn - - name: sort-id - value: CM-11(01) - links: - - href: "#cm-8.3" - rel: incorporated-into - - id: cm-11.2 - class: SP800-53-enhancement - title: Software Installation with Privileged Status - props: - - name: label - value: CM-11(2) - - name: sort-id - value: CM-11(02) - links: - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: cm-11.2_smt - name: statement - prose: Allow user installation of software only with explicit privileged - status. - - id: cm-11.2_gdn - name: guidance - prose: Privileged status can be obtained, for example, by serving - in the role of system administrator. - - id: cm-12 - class: SP800-53 - title: Information Location - params: - - id: cm-12_prm_1 - label: organization-defined information - props: - - name: label - value: CM-12 - - name: sort-id - value: CM-12 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-23" - rel: related - - href: "#cm-8" - rel: related - - href: "#pm-5" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-4" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: cm-12_smt - name: statement - parts: - - id: cm-12_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document the location of {{ insert: param,\ - \ cm-12_prm_1 }} and the specific system components on which the\ - \ information is processed and stored;" - - id: cm-12_smt.b - name: item - props: - - name: label - value: b. - prose: Identify and document the users who have access to the system - and system components where the information is processed and stored; - and - - id: cm-12_smt.c - name: item - props: - - name: label - value: c. - prose: Document changes to the location (i.e., system or system - components) where the information is processed and stored. - - id: cm-12_gdn - name: guidance - prose: Information location addresses the need to understand where information - is being processed and stored. Information location includes identifying - where specific information types and associated information reside - in the system components; and how information is being processed so - that information flow can be understood, and adequate protection and - policy management provided for such information and system components. - The security category of the information is also a factor in determining - the controls necessary to protect the information and the system component - where the information resides (see FIPS 199). The location of the - information and system components is also a factor in the architecture - and design of the system (see SA-4, SA-8, SA-17). - controls: - - id: cm-12.1 - class: SP800-53-enhancement - title: Automated Tools to Support Information Location - params: - - id: cm-12.1_prm_1 - label: organization-defined information by information type - - id: cm-12.1_prm_2 - label: organization-defined system components - props: - - name: label - value: CM-12(1) - - name: sort-id - value: CM-12(01) - parts: - - id: cm-12.1_smt - name: statement - prose: "Use automated tools to identify {{ insert: param, cm-12.1_prm_1\ - \ }} on {{ insert: param, cm-12.1_prm_2 }} to ensure controls\ - \ are in place to protect organizational information and individual\ - \ privacy." - - id: cm-12.1_gdn - name: guidance - prose: The use of automated tools helps to increase the effectiveness - and efficiency of the information location capability implemented - within the system. Automation also helps organizations manage - the data produced during information location activities and share - such information organization-wide. The output of automated information - location tools can be used to guide and inform system architecture - and design decisions. - - id: cm-13 - class: SP800-53 - title: Data Action Mapping - props: - - name: label - value: CM-13 - - name: sort-id - value: CM-13 - links: - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#cm-4" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-27" - rel: related - parts: - - id: cm-13_smt - name: statement - prose: Develop and document a map of system data actions. - - id: cm-13_gdn - name: guidance - prose: Data actions are system operations that process personally identifiable - information. The processing of such information encompasses the full - information life cycle which includes collection, generation, transformation, - use, disclosure, retention, and disposal. A map of system data actions - includes discrete data actions, elements of personally identifiable - information being processed in the data actions, components of the - system involved in the data actions, and the owners or operators of - the components. Understanding what personally identifiable information - is being processed (e.g., the sensitivity of the personally identifiable - information), how personally identifiable information is being processed - (e.g., if the data action is visible to the individual or is processed - on the backend of the system), and by whom (e.g., individuals may - have different privacy perceptions based on the entity that is processing - the personally identifiable information) provides a number of contextual - factors that are important to assessing the degree of privacy risk - created by the system. The data map may be an overlay of any system - design artifact that the organization is using. The development of - this map may necessitate coordination between the privacy and security - programs regarding the covered data actions and the components that - are identified as part of the system. - - id: cp - class: family - title: Contingency Planning - controls: - - id: cp-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: cp-1_prm_1 - label: organization-defined personnel or roles - - id: cp-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: cp-1_prm_3 - label: organization-defined official - - id: cp-1_prm_4 - label: organization-defined frequency - - id: cp-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: CP-1 - - name: sort-id - value: CP-01 - links: - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cp-1_smt - name: statement - parts: - - id: cp-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ cp-1_prm_1 }}:" - parts: - - id: cp-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, cp-1_prm_2 }} contingency planning\ - \ policy that:" - parts: - - id: cp-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: cp-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: cp-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the contingency - planning policy and the associated contingency planning controls; - - id: cp-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, cp-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the contingency\ - \ planning policy and procedures; and" - - id: cp-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current contingency planning:" - parts: - - id: cp-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, cp-1_prm_4 }}; and" - - id: cp-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, cp-1_prm_5 }}." - - id: cp-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the CP family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: cp-2 - class: SP800-53 - title: Contingency Plan - params: - - id: cp-2_prm_1 - label: organization-defined personnel or roles - - id: cp-2_prm_2 - label: organization-defined key contingency personnel (identified by - name and/or by role) and organizational elements - - id: cp-2_prm_3 - label: organization-defined frequency - - id: cp-2_prm_4 - label: organization-defined key contingency personnel (identified by - name and/or by role) and organizational elements - props: - - name: label - value: CP-2 - - name: sort-id - value: CP-02 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#7a93e915-fd58-4147-be12-e48044c367e6" - rel: reference - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-11" - rel: related - - href: "#cp-13" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - - href: "#ma-6" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-20" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-23" - rel: related - - href: "#si-12" - rel: related - parts: - - id: cp-2_smt - name: statement - parts: - - id: cp-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop a contingency plan for the system that:" - parts: - - id: cp-2_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Identifies essential missions and business functions - and associated contingency requirements; - - id: cp-2_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Provides recovery objectives, restoration priorities, - and metrics; - - id: cp-2_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Addresses contingency roles, responsibilities, assigned - individuals with contact information; - - id: cp-2_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Addresses maintaining essential missions and business - functions despite a system disruption, compromise, or failure; - - id: cp-2_smt.a.5 - name: item - props: - - name: label - value: "5." - prose: Addresses eventual, full system restoration without deterioration - of the controls originally planned and implemented; and - - id: cp-2_smt.a.6 - name: item - props: - - name: label - value: "6." - prose: "Is reviewed and approved by {{ insert: param, cp-2_prm_1\ - \ }};" - - id: cp-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the contingency plan to {{ insert:\ - \ param, cp-2_prm_2 }};" - - id: cp-2_smt.c - name: item - props: - - name: label - value: c. - prose: Coordinate contingency planning activities with incident - handling activities; - - id: cp-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Review the contingency plan for the system {{ insert: param,\ - \ cp-2_prm_3 }};" - - id: cp-2_smt.e - name: item - props: - - name: label - value: e. - prose: Update the contingency plan to address changes to the organization, - system, or environment of operation and problems encountered during - contingency plan implementation, execution, or testing; - - id: cp-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Communicate contingency plan changes to {{ insert: param,\ - \ cp-2_prm_4 }}; and" - - id: cp-2_smt.g - name: item - props: - - name: label - value: g. - prose: Protect the contingency plan from unauthorized disclosure - and modification. - - id: cp-2_gdn - name: guidance - prose: Contingency planning for systems is part of an overall program - for achieving continuity of operations for organizational missions - and business functions. Contingency planning addresses system restoration - and implementation of alternative mission or business processes when - systems are compromised or breached. Contingency planning is considered - throughout the system development life cycle and is a fundamental - part of the system design. Systems can be designed for redundancy, - to provide backup capabilities, and for resilience. Contingency plans - reflect the degree of restoration required for organizational systems - since not all systems need to fully recover to achieve the level of - continuity of operations desired. System recovery objectives reflect - applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. In addition to availability, contingency - plans address other security-related events resulting in a reduction - in mission effectiveness including malicious attacks that compromise - the integrity of systems or the confidentiality of information. Actions - addressed in contingency plans include orderly system degradation, - system shutdown, fallback to a manual mode, alternate information - flows, and operating in modes reserved for when systems are under - attack. By coordinating contingency planning with incident handling - activities, organizations ensure that the necessary planning activities - are in place and activated in the event of an incident. Organizations - consider whether continuity of operations during an incident conflicts - with the capability to automatically disable the system as specified - in IR-4(5). Incident response planning is part of contingency planning - for organizations and is addressed in the IR (Incident Response) family. - controls: - - id: cp-2.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - props: - - name: label - value: CP-2(1) - - name: sort-id - value: CP-02(01) - parts: - - id: cp-2.1_smt - name: statement - prose: Coordinate contingency plan development with organizational - elements responsible for related plans. - - id: cp-2.1_gdn - name: guidance - prose: Plans that are related to contingency plans include Business - Continuity Plans, Disaster Recovery Plans, Critical Infrastructure - Plans, Continuity of Operations Plans, Crisis Communications Plans, - Insider Threat Implementation Plans, Cyber Incident Response Plans, - and Occupant Emergency Plans. - - id: cp-2.2 - class: SP800-53-enhancement - title: Capacity Planning - props: - - name: label - value: CP-2(2) - - name: sort-id - value: CP-02(02) - links: - - href: "#pe-11" - rel: related - - href: "#pe-12" - rel: related - - href: "#pe-13" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-18" - rel: related - - href: "#sc-5" - rel: related - parts: - - id: cp-2.2_smt - name: statement - prose: Conduct capacity planning so that necessary capacity for - information processing, telecommunications, and environmental - support exists during contingency operations. - - id: cp-2.2_gdn - name: guidance - prose: Capacity planning is needed because different threats can - result in a reduction of the available processing, telecommunications, - and support services intended to support essential missions and - business functions. Organizations anticipate degraded operations - during contingency operations and factor the degradation into - capacity planning. For capacity planning, environmental support - refers to any environmental factor for which the organization - determines that it needs to provide support in a contingency situation, - even if in a degraded state. Such determinations are based on - an organizational assessment of risk, system categorization (impact - level), and organizational risk tolerance. - - id: cp-2.3 - class: SP800-53-enhancement - title: Resume Missions and Business Functions - params: - - id: cp-2.3_prm_1 - select: - choice: - - all - - essential - - id: cp-2.3_prm_2 - label: organization-defined time-period - props: - - name: label - value: CP-2(3) - - name: sort-id - value: CP-02(03) - parts: - - id: cp-2.3_smt - name: statement - prose: "Plan for the resumption of {{ insert: param, cp-2.3_prm_1\ - \ }} missions and business functions within {{ insert: param,\ - \ cp-2.3_prm_2 }} of contingency plan activation." - - id: cp-2.3_gdn - name: guidance - prose: Organizations may choose to conduct contingency planning - activities to resume missions and business functions as part of - business continuity planning or as part of business impact analyses. - Organizations prioritize the resumption of missions and business - functions. The time-period for the resumption of missions and - business functions may be dependent on the severity and extent - of the disruptions to the system and its supporting infrastructure. - - id: cp-2.4 - class: SP800-53-enhancement - title: Resume All Missions and Business Functions - props: - - name: label - value: CP-2(4) - - name: status - value: Withdrawn - - name: sort-id - value: CP-02(04) - links: - - href: "#cp-2.3" - rel: incorporated-into - - id: cp-2.5 - class: SP800-53-enhancement - title: Continue Missions and Business Functions - params: - - id: cp-2.5_prm_1 - select: - choice: - - all - - essential - props: - - name: label - value: CP-2(5) - - name: sort-id - value: CP-02(05) - parts: - - id: cp-2.5_smt - name: statement - prose: "Plan for the continuance of {{ insert: param, cp-2.5_prm_1\ - \ }} missions and business functions with minimal or no loss of\ - \ operational continuity and sustains that continuity until full\ - \ system restoration at primary processing and/or storage sites." - - id: cp-2.5_gdn - name: guidance - prose: Organizations may choose to conduct the contingency planning - activities to continue missions and business functions as part - of business continuity planning or as part of business impact - analyses. Primary processing and/or storage sites defined by organizations - as part of contingency planning may change depending on the circumstances - associated with the contingency. - - id: cp-2.6 - class: SP800-53-enhancement - title: Alternate Processing and Storage Sites - params: - - id: cp-2.6_prm_1 - select: - choice: - - all - - essential - props: - - name: label - value: CP-2(6) - - name: sort-id - value: CP-02(06) - parts: - - id: cp-2.6_smt - name: statement - prose: "Plan for the transfer of {{ insert: param, cp-2.6_prm_1\ - \ }} missions and business functions to alternate processing and/or\ - \ storage sites with minimal or no loss of operational continuity\ - \ and sustain that continuity through system restoration to primary\ - \ processing and/or storage sites." - - id: cp-2.6_gdn - name: guidance - prose: Organizations may choose to conduct the contingency planning - activities for alternate processing and storage sites as part - of business continuity planning or as part of business impact - analyses. Primary processing and/or storage sites defined by organizations - as part of contingency planning may change depending on the circumstances - associated with the contingency. - - id: cp-2.7 - class: SP800-53-enhancement - title: Coordinate with External Service Providers - props: - - name: label - value: CP-2(7) - - name: sort-id - value: CP-02(07) - links: - - href: "#sa-9" - rel: related - parts: - - id: cp-2.7_smt - name: statement - prose: Coordinate the contingency plan with the contingency plans - of external service providers to ensure that contingency requirements - can be satisfied. - - id: cp-2.7_gdn - name: guidance - prose: When the capability of an organization to carry out its missions - and business functions is dependent on external service providers, - developing a comprehensive and timely contingency plan may become - more challenging. When missions and business functions are dependent - on external service providers, organizations coordinate contingency - planning activities with the external entities to ensure that - the individual plans reflect the overall contingency needs of - the organization. - - id: cp-2.8 - class: SP800-53-enhancement - title: Identify Critical Assets - params: - - id: cp-2.8_prm_1 - select: - choice: - - all - - essential - props: - - name: label - value: CP-2(8) - - name: sort-id - value: CP-02(08) - links: - - href: "#cm-8" - rel: related - - href: "#ra-9" - rel: related - parts: - - id: cp-2.8_smt - name: statement - prose: "Identify critical system assets supporting {{ insert: param,\ - \ cp-2.8_prm_1 }} missions and business functions." - - id: cp-2.8_gdn - name: guidance - prose: Organizations may choose to identify critical assets as part - of criticality analysis, business continuity planning, or business - impact analyses. Organizations identify critical system assets - so additional controls can be employed (beyond the controls routinely - implemented) to help ensure that organizational missions and business - functions can continue to be conducted during contingency operations. - The identification of critical information assets also facilitates - the prioritization of organizational resources. Critical system - assets include technical and operational aspects. Technical aspects - include system components, information technology services, information - technology products, and mechanisms. Operational aspects include - procedures (manually executed operations) and personnel (individuals - operating technical controls and/or executing manual procedures). - Organizational program protection plans can assist in identifying - critical assets. If critical assets are resident within or supported - by external service providers, organizations consider implementing - CP-2(7) as a control enhancement. - - id: cp-3 - class: SP800-53 - title: Contingency Training - params: - - id: cp-3_prm_1 - label: organization-defined time-period - - id: cp-3_prm_2 - label: organization-defined frequency - props: - - name: label - value: CP-3 - - name: sort-id - value: CP-03 - links: - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-8" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: cp-3_smt - name: statement - prose: "Provide contingency training to system users consistent with\ - \ assigned roles and responsibilities:" - parts: - - id: cp-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Within {{ insert: param, cp-3_prm_1 }} of assuming a contingency\ - \ role or responsibility;" - - id: cp-3_smt.b - name: item - props: - - name: label - value: b. - prose: When required by system changes; and - - id: cp-3_smt.c - name: item - props: - - name: label - value: c. - prose: "{{ insert: param, cp-3_prm_2 }} thereafter." - - id: cp-3_gdn - name: guidance - prose: Contingency training provided by organizations is linked to the - assigned roles and responsibilities of organizational personnel to - ensure that the appropriate content and level of detail is included - in such training. For example, some individuals may only need to know - when and where to report for duty during contingency operations and - if normal duties are affected; system administrators may require additional - training on how to establish systems at alternate processing and storage - sites; and organizational officials may receive more specific training - on how to conduct mission-essential functions in designated off-site - locations and how to establish communications with other governmental - entities for purposes of coordination on contingency-related activities. - Training for contingency roles or responsibilities reflects the specific - continuity requirements in the contingency plan. - controls: - - id: cp-3.1 - class: SP800-53-enhancement - title: Simulated Events - props: - - name: label - value: CP-3(1) - - name: sort-id - value: CP-03(01) - parts: - - id: cp-3.1_smt - name: statement - prose: Incorporate simulated events into contingency training to - facilitate effective response by personnel in crisis situations. - - id: cp-3.1_gdn - name: guidance - prose: The use of simulated events creates an environment for personnel - to experience actual threat events including cyber-attacks that - disable web sites, ransom-ware attacks that encrypt organizational - data on servers, hurricanes that damage or destroy organizational - facilities, or hardware or software failures. - - id: cp-3.2 - class: SP800-53-enhancement - title: Mechanisms Used in Training Environments - props: - - name: label - value: CP-3(2) - - name: sort-id - value: CP-03(02) - parts: - - id: cp-3.2_smt - name: statement - prose: Employ mechanisms used in operations to provide a more thorough - and realistic contingency training environment. - - id: cp-3.2_gdn - name: guidance - prose: Operational mechanisms refer to processes that have been - established to accomplish an organizational goal or a system that - supports a particular organizational mission or business objective. - Actual mission/business processes, systems, and/or facilities - may be used to generate simulated events and/or to enhance the - realism of simulated events during contingency training. - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - params: - - id: cp-4_prm_1 - label: organization-defined frequency - - id: cp-4_prm_2 - label: organization-defined tests - props: - - name: label - value: CP-4 - - name: sort-id - value: CP-04 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#20bf433b-074c-47a0-8fca-cd591772ccd6" - rel: reference - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-3" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-14" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: cp-4_smt - name: statement - parts: - - id: cp-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Test the contingency plan for the system {{ insert: param,\ - \ cp-4_prm_1 }} using the following tests to determine the effectiveness\ - \ of the plan and the readiness to execute the plan: {{ insert:\ - \ param, cp-4_prm_2 }}." - - id: cp-4_smt.b - name: item - props: - - name: label - value: b. - prose: Review the contingency plan test results; and - - id: cp-4_smt.c - name: item - props: - - name: label - value: c. - prose: Initiate corrective actions, if needed. - - id: cp-4_gdn - name: guidance - prose: Methods for testing contingency plans to determine the effectiveness - of the plans and to identify potential weaknesses in the plans include - checklists, walk-through and tabletop exercises, simulations (parallel - or full interrupt), and comprehensive exercises. Organizations conduct - testing based on the requirements in contingency plans and include - a determination of the effects on organizational operations, assets, - and individuals due to contingency operations. Organizations have - flexibility and discretion in the breadth, depth, and timelines of - corrective actions. - controls: - - id: cp-4.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - props: - - name: label - value: CP-4(1) - - name: sort-id - value: CP-04(01) - links: - - href: "#ir-8" - rel: related - - href: "#pm-8" - rel: related - parts: - - id: cp-4.1_smt - name: statement - prose: Coordinate contingency plan testing with organizational elements - responsible for related plans. - - id: cp-4.1_gdn - name: guidance - prose: Plans related to contingency planning for organizational - systems include Business Continuity Plans, Disaster Recovery Plans, - Continuity of Operations Plans, Crisis Communications Plans, Critical - Infrastructure Plans, Cyber Incident Response Plans, and Occupant - Emergency Plans. Coordination of contingency plan testing does - not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. - It does require, however, that if such organizational elements - are responsible for related plans, organizations coordinate with - those elements. - - id: cp-4.2 - class: SP800-53-enhancement - title: Alternate Processing Site - props: - - name: label - value: CP-4(2) - - name: sort-id - value: CP-04(02) - links: - - href: "#cp-7" - rel: related - parts: - - id: cp-4.2_smt - name: statement - prose: "Test the contingency plan at the alternate processing site:" - parts: - - id: cp-4.2_smt.a - name: item - props: - - name: label - value: (a) - prose: To familiarize contingency personnel with the facility - and available resources; and - - id: cp-4.2_smt.b - name: item - props: - - name: label - value: (b) - prose: To evaluate the capabilities of the alternate processing - site to support contingency operations. - - id: cp-4.2_gdn - name: guidance - prose: Conditions at the alternate processing site may be significantly - different than the conditions at the primary site. Having the - opportunity to visit the alternate site and experience, firsthand, - the actual capabilities available at the site can provide valuable - information on potential vulnerabilities that could affect essential - organizational missions and functions. The on-site visit can also - provide an opportunity to refine the contingency plan to address - the vulnerabilities discovered during testing. - - id: cp-4.3 - class: SP800-53-enhancement - title: Automated Testing - params: - - id: cp-4.3_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: CP-4(3) - - name: sort-id - value: CP-04(03) - parts: - - id: cp-4.3_smt - name: statement - prose: "Test the contingency plan using {{ insert: param, cp-4.3_prm_1\ - \ }}." - - id: cp-4.3_gdn - name: guidance - prose: Automated mechanisms facilitate thorough and effective testing - of contingency plans by providing more complete coverage of contingency - issues; by selecting more realistic test scenarios and environments; - and by effectively stressing the system and supported missions - and business operations. - - id: cp-4.4 - class: SP800-53-enhancement - title: Full Recovery and Reconstitution - props: - - name: label - value: CP-4(4) - - name: sort-id - value: CP-04(04) - links: - - href: "#cp-10" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: cp-4.4_smt - name: statement - prose: Include a full recovery and reconstitution of the system - to a known state as part of contingency plan testing. - - id: cp-4.4_gdn - name: guidance - prose: Recovery is executing contingency plan activities to restore - organizational missions and business functions. Reconstitution - takes place following recovery and includes activities for returning - systems to fully operational states. Organizations establish a - known state for systems that includes system state information - for hardware, software programs, and data. Preserving system state - information facilitates system restart and return to the operational - mode of organizations with less disruption of mission and business - processes. - - id: cp-5 - class: SP800-53 - title: Contingency Plan Update - props: - - name: label - value: CP-5 - - name: status - value: Withdrawn - - name: sort-id - value: CP-05 - links: - - href: "#cp-2" - rel: incorporated-into - - id: cp-6 - class: SP800-53 - title: Alternate Storage Site - props: - - name: label - value: CP-6 - - name: sort-id - value: CP-06 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-36" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-6_smt - name: statement - parts: - - id: cp-6_smt.a - name: item - props: - - name: label - value: a. - prose: Establish an alternate storage site, including necessary - agreements to permit the storage and retrieval of system backup - information; and - - id: cp-6_smt.b - name: item - props: - - name: label - value: b. - prose: Ensure that the alternate storage site provides controls - equivalent to that of the primary site. - - id: cp-6_gdn - name: guidance - prose: Alternate storage sites are sites that are geographically distinct - from primary storage sites and that maintain duplicate copies of information - and data if the primary storage site is not available. In contrast - to alternate storage sites, alternate processing sites provide processing - capability if the primary processing site is not available. Geographically - distributed architectures that support contingency requirements may - also be considered as alternate storage sites. Items covered by alternate - storage site agreements include environmental conditions at the alternate - sites, access rules for systems and facilities, physical and environmental - protection requirements, and coordination of delivery and retrieval - of backup media. Alternate storage sites reflect the requirements - in contingency plans so that organizations can maintain essential - missions and business functions despite disruption, compromise, or - failure in organizational systems. - controls: - - id: cp-6.1 - class: SP800-53-enhancement - title: Separation from Primary Site - props: - - name: label - value: CP-6(1) - - name: sort-id - value: CP-06(01) - links: - - href: "#ra-3" - rel: related - parts: - - id: cp-6.1_smt - name: statement - prose: Identify an alternate storage site that is sufficiently separated - from the primary storage site to reduce susceptibility to the - same threats. - - id: cp-6.1_gdn - name: guidance - prose: Threats that affect alternate storage sites are defined in - organizational risk assessments and include natural disasters, - structural failures, hostile attacks, and errors of omission or - commission. Organizations determine what is considered a sufficient - degree of separation between primary and alternate storage sites - based on the types of threats that are of concern. For threats - such as hostile attacks, the degree of separation between sites - is less relevant. - - id: cp-6.2 - class: SP800-53-enhancement - title: Recovery Time and Recovery Point Objectives - props: - - name: label - value: CP-6(2) - - name: sort-id - value: CP-06(02) - parts: - - id: cp-6.2_smt - name: statement - prose: Configure the alternate storage site to facilitate recovery - operations in accordance with recovery time and recovery point - objectives. - - id: cp-6.2_gdn - name: guidance - prose: Organizations establish recovery time and recovery point - objectives as part of contingency planning. Configuration of the - alternate storage site includes physical facilities and the systems - supporting recovery operations ensuring accessibility and correct - execution. - - id: cp-6.3 - class: SP800-53-enhancement - title: Accessibility - props: - - name: label - value: CP-6(3) - - name: sort-id - value: CP-06(03) - links: - - href: "#ra-3" - rel: related - parts: - - id: cp-6.3_smt - name: statement - prose: Identify potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster - and outline explicit mitigation actions. - - id: cp-6.3_gdn - name: guidance - prose: Area-wide disruptions refer to those types of disruptions - that are broad in geographic scope with such determinations made - by organizations based on organizational assessments of risk. - Explicit mitigation actions include duplicating backup information - at other alternate storage sites if access problems occur at originally - designated alternate sites; or planning for physical access to - retrieve backup information if electronic accessibility to the - alternate site is disrupted. - - id: cp-7 - class: SP800-53 - title: Alternate Processing Site - params: - - id: cp-7_prm_1 - label: organization-defined system operations - - id: cp-7_prm_2 - label: organization-defined time-period consistent with recovery time - and recovery point objectives - props: - - name: label - value: CP-7 - - name: sort-id - value: CP-07 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-11" - rel: related - - href: "#pe-12" - rel: related - - href: "#pe-17" - rel: related - - href: "#sc-36" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-7_smt - name: statement - parts: - - id: cp-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish an alternate processing site, including necessary\ - \ agreements to permit the transfer and resumption of {{ insert:\ - \ param, cp-7_prm_1 }} for essential missions and business functions\ - \ within {{ insert: param, cp-7_prm_2 }} when the primary processing\ - \ capabilities are unavailable;" - - id: cp-7_smt.b - name: item - props: - - name: label - value: b. - prose: Make available at the alternate processing site, the equipment - and supplies required to transfer and resume operations or put - contracts in place to support delivery to the site within the - organization-defined time-period for transfer and resumption; - and - - id: cp-7_smt.c - name: item - props: - - name: label - value: c. - prose: Provide controls at the alternate processing site that are - equivalent to those at the primary site. - - id: cp-7_gdn - name: guidance - prose: Alternate processing sites are sites that are geographically - distinct from primary processing sites and provide processing capability - if the primary processing site is not available. The alternate processing - capability may be addressed using a physical processing site or other - alternatives such as failover to a cloud-based service provider or - other internally- or externally-provided processing service. Geographically - distributed architectures that support contingency requirements may - also be considered as alternate processing sites. Controls that are - covered by alternate processing site agreements include the environmental - conditions at alternate sites; access rules; physical and environmental - protection requirements; and the coordination for the transfer and - assignment of personnel. Requirements are specifically allocated to - alternate processing sites that reflect the requirements in contingency - plans to maintain essential missions and business functions despite - disruption, compromise, or failure in organizational systems. - controls: - - id: cp-7.1 - class: SP800-53-enhancement - title: Separation from Primary Site - props: - - name: label - value: CP-7(1) - - name: sort-id - value: CP-07(01) - links: - - href: "#ra-3" - rel: related - parts: - - id: cp-7.1_smt - name: statement - prose: Identify an alternate processing site that is sufficiently - separated from the primary processing site to reduce susceptibility - to the same threats. - - id: cp-7.1_gdn - name: guidance - prose: Threats that affect alternate processing sites are defined - in organizational assessments of risk and include natural disasters, - structural failures, hostile attacks, and errors of omission or - commission. Organizations determine what is considered a sufficient - degree of separation between primary and alternate processing - sites based on the types of threats that are of concern. For threats - such as hostile attacks, the degree of separation between sites - is less relevant. - - id: cp-7.2 - class: SP800-53-enhancement - title: Accessibility - props: - - name: label - value: CP-7(2) - - name: sort-id - value: CP-07(02) - links: - - href: "#ra-3" - rel: related - parts: - - id: cp-7.2_smt - name: statement - prose: Identify potential accessibility problems to alternate processing - sites in the event of an area-wide disruption or disaster and - outlines explicit mitigation actions. - - id: cp-7.2_gdn - name: guidance - prose: Area-wide disruptions refer to those types of disruptions - that are broad in geographic scope with such determinations made - by organizations based on organizational assessments of risk. - - id: cp-7.3 - class: SP800-53-enhancement - title: Priority of Service - props: - - name: label - value: CP-7(3) - - name: sort-id - value: CP-07(03) - parts: - - id: cp-7.3_smt - name: statement - prose: Develop alternate processing site agreements that contain - priority-of-service provisions in accordance with availability - requirements (including recovery time objectives). - - id: cp-7.3_gdn - name: guidance - prose: Priority-of-service agreements refer to negotiated agreements - with service providers that ensure that organizations receive - priority treatment consistent with their availability requirements - and the availability of information resources for logical alternate - processing and/or at the physical alternate processing site. Organizations - establish recovery time objectives as part of contingency planning. - - id: cp-7.4 - class: SP800-53-enhancement - title: Preparation for Use - props: - - name: label - value: CP-7(4) - - name: sort-id - value: CP-07(04) - links: - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-4" - rel: related - parts: - - id: cp-7.4_smt - name: statement - prose: Prepare the alternate processing site so that the site can - serve as the operational site supporting essential missions and - business functions. - - id: cp-7.4_gdn - name: guidance - prose: Site preparation includes establishing configuration settings - for systems at the alternate processing site consistent with the - requirements for such settings at the primary site and ensuring - that essential supplies and logistical considerations are in place. - - id: cp-7.5 - class: SP800-53-enhancement - title: Equivalent Information Security Safeguards - props: - - name: label - value: CP-7(5) - - name: status - value: Withdrawn - - name: sort-id - value: CP-07(05) - links: - - href: "#cp-7" - rel: incorporated-into - - id: cp-7.6 - class: SP800-53-enhancement - title: Inability to Return to Primary Site - props: - - name: label - value: CP-7(6) - - name: sort-id - value: CP-07(06) - parts: - - id: cp-7.6_smt - name: statement - prose: Plan and prepare for circumstances that preclude returning - to the primary processing site. - - id: cp-7.6_gdn - name: guidance - prose: There may be situations that preclude an organization from - returning to the primary processing site. This can occur, for - example, if a natural disaster such as a flood or a hurricane - damaged or destroyed a facility and it was determined that rebuilding - in the same location was not prudent. - - id: cp-8 - class: SP800-53 - title: Telecommunications Services - params: - - id: cp-8_prm_1 - label: organization-defined system operations - - id: cp-8_prm_2 - label: organization-defined time-period - props: - - name: label - value: CP-8 - - name: sort-id - value: CP-08 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-11" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: cp-8_smt - name: statement - prose: "Establish alternate telecommunications services, including necessary\ - \ agreements to permit the resumption of {{ insert: param, cp-8_prm_1\ - \ }} for essential missions and business functions within {{ insert:\ - \ param, cp-8_prm_2 }} when the primary telecommunications capabilities\ - \ are unavailable at either the primary or alternate processing or\ - \ storage sites." - - id: cp-8_gdn - name: guidance - prose: This control applies to telecommunications services (for data - and voice) for primary and alternate processing and storage sites. - Alternate telecommunications services reflect the continuity requirements - in contingency plans to maintain essential missions and business functions - despite the loss of primary telecommunications services. Organizations - may specify different time-periods for primary or alternate sites. - Alternate telecommunications services include additional organizational - or commercial ground-based circuits or lines or the use of satellites - in lieu of ground-based communications. Organizations consider factors - such as availability, quality of service, and access when entering - into alternate telecommunications agreements. - controls: - - id: cp-8.1 - class: SP800-53-enhancement - title: Priority of Service Provisions - props: - - name: label - value: CP-8(1) - - name: sort-id - value: CP-08(01) - parts: - - id: cp-8.1_smt - name: statement - parts: - - id: cp-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Develop primary and alternate telecommunications service - agreements that contain priority-of-service provisions in - accordance with availability requirements (including recovery - time objectives); and - - id: cp-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Request Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness - if the primary and/or alternate telecommunications services - are provided by a common carrier. - - id: cp-8.1_gdn - name: guidance - prose: Organizations consider the potential mission or business - impact in situations where telecommunications service providers - are servicing other organizations with similar priority-of-service - provisions. Telecommunications Service Priority (TSP) is a Federal - Communications Commission (FCC) program that directs telecommunications - service providers (e.g., wireline and wireless phone companies) - to give preferential treatment to users enrolled in the program - when they need to add new lines or have their lines restored following - a disruption of service, regardless of the cause. The FCC sets - the rules and policies for the TSP program and the Department - of Homeland Security, manages the TSP program. The TSP program - is always in effect and not contingent on a major disaster or - attack taking place. Federal sponsorship is required to enroll - in the TSP program. - - id: cp-8.2 - class: SP800-53-enhancement - title: Single Points of Failure - props: - - name: label - value: CP-8(2) - - name: sort-id - value: CP-08(02) - parts: - - id: cp-8.2_smt - name: statement - prose: Obtain alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services. - - id: cp-8.2_gdn - name: guidance - prose: In certain circumstances, telecommunications service providers - or services may share the same physical lines, which increases - the vulnerability of a single failure point. It is important to - have provider transparency for the actual physical transmission - capability for telecommunication services. - - id: cp-8.3 - class: SP800-53-enhancement - title: Separation of Primary and Alternate Providers - props: - - name: label - value: CP-8(3) - - name: sort-id - value: CP-08(03) - parts: - - id: cp-8.3_smt - name: statement - prose: Obtain alternate telecommunications services from providers - that are separated from primary service providers to reduce susceptibility - to the same threats. - - id: cp-8.3_gdn - name: guidance - prose: Threats that affect telecommunications services are defined - in organizational assessments of risk and include natural disasters, - structural failures, cyber or physical attacks, and errors of - omission or commission. Organizations can reduce common susceptibilities - by minimizing shared infrastructure among telecommunications service - providers and achieving sufficient geographic separation between - services. Organizations may consider using a single service provider - in situations where the service provider can provide alternate - telecommunications services meeting the separation needs addressed - in the risk assessment. - - id: cp-8.4 - class: SP800-53-enhancement - title: Provider Contingency Plan - params: - - id: cp-8.4_prm_1 - label: organization-defined frequency - props: - - name: label - value: CP-8(4) - - name: sort-id - value: CP-08(04) - links: - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - parts: - - id: cp-8.4_smt - name: statement - parts: - - id: cp-8.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Require primary and alternate telecommunications service - providers to have contingency plans; - - id: cp-8.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Review provider contingency plans to ensure that the - plans meet organizational contingency requirements; and - - id: cp-8.4_smt.c - name: item - props: - - name: label - value: (c) - prose: "Obtain evidence of contingency testing and training\ - \ by providers {{ insert: param, cp-8.4_prm_1 }}." - - id: cp-8.4_gdn - name: guidance - prose: Reviews of provider contingency plans consider the proprietary - nature of such plans. In some situations, a summary of provider - contingency plans may be sufficient evidence for organizations - to satisfy the review requirement. Telecommunications service - providers may also participate in ongoing disaster recovery exercises - in coordination with the Department of Homeland Security, state, - and local governments. Organizations may use these types of activities - to satisfy evidentiary requirements related to service provider - contingency plan reviews, testing, and training. - - id: cp-8.5 - class: SP800-53-enhancement - title: Alternate Telecommunication Service Testing - params: - - id: cp-8.5_prm_1 - label: organization-defined frequency - props: - - name: label - value: CP-8(5) - - name: sort-id - value: CP-08(05) - links: - - href: "#cp-3" - rel: related - parts: - - id: cp-8.5_smt - name: statement - prose: "Test alternate telecommunication services {{ insert: param,\ - \ cp-8.5_prm_1 }}." - - id: cp-8.5_gdn - name: guidance - prose: Alternate telecommunications services testing is arranged - through contractual agreements with service providers. The testing - may occur in parallel with normal operations to ensure there is - no degradation in organizational missions or functions. - - id: cp-9 - class: SP800-53 - title: System Backup - params: - - id: cp-9_prm_1 - label: organization-defined system components - - id: cp-9_prm_2 - label: organization-defined frequency consistent with recovery time - and recovery point objectives - - id: cp-9_prm_3 - label: organization-defined frequency consistent with recovery time - and recovery point objectives - - id: cp-9_prm_4 - label: organization-defined frequency consistent with recovery time - and recovery point objectives - props: - - name: label - value: CP-9 - - name: sort-id - value: CP-09 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#ae412317-c2b4-47bb-b47b-c329ce0d7a0b" - rel: reference - - href: "#38dbdf55-9a14-446f-b563-c48e4e3d37fb" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-9_smt - name: statement - parts: - - id: cp-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Conduct backups of user-level information contained in {{\ - \ insert: param, cp-9_prm_1 }} {{ insert: param, cp-9_prm_2 }};" - - id: cp-9_smt.b - name: item - props: - - name: label - value: b. - prose: "Conduct backups of system-level information contained in\ - \ the system {{ insert: param, cp-9_prm_3 }};" - - id: cp-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Conduct backups of system documentation, including security\ - \ and privacy-related documentation {{ insert: param, cp-9_prm_4\ - \ }}; and" - - id: cp-9_smt.d - name: item - props: - - name: label - value: d. - prose: Protect the confidentiality, integrity, and availability - of backup information. - - id: cp-9_gdn - name: guidance - prose: System-level information includes system state information, operating - system software, middleware, application software, and licenses. User-level - information includes information other than system-level information. - Mechanisms employed to protect the integrity of system backups include - digital signatures and cryptographic hashes. Protection of backup - information while in transit is outside the scope of this control. - System backups reflect the requirements in contingency plans as well - as other organizational requirements for backing up information. Organizations - may be subject to laws, executive orders, directives, regulations, - or policies with requirements regarding specific categories of information - (e.g., personal health information). Organizational personnel consult - with the senior agency official for privacy and legal counsel regarding - such requirements. - controls: - - id: cp-9.1 - class: SP800-53-enhancement - title: Testing for Reliability and Integrity - params: - - id: cp-9.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: CP-9(1) - - name: sort-id - value: CP-09(01) - links: - - href: "#cp-4" - rel: related - parts: - - id: cp-9.1_smt - name: statement - prose: "Test backup information {{ insert: param, cp-9.1_prm_1 }}\ - \ to verify media reliability and information integrity." - - id: cp-9.1_gdn - name: guidance - prose: Organizations need assurance that backup information can - be reliably retrieved. Reliability pertains to the systems and - system components where the backup information is stored, the - operations used to retrieve the information, and the integrity - of the information being retrieved. Independent and specialized - tests can be used for each of the aspects of reliability. For - example, decrypting and transporting (or transmitting) a random - sample of backup files from the alternate storage or backup site - and comparing the information to the same information at the primary - processing site can provide such assurance. - - id: cp-9.2 - class: SP800-53-enhancement - title: Test Restoration Using Sampling - props: - - name: label - value: CP-9(2) - - name: sort-id - value: CP-09(02) - links: - - href: "#cp-4" - rel: related - parts: - - id: cp-9.2_smt - name: statement - prose: Use a sample of backup information in the restoration of - selected system functions as part of contingency plan testing. - - id: cp-9.2_gdn - name: guidance - prose: Organizations need assurance that system functions can be - restored correctly and can support established organizational - missions. To ensure that the selected system functions are thoroughly - exercised during contingency plan testing, a sample of backup - information is used to determine if the functions operate as intended. - Organizations can determine the sample size for the functions - and backup information based on the level of assurance needed. - - id: cp-9.3 - class: SP800-53-enhancement - title: Separate Storage for Critical Information - params: - - id: cp-9.3_prm_1 - label: organization-defined critical system software and other security-related - information - props: - - name: label - value: CP-9(3) - - name: sort-id - value: CP-09(03) - links: - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - parts: - - id: cp-9.3_smt - name: statement - prose: "Store backup copies of {{ insert: param, cp-9.3_prm_1 }}\ - \ in a separate facility or in a fire-rated container that is\ - \ not collocated with the operational system." - - id: cp-9.3_gdn - name: guidance - prose: Separate storage for critical information applies to all - critical information regardless of the type of backup storage - media. Critical system software includes operating systems, middleware, - cryptographic key management systems, and intrusion detection - systems. Security-related information includes inventories of - system hardware, software, and firmware components. Alternate - storage sites, including geographically distributed architectures, - serve as separate storage facilities for organizations. Organizations - may provide separate storage by implementing automated backup - processes at alternative storage sites (e.g., data centers). The - General Services Administration (GSA) establishes standards and - specifications for security and fire-rated containers. - - id: cp-9.4 - class: SP800-53-enhancement - title: Protection from Unauthorized Modification - props: - - name: label - value: CP-9(4) - - name: status - value: Withdrawn - - name: sort-id - value: CP-09(04) - links: - - href: "#cp-9" - rel: incorporated-into - - id: cp-9.5 - class: SP800-53-enhancement - title: Transfer to Alternate Storage Site - params: - - id: cp-9.5_prm_1 - label: organization-defined time-period and transfer rate consistent - with the recovery time and recovery point objectives - props: - - name: label - value: CP-9(5) - - name: sort-id - value: CP-09(05) - links: - - href: "#cp-7" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - parts: - - id: cp-9.5_smt - name: statement - prose: "Transfer system backup information to the alternate storage\ - \ site {{ insert: param, cp-9.5_prm_1 }}." - - id: cp-9.5_gdn - name: guidance - prose: System backup information can be transferred to alternate - storage sites either electronically or by physical shipment of - storage media. - - id: cp-9.6 - class: SP800-53-enhancement - title: Redundant Secondary System - props: - - name: label - value: CP-9(6) - - name: sort-id - value: CP-09(06) - links: - - href: "#cp-7" - rel: related - parts: - - id: cp-9.6_smt - name: statement - prose: Conduct system backup by maintaining a redundant secondary - system that is not collocated with the primary system and that - can be activated without loss of information or disruption to - operations. - - id: cp-9.6_gdn - name: guidance - prose: The effect of system backup can be achieved by maintaining - a redundant secondary system that mirrors the primary system, - including the replication of information. If this type of redundancy - is in place and there is sufficient geographic separation between - the two systems, the secondary system can also serve as the alternate - processing site. - - id: cp-9.7 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: cp-9.7_prm_1 - label: organization-defined backup information - props: - - name: label - value: CP-9(7) - - name: sort-id - value: CP-09(07) - links: - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#mp-2" - rel: related - parts: - - id: cp-9.7_smt - name: statement - prose: "Enforce dual authorization for the deletion or destruction\ - \ of {{ insert: param, cp-9.7_prm_1 }}." - - id: cp-9.7_gdn - name: guidance - prose: Dual authorization ensures that deletion or destruction of - backup information cannot occur unless two qualified individuals - carry out the task. Individuals deleting or destroying backup - information possess the skills or expertise to determine if the - proposed deletion or destruction of information reflects organizational - policies and procedures. Dual authorization may also be known - as two-person control. To reduce the risk of collusion, organizations - consider rotating dual authorization duties to other individuals. - - id: cp-9.8 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: cp-9.8_prm_1 - label: organization-defined backup information - props: - - name: label - value: CP-9(8) - - name: sort-id - value: CP-09(08) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: cp-9.8_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent unauthorized\ - \ disclosure and modification of {{ insert: param, cp-9.8_prm_1\ - \ }}." - - id: cp-9.8_gdn - name: guidance - prose: The selection of cryptographic mechanisms is based on the - need to protect the confidentiality and integrity of backup information. - The strength of mechanisms selected is commensurate with the security - category or classification of the information. This control enhancement - applies to system backup information in storage at primary and - alternate locations. Organizations implementing cryptographic - mechanisms to protect information at rest also consider cryptographic - key management solutions. - - id: cp-10 - class: SP800-53 - title: System Recovery and Reconstitution - params: - - id: cp-10_prm_1 - label: organization-defined time-period consistent with recovery time - and recovery point objectives - props: - - name: label - value: CP-10 - - name: sort-id - value: CP-10 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - - href: "#ir-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-10_smt - name: statement - prose: "Provide for the recovery and reconstitution of the system to\ - \ a known state within {{ insert: param, cp-10_prm_1 }} after a disruption,\ - \ compromise, or failure." - - id: cp-10_gdn - name: guidance - prose: Recovery is executing contingency plan activities to restore - organizational missions and business functions. Reconstitution takes - place following recovery and includes activities for returning systems - to fully operational states. Recovery and reconstitution operations - reflect mission and business priorities, recovery point, recovery - time, and reconstitution objectives, and organizational metrics consistent - with contingency plan requirements. Reconstitution includes the deactivation - of interim system capabilities that may have been needed during recovery - operations. Reconstitution also includes assessments of fully restored - system capabilities, reestablishment of continuous monitoring activities, - system reauthorization (if required), and activities to prepare the - system and organization for future disruptions, breaches, compromises, - or failures. Recovery and reconstitution capabilities can include - automated mechanisms and manual procedures. Organizations establish - recovery time and recovery point objectives as part of contingency - planning. - controls: - - id: cp-10.1 - class: SP800-53-enhancement - title: Contingency Plan Testing - props: - - name: label - value: CP-10(1) - - name: status - value: Withdrawn - - name: sort-id - value: CP-10(01) - links: - - href: "#cp-4" - rel: incorporated-into - - id: cp-10.2 - class: SP800-53-enhancement - title: Transaction Recovery - props: - - name: label - value: CP-10(2) - - name: sort-id - value: CP-10(02) - parts: - - id: cp-10.2_smt - name: statement - prose: Implement transaction recovery for systems that are transaction-based. - - id: cp-10.2_gdn - name: guidance - prose: Transaction-based systems include database management systems - and transaction processing systems. Mechanisms supporting transaction - recovery include transaction rollback and transaction journaling. - - id: cp-10.3 - class: SP800-53-enhancement - title: Compensating Security Controls - props: - - name: label - value: CP-10(3) - - name: status - value: Withdrawn - - name: sort-id - value: CP-10(03) - parts: - - id: cp-10.3_smt - name: statement - prose: "*Addressed through tailoring procedures.* " - - id: cp-10.4 - class: SP800-53-enhancement - title: Restore Within Time-period - params: - - id: cp-10.4_prm_1 - label: organization-defined restoration time-periods - props: - - name: label - value: CP-10(4) - - name: sort-id - value: CP-10(04) - links: - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - parts: - - id: cp-10.4_smt - name: statement - prose: "Provide the capability to restore system components within\ - \ {{ insert: param, cp-10.4_prm_1 }} from configuration-controlled\ - \ and integrity-protected information representing a known, operational\ - \ state for the components." - - id: cp-10.4_gdn - name: guidance - prose: Restoration of system components includes reimaging which - restores the components to known, operational states. - - id: cp-10.5 - class: SP800-53-enhancement - title: Failover Capability - props: - - name: label - value: CP-10(5) - - name: status - value: Withdrawn - - name: sort-id - value: CP-10(05) - links: - - href: "#si-13" - rel: incorporated-into - - id: cp-10.6 - class: SP800-53-enhancement - title: Component Protection - props: - - name: label - value: CP-10(6) - - name: sort-id - value: CP-10(06) - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: cp-10.6_smt - name: statement - prose: Protect system components used for recovery and reconstitution. - - id: cp-10.6_gdn - name: guidance - prose: Protection of system recovery and reconstitution components - (i.e., hardware, firmware, and software) includes physical and - technical controls. Backup and restoration components used for - recovery and reconstitution include router tables, compilers, - and other system software. - - id: cp-11 - class: SP800-53 - title: Alternate Communications Protocols - params: - - id: cp-11_prm_1 - label: organization-defined alternative communications protocols - props: - - name: label - value: CP-11 - - name: sort-id - value: CP-11 - links: - - href: "#cp-2" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-13" - rel: related - parts: - - id: cp-11_smt - name: statement - prose: "Provide the capability to employ {{ insert: param, cp-11_prm_1\ - \ }} in support of maintaining continuity of operations." - - id: cp-11_gdn - name: guidance - prose: Contingency plans and the contingency training or testing associated - with those plans, incorporate an alternate communications protocol - capability as part of establishing resilience in organizational systems. - Switching communications protocols may affect software applications - and operational aspects of systems. Organizations assess the potential - side effects of introducing alternate communications protocols prior - to implementation. - - id: cp-12 - class: SP800-53 - title: Safe Mode - params: - - id: cp-12_prm_1 - label: organization-defined conditions - - id: cp-12_prm_2 - label: organization-defined restrictions of safe mode of operation - props: - - name: label - value: CP-12 - - name: sort-id - value: CP-12 - links: - - href: "#cm-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - - href: "#si-17" - rel: related - parts: - - id: cp-12_smt - name: statement - prose: "When {{ insert: param, cp-12_prm_1 }} are detected, enter a\ - \ safe mode of operation with {{ insert: param, cp-12_prm_2 }}." - - id: cp-12_gdn - name: guidance - prose: For systems supporting critical missions and business functions, - including military operations, civilian space operations, nuclear - power plant operations, and air traffic control operations (especially - real-time operational environments), organizations can identify certain - conditions under which those systems revert to a predefined safe mode - of operation. The safe mode of operation, which can be activated either - automatically or manually, restricts the operations systems can execute - when those conditions are encountered. Restriction includes allowing - only selected functions to execute that can be carried out under limited - power or with reduced communications bandwidth. - - id: cp-13 - class: SP800-53 - title: Alternative Security Mechanisms - params: - - id: cp-13_prm_1 - label: organization-defined alternative or supplemental security mechanisms - - id: cp-13_prm_2 - label: organization-defined security functions - props: - - name: label - value: CP-13 - - name: sort-id - value: CP-13 - links: - - href: "#cp-2" - rel: related - - href: "#cp-11" - rel: related - - href: "#si-13" - rel: related - parts: - - id: cp-13_smt - name: statement - prose: "Employ {{ insert: param, cp-13_prm_1 }} for satisfying {{ insert:\ - \ param, cp-13_prm_2 }} when the primary means of implementing the\ - \ security function is unavailable or compromised." - - id: cp-13_gdn - name: guidance - prose: Use of alternative security mechanisms supports system resiliency, - contingency planning, and continuity of operations. To ensure mission - and business continuity, organizations can implement alternative or - supplemental security mechanisms. The mechanisms may be less effective - than the primary mechanisms. However, having the capability to readily - employ alternative or supplemental mechanisms enhances mission and - business continuity that might otherwise be adversely impacted if - operations had to be curtailed until the primary means of implementing - the functions was restored. Given the cost and level of effort required - to provide such alternative capabilities, the alternative or supplemental - mechanisms are typically applied only to critical security capabilities - provided by systems, system components, or system services. For example, - an organization may issue to senior executives and system administrators - one-time pads if multifactor tokens, the standard means for secure - remote authentication, is compromised. - - id: cp-14 - class: SP800-53 - title: Self-challenge - params: - - id: cp-14_prm_1 - label: organization-defined autonomous service - - id: cp-14_prm_2 - label: organization-defined system or system components - props: - - name: label - value: CP-14 - - name: sort-id - value: CP-14 - links: - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - parts: - - id: cp-14_smt - name: statement - prose: "Employ {{ insert: param, cp-14_prm_1 }} to {{ insert: param,\ - \ cp-14_prm_2 }} to affect the system or system components in an adverse\ - \ manner." - - id: cp-14_gdn - name: guidance - prose: Often the best means of assessing the effectiveness of the controls - implemented within a system and the system resilience is to disrupt - it in some manner. The autonomous service selected and implemented - by the organization could disrupt system services in many ways, including - terminating or disabling key system components, changing the configuration - of system elements, altering privileges, or degrading critical functionality - (e.g., restricting network bandwidth). Such automated, on-going, simulated - cyber-attacks and service disruptions can reveal unexpected functional - dependencies and help the organization determine its ability to ensure - resilience in the face of an actual cyber-attack. - - id: ia - class: family - title: Identification and Authentication - controls: - - id: ia-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ia-1_prm_1 - label: organization-defined personnel or roles - - id: ia-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ia-1_prm_3 - label: organization-defined official - - id: ia-1_prm_4 - label: organization-defined frequency - - id: ia-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: IA-1 - - name: sort-id - value: IA-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#bb22d510-54a9-4588-b725-00d37576562b" - rel: reference - - href: "#ac-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ia-1_smt - name: statement - parts: - - id: ia-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ia-1_prm_1 }}:" - parts: - - id: ia-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ia-1_prm_2 }} identification and authentication\ - \ policy that:" - parts: - - id: ia-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ia-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ia-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the identification - and authentication policy and the associated identification - and authentication controls; - - id: ia-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ia-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the identification\ - \ and authentication policy and procedures; and" - - id: ia-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current identification and authentication:" - parts: - - id: ia-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ia-1_prm_4 }}; and" - - id: ia-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ia-1_prm_5 }}." - - id: ia-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the IA family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - props: - - name: label - value: IA-2 - - name: sort-id - value: IA-02 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#bb55e71a-e059-4263-8dd8-bc96fd3f063d" - rel: reference - - href: "#f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa" - rel: reference - - href: "#a8f55663-86c5-415b-aabe-d2a126981d65" - rel: reference - - href: "#d4779b49-8acc-45ef-b4f0-30f945e81d1b" - rel: reference - - href: "#daf69edb-a0ef-4447-9880-8c4bf553181f" - rel: reference - - href: "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd" - rel: reference - - href: "#972c10bd-aedf-485f-b0db-f46a402127e2" - rel: reference - - href: "#197f7ba7-9af8-4a67-b3a4-5523d850e53b" - rel: reference - - href: "#bb22d510-54a9-4588-b725-00d37576562b" - rel: reference - - href: "#30213e10-2aca-47b3-8cdb-61303e0959f5" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-1" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: ia-2_smt - name: statement - prose: Uniquely identify and authenticate organizational users and associate - that unique identification with processes acting on behalf of those - users. - - id: ia-2_gdn - name: guidance - prose: Organizations can satisfy the identification and authentication - requirements by complying with the requirements in [HSPD 12]. Organizational - users include employees or individuals that organizations consider - having equivalent status of employees (e.g., contractors and guest - researchers). Unique identification and authentication of users applies - to all accesses other than accesses that are explicitly identified - in AC-14 and that occur through the authorized use of group authenticators - without individual authentication. Since processes execute on behalf - of groups and roles, organizations may require unique identification - of individuals in group accounts or for detailed accountability of - individual activity. Organizations employ passwords, physical authenticators, - or biometrics to authenticate user identities, or in the case of multifactor - authentication, some combination thereof. Access to organizational - systems is defined as either local access or network access. Local - access is any access to organizational systems by users or processes - acting on behalf of users, where access is obtained through direct - connections without the use of networks. Network access is access - to organizational systems by users (or processes acting on behalf - of users) where access is obtained through network connections (i.e., - nonlocal accesses). Remote access is a type of network access that - involves communication through external networks. Internal networks - include local area networks and wide area networks. The use of encrypted - virtual private networks for network connections between organization-controlled - endpoints and non-organization-controlled endpoints may be treated - as internal networks with respect to protecting the confidentiality - and integrity of information traversing the network. Identification - and authentication requirements for non-organizational users are described - in IA-8. - controls: - - id: ia-2.1 - class: SP800-53-enhancement - title: Multifactor Authentication to Privileged Accounts - props: - - name: label - value: IA-2(1) - - name: sort-id - value: IA-02(01) - links: - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ia-2.1_smt - name: statement - prose: Implement multifactor authentication for access to privileged - accounts. - - id: ia-2.1_gdn - name: guidance - prose: "Multifactor authentication requires the use of two or more\ - \ different factors to achieve authentication. The authentication\ - \ factors are defined as follows: something you know (e.g., a\ - \ personal identification number (PIN)); something you have (e.g.,\ - \ a physical authenticator or cryptographic private key stored\ - \ in hardware or software); or something you are (e.g., a biometric).\ - \ Multifactor authentication solutions that feature physical authenticators\ - \ include hardware authenticators providing time-based or challenge-response\ - \ authenticators and smart cards such as the U.S. Government Personal\ - \ Identity Verification card or the DoD Common Access Card. In\ - \ addition to authenticating users at the system level (i.e.,\ - \ at logon), organizations may also employ authentication mechanisms\ - \ at the application level, at their discretion, to provide increased\ - \ information security. Regardless of the type of access (i.e.,\ - \ local, network, remote), privileged accounts are authenticated\ - \ using multifactor options appropriate for the level of risk.\ - \ Organizations can add additional security measures, such as\ - \ additional or more rigorous authentication mechanisms, for specific\ - \ types of access." - - id: ia-2.2 - class: SP800-53-enhancement - title: Multifactor Authentication to Non-privileged Accounts - props: - - name: label - value: IA-2(2) - - name: sort-id - value: IA-02(02) - links: - - href: "#ac-5" - rel: related - parts: - - id: ia-2.2_smt - name: statement - prose: Implement multifactor authentication for access to non-privileged - accounts. - - id: ia-2.2_gdn - name: guidance - prose: "Multifactor authentication requires the use of two or more\ - \ different factors to achieve authentication. The authentication\ - \ factors are defined as follows: something you know (e.g., a\ - \ personal identification number (PIN)); something you have (e.g.,\ - \ a physical authenticator or cryptographic private key stored\ - \ in hardware or software); or something you are (e.g., a biometric).\ - \ Multifactor authentication solutions that feature physical authenticators\ - \ include hardware authenticators providing time-based or challenge-response\ - \ authenticators and smart cards such as the U.S. Government Personal\ - \ Identity Verification card or the DoD Common Access Card. In\ - \ addition to authenticating users at the system level, organizations\ - \ may also employ authentication mechanisms at the application\ - \ level, at their discretion, to provide increased information\ - \ security. Regardless of the type of access, privileged accounts\ - \ are authenticated using multifactor options appropriate for\ - \ the level of risk. Organizations can provide additional security\ - \ measures, such as additional or more rigorous authentication\ - \ mechanisms, for specific types of access." - - id: ia-2.3 - class: SP800-53-enhancement - title: Local Access to Privileged Accounts - props: - - name: label - value: IA-2(3) - - name: status - value: Withdrawn - - name: sort-id - value: IA-02(03) - links: - - href: "#ia-2.1" - rel: incorporated-into - - id: ia-2.4 - class: SP800-53-enhancement - title: Local Access to Non-privileged Accounts - props: - - name: label - value: IA-2(4) - - name: status - value: Withdrawn - - name: sort-id - value: IA-02(04) - links: - - href: "#ia-2.2" - rel: incorporated-into - - id: ia-2.5 - class: SP800-53-enhancement - title: Individual Authentication with Group Authentication - props: - - name: label - value: IA-2(5) - - name: sort-id - value: IA-02(05) - parts: - - id: ia-2.5_smt - name: statement - prose: When shared accounts or authenticators are employed, require - users to be individually authenticated before granting access - to the shared accounts or resources. - - id: ia-2.5_gdn - name: guidance - prose: Individual authentication prior to shared group authentication - helps to mitigate the risk of using group accounts or authenticators. - - id: ia-2.6 - class: SP800-53-enhancement - title: Access to Accounts — Separate Device - params: - - id: ia-2.6_prm_1 - select: - how-many: one-or-more - choice: - - local - - network - - remote - - id: ia-2.6_prm_2 - select: - how-many: one-or-more - choice: - - privileged accounts - - non-privileged accounts - - id: ia-2.6_prm_3 - label: organization-defined strength of mechanism requirements - props: - - name: label - value: IA-2(6) - - name: sort-id - value: IA-02(06) - links: - - href: "#ac-6" - rel: related - parts: - - id: ia-2.6_smt - name: statement - prose: "Implement multifactor authentication for {{ insert: param,\ - \ ia-2.6_prm_1 }} access to {{ insert: param, ia-2.6_prm_2 }}\ - \ such that:" - parts: - - id: ia-2.6_smt.a - name: item - props: - - name: label - value: (a) - prose: One of the factors is provided by a device separate from - the system gaining access; and - - id: ia-2.6_smt.b - name: item - props: - - name: label - value: (b) - prose: "The device meets {{ insert: param, ia-2.6_prm_3 }}." - - id: ia-2.6_gdn - name: guidance - prose: The purpose of requiring a device that is separate from the - system to which the user is attempting to gain access for one - of the factors during multifactor authentication is to reduce - the likelihood of compromising authentication credentials stored - on the system. Adversaries may be able to compromise credentials - stored on the system and subsequently impersonate authorized users. - Implementing one of the factors in multifactor authentication - (e.g., a hardware token) on a separate device, provides a greater - strength of mechanism and an increased level of assurance in the - authentication process. - - id: ia-2.7 - class: SP800-53-enhancement - title: Access to Non-privileged Accounts — Separate Device - props: - - name: label - value: IA-2(7) - - name: status - value: Withdrawn - - name: sort-id - value: IA-02(07) - links: - - href: "#ia-2.6" - rel: incorporated-into - - id: ia-2.8 - class: SP800-53-enhancement - title: Access to Accounts — Replay Resistant - params: - - id: ia-2.8_prm_1 - select: - how-many: one-or-more - choice: - - privileged accounts - - non-privileged accounts - props: - - name: label - value: IA-2(8) - - name: sort-id - value: IA-02(08) - parts: - - id: ia-2.8_smt - name: statement - prose: "Implement replay-resistant authentication mechanisms for\ - \ access to {{ insert: param, ia-2.8_prm_1 }}." - - id: ia-2.8_gdn - name: guidance - prose: Authentication processes resist replay attacks if it is impractical - to achieve successful authentications by replaying previous authentication - messages. Replay-resistant techniques include protocols that use - nonces or challenges such as time synchronous or challenge-response - one-time authenticators. - - id: ia-2.9 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts — Replay Resistant - props: - - name: label - value: IA-2(9) - - name: status - value: Withdrawn - - name: sort-id - value: IA-02(09) - links: - - href: "#ia-2.8" - rel: incorporated-into - - id: ia-2.10 - class: SP800-53-enhancement - title: Single Sign-on - params: - - id: ia-2.10_prm_1 - label: organization-defined system accounts and services - props: - - name: label - value: IA-2(10) - - name: sort-id - value: IA-02(10) - parts: - - id: ia-2.10_smt - name: statement - prose: "Provide a single sign-on capability for {{ insert: param,\ - \ ia-2.10_prm_1 }}." - - id: ia-2.10_gdn - name: guidance - prose: Single sign-on enables users to log in once and gain access - to multiple system resources. Organizations consider the operational - efficiencies provided by single sign-on capabilities with the - risk introduced by allowing access to multiple systems via a single - authentication event. Single sign-on can present opportunities - to improve system security, for example by providing the ability - to add multifactor authentication for applications and systems - (existing and new) that may not be able to natively support multifactor - authentication. - - id: ia-2.11 - class: SP800-53-enhancement - title: Remote Access — Separate Device - props: - - name: label - value: IA-2(11) - - name: status - value: Withdrawn - - name: sort-id - value: IA-02(11) - links: - - href: "#ia-2.6" - rel: incorporated-into - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - props: - - name: label - value: IA-2(12) - - name: sort-id - value: IA-02(12) - parts: - - id: ia-2.12_smt - name: statement - prose: Accept and electronically verify Personal Identity Verification-compliant - credentials. - - id: ia-2.12_gdn - name: guidance - prose: Acceptance of Personal Identity Verification (PIV)-compliant - credentials applies to organizations implementing logical access - control and physical access control systems. PIV-compliant credentials - are those credentials issued by federal agencies that conform - to FIPS Publication 201 and supporting guidance documents. The - adequacy and reliability of PIV card issuers are authorized using - [SP 800-79-2]. Acceptance of PIV-compliant credentials includes - derived PIV credentials, the use of which is addressed in [SP - 800-166]. The DOD Common Access Card (CAC) is an example of a - PIV credential. - - id: ia-2.13 - class: SP800-53-enhancement - title: Out-of-band Authentication - params: - - id: ia-2.13_prm_1 - label: organization-defined conditions - - id: ia-2.13_prm_2 - label: organization-defined out-of-band authentication - props: - - name: label - value: IA-2(13) - - name: sort-id - value: IA-02(13) - links: - - href: "#ia-10" - rel: related - - href: "#ia-11" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ia-2.13_smt - name: statement - prose: "Implement the following out-of-band authentication mechanisms\ - \ under {{ insert: param, ia-2.13_prm_1 }}: {{ insert: param,\ - \ ia-2.13_prm_2 }}." - - id: ia-2.13_gdn - name: guidance - prose: Out-of-band authentication refers to the use of two separate - communication paths to identify and authenticate users or devices - to an information system. The first path (i.e., the in-band path), - is used to identify and authenticate users or devices, and generally - is the path through which information flows. The second path (i.e., - the out-of-band path) is used to independently verify the authentication - and/or requested action. For example, a user authenticates via - a notebook computer to a remote server to which the user desires - access and requests some action of the server via that communication - path. Subsequently, the server contacts the user via the user’s - cell phone to verify that the requested action originated from - the user. The user may confirm the intended action to an individual - on the telephone or provide an authentication code via the telephone. - Out-of-band authentication can be used to mitigate actual or suspected - man-in the-middle attacks. The conditions or criteria for activation - can include suspicious activities, new threat indicators or elevated - threat levels, or the impact or classification level of information - in requested transactions. - - id: ia-3 - class: SP800-53 - title: Device Identification and Authentication - params: - - id: ia-3_prm_1 - label: organization-defined devices and/or types of devices - - id: ia-3_prm_2 - select: - how-many: one-or-more - choice: - - local - - remote - - network - props: - - name: label - value: IA-3 - - name: sort-id - value: IA-03 - links: - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-9" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-9" - rel: related - - href: "#ia-11" - rel: related - - href: "#si-4" - rel: related - parts: - - id: ia-3_smt - name: statement - prose: "Uniquely identify and authenticate {{ insert: param, ia-3_prm_1\ - \ }} before establishing a {{ insert: param, ia-3_prm_2 }} connection." - - id: ia-3_gdn - name: guidance - prose: Devices that require unique device-to-device identification and - authentication are defined by type, by device, or by a combination - of type and device. Organization-defined device types can include - devices that are not owned by the organization. Systems use shared - known information (e.g., Media Access Control [MAC], Transmission - Control Protocol/Internet Protocol [TCP/IP] addresses) for device - identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], RADIUS server - with EAP-Transport Layer Security [TLS] authentication, Kerberos) - to identify and authenticate devices on local and wide area networks. - Organizations determine the required strength of authentication mechanisms - based on the security categories of systems and mission or business - requirements. Because of the challenges of implementing device authentication - on large scale, organizations can restrict the application of the - control to a limited number (and type) of devices based on need. - controls: - - id: ia-3.1 - class: SP800-53-enhancement - title: Cryptographic Bidirectional Authentication - params: - - id: ia-3.1_prm_1 - label: organization-defined devices and/or types of devices - - id: ia-3.1_prm_2 - select: - how-many: one-or-more - choice: - - local - - remote - - network - props: - - name: label - value: IA-3(1) - - name: sort-id - value: IA-03(01) - links: - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ia-3.1_smt - name: statement - prose: "Authenticate {{ insert: param, ia-3.1_prm_1 }} before establishing\ - \ {{ insert: param, ia-3.1_prm_2 }} connection using bidirectional\ - \ authentication that is cryptographically based." - - id: ia-3.1_gdn - name: guidance - prose: A local connection is any connection with a device communicating - without the use of a network. A network connection is any connection - with a device that communicates through a network. A remote connection - is any connection with a device communicating through an external - network. Bidirectional authentication provides stronger protection - to validate the identity of other devices for connections that - are of greater risk. - - id: ia-3.2 - class: SP800-53-enhancement - title: Cryptographic Bidirectional Network Authentication - props: - - name: label - value: IA-3(2) - - name: status - value: Withdrawn - - name: sort-id - value: IA-03(02) - links: - - href: "#ia-3.1" - rel: incorporated-into - - id: ia-3.3 - class: SP800-53-enhancement - title: Dynamic Address Allocation - params: - - id: ia-3.3_prm_1 - label: organization-defined lease information and lease duration - props: - - name: label - value: IA-3(3) - - name: sort-id - value: IA-03(03) - links: - - href: "#au-2" - rel: related - parts: - - id: ia-3.3_smt - name: statement - parts: - - id: ia-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Where addresses are allocated dynamically, standardize\ - \ dynamic address allocation lease information and the lease\ - \ duration assigned to devices in accordance with {{ insert:\ - \ param, ia-3.3_prm_1 }}; and" - - id: ia-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Audit lease information when assigned to a device. - - id: ia-3.3_gdn - name: guidance - prose: The Dynamic Host Configuration (DHCP) protocol is an example - of a means by which clients can dynamically receive network address - assignments. - - id: ia-3.4 - class: SP800-53-enhancement - title: Device Attestation - params: - - id: ia-3.4_prm_1 - label: organization-defined configuration management process - props: - - name: label - value: IA-3(4) - - name: sort-id - value: IA-03(04) - links: - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-6" - rel: related - parts: - - id: ia-3.4_smt - name: statement - prose: "Handle device identification and authentication based on\ - \ attestation by {{ insert: param, ia-3.4_prm_1 }}." - - id: ia-3.4_gdn - name: guidance - prose: Device attestation refers to the identification and authentication - of a device based on its configuration and known operating state. - Device attestation can be determined via a cryptographic hash - of the device. If device attestation is the means of identification - and authentication, then it is important that patches and updates - to the device are handled via a configuration management process - such that the patches and updates are done securely and at the - same time do not disrupt the identification and authentication - to other devices. - - id: ia-4 - class: SP800-53 - title: Identifier Management - params: - - id: ia-4_prm_1 - label: organization-defined personnel or roles - - id: ia-4_prm_2 - label: organization-defined time-period - props: - - name: label - value: IA-4 - - name: sort-id - value: IA-04 - links: - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#sc-37" - rel: related - parts: - - id: ia-4_smt - name: statement - prose: "Manage system identifiers by:" - parts: - - id: ia-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Receiving authorization from {{ insert: param, ia-4_prm_1\ - \ }} to assign an individual, group, role, service, or device\ - \ identifier;" - - id: ia-4_smt.b - name: item - props: - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, - role, service, or device; - - id: ia-4_smt.c - name: item - props: - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, - role, service, or device; and - - id: ia-4_smt.d - name: item - props: - - name: label - value: d. - prose: "Preventing reuse of identifiers for {{ insert: param, ia-4_prm_2\ - \ }}." - - id: ia-4_gdn - name: guidance - prose: Common device identifiers include media access control (MAC), - Internet Protocol (IP) addresses, or device-unique token identifiers. - Management of individual identifiers is not applicable to shared system - accounts. Typically, individual identifiers are the user names of - the system accounts assigned to those individuals. In such instances, - the account management activities of AC-2 use account names provided - by IA-4. Identifier management also addresses individual identifiers - not necessarily associated with system accounts. Preventing the reuse - of identifiers implies preventing the assignment of previously used - individual, group, role, service, or device identifiers to different - individuals, groups, roles, services, or devices. - controls: - - id: ia-4.1 - class: SP800-53-enhancement - title: Prohibit Account Identifiers as Public Identifiers - props: - - name: label - value: IA-4(1) - - name: sort-id - value: IA-04(01) - links: - - href: "#at-2" - rel: related - parts: - - id: ia-4.1_smt - name: statement - prose: Prohibit the use of system account identifiers that are the - same as public identifiers for individual accounts. - - id: ia-4.1_gdn - name: guidance - prose: This control enhancement applies to any publicly disclosed - account identifier used for communication including, for example, - electronic mail and instant messaging. Prohibiting the use of - systems account identifiers that are the same as some public identifier - such as the individual identifier section of an electronic mail - address, makes it more difficult for adversaries to guess user - identifiers. Prohibiting account identifiers as public identifiers - without the implementation of other supporting controls only complicates - guessing of identifiers. Additional protections are required for - authenticators and attributes to protect the account. - - id: ia-4.2 - class: SP800-53-enhancement - title: Supervisor Authorization - props: - - name: label - value: IA-4(2) - - name: status - value: Withdrawn - - name: sort-id - value: IA-04(02) - links: - - href: "#ia-12.1" - rel: incorporated-into - - id: ia-4.3 - class: SP800-53-enhancement - title: Multiple Forms of Certification - props: - - name: label - value: IA-4(3) - - name: status - value: Withdrawn - - name: sort-id - value: IA-04(03) - links: - - href: "#ia-12.2" - rel: incorporated-into - - id: ia-4.4 - class: SP800-53-enhancement - title: Identify User Status - params: - - id: ia-4.4_prm_1 - label: organization-defined characteristic identifying individual - status - props: - - name: label - value: IA-4(4) - - name: sort-id - value: IA-04(04) - parts: - - id: ia-4.4_smt - name: statement - prose: "Manage individual identifiers by uniquely identifying each\ - \ individual as {{ insert: param, ia-4.4_prm_1 }}." - - id: ia-4.4_gdn - name: guidance - prose: Characteristics identifying the status of individuals include - contractors and foreign nationals. Identifying the status of individuals - by characteristics provides additional information about the people - with whom organizational personnel are communicating. For example, - it might be useful for a government employee to know that one - of the individuals on an email message is a contractor. - - id: ia-4.5 - class: SP800-53-enhancement - title: Dynamic Management - params: - - id: ia-4.5_prm_1 - label: organization-defined dynamic identifier policy - props: - - name: label - value: IA-4(5) - - name: sort-id - value: IA-04(05) - links: - - href: "#ac-16" - rel: related - parts: - - id: ia-4.5_smt - name: statement - prose: "Manage individual identifiers dynamically in accordance\ - \ with {{ insert: param, ia-4.5_prm_1 }}." - - id: ia-4.5_gdn - name: guidance - prose: In contrast to conventional approaches to identification - that presume static accounts for preregistered users, many distributed - systems establish identifiers at run time for entities that were - previously unknown. When identifiers are established at runtime - for previously unknown entities, organizations can anticipate - and provision for the dynamic establishment of identifiers. Pre-established - trust relationships and mechanisms with appropriate authorities - to validate identities and related credentials are essential. - - id: ia-4.6 - class: SP800-53-enhancement - title: Cross-organization Management - params: - - id: ia-4.6_prm_1 - label: organization-defined external organizations - props: - - name: label - value: IA-4(6) - - name: sort-id - value: IA-04(06) - links: - - href: "#au-16" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ia-4.6_smt - name: statement - prose: "Coordinate with the following external organizations for\ - \ cross-organization management of identifiers: {{ insert: param,\ - \ ia-4.6_prm_1 }}." - - id: ia-4.6_gdn - name: guidance - prose: Cross-organization identifier management provides the capability - to identify individuals, groups, roles, or devices when conducting - cross-organization activities involving the processing, storage, - or transmission of information. - - id: ia-4.7 - class: SP800-53-enhancement - title: In-person Registration - props: - - name: label - value: IA-4(7) - - name: status - value: Withdrawn - - name: sort-id - value: IA-04(07) - links: - - href: "#ia-12.4" - rel: incorporated-into - - id: ia-4.8 - class: SP800-53-enhancement - title: Pairwise Pseudonymous Identifiers - props: - - name: label - value: IA-4(8) - - name: sort-id - value: IA-04(08) - links: - - href: "#ia-5" - rel: related - parts: - - id: ia-4.8_smt - name: statement - prose: Generate pairwise pseudonymous identifiers. - - id: ia-4.8_gdn - name: guidance - prose: A pairwise pseudonymous identifier is an opaque unguessable - subscriber identifier generated by an identify provider for use - at a specific individual relying party. Generating distinct pairwise - pseudonymous identifiers, with no identifying information about - a subscriber, discourages subscriber activity tracking and profiling - beyond the operational requirements established by an organization. - The pairwise pseudonymous identifiers are unique to each relying - party, except in situations where relying parties can show a demonstrable - relationship justifying an operational need for correlation, or - all parties consent to being correlated in such a manner. - - id: ia-4.9 - class: SP800-53-enhancement - title: Attribute Maintenance and Protection - params: - - id: ia-4.9_prm_1 - label: organization-defined protected central storage - props: - - name: label - value: IA-4(9) - - name: sort-id - value: IA-04(09) - parts: - - id: ia-4.9_smt - name: statement - prose: "Maintain the attributes for each uniquely identified individual,\ - \ device, or service in {{ insert: param, ia-4.9_prm_1 }}." - - id: ia-4.9_gdn - name: guidance - prose: For each of the entities covered in IA-2, IA-3, IA-8, and - IA-9, it is important to maintain the attributes for each authenticated - entity on an ongoing basis in a central (protected) store. - - id: ia-5 - class: SP800-53 - title: Authenticator Management - params: - - id: ia-5_prm_1 - label: organization-defined time-period by authenticator type - props: - - name: label - value: IA-5 - - name: sort-id - value: IA-05 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#d4779b49-8acc-45ef-b4f0-30f945e81d1b" - rel: reference - - href: "#a49f67fc-827c-40e6-9a37-2b1cbe8142fd" - rel: reference - - href: "#972c10bd-aedf-485f-b0db-f46a402127e2" - rel: reference - - href: "#197f7ba7-9af8-4a67-b3a4-5523d850e53b" - rel: reference - - href: "#24738ee6-b3f3-4e37-825b-58775846bdbc" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#cm-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-7" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - parts: - - id: ia-5_smt - name: statement - prose: "Manage system authenticators by:" - parts: - - id: ia-5_smt.a - name: item - props: - - name: label - value: a. - prose: Verifying, as part of the initial authenticator distribution, - the identity of the individual, group, role, service, or device - receiving the authenticator; - - id: ia-5_smt.b - name: item - props: - - name: label - value: b. - prose: Establishing initial authenticator content for any authenticators - issued by the organization; - - id: ia-5_smt.c - name: item - props: - - name: label - value: c. - prose: Ensuring that authenticators have sufficient strength of - mechanism for their intended use; - - id: ia-5_smt.d - name: item - props: - - name: label - value: d. - prose: Establishing and implementing administrative procedures for - initial authenticator distribution, for lost or compromised or - damaged authenticators, and for revoking authenticators; - - id: ia-5_smt.e - name: item - props: - - name: label - value: e. - prose: Establishing minimum and maximum lifetime restrictions and - reuse conditions for authenticators; - - id: ia-5_smt.f - name: item - props: - - name: label - value: f. - prose: Changing default authenticators prior to first use; - - id: ia-5_smt.g - name: item - props: - - name: label - value: g. - prose: "Changing or refreshing authenticators {{ insert: param,\ - \ ia-5_prm_1 }};" - - id: ia-5_smt.h - name: item - props: - - name: label - value: h. - prose: Protecting authenticator content from unauthorized disclosure - and modification; - - id: ia-5_smt.i - name: item - props: - - name: label - value: i. - prose: Requiring individuals to take, and having devices implement, - specific controls to protect authenticators; and - - id: ia-5_smt.j - name: item - props: - - name: label - value: j. - prose: Changing authenticators for group or role accounts when membership - to those accounts changes. - - id: ia-5_gdn - name: guidance - prose: Authenticators include passwords, cryptographic devices, one-time - password devices, and key cards. Device authenticators include certificates - and passwords. Initial authenticator content is the actual content - of the authenticator (e.g., the initial password). In contrast, the - requirements about authenticator content contain specific characteristics - or criteria (e.g., minimum password length). Developers may deliver - system components with factory default authentication credentials - to allow for initial installation and configuration. Default authentication - credentials are often well known, easily discoverable, and present - a significant security risk. The requirement to protect individual - authenticators may be implemented via control PL-4 or PS-6 for authenticators - in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored in organizational systems, including passwords - stored in hashed or encrypted formats or files containing encrypted - or hashed passwords accessible with administrator privileges. Systems - support authenticator management by organization-defined settings - and restrictions for various authenticator characteristics (e.g., - minimum password length, validation time window for time synchronous - one-time tokens, and number of allowed rejections during the verification - stage of biometric authentication). Actions can be taken to safeguard - individual authenticators, including maintaining possession of authenticators; - not sharing authenticators with others; and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management - includes issuing and revoking authenticators for temporary access - when no longer needed. - controls: - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - params: - - id: ia-5.1_prm_1 - label: organization-defined frequency - - id: ia-5.1_prm_2 - label: organization-defined composition and complexity rules - props: - - name: label - value: IA-5(1) - - name: sort-id - value: IA-05(01) - links: - - href: "#ia-6" - rel: related - parts: - - id: ia-5.1_smt - name: statement - prose: "For password-based authentication:" - parts: - - id: ia-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Maintain a list of commonly-used, expected, or compromised\ - \ passwords and update the list {{ insert: param, ia-5.1_prm_1\ - \ }} and when organizational passwords are suspected to have\ - \ been compromised directly or indirectly;" - - id: ia-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify, when users create or update passwords, that the - passwords are not found on the organization-defined list of - commonly-used, expected, or compromised passwords; - - id: ia-5.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Transmit only cryptographically-protected passwords; - - id: ia-5.1_smt.d - name: item - props: - - name: label - value: (d) - prose: Store passwords using an approved hash algorithm and - salt, preferably using a keyed hash; - - id: ia-5.1_smt.e - name: item - props: - - name: label - value: (e) - prose: Require immediate selection of a new password upon account - recovery; - - id: ia-5.1_smt.f - name: item - props: - - name: label - value: (f) - prose: Allow user selection of long passwords and passphrases, - including spaces and all printable characters; - - id: ia-5.1_smt.g - name: item - props: - - name: label - value: (g) - prose: Employ automated tools to assist the user in selecting - strong password authenticators; and - - id: ia-5.1_smt.h - name: item - props: - - name: label - value: (h) - prose: "Enforce the following composition and complexity rules:\ - \ {{ insert: param, ia-5.1_prm_2 }}." - - id: ia-5.1_gdn - name: guidance - prose: Password-based authentication applies to passwords regardless - of whether they are used in single-factor or multifactor authentication. - Long passwords or passphrases are preferable over shorter passwords. - Enforced composition rules provide marginal security benefit while - decreasing usability. However, organizations may choose to establish - certain rules for password generation (e.g., minimum character - length for long passwords) under certain circumstances and can - enforce this requirement in IA-5(1)(h). Account recovery can occur, - for example, in situations when a password is forgotten. Cryptographically-protected - passwords include salted one-way cryptographic hashes of passwords. - The list of commonly-used, compromised, or expected passwords - includes passwords obtained from previous breach corpuses, dictionary - words, and repetitive or sequential characters. The list includes - context specific words, for example, the name of the service, - username, and derivatives thereof. - - id: ia-5.2 - class: SP800-53-enhancement - title: Implement a local cache of revocation data to support path discovery - and validation. - props: - - name: label - value: IA-5(2) - - name: sort-id - value: IA-05(02) - links: - - href: "#ia-3" - rel: related - - href: "#sc-17" - rel: related - parts: - - id: ia-5.2_smt - name: statement - prose: "Discussion: Public key cryptography is a valid authentication\ - \ mechanism for individuals and machines or devices. When PKI\ - \ is implemented, status information for certification paths includes\ - \ certificate revocation lists or certificate status protocol\ - \ responses. For PIV cards, certificate validation involves the\ - \ construction and verification of a certification path to the\ - \ Common Policy Root trust anchor which includes certificate policy\ - \ processing. Implementing a local cache of revocation data to\ - \ support path discovery and validation supports system availability\ - \ in situations where organizations are unable to access revocation\ - \ information via the network." - - id: ia-5.2_gdn - name: guidance - - id: ia-5.3 - class: SP800-53-enhancement - title: In-person or Trusted External Party Registration - props: - - name: label - value: IA-5(3) - - name: status - value: Withdrawn - - name: sort-id - value: IA-05(03) - links: - - href: "#ia-12.4" - rel: incorporated-into - - id: ia-5.4 - class: SP800-53-enhancement - title: Automated Support for Password Strength Determination - props: - - name: label - value: IA-5(4) - - name: status - value: Withdrawn - - name: sort-id - value: IA-05(04) - links: - - href: "#ia-5.1" - rel: incorporated-into - - id: ia-5.5 - class: SP800-53-enhancement - title: Change Authenticators Prior to Delivery - props: - - name: label - value: IA-5(5) - - name: sort-id - value: IA-05(05) - parts: - - id: ia-5.5_smt - name: statement - prose: Require developers and installers of system components to - provide unique authenticators or change default authenticators - prior to delivery and installation. - - id: ia-5.5_gdn - name: guidance - prose: Changing authenticators prior to delivery and installation - of system components extends the requirement for organizations - to change default authenticators upon system installation, by - requiring developers and/or installers to provide unique authenticators - or change default authenticators for system components prior to - delivery and/or installation. However, it typically does not apply - to developers of commercial off-the-shelf information technology - products. Requirements for unique authenticators can be included - in acquisition documents prepared by organizations when procuring - systems or system components. - - id: ia-5.6 - class: SP800-53-enhancement - title: Protection of Authenticators - props: - - name: label - value: IA-5(6) - - name: sort-id - value: IA-05(06) - links: - - href: "#ra-2" - rel: related - parts: - - id: ia-5.6_smt - name: statement - prose: Protect authenticators commensurate with the security category - of the information to which use of the authenticator permits access. - - id: ia-5.6_gdn - name: guidance - prose: For systems containing multiple security categories of information - without reliable physical or logical separation between categories, - authenticators used to grant access to the systems are protected - commensurate with the highest security category of information - on the systems. Security categories of information are determined - as part of the security categorization process. - - id: ia-5.7 - class: SP800-53-enhancement - title: No Embedded Unencrypted Static Authenticators - props: - - name: label - value: IA-5(7) - - name: sort-id - value: IA-05(07) - parts: - - id: ia-5.7_smt - name: statement - prose: Ensure that unencrypted static authenticators are not embedded - in applications or other forms of static storage. - - id: ia-5.7_gdn - name: guidance - prose: In addition to applications, other forms of static storage - include access scripts and function keys. Organizations exercise - caution in determining whether embedded or stored authenticators - are in encrypted or unencrypted form. If authenticators are used - in the manner stored, then those representations are considered - unencrypted authenticators. - - id: ia-5.8 - class: SP800-53-enhancement - title: Multiple System Accounts - params: - - id: ia-5.8_prm_1 - label: organization-defined security controls - props: - - name: label - value: IA-5(8) - - name: sort-id - value: IA-05(08) - parts: - - id: ia-5.8_smt - name: statement - prose: "Implement {{ insert: param, ia-5.8_prm_1 }} to manage the\ - \ risk of compromise due to individuals having accounts on multiple\ - \ systems." - - id: ia-5.8_gdn - name: guidance - prose: When individuals have accounts on multiple systems, there - is the risk that a compromise of one account may lead to the compromise - of other accounts if individuals use the same authenticators. - Alternatives include having different authenticators on all systems; - employing a single sign-on mechanism; or using some form of one-time - passwords on all systems. Organizations can also use rules of - behavior (see PL-4) and access agreements (see PS-6) to mitigate - the risk of multiple system accounts. - - id: ia-5.9 - class: SP800-53-enhancement - title: Federated Credential Management - params: - - id: ia-5.9_prm_1 - label: organization-defined external organizations - props: - - name: label - value: IA-5(9) - - name: sort-id - value: IA-05(09) - links: - - href: "#au-7" - rel: related - - href: "#au-16" - rel: related - parts: - - id: ia-5.9_smt - name: statement - prose: "Use the following external organizations to federate authenticators:\ - \ {{ insert: param, ia-5.9_prm_1 }}." - - id: ia-5.9_gdn - name: guidance - prose: Federation provides the capability for organizations to authenticate - individuals and devices when conducting cross-organization activities - involving the processing, storage, or transmission of information. - - id: ia-5.10 - class: SP800-53-enhancement - title: Dynamic Credential Binding - params: - - id: ia-5.10_prm_1 - label: organization-defined binding rules - props: - - name: label - value: IA-5(10) - - name: sort-id - value: IA-05(10) - links: - - href: "#au-16" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: ia-5.10_smt - name: statement - prose: "Bind identities and authenticators dynamically using the\ - \ following rules: {{ insert: param, ia-5.10_prm_1 }}." - - id: ia-5.10_gdn - name: guidance - prose: Authentication requires some form of binding between an identity - and the authenticator that is used to confirm the identity. In - conventional approaches, binding is established by pre-provisioning - both the identity and the authenticator to the system. For example, - the binding between a username (i.e., identity) and a password - (i.e., authenticator) is accomplished by provisioning the identity - and authenticator as a pair in the system. New authentication - techniques allow the binding between the identity and the authenticator - to be implemented external to a system. For example, with smartcard - credentials, the identity and authenticator are bound together - on the smartcard. Using these credentials, systems can authenticate - identities that have not been pre-provisioned, dynamically provisioning - the identity after authentication. In these situations, organizations - can anticipate the dynamic provisioning of identities. Pre-established - trust relationships and mechanisms with appropriate authorities - to validate identities and related credentials are essential. - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - props: - - name: label - value: IA-5(11) - - name: status - value: Withdrawn - - name: sort-id - value: IA-05(11) - links: - - href: "#ia-2.1" - rel: incorporated-into - - href: "#ia-2.2" - rel: incorporated-into - - id: ia-5.12 - class: SP800-53-enhancement - title: Biometric Authentication Performance - params: - - id: ia-5.12_prm_1 - label: organization-defined biometric quality requirements - props: - - name: label - value: IA-5(12) - - name: sort-id - value: IA-05(12) - links: - - href: "#ac-7" - rel: related - parts: - - id: ia-5.12_smt - name: statement - prose: "For biometric-based authentication, employ mechanisms that\ - \ satisfy the following biometric quality requirements {{ insert:\ - \ param, ia-5.12_prm_1 }}." - - id: ia-5.12_gdn - name: guidance - prose: Unlike password-based authentication which provides exact - matches of user-input passwords to stored passwords, biometric - authentication does not provide such exact matches. Depending - upon the type of biometric and the type of collection mechanism, - there is likely to be some divergence from the presented biometric - and the stored biometric that serves as the basis of comparison. - Matching performance is the rate at which a biometric algorithm - correctly results in a match for a genuine user and rejects other - users. Biometric performance requirements include the match rate - as this rate reflects the accuracy of the biometric matching algorithm - used by a system. - - id: ia-5.13 - class: SP800-53-enhancement - title: Expiration of Cached Authenticators - params: - - id: ia-5.13_prm_1 - label: organization-defined time-period - props: - - name: label - value: IA-5(13) - - name: sort-id - value: IA-05(13) - parts: - - id: ia-5.13_smt - name: statement - prose: "Prohibit the use of cached authenticators after {{ insert:\ - \ param, ia-5.13_prm_1 }}." - - id: ia-5.13_gdn - name: guidance - prose: If cached authentication information is out-of-date, the - validity of the authentication information may be questionable. - - id: ia-5.14 - class: SP800-53-enhancement - title: Managing Content of PKI Trust Stores - props: - - name: label - value: IA-5(14) - - name: sort-id - value: IA-05(14) - parts: - - id: ia-5.14_smt - name: statement - prose: For PKI-based authentication, employ an organization-wide - methodology for managing the content of PKI trust stores installed - across all platforms, including networks, operating systems, browsers, - and applications. - - id: ia-5.14_gdn - name: guidance - prose: An organization-wide methodology for managing the content - of PKI trust stores helps improve the accuracy and currency of - PKI-based authentication credentials across the organization. - - id: ia-5.15 - class: SP800-53-enhancement - title: Gsa-approved Products and Services - props: - - name: label - value: IA-5(15) - - name: sort-id - value: IA-05(15) - parts: - - id: ia-5.15_smt - name: statement - prose: Use only General Services Administration-approved and validated - products and services for identity, credential, and access management. - - id: ia-5.15_gdn - name: guidance - prose: General Services Administration (GSA)-approved products and - services are the products and services that have been approved - through the GSA conformance program, where applicable, and posted - to the GSA Approved Products List. GSA provides guidance for teams - to design and build functional and secure systems that comply - with Federal Identity, Credential, and Access Management (FICAM) - policies, technologies, and implementation patterns. - - id: ia-5.16 - class: SP800-53-enhancement - title: In-person or Trusted External Party Authenticator Issuance - params: - - id: ia-5.16_prm_1 - label: organization-defined types of and/or specific authenticators - - id: ia-5.16_prm_2 - select: - choice: - - in person - - by a trusted external party - - id: ia-5.16_prm_3 - label: organization-defined registration authority - - id: ia-5.16_prm_4 - label: organization-defined personnel or roles - props: - - name: label - value: IA-5(16) - - name: sort-id - value: IA-05(16) - links: - - href: "#ia-12" - rel: related - parts: - - id: ia-5.16_smt - name: statement - prose: "Require that the issuance of {{ insert: param, ia-5.16_prm_1\ - \ }} be conducted {{ insert: param, ia-5.16_prm_2 }} before {{\ - \ insert: param, ia-5.16_prm_3 }} with authorization by {{ insert:\ - \ param, ia-5.16_prm_4 }}." - - id: ia-5.16_gdn - name: guidance - prose: Issuing authenticators in person or by a trusted external - party enhances and reinforces the trustworthiness of the identity - proofing process. - - id: ia-5.17 - class: SP800-53-enhancement - title: Presentation Attack Detection for Biometric Authenticators - props: - - name: label - value: IA-5(17) - - name: sort-id - value: IA-05(17) - links: - - href: "#ac-7" - rel: related - parts: - - id: ia-5.17_smt - name: statement - prose: Employ presentation attack detection mechanisms for biometric-based - authentication. - - id: ia-5.17_gdn - name: guidance - prose: Biometric characteristics do not constitute secrets. Such - characteristics can be obtained by online web accesses; taking - a picture of someone with a camera phone to obtain facial images - with or without their knowledge; lifting from objects that someone - has touched, for example, a latent fingerprint; or capturing a - high-resolution image, for example, an iris pattern. Presentation - attack detection technologies including liveness detection, can - mitigate the risk of these types of attacks by making it difficult - to produce artifacts intended to defeat the biometric sensor. - - id: ia-5.18 - class: SP800-53-enhancement - title: Password Managers - params: - - id: ia-5.18_prm_1 - label: organization-defined password managers - - id: ia-5.18_prm_2 - label: organization-defined controls - props: - - name: label - value: IA-5(18) - - name: sort-id - value: IA-05(18) - parts: - - id: ia-5.18_smt - name: statement - parts: - - id: ia-5.18_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ {{ insert: param, ia-5.18_prm_1 }} to generate\ - \ and manage passwords; and" - - id: ia-5.18_smt.b - name: item - props: - - name: label - value: (b) - prose: "Protect the passwords using {{ insert: param, ia-5.18_prm_2\ - \ }}." - - id: ia-5.18_gdn - name: guidance - prose: For those systems where static passwords are employed, it - is often a challenge to ensure that the passwords are suitably - complex and that the same passwords are not employed on multiple - systems. A password manager is a solution to this problem as it - automatically generates and stores strong and different passwords - for the various accounts. A potential risk of using password managers - is that adversaries can target the collection of passwords generated - by the password manager. Therefore, the collection of passwords - requires protection including encrypting the passwords (see IA-5(1)d.) - and storing the collection off-line in a token. - - id: ia-6 - class: SP800-53 - title: Authenticator Feedback - props: - - name: label - value: IA-6 - - name: sort-id - value: IA-06 - links: - - href: "#ac-3" - rel: related - parts: - - id: ia-6_smt - name: statement - prose: Obscure feedback of authentication information during the authentication - process to protect the information from possible exploitation and - use by unauthorized individuals. - - id: ia-6_gdn - name: guidance - prose: Authenticator feedback from systems does not provide information - that would allow unauthorized individuals to compromise authentication - mechanisms. For some types of systems, for example, desktops or notebooks - with relatively large monitors, the threat (referred to as shoulder - surfing) may be significant. For other types of systems, for example, - mobile devices with small displays, the threat may be less significant, - and is balanced against the increased likelihood of typographic input - errors due to small keyboards. Thus, the means for obscuring authenticator - feedback is selected accordingly. Obscuring authenticator feedback - includes displaying asterisks when users type passwords into input - devices, or displaying feedback for a very limited time before obscuring - it. - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - props: - - name: label - value: IA-7 - - name: sort-id - value: IA-07 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ia-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ia-7_smt - name: statement - prose: Implement mechanisms for authentication to a cryptographic module - that meet the requirements of applicable laws, executive orders, directives, - policies, regulations, standards, and guidelines for such authentication. - - id: ia-7_gdn - name: guidance - prose: Authentication mechanisms may be required within a cryptographic - module to authenticate an operator accessing the module and to verify - that the operator is authorized to assume the requested role and perform - services within that role. - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - props: - - name: label - value: IA-8 - - name: sort-id - value: IA-08 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#bb55e71a-e059-4263-8dd8-bc96fd3f063d" - rel: reference - - href: "#ad7d575f-b5fe-489b-8d48-36a93d964a5f" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-10" - rel: related - - href: "#ia-11" - rel: related - - href: "#ma-4" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: ia-8_smt - name: statement - prose: Uniquely identify and authenticate non-organizational users or - processes acting on behalf of non-organizational users. - - id: ia-8_gdn - name: guidance - prose: Non-organizational users include system users other than organizational - users explicitly covered by IA-2. Non-organizational users are uniquely - identified and authenticated for accesses other than those accesses - explicitly identified and documented in AC-14. Identification and - authentication of non-organizational users accessing federal systems - may be required to protect federal, proprietary, or privacy-related - information (with exceptions noted for national security systems). - Organizations consider many factors, including security, privacy, - scalability, and practicality in balancing the need to ensure ease - of use for access to federal information and systems with the need - to protect and adequately mitigate risk. - controls: - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - props: - - name: label - value: IA-8(1) - - name: sort-id - value: IA-08(01) - links: - - href: "#pe-3" - rel: related - parts: - - id: ia-8.1_smt - name: statement - prose: Accept and electronically verify Personal Identity Verification-compliant - credentials from other federal agencies. - - id: ia-8.1_gdn - name: guidance - prose: Acceptance of Personal Identity Verification (PIV) credentials - from other federal agencies applies to both logical and physical - access control systems. PIV credentials are those credentials - issued by federal agencies that conform to FIPS Publication 201 - and supporting guidelines. The adequacy and reliability of PIV - card issuers are addressed and authorized using [SP 800-79-2]. - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of External Credentials - props: - - name: label - value: IA-8(2) - - name: sort-id - value: IA-08(02) - parts: - - id: ia-8.2_smt - name: statement - prose: Accept only external credentials that are NIST-compliant. - - id: ia-8.2_gdn - name: guidance - prose: Acceptance of only NIST-compliant external credentials applies - to organizational systems that are accessible to the public (e.g., - public-facing websites). External credentials are those credentials - issued by nonfederal government entities. External credentials - are certified as compliant with [SP 800-63-3] by an approved accreditation - authority. Approved external credentials meet or exceed the set - of minimum federal government-wide technical, security, privacy, - and organizational maturity requirements. Meeting or exceeding - federal requirements allows federal government relying parties - to trust external credentials at their approved assurance levels. - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - props: - - name: label - value: IA-8(3) - - name: status - value: Withdrawn - - name: sort-id - value: IA-08(03) - links: - - href: "#ia-8.2" - rel: incorporated-into - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Nist-issued Profiles - props: - - name: label - value: IA-8(4) - - name: sort-id - value: IA-08(04) - parts: - - id: ia-8.4_smt - name: statement - prose: Conform to NIST-issued profiles for identity management. - - id: ia-8.4_gdn - name: guidance - prose: Conformance with NIST-issued profiles for identity management - addresses open identity management standards. To ensure that open - identity management standards are viable, robust, reliable, sustainable, - and interoperable as documented, the United States Government - assesses and scopes the standards and technology implementations - against applicable laws, executive orders, directives, policies, - regulations, standards, and guidelines. The result is NIST-issued - implementation profiles of approved protocols. - - id: ia-8.5 - class: SP800-53-enhancement - title: Acceptance of PIV-I Credentials - params: - - id: ia-8.5_prm_1 - label: organization-defined policy - props: - - name: label - value: IA-8(5) - - name: sort-id - value: IA-08(05) - parts: - - id: ia-8.5_smt - name: statement - prose: "Accept and verify federated or PKI credentials that meet\ - \ {{ insert: param, ia-8.5_prm_1 }}." - - id: ia-8.5_gdn - name: guidance - prose: This control enhancement can be implemented by PIV , PIV-I, - and other commercial or external identity providers. Acceptance - and verification of Personal Identity Verification (PIV)-I-compliant - credentials applies to both logical and physical access control - systems. Acceptance and verification of PIV-I credentials addresses - nonfederal issuers of identity cards that desire to interoperate - with United States Government PIV systems and that can be trusted - by federal government-relying parties. The X.509 certificate policy - for the Federal Bridge Certification Authority (FBCA) addresses - PIV-I requirements. The PIV-I card is commensurate with the PIV - credentials as defined in cited references. PIV-I credentials - are the credentials issued by a PIV-I provider whose PIV-I certificate - policy maps to the Federal Bridge PIV-I Certificate Policy. A - PIV-I provider is cross-certified with the FBCA (directly or through - another PKI bridge) with policies that have been mapped and approved - as meeting the requirements of the PIV-I policies defined in the - FBCA certificate policy. - - id: ia-8.6 - class: SP800-53-enhancement - title: Disassociability - params: - - id: ia-8.6_prm_1 - label: organization-defined measures - props: - - name: label - value: IA-8(6) - - name: sort-id - value: IA-08(06) - parts: - - id: ia-8.6_smt - name: statement - prose: "Implement the following measures to disassociate user attributes\ - \ or credential assertion relationships among individuals, credential\ - \ service providers, and relying parties: {{ insert: param, ia-8.6_prm_1\ - \ }}." - - id: ia-8.6_gdn - name: guidance - prose: Federated identity solutions can create increased privacy - risks due to tracking and profiling of individuals. Using identifier - mapping tables or cryptographic techniques to blind credential - service providers and relying parties from each other or to make - identity attributes less visible to transmitting parties can reduce - these privacy risks. - - id: ia-9 - class: SP800-53 - title: Service Identification and Authentication - params: - - id: ia-9_prm_1 - label: organization-defined system services and applications - props: - - name: label - value: IA-9 - - name: sort-id - value: IA-09 - links: - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: ia-9_smt - name: statement - prose: "Uniquely identify and authenticate {{ insert: param, ia-9_prm_1\ - \ }} before establishing communications with devices, users, or other\ - \ services or applications." - - id: ia-9_gdn - name: guidance - prose: Services that may require identification and authentication include - web applications using digital certificates or services or applications - that query a database. Identification and authentication methods for - system services/applications include information or code signing, - provenance graphs, and/or electronic signatures indicating the sources - of services. Decisions regarding the validation of identification - and authentication claims can be made by services separate from the - services acting on those decisions. This can occur in distributed - system architectures. In such situations, the identification and authentication - decisions (instead of actual identifiers and authenticators) are provided - to the services that need to act on those decisions. - controls: - - id: ia-9.1 - class: SP800-53-enhancement - title: Information Exchange - props: - - name: label - value: IA-9(1) - - name: status - value: Withdrawn - - name: sort-id - value: IA-09(01) - links: - - href: "#ia-9" - rel: incorporated-into - - id: ia-9.2 - class: SP800-53-enhancement - title: Transmission of Decisions - props: - - name: label - value: IA-9(2) - - name: status - value: Withdrawn - - name: sort-id - value: IA-09(02) - links: - - href: "#ia-9" - rel: incorporated-into - - id: ia-10 - class: SP800-53 - title: Adaptive Authentication - params: - - id: ia-10_prm_1 - label: organization-defined supplemental authentication techniques or - mechanisms - - id: ia-10_prm_2 - label: organization-defined circumstances or situations - props: - - name: label - value: IA-10 - - name: sort-id - value: IA-10 - links: - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-10_smt - name: statement - prose: "Require individuals accessing the system to employ {{ insert:\ - \ param, ia-10_prm_1 }} under specific {{ insert: param, ia-10_prm_2\ - \ }}." - - id: ia-10_gdn - name: guidance - prose: Adversaries may compromise individual authentication mechanisms - employed by organizations and subsequently attempt to impersonate - legitimate users. To address this threat, organizations may employ - specific techniques or mechanisms and establish protocols to assess - suspicious behavior. Suspicious behavior may include accessing information - that individuals do not typically access as part of their duties, - roles, or responsibilities; accessing greater quantities of information - than individuals would routinely access; or attempting to access information - from suspicious network addresses. When pre-established conditions - or triggers occur, organizations can require individuals to provide - additional authentication information. Another potential use for adaptive - authentication is to increase the strength of mechanism based on the - number or types of records being accessed. Adaptive authentication - does not replace and is not used to avoid the use of multifactor authentication - mechanisms but can augment implementations of these controls. - - id: ia-11 - class: SP800-53 - title: Re-authentication - params: - - id: ia-11_prm_1 - label: organization-defined circumstances or situations requiring re-authentication - props: - - name: label - value: IA-11 - - name: sort-id - value: IA-11 - links: - - href: "#ac-3" - rel: related - - href: "#ac-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-11_smt - name: statement - prose: "Require users to re-authenticate when {{ insert: param, ia-11_prm_1\ - \ }}." - - id: ia-11_gdn - name: guidance - prose: In addition to the re-authentication requirements associated - with device locks, organizations may require re-authentication of - individuals in certain situations, including when authenticators or - roles change; when security categories of systems change; when the - execution of privileged functions occurs; after a fixed time-period; - or periodically. - - id: ia-12 - class: SP800-53 - title: Identity Proofing - props: - - name: label - value: IA-12 - - name: sort-id - value: IA-12 - links: - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#3c50fa31-7f4d-4d30-91d7-27ee87cd5f75" - rel: reference - - href: "#bb55e71a-e059-4263-8dd8-bc96fd3f063d" - rel: reference - - href: "#ia-1" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-6" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-12_smt - name: statement - parts: - - id: ia-12_smt.a - name: item - props: - - name: label - value: a. - prose: Identity proof users that require accounts for logical access - to systems based on appropriate identity assurance level requirements - as specified in applicable standards and guidelines; - - id: ia-12_smt.b - name: item - props: - - name: label - value: b. - prose: Resolve user identities to a unique individual; and - - id: ia-12_smt.c - name: item - props: - - name: label - value: c. - prose: Collect, validate, and verify identity evidence. - - id: ia-12_gdn - name: guidance - prose: Identity proofing is the process of collecting, validating, and - verifying user’s identity information for the purposes of issuing - credentials for accessing a system. Identity proofing is intended - to mitigate threats to the registration of users and the establishment - of their accounts. Standards and guidelines specifying identity assurance - levels for identity proofing include [SP 800-63-3] and [SP 800-63A]. - controls: - - id: ia-12.1 - class: SP800-53-enhancement - title: Supervisor Authorization - props: - - name: label - value: IA-12(1) - - name: sort-id - value: IA-12(01) - parts: - - id: ia-12.1_smt - name: statement - prose: Require that the registration process to receive an account - for logical access includes supervisor or sponsor authorization. - - id: ia-12.1_gdn - name: guidance - prose: Including supervisor or sponsor authorization as part of - the registration process provides an additional level of scrutiny - to ensure that the user’s management chain is aware of the account, - the account is essential to carry out organizational missions - and functions, and the user’s privileges are appropriate for the - anticipated responsibilities and authorities within the organization. - - id: ia-12.2 - class: SP800-53-enhancement - title: Identity Evidence - props: - - name: label - value: IA-12(2) - - name: sort-id - value: IA-12(02) - parts: - - id: ia-12.2_smt - name: statement - prose: Require evidence of individual identification be presented - to the registration authority. - - id: ia-12.2_gdn - name: guidance - prose: Identity evidence, such as documentary evidence or a combination - of documents and biometrics, reduces the likelihood of individuals - using fraudulent identification to establish an identity, or at - least increases the work factor of potential adversaries. The - forms of acceptable evidence are consistent with the risk to the - systems, roles, and privileges associated with the user’s account. - - id: ia-12.3 - class: SP800-53-enhancement - title: Identity Evidence Validation and Verification - params: - - id: ia-12.3_prm_1 - label: organizational defined methods of validation and verification - props: - - name: label - value: IA-12(3) - - name: sort-id - value: IA-12(03) - parts: - - id: ia-12.3_smt - name: statement - prose: "Require that the presented identity evidence be validated\ - \ and verified through {{ insert: param, ia-12.3_prm_1 }}." - - id: ia-12.3_gdn - name: guidance - prose: Validating and verifying identity evidence increases the - assurance that accounts, identifiers, and authenticators are being - issued to the correct user. Validation refers to the process of - confirming that the evidence is genuine and authentic, and the - data contained in the evidence is correct, current, and related - to an actual person or individual. Verification confirms and establishes - a linkage between the claimed identity and the actual existence - of the user presenting the evidence. Acceptable methods for validating - and verifying identity evidence are consistent with the risk to - the systems, roles, and privileges associated with the users account - - id: ia-12.4 - class: SP800-53-enhancement - title: In-person Validation and Verification - props: - - name: label - value: IA-12(4) - - name: sort-id - value: IA-12(04) - parts: - - id: ia-12.4_smt - name: statement - prose: Require that the validation and verification of identity - evidence be conducted in person before a designated registration - authority. - - id: ia-12.4_gdn - name: guidance - prose: In-person proofing reduces the likelihood of fraudulent credentials - being issued because it requires the physical presence of individuals, - the presentation of physical identity documents, and actual face-to-face - interactions with designated registration authorities. - - id: ia-12.5 - class: SP800-53-enhancement - title: Address Confirmation - params: - - id: ia-12.5_prm_1 - select: - choice: - - registration code - - notice of proofing - props: - - name: label - value: IA-12(5) - - name: sort-id - value: IA-12(05) - links: - - href: "#ia-12" - rel: related - parts: - - id: ia-12.5_smt - name: statement - prose: "Require that a {{ insert: param, ia-12.5_prm_1 }} be delivered\ - \ through an out-of-band channel to verify the users address (physical\ - \ or digital) of record." - - id: ia-12.5_gdn - name: guidance - prose: To make it more difficult for adversaries to pose as legitimate - users during the identity proofing process, organizations can - use out-of-band methods to increase assurance that the individual - associated with an address of record is the same person that participated - in the registration. Confirmation can take the form of a temporary - enrollment code or a notice of proofing. The delivery address - for these artifacts are obtained from records and not self-asserted - by the user. The address can include a physical or a digital address. - A home address is an example of a physical address. Email addresses - and telephone numbers are examples of digital addresses. - - id: ia-12.6 - class: SP800-53-enhancement - title: Accept Externally-proofed Identities - params: - - id: ia-12.6_prm_1 - label: organization-defined identity assurance level - props: - - name: label - value: IA-12(6) - - name: sort-id - value: IA-12(06) - links: - - href: "#ia-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: ia-12.6_smt - name: statement - prose: "Accept externally-proofed identities at {{ insert: param,\ - \ ia-12.6_prm_1 }}." - - id: ia-12.6_gdn - name: guidance - prose: To limit unnecessary re-proofing of identities, particularly - of non-PIV users, organizations accept proofing conducted at a - commensurate level of assurance by other agencies or organizations. - Proofing is consistent with organizational security policy and - with the identity assurance level appropriate for the system, - application, or information accessed. Accepting externally-proofed - identities is a fundamental component of managing federated identities - across agencies and organizations. - - id: ir - class: family - title: Incident Response - controls: - - id: ir-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ir-1_prm_1 - label: organization-defined personnel or roles - - id: ir-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ir-1_prm_3 - label: organization-defined official - - id: ir-1_prm_4 - label: organization-defined frequency - - id: ir-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: IR-1 - - name: sort-id - value: IR-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ir-1_smt - name: statement - parts: - - id: ir-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ir-1_prm_1 }}:" - parts: - - id: ir-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ir-1_prm_2 }} incident response policy\ - \ that:" - parts: - - id: ir-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ir-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ir-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the incident - response policy and the associated incident response controls; - - id: ir-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ir-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the incident\ - \ response policy and procedures; and" - - id: ir-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current incident response:" - parts: - - id: ir-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ir-1_prm_4 }}; and" - - id: ir-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ir-1_prm_5 }}." - - id: ir-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the IR family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ir-2 - class: SP800-53 - title: Incident Response Training - params: - - id: ir-2_prm_1 - label: organization-defined time-period - - id: ir-2_prm_2 - label: organization-defined frequency - props: - - name: label - value: IR-2 - - name: sort-id - value: IR-02 - links: - - href: "#2e29c363-d5be-47ba-92f5-f8a58a69b65e" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#at-4" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: ir-2_smt - name: statement - prose: "Provide incident response training to system users consistent\ - \ with assigned roles and responsibilities:" - parts: - - id: ir-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Within {{ insert: param, ir-2_prm_1 }} of assuming an incident\ - \ response role or responsibility or acquiring system access;" - - id: ir-2_smt.b - name: item - props: - - name: label - value: b. - prose: When required by system changes; and - - id: ir-2_smt.c - name: item - props: - - name: label - value: c. - prose: "{{ insert: param, ir-2_prm_2 }} thereafter." - - id: ir-2_gdn - name: guidance - prose: Incident response training is associated with assigned roles - and responsibilities of organizational personnel to ensure the appropriate - content and level of detail is included in such training. For example, - users may only need to know who to call or how to recognize an incident; - system administrators may require additional training on how to handle - incidents; and finally, incident responders may receive more specific - training on forensics, data collection techniques, reporting, system - recovery, and system restoration. Incident response training includes - user training in identifying and reporting suspicious activities from - external and internal sources. Incident response training for users - may be provided as part of AT-2 or AT-3. - controls: - - id: ir-2.1 - class: SP800-53-enhancement - title: Simulated Events - props: - - name: label - value: IR-2(1) - - name: sort-id - value: IR-02(01) - parts: - - id: ir-2.1_smt - name: statement - prose: Incorporate simulated events into incident response training - to facilitate the required response by personnel in crisis situations. - - id: ir-2.1_gdn - name: guidance - prose: Organizations establish requirements for responding to incidents - in incident response plans. Incorporating simulated events into - incident response training helps to ensure that personnel understand - their individual responsibilities and what specific actions to - take in crisis situations. - - id: ir-2.2 - class: SP800-53-enhancement - title: Automated Training Environments - params: - - id: ir-2.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-2(2) - - name: sort-id - value: IR-02(02) - parts: - - id: ir-2.2_smt - name: statement - prose: "Provide an incident response training environment using\ - \ {{ insert: param, ir-2.2_prm_1 }}." - - id: ir-2.2_gdn - name: guidance - prose: Automated mechanisms can provide a more thorough and realistic - incident response training environment. This can be accomplished, - for example, by providing more complete coverage of incident response - issues; by selecting more realistic training scenarios and training - environments; and by stressing the response capability. - - id: ir-3 - class: SP800-53 - title: Incident Response Testing - params: - - id: ir-3_prm_1 - label: organization-defined frequency - - id: ir-3_prm_2 - label: organization-defined tests - props: - - name: label - value: IR-3 - - name: sort-id - value: IR-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#20bf433b-074c-47a0-8fca-cd591772ccd6" - rel: reference - - href: "#a6b97214-55d4-4b86-a3a4-53d5911d96f7" - rel: reference - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#pm-14" - rel: related - parts: - - id: ir-3_smt - name: statement - prose: "Test the effectiveness of the incident response capability for\ - \ the system {{ insert: param, ir-3_prm_1 }} using the following tests:\ - \ {{ insert: param, ir-3_prm_2 }}." - - id: ir-3_gdn - name: guidance - prose: Organizations test incident response capabilities to determine - the effectiveness of the capabilities and to identify potential weaknesses - or deficiencies. Incident response testing includes the use of checklists, - walk-through or tabletop exercises, and simulations (parallel or full - interrupt). Incident response testing can include a determination - of the effects on organizational operations, organizational assets, - and individuals due to incident response. Use of qualitative and quantitative - data aids in determining the effectiveness of incident response processes. - controls: - - id: ir-3.1 - class: SP800-53-enhancement - title: Automated Testing - params: - - id: ir-3.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-3(1) - - name: sort-id - value: IR-03(01) - parts: - - id: ir-3.1_smt - name: statement - prose: "Test the incident response capability using {{ insert: param,\ - \ ir-3.1_prm_1 }}." - - id: ir-3.1_gdn - name: guidance - prose: Organizations use automated mechanisms to more thoroughly - and effectively test incident response capabilities. This can - be accomplished by providing more complete coverage of incident - response issues; by selecting more realistic test scenarios and - test environments; and by stressing the response capability. - - id: ir-3.2 - class: SP800-53-enhancement - title: Coordination with Related Plans - props: - - name: label - value: IR-3(2) - - name: sort-id - value: IR-03(02) - parts: - - id: ir-3.2_smt - name: statement - prose: Coordinate incident response testing with organizational - elements responsible for related plans. - - id: ir-3.2_gdn - name: guidance - prose: Organizational plans related to incident response testing - include Business Continuity Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Contingency Plans, Crisis Communications - Plans, Critical Infrastructure Plans, and Occupant Emergency Plans. - - id: ir-3.3 - class: SP800-53-enhancement - title: Continuous Improvement - props: - - name: label - value: IR-3(3) - - name: sort-id - value: IR-03(03) - parts: - - id: ir-3.3_smt - name: statement - prose: "Use qualitative and quantitative data from testing to:" - parts: - - id: ir-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Determine the effectiveness of incident response processes; - - id: ir-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Continuously improve incident response processes; and - - id: ir-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Provide incident response measures and metrics that are - accurate, consistent, and in a reproducible format. - - id: ir-3.3_gdn - name: guidance - prose: To help incident response activities function as intended, - organizations may use metrics and evaluation criteria to assess - incident response programs as part of an effort to continually - improve response performance. These efforts facilitate improvement - in incident response efficacy and lessen the impact of incidents. - - id: ir-4 - class: SP800-53 - title: Incident Handling - props: - - name: label - value: IR-4 - - name: sort-id - value: IR-04 - links: - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#35dfd59f-eef2-4f71-bdb5-6d878267456a" - rel: reference - - href: "#1e2c475a-84ae-4c60-b420-8fb2ea552b71" - rel: reference - - href: "#ad3e8f21-07c6-4968-b002-00b64dfa70ae" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#08f518f7-f9b9-4bee-8986-860214f46b16" - rel: reference - - href: "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-3" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-2" - rel: related - - href: "#ir-3" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-10" - rel: related - - href: "#pe-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ir-4_smt - name: statement - parts: - - id: ir-4_smt.a - name: item - props: - - name: label - value: a. - prose: Implement an incident handling capability for incidents that - is consistent with the incident response plan and includes preparation, - detection and analysis, containment, eradication, and recovery; - - id: ir-4_smt.b - name: item - props: - - name: label - value: b. - prose: Coordinate incident handling activities with contingency - planning activities; - - id: ir-4_smt.c - name: item - props: - - name: label - value: c. - prose: Incorporate lessons learned from ongoing incident handling - activities into incident response procedures, training, and testing, - and implement the resulting changes accordingly; and - - id: ir-4_smt.d - name: item - props: - - name: label - value: d. - prose: Ensure the rigor, intensity, scope, and results of incident - handling activities are comparable and predictable across the - organization. - - id: ir-4_gdn - name: guidance - prose: Organizations recognize that incident response capability is - dependent on the capabilities of organizational systems and the mission/business - processes being supported by those systems. Organizations consider - incident response as part of the definition, design, and development - of mission/business processes and systems. Incident-related information - can be obtained from a variety of sources, including audit monitoring, - physical access monitoring, and network monitoring; user or administrator - reports; and reported supply chain events. Effective incident handling - capability includes coordination among many organizational entities - (e.g., mission or business owners, system owners, authorizing officials, - human resources offices, physical security offices, personnel security - offices, legal departments, risk executive (function), operations - personnel, procurement offices). Suspected security incidents include - the receipt of suspicious email communications that can contain malicious - code. Suspected supply chain incidents include the insertion of counterfeit - hardware or malicious code into organizational systems or system components. - Suspected privacy incidents include a breach of personally identifiable - information or the recognition that the processing of personally identifiable - information creates potential privacy risk. - controls: - - id: ir-4.1 - class: SP800-53-enhancement - title: Automated Incident Handling Processes - params: - - id: ir-4.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-4(1) - - name: sort-id - value: IR-04(01) - parts: - - id: ir-4.1_smt - name: statement - prose: "Support the incident handling process using {{ insert: param,\ - \ ir-4.1_prm_1 }}." - - id: ir-4.1_gdn - name: guidance - prose: Automated mechanisms supporting incident handling processes - include online incident management systems; and tools that support - the collection of live response data, full network packet capture, - and forensic analysis. - - id: ir-4.2 - class: SP800-53-enhancement - title: Dynamic Reconfiguration - params: - - id: ir-4.2_prm_1 - label: organization-defined system components - - id: ir-4.2_prm_2 - label: organization-defined types of dynamic reconfiguration - props: - - name: label - value: IR-4(2) - - name: sort-id - value: IR-04(02) - links: - - href: "#ac-2" - rel: related - - href: "#ac-4" - rel: related - - href: "#cm-2" - rel: related - parts: - - id: ir-4.2_smt - name: statement - prose: "Include the following types of dynamic reconfiguration for\ - \ {{ insert: param, ir-4.2_prm_1 }} as part of the incident response\ - \ capability: {{ insert: param, ir-4.2_prm_2 }}." - - id: ir-4.2_gdn - name: guidance - prose: Dynamic reconfiguration includes changes to router rules, - access control lists, intrusion detection or prevention system - parameters, and filter rules for guards or firewalls. Organizations - perform dynamic reconfiguration of systems, for example, to stop - attacks, to misdirect attackers, and to isolate components of - systems, thus limiting the extent of the damage from breaches - or compromises. Organizations include time frames for achieving - the reconfiguration of systems in the definition of the reconfiguration - capability, considering the potential need for rapid response - to effectively address cyber threats. - - id: ir-4.3 - class: SP800-53-enhancement - title: Continuity of Operations - params: - - id: ir-4.3_prm_1 - label: organization-defined classes of incidents - - id: ir-4.3_prm_2 - label: organization-defined actions to take in response to classes - of incidents - props: - - name: label - value: IR-4(3) - - name: sort-id - value: IR-04(03) - parts: - - id: ir-4.3_smt - name: statement - prose: "Identify {{ insert: param, ir-4.3_prm_1 }} and take the\ - \ following actions in response to those incidents to ensure continuation\ - \ of organizational missions and business functions: {{ insert:\ - \ param, ir-4.3_prm_2 }}." - - id: ir-4.3_gdn - name: guidance - prose: Classes of incidents include malfunctions due to design or - implementation errors and omissions, targeted malicious attacks, - and untargeted malicious attacks. Incident response actions include - orderly system degradation, system shutdown, fall back to manual - mode or activation of alternative technology whereby the system - operates differently, employing deceptive measures, alternate - information flows, or operating in a mode that is reserved for - when systems are under attack. Organizations consider whether - continuity of operations requirements during an incident conflict - with the capability to automatically disable the system as specified - as part of IR-4(5). - - id: ir-4.4 - class: SP800-53-enhancement - title: Information Correlation - props: - - name: label - value: IR-4(4) - - name: sort-id - value: IR-04(04) - parts: - - id: ir-4.4_smt - name: statement - prose: Correlate incident information and individual incident responses - to achieve an organization-wide perspective on incident awareness - and response. - - id: ir-4.4_gdn - name: guidance - prose: Sometimes a threat event, for example, a hostile cyber-attack, - can only be observed by bringing together information from different - sources, including various reports and reporting procedures established - by organizations. - - id: ir-4.5 - class: SP800-53-enhancement - title: Automatic Disabling of System - params: - - id: ir-4.5_prm_1 - label: organization-defined security violations - props: - - name: label - value: IR-4(5) - - name: sort-id - value: IR-04(05) - parts: - - id: ir-4.5_smt - name: statement - prose: "Implement a configurable capability to automatically disable\ - \ the system if {{ insert: param, ir-4.5_prm_1 }} are detected." - - id: ir-4.5_gdn - name: guidance - prose: Organizations consider whether the capability to automatically - disable the system conflicts with continuity of operations requirements - specified as part of CP-2 or IR-4(3). Security violations include - cyber-attacks that have compromised the integrity of the system - or exfiltrated organizational information; serious errors in software - programs that could adversely impact organizational missions or - functions or jeopardize the safety of individuals. - - id: ir-4.6 - class: SP800-53-enhancement - title: Insider Threats — Specific Capabilities - props: - - name: label - value: IR-4(6) - - name: sort-id - value: IR-04(06) - parts: - - id: ir-4.6_smt - name: statement - prose: Implement an incident handling capability for incidents involving - insider threats. - - id: ir-4.6_gdn - name: guidance - prose: While many organizations address insider threat incidents - as part of their organizational incident response capability, - this control enhancement provides additional emphasis on this - type of threat and the need for specific incident handling capabilities - (as defined within organizations) to provide appropriate and timely - responses. - - id: ir-4.7 - class: SP800-53-enhancement - title: Insider Threats — Intra-organization Coordination - params: - - id: ir-4.7_prm_1 - label: organization-defined entities - props: - - name: label - value: IR-4(7) - - name: sort-id - value: IR-04(07) - parts: - - id: ir-4.7_smt - name: statement - prose: "Coordinate an incident handling capability for insider threats\ - \ that includes the following organizational entities {{ insert:\ - \ param, ir-4.7_prm_1 }}." - - id: ir-4.7_gdn - name: guidance - prose: Incident handling for insider threat incidents (including - preparation, detection and analysis, containment, eradication, - and recovery) requires coordination among many organizational - entities, including mission or business owners, system owners, - human resources offices, procurement offices, personnel offices, - physical security offices, senior agency information security - officer, operations personnel, risk executive (function), senior - agency official for privacy, and legal counsel. In addition, organizations - may require external support from federal, state, and local law - enforcement agencies. - - id: ir-4.8 - class: SP800-53-enhancement - title: Correlation with External Organizations - params: - - id: ir-4.8_prm_1 - label: organization-defined external organizations - - id: ir-4.8_prm_2 - label: organization-defined incident information - props: - - name: label - value: IR-4(8) - - name: sort-id - value: IR-04(08) - links: - - href: "#au-16" - rel: related - - href: "#pm-16" - rel: related - parts: - - id: ir-4.8_smt - name: statement - prose: "Coordinate with {{ insert: param, ir-4.8_prm_1 }} to correlate\ - \ and share {{ insert: param, ir-4.8_prm_2 }} to achieve a cross-organization\ - \ perspective on incident awareness and more effective incident\ - \ responses." - - id: ir-4.8_gdn - name: guidance - prose: The coordination of incident information with external organizations, - including mission or business partners, military or coalition - partners, customers, and developers, can provide significant benefits. - Cross-organizational coordination can serve as an important risk - management capability. This capability allows organizations to - leverage critical information from a variety of sources to effectively - respond to information security-related incidents potentially - affecting the organization’s operations, assets, and individuals. - - id: ir-4.9 - class: SP800-53-enhancement - title: Dynamic Response Capability - params: - - id: ir-4.9_prm_1 - label: organization-defined dynamic response capabilities - props: - - name: label - value: IR-4(9) - - name: sort-id - value: IR-04(09) - parts: - - id: ir-4.9_smt - name: statement - prose: "Employ {{ insert: param, ir-4.9_prm_1 }} to respond to incidents." - - id: ir-4.9_gdn - name: guidance - prose: Dynamic response capability addresses the timely deployment - of new or replacement organizational capabilities in response - to incidents. This includes capabilities implemented at the mission - and business process level and at the system level. - - id: ir-4.10 - class: SP800-53-enhancement - title: Supply Chain Coordination - props: - - name: label - value: IR-4(10) - - name: sort-id - value: IR-04(10) - links: - - href: "#ca-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#sa-9" - rel: related - - href: "#sr-8" - rel: related - parts: - - id: ir-4.10_smt - name: statement - prose: Coordinate incident handling activities involving supply - chain events with other organizations involved in the supply chain. - - id: ir-4.10_gdn - name: guidance - prose: Organizations involved in supply chain activities include - product developers, system integrators, manufacturers, packagers, - assemblers, distributors, vendors, and resellers. Supply chain - incidents include compromises or breaches that involve system - components, information technology products, development processes - or personnel, and distribution processes or warehousing facilities. - Organizations consider including processes for protecting and - sharing incident information in information exchange agreements. - - id: ir-4.11 - class: SP800-53-enhancement - title: Integrated Incident Response Team - params: - - id: ir-4.11_prm_1 - label: organization-defined time period - props: - - name: label - value: IR-4(11) - - name: sort-id - value: IR-04(11) - links: - - href: "#at-3" - rel: related - parts: - - id: ir-4.11_smt - name: statement - prose: "Establish and maintain an integrated incident response team\ - \ that can be deployed to any location identified by the organization\ - \ in {{ insert: param, ir-4.11_prm_1 }}." - - id: ir-4.11_gdn - name: guidance - prose: An integrated incident response team is a team of experts - that assesses, documents, and responds to incidents so that organizational - systems and networks can recover quickly and can implement the - necessary controls to avoid future incidents. Incident response - team personnel include forensic and malicious code analysts, tool - developers, systems security engineers, and real-time operations - personnel. The incident handling capability includes performing - rapid forensic preservation of evidence and analysis of and response - to intrusions. For some organizations the incident response team - can be a cross organizational entity. An integrated incident response - team facilitates information sharing and allows organizational - personnel (e.g., developers, implementers, and operators), to - leverage team knowledge of the threat and to implement defensive - measures that enable organizations to deter intrusions more effectively. - Moreover, integrated teams promote the rapid detection of intrusions, - development of appropriate mitigations, and the deployment of - effective defensive measures. For example, when an intrusion is - detected, the integrated team can rapidly develop an appropriate - response for operators to implement, correlate the new incident - with information on past intrusions, and augment ongoing cyber - intelligence development. Integrated incident response teams are - better able to identify adversary tactics, techniques, and procedures - that are linked to the operations tempo or to specific missions - and business functions, and to define responsive actions in a - way that does not disrupt those missions and business functions. - Incident response teams can be distributed within organizations - to make the capability resilient. - - id: ir-4.12 - class: SP800-53-enhancement - title: Malicious Code and Forensic Analysis - params: - - id: ir-4.12_prm_1 - label: organization-defined residual artifacts - props: - - name: label - value: IR-4(12) - - name: sort-id - value: IR-04(12) - parts: - - id: ir-4.12_smt - name: statement - prose: "Analyze [Selection (one or more): malicious code; {{ insert:\ - \ param, ir-4.12_prm_1 }} remaining in the system after the incident." - - id: ir-4.12_gdn - name: guidance - prose: Analysis of malicious code and other residual artifacts of - a security or privacy incident can give the organization insight - into adversary tactics, techniques, and procedures. It can also - indicate the identity or some defining characteristics of the - adversary. Malicious code analysis can also help the organization - develop responses to future incidents. - - id: ir-4.13 - class: SP800-53-enhancement - title: Behavior Analysis - params: - - id: ir-4.13_prm_1 - label: organization-defined environments or resources - props: - - name: label - value: IR-4(13) - - name: sort-id - value: IR-04(13) - parts: - - id: ir-4.13_smt - name: statement - prose: "Analyze anomalous or suspected adversarial behavior in or\ - \ related to {{ insert: param, ir-4.13_prm_1 }}." - - id: ir-4.13_gdn - name: guidance - prose: If the organization maintains a deception environment, analysis - of behaviors in that environment, including resources targeted - by the adversary and timing of the incident or event, can provide - insight into adversarial tactics, techniques, and procedures. - External to a deception environment, the analysis of anomalous - adversarial behavior (e.g., changes in system performance or usage - patterns) or suspected behavior (e.g., changes in searches for - the location of specific resources) can give the organization - such insight. - - id: ir-4.14 - class: SP800-53-enhancement - title: Security Operations Center - props: - - name: label - value: IR-4(14) - - name: sort-id - value: IR-04(14) - parts: - - id: ir-4.14_smt - name: statement - prose: Establish and maintain a security operations center. - - id: ir-4.14_gdn - name: guidance - prose: A security operations center (SOC) is the focal point for - security operations and computer network defense for an organization. - The purpose of the SOC is to defend and monitor an organization’s - systems and networks (i.e., cyber infrastructure) on an ongoing - basis. The SOC is also responsible for detecting, analyzing, and - responding to cybersecurity incidents in a timely manner. The - organization staffs the SOC with skilled technical and operational - personnel (e.g., security analysts, incident response personnel, - systems security engineers) and implements a combination of technical, - management, and operational controls (including monitoring, scanning, - and forensics tools) to monitor, fuse, correlate, analyze, and - respond to threat and security-relevant event data from multiple - sources. These sources include perimeter defenses, network devices - (e.g., routers, switches), and endpoint agent data feeds. The - SOC provides a holistic situational awareness capability to help - organizations determine the security posture of the system and - organization. A SOC capability can be obtained in a variety of - ways. Larger organizations may implement a dedicated SOC while - smaller organizations may employ third-party organizations to - provide such capability. - - id: ir-4.15 - class: SP800-53-enhancement - title: Publication Relations and Reputation Repair - props: - - name: label - value: IR-4(15) - - name: sort-id - value: IR-04(15) - parts: - - id: ir-4.15_smt - name: statement - parts: - - id: ir-4.15_smt.a - name: item - props: - - name: label - value: (a) - prose: Manage public relations associated with an incident; - and - - id: ir-4.15_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ measures to repair the reputation of the organization. - - id: ir-4.15_gdn - name: guidance - prose: It is important for an organization to have a strategy in - place for addressing incidents that have been brought to the attention - of the general public and that have cast the organization in a - negative light or affected the organization’s constituents (e.g., - partners, customers). Such publicity can be extremely harmful - to the organization and effect its ability to effectively carry - out its missions and business functions. Taking proactive steps - to repair the organization’s reputation is an essential aspect - of reestablishing trust and confidence of its constituents. - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - props: - - name: label - value: IR-5 - - name: sort-id - value: IR-05 - links: - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#ir-8" - rel: related - - href: "#pe-6" - rel: related - - href: "#pm-5" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ir-5_smt - name: statement - prose: Track and document security, privacy, and supply chain incidents. - - id: ir-5_gdn - name: guidance - prose: Documenting incidents includes maintaining records about each - incident, the status of the incident, and other pertinent information - necessary for forensics; and evaluating incident details, trends, - and handling. Incident information can be obtained from a variety - of sources, including network monitoring; incident reports; incident - response teams; user complaints; supply chain partners; audit monitoring; - physical access monitoring; and user and administrator reports. - controls: - - id: ir-5.1 - class: SP800-53-enhancement - title: Automated Tracking, Data Collection, and Analysis - params: - - id: ir-5.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-5(1) - - name: sort-id - value: IR-05(01) - links: - - href: "#au-7" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: ir-5.1_smt - name: statement - prose: "Track security and privacy incidents and collect and analyze\ - \ incident information using {{ insert: param, ir-5.1_prm_1 }}." - - id: ir-5.1_gdn - name: guidance - prose: Automated mechanisms for tracking incidents and for collecting - and analyzing incident information include Computer Incident Response - Centers or other electronic databases of incidents and network - monitoring devices. - - id: ir-6 - class: SP800-53 - title: Incident Reporting - params: - - id: ir-6_prm_1 - label: organization-defined time-period - - id: ir-6_prm_2 - label: organization-defined authorities - props: - - name: label - value: IR-6 - - name: sort-id - value: IR-06 - links: - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#cm-6" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-5" - rel: related - - href: "#ir-8" - rel: related - - href: "#ir-9" - rel: related - parts: - - id: ir-6_smt - name: statement - parts: - - id: ir-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Require personnel to report suspected security, privacy,\ - \ and supply chain incidents to the organizational incident response\ - \ capability within {{ insert: param, ir-6_prm_1 }}; and" - - id: ir-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Report security, privacy, and supply chain incident information\ - \ to {{ insert: param, ir-6_prm_2 }}." - - id: ir-6_gdn - name: guidance - prose: The types of incidents reported, the content and timeliness of - the reports, and the designated reporting authorities reflect applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - controls: - - id: ir-6.1 - class: SP800-53-enhancement - title: Automated Reporting - params: - - id: ir-6.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-6(1) - - name: sort-id - value: IR-06(01) - links: - - href: "#ir-7" - rel: related - parts: - - id: ir-6.1_smt - name: statement - prose: "Report incidents using {{ insert: param, ir-6.1_prm_1 }}." - - id: ir-6.1_gdn - name: guidance - prose: Reporting recipients are as specified in IR-6b. Automated - reporting mechanisms include email, posting on web sites, and - automated incident response tools and programs. - - id: ir-6.2 - class: SP800-53-enhancement - title: Vulnerabilities Related to Incidents - params: - - id: ir-6.2_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: IR-6(2) - - name: sort-id - value: IR-06(02) - parts: - - id: ir-6.2_smt - name: statement - prose: "Report system vulnerabilities associated with reported incidents\ - \ to {{ insert: param, ir-6.2_prm_1 }}." - - id: ir-6.2_gdn - name: guidance - prose: Reported incidents that uncover system vulnerabilities are - analyzed by organizational personnel including system owners; - mission/business owners; senior agency information security officers; - senior agency officials for privacy; authorizing officials; and - the risk executive (function). The analysis can serve to prioritize - and initiate mitigation actions to address the discovered system - vulnerability. - - id: ir-6.3 - class: SP800-53-enhancement - title: Supply Chain Coordination - props: - - name: label - value: IR-6(3) - - name: sort-id - value: IR-06(03) - links: - - href: "#sr-8" - rel: related - parts: - - id: ir-6.3_smt - name: statement - prose: Provide security and privacy incident information to the - provider of the product or service and other organizations involved - in the supply chain for systems or system components related to - the incident. - - id: ir-6.3_gdn - name: guidance - prose: Organizations involved in supply chain activities include - product developers, system integrators, manufacturers, packagers, - assemblers, distributors, vendors, and resellers. Supply chain - incidents include compromises or breaches that involve information - technology products, system components, development processes - or personnel, and distribution processes or warehousing facilities. - Organizations determine the appropriate information to share and - consider the value gained from informing external organizations - about supply chain incidents including the ability to improve - processes or to identify the root cause of an incident. - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - props: - - name: label - value: IR-7 - - name: sort-id - value: IR-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#09ac1fdb-36a9-483f-a04c-5c1e1bf104fb" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-26" - rel: related - - href: "#sa-9" - rel: related - - href: "#si-18" - rel: related - parts: - - id: ir-7_smt - name: statement - prose: Provide an incident response support resource, integral to the - organizational incident response capability, that offers advice and - assistance to users of the system for the handling and reporting of - security, privacy, and supply chain incidents. - - id: ir-7_gdn - name: guidance - prose: Incident response support resources provided by organizations - include help desks, assistance groups, automated ticketing systems - to open and track incident response tickets, and access to forensics - services or consumer redress services, when required. - controls: - - id: ir-7.1 - class: SP800-53-enhancement - title: Automation Support for Availability of Information and Support - params: - - id: ir-7.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: IR-7(1) - - name: sort-id - value: IR-07(01) - parts: - - id: ir-7.1_smt - name: statement - prose: "Increase the availability of incident response information\ - \ and support using {{ insert: param, ir-7.1_prm_1 }}." - - id: ir-7.1_gdn - name: guidance - prose: Automated mechanisms can provide a push or pull capability - for users to obtain incident response assistance. For example, - individuals may have access to a website to query the assistance - capability, or the assistance capability can proactively send - incident response information to users (general distribution or - targeted) as part of increasing understanding of current response - capabilities and support. - - id: ir-7.2 - class: SP800-53-enhancement - title: Coordination with External Providers - props: - - name: label - value: IR-7(2) - - name: sort-id - value: IR-07(02) - parts: - - id: ir-7.2_smt - name: statement - parts: - - id: ir-7.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Establish a direct, cooperative relationship between - its incident response capability and external providers of - system protection capability; and - - id: ir-7.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Identify organizational incident response team members - to the external providers. - - id: ir-7.2_gdn - name: guidance - prose: External providers of a system protection capability include - the Computer Network Defense program within the U.S. Department - of Defense. External providers help to protect, monitor, analyze, - detect, and respond to unauthorized activity within organizational - information systems and networks. It may be beneficial to have - agreements in place with external providers to clarify the roles - and responsibilities of each party before an incident occurs. - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - params: - - id: ir-8_prm_1 - label: organization-defined personnel or roles - - id: ir-8_prm_2 - label: organization-defined frequency - - id: ir-8_prm_3 - label: organization-defined entities, personnel, or roles - - id: ir-8_prm_4 - label: organization-defined incident response personnel (identified - by name and/or by role) and organizational elements - - id: ir-8_prm_5 - label: organization-defined incident response personnel (identified - by name and/or by role) and organizational elements - props: - - name: label - value: IR-8 - - name: sort-id - value: IR-08 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#389fe193-866e-46b1-bf1d-38904b56aa7b" - rel: reference - - href: "#ac-2" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pe-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-8" - rel: related - parts: - - id: ir-8_smt - name: statement - parts: - - id: ir-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop an incident response plan that:" - parts: - - id: ir-8_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Provides the organization with a roadmap for implementing - its incident response capability; - - id: ir-8_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Describes the structure and organization of the incident - response capability; - - id: ir-8_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Provides a high-level approach for how the incident response - capability fits into the overall organization; - - id: ir-8_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Meets the unique requirements of the organization, which - relate to mission, size, structure, and functions; - - id: ir-8_smt.a.5 - name: item - props: - - name: label - value: "5." - prose: Defines reportable incidents; - - id: ir-8_smt.a.6 - name: item - props: - - name: label - value: "6." - prose: Provides metrics for measuring the incident response - capability within the organization; - - id: ir-8_smt.a.7 - name: item - props: - - name: label - value: "7." - prose: Defines the resources and management support needed to - effectively maintain and mature an incident response capability; - - id: ir-8_smt.a.8 - name: item - props: - - name: label - value: "8." - prose: "Is reviewed and approved by {{ insert: param, ir-8_prm_1\ - \ }} {{ insert: param, ir-8_prm_2 }}; and" - - id: ir-8_smt.a.9 - name: item - props: - - name: label - value: "9." - prose: "Explicitly designates responsibility for incident response\ - \ to {{ insert: param, ir-8_prm_3 }}." - - id: ir-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the incident response plan to {{ insert:\ - \ param, ir-8_prm_4 }};" - - id: ir-8_smt.c - name: item - props: - - name: label - value: c. - prose: Update the incident response plan to address system and organizational - changes or problems encountered during plan implementation, execution, - or testing; - - id: ir-8_smt.d - name: item - props: - - name: label - value: d. - prose: "Communicate incident response plan changes to {{ insert:\ - \ param, ir-8_prm_5 }}; and" - - id: ir-8_smt.e - name: item - props: - - name: label - value: e. - prose: Protect the incident response plan from unauthorized disclosure - and modification. - - id: ir-8_gdn - name: guidance - prose: It is important that organizations develop and implement a coordinated - approach to incident response. Organizational missions and business - functions help determine the structure of incident response capabilities. - As part of the incident response capabilities, organizations consider - the coordination and sharing of information with external organizations, - including external service providers and other organizations involved - in the supply chain. For incidents involving personally identifiable - information, include a process to determine whether notice to oversight - organizations or affected individuals is appropriate and provide that - notice accordingly. - controls: - - id: ir-8.1 - class: SP800-53-enhancement - title: Privacy Breaches - props: - - name: label - value: IR-8(1) - - name: sort-id - value: IR-08(01) - links: - - href: "#pt-1" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-8" - rel: related - parts: - - id: ir-8.1_smt - name: statement - prose: "Include the following in the Incident Response Plan for\ - \ breaches involving personally identifiable information:" - parts: - - id: ir-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: A process to determine if notice to individuals or other - organizations, including oversight organizations, is needed; - - id: ir-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: An assessment process to determine the extent of the - harm, embarrassment, inconvenience, or unfairness to affected - individuals and any mechanisms to mitigate such harms; and - - id: ir-8.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Identification of applicable privacy requirements. - - id: ir-8.1_gdn - name: guidance - prose: Organizations may be required by law, regulation, or policy - to follow specific procedures relating to privacy breaches, including - notice to individuals, affected organizations, and oversight bodies, - standards of harm, and mitigation or other specific requirements. - - id: ir-9 - class: SP800-53 - title: Information Spillage Response - params: - - id: ir-9_prm_1 - label: organization-defined personnel or roles - - id: ir-9_prm_2 - label: organization-defined personnel or roles - - id: ir-9_prm_3 - label: organization-defined actions - props: - - name: label - value: IR-9 - - name: sort-id - value: IR-09 - links: - - href: "#cp-2" - rel: related - - href: "#ir-6" - rel: related - - href: "#pm-26" - rel: related - - href: "#pm-27" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: ir-9_smt - name: statement - prose: "Respond to information spills by:" - parts: - - id: ir-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Assigning {{ insert: param, ir-9_prm_1 }} with responsibility\ - \ for responding to information spills;" - - id: ir-9_smt.b - name: item - props: - - name: label - value: b. - prose: Identifying the specific information involved in the system - contamination; - - id: ir-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Alerting {{ insert: param, ir-9_prm_2 }} of the information\ - \ spill using a method of communication not associated with the\ - \ spill;" - - id: ir-9_smt.d - name: item - props: - - name: label - value: d. - prose: Isolating the contaminated system or system component; - - id: ir-9_smt.e - name: item - props: - - name: label - value: e. - prose: Eradicating the information from the contaminated system - or component; - - id: ir-9_smt.f - name: item - props: - - name: label - value: f. - prose: Identifying other systems or system components that may have - been subsequently contaminated; and - - id: ir-9_smt.g - name: item - props: - - name: label - value: g. - prose: "Performing the following additional actions: {{ insert:\ - \ param, ir-9_prm_3 }}." - - id: ir-9_gdn - name: guidance - prose: Information spillage refers to instances where information is - placed on systems that are not authorized to process such information. - Information spills occur when information that is thought to be a - certain classification or impact level is transmitted to a system - and subsequently is determined to be of higher classification or impact - level. At that point, corrective action is required. The nature of - the response is based upon the classification or impact level of the - spilled information, the security capabilities of the system, the - specific nature of contaminated storage media, and the access authorizations - of individuals with authorized access to the contaminated system. - The methods used to communicate information about the spill after - the fact do not involve methods directly associated with the actual - spill to minimize the risk of further spreading the contamination - before such contamination is isolated and eradicated. - controls: - - id: ir-9.1 - class: SP800-53-enhancement - title: Responsible Personnel - props: - - name: label - value: IR-9(1) - - name: status - value: Withdrawn - - name: sort-id - value: IR-09(01) - links: - - href: "#ir-9" - rel: incorporated-into - - id: ir-9.2 - class: SP800-53-enhancement - title: Training - params: - - id: ir-9.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: IR-9(2) - - name: sort-id - value: IR-09(02) - links: - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cp-3" - rel: related - - href: "#ir-2" - rel: related - parts: - - id: ir-9.2_smt - name: statement - prose: "Provide information spillage response training {{ insert:\ - \ param, ir-9.2_prm_1 }}." - - id: ir-9.2_gdn - name: guidance - prose: Organizations establish requirements for responding to information - spillage incidents in incident response plans. Incident response - training on a regular basis helps to ensure that organizational - personnel understand their individual responsibilities and what - specific actions to take when spillage incidents occur. - - id: ir-9.3 - class: SP800-53-enhancement - title: Post-spill Operations - params: - - id: ir-9.3_prm_1 - label: organization-defined procedures - props: - - name: label - value: IR-9(3) - - name: sort-id - value: IR-09(03) - parts: - - id: ir-9.3_smt - name: statement - prose: "Implement the following procedures to ensure that organizational\ - \ personnel impacted by information spills can continue to carry\ - \ out assigned tasks while contaminated systems are undergoing\ - \ corrective actions: {{ insert: param, ir-9.3_prm_1 }}." - - id: ir-9.3_gdn - name: guidance - prose: Correction actions for systems contaminated due to information - spillages may be time-consuming. Personnel may not have access - to the contaminated systems while corrective actions are being - taken, which may potentially affect their ability to conduct organizational - business. - - id: ir-9.4 - class: SP800-53-enhancement - title: Exposure to Unauthorized Personnel - params: - - id: ir-9.4_prm_1 - label: organization-defined controls - props: - - name: label - value: IR-9(4) - - name: sort-id - value: IR-09(04) - parts: - - id: ir-9.4_smt - name: statement - prose: "Employ the following controls for personnel exposed to information\ - \ not within assigned access authorizations: {{ insert: param,\ - \ ir-9.4_prm_1 }}." - - id: ir-9.4_gdn - name: guidance - prose: Controls include ensuring that personnel who are exposed - to spilled information are made aware of the laws, executive orders, - directives, regulations, policies, standards, and guidelines regarding - the information and the restrictions imposed based on exposure - to such information. - - id: ir-10 - class: SP800-53 - title: Incident Analysis - props: - - name: label - value: IR-10 - - name: status - value: Withdrawn - - name: sort-id - value: IR-10 - links: - - href: "#ir-4.11" - rel: incorporated-into - - id: ma - class: family - title: Maintenance - controls: - - id: ma-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ma-1_prm_1 - label: organization-defined personnel or roles - - id: ma-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ma-1_prm_3 - label: organization-defined official - - id: ma-1_prm_4 - label: organization-defined frequency - - id: ma-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: MA-1 - - name: sort-id - value: MA-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ma-1_smt - name: statement - parts: - - id: ma-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ma-1_prm_1 }}:" - parts: - - id: ma-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ma-1_prm_2 }} maintenance policy that:" - parts: - - id: ma-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ma-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ma-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the maintenance - policy and the associated maintenance controls; - - id: ma-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ma-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the maintenance\ - \ policy and procedures; and" - - id: ma-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current maintenance:" - parts: - - id: ma-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ma-1_prm_4 }}; and" - - id: ma-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ma-1_prm_5 }}." - - id: ma-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the MA family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - params: - - id: ma-2_prm_1 - label: organization-defined personnel or roles - - id: ma-2_prm_2 - label: organization-defined information - - id: ma-2_prm_3 - label: organization-defined information - props: - - name: label - value: MA-2 - - name: sort-id - value: MA-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pe-16" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: ma-2_smt - name: statement - parts: - - id: ma-2_smt.a - name: item - props: - - name: label - value: a. - prose: Schedule, document, and review records of maintenance, repair, - or replacement on system components in accordance with manufacturer - or vendor specifications and/or organizational requirements; - - id: ma-2_smt.b - name: item - props: - - name: label - value: b. - prose: Approve and monitor all maintenance activities, whether performed - on site or remotely and whether the system or system components - are serviced on site or removed to another location; - - id: ma-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Require that {{ insert: param, ma-2_prm_1 }} explicitly\ - \ approve the removal of the system or system components from\ - \ organizational facilities for off-site maintenance, repair,\ - \ or replacement;" - - id: ma-2_smt.d - name: item - props: - - name: label - value: d. - prose: "Sanitize equipment to remove the following information from\ - \ associated media prior to removal from organizational facilities\ - \ for off-site maintenance, repair, or replacement: {{ insert:\ - \ param, ma-2_prm_2 }};" - - id: ma-2_smt.e - name: item - props: - - name: label - value: e. - prose: Check all potentially impacted controls to verify that the - controls are still functioning properly following maintenance, - repair, or replacement actions; and - - id: ma-2_smt.f - name: item - props: - - name: label - value: f. - prose: "Include the following information in organizational maintenance\ - \ records: {{ insert: param, ma-2_prm_3 }}." - - id: ma-2_gdn - name: guidance - prose: Controlling system maintenance addresses the information security - aspects of the system maintenance program and applies to all types - of maintenance to system components conducted by local or nonlocal - entities. Maintenance includes peripherals such as scanners, copiers, - and printers. Information necessary for creating effective maintenance - records includes date and time of maintenance; name of individuals - or group performing the maintenance; name of escort, if necessary; - a description of the maintenance performed; and system components - or equipment removed or replaced. Organizations consider supply chain - issues associated with replacement components for systems. - controls: - - id: ma-2.1 - class: SP800-53-enhancement - title: Record Content - props: - - name: label - value: MA-2(1) - - name: status - value: Withdrawn - - name: sort-id - value: MA-02(01) - links: - - href: "#ma-2" - rel: incorporated-into - - id: ma-2.2 - class: SP800-53-enhancement - title: Automated Maintenance Activities - params: - - id: ma-2.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: MA-2(2) - - name: sort-id - value: MA-02(02) - links: - - href: "#ma-3" - rel: related - parts: - - id: ma-2.2_smt - name: statement - parts: - - id: ma-2.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Schedule, conduct, and document maintenance, repair,\ - \ and replacement actions for the system using {{ insert:\ - \ param, ma-2.2_prm_1 }}; and" - - id: ma-2.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Produce up-to date, accurate, and complete records of - all maintenance, repair, and replacement actions requested, - scheduled, in process, and completed. - - id: ma-2.2_gdn - name: guidance - prose: The use of automated mechanisms to manage and control system - maintenance programs and activities helps to ensure the generation - of timely, accurate, complete, and consistent maintenance records. - - id: ma-3 - class: SP800-53 - title: Maintenance Tools - params: - - id: ma-3_prm_1 - label: organization-defined frequency - props: - - name: label - value: MA-3 - - name: sort-id - value: MA-03 - links: - - href: "#fed6a3b5-2b74-499f-9172-46671f7c24c8" - rel: reference - - href: "#ma-2" - rel: related - - href: "#pe-16" - rel: related - parts: - - id: ma-3_smt - name: statement - parts: - - id: ma-3_smt.a - name: item - props: - - name: label - value: a. - prose: Approve, control, and monitor the use of system maintenance - tools; and - - id: ma-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Review previously approved system maintenance tools {{ insert:\ - \ param, ma-3_prm_1 }}." - - id: ma-3_gdn - name: guidance - prose: Approving, controlling, monitoring, and reviewing maintenance - tools are intended to address security-related issues associated with - maintenance tools that are not within system boundaries but are used - specifically for diagnostic and repair actions on organizational systems. - Organizations have flexibility in determining roles for approval of - maintenance tools and how that approval is documented. Periodic review - of maintenance tools facilitates withdrawal of the approval for outdated, - unsupported, irrelevant, or no-longer-used tools. Maintenance tools - can include hardware, software, and firmware items. Such tools can - be vehicles for transporting malicious code, intentionally or unintentionally, - into a facility and subsequently into systems. Maintenance tools can - include hardware and software diagnostic test equipment and packet - sniffers. The hardware and software components that support system - maintenance and are a part of the system, including the software implementing - “ping,” “ls,” “ipconfig,” or the hardware and software implementing - the monitoring port of an Ethernet switch, are not addressed by maintenance - tools. - controls: - - id: ma-3.1 - class: SP800-53-enhancement - title: Inspect Tools - props: - - name: label - value: MA-3(1) - - name: sort-id - value: MA-03(01) - links: - - href: "#si-7" - rel: related - parts: - - id: ma-3.1_smt - name: statement - prose: Inspect the maintenance tools used by maintenance personnel - for improper or unauthorized modifications. - - id: ma-3.1_gdn - name: guidance - prose: Maintenance tools can be brought into a facility directly - by maintenance personnel or downloaded from a vendor’s website. - If, upon inspection of the maintenance tools, organizations determine - that the tools have been modified in an improper manner or the - tools contain malicious code, the incident is handled consistent - with organizational policies and procedures for incident handling. - - id: ma-3.2 - class: SP800-53-enhancement - title: Inspect Media - props: - - name: label - value: MA-3(2) - - name: sort-id - value: MA-03(02) - links: - - href: "#si-3" - rel: related - parts: - - id: ma-3.2_smt - name: statement - prose: Check media containing diagnostic and test programs for malicious - code before the media are used in the system. - - id: ma-3.2_gdn - name: guidance - prose: If, upon inspection of media containing maintenance diagnostic - and test programs, organizations determine that the media contain - malicious code, the incident is handled consistent with organizational - incident handling policies and procedures. - - id: ma-3.3 - class: SP800-53-enhancement - title: Prevent Unauthorized Removal - params: - - id: ma-3.3_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: MA-3(3) - - name: sort-id - value: MA-03(03) - links: - - href: "#mp-6" - rel: related - parts: - - id: ma-3.3_smt - name: statement - prose: "Prevent the removal of maintenance equipment containing\ - \ organizational information by:" - parts: - - id: ma-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Verifying that there is no organizational information - contained on the equipment; - - id: ma-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Sanitizing or destroying the equipment; - - id: ma-3.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Retaining the equipment within the facility; or - - id: ma-3.3_smt.d - name: item - props: - - name: label - value: (d) - prose: "Obtaining an exemption from {{ insert: param, ma-3.3_prm_1\ - \ }} explicitly authorizing removal of the equipment from\ - \ the facility." - - id: ma-3.3_gdn - name: guidance - prose: Organizational information includes all information owned - by organizations and any information provided to organizations - for which the organizations serve as information stewards. - - id: ma-3.4 - class: SP800-53-enhancement - title: Restricted Tool Use - props: - - name: label - value: MA-3(4) - - name: sort-id - value: MA-03(04) - links: - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.4_smt - name: statement - prose: Restrict the use of maintenance tools to authorized personnel - only. - - id: ma-3.4_gdn - name: guidance - prose: This control enhancement applies to systems that are used - to carry out maintenance functions. - - id: ma-3.5 - class: SP800-53-enhancement - title: Execution with Privilege - props: - - name: label - value: MA-3(5) - - name: sort-id - value: MA-03(05) - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.5_smt - name: statement - prose: Monitor the use of maintenance tools that execute with increased - privilege. - - id: ma-3.5_gdn - name: guidance - prose: Maintenance tools that execute with increased system privilege - can result in unauthorized access to organizational information - and assets that would otherwise be inaccessible. - - id: ma-3.6 - class: SP800-53-enhancement - title: Software Updates and Patches - props: - - name: label - value: MA-3(6) - - name: sort-id - value: MA-03(06) - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: ma-3.6_smt - name: statement - prose: Inspect maintenance tools to ensure the latest software updates - and patches are installed. - - id: ma-3.6_gdn - name: guidance - prose: Maintenance tools using outdated and/or unpatched software - can provide a threat vector for adversaries and result in a significant - vulnerability for organizations. - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - props: - - name: label - value: MA-4 - - name: sort-id - value: MA-04 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#bbc7085f-b383-444e-af74-722a55cccc0f" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#fed6a3b5-2b74-499f-9172-46671f7c24c8" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-5" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-10" - rel: related - parts: - - id: ma-4_smt - name: statement - parts: - - id: ma-4_smt.a - name: item - props: - - name: label - value: a. - prose: Approve and monitor nonlocal maintenance and diagnostic activities; - - id: ma-4_smt.b - name: item - props: - - name: label - value: b. - prose: Allow the use of nonlocal maintenance and diagnostic tools - only as consistent with organizational policy and documented in - the security plan for the system; - - id: ma-4_smt.c - name: item - props: - - name: label - value: c. - prose: Employ strong authenticators in the establishment of nonlocal - maintenance and diagnostic sessions; - - id: ma-4_smt.d - name: item - props: - - name: label - value: d. - prose: Maintain records for nonlocal maintenance and diagnostic - activities; and - - id: ma-4_smt.e - name: item - props: - - name: label - value: e. - prose: Terminate session and network connections when nonlocal maintenance - is completed. - - id: ma-4_gdn - name: guidance - prose: Nonlocal maintenance and diagnostic activities are conducted - by individuals communicating through a network, either an external - network or an internal network. Local maintenance and diagnostic activities - are those activities carried out by individuals physically present - at the system and not communicating across a network connection. Authentication - techniques used in the establishment of nonlocal maintenance and diagnostic - sessions reflect the network access requirements in IA-2. Strong authentication - requires authenticators that are resistant to replay attacks and employ - multifactor authentication. Strong authenticators include PKI where - certificates are stored on a token protected by a password, passphrase, - or biometric. Enforcing requirements in MA-4 is accomplished in part - by other controls. - controls: - - id: ma-4.1 - class: SP800-53-enhancement - title: Logging and Review - params: - - id: ma-4.1_prm_1 - label: organization-defined audit events - props: - - name: label - value: MA-4(1) - - name: sort-id - value: MA-04(01) - links: - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: ma-4.1_smt - name: statement - parts: - - id: ma-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Log {{ insert: param, ma-4.1_prm_1 }} for nonlocal maintenance\ - \ and diagnostic sessions; and" - - id: ma-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Review the audit records of the maintenance and diagnostic - sessions. - - id: ma-4.1_gdn - name: guidance - prose: Audit logging for nonlocal maintenance is enforced by AU-2. - Audit events are defined in AU-2a. The review of audit records - of maintenance and diagnostic sessions is to detect anomalous - behavior. - - id: ma-4.2 - class: SP800-53-enhancement - title: Logically separated communications paths. - props: - - name: label - value: MA-4(2) - - name: sort-id - value: MA-04(02) - parts: - - id: ma-4.2_smt - name: statement - prose: "Discussion: Communications paths can be logically separated\ - \ using encryption." - - id: ma-4.2_gdn - name: guidance - - id: ma-4.3 - class: SP800-53-enhancement - title: Comparable Security and Sanitization - props: - - name: label - value: MA-4(3) - - name: sort-id - value: MA-04(03) - links: - - href: "#mp-6" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: ma-4.3_smt - name: statement - parts: - - id: ma-4.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Require that nonlocal maintenance and diagnostic services - be performed from a system that implements a security capability - comparable to the capability implemented on the system being - serviced; or - - id: ma-4.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Remove the component to be serviced from the system prior - to nonlocal maintenance or diagnostic services; sanitize the - component (for organizational information); and after the - service is performed, inspect and sanitize the component (for - potentially malicious software) before reconnecting the component - to the system. - - id: ma-4.3_gdn - name: guidance - prose: Comparable security capability on systems, diagnostic tools, - and equipment providing maintenance services implies that the - implemented controls on those systems, tools, and equipment are - at least as comprehensive as the controls on the system being - serviced. - - id: ma-4.4 - class: SP800-53-enhancement - title: Authentication and Separation of Maintenance Sessions - params: - - id: ma-4.4_prm_1 - label: organization-defined authenticators that are replay resistant - props: - - name: label - value: MA-4(4) - - name: sort-id - value: MA-04(04) - parts: - - id: ma-4.4_smt - name: statement - prose: "Protect nonlocal maintenance sessions by:" - parts: - - id: ma-4.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employing {{ insert: param, ma-4.4_prm_1 }}; and" - - id: ma-4.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Separating the maintenance sessions from other network\ - \ sessions with the system by either:" - parts: - - id: ma-4.4_smt.b.1 - name: item - props: - - name: label - value: (1) - prose: Physically separated communications paths; or - - id: ma-4.5 - class: SP800-53-enhancement - title: Approvals and Notifications - params: - - id: ma-4.5_prm_1 - label: organization-defined personnel or roles - - id: ma-4.5_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: MA-4(5) - - name: sort-id - value: MA-04(05) - parts: - - id: ma-4.5_smt - name: statement - parts: - - id: ma-4.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require the approval of each nonlocal maintenance session\ - \ by {{ insert: param, ma-4.5_prm_1 }}; and" - - id: ma-4.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Notify the following personnel or roles of the date\ - \ and time of planned nonlocal maintenance: {{ insert: param,\ - \ ma-4.5_prm_2 }}." - - id: ma-4.5_gdn - name: guidance - prose: Notification may be performed by maintenance personnel. Approval - of nonlocal maintenance is accomplished by personnel with sufficient - information security and system knowledge to determine the appropriateness - of the proposed maintenance. - - id: ma-4.6 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: ma-4.6_prm_1 - label: organization-defined cryptographic mechanisms - props: - - name: label - value: MA-4(6) - - name: sort-id - value: MA-04(06) - links: - - href: "#sc-8" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: ma-4.6_smt - name: statement - prose: "Implement the following cryptographic mechanisms to protect\ - \ the integrity and confidentiality of nonlocal maintenance and\ - \ diagnostic communications: {{ insert: param, ma-4.6_prm_1 }}." - - id: ma-4.6_gdn - name: guidance - prose: Failure to protect nonlocal maintenance and diagnostic communications - can result in unauthorized individuals gaining access to sensitive - organizational information. Unauthorized access during remote - maintenance sessions can result in a variety of hostile actions - including malicious code insertion, unauthorized changes to system - parameters, and exfiltration of organizational information. Such - actions can result in the loss or degradation of mission capability. - - id: ma-4.7 - class: SP800-53-enhancement - title: Disconnect Verification - props: - - name: label - value: MA-4(7) - - name: sort-id - value: MA-04(07) - links: - - href: "#ac-12" - rel: related - parts: - - id: ma-4.7_smt - name: statement - prose: Verify session and network connection termination after the - completion of nonlocal maintenance and diagnostic sessions. - - id: ma-4.7_gdn - name: guidance - prose: This control enhancement ensures that connections established - during nonlocal maintenance and diagnostic sessions have been - terminated and are no longer available for use. - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - props: - - name: label - value: MA-5 - - name: sort-id - value: MA-05 - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#ps-7" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: ma-5_smt - name: statement - parts: - - id: ma-5_smt.a - name: item - props: - - name: label - value: a. - prose: Establish a process for maintenance personnel authorization - and maintain a list of authorized maintenance organizations or - personnel; - - id: ma-5_smt.b - name: item - props: - - name: label - value: b. - prose: Verify that non-escorted personnel performing maintenance - on the system possess the required access authorizations; and - - id: ma-5_smt.c - name: item - props: - - name: label - value: c. - prose: Designate organizational personnel with required access authorizations - and technical competence to supervise the maintenance activities - of personnel who do not possess the required access authorizations. - - id: ma-5_gdn - name: guidance - prose: Maintenance personnel refers to individuals performing hardware - or software maintenance on organizational systems, while PE-2 addresses - physical access for individuals whose maintenance duties place them - within the physical protection perimeter of the systems. Technical - competence of supervising individuals relates to the maintenance performed - on the systems while having required access authorizations refers - to maintenance on and near the systems. Individuals not previously - identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, - may require privileged access to organizational systems, for example, - when required to conduct maintenance activities with little or no - notice. Based on organizational assessments of risk, organizations - may issue temporary credentials to these individuals. Temporary credentials - may be for one-time use or for very limited time-periods. - controls: - - id: ma-5.1 - class: SP800-53-enhancement - title: Individuals Without Appropriate Access - params: - - id: ma-5.1_prm_1 - label: organization-defined alternate controls - props: - - name: label - value: MA-5(1) - - name: sort-id - value: MA-05(01) - links: - - href: "#mp-6" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: ma-5.1_smt - name: statement - parts: - - id: ma-5.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Implement procedures for the use of maintenance personnel\ - \ that lack appropriate security clearances or are not U.S.\ - \ citizens, that include the following requirements:" - parts: - - id: ma-5.1_smt.a.1 - name: item - props: - - name: label - value: (1) - prose: Maintenance personnel who do not have needed access - authorizations, clearances, or formal access approvals - are escorted and supervised during the performance of - maintenance and diagnostic activities on the system by - approved organizational personnel who are fully cleared, - have appropriate access authorizations, and are technically - qualified; - - id: ma-5.1_smt.a.2 - name: item - props: - - name: label - value: (2) - prose: Prior to initiating maintenance or diagnostic activities - by personnel who do not have needed access authorizations, - clearances or formal access approvals, all volatile information - storage components within the system are sanitized and - all nonvolatile storage media are removed or physically - disconnected from the system and secured; and - - id: ma-5.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Develop and implement {{ insert: param, ma-5.1_prm_1\ - \ }} in the event a system component cannot be sanitized,\ - \ removed, or disconnected from the system." - - id: ma-5.1_gdn - name: guidance - prose: Procedures for individuals who lack appropriate security - clearances or who are not U.S. citizens are intended to deny visual - and electronic access to classified or controlled unclassified - information contained on organizational systems. Procedures for - the use of maintenance personnel can be documented in security - plans for the systems. - - id: ma-5.2 - class: SP800-53-enhancement - title: Security Clearances for Classified Systems - props: - - name: label - value: MA-5(2) - - name: sort-id - value: MA-05(02) - links: - - href: "#ps-3" - rel: related - parts: - - id: ma-5.2_smt - name: statement - prose: Verify that personnel performing maintenance and diagnostic - activities on a system processing, storing, or transmitting classified - information possess security clearances and formal access approvals - for at least the highest classification level and for compartments - of information on the system. - - id: ma-5.2_gdn - name: guidance - prose: Personnel conducting maintenance on organizational systems - may be exposed to classified information during the course of - their maintenance activities. To mitigate the inherent risk of - such exposure, organizations use maintenance personnel that are - cleared (i.e., possess security clearances) to the classification - level of the information stored on the system. - - id: ma-5.3 - class: SP800-53-enhancement - title: Citizenship Requirements for Classified Systems - props: - - name: label - value: MA-5(3) - - name: sort-id - value: MA-05(03) - links: - - href: "#ps-3" - rel: related - parts: - - id: ma-5.3_smt - name: statement - prose: Verify that personnel performing maintenance and diagnostic - activities on a system processing, storing, or transmitting classified - information are U.S. citizens. - - id: ma-5.3_gdn - name: guidance - prose: Personnel conducting maintenance on organizational systems - may be exposed to classified information during the course of - their maintenance activities. If access to classified information - on organizational systems is restricted to U. S. citizens, the - same restriction is applied to personnel performing maintenance - on those systems. - - id: ma-5.4 - class: SP800-53-enhancement - title: Foreign Nationals - props: - - name: label - value: MA-5(4) - - name: sort-id - value: MA-05(04) - links: - - href: "#ps-3" - rel: related - parts: - - id: ma-5.4_smt - name: statement - prose: "Verify that:" - parts: - - id: ma-5.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Foreign nationals with appropriate security clearances - are used to conduct maintenance and diagnostic activities - on classified systems only when the systems are jointly owned - and operated by the United States and foreign allied governments, - or owned and operated solely by foreign allied governments; - and - - id: ma-5.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Approvals, consents, and detailed operational conditions - regarding the use of foreign nationals to conduct maintenance - and diagnostic activities on classified systems are fully - documented within Memoranda of Agreements. - - id: ma-5.4_gdn - name: guidance - prose: Personnel conducting maintenance on organizational systems - may be exposed to classified information during the course of - their maintenance activities. To mitigate the inherent risk of - such exposure, organizations use maintenance personnel that are - cleared (i.e., possess security clearances) to the classification - level of the information stored on the system. - - id: ma-5.5 - class: SP800-53-enhancement - title: Non-system Maintenance - props: - - name: label - value: MA-5(5) - - name: sort-id - value: MA-05(05) - parts: - - id: ma-5.5_smt - name: statement - prose: Verify that non-escorted personnel performing maintenance - activities not directly associated with the system but in the - physical proximity of the system, have required access authorizations. - - id: ma-5.5_gdn - name: guidance - prose: Personnel performing maintenance activities in other capacities - not directly related to the system include physical plant personnel - and custodial personnel. - - id: ma-6 - class: SP800-53 - title: Timely Maintenance - params: - - id: ma-6_prm_1 - label: organization-defined system components - - id: ma-6_prm_2 - label: organization-defined time-period - props: - - name: label - value: MA-6 - - name: sort-id - value: MA-06 - links: - - href: "#cm-8" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-13" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: ma-6_smt - name: statement - prose: "Obtain maintenance support and/or spare parts for {{ insert:\ - \ param, ma-6_prm_1 }} within {{ insert: param, ma-6_prm_2 }} of failure." - - id: ma-6_gdn - name: guidance - prose: Organizations specify the system components that result in increased - risk to organizational operations and assets, individuals, other organizations, - or the Nation when the functionality provided by those components - is not operational. Organizational actions to obtain maintenance support - include having appropriate contracts in place. - controls: - - id: ma-6.1 - class: SP800-53-enhancement - title: Preventive Maintenance - params: - - id: ma-6.1_prm_1 - label: organization-defined system components - - id: ma-6.1_prm_2 - label: organization-defined time intervals - props: - - name: label - value: MA-6(1) - - name: sort-id - value: MA-06(01) - parts: - - id: ma-6.1_smt - name: statement - prose: "Perform preventive maintenance on {{ insert: param, ma-6.1_prm_1\ - \ }} at {{ insert: param, ma-6.1_prm_2 }}." - - id: ma-6.1_gdn - name: guidance - prose: Preventive maintenance includes proactive care and the servicing - of system components to maintain organizational equipment and - facilities in satisfactory operating condition. Such maintenance - provides for the systematic inspection, tests, measurements, adjustments, - parts replacement, detection, and correction of incipient failures - either before they occur or before they develop into major defects. - The primary goal of preventive maintenance is to avoid or mitigate - the consequences of equipment failures. Preventive maintenance - is designed to preserve and restore equipment reliability by replacing - worn components before they fail. Methods of determining what - preventive (or other) failure management policies to apply include - original equipment manufacturer recommendations; statistical failure - records; expert opinion; maintenance that has already been conducted - on similar equipment; requirements of codes, laws, or regulations - within a jurisdiction; or measured values and performance indications. - - id: ma-6.2 - class: SP800-53-enhancement - title: Predictive Maintenance - params: - - id: ma-6.2_prm_1 - label: organization-defined system components - - id: ma-6.2_prm_2 - label: organization-defined time intervals - props: - - name: label - value: MA-6(2) - - name: sort-id - value: MA-06(02) - parts: - - id: ma-6.2_smt - name: statement - prose: "Perform predictive maintenance on {{ insert: param, ma-6.2_prm_1\ - \ }} at {{ insert: param, ma-6.2_prm_2 }}." - - id: ma-6.2_gdn - name: guidance - prose: Predictive maintenance evaluates the condition of equipment - by performing periodic or continuous (online) equipment condition - monitoring. The goal of predictive maintenance is to perform maintenance - at a scheduled time when the maintenance activity is most cost-effective - and before the equipment loses performance within a threshold. - The predictive component of predictive maintenance stems from - the objective of predicting the future trend of the equipment's - condition. The predictive maintenance approach employs principles - of statistical process control to determine at what point in the - future maintenance activities will be appropriate. Most predictive - maintenance inspections are performed while equipment is in service, - thus, minimizing disruption of normal system operations. Predictive - maintenance can result in substantial cost savings and higher - system reliability. - - id: ma-6.3 - class: SP800-53-enhancement - title: Automated Support for Predictive Maintenance - params: - - id: ma-6.3_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: MA-6(3) - - name: sort-id - value: MA-06(03) - parts: - - id: ma-6.3_smt - name: statement - prose: "Transfer predictive maintenance data to a maintenance management\ - \ system using {{ insert: param, ma-6.3_prm_1 }}." - - id: ma-6.3_gdn - name: guidance - prose: A computerized maintenance management system maintains a - database of information about the maintenance operations of organizations - and automates processing equipment condition data to trigger maintenance - planning, execution, and reporting. - - id: ma-7 - class: SP800-53 - title: Field Maintenance - params: - - id: ma-7_prm_1 - label: organization-defined systems or system components - - id: ma-7_prm_2 - label: organization-defined trusted maintenance facilities - props: - - name: label - value: MA-7 - - name: sort-id - value: MA-07 - links: - - href: "#ma-2" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - parts: - - id: ma-7_smt - name: statement - prose: "Restrict or prohibit field maintenance on {{ insert: param,\ - \ ma-7_prm_1 }} to {{ insert: param, ma-7_prm_2 }}." - - id: ma-7_gdn - name: guidance - prose: Field maintenance is the type of maintenance conducted on a system - or system component after the system or component has been deployed - to a specific site (i.e., operational environment). In certain instances, - field maintenance (i.e., local maintenance at the site) may not be - executed with the same degree of rigor or with the same quality control - checks as depot maintenance. For critical systems designated as such - by the organization, it may be necessary to restrict or prohibit field - maintenance at the local site and require that such maintenance be - conducted in trusted facilities with additional controls. - - id: mp - class: family - title: Media Protection - controls: - - id: mp-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: mp-1_prm_1 - label: organization-defined personnel or roles - - id: mp-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: mp-1_prm_3 - label: organization-defined official - - id: mp-1_prm_4 - label: organization-defined frequency - - id: mp-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: MP-1 - - name: sort-id - value: MP-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-1_smt - name: statement - parts: - - id: mp-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ mp-1_prm_1 }}:" - parts: - - id: mp-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, mp-1_prm_2 }} media protection policy\ - \ that:" - parts: - - id: mp-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: mp-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: mp-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the media - protection policy and the associated media protection controls; - - id: mp-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, mp-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the media protection\ - \ policy and procedures; and" - - id: mp-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current media protection:" - parts: - - id: mp-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, mp-1_prm_4 }}; and" - - id: mp-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, mp-1_prm_5 }}." - - id: mp-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the MP family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: mp-2 - class: SP800-53 - title: Media Access - params: - - id: mp-2_prm_1 - label: organization-defined types of digital and/or non-digital media - - id: mp-2_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: MP-2 - - name: sort-id - value: MP-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#1b14b50f-7154-4226-958c-7dfff8276755" - rel: reference - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-2_smt - name: statement - prose: "Restrict access to {{ insert: param, mp-2_prm_1 }} to {{ insert:\ - \ param, mp-2_prm_2 }}." - - id: mp-2_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (solid state, magnetic), compact disks, - and digital video disks. Non-digital media includes paper and microfilm. - Denying access to patient medical records in a community hospital - unless the individuals seeking access to such records are authorized - healthcare providers is an example of restricting access to non-digital - media. Limiting access to the design specifications stored on compact - disks in the media library to individuals on the system development - team is an example of restricting access to digital media. - controls: - - id: mp-2.1 - class: SP800-53-enhancement - title: Automated Restricted Access - props: - - name: label - value: MP-2(1) - - name: status - value: Withdrawn - - name: sort-id - value: MP-02(01) - links: - - href: "#mp-4.2" - rel: incorporated-into - - id: mp-2.2 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-2(2) - - name: status - value: Withdrawn - - name: sort-id - value: MP-02(02) - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-3 - class: SP800-53 - title: Media Marking - params: - - id: mp-3_prm_1 - label: organization-defined types of system media - - id: mp-3_prm_2 - label: organization-defined controlled areas - props: - - name: label - value: MP-3 - - name: sort-id - value: MP-03 - links: - - href: "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#ac-16" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-22" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-3_smt - name: statement - parts: - - id: mp-3_smt.a - name: item - props: - - name: label - value: a. - prose: Mark system media indicating the distribution limitations, - handling caveats, and applicable security markings (if any) of - the information; and - - id: mp-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Exempt {{ insert: param, mp-3_prm_1 }} from marking if the\ - \ media remain within {{ insert: param, mp-3_prm_2 }}." - - id: mp-3_gdn - name: guidance - prose: Security marking refers to the application or use of human-readable - security attributes. Security labeling refers to the application or - use of security attributes regarding internal data structures within - systems. System media includes digital and non-digital media. Digital - media includes diskettes, magnetic tapes, external or removable hard - disk drives (solid state, magnetic), flash drives, compact disks, - and digital video disks. Non-digital media includes paper and microfilm. - Controlled unclassified information is defined by the National Archives - and Records Administration along with the appropriate safeguarding - and dissemination requirements for such information and is codified - in [32 CFR 2002]. Security marking is generally not required for media - containing information determined by organizations to be in the public - domain or to be publicly releasable. However, some organizations may - require markings for public information indicating that the information - is publicly releasable. System media marking reflects applicable laws, - executive orders, directives, policies, regulations, standards, and - guidelines. - - id: mp-4 - class: SP800-53 - title: Media Storage - params: - - id: mp-4_prm_1 - label: organization-defined types of digital and/or non-digital media - - id: mp-4_prm_2 - label: organization-defined controlled areas - props: - - name: label - value: MP-4 - - name: sort-id - value: MP-04 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#77dc1838-3664-4faa-bc6e-4e2a16e52f35" - rel: reference - - href: "#f417e4ec-cadb-47a8-a363-6006b32c28ad" - rel: reference - - href: "#7c3ba335-62bd-4f03-888f-960790409b11" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#1b14b50f-7154-4226-958c-7dfff8276755" - rel: reference - - href: "#ac-19" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-9" - rel: related - - href: "#cp-10" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-7" - rel: related - - href: "#pe-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-12" - rel: related - parts: - - id: mp-4_smt - name: statement - parts: - - id: mp-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Physically control and securely store {{ insert: param,\ - \ mp-4_prm_1 }} within {{ insert: param, mp-4_prm_2 }}; and" - - id: mp-4_smt.b - name: item - props: - - name: label - value: b. - prose: Protect system media types defined in MP-4a until the media - are destroyed or sanitized using approved equipment, techniques, - and procedures. - - id: mp-4_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (solid state, magnetic), compact disks, - and digital video disks. Non-digital media includes paper and microfilm. - Physically controlling stored media includes conducting inventories, - ensuring procedures are in place to allow individuals to check out - and return media to the library, and maintaining accountability for - stored media. Secure storage includes a locked drawer, desk, or cabinet; - or a controlled media library. The type of media storage is commensurate - with the security category or classification of the information on - the media. Controlled areas are spaces that provide physical and procedural - controls to meet the requirements established for protecting information - and systems. For media containing information determined to be in - the public domain, to be publicly releasable, or to have limited adverse - impact on organizations, operations, or individuals if accessed by - other than authorized personnel, fewer controls may be needed. In - these situations, physical access controls provide adequate protection. - controls: - - id: mp-4.1 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-4(1) - - name: status - value: Withdrawn - - name: sort-id - value: MP-04(01) - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-4.2 - class: SP800-53-enhancement - title: Automated Restricted Access - params: - - id: mp-4.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: MP-4(2) - - name: sort-id - value: MP-04(02) - links: - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#pe-3" - rel: related - parts: - - id: mp-4.2_smt - name: statement - prose: "Restrict access to media storage areas, log access attempts,\ - \ and access granted using {{ insert: param, mp-4.2_prm_1 }}." - - id: mp-4.2_gdn - name: guidance - prose: Automated mechanisms include keypads or card readers on the - external entries to media storage areas. - - id: mp-5 - class: SP800-53 - title: Media Transport - params: - - id: mp-5_prm_1 - label: organization-defined types of system media - - id: mp-5_prm_2 - label: organization-defined controls - props: - - name: label - value: MP-5 - - name: sort-id - value: MP-05 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#ac-7" - rel: related - - href: "#ac-19" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-34" - rel: related - parts: - - id: mp-5_smt - name: statement - parts: - - id: mp-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Protect and control {{ insert: param, mp-5_prm_1 }} during\ - \ transport outside of controlled areas using {{ insert: param,\ - \ mp-5_prm_2 }};" - - id: mp-5_smt.b - name: item - props: - - name: label - value: b. - prose: Maintain accountability for system media during transport - outside of controlled areas; - - id: mp-5_smt.c - name: item - props: - - name: label - value: c. - prose: Document activities associated with the transport of system - media; and - - id: mp-5_smt.d - name: item - props: - - name: label - value: d. - prose: Restrict the activities associated with the transport of - system media to authorized personnel. - - id: mp-5_gdn - name: guidance - prose: System media includes digital and non-digital media. Digital - media includes flash drives, diskettes, magnetic tapes, external or - removable hard disk drives (solid state and magnetic), compact disks, - and digital video disks. Non-digital media includes microfilm and - paper. Controlled areas are spaces for which organizations provide - physical or procedural controls to meet requirements established for - protecting information and systems. Controls to protect media during - transport include cryptography and locked containers. Cryptographic - mechanisms can provide confidentiality and integrity protections depending - on the mechanisms implemented. Activities associated with media transport - include releasing media for transport, ensuring that media enters - the appropriate transport processes, and the actual transport. Authorized - transport and courier personnel may include individuals external to - the organization. Maintaining accountability of media during transport - includes restricting transport activities to authorized personnel, - and tracking and/or obtaining records of transport activities as the - media moves through the transportation system to prevent and detect - loss, destruction, or tampering. Organizations establish documentation - requirements for activities associated with the transport of system - media in accordance with organizational assessments of risk. Organizations - maintain the flexibility to define record-keeping methods for the - different types of media transport as part of a system of transport-related - records. - controls: - - id: mp-5.1 - class: SP800-53-enhancement - title: Protection Outside of Controlled Areas - props: - - name: label - value: MP-5(1) - - name: status - value: Withdrawn - - name: sort-id - value: MP-05(01) - links: - - href: "#mp-5" - rel: incorporated-into - - id: mp-5.2 - class: SP800-53-enhancement - title: Documentation of Activities - props: - - name: label - value: MP-5(2) - - name: status - value: Withdrawn - - name: sort-id - value: MP-05(02) - links: - - href: "#mp-5" - rel: incorporated-into - - id: mp-5.3 - class: SP800-53-enhancement - title: Custodians - props: - - name: label - value: MP-5(3) - - name: sort-id - value: MP-05(03) - parts: - - id: mp-5.3_smt - name: statement - prose: Employ an identified custodian during transport of system - media outside of controlled areas. - - id: mp-5.3_gdn - name: guidance - prose: Identified custodians provide organizations with specific - points of contact during the media transport process and facilitate - individual accountability. Custodial responsibilities can be transferred - from one individual to another if an unambiguous custodian is - identified. - - id: mp-5.4 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: MP-5(4) - - name: status - value: Withdrawn - - name: sort-id - value: MP-05(04) - links: - - href: "#sc-28.1" - rel: incorporated-into - - id: mp-6 - class: SP800-53 - title: Media Sanitization - params: - - id: mp-6_prm_1 - label: organization-defined system media - - id: mp-6_prm_2 - label: organization-defined sanitization techniques and procedures - props: - - name: label - value: MP-6 - - name: sort-id - value: MP-06 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#fed6a3b5-2b74-499f-9172-46671f7c24c8" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#a52271dc-11b5-423a-8b6f-14867bd94259" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-7" - rel: related - - href: "#au-11" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - - href: "#si-19" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: mp-6_smt - name: statement - parts: - - id: mp-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Sanitize {{ insert: param, mp-6_prm_1 }} prior to disposal,\ - \ release out of organizational control, or release for reuse\ - \ using {{ insert: param, mp-6_prm_2 }}; and" - - id: mp-6_smt.b - name: item - props: - - name: label - value: b. - prose: Employ sanitization mechanisms with the strength and integrity - commensurate with the security category or classification of the - information. - - id: mp-6_gdn - name: guidance - prose: Media sanitization applies to all digital and non-digital system - media subject to disposal or reuse, whether or not the media is considered - removable. Examples include digital media in scanners, copiers, printers, - notebook computers, workstations, network components, mobile devices, - and non-digital media such as paper and microfilm. The sanitization - process removes information from system media such that the information - cannot be retrieved or reconstructed. Sanitization techniques, including - clearing, purging, cryptographic erase, de-identification of personally - identifiable information, and destruction, prevent the disclosure - of information to unauthorized individuals when such media is reused - or released for disposal. Organizations determine the appropriate - sanitization methods recognizing that destruction is sometimes necessary - when other methods cannot be applied to media requiring sanitization. - Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed - to be in the public domain or publicly releasable or information deemed - to have no adverse impact on organizations or individuals if released - for reuse or disposal. Sanitization of non-digital media includes - destruction, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document - by obscuring the redacted sections or words in a manner equivalent - in effectiveness to removing them from the document. NARA policies - controls the sanitization process for controlled unclassified information. - NSA standards and policies control the sanitization process for media - containing classified information. - controls: - - id: mp-6.1 - class: SP800-53-enhancement - title: Review, Approve, Track, Document, and Verify - props: - - name: label - value: MP-6(1) - - name: sort-id - value: MP-06(01) - parts: - - id: mp-6.1_smt - name: statement - prose: Review, approve, track, document, and verify media sanitization - and disposal actions. - - id: mp-6.1_gdn - name: guidance - prose: Organizations review and approve media to be sanitized to - ensure compliance with records-retention policies. Tracking and - documenting actions include listing personnel who reviewed and - approved sanitization and disposal actions; types of media sanitized; - files stored on the media; sanitization methods used; date and - time of the sanitization actions; personnel who performed the - sanitization; verification actions taken and personnel who performed - the verification; and the disposal actions taken. Organizations - verify that the sanitization of the media was effective prior - to disposal. - - id: mp-6.2 - class: SP800-53-enhancement - title: Equipment Testing - params: - - id: mp-6.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: MP-6(2) - - name: sort-id - value: MP-06(02) - parts: - - id: mp-6.2_smt - name: statement - prose: "Test sanitization equipment and procedures {{ insert: param,\ - \ mp-6.2_prm_1 }} to verify that the intended sanitization is\ - \ being achieved." - - id: mp-6.2_gdn - name: guidance - prose: Testing of sanitization equipment and procedures may be conducted - by qualified and authorized external entities, including federal - agencies or external service providers. - - id: mp-6.3 - class: SP800-53-enhancement - title: Nondestructive Techniques - params: - - id: mp-6.3_prm_1 - label: organization-defined circumstances requiring sanitization - of portable storage devices - props: - - name: label - value: MP-6(3) - - name: sort-id - value: MP-06(03) - parts: - - id: mp-6.3_smt - name: statement - prose: "Apply nondestructive sanitization techniques to portable\ - \ storage devices prior to connecting such devices to the system\ - \ under the following circumstances: {{ insert: param, mp-6.3_prm_1\ - \ }}." - - id: mp-6.3_gdn - name: guidance - prose: Portable storage devices include external or removable hard - disk drives (solid state, magnetic), optical discs, magnetic or - optical tapes, flash memory devices, flash memory cards, and other - external or removable disks. Portable storage devices can be obtained - from untrustworthy sources and can contain malicious code that - can be inserted into or transferred to organizational systems - through USB ports or other entry portals. While scanning storage - devices is recommended, sanitization provides additional assurance - that such devices are free of malicious code. Organizations consider - nondestructive sanitization of portable storage devices when the - devices are purchased from manufacturers or vendors prior to initial - use or when organizations cannot maintain a positive chain of - custody for the devices. - - id: mp-6.4 - class: SP800-53-enhancement - title: Controlled Unclassified Information - props: - - name: label - value: MP-6(4) - - name: status - value: Withdrawn - - name: sort-id - value: MP-06(04) - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.5 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: MP-6(5) - - name: status - value: Withdrawn - - name: sort-id - value: MP-06(05) - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.6 - class: SP800-53-enhancement - title: Media Destruction - props: - - name: label - value: MP-6(6) - - name: status - value: Withdrawn - - name: sort-id - value: MP-06(06) - links: - - href: "#mp-6" - rel: incorporated-into - - id: mp-6.7 - class: SP800-53-enhancement - title: Dual Authorization - params: - - id: mp-6.7_prm_1 - label: organization-defined system media - props: - - name: label - value: MP-6(7) - - name: sort-id - value: MP-06(07) - links: - - href: "#ac-3" - rel: related - - href: "#mp-2" - rel: related - parts: - - id: mp-6.7_smt - name: statement - prose: "Enforce dual authorization for the sanitization of {{ insert:\ - \ param, mp-6.7_prm_1 }}." - - id: mp-6.7_gdn - name: guidance - prose: Organizations employ dual authorization to help ensure that - system media sanitization cannot occur unless two technically - qualified individuals conduct the designated task. Individuals - sanitizing system media possess sufficient skills and expertise - to determine if the proposed sanitization reflects applicable - federal and organizational standards, policies, and procedures. - Dual authorization also helps to ensure that sanitization occurs - as intended, both protecting against errors and false claims of - having performed the sanitization actions. Dual authorization - may also be known as two-person control. To reduce the risk of - collusion, organizations consider rotating dual authorization - duties to other individuals. - - id: mp-6.8 - class: SP800-53-enhancement - title: Remote Purging or Wiping of Information - params: - - id: mp-6.8_prm_1 - label: organization-defined systems or system components - - id: mp-6.8_prm_2 - select: - choice: - - remotely - - "under the following conditions: {{ insert: param, mp-6.8_prm_3\ - \ }} " - - id: mp-6.8_prm_3 - depends-on: mp-6.8_prm_2 - label: organization-defined conditions - props: - - name: label - value: MP-6(8) - - name: sort-id - value: MP-06(08) - parts: - - id: mp-6.8_smt - name: statement - prose: "Provide the capability to purge or wipe information from\ - \ {{ insert: param, mp-6.8_prm_1 }} {{ insert: param, mp-6.8_prm_2\ - \ }}." - - id: mp-6.8_gdn - name: guidance - prose: Remote purging or wiping of information protects information - on organizational systems and system components if systems or - components are obtained by unauthorized individuals. Remote purge - or wipe commands require strong authentication to help mitigate - the risk of unauthorized individuals purging or wiping the system, - component, or device. The purge or wipe function can be implemented - in a variety of ways, including by overwriting data or information - multiple times or by destroying the key necessary to decrypt encrypted - data. - - id: mp-7 - class: SP800-53 - title: Media Use - params: - - id: mp-7_prm_1 - select: - choice: - - Restrict - - Prohibit - - id: mp-7_prm_2 - label: organization-defined types of system media - - id: mp-7_prm_3 - label: organization-defined systems or system components - - id: mp-7_prm_4 - label: organization-defined controls - props: - - name: label - value: MP-7 - - name: sort-id - value: MP-07 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#1b14b50f-7154-4226-958c-7dfff8276755" - rel: reference - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#sc-34" - rel: related - - href: "#sc-41" - rel: related - parts: - - id: mp-7_smt - name: statement - parts: - - id: mp-7_smt.a - name: item - props: - - name: label - value: a. - prose: "{{ insert: param, mp-7_prm_1 }} the use of {{ insert: param,\ - \ mp-7_prm_2 }} on {{ insert: param, mp-7_prm_3 }} using {{ insert:\ - \ param, mp-7_prm_4 }}; and" - - id: mp-7_smt.b - name: item - props: - - name: label - value: b. - prose: Prohibit the use of portable storage devices in organizational - systems when such devices have no identifiable owner. - - id: mp-7_gdn - name: guidance - prose: System media includes both digital and non-digital media. Digital - media includes diskettes, magnetic tapes, flash drives, compact disks, - digital video disks, and removable hard disk drives. Non-digital media - includes paper and microfilm. Media use protections also apply to - mobile devices with information storage capability. In contrast to - MP-2, which restricts user access to media, MP-7 restricts the use - of certain types of media on systems, for example, restricting or - prohibiting use of flash drives or external hard disk drives. Organizations - use technical and nontechnical controls to restrict the use of system - media. Organizations may restrict the use of portable storage devices, - for example, by using physical cages on workstations to prohibit access - to certain external ports, or disabling or removing the ability to - insert, read or write to such devices. Organizations may also limit - the use of portable storage devices to only approved devices, including - devices provided by the organization, devices provided by other approved - organizations, and devices that are not personally owned. Finally, - organizations may restrict the use of portable storage devices based - on the type of device, for example, prohibiting the use of writeable, - portable storage devices, and implementing this restriction by disabling - or removing the capability to write to such devices. Requiring identifiable - owners for storage devices reduces the risk of using such devices - by allowing organizations to assign responsibility for addressing - known vulnerabilities in the devices. - controls: - - id: mp-7.1 - class: SP800-53-enhancement - title: Prohibit Use Without Owner - props: - - name: label - value: MP-7(1) - - name: status - value: Withdrawn - - name: sort-id - value: MP-07(01) - links: - - href: "#mp-7" - rel: incorporated-into - - id: mp-7.2 - class: SP800-53-enhancement - title: Prohibit Use of Sanitization-resistant Media - props: - - name: label - value: MP-7(2) - - name: sort-id - value: MP-07(02) - links: - - href: "#mp-6" - rel: related - parts: - - id: mp-7.2_smt - name: statement - prose: Prohibit the use of sanitization-resistant media in organizational - systems. - - id: mp-7.2_gdn - name: guidance - prose: Sanitization-resistance refers to non-destructive sanitization - techniques and applies to the capability to purge information - from media. Certain types of media do not support sanitization - commands, or if supported, the interfaces are not supported in - a standardized way across these devices. Sanitization-resistant - media include compact flash, embedded flash on boards and devices, - solid state drives, and USB removable media. - - id: mp-8 - class: SP800-53 - title: Media Downgrading - params: - - id: mp-8_prm_1 - label: organization-defined system media downgrading process - - id: mp-8_prm_2 - label: organization-defined system media requiring downgrading - props: - - name: label - value: MP-8 - - name: sort-id - value: MP-08 - parts: - - id: mp-8_smt - name: statement - parts: - - id: mp-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish {{ insert: param, mp-8_prm_1 }} that includes\ - \ employing downgrading mechanisms with strength and integrity\ - \ commensurate with the security category or classification of\ - \ the information;" - - id: mp-8_smt.b - name: item - props: - - name: label - value: b. - prose: Verify that the system media downgrading process is commensurate - with the security category and/or classification level of the - information to be removed and the access authorizations of the - potential recipients of the downgraded information; - - id: mp-8_smt.c - name: item - props: - - name: label - value: c. - prose: "Identify {{ insert: param, mp-8_prm_2 }}; and" - - id: mp-8_smt.d - name: item - props: - - name: label - value: d. - prose: Downgrade the identified system media using the established - process. - - id: mp-8_gdn - name: guidance - prose: Media downgrading applies to digital and non-digital media, subject - to release outside the organization, whether the media is considered - removable or not removable. The downgrading process, when applied - to system media, removes information from the media, typically by - security category or classification level, such that the information - cannot be retrieved or reconstructed. Downgrading of media includes - redacting information to enable wider release and distribution. Downgrading - also ensures that empty space on the media is devoid of information. - controls: - - id: mp-8.1 - class: SP800-53-enhancement - title: Documentation of Process - props: - - name: label - value: MP-8(1) - - name: sort-id - value: MP-08(01) - parts: - - id: mp-8.1_smt - name: statement - prose: Document system media downgrading actions. - - id: mp-8.1_gdn - name: guidance - prose: Organizations can document the media downgrading process - by providing information such as the downgrading technique employed, - the identification number of the downgraded media, and the identity - of the individual that authorized and/or performed the downgrading - action. - - id: mp-8.2 - class: SP800-53-enhancement - title: Equipment Testing - params: - - id: mp-8.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: MP-8(2) - - name: sort-id - value: MP-08(02) - parts: - - id: mp-8.2_smt - name: statement - prose: "Test downgrading equipment and procedures {{ insert: param,\ - \ mp-8.2_prm_1 }} to verify that downgrading actions are being\ - \ achieved." - - id: mp-8.2_gdn - name: guidance - prose: None. - - id: mp-8.3 - class: SP800-53-enhancement - title: Controlled Unclassified Information - props: - - name: label - value: MP-8(3) - - name: sort-id - value: MP-08(03) - parts: - - id: mp-8.3_smt - name: statement - prose: Downgrade system media containing controlled unclassified - information prior to public release. - - id: mp-8.3_gdn - name: guidance - prose: Downgrading of controlled unclassified information uses approved - sanitization tools, techniques, and procedures. - - id: mp-8.4 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: MP-8(4) - - name: sort-id - value: MP-08(04) - parts: - - id: mp-8.4_smt - name: statement - prose: Downgrade system media containing classified information - prior to release to individuals without required access authorizations. - - id: mp-8.4_gdn - name: guidance - prose: Downgrading of classified information uses approved sanitization - tools, techniques, and procedures to transfer information confirmed - to be unclassified from classified systems to unclassified media. - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - id: pe-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pe-1_prm_1 - label: organization-defined personnel or roles - - id: pe-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pe-1_prm_3 - label: organization-defined official - - id: pe-1_prm_4 - label: organization-defined frequency - - id: pe-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: PE-1 - - name: sort-id - value: PE-01 - links: - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#at-3" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pe-1_smt - name: statement - parts: - - id: pe-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pe-1_prm_1 }}:" - parts: - - id: pe-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, pe-1_prm_2 }} physical and environmental\ - \ protection policy that:" - parts: - - id: pe-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pe-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pe-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the physical - and environmental protection policy and the associated physical - and environmental protection controls; - - id: pe-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pe-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the physical\ - \ and environmental protection policy and procedures; and" - - id: pe-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current physical and environmental\ - \ protection:" - parts: - - id: pe-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, pe-1_prm_4 }}; and" - - id: pe-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, pe-1_prm_5 }}." - - id: pe-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the PE family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - params: - - id: pe-2_prm_1 - label: organization-defined frequency - props: - - name: label - value: PE-2 - - name: sort-id - value: PE-02 - links: - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#at-3" - rel: related - - href: "#au-9" - rel: related - - href: "#ia-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-8" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: pe-2_smt - name: statement - parts: - - id: pe-2_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, approve, and maintain a list of individuals with - authorized access to the facility where the system resides; - - id: pe-2_smt.b - name: item - props: - - name: label - value: b. - prose: Issue authorization credentials for facility access; - - id: pe-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review the access list detailing authorized facility access\ - \ by individuals {{ insert: param, pe-2_prm_1 }}; and" - - id: pe-2_smt.d - name: item - props: - - name: label - value: d. - prose: Remove individuals from the facility access list when access - is no longer required. - - id: pe-2_gdn - name: guidance - prose: Physical access authorizations apply to employees and visitors. - Individuals with permanent physical access authorization credentials - are not considered visitors. Authorization credentials include biometrics, - badges, identification cards, and smart cards. Organizations determine - the strength of authorization credentials needed consistent with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. Physical access authorizations are not necessary to - access areas within facilities that are designated as publicly accessible. - controls: - - id: pe-2.1 - class: SP800-53-enhancement - title: Access by Position or Role - props: - - name: label - value: PE-2(1) - - name: sort-id - value: PE-02(01) - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: pe-2.1_smt - name: statement - prose: Authorize physical access to the facility where the system - resides based on position or role. - - id: pe-2.1_gdn - name: guidance - prose: Role-based facility access includes permanent maintenance - personnel, duty officers, or emergency medical staff. - - id: pe-2.2 - class: SP800-53-enhancement - title: Two Forms of Identification - params: - - id: pe-2.2_prm_1 - label: organization-defined list of acceptable forms of identification - props: - - name: label - value: PE-2(2) - - name: sort-id - value: PE-02(02) - links: - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - parts: - - id: pe-2.2_smt - name: statement - prose: "Require two forms of identification from the following forms\ - \ of identification for visitor access to the facility where the\ - \ system resides: {{ insert: param, pe-2.2_prm_1 }}." - - id: pe-2.2_gdn - name: guidance - prose: Acceptable forms of identification include passports, REAL - ID-compliant drivers’ licenses, and Personal Identity Verification - (PIV) cards. For gaining access to facilities using automated - mechanisms, organizations may use PIV cards, key cards, PINs, - and biometrics. - - id: pe-2.3 - class: SP800-53-enhancement - title: Restrict Unescorted Access - params: - - id: pe-2.3_prm_1 - select: - how-many: one-or-more - choice: - - security clearances for all information contained within the - system - - formal access authorizations for all information contained - within the system - - need for access to all information contained within the system - - " {{ insert: param, pe-2.3_prm_2 }} " - - id: pe-2.3_prm_2 - depends-on: pe-2.3_prm_1 - label: organization-defined credentials - props: - - name: label - value: PE-2(3) - - name: sort-id - value: PE-02(03) - links: - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - parts: - - id: pe-2.3_smt - name: statement - prose: "Restrict unescorted access to the facility where the system\ - \ resides to personnel with {{ insert: param, pe-2.3_prm_1 }}." - - id: pe-2.3_gdn - name: guidance - prose: Individuals without required security clearances, access - approvals, or need to know, are escorted by individuals with appropriate - credentials to ensure that information is not exposed or otherwise - compromised. - - id: pe-3 - class: SP800-53 - title: Physical Access Control - params: - - id: pe-3_prm_1 - label: organization-defined entry and exit points to the facility where - the system resides - - id: pe-3_prm_2 - select: - how-many: one-or-more - choice: - - " {{ insert: param, pe-3_prm_3 }} " - - guards - - id: pe-3_prm_3 - depends-on: pe-3_prm_2 - label: organization-defined physical access control systems or devices - - id: pe-3_prm_4 - label: organization-defined entry or exit points - - id: pe-3_prm_5 - label: organization-defined controls - - id: pe-3_prm_6 - label: organization-defined circumstances requiring visitor escorts - and monitoring - - id: pe-3_prm_7 - label: organization-defined physical access devices - - id: pe-3_prm_8 - label: organization-defined frequency - - id: pe-3_prm_9 - label: organization-defined frequency - props: - - name: label - value: PE-3 - - name: sort-id - value: PE-03 - links: - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#ad7d575f-b5fe-489b-8d48-36a93d964a5f" - rel: reference - - href: "#at-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-13" - rel: related - - href: "#cp-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-8" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-4" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: pe-3_smt - name: statement - parts: - - id: pe-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Enforce physical access authorizations at {{ insert: param,\ - \ pe-3_prm_1 }} by:" - parts: - - id: pe-3_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Verifying individual access authorizations before granting - access to the facility; and - - id: pe-3_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: "Controlling ingress and egress to the facility using\ - \ {{ insert: param, pe-3_prm_2 }};" - - id: pe-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Maintain physical access audit logs for {{ insert: param,\ - \ pe-3_prm_4 }};" - - id: pe-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Control access to areas within the facility designated as\ - \ publicly accessible by implementing the following controls:\ - \ {{ insert: param, pe-3_prm_5 }};" - - id: pe-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Escort visitors and monitor visitor activity {{ insert:\ - \ param, pe-3_prm_6 }};" - - id: pe-3_smt.e - name: item - props: - - name: label - value: e. - prose: Secure keys, combinations, and other physical access devices; - - id: pe-3_smt.f - name: item - props: - - name: label - value: f. - prose: "Inventory {{ insert: param, pe-3_prm_7 }} every {{ insert:\ - \ param, pe-3_prm_8 }}; and" - - id: pe-3_smt.g - name: item - props: - - name: label - value: g. - prose: "Change combinations and keys {{ insert: param, pe-3_prm_9\ - \ }} and/or when keys are lost, combinations are compromised,\ - \ or when individuals possessing the keys or combinations are\ - \ transferred or terminated." - - id: pe-3_gdn - name: guidance - prose: Physical access control applies to employees and visitors. Individuals - with permanent physical access authorization credentials are not considered - visitors. Organizations determine the types of guards needed, including - professional security staff, system users, or administrative staff. - Physical access devices include keys, locks, combinations, and card - readers. Physical access control systems comply with applicable laws, - executive orders, directives, policies, regulations, standards, and - guidelines. Organizations have flexibility in the types of audit logs - employed. Audit logs can be procedural, automated, or some combination - thereof. Physical access points can include facility access points, - interior access points to systems requiring supplemental access controls, - or both. Components of systems may be in areas designated as publicly - accessible with organizations controlling access to the components. - controls: - - id: pe-3.1 - class: SP800-53-enhancement - title: System Access - params: - - id: pe-3.1_prm_1 - label: organization-defined physical spaces containing one or more - components of the system - props: - - name: label - value: PE-3(1) - - name: sort-id - value: PE-03(01) - parts: - - id: pe-3.1_smt - name: statement - prose: "Enforce physical access authorizations to the system in\ - \ addition to the physical access controls for the facility at\ - \ {{ insert: param, pe-3.1_prm_1 }}." - - id: pe-3.1_gdn - name: guidance - prose: Control of physical access to the system provides additional - physical security for those areas within facilities where there - is a concentration of system components. - - id: pe-3.2 - class: SP800-53-enhancement - title: Facility and Systems - params: - - id: pe-3.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: PE-3(2) - - name: sort-id - value: PE-03(02) - links: - - href: "#ac-4" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: pe-3.2_smt - name: statement - prose: "Perform security checks {{ insert: param, pe-3.2_prm_1 }}\ - \ at the physical perimeter of the facility or system for exfiltration\ - \ of information or removal of system components." - - id: pe-3.2_gdn - name: guidance - prose: Organizations determine the extent, frequency, and/or randomness - of security checks to adequately mitigate risk associated with - exfiltration. - - id: pe-3.3 - class: SP800-53-enhancement - title: Continuous Guards - params: - - id: pe-3.3_prm_1 - label: organization-defined physical access points - props: - - name: label - value: PE-3(3) - - name: sort-id - value: PE-03(03) - links: - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: pe-3.3_smt - name: statement - prose: "Employ guards to control {{ insert: param, pe-3.3_prm_1\ - \ }} to the facility where the system resides 24 hours per day,\ - \ 7 days per week." - - id: pe-3.3_gdn - name: guidance - prose: Employing guards at selected physical access points to the - facility provides a more rapid response capability for organizations. - Guards also provide the opportunity for human surveillance in - areas of the facility not covered by video surveillance. - - id: pe-3.4 - class: SP800-53-enhancement - title: Lockable Casings - params: - - id: pe-3.4_prm_1 - label: organization-defined system components - props: - - name: label - value: PE-3(4) - - name: sort-id - value: PE-03(04) - parts: - - id: pe-3.4_smt - name: statement - prose: "Use lockable physical casings to protect {{ insert: param,\ - \ pe-3.4_prm_1 }} from unauthorized physical access." - - id: pe-3.4_gdn - name: guidance - prose: The greatest risk from the use of portable devices such as - notebook computers, tablets, and smart phones is theft. Organizations - can employ lockable, physical casings to reduce or eliminate the - risk of equipment theft. Such casings come in a variety of sizes, - from units that protect a single notebook computer to full cabinets - that can protect multiple servers, computers, and peripherals. - Lockable physical casings can be used in conjunction with cable - locks or lockdown plates to prevent the theft of the locked casing - containing the computer equipment. - - id: pe-3.5 - class: SP800-53-enhancement - title: Tamper Protection - params: - - id: pe-3.5_prm_1 - label: organization-defined controls - - id: pe-3.5_prm_2 - select: - how-many: one-or-more - choice: - - detect - - prevent - - id: pe-3.5_prm_3 - label: organization-defined hardware components - props: - - name: label - value: PE-3(5) - - name: sort-id - value: PE-03(05) - links: - - href: "#sa-16" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: pe-3.5_smt - name: statement - prose: "Employ {{ insert: param, pe-3.5_prm_1 }} to {{ insert: param,\ - \ pe-3.5_prm_2 }} physical tampering or alteration of {{ insert:\ - \ param, pe-3.5_prm_3 }} within the system." - - id: pe-3.5_gdn - name: guidance - prose: Organizations can implement tamper detection and prevention - at selected hardware components or implement tamper detection - at some components and tamper prevention at other components. - Detection and prevention activities can employ many types of anti-tamper - technologies, including tamper-detection seals and anti-tamper - coatings. Anti-tamper programs help to detect hardware alterations - through counterfeiting and other supply chain-related risks. - - id: pe-3.6 - class: SP800-53-enhancement - title: Facility Penetration Testing - props: - - name: label - value: PE-3(6) - - name: status - value: Withdrawn - - name: sort-id - value: PE-03(06) - links: - - href: "#ca-8" - rel: incorporated-into - - id: pe-3.7 - class: SP800-53-enhancement - title: Physical Barriers - props: - - name: label - value: PE-3(7) - - name: sort-id - value: PE-03(07) - parts: - - id: pe-3.7_smt - name: statement - prose: Limit access using physical barriers. - - id: pe-3.7_gdn - name: guidance - prose: Physical barriers include bollards, concrete slabs, jersey - walls, and hydraulic active vehicle barriers. - - id: pe-3.8 - class: SP800-53-enhancement - title: Access Control Vestibules - params: - - id: pe-3.8_prm_1 - label: organization-defined locations within the facility - props: - - name: label - value: PE-3(8) - - name: sort-id - value: PE-03(08) - parts: - - id: pe-3.8_smt - name: statement - prose: "Employ access control vestibules at {{ insert: param, pe-3.8_prm_1\ - \ }}." - - id: pe-3.8_gdn - name: guidance - prose: An access control vestibule, or mantrap, is part of a physical - access control system that typically provides a space between - two sets of interlocking doors. Mantraps are designed to prevent - unauthorized individuals from following authorized individuals - into facilities with controlled access. This activity, also known - as piggybacking or tailgating, results in unauthorized access - to the facility. Mantraps can also be used to limit the number - of individuals entering controlled access points and to provide - containment areas to verify credentials. Mantraps can be fully - automated, controlling the opening and closing of the interlocking - doors, or partially automated using security guards to control - the number of individuals entering the mantrap. - - id: pe-4 - class: SP800-53 - title: Access Control for Transmission - params: - - id: pe-4_prm_1 - label: organization-defined system distribution and transmission lines - - id: pe-4_prm_2 - label: organization-defined security controls - props: - - name: label - value: PE-4 - - name: sort-id - value: PE-04 - links: - - href: "#at-3" - rel: related - - href: "#ia-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-9" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: pe-4_smt - name: statement - prose: "Control physical access to {{ insert: param, pe-4_prm_1 }} within\ - \ organizational facilities using {{ insert: param, pe-4_prm_2 }}." - - id: pe-4_gdn - name: guidance - prose: Security controls applied to system distribution and transmission - lines prevent accidental damage, disruption, and physical tampering. - Such controls may also be necessary to prevent eavesdropping or modification - of unencrypted transmissions. Security controls used to control physical - access to system distribution and transmission lines include locked - wiring closets; disconnected or locked spare jacks; protection of - cabling by conduit or cable trays; and wiretapping sensors. - - id: pe-5 - class: SP800-53 - title: Access Control for Output Devices - params: - - id: pe-5_prm_1 - label: organization-defined output devices - props: - - name: label - value: PE-5 - - name: sort-id - value: PE-05 - links: - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-4" - rel: related - - href: "#pe-18" - rel: related - parts: - - id: pe-5_smt - name: statement - prose: "Control physical access to output from {{ insert: param, pe-5_prm_1\ - \ }} to prevent unauthorized individuals from obtaining the output." - - id: pe-5_gdn - name: guidance - prose: Controlling physical access to output devices includes placing - output devices in locked rooms or other secured areas with keypad - or card reader access controls and allowing access to authorized individuals - only; placing output devices in locations that can be monitored by - personnel; installing monitor or screen filters; and using headphones. - Examples of output devices include monitors, printers, scanners, audio - devices, facsimile machines, and copiers. - controls: - - id: pe-5.1 - class: SP800-53-enhancement - title: Access to Output by Authorized Individuals - props: - - name: label - value: PE-5(1) - - name: status - value: Withdrawn - - name: sort-id - value: PE-05(01) - links: - - href: "#pe-5" - rel: incorporated-into - - id: pe-5.2 - class: SP800-53-enhancement - title: Link to Individual Identity - props: - - name: label - value: PE-5(2) - - name: sort-id - value: PE-05(02) - parts: - - id: pe-5.2_smt - name: statement - prose: Link individual identity to receipt of output from output - devices. - - id: pe-5.2_gdn - name: guidance - prose: Methods to link individual identity to receipt of output - from output devices include installing security functionality - on facsimile machines, copiers, and printers. Such functionality - allows organizations to implement authentication on output devices - prior to the release of output to individuals. - - id: pe-5.3 - class: SP800-53-enhancement - title: Marking Output Devices - params: - - id: pe-5.3_prm_1 - label: organization-defined system output devices - props: - - name: label - value: PE-5(3) - - name: sort-id - value: PE-05(03) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#pe-22" - rel: related - parts: - - id: pe-5.3_smt - name: statement - prose: "Mark {{ insert: param, pe-5.3_prm_1 }} indicating the security\ - \ marking of the types of information output from the device." - - id: pe-5.3_gdn - name: guidance - prose: Permissions controlling the output to outputs devices are - addressed in AC-3 or AC-4. Outputs devices include printers, monitors, - facsimile machines, scanners, copiers, and audio devices. - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - params: - - id: pe-6_prm_1 - label: organization-defined frequency - - id: pe-6_prm_2 - label: organization-defined events or potential indications of events - props: - - name: label - value: PE-6 - - name: sort-id - value: PE-06 - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - parts: - - id: pe-6_smt - name: statement - parts: - - id: pe-6_smt.a - name: item - props: - - name: label - value: a. - prose: Monitor physical access to the facility where the system - resides to detect and respond to physical security incidents; - - id: pe-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Review physical access logs {{ insert: param, pe-6_prm_1\ - \ }} and upon occurrence of {{ insert: param, pe-6_prm_2 }}; and" - - id: pe-6_smt.c - name: item - props: - - name: label - value: c. - prose: Coordinate results of reviews and investigations with the - organizational incident response capability. - - id: pe-6_gdn - name: guidance - prose: Physical access monitoring includes publicly accessible areas - within organizational facilities. Physical access monitoring can be - accomplished, for example, by the employment of guards, video surveillance - equipment (i.e., cameras), or sensor devices. Reviewing physical access - logs can help identify suspicious activity, anomalous events, or potential - threats. The reviews can be supported by audit logging controls such - as AU-2 if the access logs are part of an automated system. Organizational - incident response capabilities include investigations of physical - security incidents and responses to the incidents. Incidents include - security violations or suspicious physical access activities. Suspicious - physical access activities include accesses outside of normal work - hours; repeated accesses to areas not normally accessed; accesses - for unusual lengths of time; and out-of-sequence accesses. - controls: - - id: pe-6.1 - class: SP800-53-enhancement - title: Intrusion Alarms and Surveillance Equipment - props: - - name: label - value: PE-6(1) - - name: sort-id - value: PE-06(01) - parts: - - id: pe-6.1_smt - name: statement - prose: Monitor physical access to the facility where the system - resides using physical intrusion alarms and surveillance equipment. - - id: pe-6.1_gdn - name: guidance - prose: Physical intrusion alarms can be employed to alert security - personnel when unauthorized access to the facility is attempted. - Alarm systems work in conjunction with physical barriers, physical - access control systems, and security guards, triggering a response - when these other forms of security have been compromised or breached. - Physical intrusion alarms can include different types of sensor - devices, for example, motion sensors, contact sensors, and broken - glass sensors. Surveillance equipment includes video cameras installed - at strategic locations throughout the facility. - - id: pe-6.2 - class: SP800-53-enhancement - title: Automated Intrusion Recognition and Responses - params: - - id: pe-6.2_prm_1 - label: organization-defined classes or types of intrusions - - id: pe-6.2_prm_2 - label: organization-defined response actions - - id: pe-6.2_prm_3 - label: organization-defined automated mechanisms - props: - - name: label - value: PE-6(2) - - name: sort-id - value: PE-06(02) - links: - - href: "#si-4" - rel: related - parts: - - id: pe-6.2_smt - name: statement - prose: "Recognize {{ insert: param, pe-6.2_prm_1 }} and initiate\ - \ {{ insert: param, pe-6.2_prm_2 }} using {{ insert: param, pe-6.2_prm_3\ - \ }}." - - id: pe-6.2_gdn - name: guidance - prose: Response actions can include notifying selected organizational - personnel or law enforcement personnel. Automated mechanisms implemented - to initiate response actions include system alert notifications, - email and text messages, and activating door locking mechanisms. - Physical access monitoring can be coordinated with intrusion detection - systems and system monitoring capabilities to provide integrated - threat coverage for the organization. - - id: pe-6.3 - class: SP800-53-enhancement - title: Video Surveillance - params: - - id: pe-6.3_prm_1 - label: organization-defined operational areas - - id: pe-6.3_prm_2 - label: organization-defined frequency - - id: pe-6.3_prm_3 - label: organization-defined time-period - props: - - name: label - value: PE-6(3) - - name: sort-id - value: PE-06(03) - parts: - - id: pe-6.3_smt - name: statement - parts: - - id: pe-6.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ video surveillance of {{ insert: param, pe-6.3_prm_1\ - \ }};" - - id: pe-6.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Review video recordings {{ insert: param, pe-6.3_prm_2\ - \ }}; and" - - id: pe-6.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "Retain video recordings for {{ insert: param, pe-6.3_prm_3\ - \ }}." - - id: pe-6.3_gdn - name: guidance - prose: Video surveillance focuses on recording activity in specified - areas for purposes of subsequent review, if circumstances so warrant. - Video recordings are typically reviewed to detect anomalous events - or incidents. Monitoring the surveillance video is not required - although organizations may choose to do so. There may be legal - considerations when performing and retaining video surveillance, - especially if such surveillance is in a public location. - - id: pe-6.4 - class: SP800-53-enhancement - title: Monitoring Physical Access to Systems - params: - - id: pe-6.4_prm_1 - label: organization-defined physical spaces containing one or more - components of the system - props: - - name: label - value: PE-6(4) - - name: sort-id - value: PE-06(04) - parts: - - id: pe-6.4_smt - name: statement - prose: "Monitor physical access to the system in addition to the\ - \ physical access monitoring of the facility at {{ insert: param,\ - \ pe-6.4_prm_1 }}." - - id: pe-6.4_gdn - name: guidance - prose: Monitoring physical access to systems provides additional - monitoring for those areas within facilities where there is a - concentration of system components, including server rooms, media - storage areas, and communications centers. Physical access monitoring - can be coordinated with intrusion detection systems and system - monitoring capabilities to provide comprehensive and integrated - threat coverage for the organization. - - id: pe-7 - class: SP800-53 - title: Visitor Control - props: - - name: label - value: PE-7 - - name: status - value: Withdrawn - - name: sort-id - value: PE-07 - links: - - href: "#pe-2" - rel: incorporated-into - - href: "#pe-3" - rel: incorporated-into - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - params: - - id: pe-8_prm_1 - label: organization-defined time-period - - id: pe-8_prm_2 - label: organization-defined frequency - - id: pe-8_prm_3 - label: organization-defined personnel - props: - - name: label - value: PE-8 - - name: sort-id - value: PE-08 - links: - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: pe-8_smt - name: statement - parts: - - id: pe-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Maintain visitor access records to the facility where the\ - \ system resides for {{ insert: param, pe-8_prm_1 }};" - - id: pe-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review visitor access records {{ insert: param, pe-8_prm_2\ - \ }}; and" - - id: pe-8_smt.c - name: item - props: - - name: label - value: c. - prose: "Report anomalies in visitor access records to {{ insert:\ - \ param, pe-8_prm_3 }}." - - id: pe-8_gdn - name: guidance - prose: Visitor access records include names and organizations of persons - visiting; visitor signatures; forms of identification; dates of access; - entry and departure times; purpose of visits; and names and organizations - of persons visited. Reviews of access records determines if access - authorizations are current and still required to support organizational - missions and business functions. Access records are not required for - publicly accessible areas. - controls: - - id: pe-8.1 - class: SP800-53-enhancement - title: Automated Records Maintenance and Review - params: - - id: pe-8.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: PE-8(1) - - name: sort-id - value: PE-08(01) - parts: - - id: pe-8.1_smt - name: statement - prose: "Maintain and review visitor access records using {{ insert:\ - \ param, pe-8.1_prm_1 }}." - - id: pe-8.1_gdn - name: guidance - prose: Visitor access records can be stored and maintained, for - example, in a database management system that is accessible by - organizational personnel. Automated access to such records facilitates - record reviews on regular basis to determine if access authorizations - are current and still required to support organizational missions - and business functions. - - id: pe-8.2 - class: SP800-53-enhancement - title: Physical Access Records - props: - - name: label - value: PE-8(2) - - name: status - value: Withdrawn - - name: sort-id - value: PE-08(02) - links: - - href: "#pe-2" - rel: incorporated-into - - id: pe-9 - class: SP800-53 - title: Power Equipment and Cabling - props: - - name: label - value: PE-9 - - name: sort-id - value: PE-09 - links: - - href: "#pe-4" - rel: related - parts: - - id: pe-9_smt - name: statement - prose: Protect power equipment and power cabling for the system from - damage and destruction. - - id: pe-9_gdn - name: guidance - prose: Organizations determine the types of protection necessary for - the power equipment and cabling employed at different locations both - internal and external to organizational facilities and environments - of operation. Power equipment and cabling includes generators and - power cabling outside of buildings; internal cabling and uninterruptable - power sources in offices or data centers; and power sources for self-contained - components such as satellites, vehicles, and other deployable systems. - controls: - - id: pe-9.1 - class: SP800-53-enhancement - title: Redundant Cabling - params: - - id: pe-9.1_prm_1 - label: organization-defined distance - props: - - name: label - value: PE-9(1) - - name: sort-id - value: PE-09(01) - parts: - - id: pe-9.1_smt - name: statement - prose: "Employ redundant power cabling paths that are physically\ - \ separated by {{ insert: param, pe-9.1_prm_1 }}." - - id: pe-9.1_gdn - name: guidance - prose: Physically separate and redundant power cables ensure that - power continues to flow in the event one of the cables is cut - or otherwise damaged. - - id: pe-9.2 - class: SP800-53-enhancement - title: Automatic Voltage Controls - params: - - id: pe-9.2_prm_1 - label: organization-defined critical system components - props: - - name: label - value: PE-9(2) - - name: sort-id - value: PE-09(02) - parts: - - id: pe-9.2_smt - name: statement - prose: "Employ automatic voltage controls for {{ insert: param,\ - \ pe-9.2_prm_1 }}." - - id: pe-9.2_gdn - name: guidance - prose: Automatic voltage controls can monitor and control voltage. - Such controls include voltage regulators, voltage conditioners, - and voltage stabilizers. - - id: pe-10 - class: SP800-53 - title: Emergency Shutoff - params: - - id: pe-10_prm_1 - label: organization-defined system or individual system components - - id: pe-10_prm_2 - label: organization-defined location by system or system component - props: - - name: label - value: PE-10 - - name: sort-id - value: PE-10 - links: - - href: "#pe-15" - rel: related - parts: - - id: pe-10_smt - name: statement - parts: - - id: pe-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide the capability of shutting off power to {{ insert:\ - \ param, pe-10_prm_1 }} in emergency situations;" - - id: pe-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Place emergency shutoff switches or devices in {{ insert:\ - \ param, pe-10_prm_2 }} to facilitate access for authorized personnel;\ - \ and" - - id: pe-10_smt.c - name: item - props: - - name: label - value: c. - prose: Protect emergency power shutoff capability from unauthorized - activation. - - id: pe-10_gdn - name: guidance - prose: Emergency power shutoff applies primarily to organizational facilities - containing concentrations of system resources, including data centers, - mainframe computer rooms, server rooms, and areas with computer-controlled - machinery. - controls: - - id: pe-10.1 - class: SP800-53-enhancement - title: Accidental and Unauthorized Activation - props: - - name: label - value: PE-10(1) - - name: status - value: Withdrawn - - name: sort-id - value: PE-10(01) - links: - - href: "#pe-10" - rel: incorporated-into - - id: pe-11 - class: SP800-53 - title: Emergency Power - params: - - id: pe-11_prm_1 - select: - how-many: one-or-more - choice: - - an orderly shutdown of the system - - transition of the system to long-term alternate power - props: - - name: label - value: PE-11 - - name: sort-id - value: PE-11 - links: - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-11_smt - name: statement - prose: "Provide an uninterruptible power supply to facilitate {{ insert:\ - \ param, pe-11_prm_1 }} in the event of a primary power source loss." - - id: pe-11_gdn - name: guidance - prose: An uninterruptible power supply (UPS) is an electrical system - or mechanism that provides emergency power when there is a failure - of the main power source. A UPS is typically used to protect computers, - data centers, telecommunication equipment or other electrical equipment - where an unexpected power disruption could cause injuries, fatalities, - serious mission or business disruption or loss of data or information. - A UPS differs from an emergency power system or backup generator in - that the UPS provides near-instantaneous protection from unanticipated - power interruptions from the main power source by providing energy - stored in batteries, supercapacitors, or flywheels. The battery duration - of most UPS is relatively short but provides sufficient time to start - a standby power source such as a backup generator or properly shut - down the system. - controls: - - id: pe-11.1 - class: SP800-53-enhancement - title: Alternate Power Supply — Minimal Operational Capability - params: - - id: pe-11.1_prm_1 - select: - choice: - - manually - - automatically - props: - - name: label - value: PE-11(1) - - name: sort-id - value: PE-11(01) - parts: - - id: pe-11.1_smt - name: statement - prose: "Provide an alternate power supply for the system that is\ - \ activated {{ insert: param, pe-11.1_prm_1 }} and that can maintain\ - \ minimally required operational capability in the event of an\ - \ extended loss of the primary power source." - - id: pe-11.1_gdn - name: guidance - prose: Provision of an alternate power supply with minimal operating - capability can be satisfied, for example, by accessing a secondary - commercial power supply or other external power supply. - - id: pe-11.2 - class: SP800-53-enhancement - title: Alternate Power Supply — Self-contained - params: - - id: pe-11.2_prm_1 - select: - choice: - - manually - - automatically - - id: pe-11.2_prm_2 - select: - choice: - - minimally required operational capability - - full operational capability - props: - - name: label - value: PE-11(2) - - name: sort-id - value: PE-11(02) - parts: - - id: pe-11.2_smt - name: statement - prose: "Provide an alternate power supply for the system that is\ - \ activated {{ insert: param, pe-11.2_prm_1 }} and that is:" - parts: - - id: pe-11.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Self-contained; - - id: pe-11.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Not reliant on external power generation; and - - id: pe-11.2_smt.c - name: item - props: - - name: label - value: (c) - prose: "Capable of maintaining {{ insert: param, pe-11.2_prm_2\ - \ }} in the event of an extended loss of the primary power\ - \ source." - - id: pe-11.2_gdn - name: guidance - prose: The provision of a long-term, self-contained power supply, - can be satisfied by using one or more generators with sufficient - capacity to meet the needs of the organization. - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - props: - - name: label - value: PE-12 - - name: sort-id - value: PE-12 - links: - - href: "#cp-2" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-12_smt - name: statement - prose: Employ and maintain automatic emergency lighting for the system - that activates in the event of a power outage or disruption and that - covers emergency exits and evacuation routes within the facility. - - id: pe-12_gdn - name: guidance - prose: The provision of emergency lighting applies primarily to organizational - facilities containing concentrations of system resources, including - data centers, server rooms, and mainframe computer rooms. Emergency - lighting provisions for the system are described in the contingency - plan for the organization. If emergency lighting for the system cannot - be provided or fails, organizations consider alternate processing - sites. - controls: - - id: pe-12.1 - class: SP800-53-enhancement - title: Essential Missions and Business Functions - props: - - name: label - value: PE-12(1) - - name: sort-id - value: PE-12(01) - parts: - - id: pe-12.1_smt - name: statement - prose: Provide emergency lighting for all areas within the facility - supporting essential missions and business functions. - - id: pe-12.1_gdn - name: guidance - prose: Organizations define their essential missions and functions. - - id: pe-13 - class: SP800-53 - title: Fire Protection - props: - - name: label - value: PE-13 - - name: sort-id - value: PE-13 - links: - - href: "#at-3" - rel: related - parts: - - id: pe-13_smt - name: statement - prose: Employ and maintain fire detection and suppression systems that - are supported by an independent energy source. - - id: pe-13_gdn - name: guidance - prose: The provision of fire detection and suppression systems applies - to organizational facilities containing concentrations of system resources, - including data centers, server rooms, and mainframe computer rooms. - Fire detection and suppression systems that may require an independent - energy source include sprinkler systems, fixed fire hoses, and smoke - detectors. - controls: - - id: pe-13.1 - class: SP800-53-enhancement - title: Detection Systems – Automatic Activation and Notification - params: - - id: pe-13.1_prm_1 - label: organization-defined personnel or roles - - id: pe-13.1_prm_2 - label: organization-defined emergency responders - props: - - name: label - value: PE-13(1) - - name: sort-id - value: PE-13(01) - parts: - - id: pe-13.1_smt - name: statement - prose: "Employ fire detection systems that activate automatically\ - \ and notify {{ insert: param, pe-13.1_prm_1 }} and {{ insert:\ - \ param, pe-13.1_prm_2 }} in the event of a fire." - - id: pe-13.1_gdn - name: guidance - prose: Organizations can identify personnel, roles, and emergency - responders if individuals on the notification list need to have - access authorizations or clearances, for example, to enter to - facilities where access is restricted due to the classification - or impact level of information within the facility. Notification - mechanisms may require independent energy sources to ensure the - notification capability is not adversely affected by the fire. - - id: pe-13.2 - class: SP800-53-enhancement - title: Suppression Systems – Automatic Activation and Notification - params: - - id: pe-13.2_prm_1 - label: organization-defined personnel or roles - - id: pe-13.2_prm_2 - label: organization-defined emergency responders - props: - - name: label - value: PE-13(2) - - name: sort-id - value: PE-13(02) - parts: - - id: pe-13.2_smt - name: statement - parts: - - id: pe-13.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ fire suppression systems that activate automatically\ - \ and notify {{ insert: param, pe-13.2_prm_1 }} and {{ insert:\ - \ param, pe-13.2_prm_2 }}; and" - - id: pe-13.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Employ an automatic fire suppression capability when - the facility is not staffed on a continuous basis. - - id: pe-13.2_gdn - name: guidance - prose: Organizations can identify specific personnel, roles, and - emergency responders if individuals on the notification list need - to have appropriate access authorizations and/or clearances, for - example, to enter to facilities where access is restricted due - to the impact level or classification of information within the - facility. Notification mechanisms may require independent energy - sources to ensure the notification capability is not adversely - affected by the fire. - - id: pe-13.3 - class: SP800-53-enhancement - title: Automatic Fire Suppression - props: - - name: label - value: PE-13(3) - - name: status - value: Withdrawn - - name: sort-id - value: PE-13(03) - links: - - href: "#pe-13.2" - rel: incorporated-into - - id: pe-13.4 - class: SP800-53-enhancement - title: Inspections - params: - - id: pe-13.4_prm_1 - label: organization-defined frequency - - id: pe-13.4_prm_2 - label: organization-defined time-period - props: - - name: label - value: PE-13(4) - - name: sort-id - value: PE-13(04) - parts: - - id: pe-13.4_smt - name: statement - prose: "Ensure that the facility undergoes {{ insert: param, pe-13.4_prm_1\ - \ }} fire protection inspections by authorized and qualified inspectors\ - \ and identified deficiencies are resolved within {{ insert: param,\ - \ pe-13.4_prm_2 }}." - - id: pe-13.4_gdn - name: guidance - prose: Authorized and qualified personnel within the jurisdiction - of the organization include state, county, and city fire inspectors - and fire marshals. Organizations provide escorts during inspections - in situations where the systems that reside within the facilities - contain sensitive information. - - id: pe-14 - class: SP800-53 - title: Environmental Controls - params: - - id: pe-14_prm_1 - select: - how-many: one-or-more - choice: - - temperature - - humidity - - pressure - - radiation - - " {{ insert: param, pe-14_prm_2 }} " - - id: pe-14_prm_2 - depends-on: pe-14_prm_1 - label: organization-defined environmental control - - id: pe-14_prm_3 - label: organization-defined acceptable levels - - id: pe-14_prm_4 - label: organization-defined frequency - props: - - name: label - value: PE-14 - - name: sort-id - value: PE-14 - links: - - href: "#at-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#pe-21" - rel: related - parts: - - id: pe-14_smt - name: statement - parts: - - id: pe-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Maintain {{ insert: param, pe-14_prm_1 }} levels within\ - \ the facility where the system resides at {{ insert: param, pe-14_prm_3\ - \ }}; and" - - id: pe-14_smt.b - name: item - props: - - name: label - value: b. - prose: "Monitor environmental control levels {{ insert: param, pe-14_prm_4\ - \ }}." - - id: pe-14_gdn - name: guidance - prose: The provision of environmental controls applies primarily to - organizational facilities containing concentrations of system resources, - for example, data centers, server rooms, and mainframe computer rooms. - Insufficient controls, especially in harsh environments, can have - a significant adverse impact on the systems and system components - that are needed to support organizational missions and business functions. - Environmental controls, such as electromagnetic pulse (EMP) protection - described in PE-21, are especially significant for systems and applications - that are part of the U.S. critical infrastructure. - controls: - - id: pe-14.1 - class: SP800-53-enhancement - title: Automatic Controls - params: - - id: pe-14.1_prm_1 - label: organization-defined automatic environmental controls - props: - - name: label - value: PE-14(1) - - name: sort-id - value: PE-14(01) - parts: - - id: pe-14.1_smt - name: statement - prose: "Employ the following automatic environmental controls in\ - \ the facility to prevent fluctuations potentially harmful to\ - \ the system: {{ insert: param, pe-14.1_prm_1 }}." - - id: pe-14.1_gdn - name: guidance - prose: The implementation of automatic environmental controls provides - an immediate response to environmental conditions that can damage, - degrade, or destroy organizational systems or systems components. - - id: pe-14.2 - class: SP800-53-enhancement - title: Monitoring with Alarms and Notifications - params: - - id: pe-14.2_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: PE-14(2) - - name: sort-id - value: PE-14(02) - parts: - - id: pe-14.2_smt - name: statement - prose: "Employ environmental control monitoring that provides an\ - \ alarm or notification of changes potentially harmful to personnel\ - \ or equipment to {{ insert: param, pe-14.2_prm_1 }}." - - id: pe-14.2_gdn - name: guidance - prose: The alarm or notification may be, for example, an audible - alarm or a message in real time to personnel or roles defined - by the organization. Such alarms and/or notifications can help - to minimize harm to individuals and damage to organizational assets - by facilitating a timely incident response. - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - props: - - name: label - value: PE-15 - - name: sort-id - value: PE-15 - links: - - href: "#at-3" - rel: related - - href: "#pe-10" - rel: related - parts: - - id: pe-15_smt - name: statement - prose: Protect the system from damage resulting from water leakage by - providing master shutoff or isolation valves that are accessible, - working properly, and known to key personnel. - - id: pe-15_gdn - name: guidance - prose: The provision of water damage protection applies primarily to - organizational facilities containing concentrations of system resources, - including data centers, server rooms, and mainframe computer rooms. - Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, - without affecting entire organizations. - controls: - - id: pe-15.1 - class: SP800-53-enhancement - title: Automation Support - params: - - id: pe-15.1_prm_1 - label: organization-defined personnel or roles - - id: pe-15.1_prm_2 - label: organization-defined automated mechanisms - props: - - name: label - value: PE-15(1) - - name: sort-id - value: PE-15(01) - parts: - - id: pe-15.1_smt - name: statement - prose: "Detect the presence of water near the system and alert {{\ - \ insert: param, pe-15.1_prm_1 }} using {{ insert: param, pe-15.1_prm_2\ - \ }}." - - id: pe-15.1_gdn - name: guidance - prose: Automated mechanisms include notification systems, water - detection sensors, and alarms. - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - params: - - id: pe-16_prm_1 - label: organization-defined types of system components - props: - - name: label - value: PE-16 - - name: sort-id - value: PE-16 - links: - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-20" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: pe-16_smt - name: statement - parts: - - id: pe-16_smt.a - name: item - props: - - name: label - value: a. - prose: "Authorize and control {{ insert: param, pe-16_prm_1 }} entering\ - \ and exiting the facility; and" - - id: pe-16_smt.b - name: item - props: - - name: label - value: b. - prose: Maintain records of the system components. - - id: pe-16_gdn - name: guidance - prose: Enforcing authorizations for entry and exit of system components - may require restricting access to delivery areas and isolating the - areas from the system and media libraries. - - id: pe-17 - class: SP800-53 - title: Alternate Work Site - params: - - id: pe-17_prm_1 - label: organization-defined alternate work sites - - id: pe-17_prm_2 - label: organization-defined controls - props: - - name: label - value: PE-17 - - name: sort-id - value: PE-17 - links: - - href: "#7768c184-088d-4ee8-a316-f9286b52df7f" - rel: reference - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#cp-7" - rel: related - parts: - - id: pe-17_smt - name: statement - parts: - - id: pe-17_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine and document the {{ insert: param, pe-17_prm_1\ - \ }} allowed for use by employees;" - - id: pe-17_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following controls at alternate work sites: {{\ - \ insert: param, pe-17_prm_2 }};" - - id: pe-17_smt.c - name: item - props: - - name: label - value: c. - prose: Assess the effectiveness of controls at alternate work sites; - and - - id: pe-17_smt.d - name: item - props: - - name: label - value: d. - prose: Provide a means for employees to communicate with information - security and privacy personnel in case of incidents. - - id: pe-17_gdn - name: guidance - prose: Alternate work sites include government facilities or the private - residences of employees. While distinct from alternative processing - sites, alternate work sites can provide readily available alternate - locations during contingency operations. Organizations can define - different sets of controls for specific alternate work sites or types - of sites depending on the work-related activities conducted at those - sites. This control supports the contingency planning activities of - organizations. - - id: pe-18 - class: SP800-53 - title: Location of System Components - params: - - id: pe-18_prm_1 - label: organization-defined physical and environmental hazards - props: - - name: label - value: PE-18 - - name: sort-id - value: PE-18 - links: - - href: "#cp-2" - rel: related - - href: "#pe-5" - rel: related - - href: "#pe-19" - rel: related - - href: "#pe-20" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: pe-18_smt - name: statement - prose: "Position system components within the facility to minimize potential\ - \ damage from {{ insert: param, pe-18_prm_1 }} and to minimize the\ - \ opportunity for unauthorized access." - - id: pe-18_gdn - name: guidance - prose: Physical and environmental hazards include floods, fires, tornados, - earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, - electrical interference, and other forms of incoming electromagnetic - radiation. Organizations consider the location of entry points where - unauthorized individuals, while not being granted access, might nonetheless - be near systems. Such proximity can increase the risk of unauthorized - access to organizational communications, including using wireless - sniffers or microphones. - controls: - - id: pe-18.1 - class: SP800-53-enhancement - title: Facility Site - props: - - name: label - value: PE-18(1) - - name: status - value: Withdrawn - - name: sort-id - value: PE-18(01) - links: - - href: "#pe-23" - rel: moved-to - - id: pe-19 - class: SP800-53 - title: Information Leakage - props: - - name: label - value: PE-19 - - name: sort-id - value: PE-19 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#ac-18" - rel: related - - href: "#pe-18" - rel: related - - href: "#pe-20" - rel: related - parts: - - id: pe-19_smt - name: statement - prose: Protect the system from information leakage due to electromagnetic - signals emanations. - - id: pe-19_gdn - name: guidance - prose: Information leakage is the intentional or unintentional release - of data or information to an untrusted environment from electromagnetic - signals emanations. The security categories or classifications of - systems (with respect to confidentiality), organizational security - policies, and risk tolerance guide the selection of controls employed - to protect systems against information leakage due to electromagnetic - signals emanations. - controls: - - id: pe-19.1 - class: SP800-53-enhancement - title: National Emissions and Tempest Policies and Procedures - props: - - name: label - value: PE-19(1) - - name: sort-id - value: PE-19(01) - parts: - - id: pe-19.1_smt - name: statement - prose: Protect system components, associated data communications, - and networks in accordance with national Emissions Security policies - and procedures based on the security category or classification - of the information. - - id: pe-19.1_gdn - name: guidance - prose: Emissions Security (EMSEC) policies include the former TEMPEST - policies. - - id: pe-20 - class: SP800-53 - title: Asset Monitoring and Tracking - params: - - id: pe-20_prm_1 - label: organization-defined asset location technologies - - id: pe-20_prm_2 - label: organization-defined assets - - id: pe-20_prm_3 - label: organization-defined controlled areas - props: - - name: label - value: PE-20 - - name: sort-id - value: PE-20 - links: - - href: "#cm-8" - rel: related - - href: "#pe-16" - rel: related - - href: "#pm-8" - rel: related - parts: - - id: pe-20_smt - name: statement - prose: "Employ {{ insert: param, pe-20_prm_1 }} to track and monitor\ - \ the location and movement of {{ insert: param, pe-20_prm_2 }} within\ - \ {{ insert: param, pe-20_prm_3 }}." - - id: pe-20_gdn - name: guidance - prose: Asset location technologies can help ensure that critical assets, - including vehicles, equipment, or system components remain in authorized - locations. Organizations consult with the Office of the General Counsel - and senior agency official for privacy regarding the deployment and - use of asset location technologies to address potential privacy concerns. - - id: pe-21 - class: SP800-53 - title: Electromagnetic Pulse Protection - params: - - id: pe-21_prm_1 - label: organization-defined controls - - id: pe-21_prm_2 - label: organization-defined systems and system components - props: - - name: label - value: PE-21 - - name: sort-id - value: PE-21 - links: - - href: "#pe-18" - rel: related - - href: "#pe-19" - rel: related - parts: - - id: pe-21_smt - name: statement - prose: "Employ {{ insert: param, pe-21_prm_1 }} against electromagnetic\ - \ pulse damage for {{ insert: param, pe-21_prm_2 }}." - - id: pe-21_gdn - name: guidance - prose: An electromagnetic pulse (EMP) is a short burst of electromagnetic - energy that is spread over a range of frequencies. Such energy bursts - may be natural or man-made. EMP interference may be disruptive or - damaging to electronic equipment. Protective measures used to mitigate - EMP risk include shielding, surge suppressors, ferro-resonant transformers, - and earth grounding. - - id: pe-22 - class: SP800-53 - title: Component Marking - params: - - id: pe-22_prm_1 - label: organization-defined system hardware components - props: - - name: label - value: PE-22 - - name: sort-id - value: PE-22 - links: - - href: "#ac-16" - rel: related - - href: "#mp-3" - rel: related - parts: - - id: pe-22_smt - name: statement - prose: "Mark {{ insert: param, pe-22_prm_1 }} indicating the impact\ - \ level or classification level of the information permitted to be\ - \ processed, stored, or transmitted by the hardware component." - - id: pe-22_gdn - name: guidance - prose: Hardware components that require marking include input devices - marked to indicate the classification of the network to which the - devices are connected or a multifunction printer or copier residing - in a classified area. Security marking refers to the use of human-readable - security attributes. Security labeling refers to the use of security - attributes for internal data structures within systems. Security marking - is generally not required for hardware components processing, storing, - or transmitting information determined by organizations to be in the - public domain or to be publicly releasable. However, organizations - may require markings for hardware components processing, storing, - or transmitting public information indicating that such information - is publicly releasable. Marking of system hardware components reflects - applicable laws, executive orders, directives, policies, regulations, - and standards. - - id: pe-23 - class: SP800-53 - title: Facility Location - props: - - name: label - value: PE-23 - - name: sort-id - value: PE-23 - links: - - href: "#cp-2" - rel: related - - href: "#pe-18" - rel: related - - href: "#pe-19" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: pe-23_smt - name: statement - parts: - - id: pe-23_smt.a - name: item - props: - - name: label - value: a. - prose: Plan the location or site of the facility where the system - resides considering physical and environmental hazards; and - - id: pe-23_smt.b - name: item - props: - - name: label - value: b. - prose: For existing facilities, consider the physical and environmental - hazards in the organizational risk management strategy. - - id: pe-23_gdn - name: guidance - prose: Physical and environmental hazards include floods, fires, tornados, - earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, - electrical interference, and other forms of incoming electromagnetic - radiation. The location of system components within the facility is - addressed in PE-18. - - id: pl - class: family - title: Planning - controls: - - id: pl-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pl-1_prm_1 - label: organization-defined personnel or roles - - id: pl-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pl-1_prm_3 - label: organization-defined official - - id: pl-1_prm_4 - label: organization-defined frequency - - id: pl-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: PL-1 - - name: sort-id - value: PL-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#ae962073-f9bb-4210-b1ad-53ef6f6afad6" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-1_smt - name: statement - parts: - - id: pl-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pl-1_prm_1 }}:" - parts: - - id: pl-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, pl-1_prm_2 }} planning policy that:" - parts: - - id: pl-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pl-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pl-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the planning - policy and the associated planning controls; - - id: pl-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pl-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the planning\ - \ policy and procedures; and" - - id: pl-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current planning:" - parts: - - id: pl-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, pl-1_prm_4 }}; and" - - id: pl-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, pl-1_prm_5 }}." - - id: pl-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the PL family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: pl-2 - class: SP800-53 - title: System Security and Privacy Plans - params: - - id: pl-2_prm_1 - label: organization-defined individuals or groups - - id: pl-2_prm_2 - label: organization-defined personnel or roles - - id: pl-2_prm_3 - label: organization-defined frequency - props: - - name: label - value: PL-2 - - name: sort-id - value: PL-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ae962073-f9bb-4210-b1ad-53ef6f6afad6" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-14" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-20" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-8" - rel: related - - href: "#ma-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pl-7" - rel: related - - href: "#pl-8" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-1" - rel: related - - href: "#pm-7" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-11" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-22" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: pl-2_smt - name: statement - parts: - - id: pl-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop security and privacy plans for the system that:" - parts: - - id: pl-2_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Are consistent with the organization’s enterprise architecture; - - id: pl-2_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Explicitly define the constituent system components; - - id: pl-2_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Describe the operational context of the system in terms - of missions and business processes; - - id: pl-2_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Provide the security categorization of the system, including - supporting rationale; - - id: pl-2_smt.a.5 - name: item - props: - - name: label - value: "5." - prose: Describe any specific threats to the system that are - of concern to the organization; - - id: pl-2_smt.a.6 - name: item - props: - - name: label - value: "6." - prose: Provide the results of a privacy risk assessment for - systems processing personally identifiable information; - - id: pl-2_smt.a.7 - name: item - props: - - name: label - value: "7." - prose: Describe the operational environment for the system and - any dependencies on or connections to other systems or system - components; - - id: pl-2_smt.a.8 - name: item - props: - - name: label - value: "8." - prose: Provide an overview of the security and privacy requirements - for the system; - - id: pl-2_smt.a.9 - name: item - props: - - name: label - value: "9." - prose: Identify any relevant control baselines or overlays, - if applicable; - - id: pl-2_smt.a.10 - name: item - props: - - name: label - value: "10." - prose: Describe the controls in place or planned for meeting - the security and privacy requirements, including a rationale - for any tailoring decisions; - - id: pl-2_smt.a.11 - name: item - props: - - name: label - value: "11." - prose: Include risk determinations for security and privacy - architecture and design decisions; - - id: pl-2_smt.a.12 - name: item - props: - - name: label - value: "12." - prose: "Include security- and privacy-related activities affecting\ - \ the system that require planning and coordination with {{\ - \ insert: param, pl-2_prm_1 }}; and" - - id: pl-2_smt.a.13 - name: item - props: - - name: label - value: "13." - prose: Are reviewed and approved by the authorizing official - or designated representative prior to plan implementation. - - id: pl-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute copies of the plans and communicate subsequent\ - \ changes to the plans to {{ insert: param, pl-2_prm_2 }};" - - id: pl-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review the plans {{ insert: param, pl-2_prm_3 }};" - - id: pl-2_smt.d - name: item - props: - - name: label - value: d. - prose: Update the plans to address changes to the system and environment - of operation or problems identified during plan implementation - or control assessments; and - - id: pl-2_smt.e - name: item - props: - - name: label - value: e. - prose: Protect the plans from unauthorized disclosure and modification. - - id: pl-2_gdn - name: guidance - prose: "System security and privacy plans contain an overview of the\ - \ security and privacy requirements for the system and the controls\ - \ selected to satisfy the requirements. The plans describe the intended\ - \ application of each selected control in the context of the system\ - \ with a sufficient level of detail to correctly implement the control\ - \ and to subsequently assess the effectiveness of the control. The\ - \ control documentation describes how system-specific and hybrid controls\ - \ are implemented and the plans and expectations regarding the functionality\ - \ of the system. System security and privacy plans can also be used\ - \ in the design and development of systems in support of life cycle-based\ - \ security engineering processes. System security and privacy plans\ - \ are living documents that are updated and adapted throughout the\ - \ system development life cycle, for example, during capability determination,\ - \ analysis of alternatives, requests for proposal, and design reviews.\ - \ Section 2.1 describes the different types of requirements that are\ - \ relevant to organizations during the system development life cycle\ - \ and the relationship between requirements and controls. Organizations\ - \ may develop a single, integrated security and privacy plan or maintain\ - \ separate plans. Security and privacy plans relate security and privacy\ - \ requirements to a set of controls and control enhancements. The\ - \ plans describe how the controls and control enhancements meet the\ - \ security and privacy requirements, but do not provide detailed,\ - \ technical descriptions of the design or implementation of the controls\ - \ and control enhancements. Security and privacy plans contain sufficient\ - \ information (including specifications of control parameter values\ - \ for selection and assignment statements explicitly or by reference)\ - \ to enable a design and implementation that is unambiguously compliant\ - \ with the intent of the plans and subsequent determinations of risk\ - \ to organizational operations and assets, individuals, other organizations,\ - \ and the Nation if the plan is implemented. Organizations can also\ - \ apply the tailoring guidance to the control baselines in [SP 800-53B]\ - \ to develop overlays for community-wide use or to address specialized\ - \ requirements, technologies, missions, business applications, or\ - \ environments of operation. Security and privacy plans need not be\ - \ single documents. The plans can be a collection of various documents,\ - \ including documents that already exist. Effective security and privacy\ - \ plans make extensive use of references to policies, procedures,\ - \ and additional documents, including design and implementation specifications\ - \ where more detailed information can be obtained. The use of references\ - \ helps to reduce the documentation associated with security and privacy\ - \ programs and maintains the security- and privacy-related information\ - \ in other established management and operational areas, including\ - \ enterprise architecture, system development life cycle, systems\ - \ engineering, and acquisition. Security and privacy plans need not\ - \ contain detailed contingency plan or incident response plan information\ - \ but instead can provide explicitly or by reference, sufficient information\ - \ to define what needs to be accomplished by those plans. Security-\ - \ and privacy-related activities that may require coordination and\ - \ planning with other individuals or groups within the organization\ - \ include: assessments, audits, and inspections; hardware and software\ - \ maintenance; patch management; and contingency plan testing. Planning\ - \ and coordination includes emergency and nonemergency (i.e., planned\ - \ or non-urgent unplanned) situations. The process defined by organizations\ - \ to plan and coordinate security- and privacy-related activities\ - \ can also be included other documents, as appropriate." - controls: - - id: pl-2.1 - class: SP800-53-enhancement - title: Concept of Operations - props: - - name: label - value: PL-2(1) - - name: status - value: Withdrawn - - name: sort-id - value: PL-02(01) - links: - - href: "#pl-7" - rel: incorporated-into - - id: pl-2.2 - class: SP800-53-enhancement - title: Functional Architecture - props: - - name: label - value: PL-2(2) - - name: status - value: Withdrawn - - name: sort-id - value: PL-02(02) - links: - - href: "#pl-8" - rel: incorporated-into - - id: pl-2.3 - class: SP800-53-enhancement - title: Plan and Coordinate with Other Organizational Entities - props: - - name: label - value: PL-2(3) - - name: status - value: Withdrawn - - name: sort-id - value: PL-02(03) - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-3 - class: SP800-53 - title: System Security Plan Update - props: - - name: label - value: PL-3 - - name: status - value: Withdrawn - - name: sort-id - value: PL-03 - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - params: - - id: pl-4_prm_1 - label: organization-defined frequency - - id: pl-4_prm_2 - select: - how-many: one-or-more - choice: - - " {{ insert: param, pl-4_prm_3 }} " - - when the rules are revised or updated - - id: pl-4_prm_3 - depends-on: pl-4_prm_2 - label: organization-defined frequency - props: - - name: label - value: PL-4 - - name: sort-id - value: PL-04 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ae962073-f9bb-4210-b1ad-53ef6f6afad6" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-9" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#mp-7" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-5" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-4_smt - name: statement - parts: - - id: pl-4_smt.a - name: item - props: - - name: label - value: a. - prose: Establish and provide to individuals requiring access to - the system, the rules that describe their responsibilities and - expected behavior for information and system usage, security, - and privacy; - - id: pl-4_smt.b - name: item - props: - - name: label - value: b. - prose: Receive a documented acknowledgment from such individuals, - indicating that they have read, understand, and agree to abide - by the rules of behavior, before authorizing access to information - and the system; - - id: pl-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the rules of behavior {{ insert: param,\ - \ pl-4_prm_1 }}; and" - - id: pl-4_smt.d - name: item - props: - - name: label - value: d. - prose: "Require individuals who have acknowledged a previous version\ - \ of the rules of behavior to read and re-acknowledge {{ insert:\ - \ param, pl-4_prm_2 }}." - - id: pl-4_gdn - name: guidance - prose: Rules of behavior represent a type of access agreement for organizational - users. Other types of access agreements include nondisclosure agreements, - conflict-of-interest agreements, and acceptable use agreements (see - PS-6). Organizations consider rules of behavior based on individual - user roles and responsibilities, and differentiating, for example, - between rules that apply to privileged users and rules that apply - to general users. Establishing rules of behavior for some types of - non-organizational users, including individuals who simply receive - information from federal systems, is often not feasible given the - large number of such users and the limited nature of their interactions - with the systems. Rules of behavior for organizational and non-organizational - users can also be established in AC-8. The related controls section - provides a list of controls that are relevant to organizational rules - of behavior. PL-4b, the documented acknowledgment portion of the control, - may be satisfied by the awareness training and role-based training - programs conducted by organizations if such training includes rules - of behavior. Documented acknowledgements for rules of behavior include - electronic or physical signatures; and electronic agreement check - boxes or radio buttons. - controls: - - id: pl-4.1 - class: SP800-53-enhancement - title: Social Media and External Site/application Usage Restrictions - props: - - name: label - value: PL-4(1) - - name: sort-id - value: PL-04(01) - links: - - href: "#ac-22" - rel: related - - href: "#au-13" - rel: related - parts: - - id: pl-4.1_smt - name: statement - prose: "Include in the rules of behavior, restrictions on:" - parts: - - id: pl-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Use of social media, social networking sites, and external - sites/applications; - - id: pl-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Posting organizational information on public websites; - and - - id: pl-4.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Use of organization-provided credentials (i.e., email - addresses) for creating accounts on external sites/applications. - - id: pl-4.1_gdn - name: guidance - prose: Social media, social networking, and external site/application - usage restrictions address rules of behavior related to the use - of these sites when organizational personnel are using such sites - for official duties or in the conduct of official business; when - organizational information is involved in social media and networking - transactions; and when personnel are accessing social media and - networking sites from organizational systems. Organizations also - address specific rules that prevent unauthorized entities from - obtaining, either directly or through inference, non-public organizational - information from social media and networking sites. Non-public - information includes, for example, personally identifiable information - and system account information. - - id: pl-5 - class: SP800-53 - title: Privacy Impact Assessment - props: - - name: label - value: PL-5 - - name: status - value: Withdrawn - - name: sort-id - value: PL-05 - links: - - href: "#ra-8" - rel: incorporated-into - - id: pl-6 - class: SP800-53 - title: Security-related Activity Planning - props: - - name: label - value: PL-6 - - name: status - value: Withdrawn - - name: sort-id - value: PL-06 - links: - - href: "#pl-2" - rel: incorporated-into - - id: pl-7 - class: SP800-53 - title: Concept of Operations - params: - - id: pl-7_prm_1 - label: organization-defined frequency - props: - - name: label - value: PL-7 - - name: sort-id - value: PL-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pl-2" - rel: related - - href: "#sa-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pl-7_smt - name: statement - parts: - - id: pl-7_smt.a - name: item - props: - - name: label - value: a. - prose: Develop a Concept of Operations (CONOPS) for the system describing - how the organization intends to operate the system from the perspective - of information security and privacy; and - - id: pl-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the CONOPS {{ insert: param, pl-7_prm_1\ - \ }}." - - id: pl-7_gdn - name: guidance - prose: The CONOPS may be included in the security or privacy plans for - the system or in other system development life cycle documents. The - CONOPS is a living document that requires updating throughout the - system development life cycle. For example, during system design reviews, - the concept of operations is checked to ensure that it remains consistent - with the design for controls, the system architecture, and the operational - procedures. Changes to the CONOPS are reflected in ongoing updates - to the security and privacy plans, security and privacy architectures, - and other appropriate organizational documents, for example, procurement - specifications, system development life cycle documents, and systems - engineering documents. - - id: pl-8 - class: SP800-53 - title: Security and Privacy Architectures - params: - - id: pl-8_prm_1 - label: organization-defined frequency - props: - - name: label - value: PL-8 - - name: sort-id - value: PL-08 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-7" - rel: related - - href: "#pl-9" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - parts: - - id: pl-8_smt - name: statement - parts: - - id: pl-8_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop security and privacy architectures for the system\ - \ that:" - parts: - - id: pl-8_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Describe the requirements and approach to be taken for - protecting the confidentiality, integrity, and availability - of organizational information; - - id: pl-8_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Describe the requirements and approach to be taken for - processing personally identifiable information to minimize - privacy risk to individuals; - - id: pl-8_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Describe how the architectures are integrated into and - support the enterprise architecture; and - - id: pl-8_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Describe any assumptions about, and dependencies on, - external systems and services; - - id: pl-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the architectures {{ insert: param, pl-8_prm_1\ - \ }} to reflect changes in the enterprise architecture; and" - - id: pl-8_smt.c - name: item - props: - - name: label - value: c. - prose: Reflect planned architecture changes in the security and - privacy plans, the Concept of Operations (CONOPS), organizational - procedures, and procurements and acquisitions. - - id: pl-8_gdn - name: guidance - prose: The system-level security and privacy architectures are consistent - with organization-wide security and privacy architectures described - in PM-7 that are integral to and developed as part of the enterprise - architecture. The architectures include an architectural description, - the allocation of security and privacy functionality (including controls), - security- and privacy-related information for external interfaces, - information being exchanged across the interfaces, and the protection - mechanisms associated with each interface. The architectures can also - include other information, for example, user roles and the access - privileges assigned to each role; security and privacy requirements; - types of information processed, stored, and transmitted by the system; - restoration priorities of information and system services; and other - protection needs. [SP 800-160 v1] provides guidance on the use of - security architectures as part of the system development life cycle - process. [OMB M-19-03] requires the use of the systems security engineering - concepts described in [SP 800-160 v1] for high value assets. Security - and privacy architectures are reviewed and updated throughout the - system development life cycle from analysis of alternatives through - review of the proposed architecture in the RFP responses, to the design - reviews before and during implementation (e.g., during preliminary - design reviews and critical design reviews). In today’s modern computing - architectures, it is becoming less common for organizations to control - all information resources. There may be key dependencies on external - information services and service providers. Describing such dependencies - in the security and privacy architectures is necessary for developing - a comprehensive mission and business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, - a baseline configuration for organizational systems is critical to - implementing and maintaining effective architectures. The development - of the architectures is coordinated with the senior agency information - security officer and the senior agency official for privacy to ensure - that controls needed to support security and privacy requirements - are identified and effectively implemented. PL-8 is primarily directed - at organizations to ensure that architectures are developed for the - system, and moreover, that the architectures are integrated with or - tightly coupled to the enterprise architecture. In contrast, SA-17 - is primarily directed at the external information technology product - and system developers and integrators. SA-17, which is complementary - to PL-8, is selected when organizations outsource the development - of systems or components to external entities, and when there is a - need to demonstrate consistency with the organization’s enterprise - architecture and security and privacy architectures. - controls: - - id: pl-8.1 - class: SP800-53-enhancement - title: Defense-in-depth - params: - - id: pl-8.1_prm_1 - label: organization-defined controls - - id: pl-8.1_prm_2 - label: organization-defined locations and architectural layers - props: - - name: label - value: PL-8(1) - - name: sort-id - value: PL-08(01) - links: - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-36" - rel: related - parts: - - id: pl-8.1_smt - name: statement - prose: "Design the security and privacy architectures for the system\ - \ using a defense-in-depth approach that:" - parts: - - id: pl-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Allocates {{ insert: param, pl-8.1_prm_1 }} to {{ insert:\ - \ param, pl-8.1_prm_2 }}; and" - - id: pl-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Ensures that the allocated controls operate in a coordinated - and mutually reinforcing manner. - - id: pl-8.1_gdn - name: guidance - prose: Organizations strategically allocate security and privacy - controls in the security and privacy architectures so that adversaries - must overcome multiple controls to achieve their objective. Requiring - adversaries to defeat multiple controls makes it more difficult - to attack information resources by increasing the work factor - of the adversary; and increases the likelihood of detection. The - coordination of allocated controls is essential to ensure that - an attack that involves one control does not create adverse unintended - consequences by interfering with other controls. Unintended consequences - can include system lockout and cascading alarms. The placement - of controls in systems and organizations is an important activity - requiring thoughtful analysis. The value of organizational assets - is an important consideration in providing additional layering. - Defense-in-depth architectural approaches include modularity and - layering (see SA-8(3)); separation of system and user functionality - (see SC-2); and security function isolation (see SC-3). - - id: pl-8.2 - class: SP800-53-enhancement - title: Supplier Diversity - params: - - id: pl-8.2_prm_1 - label: organization-defined controls - - id: pl-8.2_prm_2 - label: organization-defined locations and architectural layers - props: - - name: label - value: PL-8(2) - - name: sort-id - value: PL-08(02) - links: - - href: "#sc-29" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: pl-8.2_smt - name: statement - prose: "Require that {{ insert: param, pl-8.2_prm_1 }} allocated\ - \ to {{ insert: param, pl-8.2_prm_2 }} are obtained from different\ - \ suppliers." - - id: pl-8.2_gdn - name: guidance - prose: Information technology products have different strengths - and weaknesses. Providing a broad spectrum of products complements - the individual offerings. For example, vendors offering malicious - code protection typically update their products at different times, - often developing solutions for known viruses, Trojans, or worms - based on their priorities and development schedules. By deploying - different products at different locations, there is an increased - likelihood that at least one of the products will detect the malicious - code. With respect to privacy, vendors may offer products that - track personally identifiable information in systems. Products - may use different tracking methods. Using multiple products may - result in more assurance that personally identifiable information - is inventoried. - - id: pl-9 - class: SP800-53 - title: Central Management - params: - - id: pl-9_prm_1 - label: organization-defined controls and related processes - props: - - name: label - value: PL-9 - - name: sort-id - value: PL-09 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#pl-8" - rel: related - - href: "#pm-9" - rel: related - parts: - - id: pl-9_smt - name: statement - prose: "Centrally manage {{ insert: param, pl-9_prm_1 }}." - - id: pl-9_gdn - name: guidance - prose: "Central management refers to organization-wide management and\ - \ implementation of selected controls and processes. This includes\ - \ planning, implementing, assessing, authorizing, and monitoring the\ - \ organization-defined, centrally managed controls and processes.\ - \ As the central management of controls is generally associated with\ - \ the concept of common (inherited) controls, such management promotes\ - \ and facilitates standardization of control implementations and management\ - \ and judicious use of organizational resources. Centrally-managed\ - \ controls and processes may also meet independence requirements for\ - \ assessments in support of initial and ongoing authorizations to\ - \ operate and as part of organizational continuous monitoring. As\ - \ part of the control selection processes, organizations determine\ - \ the controls that may be suitable for central management based on\ - \ resources and capabilities. It is not always possible to centrally\ - \ manage every aspect of a control. In such cases, the control can\ - \ be treated as a hybrid control with the control managed and implemented\ - \ centrally or at the system level. The controls and control enhancements\ - \ that are candidates for full or partial central management include,\ - \ but are not limited to: AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-17(1),\ - \ AC-17(2), AC-17(3), AC-17(9), AC-18(1), AC-18(3), AC-18(4), AC-18(5),\ - \ AC-19(4), AC-22, AC-23, AT-2(1), AT-2(2), AT-3(1), AT-3(2), AT-3(3),\ - \ AT-4, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-6(9), AU-7(1), AU-7(2),\ - \ AU-11, AU-13, AU-16, CA-2(1), CA-2(2), CA-2(3), CA-3(1), CA-3(2),\ - \ CA-3(3), CA-7(1), CA-9, CM-2(2), CM-3(1), CM-3(4), CM-4, CM-6(1),\ - \ CM-7(4), CM-7(5), CM-8(all), CM-9(1), CM-10, CM-11, CP-7(all), CP-8(all),\ - \ SC-43, SI-2, SI-3, SI-7, SI-8." - - id: pl-10 - class: SP800-53 - title: Baseline Selection - props: - - name: label - value: PL-10 - - name: sort-id - value: PL-10 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#f2163084-3287-45e2-9ee7-95f020415495" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#31f3c9de-c57c-4281-929b-f9951f9640f1" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ee96f130-3f91-46ed-a4d8-57e5f220a623" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pl-11" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: pl-10_smt - name: statement - prose: Select a control baseline for the system. - - id: pl-10_gdn - name: guidance - prose: Control baselines are pre-defined sets of controls specifically - assembled to address the protection needs of a group, organization, - or community of interest. Controls are chosen for baselines either - to satisfy mandates imposed by laws, executive orders, directives, - regulations, policies, standards, or guidelines; or to address threats - common to all users of the baseline under the assumptions specific - to the baseline. Baselines represent a starting point for the protection - of individuals’ privacy, information, and information systems, with - subsequent tailoring actions to manage risk in accordance with mission, - business, or other constraints (see PL-11). Federal control baselines - are provided in [SP 800-53B]. The selection of a control baseline - is determined by the needs of stakeholders. Stakeholder needs consider - mission and business requirements and as well as mandates imposed - by applicable laws, executive orders, directives, policies, regulations, - standards, and guidelines. For example, the control baselines in [SP - 800-53B] are based on the requirements from [FISMA] and [PRIVACT]. - The requirements, along with the NIST standards and guidelines implementing - the legislation, direct organizations to select one of the control - baselines after the reviewing the information types and the information - that is processed, stored, and transmitted on the system; analyzing - the potential adverse impact of the loss or compromise of the information - or system on the organization’s operations and assets, individuals, - other organizations or the Nation; and considering the results from - system and organizational risk assessments. - - id: pl-11 - class: SP800-53 - title: Baseline Tailoring - props: - - name: label - value: PL-11 - - name: sort-id - value: PL-11 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#f2163084-3287-45e2-9ee7-95f020415495" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#31f3c9de-c57c-4281-929b-f9951f9640f1" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ee96f130-3f91-46ed-a4d8-57e5f220a623" - rel: reference - - href: "#pl-10" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: pl-11_smt - name: statement - prose: Tailor the selected control baseline by applying specified tailoring - actions. - - id: pl-11_gdn - name: guidance - prose: The concept of tailoring allows organizations to specialize or - customize a set of baseline controls by applying a defined set of - tailoring actions. Tailoring actions facilitate such specialization - and customization by allowing organizations to develop security and - privacy plans that reflect their specific missions and business functions, - the environments where their systems operate, the threats and vulnerabilities - that can affect their systems, and any other conditions or situations - that can impact their mission or business success. Tailoring guidance - is provided in [SP 800-53B]. Tailoring a control baseline is accomplished - by identifying and designating common controls; applying scoping considerations; - selecting compensating controls; assigning values to control parameters; - supplementing the control baseline with additional controls, as needed; - and providing information for control implementation. The general - tailoring actions in [SP 800-53B] can be supplemented with additional - actions based on the needs of organizations. Tailoring actions can - be applied to the baselines in [SP 800-53B] in accordance with the - security and privacy requirements from [FISMA] and [PRIVACT]. Alternatively, - other communities of interest adopting different control baselines - can apply the tailoring actions in [SP 800-53B] to specialize or customize - the controls that represent the specific needs and concerns of those - entities. - - id: pm - class: family - title: Program Management - controls: - - id: pm-1 - class: SP800-53 - title: Information Security Program Plan - params: - - id: pm-1_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-1 - - name: sort-id - value: PM-01 - links: - - href: "#14958422-54f6-471f-a345-802dca594dd8" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-9" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: pm-1_smt - name: statement - parts: - - id: pm-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and disseminate an organization-wide information\ - \ security program plan that:" - parts: - - id: pm-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Provides an overview of the requirements for the security - program and a description of the security program management - controls and common controls in place or planned for meeting - those requirements; - - id: pm-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Includes the identification and assignment of roles, - responsibilities, management commitment, coordination among - organizational entities, and compliance; - - id: pm-1_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Reflects the coordination among organizational entities - responsible for information security; and - - id: pm-1_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Is approved by a senior official with responsibility - and accountability for the risk being incurred to organizational - operations (including mission, functions, image, and reputation), - organizational assets, individuals, other organizations, and - the Nation; - - id: pm-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Review the organization-wide information security program\ - \ plan {{ insert: param, pm-1_prm_1 }};" - - id: pm-1_smt.c - name: item - props: - - name: label - value: c. - prose: Update the information security program plan to address organizational - changes and problems identified during plan implementation or - control assessments; and - - id: pm-1_smt.d - name: item - props: - - name: label - value: d. - prose: Protect the information security program plan from unauthorized - disclosure and modification. - - id: pm-1_gdn - name: guidance - prose: An information security program plan is a formal document that - provides an overview of the security requirements for an organization-wide - information security program and describes the program management - controls and common controls in place or planned for meeting those - requirements. Information security program plans can be represented - in single documents or compilations of documents. Information security - program plans document the program management and common controls. - The plans provide sufficient information about the controls (including - specification of parameters for assignment and selection statements - explicitly or by reference) to enable implementations that are unambiguously - compliant with the intent of the plans and a determination of the - risk to be incurred if the plans are implemented as intended. Program - management controls are generally implemented at the organization - level and are essential for managing the organization’s information - security program. Program management controls are distinct from common, - system-specific, and hybrid controls because program management controls - are independent of any particular information system. The individual - system security plans and the organization-wide information security - program plan together, provide complete coverage for the security - controls employed within the organization. Common controls are documented - in an appendix to the organization’s information security program - plan unless the controls are included in a separate security plan - for a system. The organization-wide information security program plan - indicates which separate security plans contain descriptions of common - controls. - - id: pm-2 - class: SP800-53 - title: Information Security Program Leadership Role - props: - - name: label - value: PM-2 - - name: sort-id - value: PM-02 - links: - - href: "#ed5c66ba-0ed8-4aef-abb7-dc9f529d9af3" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - parts: - - id: pm-2_smt - name: statement - prose: Appoint a senior agency information security officer with the - mission and resources to coordinate, develop, implement, and maintain - an organization-wide information security program. - - id: pm-2_gdn - name: guidance - prose: The senior agency information security officer is an organizational - official. For federal agencies (as defined by applicable laws, executive - orders, regulations, directives, policies, and standards), this official - is the senior agency information security officer. Organizations may - also refer to this official as the senior information security officer - or chief information security officer. - - id: pm-3 - class: SP800-53 - title: Information Security and Privacy Resources - props: - - name: label - value: PM-3 - - name: sort-id - value: PM-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-4" - rel: related - - href: "#sa-2" - rel: related - parts: - - id: pm-3_smt - name: statement - parts: - - id: pm-3_smt.a - name: item - props: - - name: label - value: a. - prose: Include the resources needed to implement the information - security and privacy programs in capital planning and investment - requests and document all exceptions to this requirement; - - id: pm-3_smt.b - name: item - props: - - name: label - value: b. - prose: Prepare documentation required for addressing information - security and privacy programs in capital planning and investment - requests in accordance with applicable laws, executive orders, - directives, policies, regulations, standards; and - - id: pm-3_smt.c - name: item - props: - - name: label - value: c. - prose: Make available for expenditure, the planned information security - and privacy resources. - - id: pm-3_gdn - name: guidance - prose: Organizations consider establishing champions for information - security and privacy and as part of including the necessary resources, - assign specialized expertise and resources as needed. Organizations - may designate and empower an Investment Review Board or similar group - to manage and provide oversight for the information security and privacy - aspects of the capital planning and investment control process. - - id: pm-4 - class: SP800-53 - title: Plan of Action and Milestones Process - props: - - name: label - value: PM-4 - - name: sort-id - value: PM-04 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#ca-5" - rel: related - - href: "#ca-7" - rel: related - - href: "#pm-3" - rel: related - - href: "#ra-7" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pm-4_smt - name: statement - parts: - - id: pm-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement a process to ensure that plans of action and milestones\ - \ for the information security and privacy programs and associated\ - \ organizational systems:" - parts: - - id: pm-4_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Are developed and maintained; - - id: pm-4_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Document the remedial information security and privacy - actions to adequately respond to risk to organizational operations - and assets, individuals, other organizations, and the Nation; - and - - id: pm-4_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Are reported in accordance with established reporting - requirements. - - id: pm-4_smt.b - name: item - props: - - name: label - value: b. - prose: Review plans of action and milestones for consistency with - the organizational risk management strategy and organization-wide - priorities for risk response actions. - - id: pm-4_gdn - name: guidance - prose: The plan of action and milestones is a key document in the information - security and privacy programs of organizations and is subject to reporting - requirements established by the Office of Management and Budget. Organizations - view plans of action and milestones from an organization-wide perspective, - prioritizing risk response actions and ensuring consistency with the - goals and objectives of the organization. Plan of action and milestones - updates are based on findings from control assessments and continuous - monitoring activities. There can be multiple levels of plan of action - and milestones documents corresponding to the information system level, - mission/business process level, and organizational/governance level. - While the plan of action and milestones is required for federal organizations, - any type of organization can help reduce risk by documenting and tracking - planned remediations. Specific guidance on plans of action and milestones - for organizational systems in described in CA-5. - - id: pm-5 - class: SP800-53 - title: System Inventory - params: - - id: pm-5_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-5 - - name: sort-id - value: PM-05 - links: - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - parts: - - id: pm-5_smt - name: statement - prose: "Develop and update {{ insert: param, pm-5_prm_1 }} an inventory\ - \ of organizational systems." - - id: pm-5_gdn - name: guidance - prose: "[OMB A-130] provides guidance on developing systems inventories\ - \ and associated reporting requirements. This control refers to an\ - \ organization-wide inventory of systems, not system components as\ - \ described in CM-8." - controls: - - id: pm-5.1 - class: SP800-53-enhancement - title: Inventory of Personally Identifiable Information - params: - - id: pm-5.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-5(1) - - name: sort-id - value: PM-05(01) - links: - - href: "#cm-8" - rel: related - - href: "#cm-12" - rel: related - - href: "#cm-13" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-6" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-5.1_smt - name: statement - prose: "Establish, maintain, and update {{ insert: param, pm-5.1_prm_1\ - \ }} an inventory of all systems, applications, and projects that\ - \ process personally identifiable information." - - id: pm-5.1_gdn - name: guidance - prose: An inventory of systems, applications, and projects that - process personally identifiable information supports mapping of - data actions, providing individuals with privacy notices, maintaining - accurate personally identifiable information, and limiting the - processing of personally identifiable information when such information - is not needed for operational purposes. Organizations may use - this inventory to ensure that systems only process the personally - identifiable information for authorized purposes and that this - processing is still relevant and necessary for the purpose specified - therein. - - id: pm-6 - class: SP800-53 - title: Measures of Performance - props: - - name: label - value: PM-6 - - name: sort-id - value: PM-06 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#8ba0d54e-fa16-4f5d-baa1-763ec3e33e26" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#ca-7" - rel: related - parts: - - id: pm-6_smt - name: statement - prose: Develop, monitor, and report on the results of information security - and privacy measures of performance. - - id: pm-6_gdn - name: guidance - prose: Measures of performance are outcome-based metrics used by an - organization to measure the effectiveness or efficiency of the information - security and privacy programs and the controls employed in support - of the program. - - id: pm-7 - class: SP800-53 - title: Enterprise Architecture - props: - - name: label - value: PM-7 - - name: sort-id - value: PM-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#au-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-11" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-17" - rel: related - parts: - - id: pm-7_smt - name: statement - prose: Develop and maintain an enterprise architecture with consideration - for information security, privacy, and the resulting risk to organizational - operations and assets, individuals, other organizations, and the Nation. - - id: pm-7_gdn - name: guidance - prose: The integration of security and privacy requirements and controls - into the enterprise architecture helps to ensure that security and - privacy considerations are addressed throughout the system development - life cycle and are explicitly related to the organization’s mission - and business processes. The process of security and privacy requirements - integration also embeds into the enterprise architecture, the organization’s - security and privacy architectures consistent with the organizational - risk management strategy. For PM-7, security and privacy architectures - are developed at a system-of-systems level, representing all organizational - systems. For PL-8, the security and privacy architectures are developed - at a level representing an individual system. The system-level architectures - are consistent with the security and privacy architectures defined - for the organization. Security and privacy requirements and control - integration are most effectively accomplished through the rigorous - application of the Risk Management Framework [SP 800-37] and supporting - security standards and guidelines. - controls: - - id: pm-7.1 - class: SP800-53-enhancement - title: Offloading - params: - - id: pm-7.1_prm_1 - label: organization-defined non-essential functions or services - props: - - name: label - value: PM-7(1) - - name: sort-id - value: PM-07(01) - links: - - href: "#sa-8" - rel: related - parts: - - id: pm-7.1_smt - name: statement - prose: "Offload {{ insert: param, pm-7.1_prm_1 }} to other systems,\ - \ system components, or an external provider." - - id: pm-7.1_gdn - name: guidance - prose: Not every function or service a system provides is essential - to an organization’s missions or business operations. Printing - or copying is an example of a non-essential but supporting service - for an organization. Whenever feasible, such supportive but non-essential - functions or services are not co-located with the functions or - services supporting essential missions or business operations. - Maintaining such functions on the same system or system component - increases the attack surface of the organization’s mission essential - functions or services. Moving supportive but non-essential functions - to a non-critical system, system component, or external provider - can also increase efficiency by putting those functions or services - under the control of individuals or providers who are subject - matter experts in the functions or services. - - id: pm-8 - class: SP800-53 - title: Critical Infrastructure Plan - props: - - name: label - value: PM-8 - - name: sort-id - value: PM-08 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#cde25174-38e0-4a00-8919-8ee3674b8088" - rel: reference - - href: "#24b7b1ec-6430-41de-9353-29fdb1b488fc" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#pe-18" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-11" - rel: related - - href: "#pm-18" - rel: related - - href: "#ra-3" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pm-8_smt - name: statement - prose: Address information security and privacy issues in the development, - documentation, and updating of a critical infrastructure and key resources - protection plan. - - id: pm-8_gdn - name: guidance - prose: Protection strategies are based on the prioritization of critical - assets and resources. The requirement and guidance for defining critical - infrastructure and key resources and for preparing an associated critical - infrastructure protection plan are found in applicable laws, executive - orders, directives, policies, regulations, standards, and guidelines. - - id: pm-9 - class: SP800-53 - title: Risk Management Strategy - params: - - id: pm-9_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-9 - - name: sort-id - value: PM-09 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#ac-1" - rel: related - - href: "#au-1" - rel: related - - href: "#at-1" - rel: related - - href: "#ca-1" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-1" - rel: related - - href: "#cp-1" - rel: related - - href: "#ia-1" - rel: related - - href: "#ir-1" - rel: related - - href: "#ma-1" - rel: related - - href: "#mp-1" - rel: related - - href: "#pe-1" - rel: related - - href: "#pl-1" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-2" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-18" - rel: related - - href: "#pm-28" - rel: related - - href: "#pm-30" - rel: related - - href: "#ps-1" - rel: related - - href: "#pt-1" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-1" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-1" - rel: related - - href: "#sa-4" - rel: related - - href: "#sc-1" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-1" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-1" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: pm-9_smt - name: statement - parts: - - id: pm-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Develops a comprehensive strategy to manage:" - parts: - - id: pm-9_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Security risk to organizational operations and assets, - individuals, other organizations, and the Nation associated - with the operation and use of organizational systems; and - - id: pm-9_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Privacy risk to individuals resulting from the authorized - processing of personally identifiable information; - - id: pm-9_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the risk management strategy consistently across - the organization; and - - id: pm-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the risk management strategy {{ insert:\ - \ param, pm-9_prm_1 }} or as required, to address organizational\ - \ changes." - - id: pm-9_gdn - name: guidance - prose: An organization-wide risk management strategy includes an expression - of the security and privacy risk tolerance for the organization; security - and privacy risk mitigation strategies; acceptable risk assessment - methodologies; a process for evaluating security and privacy risk - across the organization with respect to the organization’s risk tolerance; - and approaches for monitoring risk over time. The senior accountable - official for risk management (agency head or designated official) - aligns information security management processes with strategic, operational, - and budgetary planning processes. The risk executive function, led - by the senior accountable official for risk management, can facilitate - consistent application of the risk management strategy organization-wide. - The risk management strategy can be informed by security and privacy - risk-related inputs from other sources, both internal and external - to the organization, to ensure the strategy is broad-based and comprehensive. - - id: pm-10 - class: SP800-53 - title: Authorization Process - props: - - name: label - value: PM-10 - - name: sort-id - value: PM-10 - links: - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: pm-10_smt - name: statement - parts: - - id: pm-10_smt.a - name: item - props: - - name: label - value: a. - prose: Manage the security and privacy state of organizational systems - and the environments in which those systems operate through authorization - processes; - - id: pm-10_smt.b - name: item - props: - - name: label - value: b. - prose: Designate individuals to fulfill specific roles and responsibilities - within the organizational risk management process; and - - id: pm-10_smt.c - name: item - props: - - name: label - value: c. - prose: Integrate the authorization processes into an organization-wide - risk management program. - - id: pm-10_gdn - name: guidance - prose: Authorization processes for organizational systems and environments - of operation require the implementation of an organization-wide risk - management process and associated security and privacy standards and - guidelines. Specific roles for risk management processes include a - risk executive (function) and designated authorizing officials for - each organizational system and common control provider. The organizational - authorization processes are integrated with continuous monitoring - processes to facilitate ongoing understanding and acceptance of security - and privacy risks to organizational operations, organizational assets, - individuals, other organizations, and the Nation. - - id: pm-11 - class: SP800-53 - title: Mission and Business Process Definition - params: - - id: pm-11_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-11 - - name: sort-id - value: PM-11 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#cp-2" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-7" - rel: related - - href: "#pm-8" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-2" - rel: related - parts: - - id: pm-11_smt - name: statement - parts: - - id: pm-11_smt.a - name: item - props: - - name: label - value: a. - prose: Define organizational mission and business processes with - consideration for information security and privacy and the resulting - risk to organizational operations, organizational assets, individuals, - other organizations, and the Nation; and - - id: pm-11_smt.b - name: item - props: - - name: label - value: b. - prose: Determine information protection and personally identifiable - information processing needs arising from the defined mission - and business processes; and - - id: pm-11_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and revise the mission and business processes {{\ - \ insert: param, pm-11_prm_1 }}." - - id: pm-11_gdn - name: guidance - prose: Protection needs are technology-independent, required capabilities - to counter threats to organizations, individuals, systems, and the - Nation through the compromise of information (i.e., loss of confidentiality, - integrity, availability, or privacy). Information protection and personally - identifiable information processing needs are derived from the mission - and business needs defined by the stakeholders in organizations, the - mission and business processes defined to meet those needs, and the - organizational risk management strategy. Information protection and - personally identifiable information processing needs determine the - required controls for the organization and the systems. Inherent in - defining protection and personally identifiable information processing - needs, is an understanding of adverse impact that could result if - a compromise or breach of information occurs. The categorization process - is used to make such potential impact determinations. Privacy risks - to individuals can arise from the compromise of personally identifiable - information, but they can also arise as unintended consequences or - a byproduct of authorized processing of information at any stage of - the data life cycle. Privacy risk assessments are used to prioritize - the risks that are created for individuals from system processing - of personally identifiable information. These risk assessments enable - the selection of the required privacy controls for the organization - and systems. Mission and business process definitions and the associated - protection requirements are documented in accordance with organizational - policy and procedures. - - id: pm-12 - class: SP800-53 - title: Insider Threat Program - props: - - name: label - value: PM-12 - - name: sort-id - value: PM-12 - links: - - href: "#2b5e12fb-633f-49e6-8aff-81d75bf53545" - rel: reference - - href: "#286d42a1-efbe-49a2-9ce1-4c9bf68feb3b" - rel: reference - - href: "#ac-6" - rel: related - - href: "#at-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-7" - rel: related - - href: "#ia-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#mp-7" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-16" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-7" - rel: related - - href: "#ps-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-4" - rel: related - - href: "#pm-14" - rel: related - parts: - - id: pm-12_smt - name: statement - prose: Implement an insider threat program that includes a cross-discipline - insider threat incident handling team. - - id: pm-12_gdn - name: guidance - prose: Organizations handling classified information are required, under - Executive Order 13587 [EO 13587] and the National Insider Threat Policy - [ODNI NITP], to establish insider threat programs. The same standards - and guidelines that apply to insider threat programs in classified - environments can also be employed effectively to improve the security - of controlled unclassified and other information in non-national security - systems. Insider threat programs include controls to detect and prevent - malicious insider activity through the centralized integration and - analysis of both technical and non-technical information to identify - potential insider threat concerns. A senior official is designated - by the department or agency head as the responsible individual to - implement and provide oversight for the program. In addition to the - centralized integration and analysis capability, insider threat programs - require organizations to prepare department or agency insider threat - policies and implementation plans; conduct host-based user monitoring - of individual employee activities on government-owned classified computers; - provide insider threat awareness training to employees; receive access - to information from offices in the department or agency for insider - threat analysis; and conduct self-assessments of department or agency - insider threat posture. Insider threat programs can leverage the existence - of incident handling teams that organizations may already have in - place, such as computer security incident response teams. Human resources - records are especially important in this effort, as there is compelling - evidence to show that some types of insider crimes are often preceded - by nontechnical behaviors in the workplace, including ongoing patterns - of disgruntled behavior and conflicts with coworkers and other colleagues. - These precursors can guide organizational officials in more focused, - targeted monitoring efforts. However, the use of human resource records - could raise significant concerns for privacy. The participation of - a legal team, including consultation with the senior agency official - for privacy, ensures that monitoring activities are performed in accordance - with applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines. - - id: pm-13 - class: SP800-53 - title: Security and Privacy Workforce - props: - - name: label - value: PM-13 - - name: sort-id - value: PM-13 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#f4c3f657-de83-47ae-9aec-e144de8268d1" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - parts: - - id: pm-13_smt - name: statement - prose: Establish a security and privacy workforce development and improvement - program. - - id: pm-13_gdn - name: guidance - prose: Security and privacy workforce development and improvement programs - include defining the knowledge, skills, and abilities needed to perform - security and privacy duties and tasks; developing role-based training - programs for individuals assigned security and privacy roles and responsibilities; - and providing standards and guidelines for measuring and building - individual qualifications for incumbents and applicants for security- - and privacy-related positions. Such workforce development and improvement - programs can also include security and privacy career paths to encourage - security and privacy professionals to advance in the field and fill - positions with greater responsibility. The programs encourage organizations - to fill security- and privacy-related positions with qualified personnel. - Security and privacy workforce development and improvement programs - are complementary to organizational security awareness and training - programs and focus on developing and institutionalizing the core security - and privacy capabilities of personnel needed to protect organizational - operations, assets, and individuals. - - id: pm-14 - class: SP800-53 - title: Testing, Training, and Monitoring - props: - - name: label - value: PM-14 - - name: sort-id - value: PM-14 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#a6b97214-55d4-4b86-a3a4-53d5911d96f7" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ca-7" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-3" - rel: related - - href: "#pm-12" - rel: related - - href: "#si-4" - rel: related - parts: - - id: pm-14_smt - name: statement - parts: - - id: pm-14_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement a process for ensuring that organizational plans\ - \ for conducting security and privacy testing, training, and monitoring\ - \ activities associated with organizational systems:" - parts: - - id: pm-14_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Are developed and maintained; and - - id: pm-14_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Continue to be executed; and - - id: pm-14_smt.b - name: item - props: - - name: label - value: b. - prose: Review testing, training, and monitoring plans for consistency - with the organizational risk management strategy and organization-wide - priorities for risk response actions. - - id: pm-14_gdn - name: guidance - prose: This control ensures that organizations provide oversight for - testing, training, and monitoring activities and that those activities - are coordinated. With the growing importance of continuous monitoring - programs, the implementation of information security and privacy across - the three levels of the risk management hierarchy and the widespread - use of common controls, organizations coordinate and consolidate the - testing and monitoring activities that are routinely conducted as - part of ongoing assessments supporting a variety of controls. Security - and privacy training activities, while focused on individual systems - and specific roles, require coordination across all organizational - elements. Testing, training, and monitoring plans and activities are - informed by current threat and vulnerability assessments. - - id: pm-15 - class: SP800-53 - title: Security and Privacy Groups and Associations - props: - - name: label - value: PM-15 - - name: sort-id - value: PM-15 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#sa-11" - rel: related - - href: "#si-5" - rel: related - parts: - - id: pm-15_smt - name: statement - prose: "Establish and institutionalize contact with selected groups\ - \ and associations within the security and privacy communities:" - parts: - - id: pm-15_smt.a - name: item - props: - - name: label - value: a. - prose: To facilitate ongoing security and privacy education and - training for organizational personnel; - - id: pm-15_smt.b - name: item - props: - - name: label - value: b. - prose: To maintain currency with recommended security and privacy - practices, techniques, and technologies; and - - id: pm-15_smt.c - name: item - props: - - name: label - value: c. - prose: To share current security and privacy information, including - threats, vulnerabilities, and incidents. - - id: pm-15_gdn - name: guidance - prose: Ongoing contact with security and privacy groups and associations - is important in an environment of rapidly changing technologies and - threats. Groups and associations include special interest groups, - professional associations, forums, news groups, users’ groups, and - peer groups of security and privacy professionals in similar organizations. - Organizations select security and privacy groups and associations - based on missions and business functions. Organizations share threat, - vulnerability, and incident information as well as contextual insights, - compliance techniques, and privacy problems consistent with applicable - laws, executive orders, directives, policies, regulations, standards, - and guidelines. - - id: pm-16 - class: SP800-53 - title: Threat Awareness Program - props: - - name: label - value: PM-16 - - name: sort-id - value: PM-16 - links: - - href: "#ir-4" - rel: related - - href: "#pm-12" - rel: related - parts: - - id: pm-16_smt - name: statement - prose: Implement a threat awareness program that includes a cross-organization - information-sharing capability for threat intelligence. - - id: pm-16_gdn - name: guidance - prose: Because of the constantly changing and increasing sophistication - of adversaries, especially the advanced persistent threat (APT), it - may be more likely that adversaries can successfully breach or compromise - organizational systems. One of the best techniques to address this - concern is for organizations to share threat information including - threat events (i.e., tactics, techniques, and procedures) that organizations - have experienced; mitigations that organizations have found are effective - against certain types of threats; and threat intelligence (i.e., indications - and warnings about threats). Threat information sharing may be bilateral - or multilateral. Bilateral threat sharing includes government-to-commercial - and government-to-government cooperatives. Multilateral threat sharing - includes organizations taking part in threat-sharing consortia. Threat - information may be highly sensitive requiring special agreements and - protection, or less sensitive and freely shared. - controls: - - id: pm-16.1 - class: SP800-53-enhancement - title: Automated Means for Sharing Threat Intelligence - props: - - name: label - value: PM-16(1) - - name: sort-id - value: PM-16(01) - parts: - - id: pm-16.1_smt - name: statement - prose: Employ automated mechanisms to maximize the effectiveness - of sharing threat intelligence information. - - id: pm-16.1_gdn - name: guidance - prose: To maximize the effectiveness of monitoring, it is important - to know what threat observables and indicators the sensors need - to be searching for. By utilizing well established frameworks, - services, and automated tools, organizations improve their ability - to rapidly share and feed into monitoring tools, the relevant - threat detection signatures. - - id: pm-17 - class: SP800-53 - title: Protecting Controlled Unclassified Information on External Systems - params: - - id: pm-17_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-17 - - name: sort-id - value: PM-17 - links: - - href: "#742b7c0e-218e-4fca-9c3d-5f264bbaf2bc" - rel: reference - - href: "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a" - rel: reference - - href: "#dd87fdf0-840d-4392-9de4-220b2327e340" - rel: reference - - href: "#ca-6" - rel: related - - href: "#pm-10" - rel: related - parts: - - id: pm-17_smt - name: statement - parts: - - id: pm-17_smt.a - name: item - props: - - name: label - value: a. - prose: Establish policy and procedures to ensure that requirements - for the protection of controlled unclassified information that - is processed, stored or transmitted on external systems, are implemented - in accordance with applicable laws, executive orders, directives, - policies, regulations, and standards. - - id: pm-17_smt.b - name: item - props: - - name: label - value: b. - prose: "Update the policy and procedures {{ insert: param, pm-17_prm_1\ - \ }}." - - id: pm-17_gdn - name: guidance - prose: Controlled unclassified information is defined by the National - Archives and Records Administration along with the safeguarding and - dissemination requirements for such information and is codified in - [32 CFR 2002] and specifically, for systems external to the federal - organization, in 32 CFR 2002.14h. The policy prescribes the specific - use and conditions to be implemented in accordance with organizational - procedures, including via its contracting processes. - - id: pm-18 - class: SP800-53 - title: Privacy Program Plan - props: - - name: label - value: PM-18 - - name: sort-id - value: PM-18 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-18_smt - name: statement - parts: - - id: pm-18_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and disseminate an organization-wide privacy program\ - \ plan that provides an overview of the agency’s privacy program,\ - \ and:" - parts: - - id: pm-18_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Includes a description of the structure of the privacy - program and the resources dedicated to the privacy program; - - id: pm-18_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Provides an overview of the requirements for the privacy - program and a description of the privacy program management - controls and common controls in place or planned for meeting - those requirements; - - id: pm-18_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Includes the role of the senior agency official for privacy - and the identification and assignment of roles of other privacy - officials and staff and their responsibilities; - - id: pm-18_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Describes management commitment, compliance, and the - strategic goals and objectives of the privacy program; - - id: pm-18_smt.a.5 - name: item - props: - - name: label - value: "5." - prose: Reflects coordination among organizational entities responsible - for the different aspects of privacy; and - - id: pm-18_smt.a.6 - name: item - props: - - name: label - value: "6." - prose: Is approved by a senior official with responsibility - and accountability for the privacy risk being incurred to - organizational operations (including mission, functions, image, - and reputation), organizational assets, individuals, other - organizations, and the Nation; and - - id: pm-18_smt.b - name: item - props: - - name: label - value: b. - prose: Update the plan to address changes in federal privacy laws - and policy and organizational changes and problems identified - during plan implementation or privacy control assessments. - - id: pm-18_gdn - name: guidance - prose: A privacy program plan is a formal document that provides an - overview of an organization’s privacy program, including a description - of the structure of the privacy program; the resources dedicated to - the privacy program; the role of the senior agency official for privacy - and other privacy officials and staff; the strategic goals and objectives - of the privacy program; and the program management controls and common - controls in place or planned for meeting applicable privacy requirements - and managing privacy risks. Privacy program plans can be represented - in single documents or compilations of documents. The senior agency - official for privacy is responsible for designating which privacy - controls the organization will treat as program management, common, - system-specific, and hybrid controls. Privacy program plans provide - sufficient information about the privacy program management and common - controls (including the specification of parameters and assignment - and selection statements explicitly or by reference) to enable control - implementations that are unambiguously compliant with the intent of - the plans and a determination of the risk incurred if the plans are - implemented as intended. Program management controls are generally - implemented at the organization level and are essential for managing - the organization’s privacy program. Program management controls are - distinct from common, system-specific, and hybrid controls because - program management controls are independent of any particular information - system. The privacy plans for individual systems and the organization-wide - privacy program plan together, provide complete coverage for the privacy - controls employed within the organization. Common controls are documented - in an appendix to the organization’s privacy program plan unless the - controls are included in a separate privacy plan for a system. The - organization-wide privacy program plan indicates which separate privacy - plans contain descriptions of privacy controls. - - id: pm-19 - class: SP800-53 - title: Privacy Program Leadership Role - props: - - name: label - value: PM-19 - - name: sort-id - value: PM-19 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-18" - rel: related - - href: "#pm-20" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-24" - rel: related - parts: - - id: pm-19_smt - name: statement - prose: Appoint a senior agency official for privacy with the authority, - mission, accountability, and resources to coordinate, develop, and - implement, applicable privacy requirements and manage privacy risks - through the organization-wide privacy program. - - id: pm-19_gdn - name: guidance - prose: The privacy officer is an organizational official. For federal - agencies, as defined by applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines, this official is - designated as the senior agency official for privacy. Organizations - may also refer to this official as the chief privacy officer. The - senior agency official for privacy also has a role in the data management - board (see PM-23) and the data integrity board (see PM-24). - - id: pm-20 - class: SP800-53 - title: Dissemination of Privacy Program Information - props: - - name: label - value: PM-20 - - name: sort-id - value: PM-20 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#f7d3617a-9a4f-4f1a-a688-845081b70390" - rel: reference - - href: "#pm-19" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: pm-20_smt - name: statement - prose: "Maintain a central resource webpage on the organization’s principal\ - \ public website that serves as a central source of information about\ - \ the organization’s privacy program and that:" - parts: - - id: pm-20_smt.a - name: item - props: - - name: label - value: a. - prose: Ensures that the public has access to information about organizational - privacy activities and can communicate with its senior agency - official for privacy; - - id: pm-20_smt.b - name: item - props: - - name: label - value: b. - prose: Ensures that organizational privacy practices and reports - are publicly available; and - - id: pm-20_smt.c - name: item - props: - - name: label - value: c. - prose: Employs publicly facing email addresses and/or phone lines - to enable the public to provide feedback and/or direct questions - to privacy offices regarding privacy practices. - - id: pm-20_gdn - name: guidance - prose: Organizations maintain a central resource webpage on their principal - public website for their privacy program. For federal agencies, this - page is located at www.[agency].gov/privacy. Organizations should - use the webpage to inform the public about privacy policies and practices, - including privacy impact assessments, system of records notices, computer - matching notices and agreements, [PRIVACT] exemption and implementation - rules, instructions for individuals making an access or amendment - request, privacy reports, privacy policies, email addresses for questions/complaints, - blogs, and periodic publications. - - id: pm-21 - class: SP800-53 - title: Accounting of Disclosures - props: - - name: label - value: PM-21 - - name: sort-id - value: PM-21 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#au-2" - rel: related - - href: "#pt-2" - rel: related - parts: - - id: pm-21_smt - name: statement - parts: - - id: pm-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop and maintain an accurate accounting of disclosures\ - \ of personally identifiable information, including:" - parts: - - id: pm-21_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Date, nature, and purpose of each disclosure; and - - id: pm-21_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Name and address, or other contact information of the - person or organization to which the disclosure was made; - - id: pm-21_smt.b - name: item - props: - - name: label - value: b. - prose: Retain the accounting of disclosures for the length of the - time the personally identifiable information is maintained or - five years after the disclosure is made, whichever is longer; - and - - id: pm-21_smt.c - name: item - props: - - name: label - value: c. - prose: Make the accounting of disclosures available to the individual - to whom the personally identifiable information relates upon request. - - id: pm-21_gdn - name: guidance - prose: The purpose of accounting of disclosures is to allow individuals - to learn to whom their personally identifiable information has been - disclosed; to provide a basis for subsequently advising recipients - of any corrected or disputed personally identifiable information; - and to provide an audit trail for subsequent reviews of organizational - compliance with conditions for disclosures. For federal agencies, - keeping an accounting of disclosures is required by the [PRIVACT]; - agencies should consult with their senior agency official for privacy - and legal counsel on this requirement and be aware of the statutory - exceptions and OMB guidance relating to the provision. Organizations - can use any system for keeping notations of disclosures, if it can - construct from such a system, a document listing of all disclosures - along with the required information. Automated mechanisms can be used - by organizations to determine when personally identifiable information - is disclosed, including commercial services providing notifications - and alerts. Accounting of disclosures may also be used to help organizations - verify compliance with applicable privacy statutes and policies governing - disclosure or dissemination of information and dissemination restrictions. - - id: pm-22 - class: SP800-53 - title: Personally Identifiable Information Quality Management - props: - - name: label - value: PM-22 - - name: sort-id - value: PM-22 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#eadef75e-7e4d-4554-b818-44946c1dde0e" - rel: reference - - href: "#pm-23" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-22_smt - name: statement - prose: "Develop and document policies and procedures for:" - parts: - - id: pm-22_smt.a - name: item - props: - - name: label - value: a. - prose: Reviewing for the accuracy, relevance, timeliness, and completeness - of personally identifiable information across the information - life cycle; - - id: pm-22_smt.b - name: item - props: - - name: label - value: b. - prose: Correcting or deleting inaccurate or outdated personally - identifiable information; - - id: pm-22_smt.c - name: item - props: - - name: label - value: c. - prose: Disseminating notice of corrected or deleted personally identifiable - information to individuals or other appropriate entities; and - - id: pm-22_smt.d - name: item - props: - - name: label - value: d. - prose: Appeals of adverse decisions on correction or deletion requests. - - id: pm-22_gdn - name: guidance - prose: Personally identifiable information quality management include - steps that organizations take to confirm the accuracy and relevance - of personally identifiable information throughout the information - life cycle. The information life cycle includes the creation, collection, - use, processing, storage, maintenance, dissemination, disclosure, - and disposition of personally identifiable information. Organizational - policies and procedures for personally identifiable information quality - management are important because inaccurate or outdated personally - identifiable information maintained by organizations may cause problems - for individuals. Organizations consider the quality of personally - identifiable information involved in business functions where inaccurate - information may result in adverse decisions or the denial of benefits - and services, or the disclosure of the information may cause stigmatization. - Correct information, in certain circumstances, can cause problems - for individuals that outweigh the benefits of organizations maintaining - the information. Organizations consider creating policies and procedures - for the removal of such information. The senior agency official for - privacy ensures that practical means and mechanisms exist and are - accessible for individuals or their authorized representatives to - seek the correction or deletion of personally identifiable information. - Processes for correcting or deleting data are clearly defined and - publicly available. Organizations use discretion in determining whether - data is to be deleted or corrected based on the scope of requests, - the changes sought, and the impact of the changes. Additionally, processes - include the provision of responses to individuals of decisions to - deny requests for correction or deletion. The responses include the - reasons for the decisions, a means to record individual objections - to the decisions, and a means of requesting reviews of the initial - determinations. Organizations notify individuals or their designated - representatives when their personally identifiable information is - corrected or deleted to provide transparency and confirm the completed - action. Due to complexity of data flows and storage, other entities - may need to be informed of correction or deletion. Notice supports - the consistent correction and deletion of personally identifiable - information across the data ecosystem. - - id: pm-23 - class: SP800-53 - title: Data Governance Body - params: - - id: pm-23_prm_1 - label: organization-defined roles - - id: pm-23_prm_2 - label: organization-defined responsibilities - props: - - name: label - value: PM-23 - - name: sort-id - value: PM-23 - links: - - href: "#43facb7b-0afb-480f-8191-34790d5b444b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#d843e915-eeb6-4bbe-8cab-ccc802088703" - rel: reference - - href: "#eadef75e-7e4d-4554-b818-44946c1dde0e" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#pm-19" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-24" - rel: related - - href: "#pt-8" - rel: related - - href: "#si-4" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pm-23_smt - name: statement - prose: "Establish a Data Governance Body consisting of {{ insert: param,\ - \ pm-23_prm_1 }} with {{ insert: param, pm-23_prm_2 }}." - - id: pm-23_gdn - name: guidance - prose: A Data Governance Body can help ensure that the organization - has coherent policies and the ability to balance the utility of data - with security and privacy requirements. The Data Governance Body establishes - policies, procedures, and standards that facilitate data governance - so that data, including personally identifiable information, is effectively - managed and maintained in accordance with applicable laws, executive - orders, directives, regulations, policies, standards, and guidance. - Responsibilities can include developing and implementing guidelines - supporting data modeling, quality, integrity, and de-identification - needs of personally identifiable information across the information - life cycle and reviewing and approving applications to release data - outside of the organization, archiving the applications and the released - data, and performing post-release monitoring to ensure that the assumptions - made as part of the data release continue to be valid. Members include - the chief information officer, senior agency information security - officer, and senior agency official for privacy. Federal agencies - are required to establish a Data Governance Body with specific roles - and responsibilities in accordance with the [EVIDACT] and policies - set forth under [OMB M-19-23]. - - id: pm-24 - class: SP800-53 - title: Data Integrity Board - props: - - name: label - value: PM-24 - - name: sort-id - value: PM-24 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#ac-4" - rel: related - - href: "#pm-19" - rel: related - - href: "#pm-23" - rel: related - - href: "#pt-8" - rel: related - parts: - - id: pm-24_smt - name: statement - prose: "Establish a Data Integrity Board to:" - parts: - - id: pm-24_smt.a - name: item - props: - - name: label - value: a. - prose: Review proposals to conduct or participate in a matching - program; and - - id: pm-24_smt.b - name: item - props: - - name: label - value: b. - prose: Conduct an annual review of all matching programs in which - the agency has participated. - - id: pm-24_gdn - name: guidance - prose: A Data Integrity Board is the board of senior officials designated - by the head of a federal agency that is responsible for, among other - things, reviewing the agency’s proposals to conduct or participate - in a matching program and conducting an annual review of all matching - programs in which the agency has participated. As a general matter, - a matching program is a computerized comparison of records from two - or more automated [PRIVACT] systems of records, or an automated system - of records and automated records maintained by a non-Federal agency - (or agent thereof). A matching program either pertains to Federal - benefit programs or Federal personnel or payroll records. At a minimum, - the Data Integrity Board includes the Inspector General of the agency, - if any, and the senior agency official for privacy. - - id: pm-25 - class: SP800-53 - title: Minimization of Pii Used in Testing, Training, and Research - params: - - id: pm-25_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-25 - - name: sort-id - value: PM-25 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-23" - rel: related - - href: "#pt-3" - rel: related - - href: "#sa-3" - rel: related - parts: - - id: pm-25_smt - name: statement - parts: - - id: pm-25_smt.a - name: item - props: - - name: label - value: a. - prose: Develop, document, and implement policies and procedures - that address the use of personally identifiable information for - internal testing, training, and research; - - id: pm-25_smt.b - name: item - props: - - name: label - value: b. - prose: Limit or minimize the amount of personally identifiable information - used for internal testing, training, and research purposes; - - id: pm-25_smt.c - name: item - props: - - name: label - value: c. - prose: Authorize the use of personally identifiable information - when such information is required for internal testing, training, - and research; and - - id: pm-25_smt.d - name: item - props: - - name: label - value: d. - prose: "Review and update policies and procedures {{ insert: param,\ - \ pm-25_prm_1 }}." - - id: pm-25_gdn - name: guidance - prose: The use of personally identifiable information in testing, research, - and training increases risk of unauthorized disclosure or misuse of - such information. Organizations consult with the senior agency official - for privacy and legal counsel to ensure that the use of personally - identifiable information in testing, training, and research is compatible - with the original purpose for which it was collected. When possible, - organizations use placeholder data to avoid exposure of personally - identifiable information when conducting testing, training, and research. - The use of live data for testing, training, and research is also addressed - in SA-3(2). - - id: pm-26 - class: SP800-53 - title: Complaint Management - params: - - id: pm-26_prm_1 - label: organization-defined time-period - - id: pm-26_prm_2 - label: organization-defined time-period - - id: pm-26_prm_3 - label: organization-defined time-period - props: - - name: label - value: PM-26 - - name: sort-id - value: PM-26 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ir-7" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-22" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pm-26_smt - name: statement - prose: "Implement a process for receiving and responding to complaints,\ - \ concerns, or questions from individuals about the organizational\ - \ privacy practices that includes:" - parts: - - id: pm-26_smt.a - name: item - props: - - name: label - value: a. - prose: Mechanisms that are easy to use and readily accessible by - the public; - - id: pm-26_smt.b - name: item - props: - - name: label - value: b. - prose: All information necessary for successfully filing complaints; - - id: pm-26_smt.c - name: item - props: - - name: label - value: c. - prose: "Tracking mechanisms to ensure all complaints received are\ - \ reviewed and addressed within {{ insert: param, pm-26_prm_1\ - \ }};" - - id: pm-26_smt.d - name: item - props: - - name: label - value: d. - prose: "Acknowledgement of receipt of complaints, concerns, or questions\ - \ from individuals within {{ insert: param, pm-26_prm_2 }}; and" - - id: pm-26_smt.e - name: item - props: - - name: label - value: e. - prose: "Response to complaints, concerns, or questions from individuals\ - \ within {{ insert: param, pm-26_prm_3 }}." - - id: pm-26_gdn - name: guidance - prose: Complaints, concerns, and questions from individuals can serve - as a valuable source of input to organizations that ultimately improves - operational models, uses of technology, data collection practices, - and controls. Mechanisms that can be used by the public include telephone - hotline, email, or web-based forms. The information necessary for - successfully filing complaints includes contact information for the - senior agency official for privacy or other official designated to - receive complaints. Privacy complaints may also include personally - identifiable information. - - id: pm-27 - class: SP800-53 - title: Privacy Reporting - params: - - id: pm-27_prm_1 - label: organization-defined privacy reports - - id: pm-27_prm_2 - label: organization-defined officials - - id: pm-27_prm_3 - label: organization-defined frequency - props: - - name: label - value: PM-27 - - name: sort-id - value: PM-27 - links: - - href: "#14958422-54f6-471f-a345-802dca594dd8" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#ir-9" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-27_smt - name: statement - parts: - - id: pm-27_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop {{ insert: param, pm-27_prm_1 }} and disseminate\ - \ to:" - parts: - - id: pm-27_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: OMB, Congress, and other oversight bodies to demonstrate - accountability with statutory, regulatory, and policy privacy - mandates; and - - id: pm-27_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: "{{ insert: param, pm-27_prm_2 }} and other personnel\ - \ with responsibility for monitoring privacy program compliance;\ - \ and" - - id: pm-27_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update privacy reports {{ insert: param, pm-27_prm_3\ - \ }}." - - id: pm-27_gdn - name: guidance - prose: Through internal and external reporting, organizations promote - accountability and transparency in organizational privacy operations. - Reporting can also help organizations to determine progress in meeting - privacy compliance requirements and privacy controls, compare performance - across the federal government, discover vulnerabilities, identify - gaps in policy and implementation, and identify models for success. - Privacy reports include annual senior agency official for privacy - reports to OMB; reports to Congress required by Implementing Regulations - of the 9/11 Commission Act; and other public reports required by law, - regulation, or policy, including internal policies of organizations. - The senior agency official for privacy consults with legal counsel, - where appropriate, to ensure that organizations meet all applicable - privacy reporting requirements. - - id: pm-28 - class: SP800-53 - title: Risk Framing - params: - - id: pm-28_prm_1 - label: organization-defined personnel - - id: pm-28_prm_2 - label: organization-defined frequency - props: - - name: label - value: PM-28 - - name: sort-id - value: PM-28 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#ca-7" - rel: related - - href: "#pm-9" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: pm-28_smt - name: statement - parts: - - id: pm-28_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document:" - parts: - - id: pm-28_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Assumptions affecting risk assessments, risk responses, - and risk monitoring; - - id: pm-28_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Constraints affecting risk assessments, risk responses, - and risk monitoring; - - id: pm-28_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Priorities and trade-offs considered by the organization - for managing risk; and - - id: pm-28_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Organizational risk tolerance; and - - id: pm-28_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute the results of risk framing activities to {{\ - \ insert: param, pm-28_prm_1 }};" - - id: pm-28_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update risk framing considerations {{ insert:\ - \ param, pm-28_prm_2 }}." - - id: pm-28_gdn - name: guidance - prose: Risk framing is most effective when conducted at the organization - level. The assumptions, constraints, risk tolerance, priorities, and - tradeoffs identified as part of the risk framing process, inform the - risk management strategy which in turn, informs the conduct of risk - assessment, risk response, and risk monitoring activities. Risk framing - results are shared with organizational personnel including mission/business - owners, information owners or stewards, system owners, authorizing - officials, senior agency information security officer, senior agency - official for privacy, and senior accountable official for risk management. - - id: pm-29 - class: SP800-53 - title: Risk Management Program Leadership Roles - props: - - name: label - value: PM-29 - - name: sort-id - value: PM-29 - links: - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#pm-2" - rel: related - - href: "#pm-19" - rel: related - parts: - - id: pm-29_smt - name: statement - parts: - - id: pm-29_smt.a - name: item - props: - - name: label - value: a. - prose: Appoint a Senior Accountable Official for Risk Management - to align organizational information security and privacy management - processes with strategic, operational, and budgetary planning - processes; and - - id: pm-29_smt.b - name: item - props: - - name: label - value: b. - prose: Establish a Risk Executive (function) to view and analyze - risk from an organization-wide perspective and ensure management - of risk is consistent across the organization. - - id: pm-29_gdn - name: guidance - prose: The senior accountable official for risk management leads the - risk executive (function) in organization-wide risk management activities. - - id: pm-30 - class: SP800-53 - title: Supply Chain Risk Management Strategy - params: - - id: pm-30_prm_1 - label: organization-defined frequency - props: - - name: label - value: PM-30 - - name: sort-id - value: PM-30 - links: - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#pm-9" - rel: related - - href: "#sr-1" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-7" - rel: related - - href: "#sr-8" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: pm-30_smt - name: statement - parts: - - id: pm-30_smt.a - name: item - props: - - name: label - value: a. - prose: Develop an organization-wide strategy for managing supply - chain risks associated with the development, acquisition, maintenance, - and disposal of systems, system components, and system services; - - id: pm-30_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the supply chain risk management strategy consistently - across the organization; and - - id: pm-30_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the supply chain risk management strategy\ - \ on {{ insert: param, pm-30_prm_1 }} or as required, to address\ - \ organizational changes." - - id: pm-30_gdn - name: guidance - prose: An organization-wide supply chain risk management strategy includes - an unambiguous expression of the supply chain risk tolerance for the - organization, acceptable supply chain risk mitigation strategies or - controls, a process for consistently evaluating and monitoring supply - chain risk, approaches for implementing and communicating the supply - chain risk management strategy, and the associated roles and responsibilities. - Supply chain risk management includes considerations of both security - and privacy risks associated with the development, acquisition, maintenance, - and disposal of systems, system components, and system services. The - supply chain risk management strategy can be incorporated into the - organization’s overarching risk management strategy and can guide - and inform the system-level supply chain risk management plan. The - use of a risk executive function can facilitate a consistent, organization-wide - application of the supply chain risk management strategy. The supply - chain risk management strategy is implemented at the organizational - level, whereas the supply chain risk management plan (see SR-2) is - applied at the system-level. - - id: pm-31 - class: SP800-53 - title: Continuous Monitoring Strategy - params: - - id: pm-31_prm_1 - label: organization-defined metrics - - id: pm-31_prm_2 - label: organization-defined frequencies - - id: pm-31_prm_3 - label: organization-defined frequencies - - id: pm-31_prm_4 - label: organization-defined personnel or roles - - id: pm-31_prm_5 - label: organization-defined frequency - props: - - name: label - value: PM-31 - - name: sort-id - value: PM-31 - links: - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-17" - rel: related - - href: "#at-4" - rel: related - - href: "#au-6" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-5" - rel: related - - href: "#ir-5" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-6" - rel: related - - href: "#pe-14" - rel: related - - href: "#pe-16" - rel: related - - href: "#pe-20" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-6" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-10" - rel: related - - href: "#pm-12" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-28" - rel: related - - href: "#ps-7" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-11" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-43" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: pm-31_smt - name: statement - prose: "Develop an organization-wide continuous monitoring strategy\ - \ and implement continuous monitoring programs that include:" - parts: - - id: pm-31_smt.a - name: item - props: - - name: label - value: a. - prose: "Establishing the following organization-wide metrics to\ - \ be monitored: {{ insert: param, pm-31_prm_1 }};" - - id: pm-31_smt.b - name: item - props: - - name: label - value: b. - prose: "Establishing {{ insert: param, pm-31_prm_2 }} for monitoring\ - \ and {{ insert: param, pm-31_prm_3 }} for assessment of control\ - \ effectiveness;" - - id: pm-31_smt.c - name: item - props: - - name: label - value: c. - prose: Ongoing monitoring of organizationally-defined metrics in - accordance with the continuous monitoring strategy; - - id: pm-31_smt.d - name: item - props: - - name: label - value: d. - prose: Correlation and analysis of information generated by control - assessments and monitoring; - - id: pm-31_smt.e - name: item - props: - - name: label - value: e. - prose: Response actions to address results of the analysis of control - assessment and monitoring information; and - - id: pm-31_smt.f - name: item - props: - - name: label - value: f. - prose: "Reporting the security and privacy status of organizational\ - \ systems to {{ insert: param, pm-31_prm_4 }} {{ insert: param,\ - \ pm-31_prm_5 }}." - - id: pm-31_gdn - name: guidance - prose: Continuous monitoring at the organization level facilitates ongoing - awareness of the security and privacy posture across the organization - to support organizational risk management decisions. The terms continuous - and ongoing imply that organizations assess and monitor their controls - and risks at a frequency sufficient to support risk-based decisions. - Different types of controls may require different monitoring frequencies. - The results of continuous monitoring guide and inform risk response - actions by organizations. Continuous monitoring programs allow organizations - to maintain the authorizations of systems and common controls in highly - dynamic environments of operation with changing mission and business - needs, threats, vulnerabilities, and technologies. Having access to - security- and privacy-related information on a continuing basis through - reports and dashboards gives organizational officials the capability - to make effective and timely risk management decisions, including - ongoing authorization decisions. Monitoring requirements, including - the need for specific monitoring, may be referenced in other controls - and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), - AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), - CA-7, CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, - PE-14b, PE-16, PE-20, PM-6, PM-23, PS-7e, SA-9c, SC-5(3)(b), SC-7a, - SC-7(24)(b), SC-18c, SC-43b, SI-4. - - id: pm-32 - class: SP800-53 - title: Purposing - params: - - id: pm-32_prm_1 - label: organization-defined systems or systems components - props: - - name: label - value: PM-32 - - name: sort-id - value: PM-32 - links: - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#ca-7" - rel: related - - href: "#pl-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - parts: - - id: pm-32_smt - name: statement - prose: "Analyze {{ insert: param, pm-32_prm_1 }} supporting mission\ - \ essential services or functions to ensure that the information resources\ - \ are being used consistent with their intended purpose." - - id: pm-32_gdn - name: guidance - prose: Systems are designed to support a specific mission or business - function. However, over time, systems and system components may be - used to support services and functions that are outside the scope - of the intended mission or business functions. This can result in - exposing information resources to unintended environments and uses - that can significantly increase threat exposure. In doing so, the - systems are in turn more vulnerable to compromise, and can ultimately - impact the services and functions for which they were intended. This - is especially impactful for mission essential services and functions. - By analyzing resource use, organizations can identify such potential - exposures. - - id: pm-33 - class: SP800-53 - title: Privacy Policies on Websites, Applications, and Digital Services - props: - - name: label - value: PM-33 - - name: sort-id - value: PM-33 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-19" - rel: related - - href: "#pm-20" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: pm-33_smt - name: statement - prose: "Develop and post privacy policies on all external-facing websites,\ - \ mobile applications, and other digital services, that:" - parts: - - id: pm-33_smt.a - name: item - props: - - name: label - value: a. - prose: Are written in plain language and organized in a way that - is easy to understand and navigate; - - id: pm-33_smt.b - name: item - props: - - name: label - value: b. - prose: Provide useful information that the public would need to - make an informed decision about whether and how to interact with - the organization; and - - id: pm-33_smt.c - name: item - props: - - name: label - value: c. - prose: Are updated whenever the organization makes a substantive - change to the practices it describes and includes a time/date - stamp to inform the public of the date of the most recent changes. - - id: pm-33_gdn - name: guidance - prose: Organizations post privacy policies on all external-facing websites, - mobile applications, and other digital services. Organizations should - post a link to the relevant privacy policy on any known, major entry - points to the website, application, or digital service. In addition, - organizations should provide a link to the privacy policy on any webpage - that collects personally identifiable information. - - id: ps - class: family - title: Personnel Security - controls: - - id: ps-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ps-1_prm_1 - label: organization-defined personnel or roles - - id: ps-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ps-1_prm_3 - label: organization-defined official - - id: ps-1_prm_4 - label: organization-defined frequency - - id: ps-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: PS-1 - - name: sort-id - value: PS-01 - links: - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-1_smt - name: statement - parts: - - id: ps-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ps-1_prm_1 }}:" - parts: - - id: ps-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ps-1_prm_2 }} personnel security policy\ - \ that:" - parts: - - id: ps-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ps-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ps-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the personnel - security policy and the associated personnel security controls; - - id: ps-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ps-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the personnel\ - \ security policy and procedures; and" - - id: ps-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current personnel security:" - parts: - - id: ps-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ps-1_prm_4 }}; and" - - id: ps-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ps-1_prm_5 }}." - - id: ps-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the PS family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - params: - - id: ps-2_prm_1 - label: organization-defined frequency - props: - - name: label - value: PS-2 - - name: sort-id - value: PS-02 - links: - - href: "#2383ccfd-d8a0-4e3a-bf40-21288ae1e07a" - rel: reference - - href: "#ac-5" - rel: related - - href: "#at-3" - rel: related - - href: "#pe-2" - rel: related - - href: "#pe-3" - rel: related - - href: "#pl-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-21" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-2_smt - name: statement - parts: - - id: ps-2_smt.a - name: item - props: - - name: label - value: a. - prose: Assign a risk designation to all organizational positions; - - id: ps-2_smt.b - name: item - props: - - name: label - value: b. - prose: Establish screening criteria for individuals filling those - positions; and - - id: ps-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update position risk designations {{ insert:\ - \ param, ps-2_prm_1 }}." - - id: ps-2_gdn - name: guidance - prose: Position risk designations reflect Office of Personnel Management - (OPM) policy and guidance. Proper position designation is the foundation - of an effective and consistent suitability and personnel security - program. The Position Designation System (PDS) assesses the duties - and responsibilities of a position to determine the degree of potential - damage to the efficiency or integrity of the service from misconduct - of an incumbent of a position. This establishes the risk level of - that position. This assessment also determines if a position’s duties - and responsibilities present the potential for position incumbents - to bring about a material adverse effect on the national security, - and the degree of that potential effect, which establishes the sensitivity - level of a position. The results of this assessment determine what - level of investigation is conducted for a position. Risk designations - can guide and inform the types of authorizations individuals receive - when accessing organizational information and information systems. - Position screening criteria include explicit information security - role appointment requirements. Parts 1400 and 731 of Title 5, Code - of Federal Regulations establish the requirements for organizations - to evaluate relevant covered positions for a position sensitivity - and position risk designation commensurate with the duties and responsibilities - of those positions. - - id: ps-3 - class: SP800-53 - title: Personnel Screening - params: - - id: ps-3_prm_1 - label: organization-defined conditions requiring rescreening and, where - rescreening is so indicated, the frequency of rescreening - props: - - name: label - value: PS-3 - - name: sort-id - value: PS-03 - links: - - href: "#52a8b0c6-0c6b-424b-928d-41c50ba87838" - rel: reference - - href: "#2b5e12fb-633f-49e6-8aff-81d75bf53545" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#d5ef0056-c807-44c3-a7b5-6eb491538f8e" - rel: reference - - href: "#013e098f-0680-4856-a130-b768c69dab9c" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-21" - rel: related - parts: - - id: ps-3_smt - name: statement - parts: - - id: ps-3_smt.a - name: item - props: - - name: label - value: a. - prose: Screen individuals prior to authorizing access to the system; - and - - id: ps-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Rescreen individuals in accordance with {{ insert: param,\ - \ ps-3_prm_1 }}." - - id: ps-3_gdn - name: guidance - prose: Personnel screening and rescreening activities reflect applicable - laws, executive orders, directives, regulations, policies, standards, - guidelines, and specific criteria established for the risk designations - of assigned positions. Examples of personnel screening include background - investigations and agency checks. Organizations may define different - rescreening conditions and frequencies for personnel accessing systems - based on types of information processed, stored, or transmitted by - the systems. - controls: - - id: ps-3.1 - class: SP800-53-enhancement - title: Classified Information - props: - - name: label - value: PS-3(1) - - name: sort-id - value: PS-03(01) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ps-3.1_smt - name: statement - prose: Verify that individuals accessing a system processing, storing, - or transmitting classified information are cleared and indoctrinated - to the highest classification level of the information to which - they have access on the system. - - id: ps-3.1_gdn - name: guidance - prose: Classified information is the most sensitive information - the federal government processes, stores, or transmits. It is - imperative that individuals have the requisite security clearances - and system access authorizations prior to gaining access to such - information. Access authorizations are enforced by system access - controls (see AC-3) and flow controls (see AC-4). - - id: ps-3.2 - class: SP800-53-enhancement - title: Formal Indoctrination - props: - - name: label - value: PS-3(2) - - name: sort-id - value: PS-03(02) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - parts: - - id: ps-3.2_smt - name: statement - prose: Verify that individuals accessing a system processing, storing, - or transmitting types of classified information that require formal - indoctrination, are formally indoctrinated for all the relevant - types of information to which they have access on the system. - - id: ps-3.2_gdn - name: guidance - prose: Types of classified information requiring formal indoctrination - include Special Access Program (SAP), Restricted Data (RD), and - Sensitive Compartment Information (SCI). - - id: ps-3.3 - class: SP800-53-enhancement - title: Information with Special Protective Measures - params: - - id: ps-3.3_prm_1 - label: organization-defined additional personnel screening criteria - props: - - name: label - value: PS-3(3) - - name: sort-id - value: PS-03(03) - parts: - - id: ps-3.3_smt - name: statement - prose: "Verify that individuals accessing a system processing, storing,\ - \ or transmitting information requiring special protection:" - parts: - - id: ps-3.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Have valid access authorizations that are demonstrated - by assigned official government duties; and - - id: ps-3.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Satisfy {{ insert: param, ps-3.3_prm_1 }}." - - id: ps-3.3_gdn - name: guidance - prose: Organizational information requiring special protection includes - controlled unclassified information. Personnel security criteria - include position sensitivity background screening requirements. - - id: ps-3.4 - class: SP800-53-enhancement - title: Citizenship Requirements - params: - - id: ps-3.4_prm_1 - label: organization-defined information types - - id: ps-3.4_prm_2 - label: organization-defined citizenship requirements - props: - - name: label - value: PS-3(4) - - name: sort-id - value: PS-03(04) - parts: - - id: ps-3.4_smt - name: statement - prose: "Verify that individuals accessing a system processing, storing,\ - \ or transmitting {{ insert: param, ps-3.4_prm_1 }} meet {{ insert:\ - \ param, ps-3.4_prm_2 }}." - - id: ps-3.4_gdn - name: guidance - prose: None. - - id: ps-4 - class: SP800-53 - title: Personnel Termination - params: - - id: ps-4_prm_1 - label: organization-defined time-period - - id: ps-4_prm_2 - label: organization-defined information security topics - props: - - name: label - value: PS-4 - - name: sort-id - value: PS-04 - links: - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - parts: - - id: ps-4_smt - name: statement - prose: "Upon termination of individual employment:" - parts: - - id: ps-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Disable system access within {{ insert: param, ps-4_prm_1\ - \ }};" - - id: ps-4_smt.b - name: item - props: - - name: label - value: b. - prose: Terminate or revoke any authenticators and credentials associated - with the individual; - - id: ps-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Conduct exit interviews that include a discussion of {{\ - \ insert: param, ps-4_prm_2 }};" - - id: ps-4_smt.d - name: item - props: - - name: label - value: d. - prose: Retrieve all security-related organizational system-related - property; and - - id: ps-4_smt.e - name: item - props: - - name: label - value: e. - prose: Retain access to organizational information and systems formerly - controlled by terminated individual. - - id: ps-4_gdn - name: guidance - prose: System property includes hardware authentication tokens, system - administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals - understand the security constraints imposed by being former employees - and that proper accountability is achieved for system-related property. - Security topics at exit interviews include reminding individuals of - nondisclosure agreements and potential limitations on future employment. - Exit interviews may not always be possible for some individuals including - in cases related to unavailability of supervisors, illnesses, or job - abandonment. Exit interviews are important for individuals with security - clearances. Timely execution of termination actions is essential for - individuals who have been terminated for cause. In certain situations, - organizations consider disabling system accounts of individuals that - are being terminated prior to the individuals being notified. - controls: - - id: ps-4.1 - class: SP800-53-enhancement - title: Post-employment Requirements - props: - - name: label - value: PS-4(1) - - name: sort-id - value: PS-04(01) - parts: - - id: ps-4.1_smt - name: statement - parts: - - id: ps-4.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Notify terminated individuals of applicable, legally - binding post-employment requirements for the protection of - organizational information; and - - id: ps-4.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Require terminated individuals to sign an acknowledgment - of post-employment requirements as part of the organizational - termination process. - - id: ps-4.1_gdn - name: guidance - prose: Organizations consult with the Office of the General Counsel - regarding matters of post-employment requirements on terminated - individuals. - - id: ps-4.2 - class: SP800-53-enhancement - title: Automated Notification - params: - - id: ps-4.2_prm_1 - label: organization-defined personnel or roles - - id: ps-4.2_prm_2 - label: organization-defined automated mechanisms - props: - - name: label - value: PS-4(2) - - name: sort-id - value: PS-04(02) - parts: - - id: ps-4.2_smt - name: statement - prose: "Notify {{ insert: param, ps-4.2_prm_1 }} of individual termination\ - \ actions using {{ insert: param, ps-4.2_prm_2 }}." - - id: ps-4.2_gdn - name: guidance - prose: In organizations with many employees, not all personnel who - need to know about termination actions receive the appropriate - notifications—or, if such notifications are received, they may - not occur in a timely manner. Automated mechanisms can be used - to send automatic alerts or notifications to organizational personnel - or roles when individuals are terminated. Such automatic alerts - or notifications can be conveyed in a variety of ways, including - telephonically, via electronic mail, via text message, or via - websites. - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - params: - - id: ps-5_prm_1 - label: organization-defined transfer or reassignment actions - - id: ps-5_prm_2 - label: organization-defined time-period following the formal transfer - action - - id: ps-5_prm_3 - label: organization-defined personnel or roles - - id: ps-5_prm_4 - label: organization-defined time-period - props: - - name: label - value: PS-5 - - name: sort-id - value: PS-05 - links: - - href: "#ac-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#pe-2" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-7" - rel: related - parts: - - id: ps-5_smt - name: statement - parts: - - id: ps-5_smt.a - name: item - props: - - name: label - value: a. - prose: Review and confirm ongoing operational need for current logical - and physical access authorizations to systems and facilities when - individuals are reassigned or transferred to other positions within - the organization; - - id: ps-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Initiate {{ insert: param, ps-5_prm_1 }} within {{ insert:\ - \ param, ps-5_prm_2 }};" - - id: ps-5_smt.c - name: item - props: - - name: label - value: c. - prose: Modify access authorization as needed to correspond with - any changes in operational need due to reassignment or transfer; - and - - id: ps-5_smt.d - name: item - props: - - name: label - value: d. - prose: "Notify {{ insert: param, ps-5_prm_3 }} within {{ insert:\ - \ param, ps-5_prm_4 }}." - - id: ps-5_gdn - name: guidance - prose: Personnel transfer applies when reassignments or transfers of - individuals are permanent or of such extended durations as to make - the actions warranted. Organizations define actions appropriate for - the types of reassignments or transfers, whether permanent or extended. - Actions that may be required for personnel transfers or reassignments - to other positions within organizations include returning old and - issuing new keys, identification cards, and building passes; closing - system accounts and establishing new accounts; changing system access - authorizations (i.e., privileges); and providing for access to official - records to which individuals had access at previous work locations - and in previous system accounts. - - id: ps-6 - class: SP800-53 - title: Access Agreements - params: - - id: ps-6_prm_1 - label: organization-defined frequency - - id: ps-6_prm_2 - label: organization-defined frequency - props: - - name: label - value: PS-6 - - name: sort-id - value: PS-06 - links: - - href: "#ac-17" - rel: related - - href: "#pe-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-21" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ps-6_smt - name: statement - parts: - - id: ps-6_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and document access agreements for organizational - systems; - - id: ps-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Review and update the access agreements {{ insert: param,\ - \ ps-6_prm_1 }}; and" - - id: ps-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Verify that individuals requiring access to organizational\ - \ information and systems:" - parts: - - id: ps-6_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: Sign appropriate access agreements prior to being granted - access; and - - id: ps-6_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Re-sign access agreements to maintain access to organizational\ - \ systems when access agreements have been updated or {{ insert:\ - \ param, ps-6_prm_2 }}." - - id: ps-6_gdn - name: guidance - prose: Access agreements include nondisclosure agreements, acceptable - use agreements, rules of behavior, and conflict-of-interest agreements. - Signed access agreements include an acknowledgement that individuals - have read, understand, and agree to abide by the constraints associated - with organizational systems to which access is authorized. Organizations - can use electronic signatures to acknowledge access agreements unless - specifically prohibited by organizational policy. - controls: - - id: ps-6.1 - class: SP800-53-enhancement - title: Information Requiring Special Protection - props: - - name: label - value: PS-6(1) - - name: status - value: Withdrawn - - name: sort-id - value: PS-06(01) - links: - - href: "#ps-3" - rel: incorporated-into - - id: ps-6.2 - class: SP800-53-enhancement - title: Classified Information Requiring Special Protection - props: - - name: label - value: PS-6(2) - - name: sort-id - value: PS-06(02) - parts: - - id: ps-6.2_smt - name: statement - prose: "Verify that access to classified information requiring special\ - \ protection is granted only to individuals who:" - parts: - - id: ps-6.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Have a valid access authorization that is demonstrated - by assigned official government duties; - - id: ps-6.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Satisfy associated personnel security criteria; and - - id: ps-6.2_smt.c - name: item - props: - - name: label - value: (c) - prose: Have read, understood, and signed a nondisclosure agreement. - - id: ps-6.2_gdn - name: guidance - prose: Classified information requiring special protection includes - collateral information, Special Access Program (SAP) information, - and Sensitive Compartmented Information (SCI). Personnel security - criteria reflect applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. - - id: ps-6.3 - class: SP800-53-enhancement - title: Post-employment Requirements - props: - - name: label - value: PS-6(3) - - name: sort-id - value: PS-06(03) - links: - - href: "#ps-4" - rel: related - parts: - - id: ps-6.3_smt - name: statement - parts: - - id: ps-6.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Notify individuals of applicable, legally binding post-employment - requirements for protection of organizational information; - and - - id: ps-6.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Require individuals to sign an acknowledgment of these - requirements, if applicable, as part of granting initial access - to covered information. - - id: ps-6.3_gdn - name: guidance - prose: Organizations consult with the Office of the General Counsel - regarding matters of post-employment requirements on terminated - individuals. - - id: ps-7 - class: SP800-53 - title: External Personnel Security - params: - - id: ps-7_prm_1 - label: organization-defined personnel or roles - - id: ps-7_prm_2 - label: organization-defined time-period - props: - - name: label - value: PS-7 - - name: sort-id - value: PS-07 - links: - - href: "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505" - rel: reference - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-4" - rel: related - - href: "#ps-5" - rel: related - - href: "#ps-6" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-21" - rel: related - parts: - - id: ps-7_smt - name: statement - parts: - - id: ps-7_smt.a - name: item - props: - - name: label - value: a. - prose: Establish personnel security requirements, including security - roles and responsibilities for external providers; - - id: ps-7_smt.b - name: item - props: - - name: label - value: b. - prose: Require external providers to comply with personnel security - policies and procedures established by the organization; - - id: ps-7_smt.c - name: item - props: - - name: label - value: c. - prose: Document personnel security requirements; - - id: ps-7_smt.d - name: item - props: - - name: label - value: d. - prose: "Require external providers to notify {{ insert: param, ps-7_prm_1\ - \ }} of any personnel transfers or terminations of external personnel\ - \ who possess organizational credentials and/or badges, or who\ - \ have system privileges within {{ insert: param, ps-7_prm_2 }};\ - \ and" - - id: ps-7_smt.e - name: item - props: - - name: label - value: e. - prose: Monitor provider compliance with personnel security requirements. - - id: ps-7_gdn - name: guidance - prose: External provider refers to organizations other than the organization - operating or acquiring the system. External providers include service - bureaus, contractors, and other organizations providing system development, - information technology services, testing or assessment services, outsourced - applications, and network/security management. Organizations explicitly - include personnel security requirements in acquisition-related documents. - External providers may have personnel working at organizational facilities - with credentials, badges, or system privileges issued by organizations. - Notifications of external personnel changes ensure appropriate termination - of privileges and credentials. Organizations define the transfers - and terminations deemed reportable by security-related characteristics - that include functions, roles, and nature of credentials or privileges - associated with individuals transferred or terminated. - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - params: - - id: ps-8_prm_1 - label: organization-defined personnel or roles - - id: ps-8_prm_2 - label: organization-defined time-period - props: - - name: label - value: PS-8 - - name: sort-id - value: PS-08 - links: - - href: "#ac-1" - rel: related - - href: "#at-1" - rel: related - - href: "#au-1" - rel: related - - href: "#ca-1" - rel: related - - href: "#cm-1" - rel: related - - href: "#cp-1" - rel: related - - href: "#ia-1" - rel: related - - href: "#ir-1" - rel: related - - href: "#ma-1" - rel: related - - href: "#mp-1" - rel: related - - href: "#pe-1" - rel: related - - href: "#pl-1" - rel: related - - href: "#pm-1" - rel: related - - href: "#ps-1" - rel: related - - href: "#pt-1" - rel: related - - href: "#ra-1" - rel: related - - href: "#sa-1" - rel: related - - href: "#sc-1" - rel: related - - href: "#si-1" - rel: related - - href: "#sr-1" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#ps-6" - rel: related - - href: "#pt-1" - rel: related - parts: - - id: ps-8_smt - name: statement - parts: - - id: ps-8_smt.a - name: item - props: - - name: label - value: a. - prose: Employ a formal sanctions process for individuals failing - to comply with established information security and privacy policies - and procedures; and - - id: ps-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Notify {{ insert: param, ps-8_prm_1 }} within {{ insert:\ - \ param, ps-8_prm_2 }} when a formal employee sanctions process\ - \ is initiated, identifying the individual sanctioned and the\ - \ reason for the sanction." - - id: ps-8_gdn - name: guidance - prose: Organizational sanctions reflect applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines. Sanctions - processes are described in access agreements and can be included as - part of general personnel policies for organizations and/or specified - in security and privacy policies. Organizations consult with the Office - of the General Counsel regarding matters of employee sanctions. - - id: pt - class: family - title: Personally Identifiable Information Processing and Transparency - controls: - - id: pt-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: pt-1_prm_1 - label: organization-defined personnel or roles - - id: pt-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: pt-1_prm_3 - label: organization-defined official - - id: pt-1_prm_4 - label: organization-defined frequency - - id: pt-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: PT-1 - - name: sort-id - value: PT-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - parts: - - id: pt-1_smt - name: statement - parts: - - id: pt-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ pt-1_prm_1 }}:" - parts: - - id: pt-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, pt-1_prm_2 }} personally identifiable\ - \ information processing and transparency policy that:" - parts: - - id: pt-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: pt-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: pt-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the personally - identifiable information processing and transparency policy - and the associated personally identifiable information processing - and transparency controls; - - id: pt-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, pt-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the incident\ - \ personally identifiable information processing and transparency\ - \ policy and procedures; and" - - id: pt-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current personally identifiable information\ - \ processing and transparency:" - parts: - - id: pt-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, pt-1_prm_4 }}; and" - - id: pt-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, pt-1_prm_5 }}." - - id: pt-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the PT family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: pt-2 - class: SP800-53 - title: Authority to Process Personally Identifiable Information - params: - - id: pt-2_prm_1 - label: organization-defined authority - - id: pt-2_prm_2 - label: organization-defined processing - - id: pt-2_prm_3 - label: organization-defined processing - props: - - name: label - value: PT-2 - - name: sort-id - value: PT-02 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ac-3" - rel: related - - href: "#cm-13" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-24" - rel: related - - href: "#pt-1" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-8" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-2_smt - name: statement - parts: - - id: pt-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine and document the {{ insert: param, pt-2_prm_1\ - \ }} that permits the {{ insert: param, pt-2_prm_2 }} of personally\ - \ identifiable information; and" - - id: pt-2_smt.b - name: item - props: - - name: label - value: b. - prose: "Restrict the {{ insert: param, pt-2_prm_3 }} of personally\ - \ identifiable information to only that which is authorized." - - id: pt-2_gdn - name: guidance - prose: Processing of personally identifiable information is an operation - or set of operations that the information system or organization performs - with respect to personally identifiable information across the information - life cycle. Processing includes, but is not limited to, creation, - collection, use, processing, storage, maintenance, dissemination, - disclosure, and disposal. Processing operations also include logging, - generation, and transformation, as well as analysis techniques, such - as data mining. Organizations may be subject to laws, executive orders, - directives, regulations, or policies that establish the organization’s - authority and thereby limit certain types of processing of personally - identifiable information or establish other requirements related to - the processing. Organizational personnel consult with the senior agency - official for privacy and legal counsel regarding such authority, particularly - if the organization is subject to multiple jurisdictions or sources - of authority. For organizations whose processing is not determined - according to legal authorities, the organizations’ policies and determinations - govern how they process personally identifiable information. While - processing of personally identifiable information may be legally permissible, - privacy risks may still arise from its processing. Privacy risk assessments - can identify the privacy risks associated with the authorized processing - of personally identifiable information and support solutions to manage - such risks. Organizations consider applicable requirements and organizational - policies to determine how to document this authority. For federal - agencies, the authority to process personally identifiable information - is documented in privacy policies and notices, system of records notices, - privacy impact assessments, [PRIVACT] statements, computer matching - agreements and notices, contracts, information sharing agreements, - memoranda of understanding, and/or other documentation. Organizations - take steps to ensure that personally identifiable information is processed - only for authorized purposes, including training organizational personnel - on the authorized processing of personally identifiable information - and monitoring and auditing organizational use of personally identifiable - information. - controls: - - id: pt-2.1 - class: SP800-53-enhancement - title: Data Tagging - params: - - id: pt-2.1_prm_1 - label: organization-defined permissible processing - - id: pt-2.1_prm_2 - label: organization-defined elements of personally identifiable - information - props: - - name: label - value: PT-2(1) - - name: sort-id - value: PT-02(01) - links: - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-2.1_smt - name: statement - prose: "Attach data tags containing {{ insert: param, pt-2.1_prm_1\ - \ }} to {{ insert: param, pt-2.1_prm_2 }}." - - id: pt-2.1_gdn - name: guidance - prose: Data tags support tracking and enforcement of authorized - processing by conveying the types of processing that are authorized - along with the relevant elements of personally identifiable information - throughout the system. Data tags may also support the use of automated - tools. - - id: pt-2.2 - class: SP800-53-enhancement - title: Automation - params: - - id: pt-2.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: PT-2(2) - - name: sort-id - value: PT-02(02) - links: - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-2.2_smt - name: statement - prose: "Manage enforcement of the authorized processing of personally\ - \ identifiable information using {{ insert: param, pt-2.2_prm_1\ - \ }}." - - id: pt-2.2_gdn - name: guidance - prose: Automated mechanisms augment verification that only authorized - processing is occurring. - - id: pt-3 - class: SP800-53 - title: Personally Identifiable Information Processing Purposes - params: - - id: pt-3_prm_1 - label: Assignment organization-defined purpose(s) - - id: pt-3_prm_2 - label: organization-defined processing - - id: pt-3_prm_3 - label: organization-defined mechanisms - - id: pt-3_prm_4 - label: organization-defined requirements - props: - - name: label - value: PT-3 - - name: sort-id - value: PT-03 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ac-3" - rel: related - - href: "#at-3" - rel: related - - href: "#cm-13" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-25" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-6" - rel: related - - href: "#pt-7" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-8" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-12" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-3_smt - name: statement - parts: - - id: pt-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify and document the {{ insert: param, pt-3_prm_1 }}\ - \ for processing personally identifiable information;" - - id: pt-3_smt.b - name: item - props: - - name: label - value: b. - prose: Describe the purpose(s) in the public privacy notices and - policies of the organization; - - id: pt-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Restrict the {{ insert: param, pt-3_prm_2 }} of personally\ - \ identifiable information to only that which is compatible with\ - \ the identified purpose(s); and" - - id: pt-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Monitor changes in processing personally identifiable information\ - \ and implement {{ insert: param, pt-3_prm_3 }} to ensure that\ - \ any changes are made in accordance with {{ insert: param, pt-3_prm_4\ - \ }}." - - id: pt-3_gdn - name: guidance - prose: Identifying and documenting the purpose for processing provides - organizations with a basis for understanding why personally identifiable - information may be processed. The term process includes every step - of the information life cycle, including creation, collection, use, - processing, storage, maintenance, dissemination, disclosure, and disposal. - Identifying and documenting the purpose of processing is a prerequisite - to enabling owners and operators of the system, and individuals whose - information is processed by the system, to understand how the information - will be processed. This enables individuals to make informed decisions - about their engagement with information systems and organizations, - and to manage their privacy interests. Once the specific processing - purpose has been identified, the purpose is described in the organization’s - privacy notices, policies, and any related privacy compliance documentation, - including privacy impact assessments, system of records notices, [PRIVACT] - statements, computer matching notices, and other applicable Federal - Register notices. Organizations take steps to help ensure that personally - identifiable information is processed only for identified purposes, - including training organizational personnel and monitoring and auditing - organizational processing of personally identifiable information. - Organizations monitor for changes in personally identifiable information - processing. Organizational personnel consult with the senior agency - official for privacy and legal counsel to ensure that any new purposes - arising from changes in processing are compatible with the purpose - for which the information was collected, or if the new purpose is - not compatible, implement mechanisms in accordance with defined requirements - to allow for the new processing, if appropriate. Mechanisms may include - obtaining consent from individuals, revising privacy policies, or - other measures to manage privacy risks arising from changes in personally - identifiable information processing purposes. - controls: - - id: pt-3.1 - class: SP800-53-enhancement - title: Data Tagging - params: - - id: pt-3.1_prm_1 - label: organization-defined elements of personally identifiable - information - - id: pt-3.1_prm_2 - label: organization-defined processing purposes - props: - - name: label - value: PT-3(1) - - name: sort-id - value: PT-03(01) - links: - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-3.1_smt - name: statement - prose: "Attach data tags containing the following purposes to {{\ - \ insert: param, pt-3.1_prm_1 }}: {{ insert: param, pt-3.1_prm_2\ - \ }}." - - id: pt-3.1_gdn - name: guidance - prose: Data tags support tracking of processing purposes by conveying - the purposes along with the relevant elements of personally identifiable - information throughout the system. By conveying the processing - purposes in a data tag along with the personally identifiable - information as the information transits a system, a system owner - or operator can identify whether a change in processing would - be compatible with the identified and documented purposes. Data - tags may also support the use of automated tools. - - id: pt-3.2 - class: SP800-53-enhancement - title: Automation - params: - - id: pt-3.2_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: PT-3(2) - - name: sort-id - value: PT-03(02) - links: - - href: "#ca-6" - rel: related - - href: "#cm-12" - rel: related - - href: "#pm-5" - rel: related - - href: "#pm-22" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-10" - rel: related - - href: "#si-15" - rel: related - - href: "#si-19" - rel: related - parts: - - id: pt-3.2_smt - name: statement - prose: "Track processing purposes of personally identifiable information\ - \ using {{ insert: param, pt-3.2_prm_1 }}." - - id: pt-3.2_gdn - name: guidance - prose: Automated mechanisms augment tracking of the processing purposes. - - id: pt-4 - class: SP800-53 - title: Minimization - params: - - id: pt-4_prm_1 - label: organization-defined processes - props: - - name: label - value: PT-4 - - name: sort-id - value: PT-04 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#pm-25" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-42" - rel: related - - href: "#si-12" - rel: related - parts: - - id: pt-4_smt - name: statement - prose: "Implement the privacy principle of minimization using {{ insert:\ - \ param, pt-4_prm_1 }}." - - id: pt-4_gdn - name: guidance - prose: The principle of minimization states that organizations should - only process personally identifiable information that is directly - relevant and necessary to accomplish an authorized purpose, and should - only maintain personally identifiable information for as long as is - necessary to accomplish the purpose. Organizations have processes - in place, consistent with applicable laws and policies, to implement - the principle of minimization. - - id: pt-5 - class: SP800-53 - title: Consent - params: - - id: pt-5_prm_1 - label: organization-defined tools or mechanisms - props: - - name: label - value: PT-5 - - name: sort-id - value: PT-05 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#ac-16" - rel: related - - href: "#pt-6" - rel: related - parts: - - id: pt-5_smt - name: statement - prose: "Implement {{ insert: param, pt-5_prm_1 }} for individuals to\ - \ consent to the processing of their personally identifiable information\ - \ prior to its collection that:" - parts: - - id: pt-5_smt.a - name: item - props: - - name: label - value: a. - prose: Facilitate individuals’ informed decision-making; and - - id: pt-5_smt.b - name: item - props: - - name: label - value: b. - prose: Provide a means for individuals to decline consent. - - id: pt-5_gdn - name: guidance - prose: Consent allows individuals to participate in the decision-making - about the processing of their information and transfers some of the - risk that arises from the processing of personally identifiable information - from the organization to an individual. Organizations consider whether - other controls may more effectively mitigate privacy risk either alone - or in conjunction with consent. Consent may be required by applicable - laws, executive orders, directives, regulations, policies, standards, - or guidelines. Otherwise, when selecting this control, organizations - consider whether individuals can be reasonably expected to understand - and accept the privacy risks arising from their authorization. Organizations - also consider any demographic or contextual factors that may influence - the understanding or behavior of individuals with respect to the data - actions carried out by the system or organization. When soliciting - consent from individuals, organizations consider the appropriate mechanism - for obtaining consent, including how to properly authenticate and - identity proof individuals and how to obtain consent through electronic - means. In addition, organizations consider providing a mechanism for - individuals to revoke consent once it has been provided, as appropriate. - Finally, organizations consider usability factors to help individuals - understand the risks being accepted when providing consent, including - the use of plain language and avoiding technical jargon. - controls: - - id: pt-5.1 - class: SP800-53-enhancement - title: Tailored Consent - params: - - id: pt-5.1_prm_1 - label: organization-defined mechanisms - props: - - name: label - value: PT-5(1) - - name: sort-id - value: PT-05(01) - links: - - href: "#pt-2" - rel: related - parts: - - id: pt-5.1_smt - name: statement - prose: "Provide {{ insert: param, pt-5.1_prm_1 }} to allow individuals\ - \ to tailor processing permissions to selected elements of personally\ - \ identifiable information." - - id: pt-5.1_gdn - name: guidance - prose: While some processing may be necessary for the basic functionality - of the product or service, other processing may not be necessary - for the functionality of the product or service. In these circumstances, - organizations allow individuals to select how specific personally - identifiable information elements may be processed. More tailored - consent may help reduce privacy risk, increase individual satisfaction, - and avoid adverse behaviors such as abandonment of the product - or service. - - id: pt-5.2 - class: SP800-53-enhancement - title: Just-in-time Consent - params: - - id: pt-5.2_prm_1 - label: organization-defined consent mechanisms - props: - - name: label - value: PT-5(2) - - name: sort-id - value: PT-05(02) - links: - - href: "#pt-2" - rel: related - parts: - - id: pt-5.2_smt - name: statement - prose: "Present {{ insert: param, pt-5.2_prm_1 }} to individuals\ - \ at a time and location where the individual provides personally\ - \ identifiable information or in conjunction with a data action." - - id: pt-5.2_gdn - name: guidance - prose: Just-in-time consent enables individuals to participate in - how their personally identifiable information is being processed - at the time when such participation may be most useful to the - individual. Individual assumptions about how personally identifiable - information will be processed might not be accurate or reliable - if time has passed since the individual last gave consent or the - particular circumstances under which consent was given have changed. - Organizations use discretion to determine when to use just-in-time - consent and may use supporting information on demographics, focus - groups, or surveys to learn more about individuals’ privacy interests - and concerns. - - id: pt-6 - class: SP800-53 - title: Privacy Notice - params: - - id: pt-6_prm_1 - label: organization-defined frequency - - id: pt-6_prm_2 - label: organization-defined information - props: - - name: label - value: PT-6 - - name: sort-id - value: PT-06 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#pm-20" - rel: related - - href: "#pm-22" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-8" - rel: related - - href: "#ra-3" - rel: related - - href: "#si-18" - rel: related - parts: - - id: pt-6_smt - name: statement - prose: "Provide notice to individuals about the processing of personally\ - \ identifiable information that:" - parts: - - id: pt-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Is available to individuals upon first interacting with\ - \ an organization, and subsequently at {{ insert: param, pt-6_prm_1\ - \ }};" - - id: pt-6_smt.b - name: item - props: - - name: label - value: b. - prose: Is clear and easy-to-understand, expressing information about - personally identifiable information processing in plain language; - - id: pt-6_smt.c - name: item - props: - - name: label - value: c. - prose: Identifies the authority that authorizes the processing of - personally identifiable information; - - id: pt-6_smt.d - name: item - props: - - name: label - value: d. - prose: Identifies the purposes for which personally identifiable - information is to be processed; and - - id: pt-6_smt.e - name: item - props: - - name: label - value: e. - prose: "Includes {{ insert: param, pt-6_prm_2 }}." - - id: pt-6_gdn - name: guidance - prose: Privacy notices help inform individuals about how their personally - identifiable information is being processed by the system or organization. - Organizations use privacy notices to inform individuals about how, - under what authority, and for what purpose their personally identifiable - information is processed, as well as other information such as choices - individuals might have with respect to that processing and, other - parties with whom information is shared. Laws, executive orders, directives, - regulations, or policies may require that privacy notices include - specific elements or be provided in specific formats. Federal agency - personnel consult with the senior agency official for privacy and - legal counsel regarding when and where to provide privacy notices, - as well as elements to include in privacy notices and required formats. - In circumstances where laws or government-wide policies do not require - privacy notices, organizational policies and determinations may require - privacy notices and may serve as a source of the elements to include - in privacy notices. Privacy risk assessments identify the privacy - risks associated with the processing of personally identifiable information - and may help organizations determine appropriate elements to include - in a privacy notice to manage such risks. To help individuals understand - how their information is being processed, organizations write materials - in plain language and avoid technical jargon. - controls: - - id: pt-6.1 - class: SP800-53-enhancement - title: Just-in-time Notice - params: - - id: pt-6.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: PT-6(1) - - name: sort-id - value: PT-06(01) - links: - - href: "#pm-21" - rel: related - parts: - - id: pt-6.1_smt - name: statement - prose: "Present notice of personally identifiable information processing\ - \ to individuals at a time and location where the individual provides\ - \ personally identifiable information or in conjunction with a\ - \ data action, or {{ insert: param, pt-6.1_prm_1 }}." - - id: pt-6.1_gdn - name: guidance - prose: Just-in-time notice enables individuals to be informed of - how organizations process their personally identifiable information - at a time when such notice may be most useful to the individual. - Individual assumption about how personally identifiable information - will be processed might not be accurate or reliable if time has - passed since the organization last presented notice or the circumstances - under which the individual was last provided notice have changed. - Just-in-time notice can explain data actions that organizations - have identified as potentially giving rise to greater privacy - risk for individuals. Organizations can use just-in-time notice - to update or remind individuals about specific data actions as - they occur or highlight specific changes that occurred since last - presenting notice. Just-in-time notice can be used in conjunction - with just-in-time consent to explain what will occur if consent - is declined. Organizations use discretion to determine when to - use just-in-time notice and may use supporting information on - user demographics, focus groups, or surveys to learn about users’ - privacy interests and concerns. - - id: pt-6.2 - class: SP800-53-enhancement - title: Privacy Act Statements - props: - - name: label - value: PT-6(2) - - name: sort-id - value: PT-06(02) - links: - - href: "#pt-7" - rel: related - parts: - - id: pt-6.2_smt - name: statement - prose: Include Privacy Act statements on forms that collect information - that will be maintained in a Privacy Act system of records, or - provide Privacy Act statements on separate forms that can be retained - by individuals. - - id: pt-6.2_gdn - name: guidance - prose: If a federal agency asks individuals to supply information - that will become part of a system of records, the agency is required - to provide a [PRIVACT] statement on the form used to collect the - information or on a separate form that can be retained by the - individual. The agency provides a [PRIVACT] statement in such - circumstances regardless of whether the information will be collected - on a paper or electronic form, on a website, on a mobile application, - over the telephone, or through some other medium. This requirement - ensures that the individual is provided with sufficient information - about the request for information to make an informed decision - on whether or not to respond. [PRIVACT] statements provide formal - notice to individuals of the authority that authorizes the solicitation - of the information; whether providing the information is mandatory - or voluntary; the principal purpose(s) for which the information - is to be used; the published routine uses to which the information - is subject; the effects on the individual, if any, of not providing - all or any part of the information requested; and an appropriate - citation and link to the relevant system of records notice. Federal - agency personnel consult with the senior agency official for privacy - and legal counsel regarding the notice provisions of the [PRIVACT]. - - id: pt-7 - class: SP800-53 - title: System of Records Notice - props: - - name: label - value: PT-7 - - name: sort-id - value: PT-07 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#pm-20" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-6" - rel: related - parts: - - id: pt-7_smt - name: statement - prose: "For systems that process information that will be maintained\ - \ in a Privacy Act system of records:" - parts: - - id: pt-7_smt.a - name: item - props: - - name: label - value: a. - prose: Draft system of records notices in accordance with OMB guidance - and submit new and significantly modified system of records notices - to the OMB and appropriate congressional committees for advance - review; - - id: pt-7_smt.b - name: item - props: - - name: label - value: b. - prose: Publish system of records notices in the Federal Register; - and - - id: pt-7_smt.c - name: item - props: - - name: label - value: c. - prose: Keep system of records notices accurate, up-to-date, and - scoped in accordance with policy. - - id: pt-7_gdn - name: guidance - prose: The [PRIVACT] requires that federal agencies publish a system - of records notice in the Federal Register upon the establishment and/or - modification of a [PRIVACT] system of records. As a general matter, - a system of records notice is required when an agency maintains a - group of any records under the control of the agency from which information - is retrieved by the name of an individual or by some identifying number, - symbol, or other identifier. The notice describes the existence and - character of the system, and identifies the system of records, the - purpose(s) of the system, the authority for maintenance of the records, - the categories of records maintained in the system, the categories - of individuals about whom records are maintained, the routine uses - to which the records are subject, and additional details about the - system as described in [OMB A-108]. - controls: - - id: pt-7.1 - class: SP800-53-enhancement - title: Routine Uses - params: - - id: pt-7.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: PT-7(1) - - name: sort-id - value: PT-07(01) - parts: - - id: pt-7.1_smt - name: statement - prose: "Review all routine uses published in the system of records\ - \ notice at {{ insert: param, pt-7.1_prm_1 }} to ensure continued\ - \ accuracy, and to ensure that routine uses continue to be compatible\ - \ with the purpose for which the information was collected." - - id: pt-7.1_gdn - name: guidance - prose: A [PRIVACT] routine use is a particular kind of disclosure - of a record outside of the federal agency maintaining the system - of records. A routine use is an exception to the [PRIVACT] prohibition - on the disclosure of a record in a system of records without the - prior written consent of the individual to whom the record pertains. - To qualify as a routine use, the disclosure must be for a purpose - that is compatible with the purpose for which the information - was originally collected. The [PRIVACT] requires agencies to describe - each routine use of the records maintained in the system of records, - including the categories of users of the records and the purpose - of the use. Agencies may only establish routine uses by explicitly - publishing them in the relevant system of records notice. - - id: pt-7.2 - class: SP800-53-enhancement - title: Exemption Rules - params: - - id: pt-7.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: PT-7(2) - - name: sort-id - value: PT-07(02) - parts: - - id: pt-7.2_smt - name: statement - prose: "Review all Privacy Act exemptions claimed for the system\ - \ of records at {{ insert: param, pt-7.2_prm_1 }} to ensure they\ - \ remain appropriate and necessary in accordance with law, that\ - \ they have been promulgated as regulations, and that they are\ - \ accurately described in the system of records notice." - - id: pt-7.2_gdn - name: guidance - prose: The [PRIVACT] includes two sets of provisions that allow - federal agencies to claim exemptions from certain requirements - in the statute. These provisions allow agencies in certain circumstances - to promulgate regulations to exempt a system of records from select - provisions of the [PRIVACT]. At a minimum, organizations’ [PRIVACT] - exemption regulations include the specific name(s) of any system(s) - of records that will be exempt, the specific provisions of the - [PRIVACT] from which the system(s) of records is to be exempted, - the reasons for the exemption, and an explanation for why the - exemption is both necessary and appropriate. - - id: pt-8 - class: SP800-53 - title: Specific Categories of Personally Identifiable Information - params: - - id: pt-8_prm_1 - label: organization-defined processing conditions - props: - - name: label - value: PT-8 - - name: sort-id - value: PT-08 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - parts: - - id: pt-8_smt - name: statement - prose: "Apply {{ insert: param, pt-8_prm_1 }} for specific categories\ - \ of personally identifiable information." - - id: pt-8_gdn - name: guidance - prose: Organizations apply any conditions or protections that may be - necessary for specific categories of personally identifiable information. - These conditions may be required by laws, executive orders, directives, - regulations, policies, standards, or guidelines. The requirements - may also come from organizational policies and determinations when - an organization has determined that a particular category of personally - identifiable information is particularly sensitive or raises particular - privacy risks. Organizations consult with the senior agency official - for privacy and legal counsel regarding any protections that may be - necessary. - controls: - - id: pt-8.1 - class: SP800-53-enhancement - title: Social Security Numbers - props: - - name: label - value: PT-8(1) - - name: sort-id - value: PT-08(01) - parts: - - id: pt-8.1_smt - name: statement - prose: "When a system processes Social Security numbers:" - parts: - - id: pt-8.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Eliminate unnecessary collection, maintenance, and use - of Social Security numbers, and explore alternatives to their - use as a personal identifier; - - id: pt-8.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Do not deny any individual any right, benefit, or privilege - provided by law because of such individual’s refusal to disclose - his or her Social Security number; and - - id: pt-8.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Inform any individual who is asked to disclose his or - her Social Security number whether that disclosure is mandatory - or voluntary, by what statutory or other authority such number - is solicited, and what uses will be made of it. - - id: pt-8.1_gdn - name: guidance - prose: Federal law and policy establish specific requirements for - organizations’ processing of Social Security numbers. Organizations - take steps to eliminate unnecessary uses of Social Security numbers - and other sensitive information, and observe any particular requirements - that apply. - - id: pt-8.2 - class: SP800-53-enhancement - title: First Amendment Information - props: - - name: label - value: PT-8(2) - - name: sort-id - value: PT-08(02) - parts: - - id: pt-8.2_smt - name: statement - prose: Prohibit the processing of information describing how any - individual exercises rights guaranteed by the First Amendment - unless expressly authorized by statute or by the individual or - unless pertinent to and within the scope of an authorized law - enforcement activity. - - id: pt-8.2_gdn - name: guidance - prose: "None. Related Controls: The [PRIVACT] limits agencies’ ability\ - \ to process information that describes how individuals exercise\ - \ rights guaranteed by the First Amendment. Organizations consult\ - \ with the senior agency official for privacy and legal counsel\ - \ regarding these requirements." - - id: pt-9 - class: SP800-53 - title: Computer Matching Requirements - props: - - name: label - value: PT-9 - - name: sort-id - value: PT-09 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#395f6bb9-bcc2-41fc-977f-04372f4a6a82" - rel: reference - - href: "#pm-24" - rel: related - parts: - - id: pt-9_smt - name: statement - prose: "When a system or organization processes information for the\ - \ purpose of conducting a matching program:" - parts: - - id: pt-9_smt.a - name: item - props: - - name: label - value: a. - prose: Obtain approval from the Data Integrity Board to conduct - the matching program; - - id: pt-9_smt.b - name: item - props: - - name: label - value: b. - prose: Develop and enter into a computer matching agreement; - - id: pt-9_smt.c - name: item - props: - - name: label - value: c. - prose: Publish a matching notice in the Federal Register; - - id: pt-9_smt.d - name: item - props: - - name: label - value: d. - prose: Independently verify the information produced by the matching - program before taking adverse action against an individual, if - required; and - - id: pt-9_smt.e - name: item - props: - - name: label - value: e. - prose: Provide individuals with notice and an opportunity to contest - the findings before taking adverse action against an individual. - - id: pt-9_gdn - name: guidance - prose: The [PRIVACT] establishes a set of requirements for federal and - non-federal agencies when they engage in a matching program. In general, - a matching program is a computerized comparison of records from two - or more automated [PRIVACT] systems of records, or an automated system - of records and automated records maintained by a non-Federal agency - (or agent thereof). A matching program either pertains to Federal - benefit programs or Federal personnel or payroll records. A Federal - benefit match is performed for purposes of determining or verifying - eligibility for payments under Federal benefit programs, or recouping - payments or delinquent debts under Federal benefit programs. A matching - program involves not just the matching activity itself, but also the - investigative follow-up and ultimate action, if any. - - id: ra - class: family - title: Risk Assessment - controls: - - id: ra-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: ra-1_prm_1 - label: organization-defined personnel or roles - - id: ra-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: ra-1_prm_3 - label: organization-defined official - - id: ra-1_prm_4 - label: organization-defined frequency - - id: ra-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: RA-1 - - name: sort-id - value: RA-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-1_smt - name: statement - parts: - - id: ra-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ ra-1_prm_1 }}:" - parts: - - id: ra-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, ra-1_prm_2 }} risk assessment policy\ - \ that:" - parts: - - id: ra-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: ra-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: ra-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the risk - assessment policy and the associated risk assessment controls; - - id: ra-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, ra-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the risk assessment\ - \ policy and procedures; and" - - id: ra-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current risk assessment:" - parts: - - id: ra-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, ra-1_prm_4 }}; and" - - id: ra-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, ra-1_prm_5 }}." - - id: ra-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the RA family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: ra-2 - class: SP800-53 - title: Security Categorization - props: - - name: label - value: RA-2 - - name: sort-id - value: RA-02 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#f2163084-3287-45e2-9ee7-95f020415495" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#cm-8" - rel: related - - href: "#mp-4" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#ra-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-2_smt - name: statement - parts: - - id: ra-2_smt.a - name: item - props: - - name: label - value: a. - prose: Categorize the system and information it processes, stores, - and transmits; - - id: ra-2_smt.b - name: item - props: - - name: label - value: b. - prose: Document the security categorization results, including supporting - rationale, in the security plan for the system; and - - id: ra-2_smt.c - name: item - props: - - name: label - value: c. - prose: Verify that the authorizing official or authorizing official - designated representative reviews and approves the security categorization - decision. - - id: ra-2_gdn - name: guidance - prose: Clearly defined system boundaries are a prerequisite for security - categorization decisions. Security categories describe the potential - adverse impacts or negative consequences to organizational operations, - organizational assets, and individuals if organizational information - and systems are comprised through a loss of confidentiality, integrity, - or availability. Security categorization is also a type of asset loss - characterization in systems security engineering processes carried - out throughout the system development life cycle. Organizations can - use privacy risk assessments or privacy impact assessments to better - understand the potential adverse effects on individuals. Organizations - conduct the security categorization process as an organization-wide - activity with the direct involvement of chief information officers, - senior agency information security officers, senior agency officials - for privacy, system owners, mission and business owners, and information - owners or stewards. Organizations consider the potential adverse impacts - to other organizations and, in accordance with [USA PATRIOT] and Homeland - Security Presidential Directives, potential national-level adverse - impacts. Security categorization processes facilitate the development - of inventories of information assets, and along with CM-8, mappings - to specific system components where information is processed, stored, - or transmitted. The security categorization process is revisited throughout - the system development life cycle to ensure the security categories - remain accurate and relevant. - controls: - - id: ra-2.1 - class: SP800-53-enhancement - title: Impact-level Prioritization - props: - - name: label - value: RA-2(1) - - name: sort-id - value: RA-02(01) - parts: - - id: ra-2.1_smt - name: statement - prose: Conduct an impact-level prioritization of organizational - systems to obtain additional granularity on system impact levels. - - id: ra-2.1_gdn - name: guidance - prose: "Organizations apply the “high water mark” concept to each\ - \ system categorized in accordance with [FIPS 199] resulting in\ - \ systems designated as low impact, moderate impact, or high impact.\ - \ Organizations desiring additional granularity in the system\ - \ impact designations for risk-based decision making, can further\ - \ partition the systems into sub-categories of the initial system\ - \ categorization. For example, an impact-level prioritization\ - \ on a moderate-impact system can produce three new sub-categories:\ - \ low-moderate systems, moderate-moderate systems, and high-moderate\ - \ systems. Impact-level prioritization and the resulting sub-categories\ - \ of the system give organizations an opportunity to focus their\ - \ investments related to security control selection and the tailoring\ - \ of control baselines in responding to identified risks. Impact-level\ - \ prioritization can also be used to determine those systems that\ - \ may be of heightened interest or value to adversaries or represent\ - \ a critical loss to the federal enterprise, sometimes described\ - \ as high value assets. For such high value assets, organizations\ - \ may be more focused on complexity, aggregation, and interconnections.\ - \ Systems with high value assets can be prioritized by partitioning\ - \ high-impact systems into low-high systems, moderate-high systems,\ - \ and high-high systems." - - id: ra-3 - class: SP800-53 - title: Risk Assessment - params: - - id: ra-3_prm_1 - select: - choice: - - security and privacy plans - - risk assessment report - - " {{ insert: param, ra-3_prm_2 }} " - - id: ra-3_prm_2 - depends-on: ra-3_prm_1 - label: organization-defined document - - id: ra-3_prm_3 - label: organization-defined frequency - - id: ra-3_prm_4 - label: organization-defined personnel or roles - - id: ra-3_prm_5 - label: organization-defined frequency - props: - - name: label - value: RA-3 - - name: sort-id - value: RA-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#ca-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-13" - rel: related - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#ia-8" - rel: related - - href: "#ma-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-18" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-28" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-12" - rel: related - parts: - - id: ra-3_smt - name: statement - parts: - - id: ra-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Conduct a risk assessment, including:" - parts: - - id: ra-3_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: The likelihood and magnitude of harm from unauthorized - access, use, disclosure, disruption, modification, or destruction - of the system, the information it processes, stores, or transmits, - and any related information; and - - id: ra-3_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: The likelihood and impact of adverse effects on individuals - arising from the processing of personally identifiable information; - - id: ra-3_smt.b - name: item - props: - - name: label - value: b. - prose: Integrate risk assessment results and risk management decisions - from the organization and mission or business process perspectives - with system-level risk assessments; - - id: ra-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Document risk assessment results in {{ insert: param, ra-3_prm_1\ - \ }};" - - id: ra-3_smt.d - name: item - props: - - name: label - value: d. - prose: "Review risk assessment results {{ insert: param, ra-3_prm_3\ - \ }};" - - id: ra-3_smt.e - name: item - props: - - name: label - value: e. - prose: "Disseminate risk assessment results to {{ insert: param,\ - \ ra-3_prm_4 }}; and" - - id: ra-3_smt.f - name: item - props: - - name: label - value: f. - prose: "Update the risk assessment {{ insert: param, ra-3_prm_5\ - \ }} or when there are significant changes to the system, its\ - \ environment of operation, or other conditions that may impact\ - \ the security or privacy state of the system." - - id: ra-3_gdn - name: guidance - prose: Clearly defined authorization boundaries are a prerequisite for - effective risk assessments. Risk assessments consider threats, vulnerabilities, - likelihood, and impact to organizational operations and assets, individuals, - other organizations, and the Nation based on the operation and use - of systems. Risk assessments also consider risk from external parties, - including individuals accessing organizational systems; contractors - operating systems on behalf of the organization; service providers; - and outsourcing entities. Organizations can conduct risk assessments - at all three levels in the risk management hierarchy (i.e., organization - level, mission/business process level, or information system level) - and at any stage in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, - including categorization, control selection, control implementation, - control assessment, system authorization, and control monitoring. - Risk assessment is an ongoing activity carried out throughout the - system development life cycle. In addition to the information processed, - stored, and transmitted by the system, risk assessments can also address - any information related to the system, including system design, the - intended use of the system, testing results, and other supply chain-related - information or artifacts. Assessments of risk can play an important - role in control selection processes, particularly during the application - of tailoring guidance and in the earliest phases of capability determination. - controls: - - id: ra-3.1 - class: SP800-53-enhancement - title: Supply Chain Risk Assessment - params: - - id: ra-3.1_prm_1 - label: organization-defined systems, system components, and system - services - - id: ra-3.1_prm_2 - label: organization-defined frequency - props: - - name: label - value: RA-3(1) - - name: sort-id - value: RA-03(01) - links: - - href: "#ra-2" - rel: related - - href: "#ra-9" - rel: related - - href: "#pm-17" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: ra-3.1_smt - name: statement - parts: - - id: ra-3.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Assess supply chain risks associated with {{ insert:\ - \ param, ra-3.1_prm_1 }}; and" - - id: ra-3.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Update the supply chain risk assessment {{ insert: param,\ - \ ra-3.1_prm_2 }}, when there are significant changes to the\ - \ relevant supply chain, or when changes to the system, environments\ - \ of operation, or other conditions may necessitate a change\ - \ in the supply chain." - - id: ra-3.1_gdn - name: guidance - prose: Supply chain-related events include disruption, use of defective - components, insertion of counterfeits, theft, malicious development - practices, improper delivery practices, and insertion of malicious - code. These events can have a significant impact on the confidentiality, - integrity, or availability of a system and its information and - therefore, can also adversely impact organizational operations - (including mission, functions, image, or reputation), organizational - assets, individuals, other organizations, and the Nation. The - supply chain-related events may be unintentional or malicious - and can occur at any point during the system life cycle. An analysis - of supply chain risk can help an organization identify systems - or components for which additional supply chain risk mitigations - are required. - - id: ra-3.2 - class: SP800-53-enhancement - title: Use of All-source Intelligence - props: - - name: label - value: RA-3(2) - - name: sort-id - value: RA-03(02) - parts: - - id: ra-3.2_smt - name: statement - prose: Use all-source intelligence to assist in the analysis of - risk. - - id: ra-3.2_gdn - name: guidance - prose: Organizations employ all-source intelligence to inform engineering, - acquisition, and risk management decisions. All-source intelligence - consists of information derived from all available sources, including - publicly available or open-source information; measurement and - signature intelligence; human intelligence; signals intelligence; - and imagery intelligence. All-source intelligence is used to analyze - the risk of vulnerabilities (both intentional and unintentional) - from development, manufacturing, and delivery processes, people, - and the environment. The risk analysis may be performed on suppliers - at multiple tiers in the supply chain sufficient to manage risks. - Organizations may develop agreements to share all-source intelligence - information or resulting decisions with other organizations, as - appropriate. - - id: ra-3.3 - class: SP800-53-enhancement - title: Dynamic Threat Awareness - params: - - id: ra-3.3_prm_1 - label: organization-defined means - props: - - name: label - value: RA-3(3) - - name: sort-id - value: RA-03(03) - links: - - href: "#at-2" - rel: related - parts: - - id: ra-3.3_smt - name: statement - prose: "Determine the current cyber threat environment on an ongoing\ - \ basis using {{ insert: param, ra-3.3_prm_1 }}." - - id: ra-3.3_gdn - name: guidance - prose: The threat awareness information that is gathered feeds into - the organization’s information security operations to ensure that - procedures are updated in response to the changing threat environment. - For example, at higher threat levels, organizations may change - the privilege or authentication thresholds required to perform - certain operations. - - id: ra-3.4 - class: SP800-53-enhancement - title: Predictive Cyber Analytics - params: - - id: ra-3.4_prm_1 - label: organization-defined systems or system components - - id: ra-3.4_prm_2 - label: organization-defined advanced automation and analytics capabilities - props: - - name: label - value: RA-3(4) - - name: sort-id - value: RA-03(04) - parts: - - id: ra-3.4_smt - name: statement - prose: "Employ the following advanced automation and analytics capabilities\ - \ to predict and identify risks to {{ insert: param, ra-3.4_prm_1\ - \ }}: {{ insert: param, ra-3.4_prm_2 }}." - - id: ra-3.4_gdn - name: guidance - prose: A properly resourced Security Operations Center (SOC) or - Computer Incident Response Team (CIRT) may be overwhelmed by the - volume of information generated by the proliferation of security - tools and appliances unless it employs advanced automation and - analytics to analyze the data. Advanced automation and analytics - capabilities are typically supported by artificial intelligence - concepts including, machine learning. Examples include Automated - Threat Discovery and Response (which includes broad-based collection, - context-based analysis, and adaptive response capabilities), Automated - Workflow Operations, and Machine Assisted Decision tools. Note, - however, that sophisticated adversaries may be able to extract - information related to analytic parameters and retrain the machine - learning to classify malicious activity as benign. Accordingly, - machine learning is augmented by human monitoring to ensure sophisticated - adversaries are not able to conceal their activity. - - id: ra-4 - class: SP800-53 - title: Risk Assessment Update - props: - - name: label - value: RA-4 - - name: status - value: Withdrawn - - name: sort-id - value: RA-04 - links: - - href: "#ra-3" - rel: incorporated-into - - id: ra-5 - class: SP800-53 - title: Vulnerability Monitoring and Scanning - params: - - id: ra-5_prm_1 - label: organization-defined frequency and/or randomly in accordance - with organization-defined process - - id: ra-5_prm_2 - label: organization-defined response times - - id: ra-5_prm_3 - label: organization-defined personnel or roles - props: - - name: label - value: RA-5 - - name: sort-id - value: RA-05 - links: - - href: "#1126ec09-2b27-4a21-80b2-fef70b31c49d" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#14a7d982-9747-48e0-a877-3e8fbf6ae381" - rel: reference - - href: "#a6b97214-55d4-4b86-a3a4-53d5911d96f7" - rel: reference - - href: "#0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f" - rel: reference - - href: "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-2" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: ra-5_smt - name: statement - parts: - - id: ra-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor and scan for vulnerabilities in the system and hosted\ - \ applications {{ insert: param, ra-5_prm_1 }} and when new vulnerabilities\ - \ potentially affecting the system are identified and reported;" - - id: ra-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ vulnerability monitoring tools and techniques that\ - \ facilitate interoperability among tools and automate parts of\ - \ the vulnerability management process by using standards for:" - parts: - - id: ra-5_smt.b.1 - name: item - props: - - name: label - value: "1." - prose: Enumerating platforms, software flaws, and improper configurations; - - id: ra-5_smt.b.2 - name: item - props: - - name: label - value: "2." - prose: Formatting checklists and test procedures; and - - id: ra-5_smt.b.3 - name: item - props: - - name: label - value: "3." - prose: Measuring vulnerability impact; - - id: ra-5_smt.c - name: item - props: - - name: label - value: c. - prose: Analyze vulnerability scan reports and results from vulnerability - monitoring; - - id: ra-5_smt.d - name: item - props: - - name: label - value: d. - prose: "Remediate legitimate vulnerabilities {{ insert: param, ra-5_prm_2\ - \ }} in accordance with an organizational assessment of risk;" - - id: ra-5_smt.e - name: item - props: - - name: label - value: e. - prose: "Share information obtained from the vulnerability monitoring\ - \ process and control assessments with {{ insert: param, ra-5_prm_3\ - \ }} to help eliminate similar vulnerabilities in other systems;\ - \ and" - - id: ra-5_smt.f - name: item - props: - - name: label - value: f. - prose: Employ vulnerability monitoring tools that include the capability - to readily update the vulnerabilities to be scanned. - - id: ra-5_gdn - name: guidance - prose: Security categorization of information and systems guides the - frequency and comprehensiveness of vulnerability monitoring (including - scans). Organizations determine the required vulnerability monitoring - for system components, ensuring that the potential sources of vulnerabilities - such as infrastructure components (e.g., switches, routers, sensors), - networked printers, scanners, and copiers are not overlooked. The - capability to readily update vulnerability monitoring tools as new - vulnerabilities are discovered and announced, and as new scanning - methods are developed, helps to ensure that new vulnerabilities are - not missed by employed vulnerability monitoring tools. The vulnerability - monitoring tool update process helps to ensure that potential vulnerabilities - in the system are identified and addressed as quickly as possible. - Vulnerability monitoring and analyses for custom software may require - additional approaches such as static analysis, dynamic analysis, binary - analysis, or a hybrid of the three approaches. Organizations can use - these analysis approaches in source code reviews and in a variety - of tools, including web-based application scanners, static analysis - tools, and binary analyzers. Vulnerability monitoring includes scanning - for patch levels; scanning for functions, ports, protocols, and services - that should not be accessible to users or devices; and scanning for - flow control mechanisms that are improperly configured or operating - incorrectly. Vulnerability monitoring may also include continuous - vulnerability monitoring tools that use instrumentation to continuously - analyze components. Instrumentation-based tools may improve accuracy - and may be run throughout an organization without scanning. Vulnerability - monitoring tools that facilitate interoperability include tools that - are Security Content Automated Protocol (SCAP) validated. Thus, organizations - consider using scanning tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that - employ the Open Vulnerability Assessment Language (OVAL) to determine - the presence of vulnerabilities. Sources for vulnerability information - include the Common Weakness Enumeration (CWE) listing and the National - Vulnerability Database (NVD). Control assessments such as red team - exercises provide additional sources of potential vulnerabilities - for which to scan. Organizations also consider using scanning tools - that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS). Vulnerability monitoring also includes a channel and - process for receiving reports of security vulnerabilities from the - public at-large. Vulnerability disclosure programs can be as simple - as publishing a monitored email address or web form that can receive - reports, including notification authorizing good-faith research and - disclosure of security vulnerabilities. Organizations generally expect - that such research is happening with or without their authorization, - and can use public vulnerability disclosure channels to increase the - likelihood that discovered vulnerabilities are reported directly to - the organization for remediation. Organizations may also employ the - use of financial incentives (also known as “bug bounties”) to further - encourage external security researchers to report discovered vulnerabilities. - Bug bounty programs can be tailored to the organization’s needs. Bounties - can be operated indefinitely or over a defined period of time, and - can be offered to the general public or to a curated group. Organizations - may run public and private bounties simultaneously, and could choose - to offer partially credentialed access to certain participants in - order to evaluate security vulnerabilities from privileged vantage - points. - controls: - - id: ra-5.1 - class: SP800-53-enhancement - title: Update Tool Capability - props: - - name: label - value: RA-5(1) - - name: status - value: Withdrawn - - name: sort-id - value: RA-05(01) - links: - - href: "#ra-5" - rel: incorporated-into - - id: ra-5.2 - class: SP800-53-enhancement - title: Update System Vulnerabilities - params: - - id: ra-5.2_prm_1 - select: - how-many: one-or-more - choice: - - " {{ insert: param, ra-5.2_prm_2 }} " - - prior to a new scan - - when new vulnerabilities are identified and reported - - id: ra-5.2_prm_2 - depends-on: ra-5.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: RA-5(2) - - name: sort-id - value: RA-05(02) - links: - - href: "#si-5" - rel: related - parts: - - id: ra-5.2_smt - name: statement - prose: "Update the system vulnerabilities to be scanned {{ insert:\ - \ param, ra-5.2_prm_1 }}." - - id: ra-5.2_gdn - name: guidance - prose: Due to the complexity of modern software and systems and - other factors, new vulnerabilities are discovered on a regular - basis. It is important that newly discovered vulnerabilities are - added to the list of vulnerabilities to be scanned to ensure that - the organization can take steps to mitigate those vulnerabilities - in a timely manner. - - id: ra-5.3 - class: SP800-53-enhancement - title: Breadth and Depth of Coverage - props: - - name: label - value: RA-5(3) - - name: sort-id - value: RA-05(03) - parts: - - id: ra-5.3_smt - name: statement - prose: Define the breadth and depth of vulnerability scanning coverage. - - id: ra-5.3_gdn - name: guidance - prose: The breadth of vulnerability scanning coverage can be expressed, - for example, as a percentage of components within the system, - by the particular types of systems, by the criticality of systems, - or by the number of vulnerabilities to be checked. Conversely, - the depth of vulnerability scanning coverage can be expressed - as the level of the system design the organization intends to - monitor (e.g., component, module, subsystem). Organizations can - determine the sufficiency of vulnerability scanning coverage with - regard to its risk tolerance and other factors. [SP 800-53A] provides - additional information on the breadth and depth of coverage. - - id: ra-5.4 - class: SP800-53-enhancement - title: Discoverable Information - params: - - id: ra-5.4_prm_1 - label: organization-defined corrective actions - props: - - name: label - value: RA-5(4) - - name: sort-id - value: RA-05(04) - links: - - href: "#au-13" - rel: related - - href: "#sc-26" - rel: related - parts: - - id: ra-5.4_smt - name: statement - prose: "Determine information about the system that is discoverable\ - \ and take {{ insert: param, ra-5.4_prm_1 }}." - - id: ra-5.4_gdn - name: guidance - prose: Discoverable information includes information that adversaries - could obtain without compromising or breaching the system, for - example, by collecting information the system is exposing or by - conducting extensive web searches. Corrective actions include - notifying appropriate organizational personnel, removing designated - information, or changing the system to make the designated information - less relevant or attractive to adversaries. This enhancement excludes - intentionally discoverable information that may be part of a decoy - capability (e.g., honeypots, honeynets, or deception nets) deployed - by the organization. - - id: ra-5.5 - class: SP800-53-enhancement - title: Privileged Access - params: - - id: ra-5.5_prm_1 - label: organization-defined system components - - id: ra-5.5_prm_2 - label: organization-defined vulnerability scanning activities - props: - - name: label - value: RA-5(5) - - name: sort-id - value: RA-05(05) - parts: - - id: ra-5.5_smt - name: statement - prose: "Implement privileged access authorization to {{ insert:\ - \ param, ra-5.5_prm_1 }} for {{ insert: param, ra-5.5_prm_2 }}." - - id: ra-5.5_gdn - name: guidance - prose: In certain situations, the nature of the vulnerability scanning - may be more intrusive or the system component that is the subject - of the scanning may contain classified or controlled unclassified - information, such as personally identifiable information. Privileged - access authorization to selected system components facilitates - more thorough vulnerability scanning and protects the sensitive - nature of such scanning. - - id: ra-5.6 - class: SP800-53-enhancement - title: Automated Trend Analyses - params: - - id: ra-5.6_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: RA-5(6) - - name: sort-id - value: RA-05(06) - parts: - - id: ra-5.6_smt - name: statement - prose: "Compare the results of multiple vulnerability scans using\ - \ {{ insert: param, ra-5.6_prm_1 }}." - - id: ra-5.6_gdn - name: guidance - prose: Using automated mechanisms to analyze multiple vulnerability - scans over time can help to determine trends in system vulnerabilities. - - id: ra-5.7 - class: SP800-53-enhancement - title: Automated Detection and Notification of Unauthorized Components - props: - - name: label - value: RA-5(7) - - name: status - value: Withdrawn - - name: sort-id - value: RA-05(07) - links: - - href: "#cm-8" - rel: incorporated-into - - id: ra-5.8 - class: SP800-53-enhancement - title: Review Historic Audit Logs - params: - - id: ra-5.8_prm_1 - label: organization-defined system - - id: ra-5.8_prm_2 - label: organization-defined time period - props: - - name: label - value: RA-5(8) - - name: sort-id - value: RA-05(08) - links: - - href: "#au-6" - rel: related - - href: "#au-11" - rel: related - parts: - - id: ra-5.8_smt - name: statement - prose: "Review historic audit logs to determine if a vulnerability\ - \ identified in a {{ insert: param, ra-5.8_prm_1 }} has been previously\ - \ exploited within an {{ insert: param, ra-5.8_prm_2 }}." - - id: ra-5.8_gdn - name: guidance - prose: Reviewing historic audit logs to determine if a recently - detected vulnerability in a system has been previously exploited - by an adversary can provide important information for forensic - analyses. Such analyses can help identify, for example, the extent - of a previous intrusion, the trade craft employed during the attack, - organizational information exfiltrated or modified, mission or - business capabilities affected, and the duration of the attack. - - id: ra-5.9 - class: SP800-53-enhancement - title: Penetration Testing and Analyses - props: - - name: label - value: RA-5(9) - - name: status - value: Withdrawn - - name: sort-id - value: RA-05(09) - links: - - href: "#ca-8" - rel: incorporated-into - - id: ra-5.10 - class: SP800-53-enhancement - title: Correlate Scanning Information - props: - - name: label - value: RA-5(10) - - name: sort-id - value: RA-05(10) - parts: - - id: ra-5.10_smt - name: statement - prose: Correlate the output from vulnerability scanning tools to - determine the presence of multi-vulnerability and multi-hop attack - vectors. - - id: ra-5.10_gdn - name: guidance - prose: An attack vector is a path or means by which an adversary - can gain access to a system in order to deliver malicious code - or exfiltrate information. Organizations can use attack trees - to show how hostile activities by adversaries interact and combine - to produce adverse impacts or negative consequences to systems - and organizations. Such information, together with correlated - data from vulnerability scanning tools, can provide greater clarity - regarding multi-vulnerability and multi-hop attack vectors. The - correlation of vulnerability scanning information is especially - important when organizations are transitioning from older technologies - to newer technologies (e.g., transitioning from IPv4 to IPv6 network - protocols). During such transitions, some system components may - inadvertently be unmanaged and create opportunities for adversary - exploitation. - - id: ra-5.11 - class: SP800-53-enhancement - title: Public Disclosure Program - params: - - id: ra-5.11_prm_1 - label: organization-defined public reporting channel - props: - - name: label - value: RA-5(11) - - name: sort-id - value: RA-05(11) - parts: - - id: ra-5.11_smt - name: statement - prose: "Establish an {{ insert: param, ra-5.11_prm_1 }} for receiving\ - \ reports of vulnerabilities in organizational systems and system\ - \ components." - - id: ra-5.11_gdn - name: guidance - prose: The reporting channel is publicly discoverable and contains - clear language authorizing good-faith research and disclosure - of vulnerabilities to the organization. The organization does - not condition its authorization on an expectation of indefinite - non-disclosure to the public by the reporting entity, but may - request a specific time period to properly remediate the vulnerability. - - id: ra-6 - class: SP800-53 - title: Technical Surveillance Countermeasures Survey - params: - - id: ra-6_prm_1 - label: organization-defined locations - - id: ra-6_prm_2 - select: - how-many: one-or-more - choice: - - " {{ insert: param, ra-6_prm_3 }} " - - " {{ insert: param, ra-6_prm_4 }} " - - id: ra-6_prm_3 - depends-on: ra-6_prm_2 - label: organization-defined frequency - - id: ra-6_prm_4 - depends-on: ra-6_prm_2 - label: organization-defined events or indicators occur - props: - - name: label - value: RA-6 - - name: sort-id - value: RA-06 - parts: - - id: ra-6_smt - name: statement - prose: "Employ a technical surveillance countermeasures survey at {{\ - \ insert: param, ra-6_prm_1 }} {{ insert: param, ra-6_prm_2 }}." - - id: ra-6_gdn - name: guidance - prose: A technical surveillance countermeasures survey is a service - provided by qualified personnel to detect the presence of technical - surveillance devices and hazards and to identify technical security - weaknesses that could be used in the conduct of a technical penetration - of the surveyed facility. Technical surveillance countermeasures surveys - also provide evaluations of the technical security posture of organizations - and facilities and include visual, electronic, and physical examinations - of surveyed facilities, internally and externally. The surveys also - provide useful input for risk assessments and information regarding - organizational exposure to potential adversaries. - - id: ra-7 - class: SP800-53 - title: Risk Response - props: - - name: label - value: RA-7 - - name: sort-id - value: RA-07 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#f2163084-3287-45e2-9ee7-95f020415495" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ca-5" - rel: related - - href: "#ir-9" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-28" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sr-2" - rel: related - parts: - - id: ra-7_smt - name: statement - prose: Respond to findings from security and privacy assessments, monitoring, - and audits in accordance with organizational risk tolerance. - - id: ra-7_gdn - name: guidance - prose: Organizations have many options for responding to risk including - mitigating risk by implementing new controls or strengthening existing - controls; accepting risk with appropriate justification or rationale; - sharing or transferring risk; or avoiding risk. The risk tolerance - of the organization influences risk response decisions and actions. - Risk response addresses the need to determine an appropriate response - to risk before generating a plan of action and milestones entry. For - example, the response may be to accept risk or reject risk, or it - may be possible to mitigate the risk immediately so a plan of action - and milestones entry is not needed. However, if the risk response - is to mitigate the risk and the mitigation cannot be completed immediately, - a plan of action and milestones entry is generated. - - id: ra-8 - class: SP800-53 - title: Privacy Impact Assessments - props: - - name: label - value: RA-8 - - name: sort-id - value: RA-08 - links: - - href: "#bc2bf069-c3a5-48a4-a274-684d997be0c2" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#cm-13" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#pt-6" - rel: related - - href: "#ra-1" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - parts: - - id: ra-8_smt - name: statement - prose: "Conduct privacy impact assessments for systems, programs, or\ - \ other activities before:" - parts: - - id: ra-8_smt.a - name: item - props: - - name: label - value: a. - prose: Developing or procuring information technology that processes - personally identifiable information; and - - id: ra-8_smt.b - name: item - props: - - name: label - value: b. - prose: "Initiating a new collection of personally identifiable information\ - \ that:" - parts: - - id: ra-8_smt.b.1 - name: item - props: - - name: label - value: "1." - prose: Will be processed using information technology; and - - id: ra-8_smt.b.2 - name: item - props: - - name: label - value: "2." - prose: Includes personally identifiable information permitting - the physical or online contacting of a specific individual, - if identical questions have been posed to, or identical reporting - requirements imposed on, ten or more persons, other than agencies, - instrumentalities, or employees of the federal government. - - id: ra-8_gdn - name: guidance - prose: A privacy impact assessment is an analysis of how personally - identifiable information is handled to ensure that handling conforms - to applicable privacy requirements, determine the privacy risks associated - with an information system or activity, and evaluate ways to mitigate - privacy risks. A privacy impact assessment is both an analysis and - a formal document detailing the process and the outcome of the analysis. - Organizations conduct and develop a privacy impact assessment with - sufficient clarity and specificity to demonstrate that the organization - fully considered privacy and incorporated appropriate privacy protections - from the earliest stages of the organization’s activity and throughout - the information life cycle. In order to conduct a meaningful privacy - impact assessment, the organization’s senior agency official for privacy - works closely with program managers, system owners, information technology - experts, security officials, counsel, and other relevant organization - personnel. Moreover, a privacy impact assessment is not a time-restricted - activity that is limited to a particular milestone or stage of the - information system or personally identifiable information life cycles. - Rather, the privacy analysis continues throughout the system and personally - identifiable information life cycles. Accordingly, a privacy impact - assessment is a living document that organizations update whenever - changes to the information technology, changes to the organization’s - practices, or other factors alter the privacy risks associated with - the use of such information technology. To conduct the privacy impact - assessment, organizations can use security and privacy risk assessments. - Organizations may also use other related processes which may have - different labels, including privacy threshold analyses. A privacy - impact assessment can also serve as notice to the public regarding - the organization’s practices with respect to privacy. Although conducting - and publishing privacy impact assessments may be required by law, - organizations may develop such policies in the absence of applicable - laws. For federal agencies, privacy impact assessments may be required - by [EGOV]; agencies should consult with their senior agency official - for privacy and legal counsel on this requirement and be aware of - the statutory exceptions and OMB guidance relating to the provision. - - id: ra-9 - class: SP800-53 - title: Criticality Analysis - params: - - id: ra-9_prm_1 - label: organization-defined systems, system components, or system services - - id: ra-9_prm_2 - label: organization-defined decision points in the system development - life cycle - props: - - name: label - value: RA-9 - - name: sort-id - value: RA-09 - links: - - href: "#7a93e915-fd58-4147-be12-e48044c367e6" - rel: reference - - href: "#cp-2" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pl-11" - rel: related - - href: "#pm-1" - rel: related - - href: "#ra-2" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-20" - rel: related - parts: - - id: ra-9_smt - name: statement - prose: "Identify critical system components and functions by performing\ - \ a criticality analysis for {{ insert: param, ra-9_prm_1 }} at {{\ - \ insert: param, ra-9_prm_2 }}." - - id: ra-9_gdn - name: guidance - prose: Not all system components, functions, or services necessarily - require significant protections. Criticality analysis is a key tenet - of, for example, supply chain risk management, and informs the prioritization - of protection activities. The identification of critical system components - and functions considers applicable laws, executive orders regulations, - directives, policies, and standards; system functionality requirements; - system and component interfaces; and system and component dependencies. - Systems engineers conduct a functional decomposition of a system to - identify mission-critical functions and components. The functional - decomposition includes the identification of organizational missions - supported by the system; decomposition into the specific functions - to perform those missions; and traceability to the hardware, software, - and firmware components that implement those functions, including - when the functions are shared by many components within and external - to the system. The operational environment of a system or a system - component may impact the criticality, including the connections to - and dependencies on cyber-physical systems, devices, system-of-systems, - and outsourced IT services. System components that allow unmediated - access to critical system components or functions are considered critical - due to the inherent vulnerabilities such components create. Component - and function criticality are assessed in terms of the impact of a - component or function failure on the organizational missions that - are supported by the system containing the components and functions. - Criticality analysis is performed when an architecture or design is - being developed, modified, or upgraded. If such analysis is performed - early in the system development life cycle, organizations may be able - to modify the system design to reduce the critical nature of these - components and functions, for example, by adding redundancy or alternate - paths into the system design. Criticality analysis can also influence - the protection measures required by development contractors. In addition - to criticality analysis for systems, system components, and system - services, criticality analysis of information is an important consideration. - Such analysis is conducted as part of security categorization in RA-2. - - id: ra-10 - class: SP800-53 - title: Threat Hunting - params: - - id: ra-10_prm_1 - label: organization-defined frequency - props: - - name: label - value: RA-10 - - name: sort-id - value: RA-10 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#ra-6" - rel: related - parts: - - id: ra-10_smt - name: statement - parts: - - id: ra-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish and maintain a cyber threat hunting capability\ - \ to:" - parts: - - id: ra-10_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Search for indicators of compromise in organizational - systems; and - - id: ra-10_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Detect, track, and disrupt threats that evade existing - controls; and - - id: ra-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the threat hunting capability {{ insert: param, ra-10_prm_1\ - \ }}." - - id: ra-10_gdn - name: guidance - prose: Threat hunting is an active means of cyber defense in contrast - to the traditional protection measures such as firewalls, intrusion - detection and prevention systems, quarantining malicious code in sandboxes, - and Security Information and Event Management technologies and systems. - Cyber threat hunting involves proactively searching organizational - systems, networks, and infrastructure for advanced threats. The objective - is to track and disrupt cyber adversaries as early as possible in - the attack sequence and to measurably improve the speed and accuracy - of organizational responses. Indications of compromise include unusual - network traffic, unusual file changes, and the presence of malicious - code. Threat hunting teams leverage existing threat intelligence and - may create new threat intelligence, which is shared with peer organizations, - Information Sharing and Analysis Organizations (ISAO), Information - Sharing and Analysis Centers (ISAC), and relevant government departments - and agencies. - - id: sa - class: family - title: System and Services Acquisition - controls: - - id: sa-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sa-1_prm_1 - label: organization-defined personnel or roles - - id: sa-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: sa-1_prm_3 - label: organization-defined official - - id: sa-1_prm_4 - label: organization-defined frequency - - id: sa-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: SA-1 - - name: sort-id - value: SA-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sa-1_smt - name: statement - parts: - - id: sa-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sa-1_prm_1 }}:" - parts: - - id: sa-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, sa-1_prm_2 }} system and services\ - \ acquisition policy that:" - parts: - - id: sa-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sa-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sa-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the system - and services acquisition policy and the associated system - and services acquisition controls; - - id: sa-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sa-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the system\ - \ and services acquisition policy and procedures; and" - - id: sa-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and services acquisition:" - parts: - - id: sa-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, sa-1_prm_4 }}; and" - - id: sa-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, sa-1_prm_5 }}." - - id: sa-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the SA family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - props: - - name: label - value: SA-2 - - name: sort-id - value: SA-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#pl-7" - rel: related - - href: "#pm-3" - rel: related - - href: "#pm-11" - rel: related - - href: "#sa-9" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-2_smt - name: statement - parts: - - id: sa-2_smt.a - name: item - props: - - name: label - value: a. - prose: Determine the high-level information security and privacy - requirements for the system or system service in mission and business - process planning; - - id: sa-2_smt.b - name: item - props: - - name: label - value: b. - prose: Determine, document, and allocate the resources required - to protect the system or system service as part of the organizational - capital planning and investment control process; and - - id: sa-2_smt.c - name: item - props: - - name: label - value: c. - prose: Establish a discrete line item for information security and - privacy in organizational programming and budgeting documentation. - - id: sa-2_gdn - name: guidance - prose: Resource allocation for information security and privacy includes - funding for system and services acquisition, sustainment, and supply - chain concerns throughout the system development life cycle. - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - params: - - id: sa-3_prm_1 - label: organization-defined system development life cycle - props: - - name: label - value: SA-3 - - name: sort-id - value: SA-03 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a" - rel: reference - - href: "#aad55f03-8ece-4b21-b09c-9ef65b5a9f55" - rel: reference - - href: "#at-3" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-22" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-9" - rel: related - parts: - - id: sa-3_smt - name: statement - parts: - - id: sa-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Acquire, develop, and manage the system using {{ insert:\ - \ param, sa-3_prm_1 }} that incorporates information security\ - \ and privacy considerations;" - - id: sa-3_smt.b - name: item - props: - - name: label - value: b. - prose: Define and document information security and privacy roles - and responsibilities throughout the system development life cycle; - - id: sa-3_smt.c - name: item - props: - - name: label - value: c. - prose: Identify individuals having information security and privacy - roles and responsibilities; and - - id: sa-3_smt.d - name: item - props: - - name: label - value: d. - prose: Integrate the organizational information security and privacy - risk management process into system development life cycle activities. - - id: sa-3_gdn - name: guidance - prose: A system development life cycle process provides the foundation - for the successful development, implementation, and operation of organizational - systems. The integration of security and privacy considerations early - in the system development life cycle is a foundational principle of - systems security engineering and privacy engineering. To apply the - required controls within the system development life cycle requires - a basic understanding of information security and privacy, threats, - vulnerabilities, adverse impacts, and risk to critical missions and - business functions. The security engineering principles in SA-8 help - individuals properly design, code, and test systems and system components. - Organizations include in system development life cycle processes, - qualified personnel, including senior agency information security - officers, senior agency officials for privacy, security and privacy - architects, and security and privacy engineers to ensure that established - security and privacy requirements are incorporated into organizational - systems. Role-based security and privacy training programs can ensure - that individuals having key security and privacy roles and responsibilities - have the experience, skills, and expertise to conduct assigned system - development life cycle activities. The effective integration of security - and privacy requirements into enterprise architecture also helps to - ensure that important security and privacy considerations are addressed - throughout the system life cycle and that those considerations are - directly related to organizational mission and business processes. - This process also facilitates the integration of the information security - and privacy architectures into the enterprise architecture, consistent - with risk management strategy of the organization. Because the system - development life cycle involves multiple organizations, (e.g., external - suppliers, developers, integrators, and service providers), acquisition - and supply chain risk management functions and controls play a significant - role in the effective management of the system during the life cycle. - controls: - - id: sa-3.1 - class: SP800-53-enhancement - title: Manage Preproduction Environment - props: - - name: label - value: SA-3(1) - - name: sort-id - value: SA-03(01) - links: - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-4" - rel: related - parts: - - id: sa-3.1_smt - name: statement - prose: Protect system preproduction environments commensurate with - risk throughout the system development life cycle for the system, - system component, or system service. - - id: sa-3.1_gdn - name: guidance - prose: The preproduction environment includes development, test, - and integration environments. The program protection planning - processes established by the Department of Defense is an example - of managing the preproduction environment for defense contractors. - Criticality analysis and the application of controls on developers - also contribution to a more secure system development environment. - - id: sa-3.2 - class: SP800-53-enhancement - title: Use of Live or Operational Data - props: - - name: label - value: SA-3(2) - - name: sort-id - value: SA-03(02) - links: - - href: "#pm-25" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: sa-3.2_smt - name: statement - parts: - - id: sa-3.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Approve, document, and control the use of live data in - preproduction environments for the system, system component, - or system service; and - - id: sa-3.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Protect preproduction environments for the system, system - component, or system service at the same impact or classification - level as any live data in use within the preproduction environments. - - id: sa-3.2_gdn - name: guidance - prose: Live data is also referred to as operational data. The use - of live or operational data in preproduction (i.e., development, - test, and integration) environments can result in significant - risk to organizations. In addition, the use of personally identifiable - information in testing, research, and training increases risk - of unauthorized disclosure or misuse of such information. Thus, - it is important for the organization to manage any additional - risks that may result from use of live or operational data. Organizations - can minimize such risk by using test or dummy data during the - design, development, and testing of systems, system components, - and system services. Risk assessment techniques may be used to - determine if the risk of using live or operational data is acceptable. - - id: sa-3.3 - class: SP800-53-enhancement - title: Technology Refresh - props: - - name: label - value: SA-3(3) - - name: sort-id - value: SA-03(03) - parts: - - id: sa-3.3_smt - name: statement - prose: Plan for and implement a technology refresh schedule for - the system throughout the system development life cycle. - - id: sa-3.3_gdn - name: guidance - prose: Technology refresh planning may encompass hardware, software, - firmware, processes, personnel skill sets, suppliers, service - providers, and facilities. The use of obsolete or nearing obsolete - technology may increase security and privacy risks associated - with, for example, unsupported components, components unable to - implement security or privacy requirements, counterfeit or re-purposed - components, slow or inoperable components, components from untrusted - sources, inadvertent personnel error, or increased complexity. - Technology refreshes typically occur during the operations and - maintenance stage of the system development life cycle. - - id: sa-4 - class: SP800-53 - title: Acquisition Process - params: - - id: sa-4_prm_1 - select: - how-many: one-or-more - choice: - - standardized contract language - - " {{ insert: param, sa-4_prm_2 }} " - - id: sa-4_prm_2 - depends-on: sa-4_prm_1 - label: organization-defined contract language - props: - - name: label - value: SA-4 - - name: sort-id - value: SA-04 - links: - - href: "#a7dfa526-b81f-41d7-9875-c8b0faafe74b" - rel: reference - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#6ddb507b-6ddb-4e15-a8d4-0854e704446e" - rel: reference - - href: "#18abb755-c10f-407d-b0ef-4f99e5ec4a49" - rel: reference - - href: "#2ce3a8bf-7f8b-4249-bd16-808231415b14" - rel: reference - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#ab414c48-b7a2-4ffe-b74d-4d8b8120adce" - rel: reference - - href: "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#14a7d982-9747-48e0-a877-3e8fbf6ae381" - rel: reference - - href: "#3d6b3a16-94e7-4a43-8648-8bdeaadb271b" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#d4779b49-8acc-45ef-b4f0-30f945e81d1b" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#daf69edb-a0ef-4447-9880-8c4bf553181f" - rel: reference - - href: "#197f7ba7-9af8-4a67-b3a4-5523d850e53b" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#5dac2312-1d0d-416f-aebb-400fa9775b74" - rel: reference - - href: "#634dec27-df88-4c30-b1a4-b57cdfd24f20" - rel: reference - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-16" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-21" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-4_smt - name: statement - prose: "Include the following requirements, descriptions, and criteria,\ - \ explicitly or by reference, using {{ insert: param, sa-4_prm_1 }}\ - \ in the acquisition contract for the system, system component, or\ - \ system service:" - parts: - - id: sa-4_smt.a - name: item - props: - - name: label - value: a. - prose: Security and privacy functional requirements; - - id: sa-4_smt.b - name: item - props: - - name: label - value: b. - prose: Strength of mechanism requirements; - - id: sa-4_smt.c - name: item - props: - - name: label - value: c. - prose: Security and privacy assurance requirements; - - id: sa-4_smt.d - name: item - props: - - name: label - value: d. - prose: Controls needed to satisfy the security and privacy requirements. - - id: sa-4_smt.e - name: item - props: - - name: label - value: e. - prose: Security and privacy documentation requirements; - - id: sa-4_smt.f - name: item - props: - - name: label - value: f. - prose: Requirements for protecting security and privacy documentation; - - id: sa-4_smt.g - name: item - props: - - name: label - value: g. - prose: Description of the system development environment and environment - in which the system is intended to operate; - - id: sa-4_smt.h - name: item - props: - - name: label - value: h. - prose: Allocation of responsibility or identification of parties - responsible for information security, privacy, and supply chain - risk management; and - - id: sa-4_smt.i - name: item - props: - - name: label - value: i. - prose: Acceptance criteria. - - id: sa-4_gdn - name: guidance - prose: Security and privacy functional requirements are typically derived - from the high-level security and privacy requirements described in - SA-2. The derived requirements include security and privacy capabilities, - functions, and mechanisms. Strength requirements associated with such - capabilities, functions, and mechanisms include degree of correctness, - completeness, resistance to tampering or bypass, and resistance to - direct attack. Assurance requirements include development processes, - procedures, practices, and methodologies; and the evidence from development - and assessment activities providing grounds for confidence that the - required functionality is implemented and possesses the required strength - of mechanism. [SP 800-160 v1] describes the process of requirements - engineering as part of the system development life cycle. Controls - can be viewed as descriptions of the safeguards and protection capabilities - appropriate for achieving the particular security and privacy objectives - of the organization and reflecting the security and privacy requirements - of stakeholders. Controls are selected and implemented in order to - satisfy system requirements and include developer and organizational - responsibilities. Controls can include technical aspects, administrative - aspects, and physical aspects. In some cases, the selection and implementation - of a control may necessitate additional specification by the organization - in the form of derived requirements or instantiated control parameter - values. The derived requirements and control parameter values may - be necessary to provide the appropriate level of implementation detail - for controls within the system development life cycle. Security and - privacy documentation requirements address all stages of the system - development life cycle. Documentation provides user and administrator - guidance for the implementation and operation of controls. The level - of detail required in such documentation is based on the security - categorization or classification level of the system and the degree - to which organizations depend on the capabilities, functions, or mechanisms - to meet risk response expectations. Requirements can include mandated - configuration settings specifying allowed functions, ports, protocols, - and services. Acceptance criteria for systems, system components, - and system services are defined in the same manner as such criteria - for any organizational acquisition or procurement. - controls: - - id: sa-4.1 - class: SP800-53-enhancement - title: Functional Properties of Controls - props: - - name: label - value: SA-4(1) - - name: sort-id - value: SA-04(01) - parts: - - id: sa-4.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to provide a description of the functional properties - of the controls to be implemented. - - id: sa-4.1_gdn - name: guidance - prose: Functional properties of security and privacy controls describe - the functionality (i.e., security or privacy capability, functions, - or mechanisms) visible at the interfaces of the controls and specifically - exclude functionality and data structures internal to the operation - of the controls. - - id: sa-4.2 - class: SP800-53-enhancement - title: Design and Implementation Information for Controls - params: - - id: sa-4.2_prm_1 - select: - how-many: one-or-more - choice: - - security-relevant external system interfaces - - high-level design - - low-level design - - source code or hardware schematics - - " {{ insert: param, sa-4.2_prm_2 }} " - - id: sa-4.2_prm_2 - depends-on: sa-4.2_prm_1 - label: organization-defined design and implementation information - - id: sa-4.2_prm_3 - label: organization-defined level of detail - props: - - name: label - value: SA-4(2) - - name: sort-id - value: SA-04(02) - parts: - - id: sa-4.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to provide design and implementation information\ - \ for the controls that includes: {{ insert: param, sa-4.2_prm_1\ - \ }} at {{ insert: param, sa-4.2_prm_3 }}." - - id: sa-4.2_gdn - name: guidance - prose: Organizations may require different levels of detail in the - documentation for the design and implementation for controls in - organizational systems, system components, or system services - based on mission and business requirements; requirements for resiliency - and trustworthiness; and requirements for analysis and testing. - Systems can be partitioned into multiple subsystems. Each subsystem - within the system can contain one or more modules. The high-level - design for the system is expressed in terms of subsystems and - the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed - in terms of modules and the interfaces between modules providing - security-relevant functionality. Design and implementation documentation - can include manufacturer, version, serial number, verification - hash signature, software libraries used, date of purchase or download, - and the vendor or download source. Source code and hardware schematics - are referred to as the implementation representation of the system. - - id: sa-4.3 - class: SP800-53-enhancement - title: Development Methods, Techniques, and Practices - params: - - id: sa-4.3_prm_1 - label: organization-defined systems engineering methods - - id: sa-4.3_prm_2 - label: "organization-defined Selection (one or more): systems security;\ - \ privacy" - - id: sa-4.3_prm_3 - label: organization-defined software development methods; testing, - evaluation, assessment, verification, and validation methods; - and quality control processes - props: - - name: label - value: SA-4(3) - - name: sort-id - value: SA-04(03) - parts: - - id: sa-4.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to demonstrate the use of a system development\ - \ life cycle process that includes:" - parts: - - id: sa-4.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, sa-4.3_prm_1 }};" - - id: sa-4.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, sa-4.3_prm_2 }} engineering methods];" - - id: sa-4.3_smt.c - name: item - props: - - name: label - value: (c) - prose: "{{ insert: param, sa-4.3_prm_3 }}." - - id: sa-4.3_gdn - name: guidance - prose: Following a system development life cycle that includes state-of-the-practice - software development methods, systems engineering methods, systems - security and privacy engineering methods, and quality control - processes helps to reduce the number and severity of the latent - errors within systems, system components, and system services. - Reducing the number and severity of such errors reduces the number - of vulnerabilities in those systems, components, and services. - Transparency in the methods developers select and implement for - systems engineering, systems security and privacy engineering, - software development, component and system assessments, and quality - control processes provide an increased level of assurance in the - trustworthiness of the system, system component, or system service - being acquired. - - id: sa-4.4 - class: SP800-53-enhancement - title: Assignment of Components to Systems - props: - - name: label - value: SA-4(4) - - name: status - value: Withdrawn - - name: sort-id - value: SA-04(04) - links: - - href: "#cm-8.9" - rel: incorporated-into - - id: sa-4.5 - class: SP800-53-enhancement - title: System, Component, and Service Configurations - params: - - id: sa-4.5_prm_1 - label: organization-defined security configurations - props: - - name: label - value: SA-4(5) - - name: sort-id - value: SA-04(05) - parts: - - id: sa-4.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-4.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "Deliver the system, component, or service with {{ insert:\ - \ param, sa-4.5_prm_1 }} implemented; and" - - id: sa-4.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Use the configurations as the default for any subsequent - system, component, or service reinstallation or upgrade. - - id: sa-4.5_gdn - name: guidance - prose: Examples of security configurations include the U.S. Government - Configuration Baseline (USGCB), Security Technical Implementation - Guides (STIGs), and any limitations on functions, ports, protocols, - and services. Security characteristics can include requiring that - default passwords have been changed. - - id: sa-4.6 - class: SP800-53-enhancement - title: Use of Information Assurance Products - props: - - name: label - value: SA-4(6) - - name: sort-id - value: SA-04(06) - links: - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-4.6_smt - name: statement - parts: - - id: sa-4.6_smt.a - name: item - props: - - name: label - value: (a) - prose: Employ only government off-the-shelf or commercial off-the-shelf - information assurance and information assurance-enabled information - technology products that compose an NSA-approved solution - to protect classified information when the networks used to - transmit the information are at a lower classification level - than the information being transmitted; and - - id: sa-4.6_smt.b - name: item - props: - - name: label - value: (b) - prose: Ensure that these products have been evaluated and/or - validated by NSA or in accordance with NSA-approved procedures. - - id: sa-4.6_gdn - name: guidance - prose: Commercial off-the-shelf IA or IA-enabled information technology - products used to protect classified information by cryptographic - means may be required to use NSA-approved key management. See - [NSA CSFC]. - - id: sa-4.7 - class: SP800-53-enhancement - title: Niap-approved Protection Profiles - props: - - name: label - value: SA-4(7) - - name: sort-id - value: SA-04(07) - links: - - href: "#ia-7" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-4.7_smt - name: statement - parts: - - id: sa-4.7_smt.a - name: item - props: - - name: label - value: (a) - prose: Limit the use of commercially provided information assurance - and information assurance-enabled information technology products - to those products that have been successfully evaluated against - a National Information Assurance partnership (NIAP)-approved - Protection Profile for a specific technology type, if such - a profile exists; and - - id: sa-4.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Require, if no NIAP-approved Protection Profile exists - for a specific technology type but a commercially provided - information technology product relies on cryptographic functionality - to enforce its security policy, that the cryptographic module - is FIPS-validated or NSA-approved. - - id: sa-4.7_gdn - name: guidance - prose: See [NIAP CCEVS] for additional information on NIAP. See - [NIST CMVP] for additional information on FIPS-validated cryptographic - modules. - - id: sa-4.8 - class: SP800-53-enhancement - title: Continuous Monitoring Plan for Controls - params: - - id: sa-4.8_prm_1 - label: organization-defined level of detail - props: - - name: label - value: SA-4(8) - - name: sort-id - value: SA-04(08) - links: - - href: "#ca-7" - rel: related - parts: - - id: sa-4.8_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to produce a plan for continuous monitoring of\ - \ control effectiveness that contains the following level of detail:\ - \ {{ insert: param, sa-4.8_prm_1 }}." - - id: sa-4.8_gdn - name: guidance - prose: The objective of continuous monitoring plans is to determine - if the planned, required, and deployed controls within the system, - system component, or system service continue to be effective over - time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that - the information can be incorporated into continuous monitoring - strategies and programs implemented by organizations. Continuous - monitoring plans can include the frequency of control monitoring, - types of control assessment and monitoring activities planned, - and actions to be taken when controls fail or become ineffective. - - id: sa-4.9 - class: SP800-53-enhancement - title: Functions, Ports, Protocols, and Services in Use - props: - - name: label - value: SA-4(9) - - name: sort-id - value: SA-04(09) - links: - - href: "#cm-7" - rel: related - - href: "#sa-9" - rel: related - parts: - - id: sa-4.9_smt - name: statement - prose: Require the developer of the system, system component, or - system service to identify the functions, ports, protocols, and - services intended for organizational use. - - id: sa-4.9_gdn - name: guidance - prose: The identification of functions, ports, protocols, and services - early in the system development life cycle, for example, during - the initial requirements definition and design stages, allows - organizations to influence the design of the system, system component, - or system service. This early involvement in the system life cycle - helps organizations to avoid or minimize the use of functions, - ports, protocols, or services that pose unnecessarily high risks - and understand the trade-offs involved in blocking specific ports, - protocols, or services or when requiring system service providers - to do so. Early identification of functions, ports, protocols, - and services avoids costly retrofitting of controls after the - system, component, or system service has been implemented. SA-9 - describes the requirements for external system services. Organizations - identify which functions, ports, protocols, and services are provided - from external sources. - - id: sa-4.10 - class: SP800-53-enhancement - title: Use of Approved PIV Products - props: - - name: label - value: SA-4(10) - - name: sort-id - value: SA-04(10) - links: - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pm-9" - rel: related - parts: - - id: sa-4.10_smt - name: statement - prose: Employ only information technology products on the FIPS 201-approved - products list for Personal Identity Verification (PIV) capability - implemented within organizational systems. - - id: sa-4.10_gdn - name: guidance - prose: Products on the FIPS 201-approved products list meet NIST - requirements for Personal Identity Verification (PIV) of Federal - Employees and Contractors. PIV cards are used for multifactor - authentication in systems and organizations. - - id: sa-4.11 - class: SP800-53-enhancement - title: System of Records - params: - - id: sa-4.11_prm_1 - label: organization-defined Privacy Act requirements - props: - - name: label - value: SA-4(11) - - name: sort-id - value: SA-04(11) - links: - - href: "#pt-7" - rel: related - parts: - - id: sa-4.11_smt - name: statement - prose: "Include {{ insert: param, sa-4.11_prm_1 }} in the acquisition\ - \ contract for the operation of a system of records on behalf\ - \ of an organization to accomplish an organizational mission or\ - \ function." - - id: sa-4.11_gdn - name: guidance - prose: When an organization provides by a contract for the operation - of a system of records to accomplish an organizational mission - or function, the organization, consistent with its authority, - causes the requirements of the [PRIVACT] to be applied to the - system of records. - - id: sa-4.12 - class: SP800-53-enhancement - title: Data Ownership - params: - - id: sa-4.12_prm_1 - label: organization-defined timeframe - props: - - name: label - value: SA-4(12) - - name: sort-id - value: SA-04(12) - parts: - - id: sa-4.12_smt - name: statement - parts: - - id: sa-4.12_smt.a - name: item - props: - - name: label - value: (a) - prose: Include organizational data ownership requirements in - the acquisition contract; and - - id: sa-4.12_smt.b - name: item - props: - - name: label - value: (b) - prose: "Require all data to be removed from the contractor’s\ - \ system and returned to the organization within {{ insert:\ - \ param, sa-4.12_prm_1 }}." - - id: sa-4.12_gdn - name: guidance - prose: Contractors operating a system that contains data owned by - an organization initiating the contract, have policies and procedures - in place to remove the data from their systems and/or return the - data in a timeframe defined by the contract. - - id: sa-5 - class: SP800-53 - title: System Documentation - params: - - id: sa-5_prm_1 - label: organization-defined actions - - id: sa-5_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: SA-5 - - name: sort-id - value: SA-05 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#pl-8" - rel: related - - href: "#ps-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-16" - rel: related - - href: "#sa-17" - rel: related - - href: "#si-12" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: sa-5_smt - name: statement - parts: - - id: sa-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Obtain administrator documentation for the system, system\ - \ component, or system service that describes:" - parts: - - id: sa-5_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Secure configuration, installation, and operation of - the system, component, or service; - - id: sa-5_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Effective use and maintenance of security and privacy - functions and mechanisms; and - - id: sa-5_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Known vulnerabilities regarding configuration and use - of administrative or privileged functions; - - id: sa-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Obtain user documentation for the system, system component,\ - \ or system service that describes:" - parts: - - id: sa-5_smt.b.1 - name: item - props: - - name: label - value: "1." - prose: User-accessible security and privacy functions and mechanisms - and how to effectively use those functions and mechanisms; - - id: sa-5_smt.b.2 - name: item - props: - - name: label - value: "2." - prose: Methods for user interaction, which enables individuals - to use the system, component, or service in a more secure - manner and protect individual privacy; and - - id: sa-5_smt.b.3 - name: item - props: - - name: label - value: "3." - prose: User responsibilities in maintaining the security of - the system, component, or service and privacy of individuals; - - id: sa-5_smt.c - name: item - props: - - name: label - value: c. - prose: "Document attempts to obtain system, system component, or\ - \ system service documentation when such documentation is either\ - \ unavailable or nonexistent and takes {{ insert: param, sa-5_prm_1\ - \ }} in response;" - - id: sa-5_smt.d - name: item - props: - - name: label - value: d. - prose: Protect documentation as required, in accordance with the - organizational risk management strategy; and - - id: sa-5_smt.e - name: item - props: - - name: label - value: e. - prose: "Distribute documentation to {{ insert: param, sa-5_prm_2\ - \ }}." - - id: sa-5_gdn - name: guidance - prose: System documentation helps personnel understand the implementation - and the operation of controls. Organizations consider establishing - specific measures to determine the quality and completeness of the - content provided. System documentation may be used, for example, to - support the management of supply chain risk, incident response, and - other functions. Personnel or roles requiring documentation include - system owners, system security officers, and system administrators. - Attempts to obtain documentation include contacting manufacturers - or suppliers and conducting web-based searches. The inability to obtain - documentation may occur due to the age of the system or component - or lack of support from developers and contractors. When documentation - cannot be obtained, organizations may need to recreate the documentation - if it is essential to the implementation or operation of the controls. - The protection provided for the documentation is commensurate with - the security category or classification of the system. Documentation - that addresses system vulnerabilities may require an increased level - of protection. Secure operation of the system includes initially starting - the system and resuming secure system operation after a lapse in system - operation. - controls: - - id: sa-5.1 - class: SP800-53-enhancement - title: Functional Properties of Security Controls - props: - - name: label - value: SA-5(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-05(01) - links: - - href: "#sa-4.1" - rel: incorporated-into - - id: sa-5.2 - class: SP800-53-enhancement - title: Security-relevant External System Interfaces - props: - - name: label - value: SA-5(2) - - name: status - value: Withdrawn - - name: sort-id - value: SA-05(02) - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.3 - class: SP800-53-enhancement - title: High-level Design - props: - - name: label - value: SA-5(3) - - name: status - value: Withdrawn - - name: sort-id - value: SA-05(03) - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.4 - class: SP800-53-enhancement - title: Low-level Design - props: - - name: label - value: SA-5(4) - - name: status - value: Withdrawn - - name: sort-id - value: SA-05(04) - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-5.5 - class: SP800-53-enhancement - title: Source Code - props: - - name: label - value: SA-5(5) - - name: status - value: Withdrawn - - name: sort-id - value: SA-05(05) - links: - - href: "#sa-4.2" - rel: incorporated-into - - id: sa-6 - class: SP800-53 - title: Software Usage Restrictions - props: - - name: label - value: SA-6 - - name: status - value: Withdrawn - - name: sort-id - value: SA-06 - links: - - href: "#cm-10" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - id: sa-7 - class: SP800-53 - title: User-installed Software - props: - - name: label - value: SA-7 - - name: status - value: Withdrawn - - name: sort-id - value: SA-07 - links: - - href: "#cm-11" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - id: sa-8 - class: SP800-53 - title: Security and Privacy Engineering Principles - params: - - id: sa-8_prm_1 - label: organization-defined systems security and privacy engineering - principles - props: - - name: label - value: SA-8 - - name: sort-id - value: SA-08 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#f2163084-3287-45e2-9ee7-95f020415495" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#68949f14-9cf5-4116-91d8-e820b9df3ffd" - rel: reference - - href: "#e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#817b4227-5857-494d-9032-915980b32f15" - rel: reference - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sa-20" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - - href: "#sr-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-8_smt - name: statement - prose: "Apply the following systems security and privacy engineering\ - \ principles in the specification, design, development, implementation,\ - \ and modification of the system and system components: {{ insert:\ - \ param, sa-8_prm_1 }}." - - id: sa-8_gdn - name: guidance - prose: "Systems security and privacy engineering principles are closely\ - \ related to and are implemented throughout the system development\ - \ life cycle (see SA-3). Organizations can apply systems security\ - \ and privacy engineering principles to new systems under development\ - \ or to systems undergoing upgrades. For existing systems, organizations\ - \ apply systems security and privacy engineering principles to system\ - \ upgrades and modifications to the extent feasible, given the current\ - \ state of hardware, software, and firmware components within those\ - \ systems. The application of systems security and privacy engineering\ - \ principles help organizations develop trustworthy, secure, and resilient\ - \ systems and reduce the susceptibility to disruptions, hazards, threats,\ - \ and creating privacy problems for individuals. Examples of system\ - \ security engineering principles include: developing layered protections;\ - \ establishing security and privacy policies, architecture, and controls\ - \ as the foundation for design and development; incorporating security\ - \ and privacy requirements into the system development life cycle;\ - \ delineating physical and logical security boundaries; ensuring that\ - \ developers are trained on how to build secure software; tailoring\ - \ controls to meet organizational needs; performing threat modeling\ - \ to identify use cases, threat agents, attack vectors and patterns,\ - \ design patterns, and compensating controls needed to mitigate risk.\ - \ Organizations that apply systems security and privacy engineering\ - \ concepts and principles can facilitate the development of trustworthy,\ - \ secure systems, system components, and services; reduce risk to\ - \ acceptable levels; and make informed risk management decisions.\ - \ System security engineering principles can also be used to protect\ - \ against certain supply chain risks including incorporating tamper-resistant\ - \ hardware into a design." - controls: - - id: sa-8.1 - class: SP800-53-enhancement - title: Clear Abstractions - props: - - name: label - value: SA-8(1) - - name: sort-id - value: SA-08(01) - parts: - - id: sa-8.1_smt - name: statement - prose: Implement the security design principle of clear abstractions. - - id: sa-8.1_gdn - name: guidance - prose: The principle of clear abstractions states that a system - has simple, well-defined interfaces and functions that provide - a consistent and intuitive view of the data and how it is managed. - The elegance (e.g., clarity, simplicity, necessity, and sufficiency) - of the system interfaces, combined with a precise definition of - their functional behavior promotes ease of analysis, inspection, - and testing as well as the correct and secure use of the system. - The clarity of an abstraction is subjective. Examples reflecting - application of this principle include avoidance of redundant, - unused interfaces; information hiding; and avoidance of semantic - overloading of interfaces or their parameters (e.g., not using - a single function to provide different functionality, depending - on how it is used). Information hiding, also known as representation-independent - programming, is a design discipline to ensure that the internal - representation of information in one system component is not visible - to another system component invoking or calling the first component, - such that the published abstraction is not influenced by how the - data may be managed internally. - - id: sa-8.2 - class: SP800-53-enhancement - title: Least Common Mechanism - params: - - id: sa-8.2_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(2) - - name: sort-id - value: SA-08(02) - parts: - - id: sa-8.2_smt - name: statement - prose: "Implement the security design principle of least common\ - \ mechanism in {{ insert: param, sa-8.2_prm_1 }}." - - id: sa-8.2_gdn - name: guidance - prose: The principle of least common mechanism states that the amount - of mechanism common to more than one user and depended on by all - users is minimized [POPEK74]. Minimization of mechanism implies - that different components of a system refrain from using the same - mechanism to access a system resource. Every shared mechanism - (especially a mechanism involving shared variables) represents - a potential information path between users and is designed with - great care to be sure it does not unintentionally compromise security - [SALTZER75]. Implementing the principle of least common mechanism - helps to reduce the adverse consequences of sharing system state - among different programs. A single program corrupting a shared - state (including shared variables) has the potential to corrupt - other programs that are dependent on the state. The principle - of least common mechanism also supports the principle of simplicity - of design and addresses the issue of covert storage channels [LAMPSON73]. - - id: sa-8.3 - class: SP800-53-enhancement - title: Modularity and Layering - params: - - id: sa-8.3_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(3) - - name: sort-id - value: SA-08(03) - links: - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sa-8.3_smt - name: statement - prose: "Implement the security design principles of modularity and\ - \ layering in {{ insert: param, sa-8.3_prm_1 }}." - - id: sa-8.3_gdn - name: guidance - prose: "The principles of modularity and layering are fundamental\ - \ across system engineering disciplines. Modularity and layering\ - \ derived from functional decomposition are effective in managing\ - \ system complexity, by making it possible to comprehend the structure\ - \ of the system. Modular decomposition, or refinement in system\ - \ design, is challenging and resists general statements of principle.\ - \ Modularity serves to isolate functions and related data structures\ - \ into well-defined logical units. Layering allows the relationships\ - \ of these units to be better understood, so that dependencies\ - \ are clear and undesired complexity can be avoided. The security\ - \ design principle of modularity extends functional modularity\ - \ to include considerations based on trust, trustworthiness, privilege,\ - \ and security policy. Security-informed modular decomposition\ - \ includes the following: allocation of policies to systems in\ - \ a network; separation of system applications into processes\ - \ with distinct address spaces; allocation of system policies\ - \ to layers; and separation of processes into subjects with distinct\ - \ privileges based on hardware-supported privilege domains." - - id: sa-8.4 - class: SP800-53-enhancement - title: Partially Ordered Dependencies - params: - - id: sa-8.4_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(4) - - name: sort-id - value: SA-08(04) - parts: - - id: sa-8.4_smt - name: statement - prose: "Implement the security design principle of partially ordered\ - \ dependencies in {{ insert: param, sa-8.4_prm_1 }}." - - id: sa-8.4_gdn - name: guidance - prose: The principle of partially ordered dependencies states that - the synchronization, calling, and other dependencies in the system - are partially ordered. A fundamental concept in system design - is layering, whereby the system is organized into well-defined, - functionally related modules or components. The layers are linearly - ordered with respect to inter-layer dependencies, such that higher - layers are dependent on lower layers. While providing functionality - to higher layers, some layers can be self-contained and not dependent - upon lower layers. While a partial ordering of all functions in - a given system may not be possible, if circular dependencies are - constrained to occur within layers, the inherent problems of circularity - can be more easily managed. Partially ordered dependencies and - system layering contribute significantly to the simplicity and - the coherency of the system design. Partially ordered dependencies - also facilitate system testing and analysis. - - id: sa-8.5 - class: SP800-53-enhancement - title: Efficiently Mediated Access - params: - - id: sa-8.5_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(5) - - name: sort-id - value: SA-08(05) - parts: - - id: sa-8.5_smt - name: statement - prose: "Implement the security design principle of efficiently mediated\ - \ access in {{ insert: param, sa-8.5_prm_1 }}." - - id: sa-8.5_gdn - name: guidance - prose: The principle of efficiently mediated access states that - policy-enforcement mechanisms utilize the least common mechanism - available while satisfying stakeholder requirements within expressed - constraints. The mediation of access to system resources (i.e., - CPU, memory, devices, communication ports, services, infrastructure, - data and information) is often the predominant security function - of secure systems. It also enables the realization of protections - for the capability provided to stakeholders by the system. Mediation - of resource access can result in performance bottlenecks if the - system is not designed correctly. For example, by using hardware - mechanisms, efficiently mediated access can be achieved. Once - access to a low-level resource such as memory has been obtained, - hardware protection mechanisms can ensure that out-of-bounds access - does not occur. - - id: sa-8.6 - class: SP800-53-enhancement - title: Minimized Sharing - params: - - id: sa-8.6_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(6) - - name: sort-id - value: SA-08(06) - links: - - href: "#sc-31" - rel: related - parts: - - id: sa-8.6_smt - name: statement - prose: "Implement the security design principle of minimized sharing\ - \ in {{ insert: param, sa-8.6_prm_1 }}." - - id: sa-8.6_gdn - name: guidance - prose: The principle of minimized sharing states that no computer - resource is shared between system components (e.g., subjects, - processes, functions) unless it is absolutely necessary to do - so. Minimized sharing helps to simplify system design and implementation. - In order to protect user-domain resources from arbitrary active - entities, no resource is shared unless that sharing has been explicitly - requested and granted. The need for resource sharing can be motivated - by the design principle of least common mechanism in the case - internal entities, or driven by stakeholder requirements. However, - internal sharing is carefully designed to avoid performance and - covert storage- and timing-channel problems. Sharing via common - mechanism can increase the susceptibility of data and information - to unauthorized access, disclosure, use, or modification and can - adversely affect the inherent capability provided by the system. - To minimize sharing induced by common mechanisms, such mechanisms - can be designed to be reentrant or virtualized to preserve separation. - Moreover, use of global data to share information is carefully - scrutinized. The lack of encapsulation may obfuscate relationships - among the sharing entities. - - id: sa-8.7 - class: SP800-53-enhancement - title: Reduced Complexity - params: - - id: sa-8.7_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(7) - - name: sort-id - value: SA-08(07) - parts: - - id: sa-8.7_smt - name: statement - prose: "Implement the security design principle of reduced complexity\ - \ in {{ insert: param, sa-8.7_prm_1 }}." - - id: sa-8.7_gdn - name: guidance - prose: The principle of reduced complexity states that the system - design is as simple and small as possible. A small and simple - design is more understandable, more analyzable, and less prone - to error. The reduced complexity principle applies to any aspect - of a system, but it has particular importance for security due - to the various analyses performed to obtain evidence about the - emergent security property of the system. For such analyses to - be successful, a small and simple design is essential. Application - of the principle of reduced complexity contributes to the ability - of system developers to understand the correctness and completeness - of system security functions. It also facilitates identification - of potential vulnerabilities. The corollary of reduced complexity - states that the simplicity of the system is directly related to - the number of vulnerabilities it will contain—that is, simpler - systems contain fewer vulnerabilities. An important benefit of - reduced complexity is that it is easier to understand whether - the intended security policy has been captured in the system design, - and that fewer vulnerabilities are likely to be introduced during - engineering development. An additional benefit is that any such - conclusion about correctness, completeness, and existence of vulnerabilities - can be reached with a higher degree of assurance in contrast to - conclusions reached in situations where the system design is inherently - more complex. Transitioning from older technologies to newer technologies - (e.g., transitioning from IPv4 to IPv6) may require implementing - the older and newer technologies simultaneously during the transition - period. This may result in a temporary increase in system complexity - during the transition. - - id: sa-8.8 - class: SP800-53-enhancement - title: Secure Evolvability - params: - - id: sa-8.8_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(8) - - name: sort-id - value: SA-08(08) - links: - - href: "#cm-3" - rel: related - parts: - - id: sa-8.8_smt - name: statement - prose: "Implement the security design principle of secure evolvability\ - \ in {{ insert: param, sa-8.8_prm_1 }}." - - id: sa-8.8_gdn - name: guidance - prose: The principle of secure evolvability states that a system - is developed to facilitate the maintenance of its security properties - when there are changes to the system’s structure, interfaces, - interconnections (i.e., system architecture), functionality, or - its configuration (i.e., security policy enforcement). Changes - include a new, an enhanced, or an upgraded system capability; - maintenance and sustainment activities; and reconfiguration. Although - it is not possible to plan for every aspect of system evolution, - system upgrades and changes can be anticipated by analyses of - mission or business strategic direction; anticipated changes in - the threat environment; and anticipated maintenance and sustainment - needs. It is unrealistic to expect that complex systems remain - secure in contexts not envisioned during development, whether - such contexts are related to the operational environment or to - usage. A system may be secure in some new contexts, but there - is no guarantee that its emergent behavior will always be secure. - It is easier to build trustworthiness into a system from the outset, - and it follows that the sustainment of system trustworthiness - requires planning for change as opposed to adapting in an ad hoc - or non-methodical manner. The benefits of this principle include - reduced vendor life-cycle costs; reduced cost of ownership; improved - system security; more effective management of security risk; and - less risk uncertainty. - - id: sa-8.9 - class: SP800-53-enhancement - title: Trusted Components - params: - - id: sa-8.9_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(9) - - name: sort-id - value: SA-08(09) - parts: - - id: sa-8.9_smt - name: statement - prose: "Implement the security design principle of trusted components\ - \ in {{ insert: param, sa-8.9_prm_1 }}." - - id: sa-8.9_gdn - name: guidance - prose: The principle of trusted components states that a component - is trustworthy to at least a level commensurate with the security - dependencies it supports (i.e., how much it is trusted to perform - its security functions by other components). This principle enables - the composition of components such that trustworthiness is not - inadvertently diminished and where consequently the trust is not - misplaced. Ultimately this principle demands some metric by which - the trust in a component and the trustworthiness of a component - can be measured on the same abstract scale. The principle of trusted - components is particularly relevant when considering systems and - components in which there are complex chains of trust dependencies. - A trust dependency is also referred to as a trust relationship - and there may be chains of trust relationships. The principle - of trusted components also applies to a compound component that - consists of subcomponents (e.g., a subsystem), which may have - varying levels of trustworthiness. The conservative assumption - is that the trustworthiness of a compound component is that of - its least trustworthy subcomponent. It may be possible to provide - a security engineering rationale that the trustworthiness of a - particular compound component is greater than the conservative - assumption; however, any such rationale reflects logical reasoning - based on a clear statement of the trustworthiness objectives, - and relevant and credible evidence. The trustworthiness of a compound - component is not the same as increased application of defense-in-depth - layering within the component, or replication of components. Defense-in-depth - techniques do not increase the trustworthiness of the whole above - that of the least trustworthy component. - - id: sa-8.10 - class: SP800-53-enhancement - title: Hierarchical Trust - params: - - id: sa-8.10_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(10) - - name: sort-id - value: SA-08(10) - parts: - - id: sa-8.10_smt - name: statement - prose: "Implement the security design principle of hierarchical\ - \ trust in {{ insert: param, sa-8.10_prm_1 }}." - - id: sa-8.10_gdn - name: guidance - prose: The principle of hierarchical trust for components builds - on the principle of trusted components and states that the security - dependencies in a system will form a partial ordering if they - preserve the principle of trusted components. The partial ordering - provides the basis for trustworthiness reasoning or providing - an assurance case or argument when composing a secure system from - heterogeneously trustworthy components. To analyze a system composed - of heterogeneously trustworthy components for its trustworthiness, - it is essential to eliminate circular dependencies with regard - to the trustworthiness. If a more trustworthy component located - in a lower layer of the system were to depend upon a less trustworthy - component in a higher layer, this would in effect, put the components - in the same “less trustworthy” equivalence class per the principle - of trusted components. Trust relationships, or chains of trust, - can have various manifestations. For example, the root certificate - of a certificate hierarchy is the most trusted node in the hierarchy, - whereas the leaves in the hierarchy may be the least trustworthy - nodes. Another example occurs in a layered high-assurance system - where the security kernel (including the hardware base), which - is located at the lowest layer of the system, is the most trustworthy - component. The principle of hierarchical trust, however, does - not prohibit the use of overly trustworthy components. There may - be cases in a system of low trustworthiness, where it is reasonable - to employ a highly trustworthy component rather than one that - is less trustworthy (e.g., due to availability or other cost-benefit - driver). For such a case, any dependency of the highly trustworthy - component upon a less trustworthy component does not degrade the - trustworthiness of the resulting low-trust system. - - id: sa-8.11 - class: SP800-53-enhancement - title: Inverse Modification Threshold - params: - - id: sa-8.11_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(11) - - name: sort-id - value: SA-08(11) - parts: - - id: sa-8.11_smt - name: statement - prose: "Implement the security design principle of inverse modification\ - \ threshold in {{ insert: param, sa-8.11_prm_1 }}." - - id: sa-8.11_gdn - name: guidance - prose: The principle of inverse modification threshold builds on - the principle of trusted components and the principle of hierarchical - trust, and states that the degree of protection provided to a - component is commensurate with its trustworthiness. As the trust - placed in a component increases, the protection against unauthorized - modification of the component also increases to the same degree. - Protection from unauthorized modification can come in the form - of the component’s own self-protection and innate trustworthiness, - or it can come from the protections afforded to the component - from other elements or attributes of the security architecture - (to include protections in the environment of operation). - - id: sa-8.12 - class: SP800-53-enhancement - title: Hierarchical Protection - params: - - id: sa-8.12_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(12) - - name: sort-id - value: SA-08(12) - parts: - - id: sa-8.12_smt - name: statement - prose: "Implement the security design principle of hierarchical\ - \ protection in {{ insert: param, sa-8.12_prm_1 }}." - - id: sa-8.12_gdn - name: guidance - prose: The principle of hierarchical protection states that a component - need not be protected from more trustworthy components. In the - degenerate case of the most trusted component, it protects itself - from all other components. For example, if an operating system - kernel is deemed the most trustworthy component in a system, then - it protects itself from all untrusted applications it supports, - but the applications, conversely, do not need to protect themselves - from the kernel. The trustworthiness of users is a consideration - for applying the principle of hierarchical protection. A trusted - system need not protect itself from an equally trustworthy user, - reflecting use of untrusted systems in “system high” environments - where users are highly trustworthy and where other protections - are put in place to bound and protect the “system high” execution - environment. - - id: sa-8.13 - class: SP800-53-enhancement - title: Minimized Security Elements - params: - - id: sa-8.13_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(13) - - name: sort-id - value: SA-08(13) - parts: - - id: sa-8.13_smt - name: statement - prose: "Implement the security design principle of minimized security\ - \ elements in {{ insert: param, sa-8.13_prm_1 }}." - - id: sa-8.13_gdn - name: guidance - prose: "The principle of minimized security elements states that\ - \ the system does not have extraneous trusted components. The\ - \ principle of minimized security elements has two aspects: the\ - \ overall cost of security analysis and the complexity of security\ - \ analysis. Trusted components are generally costlier to construct\ - \ and implement, owing to increased rigor of development processes.\ - \ Trusted components also require greater security analysis to\ - \ qualify their trustworthiness. Thus, to reduce the cost and\ - \ decrease the complexity of the security analysis, a system contains\ - \ as few trustworthy components as possible. The analysis of the\ - \ interaction of trusted components with other components of the\ - \ system is one of the most important aspects of system security\ - \ verification. If the interactions between components are unnecessarily\ - \ complex, the security of the system will also be more difficult\ - \ to ascertain than one whose internal trust relationships are\ - \ simple and elegantly constructed. In general, fewer trusted\ - \ components result in fewer internal trust relationships and\ - \ a simpler system." - - id: sa-8.14 - class: SP800-53-enhancement - title: Least Privilege - params: - - id: sa-8.14_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(14) - - name: sort-id - value: SA-08(14) - links: - - href: "#ac-6" - rel: related - - href: "#cm-7" - rel: related - parts: - - id: sa-8.14_smt - name: statement - prose: "Implement the security design principle of least privilege\ - \ in {{ insert: param, sa-8.14_prm_1 }}." - - id: sa-8.14_gdn - name: guidance - prose: "The principle of least privilege states that each system\ - \ component is allocated sufficient privileges to accomplish its\ - \ specified functions, but no more. Applying the principle of\ - \ least privilege limits the scope of the component’s actions,\ - \ which has two desirable effects: the security impact of a failure,\ - \ corruption, or misuse of the component will have a minimized\ - \ security impact; and the security analysis of the component\ - \ will be simplified. Least privilege is a pervasive principle\ - \ that is reflected in all aspects of the secure system design.\ - \ Interfaces used to invoke component capability are available\ - \ to only certain subsets of the user population, and component\ - \ design supports a sufficiently fine granularity of privilege\ - \ decomposition. For example, in the case of an audit mechanism,\ - \ there may be an interface for the audit manager, who configures\ - \ the audit settings; an interface for the audit operator, who\ - \ ensures that audit data is safely collected and stored; and,\ - \ finally, yet another interface for the audit reviewer, who has\ - \ need only to view the audit data that has been collected but\ - \ no need to perform operations on that data. In addition to its\ - \ manifestations at the system interface, least privilege can\ - \ be used as a guiding principle for the internal structure of\ - \ the system itself. One aspect of internal least privilege is\ - \ to construct modules so that only the elements encapsulated\ - \ by the module are directly operated upon by the functions within\ - \ the module. Elements external to a module that may be affected\ - \ by the module’s operation are indirectly accessed through interaction\ - \ (e.g., via a function call) with the module that contains those\ - \ elements. Another aspect of internal least privilege is that\ - \ the scope of a given module or component includes only those\ - \ system elements that are necessary for its functionality, and\ - \ that the access modes for the elements (e.g., read, write) are\ - \ minimal." - - id: sa-8.15 - class: SP800-53-enhancement - title: Predicate Permission - params: - - id: sa-8.15_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(15) - - name: sort-id - value: SA-08(15) - links: - - href: "#ac-5" - rel: related - parts: - - id: sa-8.15_smt - name: statement - prose: "Implement the security design principle of predicate permission\ - \ in {{ insert: param, sa-8.15_prm_1 }}." - - id: sa-8.15_gdn - name: guidance - prose: The principle of predicate permission states that system - designers consider requiring multiple authorized entities to provide - consent before a highly critical operation or access to highly - sensitive data, information, or resources is allowed to proceed. - [SALTZER75] originally named predicate permission the separation - of privilege. It is also equivalent to separation of duty. The - division of privilege among multiple parties decreases the likelihood - of abuse and provides the safeguard that no single accident, deception, - or breach of trust is sufficient to enable an unrecoverable action - that can lead to significantly damaging effects. The design options - for such a mechanism may require simultaneous action (e.g., the - firing of a nuclear weapon requires two different authorized individuals - to give the correct command within a small time window) or a sequence - of operations where each successive action is enabled by some - prior action, but no single individual is able to enable more - than one action. - - id: sa-8.16 - class: SP800-53-enhancement - title: Self-reliant Trustworthiness - params: - - id: sa-8.16_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(16) - - name: sort-id - value: SA-08(16) - parts: - - id: sa-8.16_smt - name: statement - prose: "Implement the security design principle of self-reliant\ - \ trustworthiness in {{ insert: param, sa-8.16_prm_1 }}." - - id: sa-8.16_gdn - name: guidance - prose: The principle of self-reliant trustworthiness states that - systems minimize their reliance on other systems for their own - trustworthiness. A system is trustworthy by default with any connection - to an external entity used to supplement its function. If a system - were required to maintain a connection with another external entity - in order to maintain its trustworthiness, then that system would - be vulnerable to malicious and non-malicious threats that result - in loss or degradation of that connection. The benefit to the - principle of self-reliant trustworthiness is that the isolation - of a system will make it less vulnerable to attack. A corollary - to this principle relates to the ability of the system (or system - component) to operate in isolation and then resynchronize with - other components when it is rejoined with them. - - id: sa-8.17 - class: SP800-53-enhancement - title: Secure Distributed Composition - params: - - id: sa-8.17_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(17) - - name: sort-id - value: SA-08(17) - parts: - - id: sa-8.17_smt - name: statement - prose: "Implement the security design principle of secure distributed\ - \ composition in {{ insert: param, sa-8.17_prm_1 }}." - - id: sa-8.17_gdn - name: guidance - prose: The principle of secure distributed composition states that - the composition of distributed components that enforce the same - system security policy result in a system that enforces that policy - at least as well as the individual components do. Many of the - design principles for secure systems deal with how components - can or should interact. The need to create or enable capability - from the composition of distributed components can magnify the - relevancy of these principles. In particular, the translation - of security policy from a stand-alone to a distributed system - or a system-of-systems can have unexpected or emergent results. - Communication protocols and distributed data consistency mechanisms - help to ensure consistent policy enforcement across a distributed - system. To ensure a system-wide level of assurance of correct - policy enforcement, the security architecture of a distributed - composite system is thoroughly analyzed. - - id: sa-8.18 - class: SP800-53-enhancement - title: Trusted Communications Channels - params: - - id: sa-8.18_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(18) - - name: sort-id - value: SA-08(18) - links: - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sa-8.18_smt - name: statement - prose: "Implement the security design principle of trusted communications\ - \ channels in {{ insert: param, sa-8.18_prm_1 }}." - - id: sa-8.18_gdn - name: guidance - prose: The principle of trusted communication channels states that - when composing a system where there is a potential threat to communications - between components (i.e., the interconnections between components), - each communication channel is trustworthy to a level commensurate - with the security dependencies it supports (i.e., how much it - is trusted by other components to perform its security functions). - Trusted communication channels are achieved by a combination of - restricting access to the communication channel (to ensure an - acceptable match in the trustworthiness of the endpoints involved - in the communication) and employing end-to-end protections for - the data transmitted over the communication channel (to protect - against interception, modification, and to further increase the - assurance of proper end-to-end communication). - - id: sa-8.19 - class: SP800-53-enhancement - title: Continuous Protection - params: - - id: sa-8.19_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(19) - - name: sort-id - value: SA-08(19) - links: - - href: "#ac-25" - rel: related - parts: - - id: sa-8.19_smt - name: statement - prose: "Implement the security design principle of continuous protection\ - \ in {{ insert: param, sa-8.19_prm_1 }}." - - id: sa-8.19_gdn - name: guidance - prose: The principle of continuous protection states that components - and data used to enforce the security policy have uninterrupted - protection that is consistent with the security policy and the - security architecture assumptions. No assurances that the system - can provide the confidentiality, integrity, availability, and - privacy protections for its design capability can be made if there - are gaps in the protection. Any assurances about the ability to - secure a delivered capability require that data and information - are continuously protected. That is, there are no periods during - which data and information are left unprotected while under control - of the system (i.e., during the creation, storage, processing, - or communication of the data and information, as well as during - system initialization, execution, failure, interruption, and shutdown). - Continuous protection requires adherence to the precepts of the - reference monitor concept (i.e., every request is validated by - the reference monitor, the reference monitor is able to protect - itself from tampering, and sufficient assurance of the correctness - and completeness of the mechanism can be ascertained from analysis - and testing), and the principle of secure failure and recovery - (i.e., preservation of a secure state during error, fault, failure, - and successful attack; preservation of a secure state during recovery - to normal, degraded, or alternative operational modes). Continuous - protection also applies to systems designed to operate in varying - configurations, including those that deliver full operational - capability and degraded-mode configurations that deliver partial - operational capability. The continuous protection principle requires - that changes to the system security policies be traceable to the - operational need that drives the configuration and be verifiable - (i.e., it is possible to verify that the proposed changes will - not put the system into an insecure state). Insufficient traceability - and verification may lead to inconsistent states or protection - discontinuities due to the complex or undecidable nature of the - problem. The use of pre-verified configuration definitions that - reflect the new security policy enables analysis to determine - that a transition from old to new policies is essentially atomic, - and that any residual effects from the old policy are guaranteed - to not conflict with the new policy. The ability to demonstrate - continuous protection is rooted in the clear articulation of life - cycle protection needs as stakeholder security requirements. - - id: sa-8.20 - class: SP800-53-enhancement - title: Secure Metadata Management - params: - - id: sa-8.20_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(20) - - name: sort-id - value: SA-08(20) - parts: - - id: sa-8.20_smt - name: statement - prose: "Implement the security design principle of secure metadata\ - \ management in {{ insert: param, sa-8.20_prm_1 }}." - - id: sa-8.20_gdn - name: guidance - prose: The principle of secure metadata management states that metadata - are “first class” objects with respect to security policy when - the policy requires complete protection of information or it requires - that the security subsystem to be self-protecting. The principle - of secure metadata management is driven by the recognition that - a system, subsystem, or component cannot achieve self-protection - unless it protects the data it relies upon for correct execution. - Data is generally not interpreted by the system that stores it. - It may have semantic value (i.e., it comprises information) to - users and programs that process the data. In contrast, metadata - is information about data, such as a file name or the date when - the file was created. Metadata is bound to the target data that - it describes in a way that the system can interpret, but it need - not be stored inside of or proximate to its target data. There - may be metadata whose target is itself metadata (e.g., the sensitivity - level of a file name), to include self-referential metadata. The - apparent secondary nature of metadata can lead to a neglect of - its legitimate need for protection, resulting in a violation of - the security policy that includes the exfiltration of information. - A particular concern associated with insufficient protections - for metadata is associated with multilevel secure (MLS) systems. - MLS systems mediate access by a subject to an object based on - relative sensitivity levels. It follows that all subjects and - objects in the scope of control of the MLS system are either directly - labeled or indirectly attributed with sensitivity levels. The - corollary of labeled metadata for MLS systems states that objects - containing metadata are labeled. As with protection needs assessment - for data, attention is given to ensure that the confidentiality - and integrity protections are individually assessed, specified, - and allocated to metadata, as would be done for mission, business, - and system data. - - id: sa-8.21 - class: SP800-53-enhancement - title: Self-analysis - params: - - id: sa-8.21_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(21) - - name: sort-id - value: SA-08(21) - links: - - href: "#ca-7" - rel: related - parts: - - id: sa-8.21_smt - name: statement - prose: "Implement the security design principle of self-analysis\ - \ in {{ insert: param, sa-8.21_prm_1 }}." - - id: sa-8.21_gdn - name: guidance - prose: The principle of self-analysis states that a system component - is able to assess its internal state and functionality to a limited - extent at various stages of execution, and that this self-analysis - capability is commensurate with the level of trustworthiness invested - in the system. At the system level, self-analysis can be achieved - through hierarchical assessments of trustworthiness established - in a bottom up fashion. In this approach, the lower-level components - check for data integrity and correct functionality (to a limited - extent) of higher-level components. For example, trusted boot - sequences involve a trusted lower-level component attesting to - the trustworthiness of the next higher-level components so that - a transitive chain of trust can be established. At the root, a - component attests to itself, which usually involves an axiomatic - or environmentally enforced assumption about its integrity. Results - of the self-analyses can be used to guard against externally induced - errors, or internal malfunction or transient errors. By following - this principle, some simple errors or malfunctions can be detected - without allowing the effects of the error or malfunction to propagate - outside the component. Further, the self-test can also be used - to attest to the configuration of the component, detecting any - potential conflicts in configuration with respect to the expected - configuration. - - id: sa-8.22 - class: SP800-53-enhancement - title: Accountability and Traceability - params: - - id: sa-8.22_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(22) - - name: sort-id - value: SA-08(22) - links: - - href: "#ac-6" - rel: related - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#au-6" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#au-12" - rel: related - - href: "#ia-2" - rel: related - - href: "#ir-4" - rel: related - parts: - - id: sa-8.22_smt - name: statement - prose: "Implement the security design principle of accountability\ - \ and traceability in {{ insert: param, sa-8.22_prm_1 }}." - - id: sa-8.22_gdn - name: guidance - prose: The principle of accountability and traceability states that - it is possible to trace security-relevant actions (i.e., subject-object - interactions) to the entity on whose behalf the action is being - taken. The principle of accountability and traceability requires - a trustworthy infrastructure that can record details about actions - that affect system security (e.g., an audit subsystem). To record - the details about actions, the system is able to uniquely identify - the entity on whose behalf the action is being carried out and - also record the relevant sequence of actions that are carried - out. The accountability policy also requires the audit trail itself - be protected from unauthorized access and modification. The principle - of least privilege assists in tracing the actions to particular - entities, as it increases the granularity of accountability. Associating - specific actions with system entities, and ultimately with users, - and making the audit trail secure against unauthorized access - and modifications provides non-repudiation, because once an action - is recorded, it is not possible to change the audit trail. Another - important function that accountability and traceability serves - is in the routine and forensic analysis of events associated with - the violation of security policy. Analysis of audit logs may provide - additional information that may be helpful in determining the - path or component that allowed the violation of the security policy, - and the actions of individuals associated with the violation of - security policy. - - id: sa-8.23 - class: SP800-53-enhancement - title: Secure Defaults - params: - - id: sa-8.23_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(23) - - name: sort-id - value: SA-08(23) - links: - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#sa-4" - rel: related - parts: - - id: sa-8.23_smt - name: statement - prose: "Implement the security design principle of secure defaults\ - \ in {{ insert: param, sa-8.23_prm_1 }}." - - id: sa-8.23_gdn - name: guidance - prose: The principle of secure defaults states that the default - configuration of a system (to include its constituent subsystems, - components, and mechanisms) reflects a restrictive and conservative - enforcement of security policy. The principle of secure defaults - applies to the initial (i.e., default) configuration of a system - as well as to the security engineering and design of access control - and other security functions that follow a “deny unless explicitly - authorized” strategy. The initial configuration aspect of this - principle requires that any “as shipped” configuration of a system, - subsystem, or system component does not aid in the violation of - the security policy, and can prevent the system from operating - in the default configuration for those cases where the security - policy itself requires configuration by the operational user. - Restrictive defaults mean that the system will operate “as-shipped” - with adequate self-protection, and is able to prevent security - breaches before the intended security policy and system configuration - is established. In cases where the protection provided by the - “as-shipped” product is inadequate, stakeholders assess the risk - of using it prior to establishing a secure initial state. Adherence - to the principle of secure defaults guarantees that a system is - established in a secure state upon successfully completing initialization. - In situations where the system fails to complete initialization, - either it will perform a requested operation using secure defaults - or it will not perform the operation. Refer to the principles - of continuous protection and secure failure and recovery that - parallel this principle to provide the ability to detect and recover - from failure. The security engineering approach to this principle - states that security mechanisms deny requests unless the request - is found to be well-formed and consistent with the security policy. - The insecure alternative is to allow a request unless it is shown - to be inconsistent with the policy. In a large system, the conditions - that are satisfied to grant a request that is by default denied - are often far more compact and complete than those that would - need to be checked in order to deny a request that is by default - granted. - - id: sa-8.24 - class: SP800-53-enhancement - title: Secure Failure and Recovery - params: - - id: sa-8.24_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(24) - - name: sort-id - value: SA-08(24) - links: - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: sa-8.24_smt - name: statement - prose: "Implement the security design principle of secure failure\ - \ and recovery in {{ insert: param, sa-8.24_prm_1 }}." - - id: sa-8.24_gdn - name: guidance - prose: The principle of secure failure and recovery states that - neither a failure in a system function or mechanism nor any recovery - action in response to failure leads to a violation of security - policy. The principle of secure failure and recovery parallels - the principle of continuous protection to ensure that a system - is capable of detecting (within limits) actual and impending failure - at any stage of its operation (i.e., initialization, normal operation, - shutdown, and maintenance) and to take appropriate steps to ensure - that security policies are not violated. In addition, when specified, - the system is capable of recovering from impending or actual failure - to resume normal, degraded, or alternative secure operation while - ensuring that a secure state is maintained such that security - policies are not violated. Failure is a condition in which the - behavior of a component deviates from its specified or expected - behavior for an explicitly documented input. Once a failed security - function is detected, the system may reconfigure itself to circumvent - the failed component, while maintaining security, and provide - all or part of the functionality of the original system, or completely - shut itself down to prevent any further violation of security - policies. For this to occur, the reconfiguration functions of - the system are designed to ensure continuous enforcement of security - policy during the various phases of reconfiguration. Another technique - that can be used to recover from failures is to perform a rollback - to a secure state (which may be the initial state) and then either - shutdown or replace the service or component that failed such - that secure operation may resume. Failure of a component may or - may not be detectable to the components using it. The principle - of secure failure indicates that components fail in a state that - denies rather than grants access. For example, a nominally “atomic” - operation interrupted before completion does not violate security - policy and is designed to handle interruption events by employing - higher-level atomicity and rollback mechanisms (e.g., transactions). - If a service is being used, its atomicity properties are well-documented - and characterized so that the component availing itself of that - service can detect and handle interruption events appropriately. - For example, a system is designed to gracefully respond to disconnection - and support resynchronization and data consistency after disconnection. - Failure protection strategies that employ replication of policy - enforcement mechanisms, sometimes called defense in depth, can - allow the system to continue in a secure state even when one mechanism - has failed to protect the system. If the mechanisms are similar, - however, the additional protection may be illusory, as the adversary - can simply attack in series. Similarly, in a networked system, - breaking the security on one system or service may enable an attacker - to do the same on other similar replicated systems and services. - By employing multiple protection mechanisms, whose features are - significantly different, the possibility of attack replication - or repetition can be reduced. Analyses are conducted to weigh - the costs and benefits of such redundancy techniques against increased - resource usage and adverse effects on the overall system performance. - Additional analyses are conducted as the complexity of these mechanisms - increases, as could be the case for dynamic behaviors. Increased - complexity generally reduces trustworthiness. When a resource - cannot be continuously protected, it is critical to detect and - repair any security breaches before the resource is once again - used in a secure context. - - id: sa-8.25 - class: SP800-53-enhancement - title: Economic Security - params: - - id: sa-8.25_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(25) - - name: sort-id - value: SA-08(25) - links: - - href: "#ra-3" - rel: related - parts: - - id: sa-8.25_smt - name: statement - prose: "Implement the security design principle of economic security\ - \ in {{ insert: param, sa-8.25_prm_1 }}." - - id: sa-8.25_gdn - name: guidance - prose: The principle of economic security states that security mechanisms - are not costlier than the potential damage that could occur from - a security breach. This is the security-relevant form of the cost-benefit - analyses used in risk management. The cost assumptions of cost-benefit - analysis prevent the system designer from incorporating security - mechanisms of greater strength than necessary, where strength - of mechanism is proportional to cost. The principle of economic - security also requires analysis of the benefits of assurance relative - to the cost of that assurance in terms of the effort expended - to obtain relevant and credible evidence, and to perform the analyses - necessary to assess and draw trustworthiness and risk conclusions - from the evidence. - - id: sa-8.26 - class: SP800-53-enhancement - title: Performance Security - params: - - id: sa-8.26_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(26) - - name: sort-id - value: SA-08(26) - links: - - href: "#sc-13" - rel: related - - href: "#si-2" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sa-8.26_smt - name: statement - prose: "Implement the security design principle of performance security\ - \ in {{ insert: param, sa-8.26_prm_1 }}." - - id: sa-8.26_gdn - name: guidance - prose: The principle of performance security states that security - mechanisms are constructed so that they do not degrade system - performance unnecessarily. Stakeholder and system design requirements - for performance and security are precisely articulated and prioritized. - For the system implementation to meet its design requirements - and be found acceptable to stakeholders (i.e., validation against - stakeholder requirements), the designers adhere to the specified - constraints that capability performance needs place on protection - needs. The overall impact of computationally intensive security - services (e.g., cryptography) are assessed and demonstrated to - pose no significant impact to higher-priority performance considerations - or are deemed to be providing an acceptable trade-off of performance - for trustworthy protection. The trade-off considerations include - less computationally intensive security services unless they are - unavailable or insufficient. The insufficiency of a security service - is determined by functional capability and strength of mechanism. - The strength of mechanism is selected with respect to security - requirements as well as performance-critical overhead issues (e.g., - cryptographic key management) and an assessment of the capability - of the threat. The principle of performance security leads to - the incorporation of features that help in the enforcement of - security policy, but incur minimum overhead, such as low-level - hardware mechanisms upon which higher-level services can be built. - Such low-level mechanisms are usually very specific, have very - limited functionality, and are optimized for performance. For - example, once access rights to a portion of memory is granted, - many systems use hardware mechanisms to ensure that all further - accesses involve the correct memory address and access mode. Application - of this principle reinforces the need to design security into - the system from the ground up, and to incorporate simple mechanisms - at the lower layers that can be used as building blocks for higher-level - mechanisms. - - id: sa-8.27 - class: SP800-53-enhancement - title: Human Factored Security - params: - - id: sa-8.27_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(27) - - name: sort-id - value: SA-08(27) - parts: - - id: sa-8.27_smt - name: statement - prose: "Implement the security design principle of human factored\ - \ security in {{ insert: param, sa-8.27_prm_1 }}." - - id: sa-8.27_gdn - name: guidance - prose: The principle of human factored security states that the - user interface for security functions and supporting services - is intuitive, user friendly, and provides feedback for user actions - that affect such policy and its enforcement. The mechanisms that - enforce security policy are not intrusive to the user and are - designed not to degrade user efficiency. Security policy enforcement - mechanisms also provide the user with meaningful, clear, and relevant - feedback and warnings when insecure choices are being made. Particular - attention is given to interfaces through which personnel responsible - for system administration and operation configure and set up the - security policies. Ideally, these personnel are able to understand - the impact of their choices. The personnel with system administrative - and operation responsibility are able to configure systems before - start-up and administer them during runtime, in both cases with - confidence that their intent is correctly mapped to the system’s - mechanisms. Security services, functions, and mechanisms do not - impede or unnecessarily complicate the intended use of the system. - There is a trade-off between system usability and the strictness - necessitated for security policy enforcement. If security mechanisms - are frustrating or difficult to use, then users may disable or - avoid them, or use the mechanisms in ways inconsistent with the - security requirements and protection needs the mechanisms were - designed to satisfy. - - id: sa-8.28 - class: SP800-53-enhancement - title: Acceptable Security - params: - - id: sa-8.28_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(28) - - name: sort-id - value: SA-08(28) - parts: - - id: sa-8.28_smt - name: statement - prose: "Implement the security design principle of acceptable security\ - \ in {{ insert: param, sa-8.28_prm_1 }}." - - id: sa-8.28_gdn - name: guidance - prose: The principle of acceptable security requires that the level - of privacy and performance the system provides is consistent with - the users’ expectations. The perception of personal privacy may - affect user behavior, morale, and effectiveness. Based on the - organizational privacy policy and the system design, users should - be able to restrict their actions to protect their privacy. When - systems fail to provide intuitive interfaces, or meet privacy - and performance expectations, users may either choose to completely - avoid the system or use it in ways that may be inefficient or - even insecure. - - id: sa-8.29 - class: SP800-53-enhancement - title: Repeatable and Documented Procedures - params: - - id: sa-8.29_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(29) - - name: sort-id - value: SA-08(29) - links: - - href: "#cm-1" - rel: related - - href: "#sa-1" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-1" - rel: related - - href: "#si-1" - rel: related - parts: - - id: sa-8.29_smt - name: statement - prose: "Implement the security design principle of repeatable and\ - \ documented procedures in {{ insert: param, sa-8.29_prm_1 }}." - - id: sa-8.29_gdn - name: guidance - prose: The principle of repeatable and documented procedures states - that the techniques and methods employed to construct a system - component permits the same component to be completely and correctly - reconstructed at a later time. Repeatable and documented procedures - support the development of a component that is identical to the - component created earlier that may be in widespread use. In the - case of other system artifacts (e.g., documentation and testing - results), repeatability supports consistency and ability to inspect - the artifacts. Repeatable and documented procedures can be introduced - at various stages within the system development life cycle and - can contribute to the ability to evaluate assurance claims for - the system. Examples include systematic procedures for code development - and review; procedures for configuration management of development - tools and system artifacts; and procedures for system delivery. - - id: sa-8.30 - class: SP800-53-enhancement - title: Procedural Rigor - params: - - id: sa-8.30_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(30) - - name: sort-id - value: SA-08(30) - parts: - - id: sa-8.30_smt - name: statement - prose: "Implement the security design principle of procedural rigor\ - \ in {{ insert: param, sa-8.30_prm_1 }}." - - id: sa-8.30_gdn - name: guidance - prose: The principle of procedural rigor states that the rigor of - a system life cycle process is commensurate with its intended - trustworthiness. Procedural rigor defines the scope, depth, and - detail of the system life cycle procedures. Rigorous system life - cycle procedures contribute to the assurance that the system is - correct and free of unintended functionality in several ways. - First, the procedures impose checks and balances on the life cycle - process such that the introduction of unspecified functionality - is prevented. Second, rigorous procedures applied to systems security - engineering activities that produce specifications and other system - design documents contribute to the ability to understand the system - as it has been built, rather than trusting that the component - as implemented, is the authoritative (and potentially misleading) - specification. Finally, modifications to an existing system component - are easier when there are detailed specifications describing its - current design, instead of studying source code or schematics - to try to understand how it works. Procedural rigor helps to ensure - that security functional and assurance requirements have been - satisfied, and it contributes to a better-informed basis for the - determination of trustworthiness and risk posture. Procedural - rigor is commensurate with the degree of assurance desired for - the system. If the required trustworthiness of the system is low, - a high level of procedural rigor may add unnecessary cost, whereas - when high trustworthiness is critical, the cost of high procedural - rigor is merited. - - id: sa-8.31 - class: SP800-53-enhancement - title: Secure System Modification - params: - - id: sa-8.31_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(31) - - name: sort-id - value: SA-08(31) - links: - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - parts: - - id: sa-8.31_smt - name: statement - prose: "Implement the security design principle of secure system\ - \ modification in {{ insert: param, sa-8.31_prm_1 }}." - - id: sa-8.31_gdn - name: guidance - prose: The principle of secure system modification states that system - modification maintains system security with respect to the security - requirements and risk tolerance of stakeholders. Upgrades or modifications - to systems can transform secure systems into systems that are - not secure. The procedures for system modification ensure that, - if the system is to maintain its trustworthiness, the same rigor - that was applied to its initial development is applied to any - system changes. Because modifications can affect the ability of - the system to maintain its secure state, a careful security analysis - of the modification is needed prior to its implementation and - deployment. This principle parallels the principle of secure evolvability. - - id: sa-8.32 - class: SP800-53-enhancement - title: Sufficient Documentation - params: - - id: sa-8.32_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SA-8(32) - - name: sort-id - value: SA-08(32) - links: - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-8.32_smt - name: statement - prose: "Implement the security design principle of sufficient documentation\ - \ in {{ insert: param, sa-8.32_prm_1 }}." - - id: sa-8.32_gdn - name: guidance - prose: The principle of sufficient documentation states that organizational - personnel with responsibility to interact with the system are - provided with adequate documentation and other information such - that the personnel contribute to rather than detract from system - security. Despite attempts to comply with principles such as human - factored security and acceptable security, systems are inherently - complex, and the design intent for the use of security mechanisms - is not always intuitively obvious. Neither are the ramifications - of the misuse or misconfiguration of security mechanisms. Uninformed - and insufficiently trained users can introduce vulnerabilities - due to errors of omission and commission. The availability of - documentation and training can help to ensure a knowledgeable - cadre of personnel, all of whom have a critical role in the achievement - of principles such as continuous protection. Documentation is - written clearly and supported by training that provides security - awareness and understanding of security-relevant responsibilities. - - id: sa-9 - class: SP800-53 - title: External System Services - params: - - id: sa-9_prm_1 - label: organization-defined controls - - id: sa-9_prm_2 - label: organization-defined processes, methods, and techniques - props: - - name: label - value: SA-9 - - name: sort-id - value: SA-09 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ed919d0d-8e21-4df6-801d-3fbc4cb8a505" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#ac-20" - rel: related - - href: "#ca-3" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-7" - rel: related - - href: "#pl-10" - rel: related - - href: "#pl-11" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-4" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sa-9_smt - name: statement - parts: - - id: sa-9_smt.a - name: item - props: - - name: label - value: a. - prose: "Require that providers of external system services comply\ - \ with organizational security and privacy requirements and employ\ - \ the following controls: {{ insert: param, sa-9_prm_1 }};" - - id: sa-9_smt.b - name: item - props: - - name: label - value: b. - prose: Define and document organizational oversight and user roles - and responsibilities with regard to external system services; - and - - id: sa-9_smt.c - name: item - props: - - name: label - value: c. - prose: "Employ the following processes, methods, and techniques\ - \ to monitor control compliance by external service providers\ - \ on an ongoing basis: {{ insert: param, sa-9_prm_2 }}." - - id: sa-9_gdn - name: guidance - prose: External system services are services that are provided by an - external provider and for which the organization has no direct control - over the implementation of required controls or the assessment of - control effectiveness. Organizations establish relationships with - external service providers in a variety of ways, including through - business partnerships, contracts, interagency agreements, lines of - business arrangements, licensing agreements, joint ventures, and supply - chain exchanges. The responsibility for managing risks from the use - of external system services remains with authorizing officials. For - services external to organizations, a chain of trust requires that - organizations establish and retain a certain level of confidence that - each provider in the consumer-provider relationship provides adequate - protection for the services rendered. The extent and nature of this - chain of trust varies based on relationships between organizations - and the external providers. Organizations document the basis for the - trust relationships so the relationships can be monitored. External - system services documentation includes government, service providers, - end user security roles and responsibilities, and service-level agreements. - Service-level agreements define expectations of performance for implemented - controls, describe measurable outcomes, and identify remedies and - response requirements for identified instances of noncompliance. - controls: - - id: sa-9.1 - class: SP800-53-enhancement - title: Risk Assessments and Organizational Approvals - params: - - id: sa-9.1_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SA-9(1) - - name: sort-id - value: SA-09(01) - links: - - href: "#ca-6" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: sa-9.1_smt - name: statement - parts: - - id: sa-9.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Conduct an organizational assessment of risk prior to - the acquisition or outsourcing of information security services; - and - - id: sa-9.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Verify that the acquisition or outsourcing of dedicated\ - \ information security services is approved by {{ insert:\ - \ param, sa-9.1_prm_1 }}." - - id: sa-9.1_gdn - name: guidance - prose: Information security services include the operation of security - devices such as firewalls, or key management services; and incident - monitoring, analysis, and response. Risks assessed can include - system, mission or business, privacy, or supply chain risks. - - id: sa-9.2 - class: SP800-53-enhancement - title: Identification of Functions, Ports, Protocols, and Services - params: - - id: sa-9.2_prm_1 - label: organization-defined external system services - props: - - name: label - value: SA-9(2) - - name: sort-id - value: SA-09(02) - links: - - href: "#cm-6" - rel: related - - href: "#cm-7" - rel: related - parts: - - id: sa-9.2_smt - name: statement - prose: "Require providers of the following external system services\ - \ to identify the functions, ports, protocols, and other services\ - \ required for the use of such services: {{ insert: param, sa-9.2_prm_1\ - \ }}." - - id: sa-9.2_gdn - name: guidance - prose: Information from external service providers regarding the - specific functions, ports, protocols, and services used in the - provision of such services can be useful when the need arises - to understand the trade-offs involved in restricting certain functions - and services or blocking certain ports and protocols. - - id: sa-9.3 - class: SP800-53-enhancement - title: Establish and Maintain Trust Relationship with Providers - params: - - id: sa-9.3_prm_1 - label: organization-defined security and privacy requirements, properties, - factors, or conditions defining acceptable trust relationships - props: - - name: label - value: SA-9(3) - - name: sort-id - value: SA-09(03) - links: - - href: "#sr-2" - rel: related - parts: - - id: sa-9.3_smt - name: statement - prose: "Establish, document, and maintain trust relationships with\ - \ external service providers based on the following requirements,\ - \ properties, factors, or conditions: {{ insert: param, sa-9.3_prm_1\ - \ }}." - - id: sa-9.3_gdn - name: guidance - prose: The degree of confidence that the risk from using external - services is at an acceptable level depends on the trust that organizations - place in the external providers, individually or in combination. - Trust relationships can help organizations to gain increased levels - of confidence that participating service providers are providing - adequate protection for the services rendered and can also be - useful when conducting incident response or when planning for - upgrades or obsolescence. Trust relationships can be complicated - due to the potentially large number of entities participating - in the consumer-provider interactions, subordinate relationships - and levels of trust, and types of interactions between the parties. - In some cases, the degree of trust is based on the level of control - organizations can exert on external service providers regarding - the controls necessary for the protection of the service, information, - or individual privacy and the evidence brought forth as to the - effectiveness of the implemented controls. The level of control - is established by the terms and conditions of the contracts or - service-level agreements. - - id: sa-9.4 - class: SP800-53-enhancement - title: Consistent Interests of Consumers and Providers - params: - - id: sa-9.4_prm_1 - label: organization-defined external service providers - - id: sa-9.4_prm_2 - label: organization-defined actions - props: - - name: label - value: SA-9(4) - - name: sort-id - value: SA-09(04) - parts: - - id: sa-9.4_smt - name: statement - prose: "Take the following actions to verify that the interests\ - \ of {{ insert: param, sa-9.4_prm_1 }} are consistent with and\ - \ reflect organizational interests: {{ insert: param, sa-9.4_prm_2\ - \ }}." - - id: sa-9.4_gdn - name: guidance - prose: As organizations increasingly use external service providers, - it is possible that the interests of the service providers may - diverge from organizational interests. In such situations, simply - having the required technical, management, or operational controls - in place may not be sufficient if the providers that implement - and manage those controls are not operating in a manner consistent - with the interests of the consuming organizations. Actions that - organizations take to address such concerns include requiring - background checks for selected service provider personnel; examining - ownership records; employing only trustworthy service providers, - including providers with which organizations have had successful - trust relationships; and conducting routine periodic, unscheduled - visits to service provider facilities. - - id: sa-9.5 - class: SP800-53-enhancement - title: Processing, Storage, and Service Location - params: - - id: sa-9.5_prm_1 - select: - how-many: one-or-more - choice: - - information processing - - information or data - - system services - - id: sa-9.5_prm_2 - label: organization-defined locations - - id: sa-9.5_prm_3 - label: organization-defined requirements or conditions - props: - - name: label - value: SA-9(5) - - name: sort-id - value: SA-09(05) - links: - - href: "#sa-5" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: sa-9.5_smt - name: statement - prose: "Restrict the location of {{ insert: param, sa-9.5_prm_1\ - \ }} to {{ insert: param, sa-9.5_prm_2 }} based on {{ insert:\ - \ param, sa-9.5_prm_3 }}." - - id: sa-9.5_gdn - name: guidance - prose: The location of information processing, information and data - storage, or system services that are critical to organizations - can have a direct impact on the ability of those organizations - to successfully execute their missions and business functions. - The impact occurs when external providers control the location - of processing, storage, or services. The criteria that external - providers use for the selection of processing, storage, or service - locations may be different from the criteria organizations use. - For example, organizations may desire that data or information - storage locations are restricted to certain locations to help - facilitate incident response activities in case of information - security or privacy incidents. Incident response activities including - forensic analyses and after-the-fact investigations, may be adversely - affected by the governing laws, policies, or protocols in the - locations where processing and storage occur and/or the locations - from which system services emanate. - - id: sa-9.6 - class: SP800-53-enhancement - title: Organization-controlled Cryptographic Keys - props: - - name: label - value: SA-9(6) - - name: sort-id - value: SA-09(06) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sa-9.6_smt - name: statement - prose: Maintain exclusive control of cryptographic keys for encrypted - material stored or transmitted through an external system. - - id: sa-9.6_gdn - name: guidance - prose: Maintaining exclusive control of cryptographic keys in an - external system prevents decryption of organizational data by - external system staff. Organizational control of cryptographic - keys can be implemented by encrypting and decrypting data inside - the organization as data is sent to and received from the external - system or by employing a component that permits encryption and - decryption functions to be local to the external system, but allows - exclusive organizational access to the encryption keys. - - id: sa-9.7 - class: SP800-53-enhancement - title: Organization-controlled Integrity Checking - props: - - name: label - value: SA-9(7) - - name: sort-id - value: SA-09(07) - links: - - href: "#si-7" - rel: related - parts: - - id: sa-9.7_smt - name: statement - prose: Provide the capability to check the integrity of information - while it resides in the external system. - - id: sa-9.7_gdn - name: guidance - prose: Storage of organizational information in an external system - could limit visibility into the security status of its data. The - ability for the organization to verify and validate the integrity - of its stored data without transferring it out of the external - system provides such visibility. - - id: sa-9.8 - class: SP800-53-enhancement - title: Processing and Storage Location — U.s. Jurisdiction - props: - - name: label - value: SA-9(8) - - name: sort-id - value: SA-09(08) - links: - - href: "#sa-5" - rel: related - - href: "#sr-4" - rel: related - parts: - - id: sa-9.8_smt - name: statement - prose: Restrict the geographic location of information processing - and data storage to facilities located within in the legal jurisdictional - boundary of the United States. - - id: sa-9.8_gdn - name: guidance - prose: The geographic location of information processing and data - storage can have a direct impact on the ability of organizations - to successfully execute their core missions and business functions. - High impact information and systems, if compromised or breached, - can have a severe or catastrophic adverse impact on organizational - assets and operations, individuals, other organizations, and the - Nation. Restricting the processing and storage of high-impact - information to facilities within the legal jurisdictional boundary - of the United States provides greater control over such processing - and storage. - - id: sa-10 - class: SP800-53 - title: Developer Configuration Management - params: - - id: sa-10_prm_1 - select: - how-many: one-or-more - choice: - - design - - development - - implementation - - operation - - disposal - - id: sa-10_prm_2 - label: organization-defined configuration items under configuration - management - - id: sa-10_prm_3 - label: organization-defined personnel - props: - - name: label - value: SA-10 - - name: sort-id - value: SA-10 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#cm-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-9" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - parts: - - id: sa-10_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to:" - parts: - - id: sa-10_smt.a - name: item - props: - - name: label - value: a. - prose: "Perform configuration management during system, component,\ - \ or service {{ insert: param, sa-10_prm_1 }};" - - id: sa-10_smt.b - name: item - props: - - name: label - value: b. - prose: "Document, manage, and control the integrity of changes to\ - \ {{ insert: param, sa-10_prm_2 }};" - - id: sa-10_smt.c - name: item - props: - - name: label - value: c. - prose: Implement only organization-approved changes to the system, - component, or service; - - id: sa-10_smt.d - name: item - props: - - name: label - value: d. - prose: Document approved changes to the system, component, or service - and the potential security and privacy impacts of such changes; - and - - id: sa-10_smt.e - name: item - props: - - name: label - value: e. - prose: "Track security flaws and flaw resolution within the system,\ - \ component, or service and report findings to {{ insert: param,\ - \ sa-10_prm_3 }}." - - id: sa-10_gdn - name: guidance - prose: "Organizations consider the quality and completeness of configuration\ - \ management activities conducted by developers as direct evidence\ - \ of applying effective security controls. Controls include protecting\ - \ from unauthorized modification or destruction, the master copies\ - \ of material used to generate security-relevant portions of the system\ - \ hardware, software, and firmware. Maintaining the integrity of changes\ - \ to the system, system component, or system service requires strict\ - \ configuration control throughout the system development life cycle\ - \ to track authorized changes and to prevent unauthorized changes.\ - \ The configuration items that are placed under configuration management\ - \ include: the formal model; the functional, high-level, and low-level\ - \ design specifications; other design data; implementation documentation;\ - \ source code and hardware schematics; the current running version\ - \ of the object code; tools for comparing new versions of security-relevant\ - \ hardware descriptions and source code with previous versions; and\ - \ test fixtures and documentation. Depending on the mission and business\ - \ needs of organizations and the nature of the contractual relationships\ - \ in place, developers may provide configuration management support\ - \ during the operations and maintenance stage of the system development\ - \ life cycle." - controls: - - id: sa-10.1 - class: SP800-53-enhancement - title: Software and Firmware Integrity Verification - props: - - name: label - value: SA-10(1) - - name: sort-id - value: SA-10(01) - links: - - href: "#si-7" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sa-10.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to enable integrity verification of software and - firmware components. - - id: sa-10.1_gdn - name: guidance - prose: Software and firmware integrity verification allows organizations - to detect unauthorized changes to software and firmware components - using developer-provided tools, techniques, and mechanisms. The - integrity checking mechanisms can also address counterfeiting - of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through - secure one-way hashes provided by developers. Delivered software - and firmware components also include any updates to such components. - - id: sa-10.2 - class: SP800-53-enhancement - title: Alternative Configuration Management - props: - - name: label - value: SA-10(2) - - name: sort-id - value: SA-10(02) - parts: - - id: sa-10.2_smt - name: statement - prose: Provide an alternate configuration management process using - organizational personnel in the absence of a dedicated developer - configuration management team. - - id: sa-10.2_gdn - name: guidance - prose: Alternate configuration management processes may be required, - for example, when organizations use commercial off-the-shelf information - technology products. Alternate configuration management processes - include organizational personnel that review and approve proposed - changes to systems, system components, and system services; and - that conduct security and privacy impact analyses prior to the - implementation of changes to systems, components, or services. - - id: sa-10.3 - class: SP800-53-enhancement - title: Hardware Integrity Verification - props: - - name: label - value: SA-10(3) - - name: sort-id - value: SA-10(03) - links: - - href: "#si-7" - rel: related - parts: - - id: sa-10.3_smt - name: statement - prose: Require the developer of the system, system component, or - system service to enable integrity verification of hardware components. - - id: sa-10.3_gdn - name: guidance - prose: Hardware integrity verification allows organizations to detect - unauthorized changes to hardware components using developer-provided - tools, techniques, methods, and mechanisms. Organizations verify - the integrity of hardware components, for example, with hard-to-copy - labels and verifiable serial numbers provided by developers, and - by requiring the implementation of anti-tamper technologies. Delivered - hardware components also include hardware and firmware updates - to such components. - - id: sa-10.4 - class: SP800-53-enhancement - title: Trusted Generation - props: - - name: label - value: SA-10(4) - - name: sort-id - value: SA-10(04) - parts: - - id: sa-10.4_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ tools for comparing newly generated versions - of security-relevant hardware descriptions, source code, and object - code with previous versions. - - id: sa-10.4_gdn - name: guidance - prose: Trusted generation of descriptions, source code, and object - code addresses authorized changes to hardware, software, and firmware - components between versions during development. The focus is on - the efficacy of the configuration management process by the developer - to ensure that newly generated versions of security-relevant hardware - descriptions, source code, and object code continue to enforce - the security policy for the system, system component, or system - service. In contrast, SA-10(1) and SA-10(3) allow organizations - to detect unauthorized changes to hardware, software, and firmware - components using tools, techniques, or mechanisms provided by - developers. - - id: sa-10.5 - class: SP800-53-enhancement - title: Mapping Integrity for Version Control - props: - - name: label - value: SA-10(5) - - name: sort-id - value: SA-10(05) - parts: - - id: sa-10.5_smt - name: statement - prose: Require the developer of the system, system component, or - system service to maintain the integrity of the mapping between - the master build data (hardware drawings and software/firmware - code) describing the current version of security-relevant hardware, - software, and firmware and the on-site master copy of the data - for the current version. - - id: sa-10.5_gdn - name: guidance - prose: Mapping integrity for version control addresses changes to - hardware, software, and firmware components during initial development - and during system development life cycle updates. Maintaining - the integrity between the master copies of security-relevant hardware, - software, and firmware (including designs and source code) and - the equivalent data in master copies in operational environments - is essential to ensure the availability of organizational systems - supporting critical missions and business functions. - - id: sa-10.6 - class: SP800-53-enhancement - title: Trusted Distribution - props: - - name: label - value: SA-10(6) - - name: sort-id - value: SA-10(06) - parts: - - id: sa-10.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to execute procedures for ensuring that security-relevant - hardware, software, and firmware updates distributed to the organization - are exactly as specified by the master copies. - - id: sa-10.6_gdn - name: guidance - prose: The trusted distribution of security-relevant hardware, software, - and firmware updates help to ensure that the updates are correct - representations of the master copies maintained by the developer - and have not been tampered with during distribution. - - id: sa-11 - class: SP800-53 - title: Developer Testing and Evaluation - params: - - id: sa-11_prm_1 - select: - how-many: one-or-more - choice: - - unit - - integration - - system - - regression - - id: sa-11_prm_2 - label: organization-defined frequency - - id: sa-11_prm_3 - label: organization-defined depth and coverage - props: - - name: label - value: SA-11 - - name: sort-id - value: SA-11 - links: - - href: "#2ce3a8bf-7f8b-4249-bd16-808231415b14" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#5db6dfe4-788e-4183-93b9-f6fb29d75e41" - rel: reference - - href: "#fd0f14f5-8910-45c4-b60a-0c8936e00daa" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-4" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#si-2" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-7" - rel: related - parts: - - id: sa-11_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service, at all post-design stages of the system development life\ - \ cycle, to:" - parts: - - id: sa-11_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and implement a plan for ongoing security and privacy - assessments; - - id: sa-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Perform {{ insert: param, sa-11_prm_1 }} testing/evaluation\ - \ {{ insert: param, sa-11_prm_2 }} at {{ insert: param, sa-11_prm_3\ - \ }};" - - id: sa-11_smt.c - name: item - props: - - name: label - value: c. - prose: Produce evidence of the execution of the assessment plan - and the results of the testing and evaluation; - - id: sa-11_smt.d - name: item - props: - - name: label - value: d. - prose: Implement a verifiable flaw remediation process; and - - id: sa-11_smt.e - name: item - props: - - name: label - value: e. - prose: Correct flaws identified during testing and evaluation. - - id: sa-11_gdn - name: guidance - prose: Developmental testing and evaluation confirms that the required - controls are implemented correctly, operating as intended, enforcing - the desired security and privacy policies, and meeting established - security and privacy requirements. Security properties of systems - and the privacy of individuals may be affected by the interconnection - of system components or changes to those components. The interconnections - or changes, including upgrading or replacing applications, operating - systems, and firmware, may adversely affect previously implemented - controls. Ongoing assessment during development allows for additional - types of testing and evaluation that developers can conduct to reduce - or eliminate potential flaws. Testing custom software applications - may require approaches such as manual code review; security architecture - review; penetration testing; and static analysis, dynamic analysis, - binary analysis, or a hybrid of the three analysis approaches. Developers - can use the analysis approaches, along with security instrumentation - and fuzzing, in a variety of tools and in source code reviews. The - security and privacy assessment plans include the specific activities - that developers plan to carry out, including the types of analyses, - testing, evaluation, and reviews of software and firmware components, - the degree of rigor to be applied, the frequency of the ongoing testing - and evaluation, and the types of artifacts produced during those processes. - The depth of testing and evaluation refers to the rigor and level - of detail associated with the assessment process. The coverage of - testing and evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify - the acceptance criteria for security and privacy assessment plans, - flaw remediation processes, and the evidence that the plans and processes - have been diligently applied. Methods for reviewing and protecting - assessment plans, evidence, and documentation are commensurate with - the security category or classification level of the system. Contracts - may specify protection requirements for documentation. - controls: - - id: sa-11.1 - class: SP800-53-enhancement - title: Static Code Analysis - props: - - name: label - value: SA-11(1) - - name: sort-id - value: SA-11(01) - parts: - - id: sa-11.1_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ static code analysis tools to identify - common flaws and document the results of the analysis. - - id: sa-11.1_gdn - name: guidance - prose: Static code analysis provides a technology and methodology - for security reviews and includes checking for weaknesses in the - code and checking for incorporation of libraries or other included - code with known vulnerabilities or that are out-of-date and not - supported. Static code analysis can be used to identify vulnerabilities - and to enforce secure coding practices and Static code analysis - is most effective when used early in the development process, - when each code change can be automatically scanned for potential - weaknesses. Static code analysis can provide clear remediation - guidance along with defects to enable developers to fix such defects. - Evidence of correct implementation of static analysis include - aggregate defect density for critical defect types; evidence that - defects were inspected by developers or security professionals; - and evidence that defects were remediated. A high density of ignored - findings, commonly referred to as false positives, indicates a - potential problem with the analysis process or the analysis tool. - In such cases, organizations weigh the validity of the evidence - against evidence from other sources. - - id: sa-11.2 - class: SP800-53-enhancement - title: Threat Modeling and Vulnerability Analyses - params: - - id: sa-11.2_prm_1 - label: organization-defined information concerning impact, environment - of operations, known or assumed threats, and acceptable risk levels - - id: sa-11.2_prm_2 - label: organization-defined tools and methods - - id: sa-11.2_prm_3 - label: organization-defined breadth and depth of modeling and analyses - - id: sa-11.2_prm_4 - label: organization-defined acceptance criteria - props: - - name: label - value: SA-11(2) - - name: sort-id - value: SA-11(02) - parts: - - id: sa-11.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform threat modeling and vulnerability\ - \ analyses during development and the subsequent testing and evaluation\ - \ of the system, component, or service that:" - parts: - - id: sa-11.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "Uses the following contextual information: {{ insert:\ - \ param, sa-11.2_prm_1 }};" - - id: sa-11.2_smt.b - name: item - props: - - name: label - value: (b) - prose: "Employs the following tools and methods: {{ insert:\ - \ param, sa-11.2_prm_2 }};" - - id: sa-11.2_smt.c - name: item - props: - - name: label - value: (c) - prose: "Conducts the modeling and analyses at the following\ - \ level of rigor: {{ insert: param, sa-11.2_prm_3 }}; and" - - id: sa-11.2_smt.d - name: item - props: - - name: label - value: (d) - prose: "Produces evidence that meets the following acceptance\ - \ criteria: {{ insert: param, sa-11.2_prm_4 }}." - - id: sa-11.2_gdn - name: guidance - prose: "Systems, system components, and system services may deviate\ - \ significantly from the functional and design specifications\ - \ created during the requirements and design stages of the system\ - \ development life cycle. Therefore, updates to threat modeling\ - \ and vulnerability analyses of those systems, system components,\ - \ and system services during development and prior to delivery\ - \ are critical to the effective operation of those systems, components,\ - \ and services. Threat modeling and vulnerability analyses at\ - \ this stage of the system development life cycle ensure that\ - \ design and implementation changes have been accounted for and\ - \ vulnerabilities created because of those changes have been reviewed\ - \ and mitigated. Related controls: PM-15, RA-3, RA-5." - - id: sa-11.3 - class: SP800-53-enhancement - title: Independent Verification of Assessment Plans and Evidence - params: - - id: sa-11.3_prm_1 - label: organization-defined independence criteria - props: - - name: label - value: SA-11(3) - - name: sort-id - value: SA-11(03) - links: - - href: "#at-3" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: sa-11.3_smt - name: statement - parts: - - id: sa-11.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Require an independent agent satisfying {{ insert: param,\ - \ sa-11.3_prm_1 }} to verify the correct implementation of\ - \ the developer security and privacy assessment plans and\ - \ the evidence produced during testing and evaluation; and" - - id: sa-11.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify that the independent agent is provided with sufficient - information to complete the verification process or granted - the authority to obtain such information. - - id: sa-11.3_gdn - name: guidance - prose: Independent agents have the qualifications, including the - expertise, skills, training, certifications, and experience to - verify the correct implementation of developer security and privacy - assessment plans. - - id: sa-11.4 - class: SP800-53-enhancement - title: Manual Code Reviews - params: - - id: sa-11.4_prm_1 - label: organization-defined specific code - - id: sa-11.4_prm_2 - label: organization-defined processes, procedures, and/or techniques - props: - - name: label - value: SA-11(4) - - name: sort-id - value: SA-11(04) - parts: - - id: sa-11.4_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform a manual code review of {{ insert:\ - \ param, sa-11.4_prm_1 }} using the following processes, procedures,\ - \ and/or techniques: {{ insert: param, sa-11.4_prm_2 }}." - - id: sa-11.4_gdn - name: guidance - prose: Manual code reviews are usually reserved for the critical - software and firmware components of systems. Manual code reviews - are effective in identifying weaknesses that require knowledge - of the application’s requirements or context which in most cases, - are unavailable to automated analytic tools and techniques, for - example, static and dynamic analysis. The benefits of manual code - review include the ability to verify access control matrices against - application controls and review detailed aspects of cryptographic - implementations and controls. - - id: sa-11.5 - class: SP800-53-enhancement - title: Penetration Testing - params: - - id: sa-11.5_prm_1 - label: organization-defined breadth and depth of testing - - id: sa-11.5_prm_2 - label: organization-defined constraints - props: - - name: label - value: SA-11(5) - - name: sort-id - value: SA-11(05) - links: - - href: "#ca-8" - rel: related - - href: "#pm-14" - rel: related - - href: "#pm-25" - rel: related - - href: "#pt-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#si-2" - rel: related - - href: "#si-6" - rel: related - parts: - - id: sa-11.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform penetration testing:" - parts: - - id: sa-11.5_smt.a - name: item - props: - - name: label - value: (a) - prose: "At the following level of rigor: {{ insert: param, sa-11.5_prm_1\ - \ }}; and" - - id: sa-11.5_smt.b - name: item - props: - - name: label - value: (b) - prose: "Under the following constraints: {{ insert: param, sa-11.5_prm_2\ - \ }}." - - id: sa-11.5_gdn - name: guidance - prose: Penetration testing is an assessment methodology in which - assessors, using all available information technology product - or system documentation and working under specific constraints, - attempt to circumvent implemented security and privacy features - of information technology products and systems. Useful information - for assessors conducting penetration testing includes product - and system design specifications, source code, and administrator - and operator manuals. Penetration testing can include white-box, - gray-box, or black box testing with analyses performed by skilled - professionals simulating adversary actions. The objective of penetration - testing is to discover vulnerabilities in systems, system components - and services resulting from implementation errors, configuration - faults, or other operational weaknesses or deficiencies. Penetration - tests can be performed in conjunction with automated and manual - code reviews to provide greater levels of analysis than would - ordinarily be possible. When user session information and other - personally identifiable information is captured or recorded during - penetration testing, such information is handled appropriately - to protect privacy. - - id: sa-11.6 - class: SP800-53-enhancement - title: Attack Surface Reviews - props: - - name: label - value: SA-11(6) - - name: sort-id - value: SA-11(06) - links: - - href: "#sa-15" - rel: related - parts: - - id: sa-11.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to perform attack surface reviews. - - id: sa-11.6_gdn - name: guidance - prose: Attack surfaces of systems and system components are exposed - areas that make those systems more vulnerable to attacks. Attack - surfaces include any accessible areas where weaknesses or deficiencies - in the hardware, software, and firmware components provide opportunities - for adversaries to exploit vulnerabilities. Attack surface reviews - ensure that developers analyze the design and implementation changes - to systems and mitigate attack vectors generated as a result of - the changes. Correction of identified flaws includes deprecation - of unsafe functions. - - id: sa-11.7 - class: SP800-53-enhancement - title: Verify Scope of Testing and Evaluation - params: - - id: sa-11.7_prm_1 - label: organization-defined breadth and depth of testing and evaluation - props: - - name: label - value: SA-11(7) - - name: sort-id - value: SA-11(07) - links: - - href: "#sa-15" - rel: related - parts: - - id: sa-11.7_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to verify that the scope of testing and evaluation\ - \ provides complete coverage of the required controls at the following\ - \ level of rigor: {{ insert: param, sa-11.7_prm_1 }}." - - id: sa-11.7_gdn - name: guidance - prose: Verifying that testing and evaluation provides complete coverage - of required controls can be accomplished by a variety of analytic - techniques ranging from informal to formal. Each of these techniques - provides an increasing level of assurance corresponding to the - degree of formality of the analysis. Rigorously demonstrating - control coverage at the highest levels of assurance can be provided - using formal modeling and analysis techniques, including correlation - between control implementation and corresponding test cases. - - id: sa-11.8 - class: SP800-53-enhancement - title: Dynamic Code Analysis - props: - - name: label - value: SA-11(8) - - name: sort-id - value: SA-11(08) - parts: - - id: sa-11.8_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ dynamic code analysis tools to identify - common flaws and document the results of the analysis. - - id: sa-11.8_gdn - name: guidance - prose: Dynamic code analysis provides run-time verification of software - programs, using tools capable of monitoring programs for memory - corruption, user privilege issues, and other potential security - problems. Dynamic code analysis employs run-time tools to ensure - that security functionality performs in the way it was designed. - A specialized type of dynamic analysis, known as fuzz testing, - induces program failures by deliberately introducing malformed - or random data into software programs. Fuzz testing strategies - derive from the intended use of applications and the associated - functional and design specifications for the applications. To - understand the scope of dynamic code analysis and hence the assurance - provided, organizations may also consider conducting code coverage - analysis (checking the degree to which the code has been tested - using metrics such as percent of subroutines tested or percent - of program statements called during execution of the test suite) - and/or concordance analysis (checking for words that are out of - place in software code such as non-English language words or derogatory - terms). - - id: sa-11.9 - class: SP800-53-enhancement - title: Interactive Application Security Testing - props: - - name: label - value: SA-11(9) - - name: sort-id - value: SA-11(09) - parts: - - id: sa-11.9_smt - name: statement - prose: Require the developer of the system, system component, or - system service to employ interactive application security testing - tools to identify flaws and document the results. - - id: sa-11.9_gdn - name: guidance - prose: Interactive (also known as instrumentation-based) application - security testing is a method of detecting vulnerabilities by observing - applications as they run during testing. The use of instrumentation - relies on direct measurements of the actual running applications, - and uses access to the code, user interaction, libraries, frameworks, - backend connections, and configurations to measure control effectiveness - directly. When combined with analysis techniques, interactive - application security testing can identify a broad range of potential - vulnerabilities and confirm control effectiveness. Instrumentation-based - testing works in real time and can be used continuously throughout - the system development life cycle. - - id: sa-12 - class: SP800-53 - title: Supply Chain Protection - props: - - name: label - value: SA-12 - - name: status - value: Withdrawn - - name: sort-id - value: SA-12 - links: - - href: "#sr" - rel: incorporated-into - controls: - - id: sa-12.1 - class: SP800-53-enhancement - title: Acquisition Strategies / Tools / Methods - props: - - name: label - value: SA-12(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(01) - links: - - href: "#sr-5" - rel: moved-to - - id: sa-12.2 - class: SP800-53-enhancement - title: Supplier Reviews - props: - - name: label - value: SA-12(2) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(02) - links: - - href: "#sr-6" - rel: moved-to - - id: sa-12.3 - class: SP800-53-enhancement - title: Trusted Shipping and Warehousing - props: - - name: label - value: SA-12(3) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(03) - links: - - href: "#sr-3" - rel: incorporated-into - - id: sa-12.4 - class: SP800-53-enhancement - title: Diversity of Suppliers - props: - - name: label - value: SA-12(4) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(04) - links: - - href: "#sr-3.1" - rel: moved-to - - id: sa-12.5 - class: SP800-53-enhancement - title: Limitation of Harm - props: - - name: label - value: SA-12(5) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(05) - links: - - href: "#sr-3.2" - rel: moved-to - - id: sa-12.6 - class: SP800-53-enhancement - title: Minimizing Procurement Time - props: - - name: label - value: SA-12(6) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(06) - links: - - href: "#sr-5.1" - rel: incorporated-into - - id: sa-12.7 - class: SP800-53-enhancement - title: Assessments Prior to Selection / Acceptance / Update - props: - - name: label - value: SA-12(7) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(07) - links: - - href: "#sr-5.2" - rel: moved-to - - id: sa-12.8 - class: SP800-53-enhancement - title: Use of All-source Intelligence - props: - - name: label - value: SA-12(8) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(08) - links: - - href: "#ra-3.2" - rel: incorporated-into - - id: sa-12.9 - class: SP800-53-enhancement - title: Operations Security - props: - - name: label - value: SA-12(9) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(09) - links: - - href: "#sr-7" - rel: moved-to - - id: sa-12.10 - class: SP800-53-enhancement - title: Validate as Genuine and Not Altered - props: - - name: label - value: SA-12(10) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(10) - links: - - href: "#sr-4.3" - rel: moved-to - - id: sa-12.11 - class: SP800-53-enhancement - title: Penetration Testing / Analysis of Elements, Processes, and Actors - props: - - name: label - value: SA-12(11) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(11) - links: - - href: "#sr-6.1" - rel: moved-to - - id: sa-12.12 - class: SP800-53-enhancement - title: Inter-organizational Agreements - props: - - name: label - value: SA-12(12) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(12) - links: - - href: "#sr-8" - rel: moved-to - - id: sa-12.13 - class: SP800-53-enhancement - title: Critical Information System Components - props: - - name: label - value: SA-12(13) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(13) - links: - - href: "#ma-6" - rel: incorporated-into - - href: "#ra-9" - rel: incorporated-into - - id: sa-12.14 - class: SP800-53-enhancement - title: Identity and Traceability - props: - - name: label - value: SA-12(14) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(14) - links: - - href: "#sr-4.1" - rel: moved-to - - href: "#sr-4.2" - rel: moved-to - - id: sa-12.15 - class: SP800-53-enhancement - title: Processes to Address Weaknesses or Deficiencies - props: - - name: label - value: SA-12(15) - - name: status - value: Withdrawn - - name: sort-id - value: SA-12(15) - links: - - href: "#sr-3" - rel: incorporated-into - - id: sa-13 - class: SP800-53 - title: Trustworthiness - props: - - name: label - value: SA-13 - - name: status - value: Withdrawn - - name: sort-id - value: SA-13 - links: - - href: "#sa-8" - rel: incorporated-into - - id: sa-14 - class: SP800-53 - title: Criticality Analysis - props: - - name: label - value: SA-14 - - name: status - value: Withdrawn - - name: sort-id - value: SA-14 - links: - - href: "#ra-9" - rel: incorporated-into - controls: - - id: sa-14.1 - class: SP800-53-enhancement - title: Critical Components with No Viable Alternative Sourcing - props: - - name: label - value: SA-14(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-14(01) - links: - - href: "#sa-20" - rel: incorporated-into - - id: sa-15 - class: SP800-53 - title: Development Process, Standards, and Tools - params: - - id: sa-15_prm_1 - label: organization-defined frequency - - id: sa-15_prm_2 - label: organization-defined security and privacy requirements - props: - - name: label - value: SA-15 - - name: sort-id - value: SA-15 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#7a93e915-fd58-4147-be12-e48044c367e6" - rel: reference - - href: "#ma-6" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - parts: - - id: sa-15_smt - name: statement - parts: - - id: sa-15_smt.a - name: item - props: - - name: label - value: a. - prose: "Require the developer of the system, system component, or\ - \ system service to follow a documented development process that:" - parts: - - id: sa-15_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: Explicitly addresses security and privacy requirements; - - id: sa-15_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Identifies the standards and tools used in the development - process; - - id: sa-15_smt.a.3 - name: item - props: - - name: label - value: "3." - prose: Documents the specific tool options and tool configurations - used in the development process; and - - id: sa-15_smt.a.4 - name: item - props: - - name: label - value: "4." - prose: Documents, manages, and ensures the integrity of changes - to the process and/or tools used in development; and - - id: sa-15_smt.b - name: item - props: - - name: label - value: b. - prose: "Review the development process, standards, tools, tool options,\ - \ and tool configurations {{ insert: param, sa-15_prm_1 }} to\ - \ determine if the process, standards, tools, tool options and\ - \ tool configurations selected and employed can satisfy the following\ - \ security and privacy requirements: {{ insert: param, sa-15_prm_2\ - \ }}." - - id: sa-15_gdn - name: guidance - prose: Development tools include programming languages and computer-aided - design systems. Reviews of development processes include the use of - maturity models to determine the potential effectiveness of such processes. - Maintaining the integrity of changes to tools and processes facilitates - effective supply chain risk assessment and mitigation. Such integrity - requires configuration control throughout the system development life - cycle to track authorized changes and to prevent unauthorized changes. - controls: - - id: sa-15.1 - class: SP800-53-enhancement - title: Quality Metrics - params: - - id: sa-15.1_prm_1 - select: - how-many: one-or-more - choice: - - " {{ insert: param, sa-15.1_prm_2 }} " - - " {{ insert: param, sa-15.1_prm_3 }} " - - upon delivery - - id: sa-15.1_prm_2 - depends-on: sa-15.1_prm_1 - label: organization-defined frequency - - id: sa-15.1_prm_3 - depends-on: sa-15.1_prm_1 - label: organization-defined program review milestones - props: - - name: label - value: SA-15(1) - - name: sort-id - value: SA-15(01) - parts: - - id: sa-15.1_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-15.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Define quality metrics at the beginning of the development - process; and - - id: sa-15.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Provide evidence of meeting the quality metrics {{ insert:\ - \ param, sa-15.1_prm_1 }}." - - id: sa-15.1_gdn - name: guidance - prose: Organizations use quality metrics to establish acceptable - levels of system quality. Metrics can include quality gates, which - are collections of completion criteria or sufficiency standards - representing the satisfactory execution of specific phases of - the system development project. A quality gate, for example, may - require the elimination of all compiler warnings or a determination - that such warnings have no impact on the effectiveness of required - security or privacy capabilities. During the execution phases - of development projects, quality gates provide clear, unambiguous - indications of progress. Other metrics apply to the entire development - project. These metrics can include defining the severity thresholds - of vulnerabilities, for example, requiring no known vulnerabilities - in the delivered system with a Common Vulnerability Scoring System - (CVSS) severity of Medium or High. - - id: sa-15.2 - class: SP800-53-enhancement - title: Security Tracking Tools - props: - - name: label - value: SA-15(2) - - name: sort-id - value: SA-15(02) - links: - - href: "#sa-11" - rel: related - parts: - - id: sa-15.2_smt - name: statement - prose: Require the developer of the system, system component, or - system service to select and employ security and privacy tracking - tools for use during the development process. - - id: sa-15.2_gdn - name: guidance - prose: System development teams select and deploy security and privacy - tracking tools, including vulnerability or work item tracking - systems that facilitate assignment, sorting, filtering, and tracking - of completed work items or tasks associated with development processes. - - id: sa-15.3 - class: SP800-53-enhancement - title: Criticality Analysis - params: - - id: sa-15.3_prm_1 - label: organization-defined decision points in the system development - life cycle - - id: sa-15.3_prm_2 - label: organization-defined breadth and depth of criticality analysis - props: - - name: label - value: SA-15(3) - - name: sort-id - value: SA-15(03) - links: - - href: "#ra-9" - rel: related - parts: - - id: sa-15.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to perform a criticality analysis:" - parts: - - id: sa-15.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "At the following decision points in the system development\ - \ life cycle: {{ insert: param, sa-15.3_prm_1 }}; and" - - id: sa-15.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "At the following level of rigor: {{ insert: param, sa-15.3_prm_2\ - \ }}." - - id: sa-15.3_gdn - name: guidance - prose: Criticality analysis performed by the developer provides - input to the criticality analysis performed by organizations. - Developer input is essential to organizational criticality analysis - because organizations may not have access to detailed design documentation - for system components that are developed as commercial off-the-shelf - products. Such design documentation includes functional specifications, - high-level designs, low-level designs, and source code and hardware - schematics. Criticality analysis is important for organizational - systems that are designated as high value assets. High value assets - can be moderate- or high-impact systems due to heightened adversarial - interest or potential adverse effects on the federal enterprise. - Developer input is especially important when organizations conduct - supply chain criticality analyses. - - id: sa-15.4 - class: SP800-53-enhancement - title: Threat Modeling and Vulnerability Analysis - props: - - name: label - value: SA-15(4) - - name: status - value: Withdrawn - - name: sort-id - value: SA-15(04) - links: - - href: "#sa-11.2" - rel: incorporated-into - - id: sa-15.5 - class: SP800-53-enhancement - title: Attack Surface Reduction - params: - - id: sa-15.5_prm_1 - label: organization-defined thresholds - props: - - name: label - value: SA-15(5) - - name: sort-id - value: SA-15(05) - links: - - href: "#ac-6" - rel: related - - href: "#cm-7" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-15.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to reduce attack surfaces to {{ insert: param,\ - \ sa-15.5_prm_1 }}." - - id: sa-15.5_gdn - name: guidance - prose: Attack surface reduction is closely aligned with threat and - vulnerability analyses and system architecture and design. Attack - surface reduction is a means of reducing risk to organizations - by giving attackers less opportunity to exploit weaknesses or - deficiencies (i.e., potential vulnerabilities) within systems, - system components, and system services. Attack surface reduction - includes implementing the concept of layered defenses; applying - the principles of least privilege and least functionality; applying - secure software development practices; deprecating unsafe functions; - reducing entry points available to unauthorized users; reducing - the amount of code executing; and eliminating application programming - interfaces (APIs) that are vulnerable to attacks. - - id: sa-15.6 - class: SP800-53-enhancement - title: Continuous Improvement - props: - - name: label - value: SA-15(6) - - name: sort-id - value: SA-15(06) - parts: - - id: sa-15.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to implement an explicit process to continuously - improve the development process. - - id: sa-15.6_gdn - name: guidance - prose: Developers of systems, system components, and system services - consider the effectiveness and efficiency of their current development - processes for meeting quality objectives and for addressing the - security and privacy capabilities in current threat environments. - - id: sa-15.7 - class: SP800-53-enhancement - title: Automated Vulnerability Analysis - params: - - id: sa-15.7_prm_1 - label: organization-defined frequency - - id: sa-15.7_prm_2 - label: organization-defined tools - - id: sa-15.7_prm_3 - label: organization-defined personnel or roles - props: - - name: label - value: SA-15(7) - - name: sort-id - value: SA-15(07) - links: - - href: "#ra-5" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-15.7_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service {{ insert: param, sa-15.7_prm_1 }} to:" - parts: - - id: sa-15.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Perform an automated vulnerability analysis using {{\ - \ insert: param, sa-15.7_prm_2 }};" - - id: sa-15.7_smt.b - name: item - props: - - name: label - value: (b) - prose: Determine the exploitation potential for discovered vulnerabilities; - - id: sa-15.7_smt.c - name: item - props: - - name: label - value: (c) - prose: Determine potential risk mitigations for delivered vulnerabilities; - and - - id: sa-15.7_smt.d - name: item - props: - - name: label - value: (d) - prose: "Deliver the outputs of the tools and results of the\ - \ analysis to {{ insert: param, sa-15.7_prm_3 }}." - - id: sa-15.7_gdn - name: guidance - prose: Automated tools can be more effective in analyzing exploitable - weaknesses or deficiencies in large and complex systems; prioritizing - vulnerabilities by severity; and providing recommendations for - risk mitigations. - - id: sa-15.8 - class: SP800-53-enhancement - title: Reuse of Threat and Vulnerability Information - props: - - name: label - value: SA-15(8) - - name: sort-id - value: SA-15(08) - parts: - - id: sa-15.8_smt - name: statement - prose: Require the developer of the system, system component, or - system service to use threat modeling and vulnerability analyses - from similar systems, components, or services to inform the current - development process. - - id: sa-15.8_gdn - name: guidance - prose: Analysis of vulnerabilities found in similar software applications - can inform potential design and implementation issues for systems - under development. Similar systems or system components may exist - within developer organizations. Vulnerability information is available - from a variety of public and private sector sources, including - the NIST National Vulnerability Database. - - id: sa-15.9 - class: SP800-53-enhancement - title: Use of Live Data - props: - - name: label - value: SA-15(9) - - name: status - value: Withdrawn - - name: sort-id - value: SA-15(09) - links: - - href: "#sa-3.2" - rel: incorporated-into - - id: sa-15.10 - class: SP800-53-enhancement - title: Incident Response Plan - props: - - name: label - value: SA-15(10) - - name: sort-id - value: SA-15(10) - links: - - href: "#ir-8" - rel: related - parts: - - id: sa-15.10_smt - name: statement - prose: Require the developer of the system, system component, or - system service to provide, implement, and test an incident response - plan. - - id: sa-15.10_gdn - name: guidance - prose: The incident response plan provided by developers may be - incorporated into organizational incident response plans. Developer - incident response information provides information that is not - readily available to organizations. Such information may be extremely - helpful, for example, when organizations respond to vulnerabilities - in commercial off-the-shelf products. - - id: sa-15.11 - class: SP800-53-enhancement - title: Archive System or Component - props: - - name: label - value: SA-15(11) - - name: sort-id - value: SA-15(11) - links: - - href: "#cm-2" - rel: related - parts: - - id: sa-15.11_smt - name: statement - prose: Require the developer of the system or system component to - archive the system or component to be released or delivered together - with the corresponding evidence supporting the final security - and privacy review. - - id: sa-15.11_gdn - name: guidance - prose: Archiving system or system components requires the developer - to retain key development artifacts, including hardware specifications, - source code, object code, and relevant documentation from the - development process that can provide a readily available configuration - baseline for system and component upgrades or modifications. - - id: sa-15.12 - class: SP800-53-enhancement - title: Minimize Personally Identifiable Information - props: - - name: label - value: SA-15(12) - - name: sort-id - value: SA-15(12) - links: - - href: "#pm-25" - rel: related - parts: - - id: sa-15.12_smt - name: statement - prose: Require the developer of the system or system component to - minimize the use of personally identifiable information in development - and test environments. - - id: sa-15.12_gdn - name: guidance - prose: Organizations can minimize the risk to an individual’s privacy - by using techniques such as de-identification or synthetic data. - Limiting the use of personally identifiable information in development - and test environments helps reduce the level of privacy risk created - by a system. - - id: sa-16 - class: SP800-53 - title: Developer-provided Training - params: - - id: sa-16_prm_1 - label: organization-defined training - props: - - name: label - value: SA-16 - - name: sort-id - value: SA-16 - links: - - href: "#at-2" - rel: related - - href: "#at-3" - rel: related - - href: "#pe-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-16_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to provide the following training on the correct use and\ - \ operation of the implemented security and privacy functions, controls,\ - \ and/or mechanisms: {{ insert: param, sa-16_prm_1 }}." - - id: sa-16_gdn - name: guidance - prose: Developer-provided training applies to external and internal - (in-house) developers. Training of personnel is an essential element - to help ensure the effectiveness of the controls implemented within - organizational systems. Types of training include web-based and computer-based - training; classroom-style training; and hands-on training (including - micro-training). Organizations can also request training materials - from developers to conduct in-house training or offer self-training - to organizational personnel. Organizations determine the type of training - necessary and may require different types of training for different - security and privacy functions, controls, and mechanisms. - - id: sa-17 - class: SP800-53 - title: Developer Security Architecture and Design - props: - - name: label - value: SA-17 - - name: sort-id - value: SA-17 - links: - - href: "#18abb755-c10f-407d-b0ef-4f99e5ec4a49" - rel: reference - - href: "#2ce3a8bf-7f8b-4249-bd16-808231415b14" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#pl-2" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-7" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-17_smt - name: statement - prose: "Require the developer of the system, system component, or system\ - \ service to produce a design specification and security architecture\ - \ that:" - parts: - - id: sa-17_smt.a - name: item - props: - - name: label - value: a. - prose: Is consistent with the organization’s security architecture - that is an integral part the organization’s enterprise architecture; - - id: sa-17_smt.b - name: item - props: - - name: label - value: b. - prose: Accurately and completely describes the required security - functionality, and the allocation of controls among physical and - logical components; and - - id: sa-17_smt.c - name: item - props: - - name: label - value: c. - prose: Expresses how individual security functions, mechanisms, - and services work together to provide required security capabilities - and a unified approach to protection. - - id: sa-17_gdn - name: guidance - prose: Developer security architecture and design is directed at external - developers, although it could also be applied to internal (in-house) - development. In contrast, PL-8 is directed at internal developers - to ensure that organizations develop a security architecture and that - the architecture is integrated with the enterprise architecture. The - distinction between SA-17 and PL-8 is especially important when organizations - outsource the development of systems, system components, or system - services, and when there is a requirement to demonstrate consistency - with the enterprise architecture and security architecture of the - organization. [ISO 15408-2], [ISO 15408-3], and [SP 800-160 v1] provide - information on security architecture and design, including formal - policy models, security-relevant components, formal and informal correspondence, - conceptually simple design, and structuring for least privilege and - testing. - controls: - - id: sa-17.1 - class: SP800-53-enhancement - title: Formal Policy Model - params: - - id: sa-17.1_prm_1 - label: organization-defined elements of organizational security - policy - props: - - name: label - value: SA-17(1) - - name: sort-id - value: SA-17(01) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - parts: - - id: sa-17.1_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Produce, as an integral part of the development process,\ - \ a formal policy model describing the {{ insert: param, sa-17.1_prm_1\ - \ }} to be enforced; and" - - id: sa-17.1_smt.b - name: item - props: - - name: label - value: (b) - prose: Prove that the formal policy model is internally consistent - and sufficient to enforce the defined elements of the organizational - security policy when implemented. - - id: sa-17.1_gdn - name: guidance - prose: Formal models describe specific behaviors or security policies - using formal languages, thus enabling the correctness of those - behaviors and policies to be formally proven. Not all components - of systems can be modeled. Generally, formal specifications are - scoped to the specific behaviors or policies of interest, for - example, nondiscretionary access control policies. Organizations - choose the formal modeling language and approach based on the - nature of the behaviors and policies to be described and the available - tools. Formal modeling tools include Gypsy and Zed. - - id: sa-17.2 - class: SP800-53-enhancement - title: Security-relevant Components - props: - - name: label - value: SA-17(2) - - name: sort-id - value: SA-17(02) - links: - - href: "#ac-25" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.2_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.2_smt.a - name: item - props: - - name: label - value: (a) - prose: Define security-relevant hardware, software, and firmware; - and - - id: sa-17.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Provide a rationale that the definition for security-relevant - hardware, software, and firmware is complete. - - id: sa-17.2_gdn - name: guidance - prose: The security-relevant hardware, software, and firmware represent - the portion of the system, component, or service that is trusted - to perform correctly to maintain required security properties. - - id: sa-17.3 - class: SP800-53-enhancement - title: Formal Correspondence - props: - - name: label - value: SA-17(3) - - name: sort-id - value: SA-17(03) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.3_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Produce, as an integral part of the development process, - a formal top-level specification that specifies the interfaces - to security-relevant hardware, software, and firmware in terms - of exceptions, error messages, and effects; - - id: sa-17.3_smt.b - name: item - props: - - name: label - value: (b) - prose: Show via proof to the extent feasible with additional - informal demonstration as necessary, that the formal top-level - specification is consistent with the formal policy model; - - id: sa-17.3_smt.c - name: item - props: - - name: label - value: (c) - prose: Show via informal demonstration, that the formal top-level - specification completely covers the interfaces to security-relevant - hardware, software, and firmware; - - id: sa-17.3_smt.d - name: item - props: - - name: label - value: (d) - prose: Show that the formal top-level specification is an accurate - description of the implemented security-relevant hardware, - software, and firmware; and - - id: sa-17.3_smt.e - name: item - props: - - name: label - value: (e) - prose: Describe the security-relevant hardware, software, and - firmware mechanisms not addressed in the formal top-level - specification but strictly internal to the security-relevant - hardware, software, and firmware. - - id: sa-17.3_gdn - name: guidance - prose: Correspondence is an important part of the assurance gained - through modeling. It demonstrates that the implementation is an - accurate transformation of the model, and that any additional - code or implementation details that are present have no impact - on the behaviors or policies being modeled. Formal methods can - be used to show that the high-level security properties are satisfied - by the formal system description, and that the formal system description - is correctly implemented by a description of some lower level, - including a hardware description. Consistency between the formal - top-level specification and the formal policy models is generally - not amenable to being fully proven. Therefore, a combination of - formal and informal methods may be needed to demonstrate such - consistency. Consistency between the formal top-level specification - and the actual implementation may require the use of an informal - demonstration due to limitations in the applicability of formal - methods to prove that the specification accurately reflects the - implementation. Hardware, software, and firmware mechanisms internal - to security-relevant components include mapping registers and - direct memory input and output. - - id: sa-17.4 - class: SP800-53-enhancement - title: Informal Correspondence - params: - - id: sa-17.4_prm_1 - select: - choice: - - informal demonstration - - convincing argument with formal methods as feasible - props: - - name: label - value: SA-17(4) - - name: sort-id - value: SA-17(04) - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - parts: - - id: sa-17.4_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Produce, as an integral part of the development process, - an informal descriptive top-level specification that specifies - the interfaces to security-relevant hardware, software, and - firmware in terms of exceptions, error messages, and effects; - - id: sa-17.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "Show via {{ insert: param, sa-17.4_prm_1 }} that the\ - \ descriptive top-level specification is consistent with the\ - \ formal policy model;" - - id: sa-17.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Show via informal demonstration, that the descriptive - top-level specification completely covers the interfaces to - security-relevant hardware, software, and firmware; - - id: sa-17.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Show that the descriptive top-level specification is - an accurate description of the interfaces to security-relevant - hardware, software, and firmware; and - - id: sa-17.4_smt.e - name: item - props: - - name: label - value: (e) - prose: Describe the security-relevant hardware, software, and - firmware mechanisms not addressed in the descriptive top-level - specification but strictly internal to the security-relevant - hardware, software, and firmware. - - id: sa-17.4_gdn - name: guidance - prose: Correspondence is an important part of the assurance gained - through modeling. It demonstrates that the implementation is an - accurate transformation of the model, and that any additional - code or implementation details present has no impact on the behaviors - or policies being modeled. Consistency between the descriptive - top-level specification (i.e., high-level/low-level design) and - the formal policy model is generally not amenable to being fully - proven. Therefore, a combination of formal and informal methods - may be needed to show such consistency. Hardware, software, and - firmware mechanisms strictly internal to security-relevant hardware, - software, and firmware include mapping registers and direct memory - input and output. - - id: sa-17.5 - class: SP800-53-enhancement - title: Conceptually Simple Design - props: - - name: label - value: SA-17(5) - - name: sort-id - value: SA-17(05) - links: - - href: "#ac-25" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sa-17.5_smt - name: statement - prose: "Require the developer of the system, system component, or\ - \ system service to:" - parts: - - id: sa-17.5_smt.a - name: item - props: - - name: label - value: (a) - prose: Design and structure the security-relevant hardware, - software, and firmware to use a complete, conceptually simple - protection mechanism with precisely defined semantics; and - - id: sa-17.5_smt.b - name: item - props: - - name: label - value: (b) - prose: Internally structure the security-relevant hardware, - software, and firmware with specific regard for this mechanism. - - id: sa-17.5_gdn - name: guidance - prose: The principle of reduced complexity states that the system - design is as simple and small as possible (see SA-8(7)). A small - and simple design is easier to understand and analyze, and is - also less prone to error (see AC-25, SA-8(13)). The principle - of reduced complexity applies to any aspect of a system, but it - has particular importance for security due to the various analyses - performed to obtain evidence about the emergent security property - of the system. For such analyses to be successful, a small and - simple design is essential. Application of the principle of reduced - complexity contributes to the ability of system developers to - understand the correctness and completeness of system security - functions and facilitates the identification of potential vulnerabilities. - The corollary of reduced complexity states that the simplicity - of the system is directly related to the number of vulnerabilities - it will contain—that is, simpler systems contain fewer vulnerabilities. - An important benefit of reduced complexity is that it is easier - to understand whether the security policy has been captured in - the system design, and that fewer vulnerabilities are likely to - be introduced during engineering development. An additional benefit - is that any such conclusion about correctness, completeness, and - existence of vulnerabilities can be reached with a higher degree - of assurance in contrast to conclusions reached in situations - where the system design is inherently more complex. - - id: sa-17.6 - class: SP800-53-enhancement - title: Structure for Testing - props: - - name: label - value: SA-17(6) - - name: sort-id - value: SA-17(06) - links: - - href: "#sa-5" - rel: related - - href: "#sa-11" - rel: related - parts: - - id: sa-17.6_smt - name: statement - prose: Require the developer of the system, system component, or - system service to structure security-relevant hardware, software, - and firmware to facilitate testing. - - id: sa-17.6_gdn - name: guidance - prose: Applying the security design principles in [SP 800-160 v1] - promotes complete, consistent, and comprehensive testing and evaluation - of systems, system components, and services. The thoroughness - of such testing contributes to the evidence produced to generate - an effective assurance case or argument as to the trustworthiness - of the system, system component, or service. - - id: sa-17.7 - class: SP800-53-enhancement - title: Structure for Least Privilege - props: - - name: label - value: SA-17(7) - - name: sort-id - value: SA-17(07) - links: - - href: "#ac-5" - rel: related - - href: "#ac-6" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-17.7_smt - name: statement - prose: Require the developer of the system, system component, or - system service to structure security-relevant hardware, software, - and firmware to facilitate controlling access with least privilege. - - id: sa-17.7_gdn - name: guidance - prose: The principle of least privilege states that each component - is allocated sufficient privileges to accomplish its specified - functions, but no more (see SA-8(14)). Applying the principle - of least privilege limits the scope of the component’s actions, - which has two desirable effects. First, the security impact of - a failure, corruption, or misuse of the system component results - in a minimized security impact. Second, the security analysis - of the component is simplified. Least privilege is a pervasive - principle that is reflected in all aspects of the secure system - design. Interfaces used to invoke component capability are available - to only certain subsets of the user population, and component - design supports a sufficiently fine granularity of privilege decomposition. - For example, in the case of an audit mechanism, there may be an - interface for the audit manager, who configures the audit settings; - an interface for the audit operator, who ensures that audit data - is safely collected and stored; and, finally, yet another interface - for the audit reviewer, who has need only to view the audit data - that has been collected but no need to perform operations on that - data. In addition to its manifestations at the system interface, - least privilege can be used as a guiding principle for the internal - structure of the system itself. One aspect of internal least privilege - is to construct modules so that only the elements encapsulated - by the module are directly operated upon by the functions within - the module. Elements external to a module that may be affected - by the module’s operation are indirectly accessed through interaction - (e.g., via a function call) with the module that contains those - elements. Another aspect of internal least privilege is that the - scope of a given module or component includes only those system - elements that are necessary for its functionality, and that the - access modes to the elements (e.g., read, write) are minimal. - - id: sa-17.8 - class: SP800-53-enhancement - title: Orchestration - params: - - id: sa-17.8_prm_1 - label: organization-defined critical systems or system components - - id: sa-17.8_prm_2 - label: organization-defined capabilities, by system or component - props: - - name: label - value: SA-17(8) - - name: sort-id - value: SA-17(08) - parts: - - id: sa-17.8_smt - name: statement - prose: "Design {{ insert: param, sa-17.8_prm_1 }} with coordinated\ - \ behavior to implement the following capabilities: {{ insert:\ - \ param, sa-17.8_prm_2 }}." - - id: sa-17.8_gdn - name: guidance - prose: Security resources that are distributed, located at different - layers or in different system elements, or are implemented to - support different aspects of trustworthiness can interact in unforeseen - or incorrect ways. Adverse consequences can include cascading - failures, interference, or coverage gaps. Coordination of the - behavior of security resources (e.g., by ensuring that one patch - is installed across all resources before making a configuration - change that assumes that the patch is propagated) can avert such - negative interactions. - - id: sa-17.9 - class: SP800-53-enhancement - title: Design Diversity - params: - - id: sa-17.9_prm_1 - label: organization-defined critical systems or system components - props: - - name: label - value: SA-17(9) - - name: sort-id - value: SA-17(09) - parts: - - id: sa-17.9_smt - name: statement - prose: "Use different designs for {{ insert: param, sa-17.9_prm_1\ - \ }} to satisfy a common set of requirements or to provide equivalent\ - \ functionality." - - id: sa-17.9_gdn - name: guidance - prose: Design diversity is achieved by supplying the same requirements - specification to multiple developers, each of which is responsible - for developing a variant of the system or system component that - meets the requirements. Variants can be in software design, in - hardware design, or in both hardware and a software design. Differences - in the designs of the variants can result from developer experience - (e.g., prior use of a design pattern), design style (e.g., when - decomposing a required function into smaller tasks, determining - what constitutes a separate task, and determining how far to decompose - tasks into sub-tasks), selection of libraries to incorporate into - the variant, and the development environment (e.g., different - design tools make some design patterns easier to visualize). Hardware - design diversity includes making different decisions about what - information to keep in analog form and what to convert to digital - form; transmitting the same information at different times; and - introducing delays in sampling (temporal diversity). Design diversity - is commonly used to support fault tolerance. - - id: sa-18 - class: SP800-53 - title: Tamper Resistance and Detection - props: - - name: label - value: SA-18 - - name: status - value: Withdrawn - - name: sort-id - value: SA-18 - links: - - href: "#sr-9" - rel: moved-to - controls: - - id: sa-18.1 - class: SP800-53-enhancement - title: Multiple Phases of System Development Life Cycle - props: - - name: label - value: SA-18(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-18(01) - links: - - href: "#sr-9.1" - rel: moved-to - - id: sa-18.2 - class: SP800-53-enhancement - title: Inspection of Systems or Components - props: - - name: label - value: SA-18(2) - - name: status - value: Withdrawn - - name: sort-id - value: SA-18(02) - links: - - href: "#sr-10" - rel: moved-to - - id: sa-19 - class: SP800-53 - title: Component Authenticity - props: - - name: label - value: SA-19 - - name: status - value: Withdrawn - - name: sort-id - value: SA-19 - links: - - href: "#sr-11" - rel: moved-to - controls: - - id: sa-19.1 - class: SP800-53-enhancement - title: Anti-counterfeit Training - props: - - name: label - value: SA-19(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-19(01) - links: - - href: "#sr-11.1" - rel: moved-to - - id: sa-19.2 - class: SP800-53-enhancement - title: Configuration Control for Component Service and Repair - props: - - name: label - value: SA-19(2) - - name: status - value: Withdrawn - - name: sort-id - value: SA-19(02) - links: - - href: "#sr-11.2" - rel: moved-to - - id: sa-19.3 - class: SP800-53-enhancement - title: Component Disposal - props: - - name: label - value: SA-19(3) - - name: status - value: Withdrawn - - name: sort-id - value: SA-19(03) - links: - - href: "#sr-11.3" - rel: moved-to - - id: sa-19.4 - class: SP800-53-enhancement - title: Anti-counterfeit Scanning - props: - - name: label - value: SA-19(4) - - name: status - value: Withdrawn - - name: sort-id - value: SA-19(04) - links: - - href: "#sr-11.4" - rel: moved-to - - id: sa-20 - class: SP800-53 - title: Customized Development of Critical Components - params: - - id: sa-20_prm_1 - label: organization-defined critical system components - props: - - name: label - value: SA-20 - - name: sort-id - value: SA-20 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#cp-2" - rel: related - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-20_smt - name: statement - prose: "Re-implement or custom develop the following critical system\ - \ components: {{ insert: param, sa-20_prm_1 }}." - - id: sa-20_gdn - name: guidance - prose: Organizations determine that certain system components likely - cannot be trusted due to specific threats to and vulnerabilities in - those components, and for which there are no viable security controls - to adequately mitigate the resulting risk. Re-implementation or custom - development of such components may satisfy requirements for higher - assurance and is carried out by initiating changes to system components - (including hardware, software, and firmware) such that the standard - attacks by adversaries are less likely to succeed. In situations where - no alternative sourcing is available and organizations choose not - to re-implement or custom develop critical system components, additional - controls can be employed. Controls include enhanced auditing; restrictions - on source code and system utility access; and protection from deletion - of system and application files. - - id: sa-21 - class: SP800-53 - title: Developer Screening - params: - - id: sa-21_prm_1 - label: organization-defined system, system component, or system service - - id: sa-21_prm_2 - label: organization-defined official government duties - - id: sa-21_prm_3 - label: organization-defined additional personnel screening criteria - props: - - name: label - value: SA-21 - - name: sort-id - value: SA-21 - links: - - href: "#ps-2" - rel: related - - href: "#ps-3" - rel: related - - href: "#ps-6" - rel: related - - href: "#ps-7" - rel: related - - href: "#sa-4" - rel: related - parts: - - id: sa-21_smt - name: statement - prose: "Require that the developer of {{ insert: param, sa-21_prm_1\ - \ }}:" - parts: - - id: sa-21_smt.a - name: item - props: - - name: label - value: a. - prose: "Has appropriate access authorizations as determined by assigned\ - \ {{ insert: param, sa-21_prm_2 }};" - - id: sa-21_smt.b - name: item - props: - - name: label - value: b. - prose: "Satisfies the following additional personnel screening criteria:\ - \ {{ insert: param, sa-21_prm_3 }}; and" - - id: sa-21_smt.c - name: item - props: - - name: label - value: c. - prose: Provides information that the access authorizations and screening - criteria are satisfied. - - id: sa-21_gdn - name: guidance - prose: Developer screening is directed at external developers. Internal - developer screening is addressed by PS-3. Because the system, system - component, or system service may be used in critical activities essential - to the national or economic security interests of the United States, - organizations have a strong interest in ensuring that developers are - trustworthy. The degree of trust required of developers may need to - be consistent with that of the individuals accessing the systems, - system components, or system services once deployed. Authorization - and personnel screening criteria include clearances, background checks, - citizenship, and nationality. Developer trustworthiness may also include - a review and analysis of company ownership and relationships the company - has with entities potentially affecting the quality and reliability - of the systems, components, or services being developed. Satisfying - the required access authorizations and personnel screening criteria - includes providing a list of all individuals who are authorized to - perform development activities on the selected system, system component, - or system service so that organizations can validate that the developer - has satisfied the authorization and screening requirements. - controls: - - id: sa-21.1 - class: SP800-53-enhancement - title: Validation of Screening - props: - - name: label - value: SA-21(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-21(01) - links: - - href: "#sa-21" - rel: incorporated-into - - id: sa-22 - class: SP800-53 - title: Unsupported System Components - params: - - id: sa-22_prm_1 - select: - how-many: one-or-more - choice: - - in-house support - - " {{ insert: param, sa-22_prm_2 }} " - - id: sa-22_prm_2 - depends-on: sa-22_prm_1 - label: organization-defined support from external providers - props: - - name: label - value: SA-22 - - name: sort-id - value: SA-22 - links: - - href: "#pl-2" - rel: related - - href: "#sa-3" - rel: related - parts: - - id: sa-22_smt - name: statement - parts: - - id: sa-22_smt.a - name: item - props: - - name: label - value: a. - prose: Replace system components when support for the components - is no longer available from the developer, vendor, or manufacturer; - or - - id: sa-22_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide the following options for alternative sources for\ - \ continued support for unsupported components {{ insert: param,\ - \ sa-22_prm_1 }}." - - id: sa-22_gdn - name: guidance - prose: Support for system components includes software patches, firmware - updates, replacement parts, and maintenance contracts. Unsupported - components, for example, when vendors no longer provide critical software - patches or product updates, provide an opportunity for adversaries - to exploit weaknesses in the installed components. Exceptions to replacing - unsupported system components include systems that provide critical - mission or business capability where newer technologies are not available - or where the systems are so isolated that installing replacement components - is not an option. Alternative sources for support address the need - to provide continued support for system components that are no longer - supported by the original manufacturers, developers, or vendors when - such components remain essential to organizational mission and business - operations. If necessary, organizations can establish in-house support - by developing customized patches for critical software components - or alternatively, obtain the services of external providers who through - contractual relationships, provide ongoing support for the designated - unsupported components. Such contractual relationships can include - Open Source Software value-added vendors. - controls: - - id: sa-22.1 - class: SP800-53-enhancement - title: Alternative Sources for Continued Support - props: - - name: label - value: SA-22(1) - - name: status - value: Withdrawn - - name: sort-id - value: SA-22(01) - links: - - href: "#sa-22" - rel: incorporated-into - - id: sa-23 - class: SP800-53 - title: Specialization - params: - - id: sa-23_prm_1 - select: - how-many: one-or-more - choice: - - design modification - - augmentation - - reconfiguration - - id: sa-23_prm_2 - label: organization-defined systems or system components - props: - - name: label - value: SA-23 - - name: sort-id - value: SA-23 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#ra-9" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sa-23_smt - name: statement - prose: "Employ {{ insert: param, sa-23_prm_1 }} on {{ insert: param,\ - \ sa-23_prm_2 }} supporting mission essential services or functions\ - \ to increase the trustworthiness in those systems or components." - - id: sa-23_gdn - name: guidance - prose: It is often necessary for a system or system component that supports - mission essential services or functions to be enhanced to maximize - the trustworthiness of the resource. Sometimes this enhancement is - done at the design level. In other instances, it is done post-design, - either through modifications of the system in question or by augmenting - the system with additional components. For example, supplemental authentication - or non-repudiation functions may be added to the system to enhance - the identity of critical resources to other resources that depend - upon the organization-defined resources. - - id: sc - class: family - title: System and Communications Protection - controls: - - id: sc-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sc-1_prm_1 - label: organization-defined personnel or roles - - id: sc-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: sc-1_prm_3 - label: organization-defined official - - id: sc-1_prm_4 - label: organization-defined frequency - - id: sc-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: SC-1 - - name: sort-id - value: SC-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sc-1_smt - name: statement - parts: - - id: sc-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sc-1_prm_1 }}:" - parts: - - id: sc-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, sc-1_prm_2 }} system and communications\ - \ protection policy that:" - parts: - - id: sc-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sc-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sc-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the system - and communications protection policy and the associated system - and communications protection controls; - - id: sc-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sc-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the system\ - \ and communications protection policy and procedures; and" - - id: sc-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and communications\ - \ protection:" - parts: - - id: sc-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, sc-1_prm_4 }}; and" - - id: sc-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, sc-1_prm_5 }}." - - id: sc-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the SC family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: sc-2 - class: SP800-53 - title: Separation of System and User Functionality - props: - - name: label - value: SC-2 - - name: sort-id - value: SC-02 - links: - - href: "#ac-6" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-22" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - parts: - - id: sc-2_smt - name: statement - prose: Separate user functionality, including user interface services, - from system management functionality. - - id: sc-2_gdn - name: guidance - prose: System management functionality includes functions that are necessary - to administer databases, network components, workstations, or servers. - These functions typically require privileged user access. The separation - of user functions from system management functions is physical or - logical. Organizations implement separation of system management functions - from user functions, for example, by using different computers, instances - of operating systems, central processing units, or network addresses; - by employing virtualization techniques; or some combination of these - or other methods. Separation of system management functions from user - functions includes web administrative interfaces that employ separate - authentication methods for users of any other system resources. Separation - of system and user functions may include isolating administrative - interfaces on different domains and with additional access controls. - The separation of system and user functionality can be achieved by - applying the systems security engineering design principles in SA-8 - including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), - SA-8(14), and SA-8(18). - controls: - - id: sc-2.1 - class: SP800-53-enhancement - title: Interfaces for Non-privileged Users - props: - - name: label - value: SC-2(1) - - name: sort-id - value: SC-02(01) - links: - - href: "#ac-3" - rel: related - parts: - - id: sc-2.1_smt - name: statement - prose: Prevent the presentation of system management functionality - at interfaces to non-privileged users. - - id: sc-2.1_gdn - name: guidance - prose: Preventing the presentation of system management functionality - at interfaces to non-privileged users ensures that system administration - options, including administrator privileges, are not available - to the general user population. Restricting user access also prohibits - the use of the grey-out option commonly used to eliminate accessibility - to such information. One potential solution is to withhold system - administration options until users establish sessions with administrator - privileges. - - id: sc-2.2 - class: SP800-53-enhancement - title: Disassociability - props: - - name: label - value: SC-2(2) - - name: sort-id - value: SC-02(02) - parts: - - id: sc-2.2_smt - name: statement - prose: Store state information from applications and software separately. - - id: sc-2.2_gdn - name: guidance - prose: If a system is compromised, storing applications and software - separately from state information about users’ interactions with - an application, may better protect individuals’ privacy. - - id: sc-3 - class: SP800-53 - title: Security Function Isolation - props: - - name: label - value: SC-3 - - name: sort-id - value: SC-03 - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-25" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-15" - rel: related - - href: "#sa-17" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-3_smt - name: statement - prose: Isolate security functions from nonsecurity functions. - - id: sc-3_gdn - name: guidance - prose: Security functions are isolated from nonsecurity functions by - means of an isolation boundary implemented via partitions and domains. - The isolation boundary controls access to and protects the integrity - of the hardware, software, and firmware that perform those security - functions. Systems implement code separation in many ways, for example, - through the provision of security kernels via processor rings or processor - modes. For non-kernel code, security function isolation is often achieved - through file system protections that protect the code on disk and - address space protections that protect executing code. Systems can - restrict access to security functions using access control mechanisms - and by implementing least privilege capabilities. While the ideal - is for all code within the defined security function isolation boundary - to only contain security-relevant code, it is sometimes necessary - to include nonsecurity functions within the isolation boundary as - an exception. The isolation of security functions from nonsecurity - functions can be achieved by applying the systems security engineering - design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), - SA-8(12), SA-8(13), SA-8(14), and SA-8(18). - controls: - - id: sc-3.1 - class: SP800-53-enhancement - title: Hardware Separation - props: - - name: label - value: SC-3(1) - - name: sort-id - value: SC-03(01) - parts: - - id: sc-3.1_smt - name: statement - prose: Employ hardware separation mechanisms to implement security - function isolation. - - id: sc-3.1_gdn - name: guidance - prose: Hardware separation mechanisms include hardware ring architectures - that are implemented within microprocessors, and hardware-enforced - address segmentation used to support logically distinct storage - objects with separate attributes (i.e., readable, writeable). - - id: sc-3.2 - class: SP800-53-enhancement - title: Access and Flow Control Functions - props: - - name: label - value: SC-3(2) - - name: sort-id - value: SC-03(02) - parts: - - id: sc-3.2_smt - name: statement - prose: Isolate security functions enforcing access and information - flow control from nonsecurity functions and from other security - functions. - - id: sc-3.2_gdn - name: guidance - prose: Security function isolation occurs because of implementation. - The functions can still be scanned and monitored. Security functions - that are potentially isolated from access and flow control enforcement - functions include auditing, intrusion detection, and malicious - code protection functions. - - id: sc-3.3 - class: SP800-53-enhancement - title: Minimize Nonsecurity Functionality - props: - - name: label - value: SC-3(3) - - name: sort-id - value: SC-03(03) - parts: - - id: sc-3.3_smt - name: statement - prose: Minimize the number of nonsecurity functions included within - the isolation boundary containing security functions. - - id: sc-3.3_gdn - name: guidance - prose: Where it is not feasible to achieve strict isolation of nonsecurity - functions from security functions, it is necessary to take actions - to minimize nonsecurity-relevant functions within the security - function boundary. Nonsecurity functions contained within the - isolation boundary are considered security-relevant because errors - or malicious code in the software, can directly impact the security - functions of systems. The fundamental design objective is that - the specific portions of systems providing information security - are of minimal size and complexity. Minimizing the number of nonsecurity - functions in the security-relevant system components allows designers - and implementers to focus only on those functions which are necessary - to provide the desired security capability (typically access enforcement). - By minimizing the nonsecurity functions within the isolation boundaries, - the amount of code that is trusted to enforce security policies - is significantly reduced, thus contributing to understandability. - - id: sc-3.4 - class: SP800-53-enhancement - title: Module Coupling and Cohesiveness - props: - - name: label - value: SC-3(4) - - name: sort-id - value: SC-03(04) - parts: - - id: sc-3.4_smt - name: statement - prose: Implement security functions as largely independent modules - that maximize internal cohesiveness within modules and minimize - coupling between modules. - - id: sc-3.4_gdn - name: guidance - prose: The reduction in inter-module interactions helps to constrain - security functions and manage complexity. The concepts of coupling - and cohesion are important with respect to modularity in software - design. Coupling refers to the dependencies that one module has - on other modules. Cohesion refers to the relationship between - functions within a module. Best practices in software engineering - and systems security engineering rely on layering, minimization, - and modular decomposition to reduce and manage complexity. This - produces software modules that are highly cohesive and loosely - coupled. - - id: sc-3.5 - class: SP800-53-enhancement - title: Layered Structures - props: - - name: label - value: SC-3(5) - - name: sort-id - value: SC-03(05) - parts: - - id: sc-3.5_smt - name: statement - prose: Implement security functions as a layered structure minimizing - interactions between layers of the design and avoiding any dependence - by lower layers on the functionality or correctness of higher - layers. - - id: sc-3.5_gdn - name: guidance - prose: The implementation of layered structures with minimized interactions - among security functions and non-looping layers (i.e., lower-layer - functions do not depend on higher-layer functions) further enables - the isolation of security functions and management of complexity. - - id: sc-4 - class: SP800-53 - title: Information in Shared System Resources - props: - - name: label - value: SC-4 - - name: sort-id - value: SC-04 - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sc-4_smt - name: statement - prose: Prevent unauthorized and unintended information transfer via - shared system resources. - - id: sc-4_gdn - name: guidance - prose: Preventing unauthorized and unintended information transfer via - shared system resources stops information produced by the actions - of prior users or roles (or the actions of processes acting on behalf - of prior users or roles) from being available to current users or - roles (or current processes acting on behalf of current users or roles) - that obtain access to shared system resources after those resources - have been released back to the system. This control also applies to - encrypted representations of information. In other contexts, control - of information in shared system resources is referred to as object - reuse and residual information protection. This control does not address - information remanence, which refers to the residual representation - of data that has been nominally deleted; covert channels (including - storage and timing channels), where shared system resources are manipulated - to violate information flow restrictions; or components within systems - for which there are only single users or roles. - controls: - - id: sc-4.1 - class: SP800-53-enhancement - title: Security Levels - props: - - name: label - value: SC-4(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-04(01) - links: - - href: "#sc-4" - rel: incorporated-into - - id: sc-4.2 - class: SP800-53-enhancement - title: Multilevel or Periods Processing - params: - - id: sc-4.2_prm_1 - label: organization-defined procedures - props: - - name: label - value: SC-4(2) - - name: sort-id - value: SC-04(02) - parts: - - id: sc-4.2_smt - name: statement - prose: "Prevent unauthorized information transfer via shared resources\ - \ in accordance with {{ insert: param, sc-4.2_prm_1 }} when system\ - \ processing explicitly switches between different information\ - \ classification levels or security categories." - - id: sc-4.2_gdn - name: guidance - prose: Changes in processing levels during system operations can - occur, for example, during multilevel or periods processing with - information at different classification levels or security categories. - It can also occur during serial reuse of hardware components at - different classification levels. Organization-defined procedures - can include the approved sanitization processes for electronically - stored information. - - id: sc-5 - class: SP800-53 - title: Denial of Service Protection - params: - - id: sc-5_prm_1 - select: - choice: - - protect against - - limit - - id: sc-5_prm_2 - label: organization-defined types of denial of service events - - id: sc-5_prm_3 - label: organization-defined controls by type of denial of service event - props: - - name: label - value: SC-5 - - name: sort-id - value: SC-05 - links: - - href: "#3862cd94-ff25-4631-9a9a-b92c21a0a923" - rel: reference - - href: "#cp-2" - rel: related - - href: "#ir-4" - rel: related - - href: "#sc-6" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-40" - rel: related - parts: - - id: sc-5_smt - name: statement - parts: - - id: sc-5_smt.a - name: item - props: - - name: label - value: a. - prose: "{{ insert: param, sc-5_prm_1 }} the effects of the following\ - \ types of denial of service events: {{ insert: param, sc-5_prm_2\ - \ }}; and" - - id: sc-5_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following controls to achieve the denial of service\ - \ objective: {{ insert: param, sc-5_prm_3 }}." - - id: sc-5_gdn - name: guidance - prose: Denial of service events may occur due to a variety of internal - and external causes such as an attack by an adversary or a lack of - planning to support organizational needs with respect to capacity - and bandwidth. Such attacks can occur across a variety of network - protocols (e.g., IPv4, IPv6). A variety of technologies are available - to limit or eliminate the origination and effects of denial of service - events. For example, boundary protection devices can filter certain - types of packets to protect system components on internal networks - from being directly affected by, or the source of, denial of service - attacks. Employing increased network capacity and bandwidth combined - with service redundancy also reduces the susceptibility to denial - of service events. - controls: - - id: sc-5.1 - class: SP800-53-enhancement - title: Restrict Ability to Attack Other Systems - params: - - id: sc-5.1_prm_1 - label: organization-defined denial of service attacks - props: - - name: label - value: SC-5(1) - - name: sort-id - value: SC-05(01) - parts: - - id: sc-5.1_smt - name: statement - prose: "Restrict the ability of individuals to launch the following\ - \ denial-of-service attacks against other systems: {{ insert:\ - \ param, sc-5.1_prm_1 }}." - - id: sc-5.1_gdn - name: guidance - prose: Restricting the ability of individuals to launch denial of - service attacks requires the mechanisms commonly used for such - attacks are unavailable. Individuals of concern include hostile - insiders or external adversaries that have breached or compromised - the system and are using the system to launch a denial of service - attack. Organizations can restrict the ability of individuals - to connect and transmit arbitrary information on the transport - medium (i.e., wired networks, wireless networks, spoofed Internet - protocol packets). Organizations can also limit the ability of - individuals to use excessive system resources. Protection against - individuals having the ability to launch denial of service attacks - may be implemented on specific systems or on boundary devices - prohibiting egress to potential target systems. - - id: sc-5.2 - class: SP800-53-enhancement - title: Capacity, Bandwidth, and Redundancy - props: - - name: label - value: SC-5(2) - - name: sort-id - value: SC-05(02) - parts: - - id: sc-5.2_smt - name: statement - prose: Manage capacity, bandwidth, or other redundancy to limit - the effects of information flooding denial of service attacks. - - id: sc-5.2_gdn - name: guidance - prose: Managing capacity ensures that sufficient capacity is available - to counter flooding attacks. Managing capacity includes establishing - selected usage priorities, quotas, partitioning, or load balancing. - - id: sc-5.3 - class: SP800-53-enhancement - title: Detection and Monitoring - params: - - id: sc-5.3_prm_1 - label: organization-defined monitoring tools - - id: sc-5.3_prm_2 - label: organization-defined system resources - props: - - name: label - value: SC-5(3) - - name: sort-id - value: SC-05(03) - links: - - href: "#ca-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-5.3_smt - name: statement - parts: - - id: sc-5.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ the following monitoring tools to detect indicators\ - \ of denial of service attacks against, or launched from,\ - \ the system: {{ insert: param, sc-5.3_prm_1 }}; and" - - id: sc-5.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Monitor the following system resources to determine\ - \ if sufficient resources exist to prevent effective denial\ - \ of service attacks: {{ insert: param, sc-5.3_prm_2 }}." - - id: sc-5.3_gdn - name: guidance - prose: Organizations consider utilization and capacity of system - resources when managing risk from denial of service due to malicious - attacks. Denial of service attacks can originate from external - or internal sources. System resources sensitive to denial of service - include physical disk storage, memory, and CPU cycles. Controls - used to prevent denial of service attacks related to storage utilization - and capacity include instituting disk quotas; configuring systems - to automatically alert administrators when specific storage capacity - thresholds are reached; using file compression technologies to - maximize available storage space; and imposing separate partitions - for system and user data. - - id: sc-6 - class: SP800-53 - title: Resource Availability - params: - - id: sc-6_prm_1 - label: organization-defined resources - - id: sc-6_prm_2 - select: - how-many: one-or-more - choice: - - priority - - quota - - " {{ insert: param, sc-6_prm_3 }} " - - id: sc-6_prm_3 - depends-on: sc-6_prm_2 - label: organization-defined controls - props: - - name: label - value: SC-6 - - name: sort-id - value: SC-06 - links: - - href: "#36f101d0-0efd-4169-8d62-25a2ef414a1d" - rel: reference - - href: "#2ee29e9a-6855-4160-a811-b5c7c50bd127" - rel: reference - - href: "#sc-5" - rel: related - parts: - - id: sc-6_smt - name: statement - prose: "Protect the availability of resources by allocating {{ insert:\ - \ param, sc-6_prm_1 }} by {{ insert: param, sc-6_prm_2 }}." - - id: sc-6_gdn - name: guidance - prose: Priority protection prevents lower-priority processes from delaying - or interfering with the system servicing higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined - amounts of resources. This control does not apply to system components - for which there are only single users or roles. - - id: sc-7 - class: SP800-53 - title: Boundary Protection - params: - - id: sc-7_prm_1 - select: - choice: - - physically - - logically - props: - - name: label - value: SC-7 - - name: sort-id - value: SC-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#e07d73ea-96b9-4330-aff2-e0215f455343" - rel: reference - - href: "#db7877cf-1013-4fb1-b943-ca9361d16370" - rel: reference - - href: "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa" - rel: reference - - href: "#3862cd94-ff25-4631-9a9a-b92c21a0a923" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#ac-20" - rel: related - - href: "#au-13" - rel: related - - href: "#ca-3" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-10" - rel: related - - href: "#cp-8" - rel: related - - href: "#cp-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-3" - rel: related - - href: "#pm-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-32" - rel: related - - href: "#sc-43" - rel: related - parts: - - id: sc-7_smt - name: statement - parts: - - id: sc-7_smt.a - name: item - props: - - name: label - value: a. - prose: Monitor and control communications at the external interfaces - to the system and at key internal interfaces within the system; - - id: sc-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Implement subnetworks for publicly accessible system components\ - \ that are {{ insert: param, sc-7_prm_1 }} separated from internal\ - \ organizational networks; and" - - id: sc-7_smt.c - name: item - props: - - name: label - value: c. - prose: Connect to external networks or systems only through managed - interfaces consisting of boundary protection devices arranged - in accordance with an organizational security and privacy architecture. - - id: sc-7_gdn - name: guidance - prose: Managed interfaces include gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, - or encrypted tunnels implemented within a security architecture. Subnetworks - that are physically or logically separated from internal networks - are referred to as demilitarized zones or DMZs. Restricting or prohibiting - interfaces within organizational systems includes restricting external - web traffic to designated web servers within managed interfaces, prohibiting - external traffic that appears to be spoofing internal addresses, and - prohibiting internal traffic that appears to be spoofing external - addresses. Commercial telecommunications services are provided by - network components and consolidated management systems shared by customers. - These services may also include third party-provided access lines - and other service elements. Such services may represent sources of - increased risk despite contract security provisions. - controls: - - id: sc-7.1 - class: SP800-53-enhancement - title: Physically Separated Subnetworks - props: - - name: label - value: SC-7(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-07(01) - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-7.2 - class: SP800-53-enhancement - title: Public Access - props: - - name: label - value: SC-7(2) - - name: status - value: Withdrawn - - name: sort-id - value: SC-07(02) - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-7.3 - class: SP800-53-enhancement - title: Access Points - props: - - name: label - value: SC-7(3) - - name: sort-id - value: SC-07(03) - parts: - - id: sc-7.3_smt - name: statement - prose: Limit the number of external network connections to the system. - - id: sc-7.3_gdn - name: guidance - prose: Limiting the number of external network connections facilitates - monitoring of inbound and outbound communications traffic. The - Trusted Internet Connection [DHS TIC] initiative is an example - of a federal guideline requiring limits on the number of external - network connections. Limiting the number of external network connections - to the system is important during transition periods from older - to newer technologies (e.g., transitioning from IPv4 to IPv6 network - protocols). Such transitions may require implementing the older - and newer technologies simultaneously during the transition period - and thus increase the number of access points to the system. - - id: sc-7.4 - class: SP800-53-enhancement - title: External Telecommunications Services - params: - - id: sc-7.4_prm_1 - label: organization-defined frequency - props: - - name: label - value: SC-7(4) - - name: sort-id - value: SC-07(04) - links: - - href: "#ac-3" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: sc-7.4_smt - name: statement - parts: - - id: sc-7.4_smt.a - name: item - props: - - name: label - value: (a) - prose: Implement a managed interface for each external telecommunication - service; - - id: sc-7.4_smt.b - name: item - props: - - name: label - value: (b) - prose: Establish a traffic flow policy for each managed interface; - - id: sc-7.4_smt.c - name: item - props: - - name: label - value: (c) - prose: Protect the confidentiality and integrity of the information - being transmitted across each interface; - - id: sc-7.4_smt.d - name: item - props: - - name: label - value: (d) - prose: Document each exception to the traffic flow policy with - a supporting mission or business need and duration of that - need; - - id: sc-7.4_smt.e - name: item - props: - - name: label - value: (e) - prose: "Review exceptions to the traffic flow policy {{ insert:\ - \ param, sc-7.4_prm_1 }} and remove exceptions that are no\ - \ longer supported by an explicit mission or business need;" - - id: sc-7.4_smt.f - name: item - props: - - name: label - value: (f) - prose: Prevent unauthorized exchange of control plane traffic - with external networks; - - id: sc-7.4_smt.g - name: item - props: - - name: label - value: (g) - prose: Publish information to enable remote networks to detect - unauthorized control plane traffic from internal networks; - and - - id: sc-7.4_smt.h - name: item - props: - - name: label - value: (h) - prose: Filter unauthorized control plane traffic from external - networks. - - id: sc-7.4_gdn - name: guidance - prose: External commercial telecommunications services may provide - data or voice communications services. Examples of control plane - traffic include routing, domain name system (DNS), and management. - Unauthorized control plane traffic can occur for example, through - a technique known as “spoofing.” - - id: sc-7.5 - class: SP800-53-enhancement - title: Deny by Default — Allow by Exception - params: - - id: sc-7.5_prm_1 - select: - how-many: one-or-more - choice: - - at managed interfaces - - "for {{ insert: param, sc-7.5_prm_2 }} " - - id: sc-7.5_prm_2 - depends-on: sc-7.5_prm_1 - label: organization-defined systems - props: - - name: label - value: SC-7(5) - - name: sort-id - value: SC-07(05) - parts: - - id: sc-7.5_smt - name: statement - prose: "Deny network communications traffic by default and allow\ - \ network communications traffic by exception {{ insert: param,\ - \ sc-7.5_prm_1 }}." - - id: sc-7.5_gdn - name: guidance - prose: Denying by default and allowing by exception applies to inbound - and outbound network communications traffic. A deny-all, permit-by-exception - network communications traffic policy ensures that only those - system connections that are essential and approved are allowed. - Deny by default, allow by exception also applies to a system that - is connected to an external system. - - id: sc-7.6 - class: SP800-53-enhancement - title: Response to Recognized Failures - props: - - name: label - value: SC-7(6) - - name: status - value: Withdrawn - - name: sort-id - value: SC-07(06) - links: - - href: "#sc-7.18" - rel: incorporated-into - - id: sc-7.7 - class: SP800-53-enhancement - title: Prevent Split Tunneling for Remote Devices - props: - - name: label - value: SC-7(7) - - name: sort-id - value: SC-07(07) - parts: - - id: sc-7.7_smt - name: statement - prose: Prevent a remote device from simultaneously establishing - non-remote connections with the system and communicating via some - other connection to resources in external networks. - - id: sc-7.7_gdn - name: guidance - prose: Prevention of split tunneling is implemented in remote devices - through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being - configurable by users. Prevention of split tunneling is implemented - within the system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and - by prohibiting the connection if the remote device is using split - tunneling. Split tunneling might be desirable by remote users - to communicate with local system resources such as printers or - file servers. However, split tunneling can facilitate unauthorized - external connections, making the system vulnerable to attack and - to exfiltration of organizational information. - - id: sc-7.8 - class: SP800-53-enhancement - title: Route Traffic to Authenticated Proxy Servers - params: - - id: sc-7.8_prm_1 - label: organization-defined internal communications traffic - - id: sc-7.8_prm_2 - label: organization-defined external networks - props: - - name: label - value: SC-7(8) - - name: sort-id - value: SC-07(08) - links: - - href: "#ac-3" - rel: related - parts: - - id: sc-7.8_smt - name: statement - prose: "Route {{ insert: param, sc-7.8_prm_1 }} to {{ insert: param,\ - \ sc-7.8_prm_2 }} through authenticated proxy servers at managed\ - \ interfaces." - - id: sc-7.8_gdn - name: guidance - prose: External networks are networks outside of organizational - control. A proxy server is a server (i.e., system or application) - that acts as an intermediary for clients requesting system resources - from non-organizational or other organizational servers. System - resources that may be requested include files, connections, web - pages, or services. Client requests established through a connection - to a proxy server are assessed to manage complexity and to provide - additional protection by limiting direct connectivity. Web content - filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers can support logging of Transmission - Control Protocol sessions and blocking specific Uniform Resource - Locators, Internet Protocol addresses, and domain names. Web proxies - can be configured with organization-defined lists of authorized - and unauthorized websites. Note that proxy servers may inhibit - the use of virtual private networks (VPNs) and create the potential - for “man-in-the-middle” attacks (depending on the implementation). - - id: sc-7.9 - class: SP800-53-enhancement - title: Restrict Threatening Outgoing Communications Traffic - props: - - name: label - value: SC-7(9) - - name: sort-id - value: SC-07(09) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-38" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-7.9_smt - name: statement - parts: - - id: sc-7.9_smt.a - name: item - props: - - name: label - value: (a) - prose: Detect and deny outgoing communications traffic posing - a threat to external systems; and - - id: sc-7.9_smt.b - name: item - props: - - name: label - value: (b) - prose: Audit the identity of internal users associated with - denied communications. - - id: sc-7.9_gdn - name: guidance - prose: Detecting outgoing communications traffic from internal actions - that may pose threats to external systems is known as extrusion - detection. Extrusion detection is carried out at system boundaries - as part of managed interfaces. Extrusion detection includes the - analysis of incoming and outgoing communications traffic while - searching for indications of internal threats to the security - of external systems. Internal threats to external systems include - traffic indicative of denial of service attacks, traffic with - spoofed source addresses, and traffic containing malicious code. - - id: sc-7.10 - class: SP800-53-enhancement - title: Prevent Exfiltration - params: - - id: sc-7.10_prm_1 - label: organization-defined frequency - props: - - name: label - value: SC-7(10) - - name: sort-id - value: SC-07(10) - links: - - href: "#ac-2" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-7.10_smt - name: statement - parts: - - id: sc-7.10_smt.a - name: item - props: - - name: label - value: (a) - prose: Prevent the exfiltration of information; and - - id: sc-7.10_smt.b - name: item - props: - - name: label - value: (b) - prose: "Conduct exfiltration tests {{ insert: param, sc-7.10_prm_1\ - \ }}." - - id: sc-7.10_gdn - name: guidance - prose: This control applies to intentional and unintentional exfiltration - of information. Controls to prevent exfiltration of information - from systems may be implemented at internal endpoints, external - boundaries, and across managed interfaces and include adherence - to protocol formats; monitoring for beaconing activity from systems; - disconnecting external network interfaces except when explicitly - needed; employing traffic profile analysis to detect deviations - from the volume and types of traffic expected or call backs to - command and control centers; monitoring for steganography; disassembling - and reassembling packet headers; and employing data loss and data - leakage prevention tools. Devices that enforce strict adherence - to protocol formats include deep packet inspection firewalls and - XML gateways. The devices verify adherence to protocol formats - and specifications at the application layer and identify vulnerabilities - that cannot be detected by devices operating at the network or - transport layers. Prevention of exfiltration is similar to data - loss prevention or data leakage prevention and is closely associated - with cross-domain solutions and system guards enforcing information - flow requirements. - - id: sc-7.11 - class: SP800-53-enhancement - title: Restrict Incoming Communications Traffic - params: - - id: sc-7.11_prm_1 - label: organization-defined authorized sources - - id: sc-7.11_prm_2 - label: organization-defined authorized destinations - props: - - name: label - value: SC-7(11) - - name: sort-id - value: SC-07(11) - links: - - href: "#ac-3" - rel: related - parts: - - id: sc-7.11_smt - name: statement - prose: "Only allow incoming communications from {{ insert: param,\ - \ sc-7.11_prm_1 }} to be routed to {{ insert: param, sc-7.11_prm_2\ - \ }}." - - id: sc-7.11_gdn - name: guidance - prose: General source address validation techniques should be applied - to restrict the use of illegal and unallocated source addresses - and source addresses that should only be used inside the system - boundary. Restriction of incoming communications traffic provides - determinations that source and destination address pairs represent - authorized or allowed communications. Determinations can be based - on several factors, including the presence of such address pairs - in the lists of authorized or allowed communications; the absence - of such address pairs in lists of unauthorized or disallowed pairs; - or meeting more general rules for authorized or allowed source - and destination pairs. Strong authentication of network addresses - is not possible without the use of explicit security protocols - and thus, addresses can often be spoofed. Further, identity-based - incoming traffic restriction methods can be employed, including - router access control lists and firewall rules. - - id: sc-7.12 - class: SP800-53-enhancement - title: Host-based Protection - params: - - id: sc-7.12_prm_1 - label: organization-defined host-based boundary protection mechanisms - - id: sc-7.12_prm_2 - label: organization-defined system components - props: - - name: label - value: SC-7(12) - - name: sort-id - value: SC-07(12) - parts: - - id: sc-7.12_smt - name: statement - prose: "Implement {{ insert: param, sc-7.12_prm_1 }} at {{ insert:\ - \ param, sc-7.12_prm_2 }}." - - id: sc-7.12_gdn - name: guidance - prose: Host-based boundary protection mechanisms include host-based - firewalls. System components employing host-based boundary protection - mechanisms include servers, workstations, notebook computers, - and mobile devices. - - id: sc-7.13 - class: SP800-53-enhancement - title: Isolation of Security Tools, Mechanisms, and Support Components - params: - - id: sc-7.13_prm_1 - label: organization-defined information security tools, mechanisms, - and support components - props: - - name: label - value: SC-7(13) - - name: sort-id - value: SC-07(13) - links: - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sc-7.13_smt - name: statement - prose: "Isolate {{ insert: param, sc-7.13_prm_1 }} from other internal\ - \ system components by implementing physically separate subnetworks\ - \ with managed interfaces to other components of the system." - - id: sc-7.13_gdn - name: guidance - prose: Physically separate subnetworks with managed interfaces are - useful, for example, in isolating computer network defenses from - critical operational processing networks to prevent adversaries - from discovering the analysis and forensics techniques employed - by organizations. - - id: sc-7.14 - class: SP800-53-enhancement - title: Protect Against Unauthorized Physical Connections - params: - - id: sc-7.14_prm_1 - label: organization-defined managed interfaces - props: - - name: label - value: SC-7(14) - - name: sort-id - value: SC-07(14) - links: - - href: "#pe-4" - rel: related - - href: "#pe-19" - rel: related - parts: - - id: sc-7.14_smt - name: statement - prose: "Protect against unauthorized physical connections at {{\ - \ insert: param, sc-7.14_prm_1 }}." - - id: sc-7.14_gdn - name: guidance - prose: Systems operating at different security categories or classification - levels may share common physical and environmental controls, since - the systems may share space within the same facilities. In practice, - it is possible that these separate systems may share common equipment - rooms, wiring closets, and cable distribution paths. Protection - against unauthorized physical connections can be achieved, for - example, by using clearly identified and physically separated - cable trays, connection frames, and patch panels for each side - of managed interfaces with physical access controls enforcing - limited authorized access to these items. - - id: sc-7.15 - class: SP800-53-enhancement - title: Networked Privileged Accesses - props: - - name: label - value: SC-7(15) - - name: sort-id - value: SC-07(15) - links: - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-7.15_smt - name: statement - prose: Route networked, privileged accesses through a dedicated, - managed interface for purposes of access control and auditing. - - id: sc-7.15_gdn - name: guidance - prose: Privileged access provides greater accessibility to system - functions, including security functions. Adversaries typically - attempt to gain privileged access to systems through remote access - to cause adverse mission or business impact, for example, by exfiltrating - sensitive information or bringing down a critical system capability. - Routing networked, privileged access requests through a dedicated, - managed interface can facilitate strong access controls (including - strong authentication) and a comprehensive auditing capability. - - id: sc-7.16 - class: SP800-53-enhancement - title: Prevent Discovery of Components and Devices - props: - - name: label - value: SC-7(16) - - name: sort-id - value: SC-07(16) - parts: - - id: sc-7.16_smt - name: statement - prose: Prevent the discovery of specific system components that - represent a managed interface. - - id: sc-7.16_gdn - name: guidance - prose: This control enhancement protects network addresses of system - components that are part of managed interfaces from discovery - through common tools and techniques used to identify devices on - networks. Network addresses are not available for discovery, requiring - prior knowledge for access. Preventing discovery of components - and devices can be accomplished by not publishing network addresses, - using network address translation, or not entering the addresses - in domain name systems. Another prevention technique is to periodically - change network addresses. - - id: sc-7.17 - class: SP800-53-enhancement - title: Automated Enforcement of Protocol Formats - props: - - name: label - value: SC-7(17) - - name: sort-id - value: SC-07(17) - links: - - href: "#sc-4" - rel: related - parts: - - id: sc-7.17_smt - name: statement - prose: Enforce adherence to protocol formats. - - id: sc-7.17_gdn - name: guidance - prose: System components that enforce protocol formats include deep - packet inspection firewalls and XML gateways. The components verify - adherence to protocol formats and specifications at the application - layer and identify vulnerabilities that cannot be detected by - devices operating at the network or transport layers. - - id: sc-7.18 - class: SP800-53-enhancement - title: Fail Secure - props: - - name: label - value: SC-7(18) - - name: sort-id - value: SC-07(18) - links: - - href: "#cp-2" - rel: related - - href: "#cp-12" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: sc-7.18_smt - name: statement - prose: Prevent systems from entering unsecure states in the event - of an operational failure of a boundary protection device. - - id: sc-7.18_gdn - name: guidance - prose: Fail secure is a condition achieved by employing mechanisms - to ensure that in the event of operational failures of boundary - protection devices at managed interfaces, systems do not enter - into unsecure states where intended security properties no longer - hold. Managed interfaces include routers, firewalls, and application - gateways residing on protected subnetworks commonly referred to - as demilitarized zones. Failures of boundary protection devices - cannot lead to, or cause information external to the devices to - enter the devices, nor can failures permit unauthorized information - releases. - - id: sc-7.19 - class: SP800-53-enhancement - title: Block Communication from Non-organizationally Configured Hosts - params: - - id: sc-7.19_prm_1 - label: organization-defined communication clients - props: - - name: label - value: SC-7(19) - - name: sort-id - value: SC-07(19) - parts: - - id: sc-7.19_smt - name: statement - prose: "Block inbound and outbound communications traffic between\ - \ {{ insert: param, sc-7.19_prm_1 }} that are independently configured\ - \ by end users and external service providers." - - id: sc-7.19_gdn - name: guidance - prose: Communication clients independently configured by end users - and external service providers include instant messaging clients. - Traffic blocking does not apply to communication clients that - are configured by organizations to perform authorized functions. - - id: sc-7.20 - class: SP800-53-enhancement - title: Dynamic Isolation and Segregation - params: - - id: sc-7.20_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-7(20) - - name: sort-id - value: SC-07(20) - parts: - - id: sc-7.20_smt - name: statement - prose: "Provide the capability to dynamically isolate {{ insert:\ - \ param, sc-7.20_prm_1 }} from other system components." - - id: sc-7.20_gdn - name: guidance - prose: The capability to dynamically isolate certain internal system - components is useful when it is necessary to partition or separate - system components of questionable origin from those components - possessing greater trustworthiness. Component isolation reduces - the attack surface of organizational systems. Isolating selected - system components can also limit the damage from successful attacks - when such attacks occur. - - id: sc-7.21 - class: SP800-53-enhancement - title: Isolation of System Components - params: - - id: sc-7.21_prm_1 - label: organization-defined system components - - id: sc-7.21_prm_2 - label: organization-defined missions and/or business functions - props: - - name: label - value: SC-7(21) - - name: sort-id - value: SC-07(21) - links: - - href: "#ca-9" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: sc-7.21_smt - name: statement - prose: "Employ boundary protection mechanisms to isolate {{ insert:\ - \ param, sc-7.21_prm_1 }} supporting {{ insert: param, sc-7.21_prm_2\ - \ }}." - - id: sc-7.21_gdn - name: guidance - prose: Organizations can isolate system components performing different - missions or business functions. Such isolation limits unauthorized - information flows among system components and provides the opportunity - to deploy greater levels of protection for selected system components. - Isolating system components with boundary protection mechanisms - provides the capability for increased protection of individual - system components and to more effectively control information - flows between those components. Isolating system components provides - enhanced protection that limits the potential harm from hostile - cyber-attacks and errors. The degree of isolation varies depending - upon the mechanisms chosen. Boundary protection mechanisms include - routers, gateways, and firewalls separating system components - into physically separate networks or subnetworks; virtualization - techniques; cross-domain devices separating subnetworks; and encrypting - information flows among system components using distinct encryption - keys. - - id: sc-7.22 - class: SP800-53-enhancement - title: Separate Subnets for Connecting to Different Security Domains - props: - - name: label - value: SC-7(22) - - name: sort-id - value: SC-07(22) - parts: - - id: sc-7.22_smt - name: statement - prose: Implement separate network addresses to connect to systems - in different security domains. - - id: sc-7.22_gdn - name: guidance - prose: The decomposition of systems into subnetworks (i.e., subnets) - helps to provide the appropriate level of protection for network - connections to different security domains containing information - with different security categories or classification levels. - - id: sc-7.23 - class: SP800-53-enhancement - title: Disable Sender Feedback on Protocol Validation Failure - props: - - name: label - value: SC-7(23) - - name: sort-id - value: SC-07(23) - parts: - - id: sc-7.23_smt - name: statement - prose: Disable feedback to senders on protocol format validation - failure. - - id: sc-7.23_gdn - name: guidance - prose: Disabling feedback to senders when there is a failure in - protocol validation format prevents adversaries from obtaining - information that would otherwise be unavailable. - - id: sc-7.24 - class: SP800-53-enhancement - title: Personally Identifiable Information - params: - - id: sc-7.24_prm_1 - label: organization-defined processing rules - props: - - name: label - value: SC-7(24) - - name: sort-id - value: SC-07(24) - links: - - href: "#pt-2" - rel: related - - href: "#si-15" - rel: related - parts: - - id: sc-7.24_smt - name: statement - prose: "For systems that process personally identifiable information:" - parts: - - id: sc-7.24_smt.a - name: item - props: - - name: label - value: (a) - prose: "Apply the following processing rules to data elements\ - \ of personally identifiable information: {{ insert: param,\ - \ sc-7.24_prm_1 }};" - - id: sc-7.24_smt.b - name: item - props: - - name: label - value: (b) - prose: Monitor for permitted processing at the external interfaces - to the system and at key internal boundaries within the system; - - id: sc-7.24_smt.c - name: item - props: - - name: label - value: (c) - prose: Document each processing exception; and - - id: sc-7.24_smt.d - name: item - props: - - name: label - value: (d) - prose: Review and remove exceptions that are no longer supported. - - id: sc-7.24_gdn - name: guidance - prose: Managing the processing of personally identifiable information - is an important aspect of protecting an individual’s privacy. - Applying, monitoring for and documenting exceptions to processing - rules ensures that personally identifiable information is processed - only in accordance with established privacy requirements. - - id: sc-7.25 - class: SP800-53-enhancement - title: Unclassified National Security System Connections - params: - - id: sc-7.25_prm_1 - label: organization-defined unclassified, national security system - - id: sc-7.25_prm_2 - label: organization-defined boundary protection device - props: - - name: label - value: SC-7(25) - - name: sort-id - value: SC-07(25) - parts: - - id: sc-7.25_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-7.25_prm_1\ - \ }} to an external network without the use of {{ insert: param,\ - \ sc-7.25_prm_2 }}." - - id: sc-7.25_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices, including firewalls, gateways, and - routers mediate communications and information flows between unclassified - national security systems and external networks. - - id: sc-7.26 - class: SP800-53-enhancement - title: Classified National Security System Connections - params: - - id: sc-7.26_prm_1 - label: organization-defined boundary protection device - props: - - name: label - value: SC-7(26) - - name: sort-id - value: SC-07(26) - parts: - - id: sc-7.26_smt - name: statement - prose: "Prohibit the direct connection of a classified, national\ - \ security system to an external network without the use of {{\ - \ insert: param, sc-7.26_prm_1 }}." - - id: sc-7.26_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices, including firewalls, gateways, and - routers mediate communications and information flows between classified - national security systems and external networks. In addition, - approved boundary protection devices (typically managed interface - or cross-domain systems) provide information flow enforcement - from systems to external networks. - - id: sc-7.27 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - params: - - id: sc-7.27_prm_1 - label: organization-defined unclassified, non-national security - system - - id: sc-7.27_prm_2 - label: organization-defined boundary protection device - props: - - name: label - value: SC-7(27) - - name: sort-id - value: SC-07(27) - parts: - - id: sc-7.27_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-7.27_prm_1\ - \ }} to an external network without the use of {{ insert: param,\ - \ sc-7.27_prm_2 }}." - - id: sc-7.27_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. Organizations typically do not have - complete control over external networks, including the Internet. - Boundary protection devices, including firewalls, gateways, and - routers mediate communications and information flows between unclassified - non-national security systems and external networks. - - id: sc-7.28 - class: SP800-53-enhancement - title: Connections to Public Networks - params: - - id: sc-7.28_prm_1 - label: organization-defined system - props: - - name: label - value: SC-7(28) - - name: sort-id - value: SC-07(28) - parts: - - id: sc-7.28_smt - name: statement - prose: "Prohibit the direct connection of {{ insert: param, sc-7.28_prm_1\ - \ }} to a public network." - - id: sc-7.28_gdn - name: guidance - prose: A direct connection is a dedicated physical or virtual connection - between two or more systems. A public network is a network accessible - to the public, including the Internet and organizational extranets - with public access. - - id: sc-7.29 - class: SP800-53-enhancement - title: Separate Subnets to Isolate Functions - params: - - id: sc-7.29_prm_1 - select: - choice: - - physically - - logically - - id: sc-7.29_prm_2 - label: organization-defined critical system components and functions - props: - - name: label - value: SC-7(29) - - name: sort-id - value: SC-07(29) - parts: - - id: sc-7.29_smt - name: statement - prose: "Implement {{ insert: param, sc-7.29_prm_1 }} separate subnetworks\ - \ to isolate the following critical system components and functions:\ - \ {{ insert: param, sc-7.29_prm_2 }}." - - id: sc-7.29_gdn - name: guidance - prose: Separating critical system components and functions from - other noncritical system components and functions through separate - subnetworks may be necessary to reduce the susceptibility to a - catastrophic or debilitating breach or compromise resulting in - system failure. For example, physically separating the command - and control function from the entertainment function through separate - subnetworks in a commercial aircraft provides an increased level - of assurance in the trustworthiness of critical system functions. - - id: sc-8 - class: SP800-53 - title: Transmission Confidentiality and Integrity - params: - - id: sc-8_prm_1 - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - props: - - name: label - value: SC-8 - - name: sort-id - value: SC-08 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#bbc7085f-b383-444e-af74-722a55cccc0f" - rel: reference - - href: "#286604ec-e383-4c1d-bd8c-d88f88e54a0f" - rel: reference - - href: "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa" - rel: reference - - href: "#93d44344-59f9-4669-845d-6cc2a5852621" - rel: reference - - href: "#36132a58-56fd-4980-9f6c-c010d3faf52b" - rel: reference - - href: "#64e044e4-b2a9-490f-a079-1106407c812f" - rel: reference - - href: "#7e7538d7-9c3a-4e5f-bbb4-638cec975415" - rel: reference - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#au-10" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-8" - rel: related - - href: "#ia-9" - rel: related - - href: "#ma-4" - rel: related - - href: "#pe-4" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-16" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-28" - rel: related - parts: - - id: sc-8_smt - name: statement - prose: "Protect the {{ insert: param, sc-8_prm_1 }} of transmitted information." - - id: sc-8_gdn - name: guidance - prose: Protecting the confidentiality and integrity of transmitted information - applies to internal and external networks, and any system components - that can transmit information, including servers, notebook computers, - desktop computers, mobile devices, printers, copiers, scanners, facsimile - machines, and radios. Unprotected communication paths are exposed - to the possibility of interception and modification. Protecting the - confidentiality and integrity of information can be accomplished by - physical means or by logical means. Physical protection can be achieved - by using protected distribution systems. A protected distribution - system is a term for wireline or fiber-optics telecommunication system - that includes terminals and adequate acoustical, electrical, electromagnetic, - and physical controls to permit its use for the unencrypted transmission - of classified information. Logical protection can be achieved by employing - encryption techniques. Organizations relying on commercial providers - offering transmission services as commodity services rather than as - fully dedicated services, may find it difficult to obtain the necessary - assurances regarding the implementation of needed controls for transmission - confidentiality and integrity. In such situations, organizations determine - what types of confidentiality or integrity services are available - in standard, commercial telecommunication service packages. If it - is not feasible to obtain the necessary controls and assurances of - control effectiveness through appropriate contracting vehicles, organizations - can implement appropriate compensating controls. - controls: - - id: sc-8.1 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: sc-8.1_prm_1 - select: - how-many: one-or-more - choice: - - prevent unauthorized disclosure of information - - detect changes to information - props: - - name: label - value: SC-8(1) - - name: sort-id - value: SC-08(01) - links: - - href: "#sc-13" - rel: related - parts: - - id: sc-8.1_smt - name: statement - prose: "Implement cryptographic mechanisms to {{ insert: param,\ - \ sc-8.1_prm_1 }} during transmission." - - id: sc-8.1_gdn - name: guidance - prose: Encryption protects information from unauthorized disclosure - and modification during transmission. Cryptographic mechanisms - that protect the confidentiality and integrity of information - during transmission include TLS and IPSec. Cryptographic mechanisms - used to protect information integrity include cryptographic hash - functions that have application in digital signatures, checksums, - and message authentication codes. SC-13 is used to specify the - specific protocols, algorithms, and algorithm parameters to be - implemented on each transmission path. - - id: sc-8.2 - class: SP800-53-enhancement - title: Pre- and Post-transmission Handling - params: - - id: sc-8.2_prm_1 - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - props: - - name: label - value: SC-8(2) - - name: sort-id - value: SC-08(02) - parts: - - id: sc-8.2_smt - name: statement - prose: "Maintain the {{ insert: param, sc-8.2_prm_1 }} of information\ - \ during preparation for transmission and during reception." - - id: sc-8.2_gdn - name: guidance - prose: Information can be either unintentionally or maliciously - disclosed or modified during preparation for transmission or during - reception, including during aggregation, at protocol transformation - points, and during packing and unpacking. Such unauthorized disclosures - or modifications compromise the confidentiality or integrity of - the information. - - id: sc-8.3 - class: SP800-53-enhancement - title: Cryptographic Protection for Message Externals - params: - - id: sc-8.3_prm_1 - label: organization-defined alternative physical controls - props: - - name: label - value: SC-8(3) - - name: sort-id - value: SC-08(03) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-8.3_smt - name: statement - prose: "Implement cryptographic mechanisms to protect message externals\ - \ unless otherwise protected by {{ insert: param, sc-8.3_prm_1\ - \ }}." - - id: sc-8.3_gdn - name: guidance - prose: Cryptographic protection for message externals addresses - protection from unauthorized disclosure of information. Message - externals include message headers and routing information. Cryptographic - protection prevents the exploitation of message externals and - applies to internal and external networks or links that may be - visible to individuals who are not authorized users. Header and - routing information is sometimes transmitted in clear text (i.e., - unencrypted) because the information is not identified by organizations - as having significant value or because encrypting the information - can result in lower network performance or higher costs. Alternative - physical controls include protected distribution systems. - - id: sc-8.4 - class: SP800-53-enhancement - title: Conceal or Randomize Communications - params: - - id: sc-8.4_prm_1 - label: organization-defined alternative physical controls - props: - - name: label - value: SC-8(4) - - name: sort-id - value: SC-08(04) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-8.4_smt - name: statement - prose: "Implement cryptographic mechanisms to conceal or randomize\ - \ communication patterns unless otherwise protected by {{ insert:\ - \ param, sc-8.4_prm_1 }}." - - id: sc-8.4_gdn - name: guidance - prose: Concealing or randomizing communication patterns addresses - protection from unauthorized disclosure of information. Communication - patterns include frequency, periods, predictability, and amount. - Changes to communications patterns can reveal information having - intelligence value especially when combined with other available - information related to the missions and business functions of - the organization. This control enhancement prevents the derivation - of intelligence based on communications patterns and applies to - both internal and external networks or links that may be visible - to individuals who are not authorized users. Encrypting the links - and transmitting in continuous, fixed or random patterns prevents - the derivation of intelligence from the system communications - patterns. Alternative physical controls include protected distribution - systems. - - id: sc-8.5 - class: SP800-53-enhancement - title: Protected Distribution System - params: - - id: sc-8.5_prm_1 - label: organization-defined protected distribution system - - id: sc-8.5_prm_2 - select: - how-many: one-or-more - choice: - - prevent unauthorized disclosure of information - - detect changes to information - props: - - name: label - value: SC-8(5) - - name: sort-id - value: SC-08(05) - parts: - - id: sc-8.5_smt - name: statement - prose: "Implement {{ insert: param, sc-8.5_prm_1 }} to {{ insert:\ - \ param, sc-8.5_prm_2 }} during transmission." - - id: sc-8.5_gdn - name: guidance - prose: The purpose of a protected distribution system is to deter, - detect and/or make difficult physical access to the communication - lines carrying national security information. - - id: sc-9 - class: SP800-53 - title: Transmission Confidentiality - props: - - name: label - value: SC-9 - - name: status - value: Withdrawn - - name: sort-id - value: SC-09 - links: - - href: "#sc-8" - rel: incorporated-into - - id: sc-10 - class: SP800-53 - title: Network Disconnect - params: - - id: sc-10_prm_1 - label: organization-defined time-period - props: - - name: label - value: SC-10 - - name: sort-id - value: SC-10 - links: - - href: "#ac-17" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: sc-10_smt - name: statement - prose: "Terminate the network connection associated with a communications\ - \ session at the end of the session or after {{ insert: param, sc-10_prm_1\ - \ }} of inactivity." - - id: sc-10_gdn - name: guidance - prose: Network disconnect applies to internal and external networks. - Terminating network connections associated with specific communications - sessions includes de-allocating TCP/IP address or port pairs at the - operating system level and de-allocating the networking assignments - at the application level if multiple application sessions are using - a single operating system-level network connection. Periods of inactivity - may be established by organizations and include time-periods by type - of network access or for specific network accesses. - - id: sc-11 - class: SP800-53 - title: Trusted Path - params: - - id: sc-11_prm_1 - select: - choice: - - physically - - logically - - id: sc-11_prm_2 - label: organization-defined security functions - props: - - name: label - value: SC-11 - - name: sort-id - value: SC-11 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ac-16" - rel: related - - href: "#ac-25" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: sc-11_smt - name: statement - parts: - - id: sc-11_smt.a - name: item - props: - - name: label - value: a. - prose: "Provide a {{ insert: param, sc-11_prm_1 }} isolated trusted\ - \ communications path for communications between the user and\ - \ the trusted components of the system; and" - - id: sc-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Permit users to invoke the trusted communications path for\ - \ communications between the user and the following security functions\ - \ of the system, including at a minimum, authentication and re-authentication:\ - \ {{ insert: param, sc-11_prm_2 }}." - - id: sc-11_gdn - name: guidance - prose: Trusted paths are mechanisms by which users (through input devices) - can communicate directly with security functions of systems with the - requisite assurance to support security policies. These mechanisms - can be activated only by users or the security functions of organizational - systems. User responses via trusted paths are protected from modifications - by or disclosure to untrusted applications. Organizations employ trusted - paths for trustworthy, high-assurance connections between security - functions of systems and users, including during system logons. The - original implementations of trusted path employed an out-of-band signal - to initiate the path, for example using the key, which does - not transmit characters that can be spoofed. In later implementations, - a key combination that could not be hijacked was used, for example, - the + + keys. Note, however, that any such key - combinations are platform-specific and may not provide a trusted path - implementation in every case. Enforcement of trusted communications - paths is typically provided by a specific implementation that meets - the reference monitor concept. - controls: - - id: sc-11.1 - class: SP800-53-enhancement - title: Irrefutable Communications Path - params: - - id: sc-11.1_prm_1 - label: organization-defined security functions - props: - - name: label - value: SC-11(1) - - name: sort-id - value: SC-11(01) - parts: - - id: sc-11.1_smt - name: statement - parts: - - id: sc-11.1_smt.a - name: item - props: - - name: label - value: (a) - prose: Provide a trusted communications path that is irrefutably - distinguishable from other communications paths; and - - id: sc-11.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Initiate the trusted communications path for communications\ - \ between the {{ insert: param, sc-11.1_prm_1 }} of the system\ - \ and the user." - - id: sc-11.1_gdn - name: guidance - prose: An irrefutable communications path permits the system to - initiate a trusted path which necessitates that the user can unmistakably - recognize the source of the communication as a trusted system - component. For example, the trusted path may appear in an area - of the display that other applications cannot access or be based - on the presence of an identifier that cannot be spoofed. - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - params: - - id: sc-12_prm_1 - label: organization-defined requirements for key generation, distribution, - storage, access, and destruction - props: - - name: label - value: SC-12 - - name: sort-id - value: SC-12 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#77dc1838-3664-4faa-bc6e-4e2a16e52f35" - rel: reference - - href: "#f417e4ec-cadb-47a8-a363-6006b32c28ad" - rel: reference - - href: "#7c3ba335-62bd-4f03-888f-960790409b11" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#f437b52f-7f26-42aa-8e8f-999e7d67b2fe" - rel: reference - - href: "#30213e10-2aca-47b3-8cdb-61303e0959f5" - rel: reference - - href: "#ac-17" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#cm-3" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-7" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-11" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-17" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-37" - rel: related - - href: "#sc-40" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-12_smt - name: statement - prose: "Establish and manage cryptographic keys when cryptography is\ - \ employed within the system in accordance with the following key\ - \ management requirements: {{ insert: param, sc-12_prm_1 }}." - - id: sc-12_gdn - name: guidance - prose: Cryptographic key management and establishment can be performed - using manual procedures or automated mechanisms with supporting manual - procedures. Organizations define key management requirements in accordance - with applicable laws, executive orders, directives, regulations, policies, - standards, and guidelines, specifying appropriate options, parameters, - and levels. Organizations manage trust stores to ensure that only - approved trust anchors are part of such trust stores. This includes - certificates with visibility external to organizational systems and - certificates related to the internal operations of systems. [NIST - CMVP] and [NIST CAVP] provide additional information on validated - cryptographic modules and algorithms that can be used in cryptographic - key management and establishment. - controls: - - id: sc-12.1 - class: SP800-53-enhancement - title: Availability - props: - - name: label - value: SC-12(1) - - name: sort-id - value: SC-12(01) - parts: - - id: sc-12.1_smt - name: statement - prose: Maintain availability of information in the event of the - loss of cryptographic keys by users. - - id: sc-12.1_gdn - name: guidance - prose: Escrowing of encryption keys is a common practice for ensuring - availability in the event of loss of keys. A forgotten passphrase - is an example of losing a cryptographic key. - - id: sc-12.2 - class: SP800-53-enhancement - title: Symmetric Keys - params: - - id: sc-12.2_prm_1 - select: - choice: - - NIST FIPS-validated - - NSA-approved - props: - - name: label - value: SC-12(2) - - name: sort-id - value: SC-12(02) - parts: - - id: sc-12.2_smt - name: statement - prose: "Produce, control, and distribute symmetric cryptographic\ - \ keys using {{ insert: param, sc-12.2_prm_1 }} key management\ - \ technology and processes." - - id: sc-12.2_gdn - name: guidance - prose: "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance\ - \ on cryptographic key establishment schemes and key derivation\ - \ methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide\ - \ guidance on cryptographic key management." - - id: sc-12.3 - class: SP800-53-enhancement - title: Asymmetric Keys - params: - - id: sc-12.3_prm_1 - select: - choice: - - NSA-approved key management technology and processes - - prepositioned keying material - - DoD-approved or DoD-issued Medium Assurance PKI certificates - - DoD-approved or DoD-issued Medium Hardware Assurance PKI certificates - and hardware security tokens that protect the user’s private - key - - certificates issued in accordance with organization-defined - requirements - props: - - name: label - value: SC-12(3) - - name: sort-id - value: SC-12(03) - parts: - - id: sc-12.3_smt - name: statement - prose: "Produce, control, and distribute asymmetric cryptographic\ - \ keys using {{ insert: param, sc-12.3_prm_1 }}." - - id: sc-12.3_gdn - name: guidance - prose: "[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance\ - \ on cryptographic key establishment schemes and key derivation\ - \ methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide\ - \ guidance on cryptographic key management." - - id: sc-12.4 - class: SP800-53-enhancement - title: PKI Certificates - props: - - name: label - value: SC-12(4) - - name: status - value: Withdrawn - - name: sort-id - value: SC-12(04) - links: - - href: "#sc-12.3" - rel: incorporated-into - - id: sc-12.5 - class: SP800-53-enhancement - title: PKI Certificates / Hardware Tokens - props: - - name: label - value: SC-12(5) - - name: status - value: Withdrawn - - name: sort-id - value: SC-12(05) - links: - - href: "#sc-12.3" - rel: incorporated-into - - id: sc-12.6 - class: SP800-53-enhancement - title: Physical Control of Keys - props: - - name: label - value: SC-12(6) - - name: sort-id - value: SC-12(06) - parts: - - id: sc-12.6_smt - name: statement - prose: Maintain physical control of cryptographic keys when stored - information is encrypted by external service providers. - - id: sc-12.6_gdn - name: guidance - prose: For organizations using external service providers, for example, - cloud service providers or data center providers, physical control - of cryptographic keys provides additional assurance that information - stored by such external providers is not subject to unauthorized - disclosure or modification. - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - params: - - id: sc-13_prm_1 - label: organization-defined cryptographic uses - - id: sc-13_prm_2 - label: organization-defined types of cryptography for each specified - cryptographic use - props: - - name: label - value: SC-13 - - name: sort-id - value: SC-13 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-7" - rel: related - - href: "#ac-17" - rel: related - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#au-9" - rel: related - - href: "#au-10" - rel: related - - href: "#cm-11" - rel: related - - href: "#cp-9" - rel: related - - href: "#ia-3" - rel: related - - href: "#ia-7" - rel: related - - href: "#ma-4" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-40" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-13_smt - name: statement - parts: - - id: sc-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine the {{ insert: param, sc-13_prm_1 }}; and" - - id: sc-13_smt.b - name: item - props: - - name: label - value: b. - prose: "Implement the following types of cryptography required for\ - \ each specified cryptographic use: {{ insert: param, sc-13_prm_2\ - \ }}." - - id: sc-13_gdn - name: guidance - prose: Cryptography can be employed to support a variety of security - solutions including, the protection of classified information and - controlled unclassified information; the provision and implementation - of digital signatures; and the enforcement of information separation - when authorized individuals have the necessary clearances but lack - the necessary formal access approvals. Cryptography can also be used - to support random number and hash generation. Generally applicable - cryptographic standards include FIPS-validated cryptography and NSA-approved - cryptography. For example, organizations that need to protect classified - information may specify the use of NSA-approved cryptography. Organizations - that need to provision and implement digital signatures may specify - the use of FIPS-validated cryptography. Cryptography is implemented - in accordance with applicable laws, executive orders, directives, - regulations, policies, standards, and guidelines. - controls: - - id: sc-13.1 - class: SP800-53-enhancement - title: Fips-validated Cryptography - props: - - name: label - value: SC-13(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-13(01) - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.2 - class: SP800-53-enhancement - title: Nsa-approved Cryptography - props: - - name: label - value: SC-13(2) - - name: status - value: Withdrawn - - name: sort-id - value: SC-13(02) - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.3 - class: SP800-53-enhancement - title: Individuals Without Formal Access Approvals - props: - - name: label - value: SC-13(3) - - name: status - value: Withdrawn - - name: sort-id - value: SC-13(03) - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-13.4 - class: SP800-53-enhancement - title: Digital Signatures - props: - - name: label - value: SC-13(4) - - name: status - value: Withdrawn - - name: sort-id - value: SC-13(04) - links: - - href: "#sc-13" - rel: incorporated-into - - id: sc-14 - class: SP800-53 - title: Public Access Protections - props: - - name: label - value: SC-14 - - name: status - value: Withdrawn - - name: sort-id - value: SC-14 - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#ac-3" - rel: incorporated-into - - href: "#ac-5" - rel: incorporated-into - - href: "#ac-6" - rel: incorporated-into - - href: "#si-3" - rel: incorporated-into - - href: "#si-4" - rel: incorporated-into - - href: "#si-5" - rel: incorporated-into - - href: "#si-7" - rel: incorporated-into - - href: "#si-10" - rel: incorporated-into - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices and Applications - params: - - id: sc-15_prm_1 - label: organization-defined exceptions where remote activation is to - be allowed - props: - - name: label - value: SC-15 - - name: sort-id - value: SC-15 - links: - - href: "#ac-21" - rel: related - - href: "#sc-42" - rel: related - parts: - - id: sc-15_smt - name: statement - parts: - - id: sc-15_smt.a - name: item - props: - - name: label - value: a. - prose: "Prohibit remote activation of collaborative computing devices\ - \ and applications with the following exceptions: {{ insert: param,\ - \ sc-15_prm_1 }}; and" - - id: sc-15_smt.b - name: item - props: - - name: label - value: b. - prose: Provide an explicit indication of use to users physically - present at the devices. - - id: sc-15_gdn - name: guidance - prose: Collaborative computing devices and applications include remote - meeting devices and applications, networked white boards, cameras, - and microphones. Explicit indication of use includes signals to users - when collaborative computing devices and applications are activated. - controls: - - id: sc-15.1 - class: SP800-53-enhancement - title: Physical or Logical Disconnect - params: - - id: sc-15.1_prm_1 - select: - how-many: one-or-more - choice: - - physical - - logical - props: - - name: label - value: SC-15(1) - - name: sort-id - value: SC-15(01) - parts: - - id: sc-15.1_smt - name: statement - prose: "Provide {{ insert: param, sc-15.1_prm_1 }} disconnect of\ - \ collaborative computing devices in a manner that supports ease\ - \ of use." - - id: sc-15.1_gdn - name: guidance - prose: Failing to disconnect from collaborative computing devices - can result in subsequent compromises of organizational information. - Providing easy methods to disconnect from such devices after a - collaborative computing session ensures that participants carry - out the disconnect activity without having to go through complex - and tedious procedures. - - id: sc-15.2 - class: SP800-53-enhancement - title: Blocking Inbound and Outbound Communications Traffic - props: - - name: label - value: SC-15(2) - - name: status - value: Withdrawn - - name: sort-id - value: SC-15(02) - links: - - href: "#sc-7" - rel: incorporated-into - - id: sc-15.3 - class: SP800-53-enhancement - title: Disabling and Removal in Secure Work Areas - params: - - id: sc-15.3_prm_1 - label: organization-defined systems or system components - - id: sc-15.3_prm_2 - label: organization-defined secure work areas - props: - - name: label - value: SC-15(3) - - name: sort-id - value: SC-15(03) - parts: - - id: sc-15.3_smt - name: statement - prose: "Disable or remove collaborative computing devices and applications\ - \ from {{ insert: param, sc-15.3_prm_1 }} in {{ insert: param,\ - \ sc-15.3_prm_2 }}." - - id: sc-15.3_gdn - name: guidance - prose: Failing to disable or remove collaborative computing devices - and applications from systems or system components can result - in compromises of information, including eavesdropping on conversations. - A secure work area includes a sensitive compartmented information - facility (SCIF). - - id: sc-15.4 - class: SP800-53-enhancement - title: Explicitly Indicate Current Participants - params: - - id: sc-15.4_prm_1 - label: organization-defined online meetings and teleconferences - props: - - name: label - value: SC-15(4) - - name: sort-id - value: SC-15(04) - parts: - - id: sc-15.4_smt - name: statement - prose: "Provide an explicit indication of current participants in\ - \ {{ insert: param, sc-15.4_prm_1 }}." - - id: sc-15.4_gdn - name: guidance - prose: Explicitly indicating current participants prevents unauthorized - individuals from participating in collaborative computing sessions - without the explicit knowledge of other participants. - - id: sc-16 - class: SP800-53 - title: Transmission of Security and Privacy Attributes - params: - - id: sc-16_prm_1 - label: organization-defined security and privacy attributes - props: - - name: label - value: SC-16 - - name: sort-id - value: SC-16 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-16" - rel: related - parts: - - id: sc-16_smt - name: statement - prose: "Associate {{ insert: param, sc-16_prm_1 }} with information\ - \ exchanged between systems and between system components." - - id: sc-16_gdn - name: guidance - prose: Security and privacy attributes can be explicitly or implicitly - associated with the information contained in organizational systems - or system components. Attributes are an abstraction representing the - basic properties or characteristics of an entity with respect to protecting - information or the management of personally identifiable information. - Attributes are typically associated with internal data structures, - including records, buffers, and files within the system. Security - and privacy attributes are used to implement access control and information - flow control policies; reflect special dissemination, management, - or distribution instructions, including permitted uses of personally - identifiable information; or support other aspects of the information - security and privacy policies. Privacy attributes may be used independently, - or in conjunction with security attributes. - controls: - - id: sc-16.1 - class: SP800-53-enhancement - title: Integrity Verification - props: - - name: label - value: SC-16(1) - - name: sort-id - value: SC-16(01) - links: - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - parts: - - id: sc-16.1_smt - name: statement - prose: Verify the integrity of transmitted security and privacy - attributes. - - id: sc-16.1_gdn - name: guidance - prose: A part of verifying the integrity of transmitted information - is ensuring that security and privacy attributes that are associated - with such information, have not been modified in an unauthorized - manner. Unauthorized modification of security or privacy attributes - can result in a loss of integrity for transmitted information. - - id: sc-16.2 - class: SP800-53-enhancement - title: Anti-spoofing Mechanisms - props: - - name: label - value: SC-16(2) - - name: sort-id - value: SC-16(02) - links: - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-16.2_smt - name: statement - prose: Implement anti-spoofing mechanisms to prevent adversaries - from falsifying the security attributes indicating the successful - application of the security process. - - id: sc-16.2_gdn - name: guidance - prose: Some attack vectors operate by altering the security attributes - of an information system to intentionally and maliciously implement - an insufficient level of security within the system. The alteration - of attributes leads organizations to believe that a greater number - of security functions are in place and operational than have actually - been implemented. - - id: sc-17 - class: SP800-53 - title: Public Key Infrastructure Certificates - params: - - id: sc-17_prm_1 - label: organization-defined certificate policy - props: - - name: label - value: SC-17 - - name: sort-id - value: SC-17 - links: - - href: "#b7140427-d4c4-467a-97a1-5ca9f7c6584a" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#549993c0-9bdd-4d49-875c-f56950cc5f30" - rel: reference - - href: "#au-10" - rel: related - - href: "#ia-5" - rel: related - - href: "#sc-12" - rel: related - parts: - - id: sc-17_smt - name: statement - parts: - - id: sc-17_smt.a - name: item - props: - - name: label - value: a. - prose: "Issue public key certificates under an {{ insert: param,\ - \ sc-17_prm_1 }} or obtain public key certificates from an approved\ - \ service provider; and" - - id: sc-17_smt.b - name: item - props: - - name: label - value: b. - prose: Include only approved trust anchors in trust stores or certificate - stores managed by the organization. - - id: sc-17_gdn - name: guidance - prose: This control addresses certificates with visibility external - to organizational systems and certificates related to internal operations - of systems, for example, application-specific time services. In cryptographic - systems with a hierarchical structure, a trust anchor is an authoritative - source (i.e., a certificate authority) for which trust is assumed - and not derived. A root certificate for a PKI system is an example - of a trust anchor. A trust store or certificate store maintains a - list of trusted root certificates. - - id: sc-18 - class: SP800-53 - title: Mobile Code - props: - - name: label - value: SC-18 - - name: sort-id - value: SC-18 - links: - - href: "#8e334d74-fc06-47a9-bbb1-804fdfae0e44" - rel: reference - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - - href: "#cm-2" - rel: related - - href: "#cm-6" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-18_smt - name: statement - parts: - - id: sc-18_smt.a - name: item - props: - - name: label - value: a. - prose: Define acceptable and unacceptable mobile code and mobile - code technologies; and - - id: sc-18_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize, monitor, and control the use of mobile code within - the system. - - id: sc-18_gdn - name: guidance - prose: Mobile code includes any program, application, or content that - can be transmitted across a network (e.g., embedded in an email, document, - or website) and executed on a remote system. Decisions regarding the - use of mobile code within organizational systems are based on the - potential for the code to cause damage to the systems if used maliciously. - Mobile code technologies include Java, JavaScript, Flash animations, - and VBScript. Usage restrictions and implementation guidelines apply - to both the selection and use of mobile code installed on servers - and mobile code downloaded and executed on individual workstations - and devices, including notebook computers and smart phones. Mobile - code policy and procedures address specific actions taken to prevent - the development, acquisition, and introduction of unacceptable mobile - code within organizational systems, including requiring mobile code - to be digitally signed by a trusted source. - controls: - - id: sc-18.1 - class: SP800-53-enhancement - title: Identify Unacceptable Code and Take Corrective Actions - params: - - id: sc-18.1_prm_1 - label: organization-defined unacceptable mobile code - - id: sc-18.1_prm_2 - label: organization-defined corrective actions - props: - - name: label - value: SC-18(1) - - name: sort-id - value: SC-18(01) - parts: - - id: sc-18.1_smt - name: statement - prose: "Identify {{ insert: param, sc-18.1_prm_1 }} and take {{\ - \ insert: param, sc-18.1_prm_2 }}." - - id: sc-18.1_gdn - name: guidance - prose: Corrective actions when unacceptable mobile code is detected - include blocking, quarantine, or alerting administrators. Blocking - includes preventing transmission of word processing files with - embedded macros when such macros have been determined to be unacceptable - mobile code. - - id: sc-18.2 - class: SP800-53-enhancement - title: Acquisition, Development, and Use - params: - - id: sc-18.2_prm_1 - label: organization-defined mobile code requirements - props: - - name: label - value: SC-18(2) - - name: sort-id - value: SC-18(02) - parts: - - id: sc-18.2_smt - name: statement - prose: "Verify that the acquisition, development, and use of mobile\ - \ code to be deployed in the system meets {{ insert: param, sc-18.2_prm_1\ - \ }}." - - id: sc-18.2_gdn - name: guidance - prose: None. - - id: sc-18.3 - class: SP800-53-enhancement - title: Prevent Downloading and Execution - params: - - id: sc-18.3_prm_1 - label: organization-defined unacceptable mobile code - props: - - name: label - value: SC-18(3) - - name: sort-id - value: SC-18(03) - parts: - - id: sc-18.3_smt - name: statement - prose: "Prevent the download and execution of {{ insert: param,\ - \ sc-18.3_prm_1 }}." - - id: sc-18.3_gdn - name: guidance - prose: None. - - id: sc-18.4 - class: SP800-53-enhancement - title: Prevent Automatic Execution - params: - - id: sc-18.4_prm_1 - label: organization-defined software applications - - id: sc-18.4_prm_2 - label: organization-defined actions - props: - - name: label - value: SC-18(4) - - name: sort-id - value: SC-18(04) - parts: - - id: sc-18.4_smt - name: statement - prose: "Prevent the automatic execution of mobile code in {{ insert:\ - \ param, sc-18.4_prm_1 }} and enforce {{ insert: param, sc-18.4_prm_2\ - \ }} prior to executing the code." - - id: sc-18.4_gdn - name: guidance - prose: Actions enforced before executing mobile code include prompting - users prior to opening email attachments or clicking on web links. - Preventing automatic execution of mobile code includes disabling - auto execute features on system components employing portable - storage devices such as Compact Disks (CDs), Digital Versatile - Disks (DVDs), and Universal Serial Bus (USB) devices. - - id: sc-18.5 - class: SP800-53-enhancement - title: Allow Execution Only in Confined Environments - props: - - name: label - value: SC-18(5) - - name: sort-id - value: SC-18(05) - links: - - href: "#sc-44" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-18.5_smt - name: statement - prose: Allow execution of permitted mobile code only in confined - virtual machine environments. - - id: sc-18.5_gdn - name: guidance - prose: Permitting execution of mobile code only in confined virtual - machine environments helps prevent the introduction of malicious - code into other systems and system components. - - id: sc-19 - class: SP800-53 - title: Voice Over Internet Protocol - props: - - name: label - value: SC-19 - - name: status - value: Withdrawn - - name: sort-id - value: SC-19 - parts: - - id: sc-19_smt - name: statement - prose: "*Technology-specific; addressed by other controls for protocols.* " - - id: sc-20 - class: SP800-53 - title: Secure Name/address Resolution Service (authoritative Source) - props: - - name: label - value: SC-20 - - name: sort-id - value: SC-20 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#93d44344-59f9-4669-845d-6cc2a5852621" - rel: reference - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-21" - rel: related - - href: "#sc-22" - rel: related - parts: - - id: sc-20_smt - name: statement - parts: - - id: sc-20_smt.a - name: item - props: - - name: label - value: a. - prose: Provide additional data origin authentication and integrity - verification artifacts along with the authoritative name resolution - data the system returns in response to external name/address resolution - queries; and - - id: sc-20_smt.b - name: item - props: - - name: label - value: b. - prose: Provide the means to indicate the security status of child - zones and (if the child supports secure resolution services) to - enable verification of a chain of trust among parent and child - domains, when operating as part of a distributed, hierarchical - namespace. - - id: sc-20_gdn - name: guidance - prose: This control enables external clients, including remote Internet - clients, to obtain origin authentication and integrity verification - assurances for the host/service name to network address resolution - information obtained through the service. Systems that provide name - and address resolution services include domain name system (DNS) servers. - Additional artifacts include DNS Security (DNSSEC) digital signatures - and cryptographic keys. Authoritative data include DNS resource records. - The means to indicate the security status of child zones include the - use of delegation signer resource records in the DNS. Systems that - use technologies other than the DNS to map between host and service - names and network addresses provide other means to assure the authenticity - and integrity of response data. - controls: - - id: sc-20.1 - class: SP800-53-enhancement - title: Child Subspaces - props: - - name: label - value: SC-20(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-20(01) - links: - - href: "#sc-20" - rel: incorporated-into - - id: sc-20.2 - class: SP800-53-enhancement - title: Data Origin and Integrity - props: - - name: label - value: SC-20(2) - - name: sort-id - value: SC-20(02) - parts: - - id: sc-20.2_smt - name: statement - prose: Provide data origin and integrity protection artifacts for - internal name/address resolution queries. - - id: sc-20.2_gdn - name: guidance - prose: None. - - id: sc-21 - class: SP800-53 - title: Secure Name/address Resolution Service (recursive or Caching Resolver) - props: - - name: label - value: SC-21 - - name: sort-id - value: SC-21 - links: - - href: "#93d44344-59f9-4669-845d-6cc2a5852621" - rel: reference - - href: "#sc-20" - rel: related - - href: "#sc-22" - rel: related - parts: - - id: sc-21_smt - name: statement - prose: Request and perform data origin authentication and data integrity - verification on the name/address resolution responses the system receives - from authoritative sources. - - id: sc-21_gdn - name: guidance - prose: Each client of name resolution services either performs this - validation on its own, or has authenticated channels to trusted validation - providers. Systems that provide name and address resolution services - for local clients include recursive resolving or caching domain name - system (DNS) servers. DNS client resolvers either perform validation - of DNSSEC signatures, or clients use authenticated channels to recursive - resolvers that perform such validations. Systems that use technologies - other than the DNS to map between host/service names and network addresses - provide some other means to enable clients to verify the authenticity - and integrity of response data. - controls: - - id: sc-21.1 - class: SP800-53-enhancement - title: Data Origin and Integrity - props: - - name: label - value: SC-21(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-21(01) - links: - - href: "#sc-21" - rel: incorporated-into - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name/address Resolution Service - props: - - name: label - value: SC-22 - - name: sort-id - value: SC-22 - links: - - href: "#93d44344-59f9-4669-845d-6cc2a5852621" - rel: reference - - href: "#sc-2" - rel: related - - href: "#sc-20" - rel: related - - href: "#sc-21" - rel: related - - href: "#sc-24" - rel: related - parts: - - id: sc-22_smt - name: statement - prose: Ensure the systems that collectively provide name/address resolution - service for an organization are fault-tolerant and implement internal - and external role separation. - - id: sc-22_gdn - name: guidance - prose: Systems that provide name and address resolution services include - domain name system (DNS) servers. To eliminate single points of failure - in systems and enhance redundancy, organizations employ at least two - authoritative domain name system servers; one configured as the primary - server and the other configured as the secondary server. Additionally, - organizations typically deploy the servers in two geographically separated - network subnetworks (i.e., not located in the same physical facility). - For role separation, DNS servers with internal roles only process - name and address resolution requests from within organizations (i.e., - from internal clients). DNS servers with external roles only process - name and address resolution information requests from clients external - to organizations (i.e., on external networks including the Internet). - Organizations specify clients that can access authoritative DNS servers - in certain roles, for example, by address ranges and explicit lists. - - id: sc-23 - class: SP800-53 - title: Session Authenticity - props: - - name: label - value: SC-23 - - name: sort-id - value: SC-23 - links: - - href: "#286604ec-e383-4c1d-bd8c-d88f88e54a0f" - rel: reference - - href: "#8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa" - rel: reference - - href: "#1d91d984-0cb6-4f96-a01d-c39a3eee7d43" - rel: reference - - href: "#36132a58-56fd-4980-9f6c-c010d3faf52b" - rel: reference - - href: "#au-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-10" - rel: related - - href: "#sc-11" - rel: related - parts: - - id: sc-23_smt - name: statement - prose: Protect the authenticity of communications sessions. - - id: sc-23_gdn - name: guidance - prose: Protecting session authenticity addresses communications protection - at the session, level; not at the packet level. Such protection establishes - grounds for confidence at both ends of communications sessions in - the ongoing identities of other parties and the validity of information - transmitted. Authenticity protection includes protecting against man-in-the-middle - attacks and session hijacking, and the insertion of false information - into sessions. - controls: - - id: sc-23.1 - class: SP800-53-enhancement - title: Invalidate Session Identifiers at Logout - props: - - name: label - value: SC-23(1) - - name: sort-id - value: SC-23(01) - parts: - - id: sc-23.1_smt - name: statement - prose: Invalidate session identifiers upon user logout or other - session termination. - - id: sc-23.1_gdn - name: guidance - prose: Invalidating session identifiers at logout curtails the ability - of adversaries from capturing and continuing to employ previously - valid session IDs. - - id: sc-23.2 - class: SP800-53-enhancement - title: User-initiated Logouts and Message Displays - props: - - name: label - value: SC-23(2) - - name: status - value: Withdrawn - - name: sort-id - value: SC-23(02) - links: - - href: "#ac-12.1" - rel: incorporated-into - - id: sc-23.3 - class: SP800-53-enhancement - title: Unique System-generated Session Identifiers - params: - - id: sc-23.3_prm_1 - label: organization-defined randomness requirements - props: - - name: label - value: SC-23(3) - - name: sort-id - value: SC-23(03) - links: - - href: "#ac-10" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-23.3_smt - name: statement - prose: "Generate a unique session identifier for each session with\ - \ {{ insert: param, sc-23.3_prm_1 }} and recognize only session\ - \ identifiers that are system-generated." - - id: sc-23.3_gdn - name: guidance - prose: Generating unique session identifiers curtails the ability - of adversaries from reusing previously valid session IDs. Employing - the concept of randomness in the generation of unique session - identifiers protects against brute-force attacks to determine - future session identifiers. - - id: sc-23.4 - class: SP800-53-enhancement - title: Unique Session Identifiers with Randomization - props: - - name: label - value: SC-23(4) - - name: status - value: Withdrawn - - name: sort-id - value: SC-23(04) - links: - - href: "#sc-23.3" - rel: incorporated-into - - id: sc-23.5 - class: SP800-53-enhancement - title: Allowed Certificate Authorities - params: - - id: sc-23.5_prm_1 - label: organization-defined certificate authorities - props: - - name: label - value: SC-23(5) - - name: sort-id - value: SC-23(05) - links: - - href: "#sc-13" - rel: related - parts: - - id: sc-23.5_smt - name: statement - prose: "Only allow the use of {{ insert: param, sc-23.5_prm_1 }}\ - \ for verification of the establishment of protected sessions." - - id: sc-23.5_gdn - name: guidance - prose: Reliance on certificate authorities for the establishment - of secure sessions includes the use of Transport Layer Security - (TLS) certificates. These certificates, after verification by - their respective certificate authorities, facilitate the establishment - of protected sessions between web clients and web servers. - - id: sc-24 - class: SP800-53 - title: Fail in Known State - params: - - id: sc-24_prm_1 - label: organization-defined known system state - - id: sc-24_prm_2 - label: organization-defined system state information - - id: sc-24_prm_3 - label: list of organization-defined types of system failures on organization-defined - system components - props: - - name: label - value: SC-24 - - name: sort-id - value: SC-24 - links: - - href: "#cp-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-12" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-22" - rel: related - - href: "#si-13" - rel: related - parts: - - id: sc-24_smt - name: statement - prose: "Fail to a {{ insert: param, sc-24_prm_1 }} for the following\ - \ failures on the indicated components while preserving {{ insert:\ - \ param, sc-24_prm_2 }} in failure: {{ insert: param, sc-24_prm_3\ - \ }}." - - id: sc-24_gdn - name: guidance - prose: Failure in a known state addresses security concerns in accordance - with the mission and business needs of organizations. Failure in a - known state prevents the loss of confidentiality, integrity, or availability - of information in the event of failures of organizational systems - or system components. Failure in a known safe state helps to prevent - systems from failing to a state that may cause injury to individuals - or destruction to property. Preserving system state information facilitates - system restart and return to the operational mode with less disruption - of mission and business processes. - - id: sc-25 - class: SP800-53 - title: Thin Nodes - params: - - id: sc-25_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-25 - - name: sort-id - value: SC-25 - links: - - href: "#sc-30" - rel: related - - href: "#sc-44" - rel: related - parts: - - id: sc-25_smt - name: statement - prose: "Employ minimal functionality and information storage on the\ - \ following system components: {{ insert: param, sc-25_prm_1 }}." - - id: sc-25_gdn - name: guidance - prose: The deployment of system components with minimal functionality - reduces the need to secure every endpoint, and may reduce the exposure - of information, systems, and services to attacks. Reduced or minimal - functionality includes diskless nodes and thin client technologies. - - id: sc-26 - class: SP800-53 - title: Decoys - props: - - name: label - value: SC-26 - - name: sort-id - value: SC-26 - links: - - href: "#ra-5" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-26_smt - name: statement - prose: Include components within organizational systems specifically - designed to be the target of malicious attacks for detecting, deflecting, - and analyzing such attacks. - - id: sc-26_gdn - name: guidance - prose: Decoys (i.e., honeypots, honeynets, or deception nets) are established - to attract adversaries and to deflect attacks away from the operational - systems supporting organizational missions and business functions. - Depending upon the specific usage of the decoy, consultation with - the Office of the General Counsel before deployment may be needed. - controls: - - id: sc-26.1 - class: SP800-53-enhancement - title: Detection of Malicious Code - props: - - name: label - value: SC-26(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-26(01) - links: - - href: "#sc-35" - rel: incorporated-into - - id: sc-27 - class: SP800-53 - title: Platform-independent Applications - params: - - id: sc-27_prm_1 - label: organization-defined platform-independent applications - props: - - name: label - value: SC-27 - - name: sort-id - value: SC-27 - links: - - href: "#sc-29" - rel: related - parts: - - id: sc-27_smt - name: statement - prose: "Include within organizational systems, the following platform\ - \ independent applications: {{ insert: param, sc-27_prm_1 }}." - - id: sc-27_gdn - name: guidance - prose: Platforms are combinations of hardware, firmware, and software - components used to execute software applications. Platforms include - operating systems; the underlying computer architectures; or both. - Platform-independent applications are applications with the capability - to execute on multiple platforms. Such applications promote portability - and reconstitution on different platforms. Application portability - and the ability to reconstitute on different platforms increases the - availability of mission essential functions within organizations in - situations where systems with specific operating systems are under - attack. - - id: sc-28 - class: SP800-53 - title: Protection of Information at Rest - params: - - id: sc-28_prm_1 - select: - how-many: one-or-more - choice: - - confidentiality - - integrity - - id: sc-28_prm_2 - label: organization-defined information at rest - props: - - name: label - value: SC-28 - - name: sort-id - value: SC-28 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#77dc1838-3664-4faa-bc6e-4e2a16e52f35" - rel: reference - - href: "#f417e4ec-cadb-47a8-a363-6006b32c28ad" - rel: reference - - href: "#7c3ba335-62bd-4f03-888f-960790409b11" - rel: reference - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#1b14b50f-7154-4226-958c-7dfff8276755" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-19" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cp-9" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#pe-3" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-28_smt - name: statement - prose: "Protect the {{ insert: param, sc-28_prm_1 }} of the following\ - \ information at rest: {{ insert: param, sc-28_prm_2 }}." - - id: sc-28_gdn - name: guidance - prose: Information at rest refers to the state of information when it - is not in process or in transit and is located on system components. - Such components include internal or external hard disk drives, storage - area network devices, or databases. However, the focus of protecting - information at rest is not on the type of storage device or frequency - of access but rather the state of the information. Information at - rest addresses the confidentiality and integrity of information and - covers user information and system information. System-related information - requiring protection includes configurations or rule sets for firewalls, - intrusion detection and prevention systems, filtering routers, and - authenticator content. Organizations may employ different mechanisms - to achieve confidentiality and integrity protections, including the - use of cryptographic mechanisms and file share scanning. Integrity - protection can be achieved, for example, by implementing Write-Once-Read-Many - (WORM) technologies. When adequate protection of information at rest - cannot otherwise be achieved, organizations may employ other controls, - including frequent scanning to identify malicious code at rest and - secure off-line storage in lieu of online storage. - controls: - - id: sc-28.1 - class: SP800-53-enhancement - title: Cryptographic Protection - params: - - id: sc-28.1_prm_1 - label: organization-defined system components or media - - id: sc-28.1_prm_2 - label: organization-defined information - props: - - name: label - value: SC-28(1) - - name: sort-id - value: SC-28(01) - links: - - href: "#ac-19" - rel: related - parts: - - id: sc-28.1_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent unauthorized\ - \ disclosure and modification of the following information at\ - \ rest on {{ insert: param, sc-28.1_prm_1 }}: {{ insert: param,\ - \ sc-28.1_prm_2 }}." - - id: sc-28.1_gdn - name: guidance - prose: Selection of cryptographic mechanisms is based on the need - to protect the confidentiality and integrity of organizational - information. The strength of mechanism is commensurate with the - security category or classification of the information. Organizations - have the flexibility to encrypt information on system components - or media or encrypt data structures, including files, records, - or fields. Organizations using cryptographic mechanisms also consider - cryptographic key management solutions (see SC-12 and SC-13). - - id: sc-28.2 - class: SP800-53-enhancement - title: Off-line Storage - params: - - id: sc-28.2_prm_1 - label: organization-defined information - props: - - name: label - value: SC-28(2) - - name: sort-id - value: SC-28(02) - parts: - - id: sc-28.2_smt - name: statement - prose: "Remove the following information from online storage and\ - \ store off-line in a secure location: {{ insert: param, sc-28.2_prm_1\ - \ }}." - - id: sc-28.2_gdn - name: guidance - prose: Removing organizational information from online storage to - off-line storage eliminates the possibility of individuals gaining - unauthorized access to the information through a network. Therefore, - organizations may choose to move information to off-line storage - in lieu of protecting such information in online storage. - - id: sc-28.3 - class: SP800-53-enhancement - title: Cryptographic Keys - params: - - id: sc-28.3_prm_1 - select: - choice: - - " {{ insert: param, sc-28.3_prm_2 }} " - - hardware-protected key store - - id: sc-28.3_prm_2 - depends-on: sc-28.3_prm_1 - label: organization-defined safeguards - props: - - name: label - value: SC-28(3) - - name: sort-id - value: SC-28(03) - links: - - href: "#sc-13" - rel: related - parts: - - id: sc-28.3_smt - name: statement - prose: "Provide protected storage for cryptographic keys {{ insert:\ - \ param, sc-28.3_prm_1 }}." - - id: sc-28.3_gdn - name: guidance - prose: A Trusted Platform Module (TPM) is an example of a hardware-projected - data store that can be used to protect cryptographic keys. . - - id: sc-29 - class: SP800-53 - title: Heterogeneity - params: - - id: sc-29_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-29 - - name: sort-id - value: SC-29 - links: - - href: "#au-9" - rel: related - - href: "#pl-8" - rel: related - - href: "#sc-27" - rel: related - - href: "#sc-30" - rel: related - - href: "#sr-3" - rel: related - parts: - - id: sc-29_smt - name: statement - prose: "Employ a diverse set of information technologies for the following\ - \ system components in the implementation of the system: {{ insert:\ - \ param, sc-29_prm_1 }}." - - id: sc-29_gdn - name: guidance - prose: Increasing the diversity of information technologies within organizational - systems reduces the impact of potential exploitations or compromises - of specific technologies. Such diversity protects against common mode - failures, including those failures induced by supply chain attacks. - Diversity in information technologies also reduces the likelihood - that the means adversaries use to compromise one system component - will be effective against other system components, thus further increasing - the adversary work factor to successfully complete planned attacks. - An increase in diversity may add complexity and management overhead - that could ultimately lead to mistakes and unauthorized configurations. - controls: - - id: sc-29.1 - class: SP800-53-enhancement - title: Virtualization Techniques - params: - - id: sc-29.1_prm_1 - label: organization-defined frequency - props: - - name: label - value: SC-29(1) - - name: sort-id - value: SC-29(01) - parts: - - id: sc-29.1_smt - name: statement - prose: "Employ virtualization techniques to support the deployment\ - \ of a diversity of operating systems and applications that are\ - \ changed {{ insert: param, sc-29.1_prm_1 }}." - - id: sc-29.1_gdn - name: guidance - prose: While frequent changes to operating systems and applications - can pose significant configuration management challenges, the - changes can result in an increased work factor for adversaries - to conduct successful attacks. Changing virtual operating systems - or applications, as opposed to changing actual operating systems - or applications, provides virtual changes that impede attacker - success while reducing configuration management efforts. Virtualization - techniques can assist in isolating untrustworthy software or software - of dubious provenance into confined execution environments. - - id: sc-30 - class: SP800-53 - title: Concealment and Misdirection - params: - - id: sc-30_prm_1 - label: organization-defined systems - - id: sc-30_prm_2 - label: organization-defined time-periods - - id: sc-30_prm_3 - label: organization-defined concealment and misdirection techniques - props: - - name: label - value: SC-30 - - name: sort-id - value: SC-30 - links: - - href: "#ac-6" - rel: related - - href: "#sc-25" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-14" - rel: related - parts: - - id: sc-30_smt - name: statement - prose: "Employ the following concealment and misdirection techniques\ - \ for {{ insert: param, sc-30_prm_1 }} at {{ insert: param, sc-30_prm_2\ - \ }} to confuse and mislead adversaries: {{ insert: param, sc-30_prm_3\ - \ }}." - - id: sc-30_gdn - name: guidance - prose: Concealment and misdirection techniques can significantly reduce - the targeting capability of adversaries (i.e., window of opportunity - and available attack surface) to initiate and complete attacks. For - example, virtualization techniques provide organizations with the - ability to disguise systems, potentially reducing the likelihood of - successful attacks without the cost of having multiple platforms. - The increased use of concealment and misdirection techniques and methods, - including randomness, uncertainty, and virtualization, may sufficiently - confuse and mislead adversaries and subsequently increase the risk - of discovery and/or exposing tradecraft. Concealment and misdirection - techniques may provide additional time to perform core missions and - business functions. The implementation of concealment and misdirection - techniques may add to the complexity and management overhead required - for the system. - controls: - - id: sc-30.1 - class: SP800-53-enhancement - title: Virtualization Techniques - props: - - name: label - value: SC-30(1) - - name: status - value: Withdrawn - - name: sort-id - value: SC-30(01) - links: - - href: "#sc-29.1" - rel: incorporated-into - - id: sc-30.2 - class: SP800-53-enhancement - title: Randomness - params: - - id: sc-30.2_prm_1 - label: organization-defined techniques - props: - - name: label - value: SC-30(2) - - name: sort-id - value: SC-30(02) - parts: - - id: sc-30.2_smt - name: statement - prose: "Employ {{ insert: param, sc-30.2_prm_1 }} to introduce randomness\ - \ into organizational operations and assets." - - id: sc-30.2_gdn - name: guidance - prose: Randomness introduces increased levels of uncertainty for - adversaries regarding the actions organizations take in defending - their systems against attacks. Such actions may impede the ability - of adversaries to correctly target information resources of organizations - supporting critical missions or business functions. Uncertainty - may also cause adversaries to hesitate before initiating attacks - or continuing the attacks. Misdirection techniques involving randomness - include performing certain routine actions at different times - of day, employing different information technologies, using different - suppliers, and rotating roles and responsibilities of organizational - personnel. - - id: sc-30.3 - class: SP800-53-enhancement - title: Change Processing and Storage Locations - params: - - id: sc-30.3_prm_1 - label: organization-defined processing and/or storage - - id: sc-30.3_prm_2 - select: - choice: - - " {{ insert: param, sc-30.3_prm_3 }} " - - at random time intervals - - id: sc-30.3_prm_3 - depends-on: sc-30.3_prm_2 - label: organization-defined time frequency - props: - - name: label - value: SC-30(3) - - name: sort-id - value: SC-30(03) - parts: - - id: sc-30.3_smt - name: statement - prose: "Change the location of {{ insert: param, sc-30.3_prm_1 }}\ - \ {{ insert: param, sc-30.3_prm_2 }}]." - - id: sc-30.3_gdn - name: guidance - prose: Adversaries target critical missions and business functions - and the systems supporting those missions and functions while - at the same time, trying to minimize exposure of their existence - and tradecraft. The static, homogeneous, and deterministic nature - of organizational systems targeted by adversaries, make such systems - more susceptible to attacks with less adversary cost and effort - to be successful. Changing processing and storage locations (also - referred to as moving target defense) addresses the advanced persistent - threat using techniques such as virtualization, distributed processing, - and replication. This enables organizations to relocate the system - components (i.e., processing and/or storage) supporting critical - missions and business functions. Changing the locations of processing - activities and/or storage sites introduces a degree of uncertainty - into the targeting activities by adversaries. The targeting uncertainty - increases the work factor of adversaries making compromises or - breaches to organizational systems more difficult and time-consuming. - It also increases the chances that adversaries may inadvertently - disclose aspects of tradecraft while attempting to locate critical - organizational resources. - - id: sc-30.4 - class: SP800-53-enhancement - title: Misleading Information - params: - - id: sc-30.4_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-30(4) - - name: sort-id - value: SC-30(04) - links: - - href: "#sc-26" - rel: related - parts: - - id: sc-30.4_smt - name: statement - prose: "Employ realistic, but misleading information in {{ insert:\ - \ param, sc-30.4_prm_1 }} about its security state or posture." - - id: sc-30.4_gdn - name: guidance - prose: This control enhancement is intended to mislead potential - adversaries regarding the nature and extent of controls deployed - by organizations. Thus, adversaries may employ incorrect and ineffective, - attack techniques. One technique for misleading adversaries is - for organizations to place misleading information regarding the - specific controls deployed in external systems that are known - to be targeted by adversaries. Another technique is the use of - deception nets that mimic actual aspects of organizational systems - but use, for example, out-of-date software configurations. - - id: sc-30.5 - class: SP800-53-enhancement - title: Concealment of System Components - params: - - id: sc-30.5_prm_1 - label: organization-defined system components - - id: sc-30.5_prm_2 - label: organization-defined techniques - props: - - name: label - value: SC-30(5) - - name: sort-id - value: SC-30(05) - parts: - - id: sc-30.5_smt - name: statement - prose: "Employ the following techniques to hide or conceal {{ insert:\ - \ param, sc-30.5_prm_1 }}: {{ insert: param, sc-30.5_prm_2 }}." - - id: sc-30.5_gdn - name: guidance - prose: By hiding, disguising, or concealing critical system components, - organizations may be able to decrease the probability that adversaries - target and successfully compromise those assets. Potential means - to hide, disguise, or conceal system components include configuration - of routers or the use of encryption or virtualization techniques. - - id: sc-31 - class: SP800-53 - title: Covert Channel Analysis - params: - - id: sc-31_prm_1 - select: - how-many: one-or-more - choice: - - storage - - timing - props: - - name: label - value: SC-31 - - name: sort-id - value: SC-31 - links: - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-11" - rel: related - parts: - - id: sc-31_smt - name: statement - parts: - - id: sc-31_smt.a - name: item - props: - - name: label - value: a. - prose: "Perform a covert channel analysis to identify those aspects\ - \ of communications within the system that are potential avenues\ - \ for covert {{ insert: param, sc-31_prm_1 }} channels; and" - - id: sc-31_smt.b - name: item - props: - - name: label - value: b. - prose: Estimate the maximum bandwidth of those channels. - - id: sc-31_gdn - name: guidance - prose: Developers are in the best position to identify potential areas - within systems that might lead to covert channels. Covert channel - analysis is a meaningful activity when there is the potential for - unauthorized information flows across security domains, for example, - in the case of systems containing export-controlled information and - having connections to external networks (i.e., networks that are not - controlled by organizations). Covert channel analysis is also useful - for multilevel secure systems, multiple security level systems, and - cross-domain systems. - controls: - - id: sc-31.1 - class: SP800-53-enhancement - title: Test Covert Channels for Exploitability - props: - - name: label - value: SC-31(1) - - name: sort-id - value: SC-31(01) - parts: - - id: sc-31.1_smt - name: statement - prose: Test a subset of the identified covert channels to determine - the channels that are exploitable. - - id: sc-31.1_gdn - name: guidance - prose: None. - - id: sc-31.2 - class: SP800-53-enhancement - title: Maximum Bandwidth - params: - - id: sc-31.2_prm_1 - select: - how-many: one-or-more - choice: - - storage - - timing - - id: sc-31.2_prm_2 - label: organization-defined values - props: - - name: label - value: SC-31(2) - - name: sort-id - value: SC-31(02) - parts: - - id: sc-31.2_smt - name: statement - prose: "Reduce the maximum bandwidth for identified covert {{ insert:\ - \ param, sc-31.2_prm_1 }} channels to {{ insert: param, sc-31.2_prm_2\ - \ }}." - - id: sc-31.2_gdn - name: guidance - prose: The complete elimination of covert channels, especially covert - timing channels, is usually not possible without significant performance - impacts. - - id: sc-31.3 - class: SP800-53-enhancement - title: Measure Bandwidth in Operational Environments - params: - - id: sc-31.3_prm_1 - label: organization-defined subset of identified covert channels - props: - - name: label - value: SC-31(3) - - name: sort-id - value: SC-31(03) - parts: - - id: sc-31.3_smt - name: statement - prose: "Measure the bandwidth of {{ insert: param, sc-31.3_prm_1\ - \ }} in the operational environment of the system." - - id: sc-31.3_gdn - name: guidance - prose: Measuring covert channel bandwidth in specified operational - environments helps organizations to determine how much information - can be covertly leaked before such leakage adversely affects missions - or business functions. Covert channel bandwidth may be significantly - different when measured in those settings that are independent - of the specific environments of operation, including laboratories - or system development environments. - - id: sc-32 - class: SP800-53 - title: System Partitioning - params: - - id: sc-32_prm_1 - label: organization-defined system components - - id: sc-32_prm_2 - select: - choice: - - physical - - logical - - id: sc-32_prm_3 - label: organization-defined circumstances for physical or logical separation - of components - props: - - name: label - value: SC-32 - - name: sort-id - value: SC-32 - links: - - href: "#b3e26423-0687-47c7-ba9a-a96870d58a27" - rel: reference - - href: "#7a93e915-fd58-4147-be12-e48044c367e6" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-36" - rel: related - parts: - - id: sc-32_smt - name: statement - prose: "Partition the system into {{ insert: param, sc-32_prm_1 }} residing\ - \ in separate {{ insert: param, sc-32_prm_2 }} domains or environments\ - \ based on {{ insert: param, sc-32_prm_3 }}." - - id: sc-32_gdn - name: guidance - prose: "System partitioning is a part of a defense-in-depth protection\ - \ strategy. Organizations determine the degree of physical separation\ - \ of system components. Physical separation options include: physically\ - \ distinct components in separate racks in the same room; critical\ - \ components in separate rooms; and geographical separation of the\ - \ most critical components. Security categorization can guide the\ - \ selection of appropriate candidates for domain partitioning. Managed\ - \ interfaces restrict or prohibit network access and information flow\ - \ among partitioned system components." - controls: - - id: sc-32.1 - class: SP800-53-enhancement - title: Separate Physical Domains for Privileged Functions - props: - - name: label - value: SC-32(1) - - name: sort-id - value: SC-32(01) - parts: - - id: sc-32.1_smt - name: statement - prose: Partition privileged functions into separate physical domains. - - id: sc-32.1_gdn - name: guidance - prose: Privileged functions operating in a single physical domain - may represent a single point of failure if that domain becomes - compromised or experiences a denial of service. - - id: sc-33 - class: SP800-53 - title: Transmission Preparation Integrity - props: - - name: label - value: SC-33 - - name: status - value: Withdrawn - - name: sort-id - value: SC-33 - links: - - href: "#sc-8" - rel: incorporated-into - - id: sc-34 - class: SP800-53 - title: Non-modifiable Executable Programs - params: - - id: sc-34_prm_1 - label: organization-defined system components - - id: sc-34_prm_2 - label: organization-defined applications - props: - - name: label - value: SC-34 - - name: sort-id - value: SC-34 - links: - - href: "#ac-3" - rel: related - - href: "#si-7" - rel: related - - href: "#si-14" - rel: related - parts: - - id: sc-34_smt - name: statement - prose: "For {{ insert: param, sc-34_prm_1 }}, load and execute:" - parts: - - id: sc-34_smt.a - name: item - props: - - name: label - value: a. - prose: The operating environment from hardware-enforced, read-only - media; and - - id: sc-34_smt.b - name: item - props: - - name: label - value: b. - prose: "The following applications from hardware-enforced, read-only\ - \ media: {{ insert: param, sc-34_prm_2 }}." - - id: sc-34_gdn - name: guidance - prose: The operating environment for a system contains the code that - hosts applications, including operating systems, executives, or virtual - machine monitors (i.e., hypervisors). It can also include certain - applications running directly on hardware platforms. Hardware-enforced, - read-only media include Compact Disk-Recordable (CD-R) and Digital - Versatile Disk-Recordable (DVD-R) disk drives and one-time programmable - read-only memory. The use of non-modifiable storage ensures the integrity - of software from the point of creation of the read-only image. Use - of reprogrammable read-only memory can be accepted as read-only media - provided integrity can be adequately protected from the point of initial - writing to the insertion of the memory into the system; and there - are reliable hardware protections against reprogramming the memory - while installed in organizational systems. - controls: - - id: sc-34.1 - class: SP800-53-enhancement - title: No Writable Storage - params: - - id: sc-34.1_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-34(1) - - name: sort-id - value: SC-34(01) - links: - - href: "#ac-19" - rel: related - - href: "#mp-7" - rel: related - parts: - - id: sc-34.1_smt - name: statement - prose: "Employ {{ insert: param, sc-34.1_prm_1 }} with no writeable\ - \ storage that is persistent across component restart or power\ - \ on/off." - - id: sc-34.1_gdn - name: guidance - prose: Disallowing writeable storage eliminates the possibility - of malicious code insertion via persistent, writeable storage - within the designated system components. The restriction applies - to fixed and removable storage, with the latter being addressed - either directly or as specific restrictions imposed through access - controls for mobile devices. - - id: sc-34.2 - class: SP800-53-enhancement - title: Integrity Protection on Read-only Media - props: - - name: label - value: SC-34(2) - - name: sort-id - value: SC-34(02) - links: - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-9" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-5" - rel: related - - href: "#sc-28" - rel: related - - href: "#si-3" - rel: related - parts: - - id: sc-34.2_smt - name: statement - prose: Protect the integrity of information prior to storage on - read-only media and control the media after such information has - been recorded onto the media. - - id: sc-34.2_gdn - name: guidance - prose: Controls prevent the substitution of media into systems or - the reprogramming of programmable read-only media prior to installation - into the systems. Integrity protection controls include a combination - of prevention, detection, and response. - - id: sc-34.3 - class: SP800-53-enhancement - title: Hardware-based Protection - params: - - id: sc-34.3_prm_1 - label: organization-defined system firmware components - - id: sc-34.3_prm_2 - label: organization-defined authorized individuals - props: - - name: label - value: SC-34(3) - - name: sort-id - value: SC-34(03) - parts: - - id: sc-34.3_smt - name: statement - parts: - - id: sc-34.3_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ hardware-based, write-protect for {{ insert:\ - \ param, sc-34.3_prm_1 }}; and" - - id: sc-34.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Implement specific procedures for {{ insert: param,\ - \ sc-34.3_prm_2 }} to manually disable hardware write-protect\ - \ for firmware modifications and re-enable the write-protect\ - \ prior to returning to operational mode." - - id: sc-34.3_gdn - name: guidance - prose: None. - - id: sc-35 - class: SP800-53 - title: External Malicious Code Identification - props: - - name: label - value: SC-35 - - name: sort-id - value: SC-35 - links: - - href: "#sc-26" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-35_smt - name: statement - prose: Include system components that proactively seek to identify network-based - malicious code or malicious websites. - - id: sc-35_gdn - name: guidance - prose: External malicious code identification differs from decoys in - SC-26 in that the components actively probe networks, including the - Internet, in search of malicious code contained on external websites. - Like decoys, the use of external malicious code identification techniques - requires some supporting isolation measures to ensure that any malicious - code discovered during the search and subsequently executed does not - infect organizational systems. Virtualization is a common technique - for achieving such isolation. - - id: sc-36 - class: SP800-53 - title: Distributed Processing and Storage - params: - - id: sc-36_prm_1 - select: - choice: - - physical locations - - logical domains - - id: sc-36_prm_2 - label: organization-defined processing and storage components - props: - - name: label - value: SC-36 - - name: sort-id - value: SC-36 - links: - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#pl-8" - rel: related - - href: "#sc-32" - rel: related - parts: - - id: sc-36_smt - name: statement - prose: "Distribute the following processing and storage components across\ - \ multiple {{ insert: param, sc-36_prm_1 }}: {{ insert: param, sc-36_prm_2\ - \ }}." - - id: sc-36_gdn - name: guidance - prose: Distributing processing and storage across multiple physical - locations or logical domains provides a degree of redundancy or overlap - for organizations. The redundancy and overlap increases the work factor - of adversaries to adversely impact organizational operations, assets, - and individuals. The use of distributed processing and storage does - not assume a single primary processing or storage location. Therefore, - it allows for parallel processing and storage. - controls: - - id: sc-36.1 - class: SP800-53-enhancement - title: Polling Techniques - params: - - id: sc-36.1_prm_1 - label: organization-defined distributed processing and storage components - - id: sc-36.1_prm_2 - label: organization-defined actions - props: - - name: label - value: SC-36(1) - - name: sort-id - value: SC-36(01) - links: - - href: "#si-4" - rel: related - parts: - - id: sc-36.1_smt - name: statement - parts: - - id: sc-36.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ polling techniques to identify potential faults,\ - \ errors, or compromises to the following processing and storage\ - \ components: {{ insert: param, sc-36.1_prm_1 }}; and" - - id: sc-36.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions in response to identified\ - \ faults, errors, or compromises: {{ insert: param, sc-36.1_prm_2\ - \ }}." - - id: sc-36.1_gdn - name: guidance - prose: Distributed processing and/or storage may be used to reduce - opportunities for adversaries to compromise the confidentiality, - integrity, or availability of organizational information and systems. - However, distribution of processing and/or storage components - does not prevent adversaries from compromising one or more of - the components. Polling compares the processing results and/or - storage content from the distributed components and subsequently - votes on the outcomes. Polling identifies potential faults, compromises, - or errors in the distributed processing and storage components. - Polling techniques may also be applied to processing and storage - components that are not physically distributed. - - id: sc-36.2 - class: SP800-53-enhancement - title: Synchronization - params: - - id: sc-36.2_prm_1 - label: organization-defined duplicate systems or system components - props: - - name: label - value: SC-36(2) - - name: sort-id - value: SC-36(02) - links: - - href: "#cp-9" - rel: related - parts: - - id: sc-36.2_smt - name: statement - prose: "Synchronize the following duplicate systems or system components:\ - \ {{ insert: param, sc-36.2_prm_1 }}." - - id: sc-36.2_gdn - name: guidance - prose: SC-36 and CP-9(6) require the duplication of systems or system - components in distributed locations. Synchronization of duplicated - and redundant services and data helps to ensure that information - contained in the distributed locations can be used in the missions - or business functions of organizations, as needed. - - id: sc-37 - class: SP800-53 - title: Out-of-band Channels - params: - - id: sc-37_prm_1 - label: organization-defined information, system components, or devices - - id: sc-37_prm_2 - label: organization-defined individuals or systems - - id: sc-37_prm_3 - label: organization-defined out-of-band channels - props: - - name: label - value: SC-37 - - name: sort-id - value: SC-37 - links: - - href: "#770f9bdc-4023-48ef-8206-c65397f061ea" - rel: reference - - href: "#69644a9e-438a-47c3-bac9-cf28b5baf848" - rel: reference - - href: "#9933c883-e8f3-4a83-9a9a-d1e058038080" - rel: reference - - href: "#ac-2" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-7" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-4" - rel: related - - href: "#ia-5" - rel: related - - href: "#ma-4" - rel: related - - href: "#sc-12" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-37_smt - name: statement - prose: "Employ the following out-of-band channels for the physical delivery\ - \ or electronic transmission of {{ insert: param, sc-37_prm_1 }} to\ - \ {{ insert: param, sc-37_prm_2 }}: {{ insert: param, sc-37_prm_3\ - \ }}." - - id: sc-37_gdn - name: guidance - prose: Out-of-band channels include local nonnetwork accesses to systems; - network paths physically separate from network paths used for operational - traffic; or nonelectronic paths such as the US Postal Service. The - use of out-of-band channels is contrasted with the use of in-band - channels (i.e., the same channels) that carry routine operational - traffic. Out-of-band channels do not have the same vulnerability or - exposure as in-band channels. Therefore, the confidentiality, integrity, - or availability compromises of in-band channels will not compromise - or adversely affect the out-of-band channels. Organizations may employ - out-of-band channels in the delivery or the transmission of organizational - items, including identifiers and authenticators; cryptographic key - management information; system and data backups; configuration management - changes for hardware, firmware, or software; security updates; maintenance - information; and malicious code protection updates. - controls: - - id: sc-37.1 - class: SP800-53-enhancement - title: Ensure Delivery and Transmission - params: - - id: sc-37.1_prm_1 - label: organization-defined controls - - id: sc-37.1_prm_2 - label: organization-defined individuals or systems - - id: sc-37.1_prm_3 - label: organization-defined information, system components, or devices - props: - - name: label - value: SC-37(1) - - name: sort-id - value: SC-37(01) - parts: - - id: sc-37.1_smt - name: statement - prose: "Employ {{ insert: param, sc-37.1_prm_1 }} to ensure that\ - \ only {{ insert: param, sc-37.1_prm_2 }} receive the following\ - \ information, system components, or devices: {{ insert: param,\ - \ sc-37.1_prm_3 }}." - - id: sc-37.1_gdn - name: guidance - prose: Techniques employed by organizations to ensure that only - designated systems or individuals receive certain information, - system components, or devices include, sending authenticators - via an approved courier service but requiring recipients to show - some form of government-issued photographic identification as - a condition of receipt. - - id: sc-38 - class: SP800-53 - title: Operations Security - params: - - id: sc-38_prm_1 - label: organization-defined operations security controls - props: - - name: label - value: SC-38 - - name: sort-id - value: SC-38 - links: - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#pl-1" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-7" - rel: related - parts: - - id: sc-38_smt - name: statement - prose: "Employ the following operations security controls to protect\ - \ key organizational information throughout the system development\ - \ life cycle: {{ insert: param, sc-38_prm_1 }}." - - id: sc-38_gdn - name: guidance - prose: "Operations security (OPSEC) is a systematic process by which\ - \ potential adversaries can be denied information about the capabilities\ - \ and intentions of organizations by identifying, controlling, and\ - \ protecting generally unclassified information that specifically\ - \ relates to the planning and execution of sensitive organizational\ - \ activities. The OPSEC process involves five steps: identification\ - \ of critical information; analysis of threats; analysis of vulnerabilities;\ - \ assessment of risks; and the application of appropriate countermeasures.\ - \ OPSEC controls are applied to organizational systems and the environments\ - \ in which those systems operate. OPSEC controls protect the confidentiality\ - \ of information, including limiting the sharing of information with\ - \ suppliers and potential suppliers of system components and services,\ - \ and with other non-organizational elements and individuals. Information\ - \ critical to organizational missions and business functions includes\ - \ user identities, element uses, suppliers, supply chain processes,\ - \ functional requirements, security requirements, system design specifications,\ - \ testing and evaluation protocols, and security control implementation\ - \ details." - - id: sc-39 - class: SP800-53 - title: Process Isolation - props: - - name: label - value: SC-39 - - name: sort-id - value: SC-39 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-6" - rel: related - - href: "#ac-25" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#si-16" - rel: related - parts: - - id: sc-39_smt - name: statement - prose: Maintain a separate execution domain for each executing system - process. - - id: sc-39_gdn - name: guidance - prose: Systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each system - process has a distinct address space so that communication between - processes is performed in a manner controlled through the security - functions, and one process cannot modify the executing code of another - process. Maintaining separate execution domains for executing processes - can be achieved, for example, by implementing separate address spaces. - Process isolation technologies, including sandboxing or virtualization, - logically separate software and firmware from other software, firmware, - and data. Process isolation helps limit the access of potentially - untrusted software to other system resources. The capability to maintain - separate execution domains is available in commercial operating systems - that employ multi-state processor technologies. - controls: - - id: sc-39.1 - class: SP800-53-enhancement - title: Hardware Separation - props: - - name: label - value: SC-39(1) - - name: sort-id - value: SC-39(01) - parts: - - id: sc-39.1_smt - name: statement - prose: Implement hardware separation mechanisms to facilitate process - isolation. - - id: sc-39.1_gdn - name: guidance - prose: Hardware-based separation of system processes is generally - less susceptible to compromise than software-based separation, - thus providing greater assurance that the separation will be enforced. - Hardware separation mechanisms include hardware memory management. - - id: sc-39.2 - class: SP800-53-enhancement - title: Separate Execution Domain Per Thread - params: - - id: sc-39.2_prm_1 - label: organization-defined multi-threaded processing - props: - - name: label - value: SC-39(2) - - name: sort-id - value: SC-39(02) - parts: - - id: sc-39.2_smt - name: statement - prose: "Maintain a separate execution domain for each thread in\ - \ {{ insert: param, sc-39.2_prm_1 }}." - - id: sc-39.2_gdn - name: guidance - prose: None. - - id: sc-40 - class: SP800-53 - title: Wireless Link Protection - params: - - id: sc-40_prm_1 - label: organization-defined wireless links - - id: sc-40_prm_2 - label: organization-defined types of signal parameter attacks or references - to sources for such attacks - props: - - name: label - value: SC-40 - - name: sort-id - value: SC-40 - links: - - href: "#ac-18" - rel: related - - href: "#sc-5" - rel: related - parts: - - id: sc-40_smt - name: statement - prose: "Protect external and internal {{ insert: param, sc-40_prm_1\ - \ }} from the following signal parameter attacks: {{ insert: param,\ - \ sc-40_prm_2 }}." - - id: sc-40_gdn - name: guidance - prose: Wireless link protection applies to internal and external wireless - communication links that may be visible to individuals who are not - authorized system users. Adversaries can exploit the signal parameters - of wireless links if such links are not adequately protected. There - are many ways to exploit the signal parameters of wireless links to - gain intelligence, deny service, or spoof system users. Protection - of wireless links reduces the impact of attacks that are unique to - wireless systems. If organizations rely on commercial service providers - for transmission services as commodity items rather than as fully - dedicated services, it may not be possible to implement this control. - controls: - - id: sc-40.1 - class: SP800-53-enhancement - title: Electromagnetic Interference - params: - - id: sc-40.1_prm_1 - label: organization-defined level of protection - props: - - name: label - value: SC-40(1) - - name: sort-id - value: SC-40(01) - links: - - href: "#pe-21" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.1_smt - name: statement - prose: "Implement cryptographic mechanisms that achieve {{ insert:\ - \ param, sc-40.1_prm_1 }} against the effects of intentional electromagnetic\ - \ interference." - - id: sc-40.1_gdn - name: guidance - prose: Implementation of cryptographic mechanisms for electromagnetic - interference protects against intentional jamming that might deny - or impair communications by ensuring that wireless spread spectrum - waveforms used to provide anti-jam protection are not predictable - by unauthorized individuals. The implementation of cryptographic - mechanisms may also coincidentally mitigate the effects of unintentional - jamming due to interference from legitimate transmitters sharing - the same spectrum. Mission requirements, projected threats, concept - of operations, and applicable laws, executive orders, directives, - regulations, policies, and standards determine levels of wireless - link availability, cryptography needed, or performance. - - id: sc-40.2 - class: SP800-53-enhancement - title: Reduce Detection Potential - params: - - id: sc-40.2_prm_1 - label: organization-defined level of reduction - props: - - name: label - value: SC-40(2) - - name: sort-id - value: SC-40(02) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.2_smt - name: statement - prose: "Implement cryptographic mechanisms to reduce the detection\ - \ potential of wireless links to {{ insert: param, sc-40.2_prm_1\ - \ }}." - - id: sc-40.2_gdn - name: guidance - prose: Implementation of cryptographic mechanisms to reduce detection - potential is used for covert communications and to protect wireless - transmitters from geo-location. It also ensures that spread spectrum - waveforms used to achieve low probability of detection are not - predictable by unauthorized individuals. Mission requirements, - projected threats, concept of operations, and applicable laws, - executive orders, directives, regulations, policies, and standards - determine the levels to which wireless links are undetectable. - - id: sc-40.3 - class: SP800-53-enhancement - title: Imitative or Manipulative Communications Deception - props: - - name: label - value: SC-40(3) - - name: sort-id - value: SC-40(03) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-40.3_smt - name: statement - prose: Implement cryptographic mechanisms to identify and reject - wireless transmissions that are deliberate attempts to achieve - imitative or manipulative communications deception based on signal - parameters. - - id: sc-40.3_gdn - name: guidance - prose: Implementation of cryptographic mechanisms to identify and - reject imitative or manipulative communications ensures that the - signal parameters of wireless transmissions are not predictable - by unauthorized individuals. Such unpredictability reduces the - probability of imitative or manipulative communications deception - based upon signal parameters alone. - - id: sc-40.4 - class: SP800-53-enhancement - title: Signal Parameter Identification - params: - - id: sc-40.4_prm_1 - label: organization-defined wireless transmitters - props: - - name: label - value: SC-40(4) - - name: sort-id - value: SC-40(04) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: sc-40.4_smt - name: statement - prose: "Implement cryptographic mechanisms to prevent the identification\ - \ of {{ insert: param, sc-40.4_prm_1 }} by using the transmitter\ - \ signal parameters." - - id: sc-40.4_gdn - name: guidance - prose: Radio fingerprinting techniques identify the unique signal - parameters of transmitters to fingerprint such transmitters for - purposes of tracking and mission or user identification. Implementation - of cryptographic mechanisms to prevent the identification of wireless - transmitters protects against the unique identification of wireless - transmitters for purposes of intelligence exploitation by ensuring - that anti-fingerprinting alterations to signal parameters are - not predictable by unauthorized individuals. It also provides - anonymity when required. - - id: sc-41 - class: SP800-53 - title: Port and I/O Device Access - params: - - id: sc-41_prm_1 - select: - choice: - - Physically - - Logically - - id: sc-41_prm_2 - label: organization-defined connection ports or input/output devices - - id: sc-41_prm_3 - label: organization-defined systems or system components - props: - - name: label - value: SC-41 - - name: sort-id - value: SC-41 - links: - - href: "#ac-20" - rel: related - - href: "#mp-7" - rel: related - parts: - - id: sc-41_smt - name: statement - prose: "{{ insert: param, sc-41_prm_1 }} disable or remove {{ insert:\ - \ param, sc-41_prm_2 }} on the following systems or system components:\ - \ {{ insert: param, sc-41_prm_3 }}." - - id: sc-41_gdn - name: guidance - prose: Connection ports include Universal Serial Bus (USB), Thunderbolt, - Firewire (IEEE 1394). Input/output (I/O) devices include Compact Disk - (CD) and Digital Versatile Disk (DVD) drives. Disabling or removing - such connection ports and I/O devices helps prevent exfiltration of - information from systems and the introduction of malicious code into - systems from those ports or devices. Physically disabling or removing - ports and/or devices is the stronger action. - - id: sc-42 - class: SP800-53 - title: Sensor Capability and Data - params: - - id: sc-42_prm_1 - label: organization-defined exceptions where remote activation of sensors - is allowed - - id: sc-42_prm_2 - label: organization-defined class of users - props: - - name: label - value: SC-42 - - name: sort-id - value: SC-42 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#sc-15" - rel: related - parts: - - id: sc-42_smt - name: statement - parts: - - id: sc-42_smt.a - name: item - props: - - name: label - value: a. - prose: "Prohibit the remote activation of environmental sensing\ - \ capabilities on organizational systems or system components\ - \ with the following exceptions: {{ insert: param, sc-42_prm_1\ - \ }}; and" - - id: sc-42_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide an explicit indication of sensor use to {{ insert:\ - \ param, sc-42_prm_2 }}." - - id: sc-42_gdn - name: guidance - prose: Sensor capability and data applies to types of systems or system - components characterized as mobile devices, for example, smart phones - and tablets. Mobile devices often include sensors that can collect - and record data regarding the environment where the system is in use. - Sensors that are embedded within mobile devices include cameras, microphones, - Global Positioning System (GPS) mechanisms, and accelerometers. While - the sensors on mobiles devices provide an important function, if activated - covertly such devices can potentially provide a means for adversaries - to learn valuable information about individuals and organizations. - For example, remotely activating the GPS function on a mobile device - could provide an adversary with the ability to track the specific - movements of an individual. - controls: - - id: sc-42.1 - class: SP800-53-enhancement - title: Reporting to Authorized Individuals or Roles - params: - - id: sc-42.1_prm_1 - label: organization-defined sensors - props: - - name: label - value: SC-42(1) - - name: sort-id - value: SC-42(01) - parts: - - id: sc-42.1_smt - name: statement - prose: "Verify that the system is configured so that data or information\ - \ collected by the {{ insert: param, sc-42.1_prm_1 }} is only\ - \ reported to authorized individuals or roles." - - id: sc-42.1_gdn - name: guidance - prose: In situations where sensors are activated by authorized individuals, - it is still possible that the data or information collected by - the sensors will be sent to unauthorized entities. - - id: sc-42.2 - class: SP800-53-enhancement - title: Authorized Use - params: - - id: sc-42.2_prm_1 - label: organization-defined sensors - - id: sc-42.2_prm_2 - label: organization-defined measures - props: - - name: label - value: SC-42(2) - - name: sort-id - value: SC-42(02) - links: - - href: "#pt-2" - rel: related - parts: - - id: sc-42.2_smt - name: statement - prose: "Employ the following measures so that data or information\ - \ collected by {{ insert: param, sc-42.2_prm_1 }} is only used\ - \ for authorized purposes: {{ insert: param, sc-42.2_prm_2 }}." - - id: sc-42.2_gdn - name: guidance - prose: Information collected by sensors for a specific authorized - purpose could be misused for some unauthorized purpose. For example, - GPS sensors that are used to support traffic navigation could - be misused to track movements of individuals. Measures to mitigate - such activities include additional training to ensure that authorized - individuals do not abuse their authority; and in the case where - sensor data or information is maintained by external parties, - contractual restrictions on the use of such data or information. - - id: sc-42.3 - class: SP800-53-enhancement - title: Prohibit Use of Devices - params: - - id: sc-42.3_prm_1 - label: organization-defined environmental sensing capabilities - - id: sc-42.3_prm_2 - label: organization-defined facilities, areas, or systems - props: - - name: label - value: SC-42(3) - - name: sort-id - value: SC-42(03) - parts: - - id: sc-42.3_smt - name: statement - prose: "Prohibit the use of devices possessing {{ insert: param,\ - \ sc-42.3_prm_1 }} in {{ insert: param, sc-42.3_prm_2 }}." - - id: sc-42.3_gdn - name: guidance - prose: For example, organizations may prohibit individuals from - bringing cell phones or digital cameras into certain designated - facilities or controlled areas within facilities where classified - information is stored or sensitive conversations are taking place. - - id: sc-42.4 - class: SP800-53-enhancement - title: Notice of Collection - params: - - id: sc-42.4_prm_1 - label: organization-defined sensors - - id: sc-42.4_prm_2 - label: organization-defined measures - props: - - name: label - value: SC-42(4) - - name: sort-id - value: SC-42(04) - links: - - href: "#pt-1" - rel: related - - href: "#pt-5" - rel: related - - href: "#pt-6" - rel: related - parts: - - id: sc-42.4_smt - name: statement - prose: "Employ the following measures to facilitate an individual’s\ - \ awareness that personally identifiable information is being\ - \ collected by {{ insert: param, sc-42.4_prm_1 }}: {{ insert:\ - \ param, sc-42.4_prm_2 }}." - - id: sc-42.4_gdn - name: guidance - prose: Awareness that organizational sensors are collecting data - enable individuals to more effectively engage in managing their - privacy. Measures can include conventional written notices and - sensor configurations that make individuals aware directly or - indirectly through other devices that the sensor is collecting - information. Usability and efficacy of the notice are important - considerations. - - id: sc-42.5 - class: SP800-53-enhancement - title: Collection Minimization - params: - - id: sc-42.5_prm_1 - label: organization-defined sensors - props: - - name: label - value: SC-42(5) - - name: sort-id - value: SC-42(05) - links: - - href: "#si-12" - rel: related - parts: - - id: sc-42.5_smt - name: statement - prose: "Employ {{ insert: param, sc-42.5_prm_1 }} that are configured\ - \ to minimize the collection of information about individuals\ - \ that is not needed." - - id: sc-42.5_gdn - name: guidance - prose: Although policies to control for authorized use can be applied - to information once it is collected, minimizing the collection - of information that is not needed mitigates privacy risk at the - system entry point and mitigates the risk of policy control failures. - Sensor configurations include the obscuring of human features - such as blurring or pixelating flesh tones. - - id: sc-43 - class: SP800-53 - title: Usage Restrictions - params: - - id: sc-43_prm_1 - label: organization-defined system components - props: - - name: label - value: SC-43 - - name: sort-id - value: SC-43 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#18c6942b-95f8-414c-b548-c8e6b8d8a172" - rel: reference - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-6" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - parts: - - id: sc-43_smt - name: statement - parts: - - id: sc-43_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish usage restrictions and implementation guidelines\ - \ for the following system components: {{ insert: param, sc-43_prm_1\ - \ }}; and" - - id: sc-43_smt.b - name: item - props: - - name: label - value: b. - prose: Authorize, monitor, and control the use of such components - within the system. - - id: sc-43_gdn - name: guidance - prose: Usage restrictions apply to all system components including, - but not limited to, mobile code, mobile devices, wireless access, - and wired and wireless peripheral components (e.g., copiers, printers, - scanners, optical devices, and other similar technologies). The usage - restrictions and implementation guidelines are based on the potential - for system components to cause damage to the system and help to ensure - that only authorized system use occurs. - - id: sc-44 - class: SP800-53 - title: Detonation Chambers - params: - - id: sc-44_prm_1 - label: organization-defined system, system component, or location - props: - - name: label - value: SC-44 - - name: sort-id - value: SC-44 - links: - - href: "#64e044e4-b2a9-490f-a079-1106407c812f" - rel: reference - - href: "#sc-7" - rel: related - - href: "#sc-25" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-39" - rel: related - - href: "#si-3" - rel: related - - href: "#si-7" - rel: related - parts: - - id: sc-44_smt - name: statement - prose: "Employ a detonation chamber capability within {{ insert: param,\ - \ sc-44_prm_1 }}." - - id: sc-44_gdn - name: guidance - prose: Detonation chambers, also known as dynamic execution environments, - allow organizations to open email attachments, execute untrusted or - suspicious applications, and execute Universal Resource Locator requests - in the safety of an isolated environment or a virtualized sandbox. - These protected and isolated execution environments provide a means - of determining whether the associated attachments or applications - contain malicious code. While related to the concept of deception - nets, this control is not intended to maintain a long-term environment - in which adversaries can operate and their actions can be observed. - Rather, it is intended to quickly identify malicious code and either - reduce the likelihood that the code is propagated to user environments - of operation or prevent such propagation completely. - - id: sc-45 - class: SP800-53 - title: System Time Synchronization - props: - - name: label - value: SC-45 - - name: sort-id - value: SC-45 - links: - - href: "#ac-3" - rel: related - - href: "#au-8" - rel: related - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - parts: - - id: sc-45_smt - name: statement - prose: Synchronize system clocks within and between systems and system - components. - - id: sc-45_gdn - name: guidance - prose: Time synchronization of system clocks is essential for the correct - execution of many system services, including identification and authentication - processes involving certificates and time-of-day restrictions as part - of access control. Denial-of-service or failure to deny expired credentials - may result without properly synchronized clocks within and between - systems and system components. Time is commonly expressed in Coordinated - Universal Time (UTC), a modern continuation of Greenwich Mean Time - (GMT), or local time with an offset from UTC. The granularity of time - measurements refers to the degree of synchronization between system - clocks and reference clocks, for example, clocks synchronizing within - hundreds of milliseconds or tens of milliseconds. Organizations may - define different time granularities for system components. Time service - can be critical to other security capabilities such as access control - and identification and authentication, depending on the nature of - the mechanisms used to support the capabilities. - - id: sc-46 - class: SP800-53 - title: Cross Domain Policy Enforcement - params: - - id: sc-46_prm_1 - select: - choice: - - physically - - logically - props: - - name: label - value: SC-46 - - name: sort-id - value: SC-46 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ac-4" - rel: related - - href: "#sc-7" - rel: related - parts: - - id: sc-46_smt - name: statement - prose: "Implement a policy enforcement mechanism {{ insert: param, sc-46_prm_1\ - \ }} between the physical and/or network interfaces for the connecting\ - \ security domains." - - id: sc-46_gdn - name: guidance - prose: For logical policy enforcement mechanisms, organizations avoid - creating a logical path between interfaces to prevent the ability - to bypass the policy enforcement mechanism. For physical policy enforcement - mechanisms, the robustness of physical isolation afforded by the physical - implementation of policy enforcement to preclude the presence of logical - covert channels penetrating the security boundary may be needed. - - id: sc-47 - class: SP800-53 - title: Communications Path Diversity - params: - - id: sc-47_prm_1 - label: organization-defined alternate communications paths - props: - - name: label - value: SC-47 - - name: sort-id - value: SC-47 - links: - - href: "#65774382-fcc6-4bbc-89fc-9d35aab19952" - rel: reference - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#cp-2" - rel: related - - href: "#cp-8" - rel: related - parts: - - id: sc-47_smt - name: statement - prose: "Establish {{ insert: param, sc-47_prm_1 }} for system operations\ - \ organizational command and control." - - id: sc-47_gdn - name: guidance - prose: An incident, whether adversarial- or nonadversarial-based, can - disrupt established communications paths used for system operations - and organizational command and control. The inability of organizational - officials to obtain timely information about disruptions or to provide - timely direction to operational elements can impact the organization’s - ability to respond in a timely manner to such incidents. Establishing - alternate communications paths for command and control purposes, including - designating alternative decision makers if primary decision makers - are unavailable and establishing the extent and limitations of their - actions, can greatly facilitate the organization’s ability to continue - to operate and take appropriate actions during an incident. - - id: sc-48 - class: SP800-53 - title: Sensor Relocation - params: - - id: sc-48_prm_1 - label: organization-defined sensors and monitoring capabilities - - id: sc-48_prm_2 - label: organization-defined locations - - id: sc-48_prm_3 - label: organization-defined conditions or circumstances - props: - - name: label - value: SC-48 - - name: sort-id - value: SC-48 - links: - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#au-2" - rel: related - - href: "#sc-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: sc-48_smt - name: statement - prose: "Relocate {{ insert: param, sc-48_prm_1 }} to {{ insert: param,\ - \ sc-48_prm_2 }} under the following conditions or circumstances:\ - \ {{ insert: param, sc-48_prm_3 }}." - - id: sc-48_gdn - name: guidance - prose: Adversaries may take various paths and use different approaches - as they move laterally through an organization (including its systems) - to reach their target or as they attempt to exfiltrate information - from the organization. The organization often only has a limited set - of monitoring and detection capabilities and they may be focused on - the critical or likely infiltration or exfiltration paths. By using - communications paths that the organization typically does not monitor, - the adversary can increase its chances of achieving its desired goals. - By relocating its sensors or monitoring capabilities to new locations, - the organization can impede the adversary’s ability to achieve its - goals. The relocation of the sensors or monitoring capabilities might - be done based on threat information the organization has acquired - or randomly to confuse the adversary and make its lateral transition - through the system or organization more challenging. - controls: - - id: sc-48.1 - class: SP800-53-enhancement - title: Dynamic Relocation of Sensors or Monitoring Capabilities - params: - - id: sc-48.1_prm_1 - label: organization-defined sensors and monitoring capabilities - - id: sc-48.1_prm_2 - label: organization-defined locations - - id: sc-48.1_prm_3 - label: organization-defined conditions or circumstances - props: - - name: label - value: SC-48(1) - - name: sort-id - value: SC-48(01) - parts: - - id: sc-48.1_smt - name: statement - prose: "Dynamically relocate {{ insert: param, sc-48.1_prm_1 }}\ - \ to {{ insert: param, sc-48.1_prm_2 }} under the following conditions\ - \ or circumstances: {{ insert: param, sc-48.1_prm_3 }}." - - id: sc-48.1_gdn - name: guidance - prose: None. - - id: sc-49 - class: SP800-53 - title: Hardware-enforced Separation and Policy Enforcement - params: - - id: sc-49_prm_1 - label: organization-defined security domains - props: - - name: label - value: SC-49 - - name: sort-id - value: SC-49 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-50" - rel: related - parts: - - id: sc-49_smt - name: statement - prose: "Implement hardware-enforced separation and policy enforcement\ - \ mechanisms between {{ insert: param, sc-49_prm_1 }}." - - id: sc-49_gdn - name: guidance - prose: System owners may require additional strength of mechanism and - robustness to ensure domain separation and policy enforcement for - specific types of threats and environments of operation. Hardware-enforced - separation and policy enforcement provide greater strength of mechanism - than software-enforced separation and policy enforcement. - - id: sc-50 - class: SP800-53 - title: Software-enforced Separation and Policy Enforcement - params: - - id: sc-50_prm_1 - label: organization-defined security domains - props: - - name: label - value: SC-50 - - name: sort-id - value: SC-50 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-49" - rel: related - parts: - - id: sc-50_smt - name: statement - prose: "Implement software-enforced separation and policy enforcement\ - \ mechanisms between {{ insert: param, sc-50_prm_1 }}." - - id: sc-50_gdn - name: guidance - prose: System owners may require additional strength of mechanism and - robustness to ensure domain separation and policy enforcement (e.g., - filtering) for specific types of threats and environments of operation. - - id: sc-51 - class: SP800-53 - title: Operational and Internet-based Technologies - params: - - id: sc-51_prm_1 - label: organization-defined Operational Technology (OT), Internet of - Things (IoT), and/or Industrial Internet of Things (IIoT) systems, - components, or devices - - id: sc-51_prm_2 - label: organization-defined systems or networks - - id: sc-51_prm_3 - label: organization-defined controls - props: - - name: label - value: SC-51 - - name: sort-id - value: SC-51 - links: - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-2" - rel: related - - href: "#sc-3" - rel: related - - href: "#sc-49" - rel: related - parts: - - id: sc-51_smt - name: statement - parts: - - id: sc-51_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement the following controls on {{ insert: param, sc-51_prm_1\ - \ }} prior to connecting to {{ insert: param, sc-51_prm_2 }}:\ - \ {{ insert: param, sc-51_prm_3 }}; or" - - id: sc-51_smt.b - name: item - props: - - name: label - value: b. - prose: Isolate the OT, IoT, and IIoT systems, components, or devices - from the designated organizational systems or prohibit network - connectivity by the systems, components, or devices. - - id: sc-51_gdn - name: guidance - prose: Operational Technology (OT) is the hardware, software, and firmware - components of a system used to detect or cause changes in physical - processes through the direct control and monitoring of physical devices. - Examples include distributed control systems (DCS), supervisory control - and data acquisition (SCADA) systems, and programmable logic controllers - (PLC). The term operational technology is used to demonstrate the - differences between industrial control systems (ICS) that are typically - found in manufacturing and power plants and the information technology - (IT) systems that typically support traditional data processing applications. - The term Internet of Things (IoT) is used to describe the network - of devices (e.g., vehicles, medical devices, wearables, and home appliances) - that contain the hardware, software, firmware, and actuators which - allow the devices to connect, interact, and exchange data and information. - IoT extends Internet connectivity beyond workstations, notebook computers, - smartphones and tablets to physical devices that do not typically - have such connectivity. IoT devices can communicate and interact over - the Internet, and they can be remotely monitored and controlled. Finally, - the term Industrial Internet of Things (IIoT) is used to describe - the sensors, instruments, machines, and other devices that are networked - together and use Internet connectivity to enhance industrial and manufacturing - business processes and applications. The recent convergence of IT - and OT, producing cyber-physical systems, increases the attack surface - of organizations significantly and provides attack vectors that are - challenging to address. Unfortunately, most of the current generation - of IoT, OT and IIOT devices are not designed with security as a foundational - property. Connections to and from such devices are generally not encrypted, - do not provide the necessary authentication, are not monitored, and - are not logged. As a result, these devices pose a significant cyber - threat. In some instances, gaps in IoT, OT, and IIoT security capabilities - may be addressed by employing intermediary devices that can provide - encryption, authentication, security scanning, and logging capabilities, - and preclude the devices from being accessible from the Internet. - But such mitigating options are not always available. The situation - is further complicated because some of the IoT/OT/IIoT devices are - needed for essential missions and functions. In those instances, it - is necessary that such devices are isolated from the Internet to reduce - the susceptibility to hostile cyber-attacks. - - id: si - class: family - title: System and Information Integrity - controls: - - id: si-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: si-1_prm_1 - label: organization-defined personnel or roles - - id: si-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: si-1_prm_3 - label: organization-defined official - - id: si-1_prm_4 - label: organization-defined frequency - - id: si-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: SI-1 - - name: sort-id - value: SI-01 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#pm-9" - rel: related - - href: "#ps-8" - rel: related - - href: "#sa-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: si-1_smt - name: statement - parts: - - id: si-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ si-1_prm_1 }}:" - parts: - - id: si-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, si-1_prm_2 }} system and information\ - \ integrity policy that:" - parts: - - id: si-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: si-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: si-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the system - and information integrity policy and the associated system - and information integrity controls; - - id: si-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, si-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the system\ - \ and information integrity policy and procedures; and" - - id: si-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current system and information integrity:" - parts: - - id: si-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, si-1_prm_4 }}; and" - - id: si-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, si-1_prm_5 }}." - - id: si-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the SI family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: si-2 - class: SP800-53 - title: Flaw Remediation - params: - - id: si-2_prm_1 - label: organization-defined time-period - props: - - name: label - value: SI-2 - - name: sort-id - value: SI-02 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#1126ec09-2b27-4a21-80b2-fef70b31c49d" - rel: reference - - href: "#a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4" - rel: reference - - href: "#bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c" - rel: reference - - href: "#ca-5" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-11" - rel: related - - href: "#si-3" - rel: related - - href: "#si-5" - rel: related - - href: "#si-7" - rel: related - - href: "#si-11" - rel: related - parts: - - id: si-2_smt - name: statement - parts: - - id: si-2_smt.a - name: item - props: - - name: label - value: a. - prose: Identify, report, and correct system flaws; - - id: si-2_smt.b - name: item - props: - - name: label - value: b. - prose: Test software and firmware updates related to flaw remediation - for effectiveness and potential side effects before installation; - - id: si-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Install security-relevant software and firmware updates\ - \ within {{ insert: param, si-2_prm_1 }} of the release of the\ - \ updates; and" - - id: si-2_smt.d - name: item - props: - - name: label - value: d. - prose: Incorporate flaw remediation into the organizational configuration - management process. - - id: si-2_gdn - name: guidance - prose: The need to remediate system flaws applies to all types of software - and firmware. Organizations identify systems affected by software - flaws, including potential vulnerabilities resulting from those flaws, - and report this information to designated organizational personnel - with information security and privacy responsibilities. Security-relevant - updates include patches, service packs, and malicious code signatures. - Organizations also address flaws discovered during assessments, continuous - monitoring, incident response activities, and system error handling. - By incorporating flaw remediation into configuration management processes, - required remediation actions can be tracked and verified. Organization-defined - time-periods for updating security-relevant software and firmware - may vary based on a variety of risk factors, including the security - category of the system or the criticality of the update (i.e., severity - of the vulnerability related to the discovered flaw); the organizational - mission; or the threat environment. Some types of flaw remediation - may require more testing than other types. Organizations determine - the type of testing needed for the specific type of flaw remediation - activity under consideration and the types of changes that are to - be configuration-managed. In some situations, organizations may determine - that the testing of software or firmware updates is not necessary - or practical, for example, when implementing simple malicious code - signature updates. Organizations consider in testing decisions whether - security-relevant software or firmware updates are obtained from authorized - sources with appropriate digital signatures. - controls: - - id: si-2.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-2(1) - - name: sort-id - value: SI-02(01) - links: - - href: "#pl-9" - rel: related - parts: - - id: si-2.1_smt - name: statement - prose: Centrally manage the flaw remediation process. - - id: si-2.1_gdn - name: guidance - prose: Central management is the organization-wide management and - implementation of flaw remediation processes. It includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw remediation controls. - - id: si-2.2 - class: SP800-53-enhancement - title: Automated Flaw Remediation Status - params: - - id: si-2.2_prm_1 - label: organization-defined automated mechanisms - - id: si-2.2_prm_2 - label: organization-defined frequency - props: - - name: label - value: SI-2(2) - - name: sort-id - value: SI-02(02) - links: - - href: "#ca-7" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-2.2_smt - name: statement - prose: "Determine if system components have applicable security-relevant\ - \ software and firmware updates installed using {{ insert: param,\ - \ si-2.2_prm_1 }} {{ insert: param, si-2.2_prm_2 }}." - - id: si-2.2_gdn - name: guidance - prose: Automated mechanisms can track and determine the status of - known flaws for system components. - - id: si-2.3 - class: SP800-53-enhancement - title: Time to Remediate Flaws and Benchmarks for Corrective Actions - params: - - id: si-2.3_prm_1 - label: organization-defined benchmarks - props: - - name: label - value: SI-2(3) - - name: sort-id - value: SI-02(03) - parts: - - id: si-2.3_smt - name: statement - parts: - - id: si-2.3_smt.a - name: item - props: - - name: label - value: (a) - prose: Measure the time between flaw identification and flaw - remediation; and - - id: si-2.3_smt.b - name: item - props: - - name: label - value: (b) - prose: "Establish the following benchmarks for taking corrective\ - \ actions: {{ insert: param, si-2.3_prm_1 }}." - - id: si-2.3_gdn - name: guidance - prose: Organizations determine the time it takes on average to correct - system flaws after such flaws have been identified, and subsequently - establish organizational benchmarks (i.e., time frames) for taking - corrective actions. Benchmarks can be established by the type - of flaw or the severity of the potential vulnerability if the - flaw can be exploited. - - id: si-2.4 - class: SP800-53-enhancement - title: Automated Patch Management Tools - params: - - id: si-2.4_prm_1 - label: organization-defined system components - props: - - name: label - value: SI-2(4) - - name: sort-id - value: SI-02(04) - parts: - - id: si-2.4_smt - name: statement - prose: "Employ automated patch management tools to facilitate flaw\ - \ remediation to the following system components: {{ insert: param,\ - \ si-2.4_prm_1 }}." - - id: si-2.4_gdn - name: guidance - prose: Using automated tools to support patch management helps to - ensure the timeliness and completeness of system patching operations. - - id: si-2.5 - class: SP800-53-enhancement - title: Automatic Software and Firmware Updates - params: - - id: si-2.5_prm_1 - label: organization-defined security-relevant software and firmware - updates - - id: si-2.5_prm_2 - label: organization-defined system components - props: - - name: label - value: SI-2(5) - - name: sort-id - value: SI-02(05) - parts: - - id: si-2.5_smt - name: statement - prose: "Install {{ insert: param, si-2.5_prm_1 }} automatically\ - \ to {{ insert: param, si-2.5_prm_2 }}." - - id: si-2.5_gdn - name: guidance - prose: Due to system integrity and availability concerns, organizations - consider the methodology used to carry out automatic updates. - Organizations balance the need to ensure that the updates are - installed as soon as possible with the need to maintain configuration - management and control with any mission or operational impacts - that automatic updates might impose. - - id: si-2.6 - class: SP800-53-enhancement - title: Removal of Previous Versions of Software and Firmware - params: - - id: si-2.6_prm_1 - label: organization-defined software and firmware components - props: - - name: label - value: SI-2(6) - - name: sort-id - value: SI-02(06) - parts: - - id: si-2.6_smt - name: statement - prose: "Remove previous versions of {{ insert: param, si-2.6_prm_1\ - \ }} after updated versions have been installed." - - id: si-2.6_gdn - name: guidance - prose: Previous versions of software or firmware components that - are not removed from the system after updates have been installed - may be exploited by adversaries. Some products may remove previous - versions of software and firmware automatically from the system. - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - params: - - id: si-3_prm_1 - select: - how-many: one-or-more - choice: - - signature based - - non-signature based - - id: si-3_prm_2 - label: organization-defined frequency - - id: si-3_prm_3 - select: - how-many: one-or-more - choice: - - endpoint - - network entry/exit points - - id: si-3_prm_4 - select: - how-many: one-or-more - choice: - - block malicious code - - quarantine malicious code - - "take {{ insert: param, si-3_prm_5 }} " - - id: si-3_prm_5 - depends-on: si-3_prm_4 - label: organization-defined action - - id: si-3_prm_6 - label: organization-defined personnel or roles - props: - - name: label - value: SI-3 - - name: sort-id - value: SI-03 - links: - - href: "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b" - rel: reference - - href: "#c972a85c-fa75-4596-be25-a338dc7e4e46" - rel: reference - - href: "#64e044e4-b2a9-490f-a079-1106407c812f" - rel: reference - - href: "#ac-4" - rel: related - - href: "#ac-19" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-8" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-23" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-44" - rel: related - - href: "#si-2" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#si-8" - rel: related - - href: "#si-15" - rel: related - parts: - - id: si-3_smt - name: statement - parts: - - id: si-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Implement {{ insert: param, si-3_prm_1 }} malicious code\ - \ protection mechanisms at system entry and exit points to detect\ - \ and eradicate malicious code;" - - id: si-3_smt.b - name: item - props: - - name: label - value: b. - prose: Automatically update malicious code protection mechanisms - as new releases are available in accordance with organizational - configuration management policy and procedures; - - id: si-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Configure malicious code protection mechanisms to:" - parts: - - id: si-3_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Perform periodic scans of the system {{ insert: param,\ - \ si-3_prm_2 }} and real-time scans of files from external\ - \ sources at {{ insert: param, si-3_prm_3 }} as the files\ - \ are downloaded, opened, or executed in accordance with organizational\ - \ policy; and" - - id: si-3_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "{{ insert: param, si-3_prm_4 }}; and send alert to {{\ - \ insert: param, si-3_prm_6 }} in response to malicious code\ - \ detection." - - id: si-3_smt.d - name: item - props: - - name: label - value: d. - prose: Address the receipt of false positives during malicious code - detection and eradication and the resulting potential impact on - the availability of the system. - - id: si-3_gdn - name: guidance - prose: System entry and exit points include firewalls, remote-access - servers, workstations, electronic mail servers, web servers, proxy - servers, notebook computers, and mobile devices. Malicious code includes - viruses, worms, Trojan horses, and spyware. Malicious code can also - be encoded in various formats contained within compressed or hidden - files, or hidden in files using techniques such as steganography. - Malicious code can be inserted into systems in a variety of ways, - including by electronic mail, the world-wide web, and portable storage - devices. Malicious code insertions occur through the exploitation - of system vulnerabilities. A variety of technologies and methods exist - to limit or eliminate the effects of malicious code. Malicious code - protection mechanisms include both signature- and nonsignature-based - technologies. Nonsignature-based detection mechanisms include artificial - intelligence techniques that use heuristics to detect, analyze, and - describe the characteristics or behavior of malicious code and to - provide controls against such code for which signatures do not yet - exist or for which existing signatures may not be effective. Malicious - code for which active signatures do yet exist or may be ineffective - includes polymorphic malicious code (i.e., code that changes signatures - when it replicates). Nonsignature-based mechanisms also include reputation-based - technologies. In addition to the above technologies, pervasive configuration - management, comprehensive software integrity controls, and anti-exploitation - software may be effective in preventing execution of unauthorized - code. Malicious code may be present in commercial off-the-shelf software - and in custom-built software and could include logic bombs, back doors, - and other types of attacks that could affect organizational missions - and business functions. In situations where malicious code cannot - be detected by detection methods or technologies, organizations rely - on other types of controls, including secure coding practices, configuration - management and control, trusted procurement processes, and monitoring - practices to ensure that software does not perform functions other - than the functions intended. Organizations may determine in response - to the detection of malicious code, different actions may be warranted. - For example, organizations can define actions in response to malicious - code detection during periodic scans, actions in response to detection - of malicious downloads, or actions in response to detection of maliciousness - when attempting to open or execute files. - controls: - - id: si-3.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-3(1) - - name: sort-id - value: SI-03(01) - links: - - href: "#pl-9" - rel: related - parts: - - id: si-3.1_smt - name: statement - prose: Centrally manage malicious code protection mechanisms. - - id: si-3.1_gdn - name: guidance - prose: Central management addresses the organization-wide management - and implementation of malicious code protection mechanisms. Central - management includes planning, implementing, assessing, authorizing, - and monitoring the organization-defined, centrally managed flaw - and malicious code protection controls. - - id: si-3.2 - class: SP800-53-enhancement - title: Automatic Updates - props: - - name: label - value: SI-3(2) - - name: status - value: Withdrawn - - name: sort-id - value: SI-03(02) - links: - - href: "#si-3" - rel: incorporated-into - - id: si-3.3 - class: SP800-53-enhancement - title: Non-privileged Users - props: - - name: label - value: SI-3(3) - - name: status - value: Withdrawn - - name: sort-id - value: SI-03(03) - links: - - href: "#ac-6.10" - rel: incorporated-into - - id: si-3.4 - class: SP800-53-enhancement - title: Updates Only by Privileged Users - props: - - name: label - value: SI-3(4) - - name: sort-id - value: SI-03(04) - links: - - href: "#cm-5" - rel: related - parts: - - id: si-3.4_smt - name: statement - prose: Update malicious code protection mechanisms only when directed - by a privileged user. - - id: si-3.4_gdn - name: guidance - prose: Protection mechanisms for malicious code are typically categorized - as security-related software and as such, are only updated by - organizational personnel with appropriate access privileges. - - id: si-3.5 - class: SP800-53-enhancement - title: Portable Storage Devices - props: - - name: label - value: SI-3(5) - - name: status - value: Withdrawn - - name: sort-id - value: SI-03(05) - links: - - href: "#mp-7" - rel: incorporated-into - - id: si-3.6 - class: SP800-53-enhancement - title: Testing and Verification - params: - - id: si-3.6_prm_1 - label: organization-defined frequency - props: - - name: label - value: SI-3(6) - - name: sort-id - value: SI-03(06) - links: - - href: "#ca-2" - rel: related - - href: "#ca-7" - rel: related - - href: "#ra-5" - rel: related - parts: - - id: si-3.6_smt - name: statement - parts: - - id: si-3.6_smt.a - name: item - props: - - name: label - value: (a) - prose: "Test malicious code protection mechanisms {{ insert:\ - \ param, si-3.6_prm_1 }} by introducing known benign code\ - \ into the system; and" - - id: si-3.6_smt.b - name: item - props: - - name: label - value: (b) - prose: Verify that the detection of the code and the associated - incident reporting occur. - - id: si-3.6_gdn - name: guidance - prose: None. - - id: si-3.7 - class: SP800-53-enhancement - title: Nonsignature-based Detection - props: - - name: label - value: SI-3(7) - - name: status - value: Withdrawn - - name: sort-id - value: SI-03(07) - links: - - href: "#si-3" - rel: incorporated-into - - id: si-3.8 - class: SP800-53-enhancement - title: Detect Unauthorized Commands - params: - - id: si-3.8_prm_1 - label: organization-defined system hardware components - - id: si-3.8_prm_2 - label: organization-defined unauthorized operating system commands - - id: si-3.8_prm_3 - select: - how-many: one-or-more - choice: - - issue a warning - - audit the command execution - - prevent the execution of the command - props: - - name: label - value: SI-3(8) - - name: sort-id - value: SI-03(08) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-3.8_smt - name: statement - parts: - - id: si-3.8_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect the following unauthorized operating system commands\ - \ through the kernel application programming interface on\ - \ {{ insert: param, si-3.8_prm_1 }}: {{ insert: param, si-3.8_prm_2\ - \ }}; and" - - id: si-3.8_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-3.8_prm_3 }}." - - id: si-3.8_gdn - name: guidance - prose: Detecting unauthorized commands can be applied to critical - interfaces other than kernel-based interfaces, including interfaces - with virtual machines and privileged applications. Unauthorized - operating system commands include commands for kernel functions - from system processes that are not trusted to initiate such commands, - or commands for kernel functions that are suspicious even though - commands of that type are reasonable for processes to initiate. - Organizations can define the malicious commands to be detected - by a combination of command types, command classes, or specific - instances of commands. Organizations can also define hardware - components by component type, component, component location in - the network, or combination therein. Organizations may select - different actions for different types, classes, or instances of - malicious commands. - - id: si-3.9 - class: SP800-53-enhancement - title: Authenticate Remote Commands - params: - - id: si-3.9_prm_1 - label: organization-defined mechanisms - - id: si-3.9_prm_2 - label: organization-defined remote commands - props: - - name: label - value: SI-3(9) - - name: sort-id - value: SI-03(09) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-23" - rel: related - parts: - - id: si-3.9_smt - name: statement - prose: "Implement {{ insert: param, si-3.9_prm_1 }} to authenticate\ - \ {{ insert: param, si-3.9_prm_2 }}." - - id: si-3.9_gdn - name: guidance - prose: This control enhancement protects against unauthorized remote - commands and the replay of authorized commands. This capability - is important for those remote systems whose loss, malfunction, - misdirection, or exploitation would have immediate and/or serious - consequences, including, for example, injury or death, property - damage, loss of high-value assets, compromise of classified or - controlled unclassified information, or failure of missions or - business functions. Authentication safeguards for remote commands - ensure that systems accept and execute commands in the order intended, - execute only authorized commands, and reject unauthorized commands. - Cryptographic mechanisms can be employed, for example, to authenticate - remote commands. - - id: si-3.10 - class: SP800-53-enhancement - title: Malicious Code Analysis - params: - - id: si-3.10_prm_1 - label: organization-defined tools and techniques - props: - - name: label - value: SI-3(10) - - name: sort-id - value: SI-03(10) - parts: - - id: si-3.10_smt - name: statement - parts: - - id: si-3.10_smt.a - name: item - props: - - name: label - value: (a) - prose: "Employ the following tools and techniques to analyze\ - \ the characteristics and behavior of malicious code: {{ insert:\ - \ param, si-3.10_prm_1 }}; and" - - id: si-3.10_smt.b - name: item - props: - - name: label - value: (b) - prose: Incorporate the results from malicious code analysis - into organizational incident response and flaw remediation - processes. - - id: si-3.10_gdn - name: guidance - prose: The use of malicious code analysis tools provides organizations - with a more in-depth understanding of adversary tradecraft (i.e., - tactics, techniques, and procedures) and the functionality and - purpose of specific instances of malicious code. Understanding - the characteristics of malicious code facilitates effective organizational - responses to current and future threats. Organizations can conduct - malicious code analyses by employing reverse engineering techniques - or by monitoring the behavior of executing code. - - id: si-4 - class: SP800-53 - title: System Monitoring - params: - - id: si-4_prm_1 - label: organization-defined monitoring objectives - - id: si-4_prm_2 - label: organization-defined techniques and methods - - id: si-4_prm_3 - label: organization-defined system monitoring information - - id: si-4_prm_4 - label: organization-defined personnel or roles - - id: si-4_prm_5 - select: - how-many: one-or-more - choice: - - as needed - - " {{ insert: param, si-4_prm_6 }} " - - id: si-4_prm_6 - depends-on: si-4_prm_5 - label: organization-defined frequency - props: - - name: label - value: SI-4 - - name: sort-id - value: SI-04 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b" - rel: reference - - href: "#8b0f8559-1185-45f9-b0a9-876d7b3c1c7b" - rel: reference - - href: "#02d8ec60-6197-43f8-9f47-18732127963e" - rel: reference - - href: "#41e2e2c6-2260-4258-85c8-09db17c43103" - rel: reference - - href: "#c3b34083-77b2-4dab-a980-73068f8933bd" - rel: reference - - href: "#ac-2" - rel: related - - href: "#ac-3" - rel: related - - href: "#ac-4" - rel: related - - href: "#ac-8" - rel: related - - href: "#ac-17" - rel: related - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-7" - rel: related - - href: "#au-9" - rel: related - - href: "#au-12" - rel: related - - href: "#au-13" - rel: related - - href: "#au-14" - rel: related - - href: "#ca-7" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-6" - rel: related - - href: "#cm-8" - rel: related - - href: "#cm-11" - rel: related - - href: "#ia-10" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#pm-12" - rel: related - - href: "#ra-5" - rel: related - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-18" - rel: related - - href: "#sc-26" - rel: related - - href: "#sc-31" - rel: related - - href: "#sc-35" - rel: related - - href: "#sc-36" - rel: related - - href: "#sc-37" - rel: related - - href: "#sc-43" - rel: related - - href: "#si-3" - rel: related - - href: "#si-6" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - parts: - - id: si-4_smt - name: statement - parts: - - id: si-4_smt.a - name: item - props: - - name: label - value: a. - prose: "Monitor the system to detect:" - parts: - - id: si-4_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "Attacks and indicators of potential attacks in accordance\ - \ with the following monitoring objectives: {{ insert: param,\ - \ si-4_prm_1 }}; and" - - id: si-4_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Unauthorized local, network, and remote connections; - - id: si-4_smt.b - name: item - props: - - name: label - value: b. - prose: "Identify unauthorized use of the system through the following\ - \ techniques and methods: {{ insert: param, si-4_prm_2 }};" - - id: si-4_smt.c - name: item - props: - - name: label - value: c. - prose: "Invoke internal monitoring capabilities or deploy monitoring\ - \ devices:" - parts: - - id: si-4_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: Strategically within the system to collect organization-determined - essential information; and - - id: si-4_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: At ad hoc locations within the system to track specific - types of transactions of interest to the organization; - - id: si-4_smt.d - name: item - props: - - name: label - value: d. - prose: Protect information obtained from intrusion-monitoring tools - from unauthorized access, modification, and deletion; - - id: si-4_smt.e - name: item - props: - - name: label - value: e. - prose: Adjust the level of system monitoring activity when there - is a change in risk to organizational operations and assets, individuals, - other organizations, or the Nation; - - id: si-4_smt.f - name: item - props: - - name: label - value: f. - prose: Obtain legal opinion regarding system monitoring activities; - and - - id: si-4_smt.g - name: item - props: - - name: label - value: g. - prose: "Provide {{ insert: param, si-4_prm_3 }} to {{ insert: param,\ - \ si-4_prm_4 }} {{ insert: param, si-4_prm_5 }}." - - id: si-4_gdn - name: guidance - prose: System monitoring includes external and internal monitoring. - External monitoring includes the observation of events occurring at - system boundaries. Internal monitoring includes the observation of - events occurring within the system. Organizations monitor systems, - for example, by observing audit activities in real time or by observing - other system aspects such as access patterns, characteristics of access, - and other actions. The monitoring objectives guide and inform the - determination of the events. System monitoring capability is achieved - through a variety of tools and techniques, including intrusion detection - and prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, and network monitoring software. - Depending on the security architecture implementation, the distribution - and configuration of monitoring devices may impact throughput at key - internal and external boundaries, and at other locations across a - network due to the introduction of network throughput latency. If - throughput management is needed, such devices are strategically located - and deployed as part of an established organization-wide security - architecture. Strategic locations for monitoring devices include selected - perimeter locations and near key servers and server farms supporting - critical applications. Monitoring devices are typically employed at - the managed interfaces associated with controls SC-7 and AC-17. The - information collected is a function of the organizational monitoring - objectives and the capability of systems to support such objectives. - Specific types of transactions of interest include Hyper Text Transfer - Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring - is an integral part of organizational continuous monitoring and incident - response programs and output from system monitoring serves as input - to those programs. System monitoring requirements, including the need - for specific types of system monitoring, may be referenced in other - controls (e.g., AC-2g, AC-2(7), AC-2(12)(a), AC-17(1), AU-13, AU-13(1), - AU-13(2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5(3)(b), SC-7a, SC-7(24)(b), - SC-18c, SC-43b). Adjustments to levels of system monitoring are based - on law enforcement information, intelligence information, or other - sources of information. The legality of system monitoring activities - is based on applicable laws, executive orders, directives, regulations, - policies, standards, and guidelines. - controls: - - id: si-4.1 - class: SP800-53-enhancement - title: System-wide Intrusion Detection System - props: - - name: label - value: SI-4(1) - - name: sort-id - value: SI-04(01) - parts: - - id: si-4.1_smt - name: statement - prose: Connect and configure individual intrusion detection tools - into a system-wide intrusion detection system. - - id: si-4.1_gdn - name: guidance - prose: Linking individual intrusion detection tools into a system-wide - intrusion detection system provides additional coverage and effective - detection capability. The information contained in one intrusion - detection tool can be shared widely across the organization making - the system-wide detection capability more robust and powerful. - - id: si-4.2 - class: SP800-53-enhancement - title: Automated Tools and Mechanisms for Real-time Analysis - props: - - name: label - value: SI-4(2) - - name: sort-id - value: SI-04(02) - links: - - href: "#pm-23" - rel: related - - href: "#pm-25" - rel: related - parts: - - id: si-4.2_smt - name: statement - prose: Employ automated tools and mechanisms to support near real-time - analysis of events. - - id: si-4.2_gdn - name: guidance - prose: Automated tools and mechanisms include host-based, network-based, - transport-based, or storage-based event monitoring tools and mechanisms - or Security Information and Event Management technologies that - provide real time analysis of alerts and notifications generated - by organizational systems. Automated monitoring techniques can - create unintended privacy risks because automated controls may - connect to external or otherwise unrelated systems. The matching - of records between these systems may create linkages with unintended - consequences. Organizations assess and document these risks in - their privacy impact assessment and make determinations that are - in alignment with their privacy program plan. - - id: si-4.3 - class: SP800-53-enhancement - title: Automated Tool and Mechanism Integration - props: - - name: label - value: SI-4(3) - - name: sort-id - value: SI-04(03) - links: - - href: "#pm-23" - rel: related - - href: "#pm-25" - rel: related - parts: - - id: si-4.3_smt - name: statement - prose: Employ automated tools and mechanisms to integrate intrusion - detection tools and mechanisms into access control and flow control - mechanisms. - - id: si-4.3_gdn - name: guidance - prose: Using automated tools and mechanisms to integrate intrusion - detection tools and mechanisms into access and flow control mechanisms - facilitates a rapid response to attacks by enabling reconfiguration - of mechanisms in support of attack isolation and elimination. - - id: si-4.4 - class: SP800-53-enhancement - title: Inbound and Outbound Communications Traffic - params: - - id: si-4.4_prm_1 - label: organization-defined frequency - props: - - name: label - value: SI-4(4) - - name: sort-id - value: SI-04(04) - parts: - - id: si-4.4_smt - name: statement - prose: "Monitor inbound and outbound communications traffic {{ insert:\ - \ param, si-4.4_prm_1 }} for unusual or unauthorized activities\ - \ or conditions." - - id: si-4.4_gdn - name: guidance - prose: Unusual or unauthorized activities or conditions related - to system inbound and outbound communications traffic include - internal traffic that indicates the presence of malicious code - within organizational systems or propagating among system components; - the unauthorized exporting of information; or signaling to external - systems. Evidence of malicious code is used to identify potentially - compromised systems or system components. - - id: si-4.5 - class: SP800-53-enhancement - title: System-generated Alerts - params: - - id: si-4.5_prm_1 - label: organization-defined personnel or roles - - id: si-4.5_prm_2 - label: organization-defined compromise indicators - props: - - name: label - value: SI-4(5) - - name: sort-id - value: SI-04(05) - links: - - href: "#au-4" - rel: related - - href: "#au-5" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: si-4.5_smt - name: statement - prose: "Alert {{ insert: param, si-4.5_prm_1 }} when the following\ - \ system-generated indications of compromise or potential compromise\ - \ occur: {{ insert: param, si-4.5_prm_2 }}." - - id: si-4.5_gdn - name: guidance - prose: Alerts may be generated from a variety of sources, including - audit records or inputs from malicious code protection mechanisms; - intrusion detection or prevention mechanisms; or boundary protection - devices such as firewalls, gateways, and routers. Alerts can be - automated and may be transmitted, for example, telephonically, - by electronic mail messages, or by text messaging. Organizational - personnel on the alert notification list can include system administrators, - mission or business owners, system owners, senior agency information - security officers, senior agency officials for privacy, system - security officers, or privacy officers. This control enhancement - addresses the security alerts generated by the system. Alternatively, - alerts generated by organizations in SI-4(12) focus on information - sources external to the system such as suspicious activity reports - and reports on potential insider threats. - - id: si-4.6 - class: SP800-53-enhancement - title: Restrict Non-privileged Users - props: - - name: label - value: SI-4(6) - - name: status - value: Withdrawn - - name: sort-id - value: SI-04(06) - links: - - href: "#ac-6.10" - rel: incorporated-into - - id: si-4.7 - class: SP800-53-enhancement - title: Automated Response to Suspicious Events - params: - - id: si-4.7_prm_1 - label: organization-defined incident response personnel (identified - by name and/or by role) - - id: si-4.7_prm_2 - label: organization-defined least-disruptive actions to terminate - suspicious events - props: - - name: label - value: SI-4(7) - - name: sort-id - value: SI-04(07) - parts: - - id: si-4.7_smt - name: statement - parts: - - id: si-4.7_smt.a - name: item - props: - - name: label - value: (a) - prose: "Notify {{ insert: param, si-4.7_prm_1 }} of detected\ - \ suspicious events; and" - - id: si-4.7_smt.b - name: item - props: - - name: label - value: (b) - prose: "Take the following actions upon detection: {{ insert:\ - \ param, si-4.7_prm_2 }}." - - id: si-4.7_gdn - name: guidance - prose: Least-disruptive actions include initiating requests for - human responses. - - id: si-4.8 - class: SP800-53-enhancement - title: Protection of Monitoring Information - props: - - name: label - value: SI-4(8) - - name: status - value: Withdrawn - - name: sort-id - value: SI-04(08) - links: - - href: "#si-4" - rel: incorporated-into - - id: si-4.9 - class: SP800-53-enhancement - title: Testing of Monitoring Tools and Mechanisms - params: - - id: si-4.9_prm_1 - label: organization-defined frequency - props: - - name: label - value: SI-4(9) - - name: sort-id - value: SI-04(09) - links: - - href: "#cp-9" - rel: related - parts: - - id: si-4.9_smt - name: statement - prose: "Test intrusion-monitoring tools and mechanisms {{ insert:\ - \ param, si-4.9_prm_1 }}." - - id: si-4.9_gdn - name: guidance - prose: Testing intrusion-monitoring tools and mechanism is necessary - to ensure that the tools and mechanisms are operating correctly - and continue to satisfy the monitoring objectives of organizations. - The frequency and depth of testing depends on the types of tools - and mechanisms used by organizations and the methods of deployment. - - id: si-4.10 - class: SP800-53-enhancement - title: Visibility of Encrypted Communications - params: - - id: si-4.10_prm_1 - label: organization-defined encrypted communications traffic - - id: si-4.10_prm_2 - label: organization-defined system monitoring tools and mechanisms - props: - - name: label - value: SI-4(10) - - name: sort-id - value: SI-04(10) - parts: - - id: si-4.10_smt - name: statement - prose: "Make provisions so that {{ insert: param, si-4.10_prm_1\ - \ }} is visible to {{ insert: param, si-4.10_prm_2 }}." - - id: si-4.10_gdn - name: guidance - prose: Organizations balance the need for encrypting communications - traffic to protect data confidentiality with the need for having - visibility into such traffic from a monitoring perspective. Organizations - determine whether the visibility requirement applies to internal - encrypted traffic, encrypted traffic intended for external destinations, - or a subset of the traffic types. - - id: si-4.11 - class: SP800-53-enhancement - title: Analyze Communications Traffic Anomalies - params: - - id: si-4.11_prm_1 - label: organization-defined interior points within the system - props: - - name: label - value: SI-4(11) - - name: sort-id - value: SI-04(11) - parts: - - id: si-4.11_smt - name: statement - prose: "Analyze outbound communications traffic at the external\ - \ interfaces to the system and selected {{ insert: param, si-4.11_prm_1\ - \ }} to discover anomalies." - - id: si-4.11_gdn - name: guidance - prose: Organization-defined interior points include subnetworks - and subsystems. Anomalies within organizational systems include - large file transfers, long-time persistent connections, attempts - to access information from unexpected locations, the use of unusual - protocols and ports, the use of unmonitored network protocols - (e.g. IPv6 usage during IPv4 transition), and attempted communications - with suspected malicious external addresses. - - id: si-4.12 - class: SP800-53-enhancement - title: Automated Organization-generated Alerts - params: - - id: si-4.12_prm_1 - label: organization-defined personnel or roles - - id: si-4.12_prm_2 - label: organization-defined automated mechanisms - - id: si-4.12_prm_3 - label: organization-defined activities that trigger alerts - props: - - name: label - value: SI-4(12) - - name: sort-id - value: SI-04(12) - parts: - - id: si-4.12_smt - name: statement - prose: "Alert {{ insert: param, si-4.12_prm_1 }} using {{ insert:\ - \ param, si-4.12_prm_2 }} when the following indications of inappropriate\ - \ or unusual activities with security or privacy implications\ - \ occur: {{ insert: param, si-4.12_prm_3 }}." - - id: si-4.12_gdn - name: guidance - prose: Organizational personnel on the system alert notification - list include system administrators, mission or business owners, - system owners, senior agency information security officer, senior - agency official for privacy, system security officers, or privacy - officers. This control enhancement focuses on the security alerts - generated by organizations and transmitted using automated means. - In contrast to the alerts generated by systems in SI-4(5) that - focus on information sources that are internal to the systems - such as audit records, the sources of information for this enhancement - focus on other entities such as suspicious activity reports and - reports on potential insider threats. - - id: si-4.13 - class: SP800-53-enhancement - title: Analyze Traffic and Event Patterns - props: - - name: label - value: SI-4(13) - - name: sort-id - value: SI-04(13) - parts: - - id: si-4.13_smt - name: statement - parts: - - id: si-4.13_smt.a - name: item - props: - - name: label - value: (a) - prose: Analyze communications traffic and event patterns for - the system; - - id: si-4.13_smt.b - name: item - props: - - name: label - value: (b) - prose: Develop profiles representing common traffic and event - patterns; and - - id: si-4.13_smt.c - name: item - props: - - name: label - value: (c) - prose: Use the traffic and event profiles in tuning system-monitoring - devices. - - id: si-4.13_gdn - name: guidance - prose: Identifying and understanding common communications traffic - and event patterns helps organizations provide useful information - to system monitoring devices to more effectively identify suspicious - or anomalous traffic and events when they occur. Such information - can help reduce the number of false positives and false negatives - during system monitoring. - - id: si-4.14 - class: SP800-53-enhancement - title: Wireless Intrusion Detection - props: - - name: label - value: SI-4(14) - - name: sort-id - value: SI-04(14) - links: - - href: "#ac-18" - rel: related - - href: "#ia-3" - rel: related - parts: - - id: si-4.14_smt - name: statement - prose: Employ a wireless intrusion detection system to identify - rogue wireless devices and to detect attack attempts and potential - compromises or breaches to the system. - - id: si-4.14_gdn - name: guidance - prose: Wireless signals may radiate beyond organizational facilities. - Organizations proactively search for unauthorized wireless connections, - including the conduct of thorough scans for unauthorized wireless - access points. Wireless scans are not limited to those areas within - facilities containing systems, but also include areas outside - of facilities to verify that unauthorized wireless access points - are not connected to organizational systems. - - id: si-4.15 - class: SP800-53-enhancement - title: Wireless to Wireline Communications - props: - - name: label - value: SI-4(15) - - name: sort-id - value: SI-04(15) - links: - - href: "#ac-18" - rel: related - parts: - - id: si-4.15_smt - name: statement - prose: Employ an intrusion detection system to monitor wireless - communications traffic as the traffic passes from wireless to - wireline networks. - - id: si-4.15_gdn - name: guidance - prose: Wireless networks are inherently less secure than wired networks. - For example, wireless networks are more susceptible to eavesdroppers - or traffic analysis than wireline networks. Employing intrusion - detection systems to monitor wireless communications traffic helps - to ensure that the traffic does not contain malicious code prior - to transitioning to the wireline network. - - id: si-4.16 - class: SP800-53-enhancement - title: Correlate Monitoring Information - props: - - name: label - value: SI-4(16) - - name: sort-id - value: SI-04(16) - links: - - href: "#au-6" - rel: related - parts: - - id: si-4.16_smt - name: statement - prose: Correlate information from monitoring tools and mechanisms - employed throughout the system. - - id: si-4.16_gdn - name: guidance - prose: Correlating information from different system monitoring - tools and mechanisms can provide a more comprehensive view of - system activity. Correlating system monitoring tools and mechanisms - that typically work in isolation, including malicious code protection - software, host monitoring, and network monitoring, can provide - an organization-wide monitoring view and may reveal otherwise - unseen attack patterns. Understanding capabilities and limitations - of diverse monitoring tools and mechanisms and how to maximize - the utility of information generated by those tools and mechanisms - can help organizations to develop, operate, and maintain effective - monitoring programs. Correlation of monitoring information is - especially important during the transition from older to newer - technologies (e.g., transitioning from IPv4 to IPv6 network protocols). - - id: si-4.17 - class: SP800-53-enhancement - title: Integrated Situational Awareness - props: - - name: label - value: SI-4(17) - - name: sort-id - value: SI-04(17) - links: - - href: "#au-16" - rel: related - - href: "#pe-6" - rel: related - parts: - - id: si-4.17_smt - name: statement - prose: Correlate information from monitoring physical, cyber, and - supply chain activities to achieve integrated, organization-wide - situational awareness. - - id: si-4.17_gdn - name: guidance - prose: Correlating monitoring information from a more diverse set - of information sources helps to achieve integrated situational - awareness. Integrated situational awareness from a combination - of physical, cyber, and supply chain monitoring activities enhances - the capability of organizations to more quickly detect sophisticated - attacks and investigate the methods and techniques employed to - carry out such attacks. In contrast to SI-4(16) that correlates - the various cyber monitoring information, this control enhancement - correlates monitoring beyond the cyber domain. Such monitoring - may help reveal attacks on organizations that are operating across - multiple attack vectors. - - id: si-4.18 - class: SP800-53-enhancement - title: Analyze Traffic and Covert Exfiltration - params: - - id: si-4.18_prm_1 - label: organization-defined interior points within the system - props: - - name: label - value: SI-4(18) - - name: sort-id - value: SI-04(18) - parts: - - id: si-4.18_smt - name: statement - prose: "Analyze outbound communications traffic at external interfaces\ - \ to the system and at the following interior points to detect\ - \ covert exfiltration of information: {{ insert: param, si-4.18_prm_1\ - \ }}." - - id: si-4.18_gdn - name: guidance - prose: Organization-defined interior points include subnetworks - and subsystems. Covert means that can be used to exfiltrate information - include steganography. - - id: si-4.19 - class: SP800-53-enhancement - title: Risk for Individuals - params: - - id: si-4.19_prm_1 - label: organization-defined additional monitoring - - id: si-4.19_prm_2 - label: organization-defined sources - props: - - name: label - value: SI-4(19) - - name: sort-id - value: SI-04(19) - parts: - - id: si-4.19_smt - name: statement - prose: "Implement {{ insert: param, si-4.19_prm_1 }} of individuals\ - \ who have been identified by {{ insert: param, si-4.19_prm_2\ - \ }} as posing an increased level of risk." - - id: si-4.19_gdn - name: guidance - prose: Indications of increased risk from individuals can be obtained - from different sources, including personnel records, intelligence - agencies, law enforcement organizations, and other sources. The - monitoring of individuals is coordinated with management, legal, - security, privacy and human resource officials conducting such - monitoring. Monitoring is conducted in accordance with applicable - laws, executive orders, directives, regulations, policies, standards, - and guidelines. - - id: si-4.20 - class: SP800-53-enhancement - title: Privileged Users - params: - - id: si-4.20_prm_1 - label: organization-defined additional monitoring - props: - - name: label - value: SI-4(20) - - name: sort-id - value: SI-04(20) - links: - - href: "#ac-18" - rel: related - parts: - - id: si-4.20_smt - name: statement - prose: "Implement the following additional monitoring of privileged\ - \ users: {{ insert: param, si-4.20_prm_1 }}." - - id: si-4.20_gdn - name: guidance - prose: Privileged users have access to more sensitive information, - including security-related information, than the general user - population. Access to such information means that privileged users - can potentially do greater damage to systems and organizations - than non-privileged users. Therefore, implementing additional - monitoring on privileged users helps to ensure that organizations - can identify malicious activity at the earliest possible time - and take appropriate actions. - - id: si-4.21 - class: SP800-53-enhancement - title: Probationary Periods - params: - - id: si-4.21_prm_1 - label: organization-defined probationary period - - id: si-4.21_prm_2 - label: organization-defined additional monitoring - props: - - name: label - value: SI-4(21) - - name: sort-id - value: SI-04(21) - links: - - href: "#ac-18" - rel: related - parts: - - id: si-4.21_smt - name: statement - prose: "Implement the following additional monitoring of individuals\ - \ during {{ insert: param, si-4.21_prm_1 }}: {{ insert: param,\ - \ si-4.21_prm_2 }}." - - id: si-4.21_gdn - name: guidance - prose: During probationary periods, employees do not have permanent - employment status within organizations. Without such status and - having access to information that is resident on the system, additional - monitoring can help identify any potentially malicious activity - or inappropriate behavior. - - id: si-4.22 - class: SP800-53-enhancement - title: Unauthorized Network Services - params: - - id: si-4.22_prm_1 - label: organization-defined authorization or approval processes - - id: si-4.22_prm_2 - select: - how-many: one-or-more - choice: - - audit - - "alert {{ insert: param, si-4.22_prm_3 }} " - - id: si-4.22_prm_3 - depends-on: si-4.22_prm_2 - label: organization-defined personnel or roles - props: - - name: label - value: SI-4(22) - - name: sort-id - value: SI-04(22) - links: - - href: "#cm-7" - rel: related - parts: - - id: si-4.22_smt - name: statement - parts: - - id: si-4.22_smt.a - name: item - props: - - name: label - value: (a) - prose: "Detect network services that have not been authorized\ - \ or approved by {{ insert: param, si-4.22_prm_1 }}; and" - - id: si-4.22_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-4.22_prm_2 }} when detected." - - id: si-4.22_gdn - name: guidance - prose: Unauthorized or unapproved network services include services - in service-oriented architectures that lack organizational verification - or validation and therefore may be unreliable or serve as malicious - rogues for valid services. - - id: si-4.23 - class: SP800-53-enhancement - title: Host-based Devices - params: - - id: si-4.23_prm_1 - label: organization-defined system components - - id: si-4.23_prm_2 - label: organization-defined host-based monitoring mechanisms - props: - - name: label - value: SI-4(23) - - name: sort-id - value: SI-04(23) - links: - - href: "#ac-18" - rel: related - - href: "#ac-19" - rel: related - parts: - - id: si-4.23_smt - name: statement - prose: "Implement the following host-based monitoring mechanisms\ - \ at {{ insert: param, si-4.23_prm_1 }}: {{ insert: param, si-4.23_prm_2\ - \ }}." - - id: si-4.23_gdn - name: guidance - prose: System components where host-based monitoring can be implemented - include servers, notebook computers, and mobile devices. Organizations - may consider employing host-based monitoring mechanisms from multiple - product developers or vendors. - - id: si-4.24 - class: SP800-53-enhancement - title: Indicators of Compromise - params: - - id: si-4.24_prm_1 - label: organization-defined personnel or roles - - id: si-4.24_prm_2 - label: organization-defined sources - props: - - name: label - value: SI-4(24) - - name: sort-id - value: SI-04(24) - links: - - href: "#ac-18" - rel: related - parts: - - id: si-4.24_smt - name: statement - prose: "Discover, collect, and distribute to {{ insert: param, si-4.24_prm_1\ - \ }}, indicators of compromise provided by {{ insert: param, si-4.24_prm_2\ - \ }}." - - id: si-4.24_gdn - name: guidance - prose: Indicators of compromise (IOC) are forensic artifacts from - intrusions that are identified on organizational systems at the - host or network level. IOCs provide valuable information on systems - that have been compromised. IOCs can include the creation of registry - key values. IOCs for network traffic include Universal Resource - Locator or protocol elements that indicate malicious code command - and control servers. The rapid distribution and adoption of IOCs - can improve information security by reducing the time that systems - and organizations are vulnerable to the same exploit or attack. - Threat indicators, signatures, tactics, techniques and procedures, - and other indicators of compromise may be available via government - and non-government cooperatives including Forum of Incident Response - and Security Teams, United States Computer Emergency Readiness - Team, Defense Industrial Base Cybersecurity Information Sharing - Program, and CERT Coordination Center. - - id: si-4.25 - class: SP800-53-enhancement - title: Optimize Network Traffic Analysis - props: - - name: label - value: SI-4(25) - - name: sort-id - value: SI-04(25) - parts: - - id: si-4.25_smt - name: statement - prose: Provide visibility into network traffic at external and key - internal system boundaries to optimize the effectiveness of monitoring - devices. - - id: si-4.25_gdn - name: guidance - prose: Encrypted traffic, asymmetric routing architectures, capacity - and latency limitations, and transitioning from older to newer - technologies (e.g., IPv4 to IPv6 network protocol transition), - may result in blind spots for organizations when analyzing network - traffic. Collecting, decrypting, pre-processing and distributing - only relevant traffic to monitoring devices can streamline efficiency - and use of the devices and optimize traffic analysis. - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - params: - - id: si-5_prm_1 - label: organization-defined external organizations - - id: si-5_prm_2 - select: - how-many: one-or-more - choice: - - " {{ insert: param, si-5_prm_3 }} " - - " {{ insert: param, si-5_prm_4 }} " - - " {{ insert: param, si-5_prm_5 }} " - - id: si-5_prm_3 - depends-on: si-5_prm_2 - label: organization-defined personnel or roles - - id: si-5_prm_4 - depends-on: si-5_prm_2 - label: organization-defined elements within the organization - - id: si-5_prm_5 - depends-on: si-5_prm_2 - label: organization-defined external organizations - props: - - name: label - value: SI-5 - - name: sort-id - value: SI-05 - links: - - href: "#1126ec09-2b27-4a21-80b2-fef70b31c49d" - rel: reference - - href: "#pm-15" - rel: related - - href: "#ra-5" - rel: related - - href: "#si-2" - rel: related - parts: - - id: si-5_smt - name: statement - parts: - - id: si-5_smt.a - name: item - props: - - name: label - value: a. - prose: "Receive system security alerts, advisories, and directives\ - \ from {{ insert: param, si-5_prm_1 }} on an ongoing basis;" - - id: si-5_smt.b - name: item - props: - - name: label - value: b. - prose: Generate internal security alerts, advisories, and directives - as deemed necessary; - - id: si-5_smt.c - name: item - props: - - name: label - value: c. - prose: "Disseminate security alerts, advisories, and directives\ - \ to: {{ insert: param, si-5_prm_2 }}; and" - - id: si-5_smt.d - name: item - props: - - name: label - value: d. - prose: Implement security directives in accordance with established - time frames, or notify the issuing organization of the degree - of noncompliance. - - id: si-5_gdn - name: guidance - prose: The Cybersecurity and Infrastructure Security Agency (CISA) generates - security alerts and advisories to maintain situational awareness throughout - the federal government. Security directives are issued by OMB or other - designated organizations with the responsibility and authority to - issue such directives. Compliance with security directives is essential - due to the critical nature of many of these directives and the potential - (immediate) adverse effects on organizational operations and assets, - individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include - supply chain partners, external mission or business partners, external - service providers, and other peer or supporting organizations. - controls: - - id: si-5.1 - class: SP800-53-enhancement - title: Automated Alerts and Advisories - params: - - id: si-5.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: SI-5(1) - - name: sort-id - value: SI-05(01) - parts: - - id: si-5.1_smt - name: statement - prose: "Broadcast security alert and advisory information throughout\ - \ the organization using {{ insert: param, si-5.1_prm_1 }}." - - id: si-5.1_gdn - name: guidance - prose: The significant number of changes to organizational systems - and environments of operation requires the dissemination of security-related - information to a variety of organizational entities that have - a direct interest in the success of organizational missions and - business functions. Based on information provided by security - alerts and advisories, changes may be required at one or more - of the three levels related to the management of information security - and privacy risk, including the governance level, mission and - business process level, and the information system level. - - id: si-6 - class: SP800-53 - title: Security and Privacy Function Verification - params: - - id: si-6_prm_1 - label: organization-defined security and privacy functions - - id: si-6_prm_2 - select: - how-many: one-or-more - choice: - - " {{ insert: param, si-6_prm_3 }} " - - upon command by user with appropriate privilege - - " {{ insert: param, si-6_prm_4 }} " - - id: si-6_prm_3 - depends-on: si-6_prm_2 - label: organization-defined system transitional states - - id: si-6_prm_4 - depends-on: si-6_prm_2 - label: organization-defined frequency - - id: si-6_prm_5 - label: organization-defined personnel or roles - - id: si-6_prm_6 - select: - how-many: one-or-more - choice: - - Shut the system down - - Restart the system - - " {{ insert: param, si-6_prm_7 }} " - - id: si-6_prm_7 - depends-on: si-6_prm_6 - label: organization-defined alternative action(s) - props: - - name: label - value: SI-6 - - name: sort-id - value: SI-06 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ca-7" - rel: related - - href: "#cm-4" - rel: related - - href: "#cm-6" - rel: related - - href: "#si-7" - rel: related - parts: - - id: si-6_smt - name: statement - parts: - - id: si-6_smt.a - name: item - props: - - name: label - value: a. - prose: "Verify the correct operation of {{ insert: param, si-6_prm_1\ - \ }};" - - id: si-6_smt.b - name: item - props: - - name: label - value: b. - prose: "Perform the verification of the functions specified in SI-6a\ - \ {{ insert: param, si-6_prm_2 }};" - - id: si-6_smt.c - name: item - props: - - name: label - value: c. - prose: "Notify {{ insert: param, si-6_prm_5 }} of failed security\ - \ and privacy verification tests; and" - - id: si-6_smt.d - name: item - props: - - name: label - value: d. - prose: "{{ insert: param, si-6_prm_6 }} when anomalies are discovered." - - id: si-6_gdn - name: guidance - prose: Transitional states for systems include system startup, restart, - shutdown, and abort. System notifications include hardware indicator - lights, electronic alerts to system administrators, and messages to - local computer consoles. In contrast to security function verification, - privacy function verification ensures that privacy functions operate - as expected and are approved by the senior agency official for privacy, - or that privacy attributes are applied or used as expected. - controls: - - id: si-6.1 - class: SP800-53-enhancement - title: Notification of Failed Security Tests - props: - - name: label - value: SI-6(1) - - name: status - value: Withdrawn - - name: sort-id - value: SI-06(01) - links: - - href: "#si-6" - rel: incorporated-into - - id: si-6.2 - class: SP800-53-enhancement - title: Automation Support for Distributed Testing - props: - - name: label - value: SI-6(2) - - name: sort-id - value: SI-06(02) - links: - - href: "#si-2" - rel: related - parts: - - id: si-6.2_smt - name: statement - prose: Implement automated mechanisms to support the management - of distributed security and privacy function testing. - - id: si-6.2_gdn - name: guidance - prose: The use of automated mechanisms to support the management - of distributed function testing helps to ensure the integrity, - timeliness, completeness, and efficacy of such testing. - - id: si-6.3 - class: SP800-53-enhancement - title: Report Verification Results - params: - - id: si-6.3_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SI-6(3) - - name: sort-id - value: SI-06(03) - links: - - href: "#si-4" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: si-6.3_smt - name: statement - prose: "Report the results of security and privacy function verification\ - \ to {{ insert: param, si-6.3_prm_1 }}." - - id: si-6.3_gdn - name: guidance - prose: Organizational personnel with potential interest in the results - of the verification of security and privacy function include systems - security officers, senior agency information security officers, - and senior agency officials for privacy. - - id: si-7 - class: SP800-53 - title: Software, Firmware, and Information Integrity - params: - - id: si-7_prm_1 - label: organization-defined software, firmware, and information - - id: si-7_prm_2 - label: organization-defined actions - props: - - name: label - value: SI-7 - - name: sort-id - value: SI-07 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#14a7d982-9747-48e0-a877-3e8fbf6ae381" - rel: reference - - href: "#e9224c9b-4fa5-40b7-bfbb-02bff7712d92" - rel: reference - - href: "#ac-4" - rel: related - - href: "#cm-3" - rel: related - - href: "#cm-7" - rel: related - - href: "#cm-8" - rel: related - - href: "#ma-3" - rel: related - - href: "#ma-4" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sc-8" - rel: related - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - - href: "#sc-28" - rel: related - - href: "#sc-37" - rel: related - - href: "#si-3" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: si-7_smt - name: statement - parts: - - id: si-7_smt.a - name: item - props: - - name: label - value: a. - prose: "Employ integrity verification tools to detect unauthorized\ - \ changes to the following software, firmware, and information:\ - \ {{ insert: param, si-7_prm_1 }}; and" - - id: si-7_smt.b - name: item - props: - - name: label - value: b. - prose: "Take the following actions when unauthorized changes to\ - \ the software, firmware, and information are detected: {{ insert:\ - \ param, si-7_prm_2 }}." - - id: si-7_gdn - name: guidance - prose: Unauthorized changes to software, firmware, and information can - occur due to errors or malicious activity. Software includes operating - systems (with key internal components such as kernels, drivers), middleware, - and applications. Firmware includes the Basic Input Output System - (BIOS). Information includes personally identifiable information and - metadata containing security and privacy attributes associated with - information. Integrity-checking mechanisms, including parity checks, - cyclical redundancy checks, cryptographic hashes, and associated tools - can automatically monitor the integrity of systems and hosted applications. - controls: - - id: si-7.1 - class: SP800-53-enhancement - title: Integrity Checks - params: - - id: si-7.1_prm_1 - label: organization-defined software, firmware, and information - - id: si-7.1_prm_2 - select: - how-many: one-or-more - choice: - - at startup - - "at {{ insert: param, si-7.1_prm_3 }} " - - " {{ insert: param, si-7.1_prm_4 }} " - - id: si-7.1_prm_3 - depends-on: si-7.1_prm_2 - label: organization-defined transitional states or security-relevant - events - - id: si-7.1_prm_4 - depends-on: si-7.1_prm_2 - label: organization-defined frequency - props: - - name: label - value: SI-7(1) - - name: sort-id - value: SI-07(01) - parts: - - id: si-7.1_smt - name: statement - prose: "Perform an integrity check of {{ insert: param, si-7.1_prm_1\ - \ }} {{ insert: param, si-7.1_prm_2 }}." - - id: si-7.1_gdn - name: guidance - prose: Security-relevant events include the identification of a - new threat to which organizational systems are susceptible, and - the installation of new hardware, software, or firmware. Transitional - states include system startup, restart, shutdown, and abort. - - id: si-7.2 - class: SP800-53-enhancement - title: Automated Notifications of Integrity Violations - params: - - id: si-7.2_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SI-7(2) - - name: sort-id - value: SI-07(02) - parts: - - id: si-7.2_smt - name: statement - prose: "Employ automated tools that provide notification to {{ insert:\ - \ param, si-7.2_prm_1 }} upon discovering discrepancies during\ - \ integrity verification." - - id: si-7.2_gdn - name: guidance - prose: The employment of automated tools to report system and information - integrity violations and to notify organizational personnel in - a timely matter is essential to effective risk response. Personnel - having an interest in system and information integrity violations - include mission and business owners, system owners, senior agency - information security official, senior agency official for privacy, - systems administrators, software developers, systems integrators, - and information security officers, and privacy officers. - - id: si-7.3 - class: SP800-53-enhancement - title: Centrally-managed Integrity Tools - props: - - name: label - value: SI-7(3) - - name: sort-id - value: SI-07(03) - links: - - href: "#au-3" - rel: related - - href: "#si-2" - rel: related - - href: "#si-8" - rel: related - parts: - - id: si-7.3_smt - name: statement - prose: Employ centrally managed integrity verification tools. - - id: si-7.3_gdn - name: guidance - prose: Centrally-managed integrity verification tools provides greater - consistency in the application of such tools and can facilitate - more comprehensive coverage of integrity verification actions. - - id: si-7.4 - class: SP800-53-enhancement - title: Tamper-evident Packaging - props: - - name: label - value: SI-7(4) - - name: status - value: Withdrawn - - name: sort-id - value: SI-07(04) - links: - - href: "#sr-9" - rel: incorporated-into - - id: si-7.5 - class: SP800-53-enhancement - title: Automated Response to Integrity Violations - params: - - id: si-7.5_prm_1 - select: - how-many: one-or-more - choice: - - shut the system down - - restart the system - - "implement {{ insert: param, si-7.5_prm_2 }} " - - id: si-7.5_prm_2 - depends-on: si-7.5_prm_1 - label: organization-defined controls - props: - - name: label - value: SI-7(5) - - name: sort-id - value: SI-07(05) - parts: - - id: si-7.5_smt - name: statement - prose: "Automatically {{ insert: param, si-7.5_prm_1 }} when integrity\ - \ violations are discovered." - - id: si-7.5_gdn - name: guidance - prose: Organizations may define different integrity checking responses - by type of information, by specific information, or a combination - of both. Types of information include firmware, software, and - user data. Specific information includes boot firmware for certain - types of machines. The automatic implementation of controls within - organizational systems includes reversing the changes, halting - the system, or triggering audit alerts when unauthorized modifications - to critical security files occur. - - id: si-7.6 - class: SP800-53-enhancement - title: Cryptographic Protection - props: - - name: label - value: SI-7(6) - - name: sort-id - value: SI-07(06) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-7.6_smt - name: statement - prose: Implement cryptographic mechanisms to detect unauthorized - changes to software, firmware, and information. - - id: si-7.6_gdn - name: guidance - prose: Cryptographic mechanisms used to protect integrity include - digital signatures and the computation and application of signed - hashes using asymmetric cryptography; protecting the confidentiality - of the key used to generate the hash; and using the public key - to verify the hash information. Organizations employing cryptographic - mechanisms also consider cryptographic key management solutions - (see SC-12 and SC-13). - - id: si-7.7 - class: SP800-53-enhancement - title: Integration of Detection and Response - params: - - id: si-7.7_prm_1 - label: organization-defined security-relevant changes to the system - props: - - name: label - value: SI-7(7) - - name: sort-id - value: SI-07(07) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#ir-4" - rel: related - - href: "#ir-5" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-7.7_smt - name: statement - prose: "Incorporate the detection of the following unauthorized\ - \ changes into the organizational incident response capability:\ - \ {{ insert: param, si-7.7_prm_1 }}." - - id: si-7.7_gdn - name: guidance - prose: This control enhancement helps to ensure that detected events - are tracked, monitored, corrected, and available for historical - purposes. Maintaining historical records is important both for - being able to identify and discern adversary actions over an extended - time-period and for possible legal actions. Security-relevant - changes include unauthorized changes to established configuration - settings or unauthorized elevation of system privileges. - - id: si-7.8 - class: SP800-53-enhancement - title: Auditing Capability for Significant Events - params: - - id: si-7.8_prm_1 - select: - how-many: one-or-more - choice: - - generate an audit record - - alert current user - - "alert {{ insert: param, si-7.8_prm_2 }} " - - " {{ insert: param, si-7.8_prm_3 }} " - - id: si-7.8_prm_2 - depends-on: si-7.8_prm_1 - label: organization-defined personnel or roles - - id: si-7.8_prm_3 - depends-on: si-7.8_prm_1 - label: organization-defined other actions - props: - - name: label - value: SI-7(8) - - name: sort-id - value: SI-07(08) - links: - - href: "#au-2" - rel: related - - href: "#au-6" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-7.8_smt - name: statement - prose: "Upon detection of a potential integrity violation, provide\ - \ the capability to audit the event and initiate the following\ - \ actions: {{ insert: param, si-7.8_prm_1 }}." - - id: si-7.8_gdn - name: guidance - prose: Organizations select response actions based on types of software, - specific software, or information for which there are potential - integrity violations. - - id: si-7.9 - class: SP800-53-enhancement - title: Verify Boot Process - params: - - id: si-7.9_prm_1 - label: organization-defined system components - props: - - name: label - value: SI-7(9) - - name: sort-id - value: SI-07(09) - links: - - href: "#si-6" - rel: related - parts: - - id: si-7.9_smt - name: statement - prose: "Verify the integrity of the boot process of the following\ - \ system components: {{ insert: param, si-7.9_prm_1 }}." - - id: si-7.9_gdn - name: guidance - prose: Ensuring the integrity of boot processes is critical to starting - system components in known, trustworthy states. Integrity verification - mechanisms provide a level of assurance that only trusted code - is executed during boot processes. - - id: si-7.10 - class: SP800-53-enhancement - title: Protection of Boot Firmware - params: - - id: si-7.10_prm_1 - label: organization-defined system components - - id: si-7.10_prm_2 - label: organization-defined mechanisms - props: - - name: label - value: SI-7(10) - - name: sort-id - value: SI-07(10) - links: - - href: "#si-6" - rel: related - parts: - - id: si-7.10_smt - name: statement - prose: "Implement the following mechanisms to protect the integrity\ - \ of boot firmware in {{ insert: param, si-7.10_prm_1 }}: {{ insert:\ - \ param, si-7.10_prm_2 }}." - - id: si-7.10_gdn - name: guidance - prose: Unauthorized modifications to boot firmware may indicate - a sophisticated, targeted attack. These types of targeted attacks - can result in a permanent denial of service or a persistent malicious - code presence. These situations can occur, for example, if the - firmware is corrupted or if the malicious code is embedded within - the firmware. System components can protect the integrity of boot - firmware in organizational systems by verifying the integrity - and authenticity of all updates to the firmware prior to applying - changes to the system component; and preventing unauthorized processes - from modifying the boot firmware. - - id: si-7.11 - class: SP800-53-enhancement - title: Confined Environments with Limited Privileges - props: - - name: label - value: SI-7(11) - - name: status - value: Withdrawn - - name: sort-id - value: SI-07(11) - links: - - href: "#cm-7.6" - rel: moved-to - - id: si-7.12 - class: SP800-53-enhancement - title: Integrity Verification - params: - - id: si-7.12_prm_1 - label: organization-defined user-installed software - props: - - name: label - value: SI-7(12) - - name: sort-id - value: SI-07(12) - links: - - href: "#cm-11" - rel: related - parts: - - id: si-7.12_smt - name: statement - prose: "Require that the integrity of the following user-installed\ - \ software be verified prior to execution: {{ insert: param, si-7.12_prm_1\ - \ }}." - - id: si-7.12_gdn - name: guidance - prose: Organizations verify the integrity of user-installed software - prior to execution to reduce the likelihood of executing malicious - code or executing code that contains errors from unauthorized - modifications. Organizations consider the practicality of approaches - to verifying software integrity, including availability of checksums - of adequate trustworthiness from software developers or vendors. - - id: si-7.13 - class: SP800-53-enhancement - title: Code Execution in Protected Environments - props: - - name: label - value: SI-7(13) - - name: status - value: Withdrawn - - name: sort-id - value: SI-07(13) - links: - - href: "#cm-7.7" - rel: moved-to - - id: si-7.14 - class: SP800-53-enhancement - title: Binary or Machine Executable Code - props: - - name: label - value: SI-7(14) - - name: status - value: Withdrawn - - name: sort-id - value: SI-07(14) - links: - - href: "#cm-7.8" - rel: moved-to - - id: si-7.15 - class: SP800-53-enhancement - title: Code Authentication - params: - - id: si-7.15_prm_1 - label: organization-defined software or firmware components - props: - - name: label - value: SI-7(15) - - name: sort-id - value: SI-07(15) - links: - - href: "#cm-5" - rel: related - parts: - - id: si-7.15_smt - name: statement - prose: "Implement cryptographic mechanisms to authenticate the following\ - \ software or firmware components prior to installation: {{ insert:\ - \ param, si-7.15_prm_1 }}." - - id: si-7.15_gdn - name: guidance - prose: Cryptographic authentication includes verifying that software - or firmware components have been digitally signed using certificates - recognized and approved by organizations. Code signing is an effective - method to protect against malicious code. Organizations employing - cryptographic mechanisms also consider cryptographic key management - solutions (see SC-12 and SC-13). - - id: si-7.16 - class: SP800-53-enhancement - title: Time Limit on Process Execution Without Supervision - params: - - id: si-7.16_prm_1 - label: organization-defined time-period - props: - - name: label - value: SI-7(16) - - name: sort-id - value: SI-07(16) - parts: - - id: si-7.16_smt - name: statement - prose: "Prohibit processes from executing without supervision for\ - \ more than {{ insert: param, si-7.16_prm_1 }}." - - id: si-7.16_gdn - name: guidance - prose: This control enhancement addresses processes for which typical - or normal execution periods can be determined and situations in - which organizations exceed such periods. Supervision includes - timers on operating systems, automated responses, or manual oversight - and response when system process anomalies occur. - - id: si-7.17 - class: SP800-53-enhancement - title: Runtime Application Self-protection - params: - - id: si-7.17_prm_1 - label: organization-defined controls - props: - - name: label - value: SI-7(17) - - name: sort-id - value: SI-07(17) - links: - - href: "#si-16" - rel: related - parts: - - id: si-7.17_smt - name: statement - prose: "Implement {{ insert: param, si-7.17_prm_1 }} for application\ - \ self-protection at runtime." - - id: si-7.17_gdn - name: guidance - prose: This control enhancement employs runtime instrumentation - to detect and block the exploitation of software vulnerabilities - by taking advantage of information from the software in execution. - Runtime exploit prevention differs from traditional perimeter-based - protections such as guards and firewalls, that can only detect - and block attacks by using network information without contextual - awareness. Runtime application self-protection technology can - reduce the susceptibility of software to attacks by monitoring - its inputs, and blocking those inputs that could allow attacks. - It can also help protect the runtime environment from unwanted - changes and tampering. When a threat is detected, runtime application - self-protection technology can prevent exploitation and take other - actions (e.g., sending a warning message to the user, terminating - the user's session, terminating the application, or sending an - alert to organizational personnel). Runtime application self-protection - solutions can be deployed in either a monitor or protection mode. - - id: si-8 - class: SP800-53 - title: Spam Protection - props: - - name: label - value: SI-8 - - name: sort-id - value: SI-08 - links: - - href: "#23b0a203-c020-47dd-b86c-9f8c35ecaa4e" - rel: reference - - href: "#64e044e4-b2a9-490f-a079-1106407c812f" - rel: reference - - href: "#sc-5" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-8_smt - name: statement - parts: - - id: si-8_smt.a - name: item - props: - - name: label - value: a. - prose: Employ spam protection mechanisms at system entry and exit - points to detect and act on unsolicited messages; and - - id: si-8_smt.b - name: item - props: - - name: label - value: b. - prose: Update spam protection mechanisms when new releases are available - in accordance with organizational configuration management policy - and procedures. - - id: si-8_gdn - name: guidance - prose: System entry and exit points include firewalls, remote-access - servers, electronic mail servers, web servers, proxy servers, workstations, - notebook computers, and mobile devices. Spam can be transported by - different means, including email, email attachments, and web accesses. - Spam protection mechanisms include signature definitions. - controls: - - id: si-8.1 - class: SP800-53-enhancement - title: Central Management - props: - - name: label - value: SI-8(1) - - name: sort-id - value: SI-08(01) - links: - - href: "#au-3" - rel: related - - href: "#cm-6" - rel: related - - href: "#si-2" - rel: related - - href: "#si-7" - rel: related - parts: - - id: si-8.1_smt - name: statement - prose: Centrally manage spam protection mechanisms. - - id: si-8.1_gdn - name: guidance - prose: Central management is the organization-wide management and - implementation of spam protection mechanisms. Central management - includes planning, implementing, assessing, authorizing, and monitoring - the organization-defined, centrally managed spam protection controls. - - id: si-8.2 - class: SP800-53-enhancement - title: Automatic Updates - params: - - id: si-8.2_prm_1 - label: organization-defined frequency - props: - - name: label - value: SI-8(2) - - name: sort-id - value: SI-08(02) - parts: - - id: si-8.2_smt - name: statement - prose: "Automatically update spam protection mechanisms {{ insert:\ - \ param, si-8.2_prm_1 }}." - - id: si-8.2_gdn - name: guidance - prose: Using automated mechanisms to update spam protection mechanisms - helps to ensure that updates occur on a regular basis and provide - the latest content and protection capability. - - id: si-8.3 - class: SP800-53-enhancement - title: Continuous Learning Capability - props: - - name: label - value: SI-8(3) - - name: sort-id - value: SI-08(03) - parts: - - id: si-8.3_smt - name: statement - prose: Implement spam protection mechanisms with a learning capability - to more effectively identify legitimate communications traffic. - - id: si-8.3_gdn - name: guidance - prose: Learning mechanisms include Bayesian filters that respond - to user inputs identifying specific traffic as spam or legitimate - by updating algorithm parameters and thereby more accurately separating - types of traffic. - - id: si-9 - class: SP800-53 - title: Information Input Restrictions - props: - - name: label - value: SI-9 - - name: status - value: Withdrawn - - name: sort-id - value: SI-09 - links: - - href: "#ac-2" - rel: incorporated-into - - href: "#ac-3" - rel: incorporated-into - - href: "#ac-5" - rel: incorporated-into - - href: "#ac-6" - rel: incorporated-into - - id: si-10 - class: SP800-53 - title: Information Input Validation - params: - - id: si-10_prm_1 - label: organization-defined information inputs to the system - props: - - name: label - value: SI-10 - - name: sort-id - value: SI-10 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - parts: - - id: si-10_smt - name: statement - prose: "Check the validity of the following information inputs: {{ insert:\ - \ param, si-10_prm_1 }}." - - id: si-10_gdn - name: guidance - prose: Checking the valid syntax and semantics of system inputs, including - character set, length, numerical range, and acceptable values, verifies - that inputs match specified definitions for format and content. For - example, if the organization specifies that numerical values between - 1-100 are the only acceptable inputs for a field in a given application, - inputs of 387, abc, or %K% are invalid inputs and are not accepted - as input to the system. Valid inputs are likely to vary from field - to field within a software application. Applications typically follow - well-defined protocols that use structured messages (i.e., commands - or queries) to communicate between software modules or system components. - Structured messages can contain raw or unstructured data interspersed - with metadata or control information. If software applications use - attacker-supplied inputs to construct structured messages without - properly encoding such messages, then the attacker could insert malicious - commands or special characters that can cause the data to be interpreted - as control information or metadata. Consequently, the module or component - that receives the corrupted output will perform the wrong operations - or otherwise interpret the data incorrectly. Prescreening inputs prior - to passing to interpreters prevents the content from being unintentionally - interpreted as commands. Input validation ensures accurate and correct - inputs and prevent attacks such as cross-site scripting and a variety - of injection attacks. - controls: - - id: si-10.1 - class: SP800-53-enhancement - title: Manual Override Capability - params: - - id: si-10.1_prm_1 - label: organization-defined inputs - - id: si-10.1_prm_2 - label: organization-defined authorized individuals - props: - - name: label - value: SI-10(1) - - name: sort-id - value: SI-10(01) - links: - - href: "#ac-3" - rel: related - - href: "#au-2" - rel: related - - href: "#au-12" - rel: related - parts: - - id: si-10.1_smt - name: statement - parts: - - id: si-10.1_smt.a - name: item - props: - - name: label - value: (a) - prose: "Provide a manual override capability for input validation\ - \ of the following information inputs: {{ insert: param, si-10.1_prm_1\ - \ }};" - - id: si-10.1_smt.b - name: item - props: - - name: label - value: (b) - prose: "Restrict the use of the manual override capability to\ - \ only {{ insert: param, si-10.1_prm_2 }}; and" - - id: si-10.1_smt.c - name: item - props: - - name: label - value: (c) - prose: Audit the use of the manual override capability. - - id: si-10.1_gdn - name: guidance - prose: In certain situations, for example, during events that are - defined in contingency plans, a manual override capability for - input validation may be needed. Manual overrides are used only - in limited circumstances and with the inputs defined by the organization. - - id: si-10.2 - class: SP800-53-enhancement - title: Review and Resolve Errors - params: - - id: si-10.2_prm_1 - label: organization-defined time-period - props: - - name: label - value: SI-10(2) - - name: sort-id - value: SI-10(02) - parts: - - id: si-10.2_smt - name: statement - prose: "Review and resolve input validation errors within {{ insert:\ - \ param, si-10.2_prm_1 }}." - - id: si-10.2_gdn - name: guidance - prose: Resolution of input validation errors includes correcting - systemic causes of errors and resubmitting transactions with corrected - input. - - id: si-10.3 - class: SP800-53-enhancement - title: Predictable Behavior - props: - - name: label - value: SI-10(3) - - name: sort-id - value: SI-10(03) - parts: - - id: si-10.3_smt - name: statement - prose: Verify that the system behaves in a predictable and documented - manner when invalid inputs are received. - - id: si-10.3_gdn - name: guidance - prose: A common vulnerability in organizational systems is unpredictable - behavior when invalid inputs are received. This control enhancement - ensures that there is predictable behavior when the system receives - invalid inputs by specifying system responses that allow the system - to transition to known states without adverse, unintended side - effects. The invalid inputs are those inputs related to the information - inputs defined by the organization in the base control. - - id: si-10.4 - class: SP800-53-enhancement - title: Timing Interactions - props: - - name: label - value: SI-10(4) - - name: sort-id - value: SI-10(04) - parts: - - id: si-10.4_smt - name: statement - prose: Account for timing interactions among system components in - determining appropriate responses for invalid inputs. - - id: si-10.4_gdn - name: guidance - prose: In addressing invalid system inputs received across protocol - interfaces, timing interactions become relevant, where one protocol - needs to consider the impact of the error response on other protocols - in the protocol stack. For example, 802.11 standard wireless network - protocols do not interact well with Transmission Control Protocols - (TCP) when packets are dropped (which could be due to invalid - packet input). TCP assumes packet losses are due to congestion, - while packets lost over 802.11 links are typically dropped due - to noise or collisions on the link. If TCP makes a congestion - response, it takes the wrong action in response to a collision - event. Adversaries may be able to use what appears to be acceptable - individual behaviors of the protocols in concert to achieve adverse - effects through suitable construction of invalid input. - - id: si-10.5 - class: SP800-53-enhancement - title: Restrict Inputs to Trusted Sources and Approved Formats - params: - - id: si-10.5_prm_1 - label: organization-defined trusted sources - - id: si-10.5_prm_2 - label: organization-defined formats - props: - - name: label - value: SI-10(5) - - name: sort-id - value: SI-10(05) - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: si-10.5_smt - name: statement - prose: "Restrict the use of information inputs to {{ insert: param,\ - \ si-10.5_prm_1 }} and/or {{ insert: param, si-10.5_prm_2 }}." - - id: si-10.5_gdn - name: guidance - prose: This control enhancement applies the concept of whitelisting - to information inputs. Specifying known trusted sources for information - inputs and acceptable formats for such inputs can reduce the probability - of malicious activity. - - id: si-10.6 - class: SP800-53-enhancement - title: Injection Prevention - props: - - name: label - value: SI-10(6) - - name: sort-id - value: SI-10(06) - links: - - href: "#ac-3" - rel: related - - href: "#ac-6" - rel: related - parts: - - id: si-10.6_smt - name: statement - prose: Prevent untrusted data injections. - - id: si-10.6_gdn - name: guidance - prose: Untrusted data injections may be prevented using, for example, - a parameterized interface or output escaping (output encoding). - Parameterized interfaces separate data from code so injections - of malicious or unintended data cannot change the semantics of - the command being sent. Output escaping uses specified characters - to inform the interpreter’s parser whether data is trusted. - - id: si-11 - class: SP800-53 - title: Error Handling - params: - - id: si-11_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SI-11 - - name: sort-id - value: SI-11 - links: - - href: "#au-2" - rel: related - - href: "#au-3" - rel: related - - href: "#sc-31" - rel: related - - href: "#si-2" - rel: related - parts: - - id: si-11_smt - name: statement - parts: - - id: si-11_smt.a - name: item - props: - - name: label - value: a. - prose: Generate error messages that provide information necessary - for corrective actions without revealing information that could - be exploited; and - - id: si-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Reveal error messages only to {{ insert: param, si-11_prm_1\ - \ }}." - - id: si-11_gdn - name: guidance - prose: Organizations consider the structure and the content of error - messages. The extent to which systems can handle error conditions - is guided and informed by organizational policy and operational requirements. - Exploitable information includes stack traces and implementation details; - erroneous logon attempts with passwords mistakenly entered as the - username; mission or business information that can be derived from, - if not stated explicitly by, the information recorded; and personally - identifiable information such as account numbers, social security - numbers, and credit card numbers. Error messages may also provide - a covert channel for transmitting information. - - id: si-12 - class: SP800-53 - title: Information Management and Retention - props: - - name: label - value: SI-12 - - name: sort-id - value: SI-12 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#ac-1" - rel: related - - href: "#at-1" - rel: related - - href: "#au-1" - rel: related - - href: "#ca-1" - rel: related - - href: "#cm-1" - rel: related - - href: "#cp-1" - rel: related - - href: "#ia-1" - rel: related - - href: "#ir-1" - rel: related - - href: "#ma-1" - rel: related - - href: "#mp-1" - rel: related - - href: "#pe-1" - rel: related - - href: "#pl-1" - rel: related - - href: "#pm-1" - rel: related - - href: "#ps-1" - rel: related - - href: "#pt-1" - rel: related - - href: "#ra-1" - rel: related - - href: "#sa-1" - rel: related - - href: "#sc-1" - rel: related - - href: "#si-1" - rel: related - - href: "#sr-1" - rel: related - - href: "#ac-16" - rel: related - - href: "#au-5" - rel: related - - href: "#au-11" - rel: related - - href: "#ca-2" - rel: related - - href: "#ca-3" - rel: related - - href: "#ca-5" - rel: related - - href: "#ca-6" - rel: related - - href: "#ca-7" - rel: related - - href: "#ca-9" - rel: related - - href: "#cm-5" - rel: related - - href: "#cm-9" - rel: related - - href: "#cp-2" - rel: related - - href: "#ir-8" - rel: related - - href: "#mp-2" - rel: related - - href: "#mp-3" - rel: related - - href: "#mp-4" - rel: related - - href: "#mp-6" - rel: related - - href: "#pl-2" - rel: related - - href: "#pl-4" - rel: related - - href: "#pm-4" - rel: related - - href: "#pm-8" - rel: related - - href: "#pm-9" - rel: related - - href: "#ps-2" - rel: related - - href: "#ps-6" - rel: related - - href: "#pt-1" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-2" - rel: related - - href: "#ra-3" - rel: related - - href: "#sa-5" - rel: related - - href: "#sr-1" - rel: related - parts: - - id: si-12_smt - name: statement - prose: Manage and retain information within the system and information - output from the system in accordance with applicable laws, executive - orders, directives, regulations, policies, standards, guidelines and - operational requirements. - - id: si-12_gdn - name: guidance - prose: Information management and retention requirements cover the full - life cycle of information, in some cases extending beyond system disposal. - Information to be retained may also include policies, procedures, - plans, and other types of administrative information. The National - Archives and Records Administration (NARA) provides federal policy - and guidance on records retention. If organizations have a records - management office, consider coordinating with records management personnel. - controls: - - id: si-12.1 - class: SP800-53-enhancement - title: Limit Personally Identifiable Information Elements - params: - - id: si-12.1_prm_1 - label: organization-defined elements of personally identifiable - information - props: - - name: label - value: SI-12(1) - - name: sort-id - value: SI-12(01) - links: - - href: "#pm-25" - rel: related - - href: "#pt-2" - rel: related - - href: "#pt-3" - rel: related - - href: "#ra-3" - rel: related - parts: - - id: si-12.1_smt - name: statement - prose: "Limit personally identifiable information being processed\ - \ in the information life cycle to the following elements of PII:\ - \ {{ insert: param, si-12.1_prm_1 }}." - - id: si-12.1_gdn - name: guidance - prose: Limiting the use of personally identifiable information throughout - the information life cycle when the information is not needed - for operational purposes helps to reduce the level of privacy - risk created by a system. The information life cycle includes - information creation, collection, use, processing, storage, maintenance, - dissemination, disclosure, and disposition. Risk assessments as - well as applicable laws, regulations, and policies can provide - useful inputs to determining which elements of personally identifiable - information may create risk. - - id: si-12.2 - class: SP800-53-enhancement - title: Minimize Personally Identifiable Information in Testing, Training, - and Research - params: - - id: si-12.2_prm_1 - label: organization-defined techniques - props: - - name: label - value: SI-12(2) - - name: sort-id - value: SI-12(02) - links: - - href: "#pm-22" - rel: related - - href: "#pm-25" - rel: related - - href: "#si-19" - rel: related - parts: - - id: si-12.2_smt - name: statement - prose: "Use the following techniques to minimize the use of personally\ - \ identifiable information for research, testing, or training:\ - \ {{ insert: param, si-12.2_prm_1 }}." - - id: si-12.2_gdn - name: guidance - prose: Organizations can minimize the risk to an individual’s privacy - by employing techniques such as de-identification or synthetic - data. Limiting the use of personally identifiable information - throughout the information life cycle when the information is - not needed for research, testing, or training helps reduce the - level of privacy risk created by a system. Risk assessments as - well as applicable laws, regulations, and policies can provide - useful inputs to determining the techniques to use and when to - use them. - - id: si-12.3 - class: SP800-53-enhancement - title: Information Disposal - params: - - id: si-12.3_prm_1 - label: organization-defined techniques - props: - - name: label - value: SI-12(3) - - name: sort-id - value: SI-12(03) - links: - - href: "#mp-6" - rel: related - parts: - - id: si-12.3_smt - name: statement - prose: "Use the following techniques to dispose of, destroy, or\ - \ erase information following the retention period: {{ insert:\ - \ param, si-12.3_prm_1 }}." - - id: si-12.3_gdn - name: guidance - prose: Organizations can minimize both security and privacy risks - by disposing of information when it is no longer needed. Disposal - or destruction of information applies to originals as well as - copies and archived records, including system logs that may contain - personally identifiable information. - - id: si-13 - class: SP800-53 - title: Predictable Failure Prevention - params: - - id: si-13_prm_1 - label: organization-defined system components - - id: si-13_prm_2 - label: organization-defined MTTF substitution criteria - props: - - name: label - value: SI-13 - - name: sort-id - value: SI-13 - links: - - href: "#cp-2" - rel: related - - href: "#cp-10" - rel: related - - href: "#cp-13" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#sa-8" - rel: related - - href: "#sc-6" - rel: related - parts: - - id: si-13_smt - name: statement - parts: - - id: si-13_smt.a - name: item - props: - - name: label - value: a. - prose: "Determine mean time to failure (MTTF) for the following\ - \ system components in specific environments of operation: {{\ - \ insert: param, si-13_prm_1 }}; and" - - id: si-13_smt.b - name: item - props: - - name: label - value: b. - prose: "Provide substitute system components and a means to exchange\ - \ active and standby components in accordance with the following\ - \ criteria: {{ insert: param, si-13_prm_2 }}." - - id: si-13_gdn - name: guidance - prose: While MTTF is primarily a reliability issue, this control addresses - potential failures of system components that provide security capability. - Failure rates reflect installation-specific consideration, not industry-average. - Organizations define the criteria for substitution of system components - based on the MTTF value with consideration for resulting potential - harm from component failures. Transfer of responsibilities between - active and standby components does not compromise safety, operational - readiness, or security capability. This includes preservation of system - state variables. Standby components remain available at all times - except for maintenance issues or recovery failures in progress. - controls: - - id: si-13.1 - class: SP800-53-enhancement - title: Transferring Component Responsibilities - params: - - id: si-13.1_prm_1 - label: organization-defined fraction or percentage - props: - - name: label - value: SI-13(1) - - name: sort-id - value: SI-13(01) - parts: - - id: si-13.1_smt - name: statement - prose: "Take system components out of service by transferring component\ - \ responsibilities to substitute components no later than {{ insert:\ - \ param, si-13.1_prm_1 }} of mean time to failure." - - id: si-13.1_gdn - name: guidance - prose: Transferring primary system component responsibilities to - other substitute components prior to primary component failure - is important to reduce the risk of degraded or debilitated mission - or business operations. Making such transfers based on a percentage - of mean time to failure allows organizations to be proactive based - on their risk tolerance. However, premature replacement of system - components can result in increased cost of system operations. - - id: si-13.2 - class: SP800-53-enhancement - title: Time Limit on Process Execution Without Supervision - props: - - name: label - value: SI-13(2) - - name: status - value: Withdrawn - - name: sort-id - value: SI-13(02) - links: - - href: "#si-7.16" - rel: incorporated-into - - id: si-13.3 - class: SP800-53-enhancement - title: Manual Transfer Between Components - params: - - id: si-13.3_prm_1 - label: organization-defined percentage - props: - - name: label - value: SI-13(3) - - name: sort-id - value: SI-13(03) - parts: - - id: si-13.3_smt - name: statement - prose: "Manually initiate transfers between active and standby system\ - \ components when the use of the active component reaches {{ insert:\ - \ param, si-13.3_prm_1 }} of the mean time to failure." - - id: si-13.3_gdn - name: guidance - prose: For example, if the MTTF for a system component is one hundred - days and the organization-defined percentage is ninety percent, - the manual transfer would occur after ninety days. - - id: si-13.4 - class: SP800-53-enhancement - title: Standby Component Installation and Notification - params: - - id: si-13.4_prm_1 - label: organization-defined time-period - - id: si-13.4_prm_2 - select: - how-many: one-or-more - choice: - - "Activate {{ insert: param, si-13.4_prm_3 }} " - - Automatically shut down the system - - " {{ insert: param, si-13.4_prm_4 }} " - - id: si-13.4_prm_3 - depends-on: si-13.4_prm_2 - label: organization-defined alarm - - id: si-13.4_prm_4 - depends-on: si-13.4_prm_2 - label: organization-defined action - props: - - name: label - value: SI-13(4) - - name: sort-id - value: SI-13(04) - parts: - - id: si-13.4_smt - name: statement - prose: "If system component failures are detected:" - parts: - - id: si-13.4_smt.a - name: item - props: - - name: label - value: (a) - prose: "Ensure that the standby components are successfully\ - \ and transparently installed within {{ insert: param, si-13.4_prm_1\ - \ }}; and" - - id: si-13.4_smt.b - name: item - props: - - name: label - value: (b) - prose: "{{ insert: param, si-13.4_prm_2 }}." - - id: si-13.4_gdn - name: guidance - prose: Automatic or manual transfer of components from standby to - active mode can occur, for example, upon detection of component - failures. - - id: si-13.5 - class: SP800-53-enhancement - title: Failover Capability - params: - - id: si-13.5_prm_1 - select: - choice: - - real-time - - near real-time - - id: si-13.5_prm_2 - label: organization-defined failover capability - props: - - name: label - value: SI-13(5) - - name: sort-id - value: SI-13(05) - links: - - href: "#cp-6" - rel: related - - href: "#cp-7" - rel: related - - href: "#cp-9" - rel: related - parts: - - id: si-13.5_smt - name: statement - prose: "Provide {{ insert: param, si-13.5_prm_1 }} {{ insert: param,\ - \ si-13.5_prm_2 }} for the system." - - id: si-13.5_gdn - name: guidance - prose: Failover refers to the automatic switchover to an alternate - system upon the failure of the primary system. Failover capability - includes incorporating mirrored system operations at alternate - processing sites or periodic data mirroring at regular intervals - defined by recovery time-periods of organizations. - - id: si-14 - class: SP800-53 - title: Non-persistence - params: - - id: si-14_prm_1 - label: organization-defined system components and services - - id: si-14_prm_2 - select: - how-many: one-or-more - choice: - - upon end of session of use - - "periodically at {{ insert: param, si-14_prm_3 }} " - - id: si-14_prm_3 - depends-on: si-14_prm_2 - label: organization-defined frequency - props: - - name: label - value: SI-14 - - name: sort-id - value: SI-14 - links: - - href: "#sc-30" - rel: related - - href: "#sc-34" - rel: related - - href: "#si-21" - rel: related - parts: - - id: si-14_smt - name: statement - prose: "Implement non-persistent {{ insert: param, si-14_prm_1 }} that\ - \ are initiated in a known state and terminated {{ insert: param,\ - \ si-14_prm_2 }}." - - id: si-14_gdn - name: guidance - prose: This control mitigates risk from advanced persistent threats - (APTs) by significantly reducing the targeting capability of adversaries - (i.e., window of opportunity and available attack surface) to initiate - and complete attacks. By implementing the concept of non-persistence - for selected system components, organizations can provide a known - state computing resource for a specific time-period that does not - give adversaries sufficient time to exploit vulnerabilities in organizational - systems and the environments in which those systems operate. Since - the APT is a high-end, sophisticated threat regarding capability, - intent, and targeting, organizations assume that over an extended - period, a percentage of attacks will be successful. Non-persistent - system components and services are activated as required using protected - information and terminated periodically or at the end of sessions. - Non-persistence increases the work factor of adversaries in attempting - to compromise or breach organizational systems. Non-persistence can - be achieved by refreshing system components by periodically re-imaging - components or by using a variety of common virtualization techniques. - Non-persistent services can be implemented by using virtualization - techniques as part of virtual machines or as new instances of processes - on physical machines (either persistent or non-persistent). The benefit - of periodic refreshes of system components and services is that it - does not require organizations to first determine whether compromises - of components or services have occurred (something that may often - be difficult to determine). The refresh of selected system components - and services occurs with sufficient frequency to prevent the spread - or intended impact of attacks, but not with such frequency that it - makes the system unstable. Refreshes of critical components and services - may be done periodically to hinder the ability of adversaries to exploit - optimum windows of vulnerabilities. - controls: - - id: si-14.1 - class: SP800-53-enhancement - title: Refresh from Trusted Sources - params: - - id: si-14.1_prm_1 - label: organization-defined trusted sources - props: - - name: label - value: SI-14(1) - - name: sort-id - value: SI-14(01) - parts: - - id: si-14.1_smt - name: statement - prose: "Obtain software and data employed during system component\ - \ and service refreshes from the following trusted sources: {{\ - \ insert: param, si-14.1_prm_1 }}." - - id: si-14.1_gdn - name: guidance - prose: Trusted sources include software and data from write-once, - read-only media or from selected off-line secure storage facilities. - - id: si-14.2 - class: SP800-53-enhancement - title: Non-persistent Information - params: - - id: si-14.2_prm_1 - select: - choice: - - "refresh {{ insert: param, si-14.2_prm_2 }} {{ insert: param,\ - \ si-14.2_prm_3 }} " - - "generate {{ insert: param, si-14.2_prm_4 }} on demand" - - id: si-14.2_prm_2 - depends-on: si-14.2_prm_1 - label: organization-defined information - - id: si-14.2_prm_3 - depends-on: si-14.2_prm_1 - label: organization-defined frequency - - id: si-14.2_prm_4 - depends-on: si-14.2_prm_1 - label: organization-defined information - props: - - name: label - value: SI-14(2) - - name: sort-id - value: SI-14(02) - parts: - - id: si-14.2_smt - name: statement - parts: - - id: si-14.2_smt.a - name: item - props: - - name: label - value: (a) - prose: "{{ insert: param, si-14.2_prm_1 }}; and" - - id: si-14.2_smt.b - name: item - props: - - name: label - value: (b) - prose: Delete information when no longer needed. - - id: si-14.2_gdn - name: guidance - prose: Retaining information longer than it is needed makes the - information a potential target for advanced adversaries searching - for high value assets to compromise through unauthorized disclosure, - unauthorized modification, or exfiltration. For system-related - information, unnecessary retention provides advanced adversaries - information that can assist in their reconnaissance and lateral - movement through the system. - - id: si-14.3 - class: SP800-53-enhancement - title: Non-persistent Connectivity - params: - - id: si-14.3_prm_1 - select: - choice: - - completion of a request - - a period of non-use - props: - - name: label - value: SI-14(3) - - name: sort-id - value: SI-14(03) - links: - - href: "#sc-10" - rel: related - parts: - - id: si-14.3_smt - name: statement - prose: "Establish connections to the system on demand and terminate\ - \ connections after {{ insert: param, si-14.3_prm_1 }}." - - id: si-14.3_gdn - name: guidance - prose: Persistent connections to systems can provide advanced adversaries - with paths to move laterally through systems, and potentially - position themselves closer to high value assets. Limiting the - availability of such connections impedes the adversary’s ability - to move freely organizational systems. - - id: si-15 - class: SP800-53 - title: Information Output Filtering - params: - - id: si-15_prm_1 - label: organization-defined software programs and/or applications - props: - - name: label - value: SI-15 - - name: sort-id - value: SI-15 - links: - - href: "#si-3" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-15_smt - name: statement - prose: "Validate information output from the following software programs\ - \ and/or applications to ensure that the information is consistent\ - \ with the expected content: {{ insert: param, si-15_prm_1 }}." - - id: si-15_gdn - name: guidance - prose: Certain types of attacks, including SQL injections, produce output - results that are unexpected or inconsistent with the output results - that would be expected from software programs or applications. Information - output filtering focuses on detecting extraneous content, preventing - such extraneous content from being displayed, and then alerting monitoring - tools that anomalous behavior has been discovered. - - id: si-16 - class: SP800-53 - title: Memory Protection - params: - - id: si-16_prm_1 - label: organization-defined controls - props: - - name: label - value: SI-16 - - name: sort-id - value: SI-16 - links: - - href: "#ac-25" - rel: related - - href: "#sc-3" - rel: related - parts: - - id: si-16_smt - name: statement - prose: "Implement the following controls to protect the system memory\ - \ from unauthorized code execution: {{ insert: param, si-16_prm_1\ - \ }}." - - id: si-16_gdn - name: guidance - prose: Some adversaries launch attacks with the intent of executing - code in non-executable regions of memory or in memory locations that - are prohibited. Controls employed to protect memory include data execution - prevention and address space layout randomization. Data execution - prevention controls can either be hardware-enforced or software-enforced - with hardware enforcement providing the greater strength of mechanism. - - id: si-17 - class: SP800-53 - title: Fail-safe Procedures - params: - - id: si-17_prm_1 - label: organization-defined list of failure conditions and associated - fail-safe procedures - props: - - name: label - value: SI-17 - - name: sort-id - value: SI-17 - links: - - href: "#cp-12" - rel: related - - href: "#cp-13" - rel: related - - href: "#sc-24" - rel: related - - href: "#si-13" - rel: related - parts: - - id: si-17_smt - name: statement - prose: "Implement the indicated fail-safe procedures when the indicated\ - \ failures occur: {{ insert: param, si-17_prm_1 }}." - - id: si-17_gdn - name: guidance - prose: Failure conditions include loss of communications among critical - system components or between system components and operational facilities. - Fail-safe procedures include alerting operator personnel and providing - specific instructions on subsequent steps to take. These steps include - doing nothing, reestablishing system settings, shutting down processes, - restarting the system, or contacting designated organizational personnel. - - id: si-18 - class: SP800-53 - title: Personally Identifiable Information Quality Operations - params: - - id: si-18_prm_1 - label: organization-defined frequency - props: - - name: label - value: SI-18 - - name: sort-id - value: SI-18 - links: - - href: "#eadef75e-7e4d-4554-b818-44946c1dde0e" - rel: reference - - href: "#pm-22" - rel: related - - href: "#pm-24" - rel: related - - href: "#si-4" - rel: related - parts: - - id: si-18_smt - name: statement - parts: - - id: si-18_smt.a - name: item - props: - - name: label - value: a. - prose: "Check the accuracy, relevance, timeliness, and completeness\ - \ of personally identifiable information across the information\ - \ life cycle {{ insert: param, si-18_prm_1 }}; and" - - id: si-18_smt.b - name: item - props: - - name: label - value: b. - prose: Correct or delete inaccurate or outdated personally identifiable - information. - - id: si-18_gdn - name: guidance - prose: Personally identifiable information quality operations include - the steps that organizations take to confirm the accuracy and relevance - of personally identifiable information throughout the information - life cycle. The information life cycle includes the creation, collection, - use, processing, storage, maintenance, dissemination, disclosure, - and disposal of personally identifiable information. Personally identifiable - information quality operations include editing and validating addresses - as they are collected or entered into systems using automated address - verification look-up application programming interfaces. Checking - personally identifiable information quality includes the tracking - of updates or changes to data over time, which enables organizations - to know how and what personally identifiable information was changed - should erroneous information be identified. The measures taken to - protect personally identifiable information quality are based on the - nature and context of the personally identifiable information, how - it is to be used, how it was obtained, and potential de-identification - methods employed. The measures taken to validate the accuracy of personally - identifiable information used to make determinations about the rights, - benefits, or privileges of individuals covered under federal programs - may be more comprehensive than the measures used to validate personally - identifiable information used for less sensitive purposes. - controls: - - id: si-18.1 - class: SP800-53-enhancement - title: Automation - params: - - id: si-18.1_prm_1 - label: organization-defined automated mechanisms - props: - - name: label - value: SI-18(1) - - name: sort-id - value: SI-18(01) - links: - - href: "#pm-18" - rel: related - - href: "#pm-22" - rel: related - - href: "#ra-8" - rel: related - parts: - - id: si-18.1_smt - name: statement - prose: "Correct or delete personally identifiable information that\ - \ is inaccurate or outdated, incorrectly determined regarding\ - \ impact, or incorrectly de-identified using {{ insert: param,\ - \ si-18.1_prm_1 }}." - - id: si-18.1_gdn - name: guidance - prose: The use of automated mechanisms to improve data quality may - inadvertently create privacy risks. Automated tools may connect - to external or otherwise unrelated systems, and the matching of - records between these systems may create linkages with unintended - consequences. Organizations assess and document these risks in - their privacy impact assessment and make determinations that are - in alignment with their privacy program plan. As data is obtained - and used across the information life cycle, it is important to - confirm the accuracy and relevance of personally identifiable - information. Automated mechanisms can augment existing data quality - processes and procedures and enable an organization to better - identify and manage personally identifiable information in large-scale - systems. For example, automated tools can greatly improve efforts - to consistently normalize data or identify malformed data. Automated - tools can also be used to improve auditing of data and detect - errors that may incorrectly alter personally identifiable information - or incorrectly associate such information with the wrong individual. - Automated capabilities backstop processes and procedures at-scale - and enable more fine-grained detection and correction of data - quality errors. - - id: si-18.2 - class: SP800-53-enhancement - title: Data Tags - props: - - name: label - value: SI-18(2) - - name: sort-id - value: SI-18(02) - links: - - href: "#sc-16" - rel: related - parts: - - id: si-18.2_smt - name: statement - prose: Employ data tags to automate the correction or deletion of - personally identifiable information across the information life - cycle within organizational systems. - - id: si-18.2_gdn - name: guidance - prose: Data tagging personally identifiable information includes - tags noting processing permissions, authority to process, de-identification, - impact level, information life cycle stage, and retention or last - updated dates. Employing data tags for personally identifiable - information can support the use of automation tools to correct - or delete relevant personally identifiable information. - - id: si-18.3 - class: SP800-53-enhancement - title: Collection - props: - - name: label - value: SI-18(3) - - name: sort-id - value: SI-18(03) - parts: - - id: si-18.3_smt - name: statement - prose: Collect personally identifiable information directly from - the individual. - - id: si-18.3_gdn - name: guidance - prose: Individuals, or their designated representatives, can be - a source of correct personally identifiable information about - themselves. Organizations consider contextual factors that may - incentivize individuals to provide correct data versus providing - false data. Additional steps may be necessary to validate collected - information based on the nature and context of the personally - identifiable information, how it is to be used, and how it was - obtained. Measures taken to validate the accuracy of personally - identifiable information used to make determinations about the - rights, benefits, or privileges of individuals under federal programs - may be more comprehensive than those used to validate less sensitive - personally identifiable information. - - id: si-18.4 - class: SP800-53-enhancement - title: Individual Requests - props: - - name: label - value: SI-18(4) - - name: sort-id - value: SI-18(04) - links: - - href: "#pm-22" - rel: related - parts: - - id: si-18.4_smt - name: statement - prose: Correct or delete personally identifiable information upon - request by individuals or their designated representatives. - - id: si-18.4_gdn - name: guidance - prose: Inaccurate personally identifiable information maintained - by organizations may cause problems for individuals, especially - in those business functions where inaccurate information may result - in inappropriate decisions or the denial of benefits and services - to individuals. Even correct information, in certain circumstances, - can cause problems for individuals that outweigh the benefits - of an organization maintaining the information. Organizations - use discretion in determining if personally identifiable information - is to be corrected or deleted, based on the scope of requests, - the changes sought, the impact of the changes, and applicable - laws, regulations, and policies. Organizational personnel consult - with the senior agency official for privacy and legal counsel - regarding appropriate instances of correction or deletion. - - id: si-18.5 - class: SP800-53-enhancement - title: Notice of Collection or Deletion - params: - - id: si-18.5_prm_1 - label: organization-defined recipients of personally identifiable - information - props: - - name: label - value: SI-18(5) - - name: sort-id - value: SI-18(05) - parts: - - id: si-18.5_smt - name: statement - prose: "Notify {{ insert: param, si-18.5_prm_1 }} and individuals\ - \ that the personally identifiable information has been corrected\ - \ or deleted." - - id: si-18.5_gdn - name: guidance - prose: When personally identifiable information is corrected or - deleted, organizations take steps to ensure that all authorized - recipients of such information, and the individual with which - the information is associated or their designated representative, - are informed of the corrected or deleted information. - - id: si-19 - class: SP800-53 - title: De-identification - params: - - id: si-19_prm_1 - label: organization-defined elements of personally identifiable information - - id: si-19_prm_2 - label: organization-defined frequency - props: - - name: label - value: SI-19 - - name: sort-id - value: SI-19 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#eadef75e-7e4d-4554-b818-44946c1dde0e" - rel: reference - - href: "#mp-6" - rel: related - - href: "#pm-22" - rel: related - - href: "#pm-23" - rel: related - - href: "#pm-24" - rel: related - - href: "#ra-2" - rel: related - - href: "#si-12" - rel: related - parts: - - id: si-19_smt - name: statement - parts: - - id: si-19_smt.a - name: item - props: - - name: label - value: a. - prose: "Remove the following elements of personally identifiable\ - \ information from datasets: {{ insert: param, si-19_prm_1 }};\ - \ and" - - id: si-19_smt.b - name: item - props: - - name: label - value: b. - prose: "Evaluate {{ insert: param, si-19_prm_2 }} for effectiveness\ - \ of de-identification." - - id: si-19_gdn - name: guidance - prose: De-identification is the general term for the process of removing - the association between a set of identifying data and the data subject. - Many datasets contain information about individuals that can be used - to distinguish or trace an individual’s identity, such as name, social - security number, date and place of birth, mother’s maiden name, or - biometric records. Datasets may also contain other information that - is linked or linkable to an individual, such as medical, educational, - financial, and employment information. Personally identifiable information - is removed from datasets by trained individuals when such information - is not (or no longer) necessary to satisfy the requirements envisioned - for the data. For example, if the dataset is only used to produce - aggregate statistics, the identifiers that are not needed for producing - those statistics are removed. Removing identifiers improves privacy - protection, since information that is removed cannot be inadvertently - disclosed or improperly used. Organizations may be subject to specific - de-identification definitions or methods under applicable laws, regulations, - or policies. Re-identification is a residual risk with de-identified - data. Re-identification attacks can vary including combining new datasets - or other improvements in data analytics. Maintaining awareness of - potential attacks and evaluating for the effectiveness of the de-identification - over time supports management of this residual risk. - controls: - - id: si-19.1 - class: SP800-53-enhancement - title: Collection - props: - - name: label - value: SI-19(1) - - name: sort-id - value: SI-19(01) - parts: - - id: si-19.1_smt - name: statement - prose: De-identify the dataset upon collection by not collecting - personally identifiable information. - - id: si-19.1_gdn - name: guidance - prose: If a data source contains personally identifiable information - but the information will not be used, the dataset can be de-identified - upon creation by not collecting the data elements containing the - personally identifiable information. For example, if an organization - does not intend to use the social security number of an applicant, - then application forms do not ask for a social security number. - - id: si-19.2 - class: SP800-53-enhancement - title: Archiving - props: - - name: label - value: SI-19(2) - - name: sort-id - value: SI-19(02) - parts: - - id: si-19.2_smt - name: statement - prose: Prohibit archiving of personally identifiable information - elements if those elements in a dataset will not be needed after - the dataset is archived. - - id: si-19.2_gdn - name: guidance - prose: Datasets can be archived for many reasons. The envisioned - purposes for the archived dataset are specified and if personally - identifiable information elements are not required, the elements - are not archived. For example, social security numbers may have - been collected for record linkage, but the archived dataset may - include the required elements from the linked records. In this - case, it is not necessary to archive the social security numbers. - - id: si-19.3 - class: SP800-53-enhancement - title: Release - props: - - name: label - value: SI-19(3) - - name: sort-id - value: SI-19(03) - parts: - - id: si-19.3_smt - name: statement - prose: Remove personally identifiable information elements from - a dataset prior to its release if those elements in the dataset - do not need to be part of the data release. - - id: si-19.3_gdn - name: guidance - prose: Prior to releasing a dataset, a data custodian considers - the intended uses of the dataset and determines if it is necessary - to release personally identifiable information. If the personally - identifiable information is not necessary, the information can - be removed using de-identification techniques. - - id: si-19.4 - class: SP800-53-enhancement - title: Removal, Masking, Encryption, Hashing, or Replacement of Direct - Identifiers - props: - - name: label - value: SI-19(4) - - name: sort-id - value: SI-19(04) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-19.4_smt - name: statement - prose: Remove, mask, encrypt, hash, or replace direct identifiers - in a dataset. - - id: si-19.4_gdn - name: guidance - prose: There are many possible processes for removing direct identifiers - from a dataset. Columns in a dataset that contain a direct identifier - can be removed. In masking, the direct identifier is transformed - into a repeating character, for example, XXXXXX or 999999. Identifiers - can be encrypted or hashed, so that the linked records remain - linked. In the case of encryption or hashing, algorithms are employed - that require the use of a key, including the Advanced Encryption - Standard or a Hash-based Message Authentication Code. Implementations - may use the same key for all identifiers or use a different key - for each identifier. Using a different key for each identifier - provides for a higher degree of security and privacy. Identifiers - can alternatively be replaced with a keyword, including transforming - “George Washington” to “PATIENT,” or replaced with a surrogate - value, for example, transforming “George Washington” to “Abraham - Polk.” - - id: si-19.5 - class: SP800-53-enhancement - title: Statistical Disclosure Control - props: - - name: label - value: SI-19(5) - - name: sort-id - value: SI-19(05) - parts: - - id: si-19.5_smt - name: statement - prose: Manipulate numerical data, contingency tables, and statistical - findings so that no person or organization is identifiable in - the results of the analysis. - - id: si-19.5_gdn - name: guidance - prose: Many types of statistical analyses can result in the disclosure - of information about individuals even if only summary information - is provided. For example, if a school publishes a monthly table - with the number of minority students, and in January the school - reports that it has 10-19 such students, but in March it reports - that it has 20-29 students, then it can be inferred that the student - who enrolled in February was a minority. - - id: si-19.6 - class: SP800-53-enhancement - title: Differential Privacy - props: - - name: label - value: SI-19(6) - - name: sort-id - value: SI-19(06) - links: - - href: "#sc-12" - rel: related - - href: "#sc-13" - rel: related - parts: - - id: si-19.6_smt - name: statement - prose: Prevent disclosure of personally identifiable information - by adding non-deterministic noise to the results of mathematical - operations before the results are reported. - - id: si-19.6_gdn - name: guidance - prose: The mathematical definition for differential privacy holds - that the result of a dataset analysis should be approximately - the same before and after the addition or removal of a single - data record (which is assumed to be the data from a single individual). - In its most basic form, differential privacy applies only to online - query systems. However, it can also be used to produce machine-learning - statistical classifiers and synthetic data. Differential privacy - comes at the cost of decreased accuracy of results, forcing organizations - to quantify the trade-off between privacy protection and the overall - accuracy, usefulness, and utility of the de-identified dataset. - Non-deterministic noise can include adding small random values - to the results of mathematical operations in dataset analysis. - - id: si-19.7 - class: SP800-53-enhancement - title: Validated Software - props: - - name: label - value: SI-19(7) - - name: sort-id - value: SI-19(07) - parts: - - id: si-19.7_smt - name: statement - prose: Perform de-identification using validated algorithms and - software that is validated to implement the algorithms. - - id: si-19.7_gdn - name: guidance - prose: Algorithms that appear to remove personally identifiable - information from a dataset may in fact leave information that - is personally identifiable or data that are re-identifiable. Software - that is claimed to implement a validated algorithm may contain - bugs or may implement a different algorithm. Software may de-identify - one type of data, for example, integers, but not another type - of data, for example, floating point numbers. For these reasons, - de-identification is performed using algorithms and software that - are validated. - - id: si-19.8 - class: SP800-53-enhancement - title: Motivated Intruder - props: - - name: label - value: SI-19(8) - - name: sort-id - value: SI-19(08) - parts: - - id: si-19.8_smt - name: statement - prose: Perform a motivated intruder test on the de-identified dataset - to determine if the identified data remains or if the de-identified - data can be re-identified. - - id: si-19.8_gdn - name: guidance - prose: A motivated intruder test is a test in which a person or - group takes a data release and specified resources and attempts - to re-identify one or more individuals in the de-identified dataset. - Such tests specify the amount of inside knowledge, computational - resources, financial resources, data, and skills that intruders - have at their disposal to conduct the tests. A motivated intruder - test can determine if de-identification is insufficient. It can - also be a useful diagnostic tool to assess if de-identification - is likely to be sufficient. However, the test alone cannot prove - that de-identification is sufficient. - - id: si-20 - class: SP800-53 - title: Tainting - params: - - id: si-20_prm_1 - label: organization-defined systems or system components - props: - - name: label - value: SI-20 - - name: sort-id - value: SI-20 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - parts: - - id: si-20_smt - name: statement - prose: "Embed data or capabilities in the following systems or system\ - \ components to determine if organizational data has been exfiltrated\ - \ or improperly removed from the organization: {{ insert: param, si-20_prm_1\ - \ }}." - - id: si-20_gdn - name: guidance - prose: Many cyber-attacks target organizational information (or sensitive - information the organization holds on behalf of other entities (e.g., - personally identifiable information) and exfiltrate that data. In - addition, insider attacks and erroneous user procedures can remove - information from the system in violation of the organizational policies. - Tainting approaches can range from passive to active. A passive tainting - approach can be as simple as adding false email names and addresses - to an internal database. If the organization receives email at one - of the false email addresses, it knows that the database has been - compromised. Moreover, the organization knows that the email was sent - by an unauthorized entity so any packets it includes potentially contain - malicious code and that the unauthorized entity potentially has obtained - a copy of the database. A less passive tainting approach can include - embedding false data or steganographic data in files to enable the - data to be found via open source analysis. And finally, an active - tainting approach can include embedding software in the data that - is able to “call home” alerting the organization to its “capture” - and possibly its location and the path by which it was exfiltrated - or removed. - - id: si-21 - class: SP800-53 - title: Information Refresh - params: - - id: si-21_prm_1 - label: organization-defined information - - id: si-21_prm_2 - label: organization-defined frequencies - props: - - name: label - value: SI-21 - - name: sort-id - value: SI-21 - links: - - href: "#a646d45d-775f-4887-86d3-5a00ffbc4090" - rel: reference - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - - href: "#si-14" - rel: related - parts: - - id: si-21_smt - name: statement - prose: "Refresh {{ insert: param, si-21_prm_1 }} at {{ insert: param,\ - \ si-21_prm_2 }} or generate the information on demand and delete\ - \ the information when no longer needed." - - id: si-21_gdn - name: guidance - prose: Retaining critical or sensitive information (e.g., classified - information or controlled unclassified information) for longer than - it is needed makes it an increasing valuable and enticing target for - adversaries. Keeping such information available for the minimum period - of time needed for mission accomplishment reduces the opportunity - for adversaries to compromise, capture, and exfiltrate that information. - - id: si-22 - class: SP800-53 - title: Information Diversity - params: - - id: si-22_prm_1 - label: organization-defined essential functions and services - - id: si-22_prm_2 - label: organization-defined alternative information sources - - id: si-22_prm_3 - label: organization-defined systems or system components - props: - - name: label - value: SI-22 - - name: sort-id - value: SI-22 - links: - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - parts: - - id: si-22_smt - name: statement - parts: - - id: si-22_smt.a - name: item - props: - - name: label - value: a. - prose: "Identify the following alternative sources of information\ - \ for {{ insert: param, si-22_prm_1 }}: {{ insert: param, si-22_prm_2\ - \ }}; and" - - id: si-22_smt.b - name: item - props: - - name: label - value: b. - prose: "Use an alternative information source for the execution\ - \ of essential functions or services on {{ insert: param, si-22_prm_3\ - \ }} when the primary source of information is corrupted or unavailable." - - id: si-22_gdn - name: guidance - prose: Actions taken by a system service or a function are often driven - by the information it receives. Corruption, fabrication, modification, - or deletion of that information could impact the ability of the service - function to properly carry out its intended actions. By having multiple - sources of input, the service or function can continue operation if - one source is corrupted or no longer available. It is possible that - the alternative sources of information may be less precise or less - accurate than the primary source of information. But having such sub-optimal - information sources may still provide a sufficient level of quality - that the essential service or function can be carried out, even in - a degraded or debilitated manner. - - id: si-23 - class: SP800-53 - title: Information Fragmentation - params: - - id: si-23_prm_1 - label: organization-defined circumstances - - id: si-23_prm_2 - label: organization-defined information - - id: si-23_prm_3 - label: Assignment organization-defined systems or system components - props: - - name: label - value: SI-23 - - name: sort-id - value: SI-23 - links: - - href: "#8411e6e8-09bd-431d-bbcb-3423d36ad880" - rel: reference - parts: - - id: si-23_smt - name: statement - prose: "Based on {{ insert: param, si-23_prm_1 }}:" - parts: - - id: si-23_smt.a - name: item - props: - - name: label - value: a. - prose: "Fragment the following information: {{ insert: param, si-23_prm_2\ - \ }}; and" - - id: si-23_smt.b - name: item - props: - - name: label - value: b. - prose: "Distribute the fragmented information across the following\ - \ systems or system components: {{ insert: param, si-23_prm_3\ - \ }}." - - id: si-23_gdn - name: guidance - prose: One major objective of the advanced persistent threat is to exfiltrate - sensitive and valuable information. Once exfiltrated, there is generally - no way for the organization to recover the lost information. Therefore, - organizations may consider taking the information and dividing it - into disparate elements and then distributing those elements across - multiple systems or system components and locations. Such actions - will increase the adversary’s work factor to capture and exfiltrate - the desired information and in so doing, increase the probability - of detection. The fragmentation of information also impacts the organization’s - ability to access the information in a timely manner. The extent of - the fragmentation would likely be dictated by the sensitivity (and - value) of the information, threat intelligence information received, - and if data tainting is used (i.e., data tainting derived information - about exfiltration of some information could result in the fragmentation - of the remaining information). - - id: sr - class: family - title: Supply Chain Risk Management - controls: - - id: sr-1 - class: SP800-53 - title: Policy and Procedures - params: - - id: sr-1_prm_1 - label: organization-defined personnel or roles - - id: sr-1_prm_2 - select: - how-many: one-or-more - choice: - - organization-level - - mission/business process-level - - system-level - - id: sr-1_prm_3 - label: organization-defined official - - id: sr-1_prm_4 - label: organization-defined frequency - - id: sr-1_prm_5 - label: organization-defined frequency - props: - - name: label - value: SR-1 - - name: sort-id - value: SR-01 - links: - - href: "#12702585-0c72-43c9-9185-a76a59f74233" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#9183bd83-170e-4701-b32c-97e08ef8bedb" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#pm-9" - rel: related - - href: "#pm-30" - rel: related - - href: "#ps-8" - rel: related - - href: "#si-12" - rel: related - parts: - - id: sr-1_smt - name: statement - parts: - - id: sr-1_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop, document, and disseminate to {{ insert: param,\ - \ sr-1_prm_1 }}:" - parts: - - id: sr-1_smt.a.1 - name: item - props: - - name: label - value: "1." - prose: "{{ insert: param, sr-1_prm_2 }} supply chain risk management\ - \ policy that:" - parts: - - id: sr-1_smt.a.1.a - name: item - props: - - name: label - value: (a) - prose: Addresses purpose, scope, roles, responsibilities, - management commitment, coordination among organizational - entities, and compliance; and - - id: sr-1_smt.a.1.b - name: item - props: - - name: label - value: (b) - prose: Is consistent with applicable laws, executive orders, - directives, regulations, policies, standards, and guidelines; - and - - id: sr-1_smt.a.2 - name: item - props: - - name: label - value: "2." - prose: Procedures to facilitate the implementation of the supply - chain risk management policy and the associated supply chain - risk management controls; - - id: sr-1_smt.b - name: item - props: - - name: label - value: b. - prose: "Designate an {{ insert: param, sr-1_prm_3 }} to manage the\ - \ development, documentation, and dissemination of the supply\ - \ chain risk management policy and procedures; and" - - id: sr-1_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the current supply chain risk management:" - parts: - - id: sr-1_smt.c.1 - name: item - props: - - name: label - value: "1." - prose: "Policy {{ insert: param, sr-1_prm_4 }}; and" - - id: sr-1_smt.c.2 - name: item - props: - - name: label - value: "2." - prose: "Procedures {{ insert: param, sr-1_prm_5 }}." - - id: sr-1_gdn - name: guidance - prose: This control addresses policy and procedures for the controls - in the SR family implemented within systems and organizations. The - risk management strategy is an important factor in establishing such - policies and procedures. Policies and procedures help provide security - and privacy assurance. Therefore, it is important that security and - privacy programs collaborate on their development. Security and privacy - program policies and procedures at the organization level are preferable, - in general, and may obviate the need for system-specific policies - and procedures. The policy can be included as part of the general - security and privacy policy or can be represented by multiple policies - reflecting the complex nature of organizations. Procedures can be - established for security and privacy programs and for systems, if - needed. Procedures describe how the policies or controls are implemented - and can be directed at the individual or role that is the object of - the procedure. Procedures can be documented in system security and - privacy plans or in one or more separate documents. Restating controls - does not constitute an organizational policy or procedure. - - id: sr-2 - class: SP800-53 - title: Supply Chain Risk Management Plan - params: - - id: sr-2_prm_1 - label: organization-defined systems, system components, or system services - - id: sr-2_prm_2 - label: organization-defined frequency - props: - - name: label - value: SR-2 - - name: sort-id - value: SR-02 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#451e9636-402e-4c27-b3f5-e0e50f957f27" - rel: reference - - href: "#8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#ca-2" - rel: related - - href: "#cp-4" - rel: related - - href: "#ir-4" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - - href: "#pm-9" - rel: related - - href: "#pm-30" - rel: related - - href: "#ra-3" - rel: related - - href: "#ra-7" - rel: related - - href: "#sa-8" - rel: related - parts: - - id: sr-2_smt - name: statement - parts: - - id: sr-2_smt.a - name: item - props: - - name: label - value: a. - prose: "Develop a plan for managing supply chain risks associated\ - \ with the research and development, design, manufacturing, acquisition,\ - \ delivery, integration, operations, and disposal of the following\ - \ systems, system components or system services: {{ insert: param,\ - \ sr-2_prm_1 }};" - - id: sr-2_smt.b - name: item - props: - - name: label - value: b. - prose: Implement the supply chain risk management plan consistently - across the organization; and - - id: sr-2_smt.c - name: item - props: - - name: label - value: c. - prose: "Review and update the supply chain risk management plan\ - \ {{ insert: param, sr-2_prm_2 }} or as required, to address threat,\ - \ organizational or environmental changes." - - id: sr-2_gdn - name: guidance - prose: The growing dependence on products, systems, and services from - external providers, along with the nature of the relationships with - those providers, present an increasing level of risk to an organization. - Specific threat actions that may increase risk include the insertion - or use of counterfeits, unauthorized production, tampering, theft, - insertion of malicious software and hardware, as well as poor manufacturing - and development practices in the supply chain that can create security - or privacy risks. Supply chain risks can be endemic or systemic within - a system element or component, a system, an organization, a sector, - or the Nation. Managing supply chain risk is a complex, multifaceted - undertaking requiring a coordinated effort across an organization - building trust relationships and communicating with both internal - and external stakeholders. Supply chain risk management (SCRM) activities - involve identifying and assessing risks, determining appropriate mitigating - actions, developing SCRM plans to document selected mitigating actions, - and monitoring performance against plans. Because supply chains can - differ significantly across and within organizations, SCRM plans are - tailored to the individual program, organizational, and operational - contexts. Tailored SCRM plans provide the basis for determining whether - a system is fit for purpose; and as such, the controls need to be - tailored accordingly. Tailored SCRM plans help organizations to focus - their resources on the most critical missions and business functions - based on mission and business requirements and their risk environment. - Supply chain risk management plans include an expression of the supply - chain risk tolerance for the organization, acceptable supply chain - risk mitigation strategies or controls, a process for consistently - evaluating and monitoring supply chain risk, approaches for implementing - and communicating the plan, a description of and justification for - supply chain risk mitigation measures taken, and associated roles - and responsibilities. Finally, supply chain risk management plans - address requirements for developing trustworthy secure, privacy-protective, - and resilient system components and systems, including the application - of the security design principles implemented as part of life cycle-based - systems security engineering processes (see SA-8). - controls: - - id: sr-2.1 - class: SP800-53-enhancement - title: Establish Scrm Team - params: - - id: sr-2.1_prm_1 - label: organization-defined personnel, roles, and responsibilities - - id: sr-2.1_prm_2 - label: organization-defined supply chain risk management activities - props: - - name: label - value: SR-2(1) - - name: sort-id - value: SR-02(01) - parts: - - id: sr-2.1_smt - name: statement - prose: "Establish a supply chain risk management team consisting\ - \ of {{ insert: param, sr-2.1_prm_1 }} to lead and support the\ - \ following SCRM activities: {{ insert: param, sr-2.1_prm_2 }}." - - id: sr-2.1_gdn - name: guidance - prose: To implement supply chain risk management plans, organizations - establish a coordinated team-based approach to identify and assess - supply chain risks and manage these risks by using programmatic - and technical mitigation techniques. The team approach enables - organizations to conduct an analysis of their supply chain, communicate - with external partners or stakeholders, and gain broad consensus - regarding the appropriate resources for SCRM. The SCRM team consists - of organizational personnel with diverse roles and responsibilities - for leading and supporting SCRM activities, including risk executive, - information technology, contracting, information security, privacy, - mission or business, legal, supply chain and logistics, acquisition, - and other relevant functions. Members of the SCRM team are involved - in the various aspects of the SDLC and collectively, have an awareness - of, and provide expertise in acquisition processes, legal practices, - vulnerabilities, threats, and attack vectors, as well as an understanding - of the technical aspects and dependencies of systems. The SCRM - team can be an extension of the security and privacy risk management - processes or can be included as part of a general organizational - risk management team. - - id: sr-3 - class: SP800-53 - title: Supply Chain Controls and Processes - params: - - id: sr-3_prm_1 - label: organization-defined system or system component - - id: sr-3_prm_2 - label: organization-defined supply chain personnel - - id: sr-3_prm_3 - label: organization-defined supply chain controls - - id: sr-3_prm_4 - select: - choice: - - security and privacy plans - - supply chain risk management plan - - " {{ insert: param, sr-3_prm_5 }} " - - id: sr-3_prm_5 - depends-on: sr-3_prm_4 - label: organization-defined document - props: - - name: label - value: SR-3 - - name: sort-id - value: SR-03 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#ca-2" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#pe-3" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-8" - rel: related - - href: "#pm-30" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sc-7" - rel: related - - href: "#sc-29" - rel: related - - href: "#sc-30" - rel: related - - href: "#sc-38" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-3_smt - name: statement - parts: - - id: sr-3_smt.a - name: item - props: - - name: label - value: a. - prose: "Establish a process or processes to identify and address\ - \ weaknesses or deficiencies in the supply chain elements and\ - \ processes of {{ insert: param, sr-3_prm_1 }} in coordination\ - \ with {{ insert: param, sr-3_prm_2 }};" - - id: sr-3_smt.b - name: item - props: - - name: label - value: b. - prose: "Employ the following supply chain controls to protect against\ - \ supply chain risks to the system, system component, or system\ - \ service and to limit the harm or consequences from supply chain-related\ - \ events: {{ insert: param, sr-3_prm_3 }}; and" - - id: sr-3_smt.c - name: item - props: - - name: label - value: c. - prose: "Document the selected and implemented supply chain processes\ - \ and controls in {{ insert: param, sr-3_prm_4 }}." - - id: sr-3_gdn - name: guidance - prose: Supply chain elements include organizations, entities, or tools - employed for the development, acquisition, delivery, maintenance, - sustainment, or disposal of systems and system components. Supply - chain processes include hardware, software, and firmware development - processes; shipping and handling procedures; personnel security and - physical security programs; configuration management tools, techniques, - and measures to maintain provenance; or other programs, processes, - or procedures associated with the development, acquisition, maintenance - and disposal of systems and system components. Supply chain elements - and processes may be provided by organizations, system integrators, - or external providers. Weaknesses or deficiencies in supply chain - elements or processes represent potential vulnerabilities that can - be exploited by adversaries to cause harm to the organization and - affect its ability to carry out its core missions or business functions. - Supply chain personnel are individuals with roles and responsibilities - in the supply chain. - controls: - - id: sr-3.1 - class: SP800-53-enhancement - title: Diverse Supply Base - params: - - id: sr-3.1_prm_1 - label: organization-defined system components and services - props: - - name: label - value: SR-3(1) - - name: sort-id - value: SR-03(01) - parts: - - id: sr-3.1_smt - name: statement - prose: "Employ a diverse set of sources for the following system\ - \ components and services: {{ insert: param, sr-3.1_prm_1 }}." - - id: sr-3.1_gdn - name: guidance - prose: Diversifying the supply of system, system components and - services can reduce the probability that adversaries will successfully - identify and target the supply chain, and can reduce the impact - of a supply chain event or compromise. Identifying multiple suppliers - for replacement components can reduce the probability that the - replacement component will become unavailable; employing a diverse - set of developers or logistics service providers can reduce the - impact of a natural disaster or other supply chain event. Organizations - consider designing the system to include diversity of materials - and components. - - id: sr-3.2 - class: SP800-53-enhancement - title: Limitation of Harm - params: - - id: sr-3.2_prm_1 - label: organization-defined controls - props: - - name: label - value: SR-3(2) - - name: sort-id - value: SR-03(02) - parts: - - id: sr-3.2_smt - name: statement - prose: "Employ the following supply chain controls to limit harm\ - \ from potential adversaries identifying and targeting the organizational\ - \ supply chain: {{ insert: param, sr-3.2_prm_1 }}." - - id: sr-3.2_gdn - name: guidance - prose: Controls that can be implemented to reduce the probability - of adversaries successfully identifying and targeting the supply - chain include avoiding the purchase of custom or non-standardized - configurations; employing approved vendor lists with standing - reputations in industry; following pre-agreed maintenance schedules - and update and patch delivery mechanisms; maintaining a contingency - plan in case of a supply chain event, and using procurement carve - outs that provide exclusions to commitments or obligations, using - diverse delivery routes; and minimizing the time between purchase - decisions and delivery. - - id: sr-4 - class: SP800-53 - title: Provenance - params: - - id: sr-4_prm_1 - label: organization-defined systems, system components, and associated - data - props: - - name: label - value: SR-4 - - name: sort-id - value: SR-04 - links: - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#cm-8" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-6" - rel: related - - href: "#ra-9" - rel: related - parts: - - id: sr-4_smt - name: statement - prose: "Document, monitor, and maintain valid provenance of the following\ - \ systems, system components, and associated data: {{ insert: param,\ - \ sr-4_prm_1 }}." - - id: sr-4_gdn - name: guidance - prose: Every system and system component has a point of origin and may - be changed throughout its existence. Provenance is the chronology - of the origin, development, ownership, location, and changes to a - system or system component and associated data. It may also include - personnel and processes used to interact with or make modifications - to the system, component, or associated data. Organizations consider - developing procedures (see SR-1) for allocating responsibilities for - the creation, maintenance, and monitoring of provenance for systems - and system components; transferring provenance documentation and responsibility - between organizations; and preventing and monitoring for unauthorized - changes to the provenance records. Organizations consider developing - methods to document, monitor, and maintain valid provenance baselines - for systems, system components, and related data. Such actions help - track, assess, and document changes to the provenance, including changes - in supply chain elements or configuration, and help ensure non-repudiation - of provenance information and the provenance change records. - controls: - - id: sr-4.1 - class: SP800-53-enhancement - title: Identity - params: - - id: sr-4.1_prm_1 - label: organization-defined supply chain elements, processes, and - personnel associated with organization-defined systems and critical - system components - props: - - name: label - value: SR-4(1) - - name: sort-id - value: SR-04(01) - links: - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pe-16" - rel: related - parts: - - id: sr-4.1_smt - name: statement - prose: "Establish and maintain unique identification of the following\ - \ supply chain elements, processes, and personnel associated with\ - \ the identified system and critical system components: {{ insert:\ - \ param, sr-4.1_prm_1 }}." - - id: sr-4.1_gdn - name: guidance - prose: Knowing who and what is in the supply chains of organizations - is critical to gaining visibility into supply chain activities. - Visibility into supply chain activities is also important for - monitoring and identifying high-risk events and activities. Without - reasonable visibility into supply chains elements, processes, - and personnel, it is very difficult for organizations to understand - and manage risk, and ultimately reduce the susceptibility to adverse - events. Supply chain elements include organizations, entities, - or tools used for the development, acquisition, delivery, maintenance - and disposal of systems and system components. Supply chain processes - include development processes for hardware, software, and firmware; - shipping and handling procedures; configuration management tools, - techniques, and measures to maintain provenance; personnel and - physical security programs; or other programs, processes, or procedures - associated with the production and distribution of supply chain - elements. Supply chain personnel are individuals with specific - roles and responsibilities related to the secure development, - delivery, maintenance, and disposal of a system or system component. - Identification methods are sufficient to support an investigation - in case of a supply chain change (e.g. if a supply company is - purchased), compromise, or event. - - id: sr-4.2 - class: SP800-53-enhancement - title: Track and Trace - params: - - id: sr-4.2_prm_1 - label: organization-defined systems and critical system components - props: - - name: label - value: SR-4(2) - - name: sort-id - value: SR-04(02) - links: - - href: "#ia-2" - rel: related - - href: "#ia-8" - rel: related - - href: "#pe-16" - rel: related - - href: "#pl-2" - rel: related - parts: - - id: sr-4.2_smt - name: statement - prose: "Establish and maintain unique identification of the following\ - \ systems and critical system components for tracking through\ - \ the supply chain: {{ insert: param, sr-4.2_prm_1 }}." - - id: sr-4.2_gdn - name: guidance - prose: Tracking the unique identification of systems and system - components during development and transport activities provides - a foundational identity structure for the establishment and maintenance - of provenance. For example, system components may be labeled using - serial numbers or tagged using radio-frequency identification - tags. Labels and tags can help provide better visibility into - the provenance of a system or system component. A system or system - component may have more than one unique identifier. Identification - methods are sufficient to support a forensic investigation after - a supply chain compromise or event. - - id: sr-4.3 - class: SP800-53-enhancement - title: Validate as Genuine and Not Altered - params: - - id: sr-4.3_prm_1 - label: organization-defined controls - props: - - name: label - value: SR-4(3) - - name: sort-id - value: SR-04(03) - links: - - href: "#at-3" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-4.3_smt - name: statement - prose: "Employ the following controls to validate that the system\ - \ or system component received is genuine and has not been altered:\ - \ {{ insert: param, sr-4.3_prm_1 }}." - - id: sr-4.3_gdn - name: guidance - prose: For many systems and system components, especially hardware, - there are technical means to determine if the items are genuine - or have been altered, including optical and nanotechnology tagging; - physically unclonable functions; side-channel analysis; cryptographic - hash verifications or digital signatures; and visible anti-tamper - labels or stickers. Controls can also include monitoring for out - of specification performance, which can be an indicator of tampering - or counterfeits. Organizations may leverage supplier and contractor - processes for validating that a system or component is genuine - and has not been altered, and for replacing a suspect system or - component. Some indications of tampering may be visible and addressable - before accepting delivery, including inconsistent packaging, broken - seals, and incorrect labels. When a system or system component - is suspected of being altered or counterfeit, the supplier, contractor, - or original equipment manufacturer may be able to replace the - item or provide a forensic capability to determine the origin - of the counterfeit or altered item. Organizations can provide - training to personnel on how to identify suspicious system or - component deliveries. - - id: sr-5 - class: SP800-53 - title: Acquisition Strategies, Tools, and Methods - params: - - id: sr-5_prm_1 - label: organization-defined acquisition strategies, contract tools, - and procurement methods - props: - - name: label - value: SR-5 - - name: sort-id - value: SR-05 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#at-3" - rel: related - - href: "#sa-2" - rel: related - - href: "#sa-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#sa-5" - rel: related - - href: "#sa-8" - rel: related - - href: "#sa-9" - rel: related - - href: "#sa-10" - rel: related - - href: "#sa-15" - rel: related - - href: "#sr-6" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-5_smt - name: statement - prose: "Employ the following acquisition strategies, contract tools,\ - \ and procurement methods to protect against, identify, and mitigate\ - \ supply chain risks: {{ insert: param, sr-5_prm_1 }}." - - id: sr-5_gdn - name: guidance - prose: The use of the acquisition process provides an important vehicle - to protect the supply chain. There are many useful tools and techniques - available, including obscuring the end use of a system or system component; - using blind or filtered buys; requiring tamper-evident packaging; - or using trusted or controlled distribution. The results from a supply - chain risk assessment can guide and inform the strategies, tools, - and methods that are most applicable to the situation. Tools and techniques - may provide protections against unauthorized production, theft, tampering, - insertion of counterfeits, insertion of malicious software or backdoors, - and poor development practices throughout the system development life - cycle. Organizations also consider providing incentives for suppliers - who implement controls; promote transparency into their processes - and security and privacy practices; provide contract language that - addresses the prohibition of tainted or counterfeit components; and - restrict purchases from untrustworthy suppliers. Organizations consider - providing training, education, and awareness programs for personnel - regarding supply chain risk, available mitigation strategies, and - when the programs should be employed. Methods for reviewing and protecting - development plans, documentation, and evidence are commensurate with - the security and privacy requirements of the organization. Contracts - may specify documentation protection requirements. - controls: - - id: sr-5.1 - class: SP800-53-enhancement - title: Adequate Supply - params: - - id: sr-5.1_prm_1 - label: organization-defined critical system components - - id: sr-5.1_prm_2 - label: organization-defined controls - props: - - name: label - value: SR-5(1) - - name: sort-id - value: SR-05(01) - parts: - - id: sr-5.1_smt - name: statement - prose: "Employ the following controls to ensure an adequate supply\ - \ of {{ insert: param, sr-5.1_prm_1 }}: {{ insert: param, sr-5.1_prm_2\ - \ }}." - - id: sr-5.1_gdn - name: guidance - prose: Adversaries can attempt to impede organizational operations - by disrupting the supply of critical system components or corrupting - supplier operations. Organizations may track systems and component - mean time to failure to mitigate the loss of temporary or permanent - system function. Controls to ensure that adequate supplies of - critical system components include the use of multiple suppliers - throughout the supply chain for the identified critical components; - stockpiling spare components to ensure operation during mission-critical - times, and the identification of functionally-identical or similar - components that may be used, if necessary. - - id: sr-5.2 - class: SP800-53-enhancement - title: Assessments Prior to Selection, Acceptance, Modification, or - Update - props: - - name: label - value: SR-5(2) - - name: sort-id - value: SR-05(02) - links: - - href: "#ca-8" - rel: related - - href: "#ra-5" - rel: related - - href: "#sa-11" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-9" - rel: related - parts: - - id: sr-5.2_smt - name: statement - prose: Assess the system, system component, or system service prior - to selection, acceptance, modification, or update. - - id: sr-5.2_gdn - name: guidance - prose: Organizational personnel or independent, external entities - conduct assessments of systems, components, products, tools, and - services to uncover evidence of tampering, unintentional and intentional - vulnerabilities, or evidence of non-compliance with supply chain - controls. These include malicious code, malicious processes, defective - software, backdoors, and counterfeits. Assessments can include - evaluations; design proposal reviews; visual or physical inspection; - static and dynamic analyses; visual, x-ray, or magnetic particle - inspections; simulations; white, gray, or black box testing; fuzz - testing; stress testing; and penetration testing (see SR-6(1)). - Evidence generated during assessments is documented for follow-on - actions by organizations. The evidence generated during the organizational - or independent assessments of supply chain elements may be used - to improve supply chain processes and to inform the supply chain - risk management process. The evidence can be leveraged in follow-on - assessments. Evidence and other documentation may be shared in - accordance with organizational agreements. - - id: sr-6 - class: SP800-53 - title: Supplier Reviews - params: - - id: sr-6_prm_1 - label: organization-defined frequency - props: - - name: label - value: SR-6 - - name: sort-id - value: SR-06 - links: - - href: "#aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b" - rel: reference - - href: "#d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd" - rel: reference - - href: "#0b9fe06d-1b89-4dba-b9f8-3baf51504b17" - rel: reference - - href: "#11b9fa15-bc4e-4669-ab65-a2bf74daa9fa" - rel: reference - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#sr-3" - rel: related - - href: "#sr-5" - rel: related - parts: - - id: sr-6_smt - name: statement - prose: "Review the supply chain-related risks associated with suppliers\ - \ or contractors and the system, system component, or system service\ - \ they provide {{ insert: param, sr-6_prm_1 }}." - - id: sr-6_gdn - name: guidance - prose: A review of supplier risk includes security processes, foreign - ownership, control or influence (FOCI), and the ability of the supplier - to effectively assess any subordinate second-tier and third-tier suppliers - and contractors. The reviews may be conducted by the organization - or by an independent third party. The reviews consider documented - processes, documented controls, all-source intelligence, and publicly - available information related to the supplier or contractor. Organizations - can use open-source information to monitor for indications of stolen - information, poor development and quality control practices, information - spillage, or counterfeits. In some cases, it may be appropriate to - share review results with other organizations in accordance with any - applicable inter-organizational agreements or contracts. - controls: - - id: sr-6.1 - class: SP800-53-enhancement - title: Penetration Testing and Analysis - params: - - id: sr-6.1_prm_1 - select: - how-many: one-or-more - choice: - - organizational analysis - - independent third-party analysis - - organizational penetration testing - - independent third-party penetration testing - - id: sr-6.1_prm_2 - label: organization-defined supply chain elements, processes, and - actors - props: - - name: label - value: SR-6(1) - - name: sort-id - value: SR-06(01) - links: - - href: "#ca-8" - rel: related - parts: - - id: sr-6.1_smt - name: statement - prose: "Employ {{ insert: param, sr-6.1_prm_1 }} of the following\ - \ supply chain elements, processes, and actors associated with\ - \ the system, system component, or system service: {{ insert:\ - \ param, sr-6.1_prm_2 }}." - - id: sr-6.1_gdn - name: guidance - prose: Penetration testing and analysis addresses the analysis or - testing of the supply chain. Relationships between entities and - procedures within the supply chain, including development and - delivery, are considered. Supply chain elements include organizations, - entities, or tools use for the development, acquisition, deliver, - maintenance and disposal of systems, system components, or system - services. Supply chain processes include personnel and physical - security programs; hardware, software, and firmware development - processes; configuration management tools, techniques, and measures - to maintain provenance; shipping and handling procedures; and - programs, processes, or procedures associated with the production - and distribution of supply chain elements. Supply chain actors - are individuals with specific roles and responsibilities in the - supply chain. The evidence generated and collected during analyses - and testing of supply chain elements, processes, and actors is - documented and used to inform organizational risk management activities - and decisions. - - id: sr-7 - class: SP800-53 - title: Supply Chain Operations Security - params: - - id: sr-7_prm_1 - label: organization-defined Operations Security (OPSEC) controls - props: - - name: label - value: SR-7 - - name: sort-id - value: SR-07 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#sc-38" - rel: related - parts: - - id: sr-7_smt - name: statement - prose: "Employ the following Operations Security (OPSEC) controls to\ - \ protect supply chain-related information for the system, system\ - \ component, or system service: {{ insert: param, sr-7_prm_1 }}." - - id: sr-7_gdn - name: guidance - prose: Supply chain OPSEC expands the scope of OPSEC to include suppliers - and potential suppliers. OPSEC is a process that includes identifying - critical information; analyzing friendly actions related to operations - and other activities to identify those actions that can be observed - by potential adversaries; determining indicators that potential adversaries - might obtain that could be interpreted or pieced together to derive - information in sufficient time to cause harm to organizations; implementing - safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities - and thus risk to an acceptable level; and finally, considering how - aggregated information may expose users or specific uses of the supply - chain. Supply chain information includes user identities; uses for - systems, system components, and system services; supplier identities; - security and privacy requirements; system and component configurations; - supplier processes; design specifications; and testing and evaluation - results. Supply chain OPSEC may require organizations to withhold - mission or business information from suppliers and may include the - use of intermediaries to hide the end use, or users of systems, system - components, or system services. - - id: sr-8 - class: SP800-53 - title: Notification Agreements - params: - - id: sr-8_prm_1 - select: - how-many: one-or-more - choice: - - notification of supply chain compromises - - results of assessments or audits - - " {{ insert: param, sr-8_prm_2 }} " - - id: sr-8_prm_2 - depends-on: sr-8_prm_1 - label: organization-defined information - props: - - name: label - value: SR-8 - - name: sort-id - value: SR-08 - links: - - href: "#1d9f757b-00d5-4db1-b15b-0ad641c6df7c" - rel: reference - - href: "#66476e76-46b4-47fb-be19-d13e6f3840df" - rel: reference - - href: "#7b03adec-4405-4aac-94a0-6a9eb3f42e31" - rel: reference - - href: "#ir-4" - rel: related - - href: "#ir-6" - rel: related - - href: "#ir-8" - rel: related - parts: - - id: sr-8_smt - name: statement - prose: "Establish agreements and procedures with entities involved in\ - \ the supply chain for the system, system component, or system service\ - \ for the {{ insert: param, sr-8_prm_1 }}." - - id: sr-8_gdn - name: guidance - prose: The establishment of agreements and procedures facilitates communications - among supply chain entities. Early notification of compromises and - potential compromises in the supply chain that can potentially adversely - affect or have adversely affected organizational systems or system - components, is essential for organizations to effectively respond - to such incidents. The results of assessments or audits may include - open-source information that contributed to a decision or result and - could be used to help the supply chain entity resolve a concern or - improve its processes. - - id: sr-9 - class: SP800-53 - title: Tamper Resistance and Detection - props: - - name: label - value: SR-9 - - name: sort-id - value: SR-09 - links: - - href: "#pe-3" - rel: related - - href: "#pm-30" - rel: related - - href: "#sa-15" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-10" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-9_smt - name: statement - prose: Implement a tamper protection program for the system, system - component, or system service. - - id: sr-9_gdn - name: guidance - prose: Anti-tamper technologies, tools, and techniques provide a level - of protection for systems, system components, and services against - many threats, including reverse engineering, modification, and substitution. - Strong identification combined with tamper resistance and/or tamper - detection is essential to protecting systems and components during - distribution and when in use. - controls: - - id: sr-9.1 - class: SP800-53-enhancement - title: Multiple Stages of System Development Life Cycle - props: - - name: label - value: SR-9(1) - - name: sort-id - value: SR-09(01) - links: - - href: "#sa-3" - rel: related - parts: - - id: sr-9.1_smt - name: statement - prose: Employ anti-tamper technologies, tools, and techniques during - multiple stages in the system development life cycle, including - design, development, integration, operations, and maintenance. - - id: sr-9.1_gdn - name: guidance - prose: Organizations use a combination of hardware and software - techniques for tamper resistance and detection. Organizations - employ obfuscation and self-checking, for example, to make reverse - engineering and modifications more difficult, time-consuming, - and expensive for adversaries. The customization of systems and - system components can make substitutions easier to detect and - therefore limit damage. - - id: sr-10 - class: SP800-53 - title: Inspection of Systems or Components - params: - - id: sr-10_prm_1 - select: - how-many: one-or-more - choice: - - at random - - "at {{ insert: param, sr-10_prm_2 }}, upon {{ insert: param, sr-10_prm_3\ - \ }} " - - id: sr-10_prm_2 - depends-on: sr-10_prm_1 - label: organization-defined frequency - - id: sr-10_prm_3 - depends-on: sr-10_prm_1 - label: organization-defined indications of need for inspection - - id: sr-10_prm_4 - label: organization-defined systems or system components - props: - - name: label - value: SR-10 - - name: sort-id - value: SR-10 - links: - - href: "#at-3" - rel: related - - href: "#pm-30" - rel: related - - href: "#si-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-3" - rel: related - - href: "#sr-4" - rel: related - - href: "#sr-5" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-11" - rel: related - parts: - - id: sr-10_smt - name: statement - prose: "Inspect the following systems or system components {{ insert:\ - \ param, sr-10_prm_1 }} to detect tampering: {{ insert: param, sr-10_prm_4\ - \ }}." - - id: sr-10_gdn - name: guidance - prose: Inspection of systems or systems components for tamper resistance - and detection addresses physical and logical tampering and is applied - to systems and system components taken out of organization-controlled - areas. Indications of a need for inspection include when individuals - return from travel to high-risk locations. - - id: sr-11 - class: SP800-53 - title: Component Authenticity - params: - - id: sr-11_prm_1 - select: - how-many: one-or-more - choice: - - source of counterfeit component - - " {{ insert: param, sr-11_prm_2 }} " - - " {{ insert: param, sr-11_prm_3 }} " - - id: sr-11_prm_2 - depends-on: sr-11_prm_1 - label: organization-defined external reporting organizations - - id: sr-11_prm_3 - depends-on: sr-11_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SR-11 - - name: sort-id - value: SR-11 - links: - - href: "#pe-3" - rel: related - - href: "#sa-4" - rel: related - - href: "#si-7" - rel: related - - href: "#sr-9" - rel: related - - href: "#sr-10" - rel: related - parts: - - id: sr-11_smt - name: statement - parts: - - id: sr-11_smt.a - name: item - props: - - name: label - value: a. - prose: Develop and implement anti-counterfeit policy and procedures - that include the means to detect and prevent counterfeit components - from entering the system; and - - id: sr-11_smt.b - name: item - props: - - name: label - value: b. - prose: "Report counterfeit system components to {{ insert: param,\ - \ sr-11_prm_1 }}." - - id: sr-11_gdn - name: guidance - prose: Sources of counterfeit components include manufacturers, developers, - vendors, and contractors. Anti-counterfeiting policy and procedures - support tamper resistance and provide a level of protection against - the introduction of malicious code. External reporting organizations - include CISA. - controls: - - id: sr-11.1 - class: SP800-53-enhancement - title: Anti-counterfeit Training - params: - - id: sr-11.1_prm_1 - label: organization-defined personnel or roles - props: - - name: label - value: SR-11(1) - - name: sort-id - value: SR-11(01) - links: - - href: "#at-3" - rel: related - parts: - - id: sr-11.1_smt - name: statement - prose: "Train {{ insert: param, sr-11.1_prm_1 }} to detect counterfeit\ - \ system components (including hardware, software, and firmware)." - - id: sr-11.1_gdn - name: guidance - prose: None. - - id: sr-11.2 - class: SP800-53-enhancement - title: Configuration Control for Component Service and Repair - params: - - id: sr-11.2_prm_1 - label: organization-defined system components - props: - - name: label - value: SR-11(2) - - name: sort-id - value: SR-11(02) - links: - - href: "#cm-3" - rel: related - - href: "#ma-2" - rel: related - - href: "#ma-4" - rel: related - - href: "#sa-10" - rel: related - parts: - - id: sr-11.2_smt - name: statement - prose: "Maintain configuration control over the following system\ - \ components awaiting service or repair and serviced or repaired\ - \ components awaiting return to service: {{ insert: param, sr-11.2_prm_1\ - \ }}." - - id: sr-11.2_gdn - name: guidance - prose: None. - - id: sr-11.3 - class: SP800-53-enhancement - title: Component Disposal - params: - - id: sr-11.3_prm_1 - label: organization-defined techniques and methods - props: - - name: label - value: SR-11(3) - - name: sort-id - value: SR-11(03) - links: - - href: "#mp-6" - rel: related - parts: - - id: sr-11.3_smt - name: statement - prose: "Dispose of system components using the following techniques\ - \ and methods: {{ insert: param, sr-11.3_prm_1 }}." - - id: sr-11.3_gdn - name: guidance - prose: Proper disposal of system components helps to prevent such - components from entering the gray market. - - id: sr-11.4 - class: SP800-53-enhancement - title: Anti-counterfeit Scanning - params: - - id: sr-11.4_prm_1 - label: organization-defined frequency - props: - - name: label - value: SR-11(4) - - name: sort-id - value: SR-11(04) - links: - - href: "#ra-5" - rel: related - parts: - - id: sr-11.4_smt - name: statement - prose: "Scan for counterfeit system components {{ insert: param,\ - \ sr-11.4_prm_1 }}." - - id: sr-11.4_gdn - name: guidance - prose: The type of component determines the type of scanning to - be conducted (e.g., web application scanning if the component - is a web application). - back-matter: - resources: - - uuid: c31c3c89-792c-4d07-b0af-2cf253e96921 - title: "[ATOM54]" - citation: - text: Atomic Energy Act (P.L. 107), August 1954. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-68/pdf/STATUTE-68-Pg919.pdf - - uuid: a7dfa526-b81f-41d7-9875-c8b0faafe74b - title: "[PRIVACT]" - citation: - text: Privacy Act (P.L. 93-579), December 1974. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-88/pdf/STATUTE-88-Pg1896.pdf - - uuid: 79dd7845-9b53-490e-8e9b-e01218aebb20 - title: "[CMPPA]" - citation: - text: Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), - October 1988. - rlinks: - - href: https://www.govinfo.gov/content/pkg/STATUTE-102/pdf/STATUTE-102-Pg2507.pdf - - uuid: bc2bf069-c3a5-48a4-a274-684d997be0c2 - title: "[EGOV]" - citation: - text: E-Government Act [includes FISMA] (P.L. 107-347), December 2002. - rlinks: - - href: https://www.congress.gov/107/plaws/publ347/PLAW-107publ347.pdf - - uuid: 43facb7b-0afb-480f-8191-34790d5b444b - title: "[EVIDACT]" - citation: - text: Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), - January 2019. - rlinks: - - href: https://www.congress.gov/115/plaws/publ435/PLAW-115publ435.pdf - - uuid: 52a62e17-382f-4429-8820-0211c884ad41 - title: "[FOIA96]" - citation: - text: Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public - Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act - Amendments of 1996. - rlinks: - - href: https://www.govinfo.gov/content/pkg/PLAW-104publ231/pdf/PLAW-104publ231.pdf - - uuid: 7e0c8220-9cd1-442e-8c20-bb2f24324301 - title: "[USA PATRIOT]" - citation: - text: USA Patriot Act (P.L. 107-56), October 2001. - rlinks: - - href: https://www.congress.gov/107/plaws/publ56/PLAW-107publ56.pdf - - uuid: 52a8b0c6-0c6b-424b-928d-41c50ba87838 - title: "[EO 13526]" - citation: - text: Executive Order 13526, *Classified National Security Information*, - December 2009. - rlinks: - - href: https://www.archives.gov/isoo/policy-documents/cnsi-eo.html - - uuid: 8d8ad86b-fc8a-49e1-a641-aaa29cb0fd5f - title: "[EO 13556]" - citation: - text: Executive Order 13556, *Controlled Unclassified Information*, November - 2010. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2010/11/04/executive-order-13556-controlled-unclassified-information - - uuid: 14958422-54f6-471f-a345-802dca594dd8 - title: "[FISMA]" - citation: - text: Federal Information Security Modernization Act (P.L. 113-283), December - 2014. - rlinks: - - href: https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf - - uuid: 2b5e12fb-633f-49e6-8aff-81d75bf53545 - title: "[EO 13587]" - citation: - text: Executive Order 13587, *Structural Reforms to Improve the Security - of Classified Networks and the Responsible Sharing and Safeguarding of - Classified Information*, October 2011. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net - - uuid: 8d594f57-d2da-4677-92d0-31fbafc3b871 - title: "[EO 13636]" - citation: - text: Executive Order 13636, *Improving Critical Infrastructure Cybersecurity*, - February 2013. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2013/02/12/executive-order-improving-critical-infrastructure-cybersecurity - - uuid: c1235ba8-5785-48e5-ba25-6c365dcc72a8 - title: "[EO 13800]" - citation: - text: Executive Order 13800, *Strengthening the Cybersecurity of Federal - Networks and Critical Infrastructure*, May 2017. - rlinks: - - href: https://www.whitehouse.gov/presidential-actions/presidential-executive-order-strengthening-cybersecurity-federal-networks-critical-infrastructure - - uuid: a0b98ab4-73e0-4c24-a3ad-18e4ea1f5d3c - title: "[USC 552]" - citation: - text: United States Code, 2006 Edition, Supplement 4, Title 5 - *Government - Organization and Employees*, January 2011. - rlinks: - - href: https://www.govinfo.gov/content/pkg/USCODE-2010-title5/pdf/USCODE-2010-title5-partI-chap5-subchapII-sec552a.pdf - - uuid: cde25174-38e0-4a00-8919-8ee3674b8088 - title: "[HSPD 7]" - citation: - text: Homeland Security Presidential Directive 7, *Critical Infrastructure - Identification, Prioritization, and Protection*, December 2003. - rlinks: - - href: https://www.dhs.gov/homeland-security-presidential-directive-7 - - uuid: 91e04021-c3d6-4ff2-b707-53bfde32ac69 - title: "[HSPD 12]" - citation: - text: Homeland Security Presidential Directive 12, Policy for a Common Identification - Standard for Federal Employees and Contractors, August 2004. - rlinks: - - href: https://www.dhs.gov/homeland-security-presidential-directive-12 - - uuid: 0d8c0f0f-6b34-4c67-b555-2aeb093459e5 - title: "[NITP12]" - citation: - text: Presidential Memorandum for the Heads of Executive Departments and - Agencies, *National Insider Threat Policy and Minimum Standards for Executive - Branch Insider Threat Programs*, November 2012. - rlinks: - - href: https://obamawhitehouse.archives.gov/the-press-office/2012/11/21/presidential-memorandum-national-insider-threat-policy-and-minimum-stand - - uuid: 2383ccfd-d8a0-4e3a-bf40-21288ae1e07a - title: "[5 CFR 731]" - citation: - text: Code of Federal Regulations, Title 5, *Administrative Personnel*, - Section 731.106, *Designation of Public Trust Positions and Investigative - Requirements*(5 C.F.R. 731.106). - rlinks: - - href: https://www.govinfo.gov/content/pkg/CFR-2012-title5-vol2/pdf/CFR-2012-title5-vol2-sec731-106.pdf - - uuid: 742b7c0e-218e-4fca-9c3d-5f264bbaf2bc - title: "[32 CFR 2002]" - citation: - text: Code of Federal Regulations, Title 32, *Controlled Unclassified Information*(32 - C.F.R 2002). - rlinks: - - href: https://www.federalregister.gov/documents/2016/09/14/2016-21665/controlled-unclassified-information - - uuid: 286d42a1-efbe-49a2-9ce1-4c9bf68feb3b - title: "[ODNI NITP]" - citation: - text: "Office of the Director National Intelligence, *National Insider Threat\ - \ Policy* " - rlinks: - - href: https://www.dni.gov/files/NCSC/documents/nittf/National_Insider_Threat_Policy.pdf - - uuid: 395f6bb9-bcc2-41fc-977f-04372f4a6a82 - title: "[OMB A-108]" - citation: - text: "Office of Management and Budget Memorandum Circular A-108, *Federal\ - \ Agency Responsibilities for Review, Reporting, and Publication under\ - \ the Privacy Act*, December 2016. ** " - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A108/omb_circular_a-108.pdf - - uuid: a646d45d-775f-4887-86d3-5a00ffbc4090 - title: "[OMB A-130]" - citation: - text: Office of Management and Budget Memorandum Circular A-130, *Managing - Information as a Strategic Resource*, July 2016. - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A130/a130revised.pdf - - uuid: 36f101d0-0efd-4169-8d62-25a2ef414a1d - title: "[OMB M-08-05]" - citation: - text: "Office of Management and Budget Memorandum M-08-05, *Implementation\ - \ of Trusted Internet Connections (TIC)*, November 2007. ** " - rlinks: - - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-05.pdf - - uuid: f7d3617a-9a4f-4f1a-a688-845081b70390 - title: "[OMB M-17-06]" - citation: - text: "Office of Management and Budget Memorandum M-17-06, *Policies for\ - \ Federal Agency Public Websites and Digital Services*, November 2016.\ - \ ** " - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-06.pdf - - uuid: 389fe193-866e-46b1-bf1d-38904b56aa7b - title: "[OMB M-17-12]" - citation: - text: "Office of Management and Budget Memorandum M-17-12, *Preparing for\ - \ and Responding to a Breach of Personally Identifiable Information*,\ - \ January 2017. ** " - rlinks: - - href: https://obamawhitehouse.archives.gov/sites/default/files/omb/memoranda/2017/m-17-12_0.pdf - - uuid: ed5c66ba-0ed8-4aef-abb7-dc9f529d9af3 - title: "[OMB M-17-25]" - citation: - text: "Office of Management and Budget Memorandum M-17-25, *Reporting Guidance\ - \ for Executive Order on Strengthening the Cybersecurity of Federal Networks\ - \ and Critical Infrastructure*, May 2017. ** " - rlinks: - - href: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/M-17-25.pdf - - uuid: 9f4f8352-c956-4a27-b3ee-5549de5b72ef - title: "[OMB M-19-03]" - citation: - text: Office of Management and Budget Memorandum M-19-03, *Strengthening - the Cybersecurity of Federal Agencies by Enhancing the High Value Asset - Program*, December 2018. - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2018/12/M-19-03.pdf - - uuid: 18d2b055-e41d-41f9-9ece-cc5a2082a6fc - title: "[OMB M-19-15]" - citation: - text: Office of Management and Budget Memorandum M-19-15, *Improving Implementation - of the Information Quality Act*, April 2019. - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2019/04/M-19-15.pdf - - uuid: d843e915-eeb6-4bbe-8cab-ccc802088703 - title: "[OMB M-19-23]" - citation: - text: "Office of Management and Budget Memorandum M-19-23, *Phase 1 Implementation\ - \ of the Foundations for Evidence-Based Policymaking Act of 2018: Learning\ - \ Agendas, Personnel, and Planning Guidance*, July 2019. ** " - rlinks: - - href: https://www.whitehouse.gov/wp-content/uploads/2019/07/M-19-23.pdf - - uuid: 2ef80c00-f8d2-4087-b5b6-9ecee8e48036 - title: "[CNSSD 505]" - citation: - text: Committee on National Security Systems Directive No. 505, *Supply - Chain Risk Management (SCRM)*, August 2017. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Directives.cfm - - uuid: 12fdc214-8062-4c3a-affd-dcc60f8d4150 - title: "[CNSSP 22]" - citation: - text: Committee on National Security Systems Policy No. 22, *Cybersecurity - Risk Management Policy*, August 2016. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Policies.cfm - - uuid: ee96f130-3f91-46ed-a4d8-57e5f220a623 - title: "[CNSSI 1253]" - citation: - text: Committee on National Security Systems Instruction No. 1253, *Security - Categorization and Control Selection for National Security Systems*, March - 2014. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - - uuid: df9c61f7-8b1a-48fb-a0f3-b28364d40f37 - title: "[CNSSI 4009]" - citation: - text: Committee on National Security Systems Instruction No. 4009, *Committee - on National Security Systems (CNSS) Glossary*, April 2015. - rlinks: - - href: https://www.cnss.gov/CNSS/issuances/Instructions.cfm - - uuid: e1dbe16d-db1e-4116-9d03-c02b66ab6f44 - title: "[DODI 8510.01]" - citation: - text: Department of Defense Instruction 8510.01, *Risk Management Framework - (RMF) for DoD Information Technology (IT)*, March 2014. - rlinks: - - href: https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/851001_2014.pdf - - uuid: 24b7b1ec-6430-41de-9353-29fdb1b488fc - title: "[DHS NIPP]" - citation: - text: Department of Homeland Security, *National Infrastructure Protection - Plan (NIPP)*, 2009. - rlinks: - - href: https://www.dhs.gov/xlibrary/assets/NIPP_Plan.pdf - - uuid: 20855583-232a-4d83-a9f6-c1079a9e4521 - title: "[ISO 15026-1]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission (ISO/IEC) 15026-1:2013, *Systems and software engineering\ - \ -- Systems and software assurance -- Part 1: Concepts and vocabulary*,\ - \ November 2013." - rlinks: - - href: https://www.iso.org/standard/62526.html - - uuid: 6ddb507b-6ddb-4e15-a8d4-0854e704446e - title: "[ISO 15408-1]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-1:2009, *Information technology—Security techniques—\ - \ Evaluation criteria for IT security—Part 1: Introduction and general\ - \ model*, April 2017. ** " - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART1V3.1R5.pdf - - uuid: 18abb755-c10f-407d-b0ef-4f99e5ec4a49 - title: "[ISO 15408-2]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-2:2008, *Information technology—Security techniques—\ - \ Evaluation criteria for IT security—Part 2: Security functional requirements*,\ - \ April 2017. ** " - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART2V3.1R5.pdf - - uuid: 2ce3a8bf-7f8b-4249-bd16-808231415b14 - title: "[ISO 15408-3]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 15408-3:2008, *Information technology—Security techniques—\ - \ Evaluation criteria for IT security—Part 3: Security assurance requirements*,\ - \ April 2017. ** " - rlinks: - - href: https://www.commoncriteriaportal.org/files/ccfiles/CCPART3V3.1R5.pdf - - uuid: 735d5420-a7a8-4f80-a657-8a8b579b816e - title: "[ISO 15288]" - citation: - text: International Organization for Standardization/International Electrotechnical - Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) - 15288:2015, *Systems and software engineering—Systems life cycle processes*, - May 2015. - rlinks: - - href: https://www.iso.org/standard/63711.html - - uuid: 55e4488b-cc3e-4543-81d9-174e53684a46 - title: "[ISO 25237]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 25237:2017, *Health informatics* *—Pseudonymization*, January\ - \ 2017. ** " - rlinks: - - href: https://www.iso.org/standard/63553.html - - uuid: 9db406e5-7b96-434a-b516-a4fcf861978a - title: "[ISO 28001]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 28001:2007, *Security management systems for the supply chain*\ - \ *—Best practices for implementing supply chain security, assessments\ - \ and plans—Requirements and guidance*, October 2007. ** " - rlinks: - - href: https://www.iso.org/standard/45654.html - - uuid: 2a85a00e-25f9-4018-8730-7d877adda309 - title: "[ISO 29100]" - citation: - text: "International Organization for Standardization/International Electrotechnical\ - \ Commission 29100:2011, *Information technology* *—Security techniques—Privacy\ - \ framework*, December 2011. ** " - rlinks: - - href: https://www.iso.org/standard/45123.html - - uuid: e2de21ad-c8cc-48ed-8d4f-2db3ab0a8f28 - title: "[ISO 29148]" - citation: - text: International Organization for Standardization/International Electrotechnical - Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) - 29148:2011, *Systems and software engineering—Life cycle processes—Requirements - engineering*, December 2011. - rlinks: - - href: https://www.iso.org/standard/45171.html - - uuid: aa1e8ce8-7a76-4b90-ae82-4f6f374eb96b - title: "[FIPS 140-3]" - citation: - text: National Institute of Standards and Technology (2019) Security Requirements - for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), - Federal Information Processing Standards Publication (FIPS) 140-3. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.140-3 - - uuid: d96f75ec-a4a4-417c-92f6-8f0ea23c8fcd - title: "[FIPS 180-4]" - citation: - text: National Institute of Standards and Technology (2015) Secure Hash - Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 180-4. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.180-4 - - uuid: 0b9fe06d-1b89-4dba-b9f8-3baf51504b17 - title: "[FIPS 186-4]" - citation: - text: National Institute of Standards and Technology (2013) Digital Signature - Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 186-4. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.186-4 - - uuid: bbc7085f-b383-444e-af74-722a55cccc0f - title: "[FIPS 197]" - citation: - text: National Institute of Standards and Technology (2001) Advanced Encryption - Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal - Information Processing Standards Publication (FIPS) 197. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.197 - - uuid: b3e26423-0687-47c7-ba9a-a96870d58a27 - title: "[FIPS 199]" - citation: - text: National Institute of Standards and Technology (2004) Standards for - Security Categorization of Federal Information and Information Systems. - (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing - Standards Publication (FIPS) 199. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.199 - - uuid: f2163084-3287-45e2-9ee7-95f020415495 - title: "[FIPS 200]" - citation: - text: National Institute of Standards and Technology (2006) Minimum Security - Requirements for Federal Information and Information Systems. (U.S. Department - of Commerce, Washington, D.C.), Federal Information Processing Standards - Publication (FIPS) 200. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.200 - - uuid: ab414c48-b7a2-4ffe-b74d-4d8b8120adce - title: "[FIPS 201-2]" - citation: - text: National Institute of Standards and Technology (2013) Personal Identity - Verification (PIV) of Federal Employees and Contractors. (U.S. Department - of Commerce, Washington, D.C.), Federal Information Processing Standards - Publication (FIPS) 201-2. - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.201-2 - - uuid: 11b9fa15-bc4e-4669-ab65-a2bf74daa9fa - title: "[FIPS 202]" - citation: - text: "National Institute of Standards and Technology (2015) SHA-3 Standard:\ - \ Permutation-Based Hash and Extendable-Output Functions. (U.S. Department\ - \ of Commerce, Washington, D.C.), Federal Information Processing Standards\ - \ Publication (FIPS) 202." - rlinks: - - href: https://doi.org/10.6028/NIST.FIPS.202 - - uuid: 12702585-0c72-43c9-9185-a76a59f74233 - title: "[SP 800-12]" - citation: - text: "Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information\ - \ Security. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-12, Rev. 1. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-12r1 - - uuid: ae962073-f9bb-4210-b1ad-53ef6f6afad6 - title: "[SP 800-18]" - citation: - text: "Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security\ - \ Plans for Federal Information Systems. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18,\ - \ Rev. 1. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-18r1 - - uuid: 8e334d74-fc06-47a9-bbb1-804fdfae0e44 - title: "[SP 800-28]" - citation: - text: "Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content\ - \ and Mobile Code. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-28, Version 2. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-28ver2 - - uuid: 1d9f757b-00d5-4db1-b15b-0ad641c6df7c - title: "[SP 800-30]" - citation: - text: Joint Task Force Transformation Initiative (2012) Guide for Conducting - Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-30, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-30r1 - - uuid: b7140427-d4c4-467a-97a1-5ca9f7c6584a - title: "[SP 800-32]" - citation: - text: Kuhn R, Hu VC, Polk T, Chang S-jH (2001) Introduction to Public Key - Technology and the Federal PKI Infrastructure. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-32. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-32 - - uuid: 65774382-fcc6-4bbc-89fc-9d35aab19952 - title: "[SP 800-34]" - citation: - text: Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency - Planning Guide for Federal Information Systems. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-34r1 - - uuid: ed919d0d-8e21-4df6-801d-3fbc4cb8a505 - title: "[SP 800-35]" - citation: - text: Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information - Technology Security Services. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-35. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-35 - - uuid: e07d73ea-96b9-4330-aff2-e0215f455343 - title: "[SP 800-37]" - citation: - text: "Joint Task Force (2018) Risk Management Framework for Information\ - \ Systems and Organizations: A System Life Cycle Approach for Security\ - \ and Privacy. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-37, Rev. 2." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-37r2 - - uuid: 451e9636-402e-4c27-b3f5-e0e50f957f27 - title: "[SP 800-39]" - citation: - text: "Joint Task Force Transformation Initiative (2011) Managing Information\ - \ Security Risk: Organization, Mission, and Information System View. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Special\ - \ Publication (SP) 800-39." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-39 - - uuid: 1126ec09-2b27-4a21-80b2-fef70b31c49d - title: "[SP 800-40]" - citation: - text: Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management - Technologies. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-40, Rev. 3. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-40r3 - - uuid: db7877cf-1013-4fb1-b943-ca9361d16370 - title: "[SP 800-41]" - citation: - text: Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall - Policy. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-41, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-41r1 - - uuid: 23b0a203-c020-47dd-b86c-9f8c35ecaa4e - title: "[SP 800-45]" - citation: - text: Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on - Electronic Mail Security. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-45ver2 - - uuid: 7768c184-088d-4ee8-a316-f9286b52df7f - title: "[SP 800-46]" - citation: - text: Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote - Access, and Bring Your Own Device (BYOD) Security. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-46, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-46r2 - - uuid: 2e66c31a-190e-49ad-8e00-f306f8a0df17 - title: "[SP 800-47]" - citation: - text: Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide - for Interconnecting Information Technology Systems. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-47. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-47 - - uuid: 2e29c363-d5be-47ba-92f5-f8a58a69b65e - title: "[SP 800-50]" - citation: - text: Wilson M, Hash J (2003) Building an Information Technology Security - Awareness and Training Program. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-50. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-50 - - uuid: 286604ec-e383-4c1d-bd8c-d88f88e54a0f - title: "[SP 800-52]" - citation: - text: McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, - and Use of Transport Layer Security (TLS) Implementations. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-52, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-52r2 - - uuid: 5db6dfe4-788e-4183-93b9-f6fb29d75e41 - title: "[SP 800-53A]" - citation: - text: "Joint Task Force Transformation Initiative (2014) Assessing Security\ - \ and Privacy Controls in Federal Information Systems and Organizations:\ - \ Building Effective Assessment Plans. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A,\ - \ Rev. 4, Includes updates as of December 18, 2014." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-53Ar4 - - uuid: 31f3c9de-c57c-4281-929b-f9951f9640f1 - title: "[SP 800-53B]" - citation: - text: National Institute of Standards and Technology Special Publication - 800-53B, *Control Baselines and Tailoring Guidance for Federal Information - Systems and Organizations*. Projected for publication in 2020. - - uuid: 8ba0d54e-fa16-4f5d-baa1-763ec3e33e26 - title: "[SP 800-55]" - citation: - text: Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) - Performance Measurement Guide for Information Security. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-55, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-55r1 - - uuid: 77dc1838-3664-4faa-bc6e-4e2a16e52f35 - title: "[SP 800-56A]" - citation: - text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation - for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-56A, Rev. 3. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Ar3 - - uuid: f417e4ec-cadb-47a8-a363-6006b32c28ad - title: "[SP 800-56B]" - citation: - text: Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) - Recommendation for Pair-Wise Key-Establishment Using Integer Factorization - Cryptography. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-56B, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Br2 - - uuid: 7c3ba335-62bd-4f03-888f-960790409b11 - title: "[SP 800-56C]" - citation: - text: Barker EB, Chen L, Davis R (2018) Recommendation for Key-Derivation - Methods in Key-Establishment Schemes. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-56Cr1 - - uuid: 770f9bdc-4023-48ef-8206-c65397f061ea - title: "[SP 800-57-1]" - citation: - text: "Barker EB (2016) Recommendation for Key Management, Part 1: General.\ - \ (National Institute of Standards and Technology, Gaithersburg, MD),\ - \ NIST Special Publication (SP) 800-57 Part 1, Rev. 4." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt1r4 - - uuid: 69644a9e-438a-47c3-bac9-cf28b5baf848 - title: "[SP 800-57-2]" - citation: - text: "Barker EB, Barker WC (2019) Recommendation for Key Management: Part\ - \ 2 – Best Practices for Key Management Organizations. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-57 Part 2, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt2r1 - - uuid: 9933c883-e8f3-4a83-9a9a-d1e058038080 - title: "[SP 800-57-3]" - citation: - text: "Barker EB, Dang QH (2015) Recommendation for Key Management, Part\ - \ 3: Application-Specific Key Management Guidance. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-57 Part 3, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-57pt3r1 - - uuid: c4627621-1d6e-45ce-85d8-8b087c77ec66 - title: "[SP 800-58]" - citation: - text: Kuhn R, Walsh TJ, Fries S (2005) Security Considerations for Voice - Over IP Systems. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-58. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-58 - - uuid: 68949f14-9cf5-4116-91d8-e820b9df3ffd - title: "[SP 800-60 v1]" - citation: - text: Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide - for Mapping Types of Information and Information Systems to Security Categories. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-60, Vol. 1, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-60v1r1 - - uuid: e8e2fdb4-b0a7-44a4-9b64-848d4e3d8edc - title: "[SP 800-60 v2]" - citation: - text: "Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for\ - \ Mapping Types of Information and Information Systems to Security Categories:\ - \ Appendices. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-60v2r1 - - uuid: 7c14a87c-9a1e-4e0c-9fd9-3485a8a7829b - title: "[SP 800-61]" - citation: - text: Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security - Incident Handling Guide. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-61r2 - - uuid: 549993c0-9bdd-4d49-875c-f56950cc5f30 - title: "[SP 800-63-3]" - citation: - text: Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-63-3 - - uuid: 3c50fa31-7f4d-4d30-91d7-27ee87cd5f75 - title: "[SP 800-63A]" - citation: - text: "Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene\ - \ KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and\ - \ Identity Proofing. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates\ - \ as of March 2, 2020." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-63a - - uuid: 14a7d982-9747-48e0-a877-3e8fbf6ae381 - title: "[SP 800-70]" - citation: - text: "Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist\ - \ Program for IT Products: Guidelines for Checklist Users and Developers.\ - \ (National Institute of Standards and Technology, Gaithersburg, MD),\ - \ NIST Special Publication (SP) 800-70, Rev. 4." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-70r4 - - uuid: 3d6b3a16-94e7-4a43-8648-8bdeaadb271b - title: "[SP 800-73-4]" - citation: - text: Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, - Mohler J (2015) Interfaces for Personal Identity Verification. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-73-4, Includes updates as of February 8, 2016. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-73-4 - - uuid: d5ef0056-c807-44c3-a7b5-6eb491538f8e - title: "[SP 800-76-2]" - citation: - text: "Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications\ - \ for Personal Identity Verification. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2.\ - \ ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-76-2 - - uuid: 8da76f8f-acf9-4c62-9b1d-b0c1b28c87fa - title: "[SP 800-77]" - citation: - text: Frankel SE, Kent K, Lewkowski R, Orebaugh AD, Ritchey RW, Sharma SR - (2005) Guide to IPsec VPNs. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-77. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-77 - - uuid: 013e098f-0680-4856-a130-b768c69dab9c - title: "[SP 800-78-4]" - citation: - text: "Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic\ - \ Algorithms and Key Sizes for Personal Identity Verification. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Special\ - \ Publication (SP) 800-78-4. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-78-4 - - uuid: bb55e71a-e059-4263-8dd8-bc96fd3f063d - title: "[SP 800-79-2]" - citation: - text: "Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015)\ - \ Guidelines for the Authorization of Personal Identity Verification Card\ - \ Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-79-2. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-79-2 - - uuid: 93d44344-59f9-4669-845d-6cc2a5852621 - title: "[SP 800-81-2]" - citation: - text: "Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment\ - \ Guide. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-81-2. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-81-2 - - uuid: 90a2ca84-5624-42f0-b446-e69e5ed77e6a - title: "[SP 800-82]" - citation: - text: Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide - to Industrial Control Systems (ICS) Security. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, - Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-82r2 - - uuid: 8b0f8559-1185-45f9-b0a9-876d7b3c1c7b - title: "[SP 800-83]" - citation: - text: Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention - and Handling for Desktops and Laptops. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-83r1 - - uuid: 20bf433b-074c-47a0-8fca-cd591772ccd6 - title: "[SP 800-84]" - citation: - text: Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide - to Test, Training, and Exercise Programs for IT Plans and Capabilities. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-84. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-84 - - uuid: 35dfd59f-eef2-4f71-bdb5-6d878267456a - title: "[SP 800-86]" - citation: - text: Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating - Forensic Techniques into Incident Response. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-86 - - uuid: fed6a3b5-2b74-499f-9172-46671f7c24c8 - title: "[SP 800-88]" - citation: - text: Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for - Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-88, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-88r1 - - uuid: 02d8ec60-6197-43f8-9f47-18732127963e - title: "[SP 800-92]" - citation: - text: Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-92. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-92 - - uuid: 41e2e2c6-2260-4258-85c8-09db17c43103 - title: "[SP 800-94]" - citation: - text: Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention - Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-94. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-94 - - uuid: 1d91d984-0cb6-4f96-a01d-c39a3eee7d43 - title: "[SP 800-95]" - citation: - text: Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-95. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-95 - - uuid: 6bed1550-cd5d-4e80-8d83-4e597c1514fe - title: "[SP 800-97]" - citation: - text: "Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless\ - \ Robust Security Networks: A Guide to IEEE 802.11i. (National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Special Publication\ - \ (SP) 800-97." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-97 - - uuid: 9183bd83-170e-4701-b32c-97e08ef8bedb - title: "[SP 800-100]" - citation: - text: "Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A\ - \ Guide for Managers. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates\ - \ as of March 7, 2007." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-100 - - uuid: 1e2c475a-84ae-4c60-b420-8fb2ea552b71 - title: "[SP 800-101]" - citation: - text: "Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device\ - \ Forensics. (National Institute of Standards and Technology, Gaithersburg,\ - \ MD), NIST Special Publication (SP) 800-101, Rev. 1. ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-101r1 - - uuid: 1b14b50f-7154-4226-958c-7dfff8276755 - title: "[SP 800-111]" - citation: - text: "Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption\ - \ Technologies for End User Devices. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111.\ - \ ** " - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-111 - - uuid: 36132a58-56fd-4980-9f6c-c010d3faf52b - title: "[SP 800-113]" - citation: - text: Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-113. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-113 - - uuid: 49fa1ee1-aaf7-4270-bb5a-a86497f717dc - title: "[SP 800-114]" - citation: - text: Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring - Your Own Device (BYOD) Security. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-114r1 - - uuid: a6b97214-55d4-4b86-a3a4-53d5911d96f7 - title: "[SP 800-115]" - citation: - text: Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide - to Information Security Testing and Assessment. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-115. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-115 - - uuid: ad7d575f-b5fe-489b-8d48-36a93d964a5f - title: "[SP 800-116]" - citation: - text: Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) - A Recommendation for the Use of PIV Credentials in Physical Access Control - Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-116, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-116r1 - - uuid: 60b24979-65b8-4ca5-a442-11b74339fab5 - title: "[SP 800-121]" - citation: - text: Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone - KA (2017) Guide to Bluetooth Security. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, - Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-121r2 - - uuid: 18c6942b-95f8-414c-b548-c8e6b8d8a172 - title: "[SP 800-124]" - citation: - text: Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security - of Mobile Devices in the Enterprise. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, - Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-124r1 - - uuid: c972a85c-fa75-4596-be25-a338dc7e4e46 - title: "[SP 800-125B]" - citation: - text: Chandramouli R (2016) Secure Virtual Network Configuration for Virtual - Machine (VM) Protection. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-125B. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-125B - - uuid: 0b6ef8e9-4e93-4d0a-8d9c-526c63c6503f - title: "[SP 800-126]" - citation: - text: "Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018)\ - \ The Technical Specification for the Security Content Automation Protocol\ - \ (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-126r3 - - uuid: a536b9a9-bad0-4f8f-8b8b-81222e3ac2e4 - title: "[SP 800-128]" - citation: - text: Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for - Security-Focused Configuration Management of Information Systems. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-128. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-128 - - uuid: ae412317-c2b4-47bb-b47b-c329ce0d7a0b - title: "[SP 800-130]" - citation: - text: Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for - Designing Cryptographic Key Management Systems. (National Institute of - Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-130. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-130 - - uuid: c3b34083-77b2-4dab-a980-73068f8933bd - title: "[SP 800-137]" - citation: - text: Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh - AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring - (ISCM) for Federal Information Systems and Organizations. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-137. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-137 - - uuid: e9224c9b-4fa5-40b7-bfbb-02bff7712d92 - title: "[SP 800-147]" - citation: - text: Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection - Guidelines. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-147. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-147 - - uuid: ad3e8f21-07c6-4968-b002-00b64dfa70ae - title: "[SP 800-150]" - citation: - text: Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) - Guide to Cyber Threat Information Sharing. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-150 - - uuid: 38dbdf55-9a14-446f-b563-c48e4e3d37fb - title: "[SP 800-152]" - citation: - text: Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal - Cryptographic Key Management Systems (CKMS). (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-152 - - uuid: fd0f14f5-8910-45c4-b60a-0c8936e00daa - title: "[SP 800-154]" - citation: - text: Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat - Modeling. (National Institute of Standards and Technology, Gaithersburg, - MD), Draft NIST Special Publication (SP) 800-154. - rlinks: - - href: https://csrc.nist.gov/publications/detail/sp/800-154/draft - - uuid: f5dd7fb6-5e00-4ba3-9c10-9a8fc0255eaa - title: "[SP 800-156]" - citation: - text: Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady - S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-156. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-156 - - uuid: 8724b5bb-bc81-4fdc-bc94-2fc39b49ff9e - title: "[SP 800-160 v1]" - citation: - text: "Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering:\ - \ Considerations for a Multidisciplinary Approach in the Engineering of\ - \ Trustworthy Secure Systems. (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes\ - \ updates as of March 21, 2018." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-160v1 - - uuid: 8411e6e8-09bd-431d-bbcb-3423d36ad880 - title: "[SP 800-160 v2]" - citation: - text: "Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing\ - \ Cyber Resilient Systems: A Systems Security Engineering Approach. (National\ - \ Institute of Standards and Technology, Gaithersburg, MD), NIST Special\ - \ Publication (SP) 800-160, Vol. 2." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-160v2 - - uuid: 66476e76-46b4-47fb-be19-d13e6f3840df - title: "[SP 800-161]" - citation: - text: Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk - Management Practices for Federal Information Systems and Organizations. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-161. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-161 - - uuid: 359f960c-2598-454c-ba3b-a30c553e498f - title: "[SP 800-162]" - citation: - text: Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone - KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and - Considerations. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-162, Includes updates as of February - 25, 2019. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-162 - - uuid: a8f55663-86c5-415b-aabe-d2a126981d65 - title: "[SP 800-166]" - citation: - text: Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady - S (2016) Derived PIV Application and Data Model Test Guidelines. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Special - Publication (SP) 800-166. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-166 - - uuid: 893d1736-324c-41d6-a5f4-d526b5ca981a - title: "[SP 800-167]" - citation: - text: Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application - Whitelisting. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-167. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-167 - - uuid: 0a3abb6f-9670-4fa9-ba17-f956c6ad9e2a - title: "[SP 800-171]" - citation: - text: Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting - Controlled Unclassified Information in Nonfederal Systems and Organizations. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-171, Rev. 2. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-171r2 - - uuid: aad55f03-8ece-4b21-b09c-9ef65b5a9f55 - title: "[SP 800-171B]" - citation: - text: "Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau\ - \ D (2019) Protecting Controlled Unclassified Information in Nonfederal\ - \ Systems and Organizations: Enhanced Security Requirements for Critical\ - \ Programs and High Value Assets. (National Institute of Standards and\ - \ Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171B." - rlinks: - - href: https://csrc.nist.gov/CSRC/media/Publications/sp/800-171b/draft/documents/sp800-171B-draft-ipd.pdf - - uuid: 64e044e4-b2a9-490f-a079-1106407c812f - title: "[SP 800-177]" - citation: - text: Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy - Email. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Special Publication (SP) 800-177, Rev. 1. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-177r1 - - uuid: 223b23a9-baea-4a50-8058-63cf7967b61f - title: "[SP 800-178]" - citation: - text: "Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of\ - \ Attribute Based Access Control (ABAC) Standards for Data Service Applications:\ - \ Extensible Access Control Markup Language (XACML) and Next Generation\ - \ Access Control (NGAC). (National Institute of Standards and Technology,\ - \ Gaithersburg, MD), NIST Special Publication (SP) 800-178." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-178 - - uuid: f4c3f657-de83-47ae-9aec-e144de8268d1 - title: "[SP 800-181]" - citation: - text: Newhouse WD, Witte GA, Scribner B, Keith S (2017) National Initiative - for Cybersecurity Education (NICE) Cybersecurity Workforce Framework. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Special Publication (SP) 800-181. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-181 - - uuid: 08f518f7-f9b9-4bee-8986-860214f46b16 - title: "[SP 800-184]" - citation: - text: Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya - MP (2016) Guide for Cybersecurity Event Recovery. (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Special Publication - (SP) 800-184. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-184 - - uuid: eadef75e-7e4d-4554-b818-44946c1dde0e - title: "[SP 800-188]" - citation: - text: Garfinkel S (2016) De-Identifying Government Datasets. **(National - Institute of Standards and Technology, Gaithersburg, MD), Second Draft - NIST Special Publication (SP) 800-188. - rlinks: - - href: https://csrc.nist.gov/publications/detail/sp/800-188/draft - - uuid: 3862cd94-ff25-4631-9a9a-b92c21a0a923 - title: "[SP 800-189]" - citation: - text: "Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange:\ - \ BGP Security and DDoS Mitigation. (National Institute of Standards and\ - \ Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189." - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-189 - - uuid: 06d3c11a-4a00-42d9-ad75-e6a777ffae5e - title: "[SP 800-192]" - citation: - text: Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access - Control Policies/Models. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Special Publication (SP) 800-192. - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-192 - - uuid: d4779b49-8acc-45ef-b4f0-30f945e81d1b - title: "[IR 7539]" - citation: - text: Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart - Cards. **(National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7539. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7539 - - uuid: 09ac1fdb-36a9-483f-a04c-5c1e1bf104fb - title: "[IR 7559]" - citation: - text: Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services - (FWS). (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7559. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7559 - - uuid: 7b03adec-4405-4aac-94a0-6a9eb3f42e31 - title: "[IR 7622]" - citation: - text: Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional - Supply Chain Risk Management Practices for Federal Information Systems. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 7622. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7622 - - uuid: daf69edb-a0ef-4447-9880-8c4bf553181f - title: "[IR 7676]" - citation: - text: Cooper DA (2010) Maintaining and Using Key History on Personal Identity - Verification (PIV) Cards. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7676 - - uuid: bcd95f8b-230d-4e9e-a186-7d00b6dfdb9c - title: "[IR 7788]" - citation: - text: Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks - Using Probabilistic Attack Graphs. (National Institute of Standards and - Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) - 7788. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7788 - - uuid: a49f67fc-827c-40e6-9a37-2b1cbe8142fd - title: "[IR 7817]" - citation: - text: Ferraiolo H (2012) A Credential Reliability and Revocation Model for - Federated Identities. (National Institute of Standards and Technology, - Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7817 - - uuid: 972c10bd-aedf-485f-b0db-f46a402127e2 - title: "[IR 7849]" - citation: - text: Chandramouli R (2014) A Methodology for Developing Authentication - Assurance Level Taxonomy for Smart Card-based Identity Verification. (National - Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency - or Internal Report (IR) 7849. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7849 - - uuid: 197f7ba7-9af8-4a67-b3a4-5523d850e53b - title: "[IR 7870]" - citation: - text: Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 7870. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7870 - - uuid: bb22d510-54a9-4588-b725-00d37576562b - title: "[IR 7874]" - citation: - text: Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation - Metrics. (National Institute of Standards and Technology, Gaithersburg, - MD), NIST Interagency or Internal Report (IR) 7874. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7874 - - uuid: f437b52f-7f26-42aa-8e8f-999e7d67b2fe - title: "[IR 7956]" - citation: - text: Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management - Issues & Challenges in Cloud Services. (National Institute of Standards - and Technology, Gaithersburg, MD), NIST Interagency or Internal Report - (IR) 7956. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7956 - - uuid: 30213e10-2aca-47b3-8cdb-61303e0959f5 - title: "[IR 7966]" - citation: - text: Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive - and Automated Access Management Using Secure Shell (SSH). (National Institute - of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal - Report (IR) 7966. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.7966 - - uuid: 851b5ba4-6aa0-4583-857c-4c360cbdf2a0 - title: "[IR 8011 v1]" - citation: - text: "Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security\ - \ Control Assessments: Volume 1: Overview. (National Institute of Standards\ - \ and Technology, Gaithersburg, MD), NIST Interagency or Internal (IR)\ - \ 8011, Volume 1." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8011-1 - - uuid: 7e7538d7-9c3a-4e5f-bbb4-638cec975415 - title: "[IR 8023]" - citation: - text: Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. - (National Institute of Standards and Technology, Gaithersburg, MD), NIST - Interagency or Internal Report (IR) 8023. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8023 - - uuid: 24738ee6-b3f3-4e37-825b-58775846bdbc - title: "[IR 8040]" - citation: - text: Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and - Security of Permuted Passwords on Mobile Platforms. **(National Institute - of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal - Report (IR) 8040. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8040 - - uuid: 817b4227-5857-494d-9032-915980b32f15 - title: "[IR 8062]" - citation: - text: Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction - to Privacy Engineering and Risk Management in Federal Systems. **(National - Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency - or Internal Report (IR) 8062. - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8062 - - uuid: 7a93e915-fd58-4147-be12-e48044c367e6 - title: "[IR 8179]" - citation: - text: "Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis\ - \ Process Model: Prioritizing Systems and Components. **(National Institute\ - \ of Standards and Technology, Gaithersburg, MD), NIST Interagency or\ - \ Internal Report (IR) 8179." - rlinks: - - href: https://doi.org/10.6028/NIST.IR.8179 - - uuid: 2ee29e9a-6855-4160-a811-b5c7c50bd127 - title: "[DHS TIC]" - citation: - text: Department of Homeland Security, *Trusted Internet Connections (TIC)*. - rlinks: - - href: https://www.dhs.gov/trusted-internet-connections - - uuid: 4e5415c1-7fc4-4fec-8328-d31319fffc4a - title: "[DSB 2017]" - citation: - text: Department of Defense, Defense Science Board, *Task Force on Cyber - Deterrence*, February 2017. - rlinks: - - href: https://www.acq.osd.mil/dsb/reports/2010s/DSB-CyberDeterrenceReport_02-28-17_Final.pdf - - uuid: 294eed19-7471-4517-9480-2ec73e7c6a78 - title: "[DOD STIG]" - citation: - text: Defense Information Systems Agency, *Security Technical Implementation - Guides (STIG)*. - rlinks: - - href: https://iase.disa.mil/stigs/Pages/index.aspx - - uuid: 5a0f9c51-a5e9-4ef1-a2f7-446d5e9068ff - title: "[DODTERMS]" - citation: - text: Department of Defense, *Dictionary of Military and Associated Terms*. - rlinks: - - href: http://www.dtic.mil/dtic/tr/fulltext/u2/a485800.pdf - - uuid: 17ca9481-ea11-4ef2-81c1-885fd37d4be5 - title: "[IETF 5905]" - citation: - text: "" - - uuid: 19067e94-7e15-4a4f-9344-9002a5be9755 - title: "[LAMPSON73]" - citation: - text: B. W. Lampson, *A Note on the Confinement Problem*, Communications - of the ACM 16, 10, pp. 613-615, October 1973. - - uuid: dd87fdf0-840d-4392-9de4-220b2327e340 - title: "[NARA CUI]" - citation: - text: National Archives and Records Administration, Controlled Unclassified - Information (CUI) Registry. - rlinks: - - href: https://www.archives.gov/cui - - uuid: 5dac2312-1d0d-416f-aebb-400fa9775b74 - title: "[NIAP CCEVS]" - citation: - text: National Information Assurance Partnership, *Common Criteria Evaluation - and Validation Scheme*. - rlinks: - - href: https://www.niap-ccevs.org/ - - uuid: 22b43fc3-c1a2-4166-8ef1-ab1c31ad094d - title: "[NIST CAVP]" - citation: - text: National Institute of Standards and Technology (2020) *Cryptographic - Algorithm Validation Program*. Available at - rlinks: - - href: https://csrc.nist.gov/projects/cryptographic-algorithm-validation-program - - uuid: 8c3295fe-f40e-4ff0-a6bf-5b31d54c967e - title: "[NIST CMVP]" - citation: - text: National Institute of Standards and Technology (2020) *Cryptographic - Module Validation Program*. Available at - rlinks: - - href: https://csrc.nist.gov/projects/cryptographic-module-validation-program - - uuid: 3c47d111-9f82-4571-ab3d-5aaeb4373a04 - title: "[NIST CSF]" - citation: - text: National Institute of Standards and Technology (2018) Framework for - Improving Critical Infrastructure Cybersecurity, Version 1.1. (National - Institute of Standards and Technology, Gaithersburg, MD). - rlinks: - - href: https://doi.org/10.6028/NIST.CSWP.04162018 - - uuid: 5cc04a1c-5489-4751-a493-746a9639067b - title: "[NCPR]" - citation: - text: National Institute of Standards and Technology (2020) *National Checklist - Program Repository*. Available at - rlinks: - - href: https://nvd.nist.gov/ncp/repository - - uuid: 6dbf7321-9ab2-47c6-9101-6041735d8136 - title: "[NVD 800-53]" - citation: - text: "National Institute of Standards and Technology (2020) *National Vulnerability\ - \ Database: NIST Special Publication 800-53 [database of controls].* Available\ - \ at" - rlinks: - - href: https://nvd.nist.gov/800-53 - - uuid: b0ef4899-9682-4afc-a2dd-0f5f71c78042 - title: "[NEUM04]" - citation: - text: " *Principled Assuredly Trustworthy Composable Architectures*, P.\ - \ Neumann, CDRL A001 Final Report, SRI International, December 2004." - rlinks: - - href: http://www.csl.sri.com/users/neumann/chats4.pdf - - uuid: 634dec27-df88-4c30-b1a4-b57cdfd24f20 - title: "[NSA CSFC]" - citation: - text: National Security Agency, *Commercial Solutions for Classified Program - (CSfC)*. - rlinks: - - href: https://www.nsa.gov/resources/everyone/csfc - - uuid: a52271dc-11b5-423a-8b6f-14867bd94259 - title: "[NSA MEDIA]" - citation: - text: National Security Agency, *Media Destruction Guidance*. - rlinks: - - href: https://www.nsa.gov/resources/everyone/media-destruction - - uuid: 8d64f754-fde9-4e7b-8dea-8fffedef4347 - title: "[POPEK74]" - citation: - text: G. Popek, *The Principle of Kernel Design*, in 1974 NCC, AFIPS Cong. - Proc., Vol. 43, pp. 977-978. - - uuid: 3c2331ad-9b35-4679-b9b2-7d70e7be6beb - title: "[SALTZER75]" - citation: - text: J. Saltzer and M. Schroeder, *The Protection of Information in Computer - Systems*, in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308. - - uuid: 06842bea-64c9-4e20-807a-b8fc003fa737 - title: "[USGCB]" - citation: - text: National Institute of Standards and Technology (2020) *United States - Government Configuration Baseline*. Available at - rlinks: - - href: https://csrc.nist.gov/projects/united-states-government-configuration-baseline - - uuid: 90ec1671-8dcf-4bcf-8efe-ac6d06a806f0 - rlinks: - - href: https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5-draft.pdf - media-type: application/pdf - - uuid: abe434a3-7630-4138-8699-2ab8c7a9aa6c - rlinks: - - href: https://doi.org/10.6028/NIST.SP.800-53r5-draft - media-type: application/pdf diff --git a/oscal b/oscal index b66302e3..d19aedf7 160000 --- a/oscal +++ b/oscal @@ -1 +1 @@ -Subproject commit b66302e353c26311cebaa0e4266f56d3d0b33f16 +Subproject commit d19aedf7d0e0fba3b780d56c080312379127d7a4 diff --git a/src/config b/src/config deleted file mode 100644 index b2bd1ca5..00000000 --- a/src/config +++ /dev/null @@ -1,10 +0,0 @@ -# path to source|format of source|model of source|format(s) to convert to -src/examples/catalog/xml/*.xml|xml|catalog|json -src/examples/ssp/xml/*.xml|xml|ssp|json -src/examples/ssp/json/ssp-example.json|json|ssp|xml -src/examples/component-definition/json/example-component.json|json|component|xml -src/examples/component-definition/xml/*.xml|xml|component|json -src/nist.gov/SP800-53/rev4/xml/*catalog.xml|xml|catalog|json -src/nist.gov/SP800-53/rev4/xml/*profile.xml|xml|profile|json -src/nist.gov/SP800-53/rev5/xml/*catalog.xml|xml|catalog|json -src/nist.gov/SP800-53/rev5/xml/*profile.xml|xml|profile|json diff --git a/src/examples/catalog/xml/basic-catalog.xml b/src/examples/catalog/xml/basic-catalog.xml index 82051624..039eaa76 100644 --- a/src/examples/catalog/xml/basic-catalog.xml +++ b/src/examples/catalog/xml/basic-catalog.xml @@ -7,7 +7,7 @@ 2020-02-02T11:01:04.736-04:00 2021-06-08T13:57:28.355446-04:00 1.0 - 1.0.0 + 1.1.0

The following is a short excerpt from ISO/IEC 27002:2013, Information technology — Security techniques — Code of practice for information security controls. This work is provided here under copyright fair use for non-profit, educational purposes only. Copyrights for this work are held by the publisher, the International Organization for Standardization (ISO).

 diff --git a/src/examples/component-definition/json/example-component.json b/src/examples/component-definition/json/example-component.json deleted file mode 100644 index 1529a52e..00000000 --- a/src/examples/component-definition/json/example-component.json +++ /dev/null @@ -1,57 +0,0 @@ -{ - "component-definition": { - "uuid": "8223d65f-57a9-4689-8f06-2a975ae2ad72", - "metadata": { - "title": "Test Component Definition", - "last-modified": "2021-06-08T13:57:28.355446-04:00", - "version": "20200723", - "oscal-version": "1.0.0", - "parties": [ - { - "uuid": "ee47836c-877c-4007-bbf3-c9d9bd805a9a", - "name": "Test Vendor", - "type": "organization" - } - ] - }, - "components": [ - { "uuid": "b036a6ac-6cff-4066-92bc-74ddfd9ad6fa", - "type": "software", - "title": "test component 1", - "description": "This is a software component that implements basic authentication mechanisms.", - "responsible-roles": [ - { - "role-id": "provider", - "party-uuids": ["ee47836c-877c-4007-bbf3-c9d9bd805a9a"] - } - ], - "control-implementations": [ - { - "uuid": "cfcdd674-8595-4f98-a9d1-3ac70825c49f", - "source": "../../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "description": "This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (3).", - "implemented-requirements": [ - { - "uuid": "d1016df0-9b5c-4839-86cd-f9c1d113077b", - "description": "Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.", - "control-id": "ac-2.3" - } - ] - }, - { - "uuid": "22dbff65-9729-449f-9dfc-4e5fee0906de", - "source": "https://raw.githubusercontent.com/GSA/fedramp-automation/master/baselines/rev4/json/FedRAMP_rev4_HIGH-baseline_profile.json", - "description": "This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (3).", - "implemented-requirements": [ - { - "uuid": "65e30b37-0640-4844-9f42-b2a7ae944bb1", - "description": "An alternate narrative for FedRAMP..", - "control-id": "ac-2.3" - } - ] - } - ] - } - ] - } -} \ No newline at end of file diff --git a/src/examples/component-definition/xml/example-component-definition.xml b/src/examples/component-definition/xml/example-component-definition.xml index 0a4adaaf..d9f47f49 100644 --- a/src/examples/component-definition/xml/example-component-definition.xml +++ b/src/examples/component-definition/xml/example-component-definition.xml @@ -1,13 +1,13 @@ + uuid="a7ba800c-a432-44cd-9075-0862cd66da6b" + xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" + xsi:schemaLocation="http://csrc.nist.gov/ns/oscal/1.0 https://raw.githubusercontent.com/usnistgov/OSCAL/master/xml/schema/oscal_component_schema.xsd"> MongoDB Component Definition Example 2001-08-26T23:11:47Z 20210826 - 1.0.0 + 1.1.0 Provider @@ -32,43 +32,53 @@ + name="mongodb-shardsrv"> MongoDB protocol for sharding with shardsrv option. + name="mongodb-configsvr"> MongoDB protocol for configsrv operation. + uuid="49f0b690-ed9f-4f32-aae0-625b77aa6d27" + source="#ba047e56-faef-430c-bafb-c54e9a87c6e8">

MongoDB control implementations for NIST SP 800-53 revision 5.

 + uuid="cf8338c5-fb6e-4593-a4a8-b3c4946ee2a0" + control-id="sc-8.1">

MongoDB supports TLS 1.x to encrypt data in transit, - preventing unauthorized disclosure or changes to information - during transmission. To implement TLS, set the PEMKeyFile - option in the configuration /etc/mongod.conf to the - certificate file's path and restart the the component.

+ preventing unauthorized disclosure or changes to information + during transmission. To implement TLS, set the PEMKeyFile + option in the configuration /etc/mongod.conf to the + certificate file's path and restart the the component.

 + uuid="5227daf8-7a4b-4fe0-aea9-3547b7de2603" + control-id="sa-4.9">

Must ensure that MongoDB only listens for network - connections on authorized interfaces by configuring the MongoDB - configuration file to limit the services exposure to only the - network interfaces on which MongoDB instances should listen for - incoming connections.

+ connections on authorized interfaces by configuring the MongoDB + configuration file to limit the services exposure to only the + network interfaces on which MongoDB instances should listen for + incoming connections.

 + + + +

NIST Special Publication 800-53 Revision 5: Moderate Baseline Profile

+ + + + + + diff --git a/src/examples/component-definition/xml/example-component.xml b/src/examples/component-definition/xml/example-component.xml new file mode 100644 index 00000000..507a9770 --- /dev/null +++ b/src/examples/component-definition/xml/example-component.xml @@ -0,0 +1,59 @@ + + + + Test Component Definition + 2021-06-08T13:57:28.355446-04:00 + 20200723 + 1.1.0 + + Test Vendor + + + + test component 1 + +

This is a software component that implements basic authentication mechanisms.

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

This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (3).

+ + + +

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

+ + + + + +

This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (3).

+ + + +

An alternate narrative for FedRAMP..

+ + + + + + + +

NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal Information Systems and Organizations

+ + + + + + + +

FedRAMP Revision 4 High Baseline Profile

+ + + + + + + \ No newline at end of file diff --git a/src/examples/ssp/Master Validation List - DRAFT.xlsx b/src/examples/ssp/Master Validation List - DRAFT.xlsx deleted file mode 100644 index 7dc8012a..00000000 Binary files a/src/examples/ssp/Master Validation List - DRAFT.xlsx and /dev/null differ diff --git a/src/examples/ssp/OSCAL Implementation Layer - FedRAMP System Security Plan (SSP) Modeling.md b/src/examples/ssp/OSCAL Implementation Layer - FedRAMP System Security Plan (SSP) Modeling.md deleted file mode 100644 index b3b8458b..00000000 --- a/src/examples/ssp/OSCAL Implementation Layer - FedRAMP System Security Plan (SSP) Modeling.md +++ /dev/null @@ -1,716 +0,0 @@ -# OSCAL Implementation Layer - FedRAMP System Security Plan (SSP) Modeling -This defines the data fields to express a FedRAMP SSP in machine readable format. The intent is to translate this to XML and JSON for adoption as part of the Open OSCAL Implementation Layer specification. -This is part of the NIST OSCAL effort as covered by [Issue #246](https://github.com/usnistgov/OSCAL/issues/246). - ---- -Modeled Sample SSP: -https://hackmd.io/UPEc5ya7Sfmu3wcg2UzGzw - ---- - -# User stories - -1. As a system owner and/or administrator I am able to express my existing MS Word or PDF-based FedRAMP SSP in an OSCAL-compliant, machine readable format. - -1. As a FedRAMP reviewer, I am able to use tools to expedite the review of a FedRAMP SSP submitted in an OSCAL-compliant format through automated: --- **validation of the information submitted;** ---- is all appropriate content provided? - (i.e. every control has an implementation status? were any controls incorrectly omitted?; was the system owerner identified?) ---- does the content correlate? -(i.e. if a control indicates inheritance, were details provided about the underlying system in the appropriate section?; if FIPS 140-2 validated modules are indicated, were the certificate numbers provided? If a role was specified for a control, was the role described in the appropriate section?) ---- can external references be validated? -(i.e. can the indicated FIPS 140-2 validation certificate numbers be found in the NIST Labs Database; are all attachments and external references accessible?) --- **review tracking;** ---- Has this control been reviewed? ---- Did the reviewer find the content to be fully compliant, partially compliant, or non-compliant? ---- What feedback does the reviewer have? -(if not fully compliant, the reviewer must cite the nature of the partial- or non-compliance) ---- What is the disposition of cited partial- or non-compliance? - ---- - -## FedRAMP SSP Overview -FedRAMP currently provides SSP templates in MS Word format. There are SSP templates for FedRAMP High, Moderate, and Low cloud service offerings, as well as a template for Low Impact (LI) SaaS Systems under FedRAMP Tailored. - -Relevant Links: -* High: https://www.fedramp.gov/assets/resources/templates/FedRAMP-SSP-High-Baseline-Template.docx -* Moderate: https://www.fedramp.gov/assets/resources/templates/FedRAMP-SSP-Moderate-Baseline-Template.docx -* Low: https://www.fedramp.gov/assets/resources/templates/FedRAMP-SSP-Low-Baseline-Template.docx -* LI-SaaS: https://www.fedramp.gov/assets/resources/templates/APPENDIX-B-FedRAMP-Tailored-LI-SaaS-Template.docx - -The information requires for High, Moderate, and Low SSPs are identical from a data modeling perspective. The front-matter (Title page through chapter 12) of each is essentially identical, and contains a significant amount of structured data. The fundamental difference between these three SSP templates is the specific controls required in each baseline. - -When complete, these templates include attachments and diagrams. Some attachments are also based on FedRAMP templates, such as for system inventory and the privacy impact analysis. Some of these attachments are highly structured and easily modelled. Others are not. All are assessed and addressed following the core SSP content. - -The structure of the FedRAMP Tailored for LI-SaaS template provides for a sub-set of the typical FedRAMP SSP data, as well as a place to capture assessment details in an attempt to keep that package light-weight. Anything we model for the High/Moderate/Low SSP templates above will work for for the LI-SaaS template with the exception that much of the required content from these SSP templates becomes optional for the LI-SaaS template. - -## Proto-model - -The following applies to FedRAMP High, Moderate, and Low SSPs unless otherwise noted. - - - -### Authoritative Control References -Points back to the specific authoritative control references, such as the FedRAMp Moderate baseline, or the NIST High baseline. -```yaml= -# Indicates what control data should be referenced -# Cardinality: 1 or more -import: What OSCAL profile(s) or catalog(s) should be used as the source for control information? - href: Where can it be found? -``` - - -### Publication Characteristics - -```yaml= -# High level "document" identification -# Cardinality: 1 -publication: - publication_id: Unique document ID, generated by the publishing organization (for SSPs this is typically the CSP) - publication_title: The title of the publication (typically "FedRAMP System Security Plan (SSP) [High | Moderate | Low ] Baseline [CSP Name] [System Name]") - publication_version: The CSP-assigned version number of this publication - publication_date: The CSP's publication date for this publication - publication_sensitivity: Indicates any document sensitivity such as Controlled Unclassified Information (CUI), Proprietary, Confidential - - # What is the history of this publication? - # Cardinality: 1 or more - publication_history: - publication_date: - publication_version: - publication_notes: Notes about what was changed. - - # Other publication meta-data relevant to the FedRAMP PMO - # Cardinality: 1 - publication_details: - prepared_by: - organization_name - organization_address - prepared_for: - organization_name - organization_address -``` - -### Approvals -The content of an officially delivered SSP must be signed by one or more appropriate approving officials within the CSP's organization. -```yaml= - # Approvals - - # Cardinality: 1 or more - publication_approvals: - approver: - approver_signature: Scanned image or certificate-based - approval_date - approver_name - approver_title - approver_organization: Typically the name of the CSP. -``` - -### Attachments -Whether for the formally required attachments in Chapter 15, or other attachments as needed, a mechanism is needed to embed and/or reference attachments from within the SSP data. - -```yaml= - # Attachments - . - # Cardinality: 0 or more -publication_attachments: - attachment_id - attachment_name - attachment_description - attachment_format - attachment_date - attachment_version - attachment_type - attachment_href (either this or base64_embedded is required, but not both) - attachment_base64_embedded (either this or href is required, but not both) - attachment_base64_filename -``` - -### System -FedRAMP requires the following information about the system. Much of this information is re-used across many FedRAMP artifacts including the FedRAMP Marketplace, authorization letters, and monthly ConMon Reporting. - -```yaml= - - # Characteristics and meta-data about the system itself - # Cardinality: 1 - system_information: - # Table 1-1: Information System Name and Title - # Cardinality: 1 - system_id: This is the FedRAMP Application Number - a unique ID assigned by the FedRAMP PMO - # Table 1-1: Information System Name and Title - # Cardinality: 1 - system_name: The full name of the system - # Table 1-1: Information System Name and Title - # Cardinality: 1 - system_name_short: Often the system acronym or abbreviation - # Section 9.1 System Function or Purpose - # Cardinality: 1 - description: A brief description of the function or purpose of the system (1 - 3 paragraphs) - - # Table 2-1: Security Categorization - # ALSO -- Table 2-4: Baseline Security Configuration - # Cardinality: 1 - security_sensitivity_level: - - low - - moderate - - high - - # Table 2-3: Security Impact Level - security_objective_confidentiality: - - low - - moderate - - high - # Table 2-3: Security Impact Level - security_objective_integrity: - - low - - moderate - - high - # Table 2-3: Security Impact Level - security_objective_availability: - - low - - moderate - - high - - # Optional for FedRAMP. Only overall eauth_level is required based on high water mark of ial, aal, and fal. - # Cardinality: 0 or 1 - security_auth_ial: - - low - - moderate - - high - # Optional for FedRAMP. Only overall eauth_level is required based on high water mark of ial, aal, and fal. - # Cardinality: 0 or 1 - security_auth_aal: - - low - - moderate - - high - # Optional for FedRAMP. Only overall eauth_level is required based on high water mark of ial, aal, and fal. - # Cardinality: 0 or 1 - security_auth_fal: - - low - - moderate - - high - # Table 15-5: Digital Identity Level - # Cardinality: 1 - security_eauth_level: - - low - - moderate - - high - - # Table 7-1: System Status - # Cardinality: 1 - deployment_status: - - operational - - under_development - - major_modification - - other - other_description: if deployment_status = "other", this contains an explanation - - # Table 8-1: Service Layers Represented - # FedRAMP limits values to "SaaS", "PaaS", "IaaS", and/or "other"; however, outside of FedRAMP, this field may be used more broadly - # Cardinality: 1 or more - deployment_model: - - saas - - paas - - iaas - - other - other_description: if deployment_model = "other", this contains an explanation - - # Table 8-2: Cloud Deployment Model Represented in this SSP - # FedRAMP limits values to "Public", "Private", "Government Only Community", and/or "other"; however, outside of FedRAMP, this field may be used more broadly - # Cardinality: 1 or more - service_model: - - public - - private - - government_only_community - - other - other_description: if service_model = "other", this contains an explanation - - # Table 8-3: Leveraged Authorizations - # The Leveraged Authorizations table details the pre-existing FedRAMP Authorizations being leveraged by this Information System - # Cardinality 0 or more - leveraged_authorizations: - leveraged_authorization_name: The Leveraged Information System Name - leveraged_authorization_service_provider: The Leveraged Information System Service Provider - leveraged_authorization_date_granted: The date this system started leveraging the Leveraged Information System -``` - -### Boundaries and Components - -```yaml= - # Section 9 General System Description - # Cardinality: 1 - system_boundary: - boundary_description: one or more paragraphs that describe the system's authorization boundary. - - # Section 9.2 Information System Components and Boundaries - #Cardinality: 1 or more - boundary_diagram: - diagram-id: unique id for the diagram - diagram_attachment_id: [id of attachment] - diagram_title: title of the diagram - diagram_description: description of the diagram - - # Section 9.4 Network Architecture - #Cardinality: 1 or more - network_diagram: - diagram-id: unique id for the diagram - diagram_attachment_id: [id of attachment] - diagram_title: title of the diagram - diagram_description: description of the diagram - - # Section 10.1 Data Flow - #Cardinality: 1 or more - data_flow_description - data_flow_diagram: - diagram-id: unique id for the diagram - diagram_attachment_id: [id of attachment] - diagram_title: title of the diagram - diagram_description: description of the diagram - - # This needs to tie tightly to the OSCAL Capabilities/Components Definition - system_components: - [Model based on OSCAL capabilities/components definition] -``` - -### Authorized Connections -Although this is part of CA-3, it may not be part of the standard set of elements for controls. This could be merged into the standard OSCAL controls set later. - -```yaml= - # Table 13-3. CA-3 Authorized Connections - # Cardinality: 0 or more - authorized_connections: - external_system_name: Name of the system to which this system connects - external_system_org: Organization that owns the system to which this system connects - isa_authorization: Who signed and authorized the Interconnection Security Agreement (ISA)? - isa_name: Name of the ISA - isa_date: Date of the ISA -``` - - -### Types of Users - -```yaml= - # Section 9.3 Types of Users - - - # Table 9-1: Personnel Roles and Privileges - # Cardinality: 1 or more - system_user: - user_role - #Cardinality: 1 - user_type: - - internal - - external - #Cardinality: 1 - user_privilege_type: - - p # Privileged - - np # Non-Privileged - - nla # No Logical Access - user_sensitivity_level: - - moderate - - limited - - n_a - - ???? others? - user_authorized_privilege: [description, such as "Full administrative access (root)", or "Portal administration"] - functions_performed: [description, such as "add/remove users, install and configure software, OS updates, patches and hotfixes, perform backups"] - - internal_user_total_current: number of internal personnel now - internal_user_total_future: expected number of internal personnel within one year - external_user_total_current: number of external personnel now - external_user_total_future: expected number of external personnel within one year -``` - -### Information Types - -```yaml= - # Table 2-2: Sensitivity Categorization of Information Types - # Cardinality: 0 or more * - # * NOTE: In theory, an IaaS or PaaS may have no data. Any leveraging SaaS would have data and be responsible for enumerating it in the SSP for the SaaS. In reality, cardinality should probably be "1 or more", not "0 or more". - information_types: - information_type_id: NIST 800-60 identifier (ie. C.3.5.1) - information_type: NIST 800-60 information type name - information_description: Description of information that fits this type - information_sensitivity_confidentiality: - - low - - moderate - - high - information_sensitivity_integrity: - - low - - moderate - - high - information_sensitivity_availability: - - low - - moderate - - high -``` - -### Ports, Protocols and Services - -```yaml= - # Section 10.2 Ports, Protocols and Services - # Table 10-1: Ports, Protocols and Services - # Cardinality: 0 or more (realistically 1 or more) - ports_protocols_services_entry: - #Cardinality: 0 or more - port_range - #Cardinality: 0 or more - port_type: - - tcp - - udp - #Cardinality: 0 or more - protocol - #Cardinality: 0 or more - service - #Cardinality: 1 or more - purpose - #Cardinality: 1 or more - used_by -``` - - -### Information System Owner - -```yaml= - # Table 3-1: Information System Owner - # Cardinality: 1 - system_owner_information: Contact information for the system owner - system_owner_name: Who is the main system owner - system_owner_title: What is their title within their organization - system_owner_organization: What organization does the system owner work with - system_owner_address: What is the organization street address - system_owner_city: What city is the organization based out of - system_owner_state: What state is the organization based out of - system_owner_zip: What is the zip code for the organization - system_owner_phone: What is the contact number for the system owner - system_owner_email: What is the email for the system owner -``` -### Authorizing Official - -```yaml= - # Section 4. Authorizing Officials - # Cardinality: 1 or more - authorizing_official: The Authorizing Official is determined by the path that the CSP is using to gain authorization - jab_or_agency: Is the CSP going through the JAB P-ATO process or direct Agency Authorization - authorizing_official_name: The name of the authorizing official - authorizing_official_title: The title of the authorizing official - authorizing_official_organization: The organization that the authorizing official belongs to - authorizing_official_email: The email address of the authorizing official - authorizing_official_phone: The phone number of the authorizing official -``` -## Other Designated Contacts -### Information System Management Point of Contact -```yaml= - # Table 5-1: Information System Management Point of Contact - # Cardinality 1 or more - system_management_information: Contact information for the system management point of contact - system_management_name: Who is the system management POC - system_management_title: What is their title within their organization - system_management_organization: What organization does the system management POC work with - system_management_address: What is the organization street address - system_management_city: What city is the organization based out of - system_management_state: What state is the organization based out of - system_management_zip: What is the zip code for the organization - system_management_phone: What is the contact number for the system management POC - system_management_email: What is the email for the system management POC -``` -### Information System Technical Point of Contact - -```yaml= - - # Table 5-2: Information System Technical Point of Contact - # Cardinality 1 or more - system_technical_information: Contact information for the system technical point of contact - system_technical_name: Who is the system technical POC - system_technical_title: What is their title within their organization - system_technical_organization: What organization does the system technical POC work with - system_technical_address: What is the organization street address - system_technical_city: What city is the organization based out of - system_technical_state: What state is the organization based out of - system_technical_zip: What is the zip code for the organization - system_technical_phone: What is the contact number for the system technical POC - system_technical_email: What is the email for the system technical POC -``` -### Information System Additional Point of Contact - -```yaml= - - # Table 5-3: Information System Additional Point of Contact - # Cardinality 0 or more - system_additional_information: Contact information for the system additional point of contact - system_additional_name: Who is the system additional POC - system_additional_title: What is their title within their organization - system_additional_organization: What organization does the system additional POC work with - system_additional_address: What is the organization street address - system_additional_city: What city is the organization based out of - system_additional_state: What state is the organization based out of - system_additional_zip: What is the zip code for the organization - system_additional_phone: What is the contact number for the system additional POC - system_additional_email: What is the email for the system additional POC -``` -### CSP Internal ISSO (or Equivalent) Point of Contact - -```yaml= - #Table 6-1: CSP Internal ISSO (or Equivalent) Point of Contact - #Cardinality 1 or more - csp_isso_information: The contact information for the CSP ISSO - csp_isso_name: Who is the CSP ISSO - csp_isso_title: What is the title of the CSP ISSO - csp_isso_organization: What organization does the CSP ISSO work with - csp_isso_address: What is the organization street address - csp_isso_city: What city is the organization based out of - csp_isso_state: What state is the organization based out of - csp_isso_zip: What is the zip code for the organization - csp_isso_number: What is the contact number for the CSP ISSO - csp_isso_email: What is the email address for the CSP ISSO -``` -### AO Point of Contact - -```yaml= - # Table 6-2: AO Point of Contact - # Cardinality 1 or more - ao_information: The contact information for the Authorizing Official - ao_name: Who is the AO - ao_title: What is the title of the AO - ao_organization: What organization does the AO work with - ao_address: What is the organization street address - ao_city: What city is the organization based out of - ao_state: What state is the organization based out of - ao_zip: What is the zip code for the organization - ao_number: What is the contact number for the AO - ao_email: What is the email address for the AO -``` - -## SSP Minimum Security Controls -Security controls are the main focus of OSCAL. The implementation layer control modeling is being addressed in a parallel effort as part of [Issue #217](https://github.com/usnistgov/OSCAL/issues/217), with the modeling efforts found [HERE](https://hackmd.io/x43sK8IvSyOhW3no7fdh2w?view). That effort will be merged with this representation after each is developed separately - -It is import each control traces back to the control requirement statements. Each control should trace to the most down-stream reference to it. This is especially important to ensure proper parameter values are established. - -For example AC-2 appears in the FedRAMP Moderate Profile, which references the NIST Moderate Profile, which in turn references the 800-53 catalog. This should point to the FedRAMP Moderate profile to ensure the FedRAMp parameter constraint in (j) is maintained. - -```yaml= - # Section 13: Security Controls - - # Cardinality: one - control_id: The ID of the control as it appears in the appropriate profile or catalog. - href: A pointer to the actual profile or catalog. - - # Cardinality: zero or more - # Validation: one for each parameter - parameter-value: The actual value of the parameter supplied by the system owner to complete the requirement statement. - parameter_id: The ID of the parameter as it appears in the appropriate profile or catalog. - - # Cardinality: one or more - # Validation: Every role here should match a role in the roles and responsibilities table - responsible_role: Who is responsible for maintaining the control? - - # Cardinality: one - implementation_status: The status of the control (Implemented, Partially Implemented, Planned, Alternative Implementation, N/A) - # Cardinality: one if marked Planned or Partially Implemented above. Zero otherwise - planned_implementation_date - - # Cardinality: one or more - control_origination: The origin of the control (Service Provider Corporate, Service Provider System Specific, Configured by Customer, Provided by Customer, Inherited) - # Cardinality: one if marked Configured by Customer or provided by Customer above. Zero otherwise. - customer_responsibility: - # Cardinality: one if marked Inherited above. Zero otherwise. - inherited_system_id: The id of the underlying cloud or general support system from which this control is inherited. - # NOTE: Other data about the underlying system, such as name and authorization date, can be presented as a result of the pointer to that system. - - # Cardinality: one or more (One per control part) - control_response: A description of HOW the organization is meeting the control. One per control part. - -``` -### Cryptography - - -```yaml= - # Need a list of all cryptography used within - # within the system, along with the NIST Labs - # certificate number and supporting details - # for FIPS 140-2 validation - - cryptography: - certificate_no - module_name - version_number - -``` - - - -## SSP Attachments - -### Attachment 1: Information Security Policies and Procedures -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 2: User Guide -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 3: Digital Identity Worksheet -- This section is mostly guidance, which should be addressed by tooling external to the OSCAL SSP content. --Table 15-2 Information System Name and Title, duplicates the content in Table 1-1, thus this content will be visually repeated here, rather than entered a second time. -- The only data entered by a CSP is as follows: -```yaml= - # Table 15-5 - # Cardinality: Exactly 1 - digital_identity_level: Level 1 (AAL1, IAL1, FAL1), 2 (AAL2, IAL2, FAL2) or 3 (AAL3, IAL3, FAL3) -``` - -### Attachment 4a: Privay Threshold Analysis -- Table 15-6 Privacy POC is simply another system role that will be addressed in the OSCAL SSP content with all other system roles (Approver, ISSO, Management POC, etc.) -- Table 15-7 Laws and Regulations and Table 15-8 Standards and Guidance are addressed in the OSCAL SSP content with the other Laws, Regulations, Standards, and Guidance. That content will have an attribute to flag it as privacy-related. -- This is structured information, and will appear in in the OSCAL SSP structure as follows: -```yaml= - # Attachment 4: Privacy Threshold Analysis - # Cardinality 4 - # FedRAMP has four (4) yes/no questions, that must be present and answered. Answering any one "yes" requires the PIA - pta_question: - question_text: The FedRAMP question - response_text: The CSP's yes/no response -``` - -### Attachment 4b: Privacy Impact Assessment -- Attachment Table 1-1 Privacy POC is simply another system role that will be addressed in the OSCAL SSP content with all other system roles (Approver, ISSO, Management POC, etc.) -- Attachment Table 1-2 Laws and Regulations is addressed in the OSCAL SSP content with the other Laws, Regulations, Standards, and Guidance. That content will have an attribute to flag it as privacy-related. - -**Privacy Designation** -```yaml= - # Attachment Section 2 - # Cardinality 1 - privacy_designation: boolean ("yes" to indicate the vendor is willing to host privacy information in system. "no" to opt-out) - - # Attachment Table 3-1 PII Mapped to Components - # Cardinality 1 or more - components: - # Cardinality 1 - component - # Cardinality 1 - pii_contact: "yes" if the component stores, processes, or transmits PII; "no" otherwise. - # Cardinality 1 or more - pii_type: identify the type of PII stored, processed or transmitted by the component - # Cardinality 1 - pii_reason: Explain why the PII is collected. (NOTE: This may be more appropriately addressed with the data types, rather than the components.) - # Cardinality 1 or more - pii_safeguard: Describe safeguards for protecting the PII relative to this component. - - # Attachment Sections 3.2 thru 3.10 - # These are a series of questions. Most require a text-field response. One also requires a yes/no response. - # Cardinality 36 - pia_question: - # Cardinality 1 - question_text: The FedRAMP question - - # Cardinality 1 or more (one question has a yes/no, and a text response if yes, which requires two responses in that case. All others are a single text field response.) - response_type: typically "text" or "boolean" - indicates the type of response required. - response_text: The response provided by the CSP - - signatures: - assessor_signature - chief_privacy_officer_signature -``` - -### Attachment 5: Rules of Behavior -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 6: Information System Contingency Plan -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 7: Configuration Management Plan -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 8: Incident Response Plan -- This is typically not structured information. -- With the OSCAL SSP format, this will only exist as an entry in the <attachments> element that points to the external documents. -- This will continue to be handled only as an attachment. The content will not appear in the OSCAL SSP format at this time. - -### Attachment 9: CIS Workbook -- This will exist as a summary view of control information -- There is no additional information in this summary view. It is simply a reduction of control information that already exists in the complete detail of each control. - -### Attachment 10: FIPS 199 -- This is structured information -- This is a more detailed version of the information that exists in Table 2-2. The two will be combined into one structure, with different views of the data presented by tools to re-create Table 2-2 and Table 15-9. - -### Attachment 11: Separaton of Duties Matrix -- There is no set template for this; however, this is structured information -- The syntax for expressing the system's user roles (Table 9-1) will be extended to enable basic separation of duties information. -- Until this has more maturity, the CSP will have the option of either using the extended syntax, or attaching their own matrix. - -### Attachment 12: FedRAMP Laws and Regulations -- The syntax ... **** - -### Attachment 13: FedRAMP Inventory Workbook -- This is structured information, and will appear in in the OSCAL SSP structure as follows: -```yaml= - # Inventory Workbook (Spreadsheet) - # NOTE: Each inventory_item must have either one set of host_item details or one set of software_item details. - # Cardinality 1 or more - inventory_item: - # Cardinality 1 per inventory_item - asset_id: unique asset identifier - # Cardinality 0 or more per inventory item - ip_address: IPv4 or IPv6 - # Cardinality 1 per inventory_item - virtual: yes/no field - # Cardinality 1 per inventory_item - public: yes/no field - # Cardinality 0 or more per inventory_item - network_name: DNS Name or URL - - # Cardinality 0 or more per inventory_item - host_item: OS/Infrastructure Inventory - # Cardinality 0 or more per host_item - netbios_name: NetBIOS Name - # Cardinality 0 or more per host_item - mac_address: MAC Address - # Cardinality 1 per host_item - authenticated_scan: Authenticated Scan - # Cardinality 1 per host_item - baseline_template: Baseline Configuration Name - # Cardinality 0 or 1 per host_item - os_name - # Cardinality 0 or 1 per host_item - os_version - # Cardinality 0 or 1 per host_item - location - # Cardinality 1 per host_item - asset_type - # Cardinality 1 per host_item - hardware_vendor - # Cardinality 1 per host_item - hardware_model - # Cardinality 1 per host_item - scanned: In Latest Scan? (yes/no) - - # Cardinality 0 or more per inventory_item - software_item: Software and Database Inventories - # Cardinality 1 per software_item - software_vendor: Software/ Database Vendor - # Cardinality 1 per software_item - software_name: Software/ Database Name & Version - # Cardinality 1 per software_item - software_version - # Cardinality 0 or 1 per software_item - software_patch_level - # Cardinality 1 per software_item - function: A description of the function provided by the software or database - - # Cardinality 0 or 1 per software_item - Comments: Any comments about the inventory item - # Cardinality 0 or 1 per software_item - serial_no: Product serial number or asset Tag number - # Cardinality 0 or 1 per software_item - network_id: VLAN/Network ID - # Cardinality 1 or more per software_item - asset_owner: organizational owner of the hardware or software asset. - # Cardinality 1 or more per software_item - asset_administrator: organizational administrator of the hardware or software asset. -``` - diff --git a/src/examples/ssp/OSCAL Implementation Layer_ FedRAMP System Security Plan (SSP) Mock Up.md b/src/examples/ssp/OSCAL Implementation Layer_ FedRAMP System Security Plan (SSP) Mock Up.md deleted file mode 100644 index 88d98b94..00000000 --- a/src/examples/ssp/OSCAL Implementation Layer_ FedRAMP System Security Plan (SSP) Mock Up.md +++ /dev/null @@ -1,945 +0,0 @@ -# OSCAL Implementation Layer: FedRAMP System Security Plan (SSP) Mock Up
**ALL DATA IS FICTICIOUS** -What follows is an example of a FedRAMP SSP expressed in OSCAL-compliant XML. It is part of the NIST OSCAL effort as covered by [Issue #246](https://github.com/usnistgov/OSCAL/issues/246). - -## XML Now. JSON Next. -If you are a JSON fan, fret-not. As with all OSCAL content, the final specification allows for both XML and JSON. We had to start somewhere. - -## Intended Next Steps -Once this mock-up is complete: -1. The OSCAL Team will peer-review it, adjust for OSCAL alignment, and consider any community input. -2. The OSCAL Team will also reach consensus as to which portions of the mock-up become part of the official OSCAL specification, and which are handled as a FedRAMP-specific extension. -3. The OSCAL Team will develop the specification details, and document the relevant syntax. -4. In cooperation with the OSCAL Team, the FedRAMP PMO will develop the specification for any FedRAMP-specific extensions as a parallel effort. - -## FedRAMP SSP Modeling Effort -This is based on the OSCAL Implementation Layer FedRAMP SSP Modeling effort: -https://hackmd.io/dATVzahrQludJILDJH675g - -# The Mock Up - -This mock-up below exists in two parts: -- **Higher Level SSP Elements:** There is no content here, just the tags. View this to understand the suggested elements. -- **The Full Example:** Fully populated fictitious content. View this to understand how the tags might be used in practice. - - -## Higher Level SSP Elements (No Content) -This is to enumerate the suggested elements in context of their parent elements. There is no content here. Not even attributes, and some of the more detailed elements are missing to keep focus on the higher-level structure. -**An example with content exists in the next section.** - -```yaml= - - - <version/> - <date/> - - <import href=""/> - - <publication_information> - <sensitivity/> - <org_name/> - <org_short_name/> - <org_email/> - <org_website/> - <prepared_by/> - <prepared_for/> - </publication_information> - - <publication_history> - <published> - <date/> - <version/> - <notes/> - </published> - </publication_history> - - <system_characteristics> - <system_id/> - <system_name/> - <system_name_short/> - <description/></description> - <security_sensitivity_level/> - - <system_information> - <information_type> - <description/> - <confidentiality_impact> - <base/> - <selected/> - <adjustment_justification/> - </confidentiality_impact> - <integrity_impact> - <base/> - <selected/> - <adjustment_justification/> - </integrity_impact> - <availability_impact> - <base/> - <selected/> - <adjustment_justification/> - </availability_impact> - <qualifiers> - <qualifier response=""> - <sorn id=""/> - </qualifier> - </qualifiers> - </information_type> - </system_information> - - <security_impact_level> - <security_objective_confidentiality/> - <security_objective_availability/> - <security_objective_integrity/> - </security_impact_level> - - <security_eauth> - <security_auth_ial/> - <security_auth_aal/> - <security_auth_fal/> - <security_eauth_level/> - </security_eauth> - - <status/> - <status_other_description/> - <deployment_model/> - <deployment_model_other_description/> - <service_model/> - <service_model_hybrid_description/> - - <leveraged_authorizations> - <leveraged_authorization> - <leveraged_authorization_name/> - <leveraged_authorization_service_provider/> - <leveraged_authorization_date_granted/> - </leveraged_authorization> - </leveraged_authorizations> - - <authorization_boundary> - <boundary_diagram> - <boundary_description/> - </boundary_diagram> - </authorization_boundary> - - <network_architecture> - <network_diagram> - <network_description/> - </network_diagram> - </network_architecture> - - <data_flow> - <data_flow_diagram> - <data_flow_description/> - </data_flow_diagram> - </data_flow> - - <users> - <role name="" internal="yes" access="nla" sensitivity_level="limited"> - <privilege/> - <function/> - </role> - <statistics> - <internal_user_total_current/> - <internal_user_total_future/> - <external_user_total_current/> - <external_user_total_future/> - </statistics> - </users> - - </system_characteristics> - - <system_implementation> - <ports_protocols_services> - <service> - <protocol> - <port_range transport=""> - </protocol> - <purpose/> - <used_by/> - </service> - </ports_protocols_services> - - <system_inventory> - <component id="comp-01"> - <name/> - <description/> - </component> - <inventory_item id="asset_id" virtual="" public=""> - <asset_id/> - <ip_address/> - <network_name/> - - <host_item> - <netbios_name/> - <mac_address/> - <authenticated_scan/> - <baseline_template/> - <os_name/> - <os_version/> - <location/> - <asset_type/> - <hardware_vendor/> - <hardware_model/> - <scanned/> - </host_item> - - <software_item> - <software_vendor/> - <software_name/> - <software_version/> - <software_patch_level/> - <function/> - </software_item> - - <Comments/> - <serial_no/> - <network_id/> - <asset_owner/> - <asset_administrator/> - </inventory_item> - </system_inventory> - - <system_interconnections> - <interconnection> - <external_system_name/> - <external_system_org/> - <isa_authorization/> - <isa_name/> - <isa_date/> - <interconnection> - </system_interconnections> - - </system_implementation> - - <security_controls> - <group> - <control> - <responsible_role/> - <param> - <value/> - </param> - <implementation_status/> - <planned_implementation_date/> - <control_origination/> - <control_response/> - <crypto/> - - <subcontrol> - <responsible_role/> - <param> - <value/> - </param> - <implementation_status/> - <planned_implementation_date/> - <control_origination/> - <control_response/> - </subcontrol> - - </control> - </group> - </security_controls> - - <cryptography> - <module> - <validation/> - <module_name/> - <version_number/> - </module> - </cryptography> - - <organizations> - <org> - <name/> - <address/> - <phone/> - <email/> - <url/> - </org> - </organizations> - - <individuals> - <individual> - <name/> - <title/> - <address/> - <phone/> - <email/> - </individual> - </individuals> - - <parties> - <party> - </parties> - - <roles> - <role title=""/> - </roles> - - <references> - <ref id="" ref_type=""> - <citation href=""/> - </ref> - </references> - - <attachments> - <attachment> - <name/> - <description/> - <format/> - <date/> - <version/> - <type/> - <href/> - <base64/> - </attachment> - <attachments> - -</fedramp_system_security_plan> -``` - -## The Full Example - -### Fictitious Information - -All information used in this SSP example is fictitious. The imaginary company and system used is: - -* **Organization Name:** Alpha - Cloud Service Processing (A-CSP) -* **System Name:** Alpha - Service and Automation System (A-SaaS) - -### Template References - -All SSP page, section, and table references are based on the FedRAMP SSP High BAseline Template published to fedramp.gov on August 8, 2018. - -```yaml= -<?xml version="1.0" encoding="UTF-8"?> -<fedramp_system_security_plan id="uuid-a_csp-a_saas-20180925-195545" xmlns="http://fedramp.gov/ns/oscal/1.0"> - <!-- Title page --> - <title>System Security Plan (SSP) Moderate Baseline - 2.1 - 2018-09-25 - - - - - - - - - - - - - - - - Controlled Unclassified Information - Alpha - Cloud Service Processing - A-CSP - info@a-csp.com - https://www.a-csp.com - - - - org-02 - - - org-01 - - - - - - - 2017-01-02 - 1.0 - Initial publication. - - - 2017-06-06 - 1.1 - Updated to reflect new security widget in AC-2. - - - 2018-03-08 - 2.0 - Updated to reflect new active directory technology in IA-4. - - - 2018-09-25 - 2.1 - Updated to reflect new use of row-based database security in AC-5. - - - - - - F12345 - Alpha - Service and Automation System - A-SaaS - - - -

A brief description of the function or purpose of the system (1 - 3 paragraphs)

- - - - - moderate - - - - - - - Border and Transportation Security - - moderate - moderate - - - - moderate - moderate - - - - moderate - moderate - - - - - Disaster Management and Prediction - - - low - low - - - - high - high - - - - high - low - -

System is for research and analysis only. Access to information in this system at the time of a disaster is not critical.

- - - - - - A Privacy Sensitive System - - - - -

Does the ISA collect, maintain, or share PII in any identifiable form?

- - -

Does the ISA collect, maintain, or share PII information from or about the public?

- - -

Has a Privacy Impact Assessment ever been performed for the ISA?

- - -

Is there a Privacy Act System of Records Notice (SORN) for this ISA system?

- Sorn Name - - - - - - - - moderate - moderate - moderate - - - - - - moderate - moderate - moderate - moderate - - - - operational - N/A - - - saas - N/A - - - government_only_community - N/A - - - - - A Big IaaS (ABI) - A Big IaaS Provider (ABIP) - 2016-09-09 - - - - - - - -

This is optional text that provides additional, written detail to the attached boundary diagram.

- - - - - - - - -

This is optional text that provides additional, written detail to the attached network diagram.

- - - - - - - - -

This is optional text that provides additional, written detail to the attached data flow diagram.

- - - - - - - - Full administrative access (root) - Add/remove users and hardware - Install and configure software - OS updates - patches and hotfixes - perform backups - - - Portal administration - Add/remove client users - Create, modify, and delete client applications - - - none - Reviews, approves, and enforces policy - - - 22 - 33 - 75 - 100 - - - - - - - - - - - - - - - Allows name resolution of hosts. - external user workstations - internal hosts - - - - - - - - - Provides web services for the application. - External users to access the application - - - - - - - Weather Server - NOAA - M.Y. Ayaoh - Weather Connection - 2018-09-25 - - - - - - - Linux Host - - - -

Physical and virtual linux hosts are used as the primary platform for all server needs within the system, unless another platform is needed to achieve a specific requirement.

- - - - Web Server - -

Apache is used for all web servers, and is always installed on a Linux OS.

- - - - SQL Server - -

We use Acme BigSQL for our database needs, and always run it on a Linux platform.

- - - - - 123.45.67.96 - 123.45.68.96 - acme-web-a.a-csp.com - - - acme-web-a - 00:01:02:03:04:05 - yes - Base Config 1 - CentOS - 5.1 - Primary data center, Rack A-1 - Web Server - Acme - web-1000 - yes - - - This is a public-facing hardware-based web server - aw-12345 - 123.45.67.00/24 - 123.45.68.00/24 - Jonathan Jacob - Mr. L.N.X. Guru - - - 123.46.78.400 - 123.47.78.400 - big-db.a-csp.com - - - Acme - Big SQL - 7.7 - Level 7 - Houses all the data - - - All the sensitive information is stored here. - asq-121212 - 123.46.0.0/16 - 123.47.0.0/16 - Jonathan Jacob - Mr. L.N.X. Guru - - - - - - - - - - - - - - all staff with system access - - - annually, and as needed - - - every three years, and when the system undergoes a significant change - - - implemented - - service_provider_corporate - service_provider_system_specific - - -

The A-CSP CIO's office maintains the A-CSP Access Control Policy. This CIO's office ensures this policy is disseminated to all A-CSP staff.

- - -

The A-SAAS ISSO is responsible for maintaining the A-SaaS Access Control Policy. This ISSO ensures this policy is disseminated to all individuals with logical access to A-SAAS.

- - -

The A-SAAS ISSO maintains the A-SaaS Access Control Procedure, which is used for granting all system access. This ISSO ensures this procedure is disseminated to all individuals with administrative access to A-SAAS.

- - - - - - - - - - - - all system accounts - - - immediate supervisor or system ISSO - - - the A-CSP Access Control Policy - - - as needed - - - implemented - - service_provider_system_specific - customer_responsibility - inherited - - -

In accordance with the A-SaaS Access Control Policy, the system ISSO identifies all A-SaaS system administrators to support the A-SaaS mission.

- - -

The customer must define which A-SAAS application user account types support the customer's mission.

- - -

For the hypervisor and below, this is inherited from ABI.

- - - - - - - - - - - partially_implemented - 2019-06-01 - - service_provider_system_specific - inherited - - -

This is where the CSP describes how they have implemented automated mechanisms in the support of system account management

- - -

This where the CSP describes what they inherit from ABI in support of AC-2(2).

- - - - - - - - - - 00000001 - crypto_guard_supreme - 1.23 - - - 00000010 - crypto_guard_supreme - 1.23 - - - - - - Alpha - Cloud Service Processing -
- 12345 S. Main Street - Star City - ST - 54321 - US -
- main@a-csp.com - 703-555-1212 - https://www.a-csp.com - - - Three Partners Auditing Objectives (3PAO) -
- main@3pao.com - 703-555-1212 - https://www.3pao.com - - - Three Letter Agency (TLA) -
- main@tla.gov - 703-555-1212 - https://www.tla.gov - - - Department of Homeland Security (DHS), Office of the CIO - - - - - Department of Defense (DoD), Office of the CIO - - - - - General Services Administration (GSA), Office of the CIO - - - - - - - - I.M. DaBoss - VP Operations - 703-555-6161 - imdaboss@a-csp.com - - - Blurry Face - Cyber Security Director - 703-555-9111 - bface@a-csp.com - - - Buck Stops-Here - CIO - 703-555-0000 - bstops-here@tla.gov - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - FedRAMP Applicable Laws and Regulations - - - 5 C.F.R. 731.106 - - - - - - - Rules of Behavior - The Rules of Behavior document - .docx - 2017-02-03 - 2.0 - MS Word - - - - A-CSP Access Control Policy - Corporate A-CSP Access Control Policy - .docx - 2015-06-06 - 2.1 - MS Word - - - - A-SaaS Access Control Policy - System-specific A-SaaS Access Control Policy - .docx - 2017-12-12 - 1.1 - MS Word - - - - A-SaaS Access Control Process - System-specific A-SaaS Access Control Process - .docx - 2017-12-12 - 1.2 - MS Word - - - - - - - - - - - Logo - A-CSP Logo - .png - 2017-01-02 - 1.0 - graphic - 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 - - Signature - Chief Privacy Officer - Digital signature of the CPO - - 2017-01-02 - 1.0 - digital signature - iVBORw0KGgoAAAANSUhEUgAAAMoAAAAtCAIAAABgRmPFAAAAAXNSR0IArs4c6QAAAARnQU1BAACxjwv8YQUAAAAJcEhZcwAADsMAAA7DAcdvqGQAAATBSURBVHhe7ZpLjqQwDIbnIL2c09SqzsKCs7RUR0F1FLjBLFAtSkhIPc4DsCGJHUikmpE/ZdFNheDYv/OA/PpRlGqovJSKqLyUiqi8lIqovJSKqLyUiqi8lIqovJSKqLyUkRcTrp21ETO8HRSDJ8RYuTKS4Wklv6SmGBd7cjTXHgdNf5mI4l/f0NbaU01ZCpsXJVteiiJH5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVOPn5y9OeK7Cv/yElwAAAABJRU5ErkJggg== - - - - - -``` diff --git a/src/examples/ssp/json/ssp-example.json b/src/examples/ssp/json/ssp-example.json deleted file mode 100644 index 2daa9508..00000000 --- a/src/examples/ssp/json/ssp-example.json +++ /dev/null @@ -1,440 +0,0 @@ -{ - "system-security-plan": { - "uuid": "cff8385f-108e-40a5-8f7a-82f3dc0eaba8", - "metadata": { - "title": "Enterprise Logging and Auditing System Security Plan", - "last-modified": "2021-06-08T13:57:28.355446-04:00", - "version": "1.0", - "oscal-version": "1.0.0", - "roles": [ - { - "id": "legal-officer", - "title": "Legal Officer" - } - ], - "parties": [ - { - "uuid": "3b2a5599-cc37-403f-ae36-5708fa804b27", - "type": "organization", - "name": "Enterprise Asset Owners" - }, - { - "uuid": "833ac398-5c9a-4e6b-acba-2a9c11399da0", - "type": "organization", - "name": "Enterprise Asset Administrators" - }, - { - "uuid": "ec485dcf-2519-43f5-8e7d-014cc315332d", - "type": "organization", - "name": "Legal Department" - }, - { - "uuid": "0f0c15ed-565e-4ce9-8670-b54853d0bf03", - "type": "organization", - "name": "IT Department" - }, - { - "uuid": "96c362ee-a012-4e07-92f3-486ab303b0e7", - "type": "organization", - "name": "Acme Corp" - } - ] - }, - "import-profile": {"href": "../../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json"}, - "system-characteristics": { - "system-name": "Enterprise Logging and Auditing System", - "description": "This is an example of a system that provides enterprise logging and log auditing capabilities.", - "system-ids": [ - { - "id": "d7456980-9277-4dcb-83cf-f8ff0442623b", - "identifier-type": "https://ietf.org/rfc/rfc4122" - } - ], - "security-sensitivity-level": "moderate", - "system-information": { - "information-types": [ - { - "uuid": "7d28ac6e-5970-4f4c-a508-5a3715f0f02b", - "title": "System and Network Monitoring", - "categorizations": [ - { - "system": "https://doi.org/10.6028/NIST.SP.800-60v2r1", - "information-type-ids": ["C.3.5.8"] - } - ], - "description": "This system maintains historical logging and auditing information for all client devices connected to this system.", - "confidentiality-impact": {"base": "fips-199-moderate"}, - "integrity-impact": {"base": "fips-199-moderate"}, - "availability-impact": {"base": "fips-199-low"} - } - ] - }, - "security-impact-level": { - "security-objective-confidentiality": "fips-199-moderate", - "security-objective-integrity": "fips-199-moderate", - "security-objective-availability": "fips-199-low" - }, - "status": { - "state": "other", - "remarks": "This is an example, and is not intended to be implemented as a system" - }, - "props": [ - { - "name": "deployment-model", - "value": "private" - }, - { - "name": "service-models", - "value": "iaas" - } - ], - "authorization-boundary": {"description": "The description of the authorization boundary would go here."} - }, - "system-implementation": { - "remarks": "This is a partial implementation that addresses the logging server portion of the auditing system.", - "users": [ - { - "uuid": "9824089b-322c-456f-86c4-4111c4200f69", - "title": "System Administrator", - "role-ids": ["asset-administrator"], - "props": [ - { - "name": "type", - "value": "internal" - } - ] - }, - { - "uuid": "ae8de94c-835d-4303-83b1-114b6a117a07", - "title": "Audit Team", - "role-ids": ["asset-owner"], - "props": [ - { - "name": "type", - "value": "internal" - } - ] - }, - { - "uuid": "372ce7a3-92b0-437e-a98c-24d29f9bfab8", - "title": "Legal Department", - "role-ids": ["legal-officer"], - "props": [ - { - "name": "type", - "value": "internal" - } - ] - } - ], - "components": [ - { - "uuid": "e00acdcf-911b-437d-a42f-b0b558cc4f03", - "title": "Logging Server", - "description": "Provides a means for hosts to publish logged events to a central server.", - "status": {"state": "operational"}, - "type": "software", - "responsible-roles": [ - { - "role-id": "provider", - "party-uuids": ["96c362ee-a012-4e07-92f3-486ab303b0e7"] - }, - { - "role-id": "asset-owner", - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - }, - { - "role-id": "asset-administrator", - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - } - ] - }, - { - "uuid": "795533ab-9427-4abe-820f-0b571bacfe6d", - "title": "Enterprise Logging, Monitoring, and Alerting Policy", - "type": "policy", - "description": "Requires all components to send logs to the enterprise logging solution\n\n- Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency.\n\n- Identifies the events that must be captured\n\n- Identifies who is responsible/accountable for performing these functions", - "status": {"state": "operational"}, - "props": [ - { - "name": "version", - "value": "2.1" - }, - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": [ - { - "role-id": "maintainer", - "party-uuids": ["ec485dcf-2519-43f5-8e7d-014cc315332d"] - } - ] - }, - { - "uuid": "941e2a87-46f4-4b3e-9e87-bbd187091ca1", - "title": "System Integration Process", - "type": "process", - "description": "Ensures proper integration into the enterprise as new systems are brought into production.", - "status": {"state": "operational"}, - "props": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": [ - { - "role-id": "maintainer", - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - ], - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized." - } - ] - }, - { - "uuid": "fa39eb84-3014-46b4-b6bc-7da10527c262", - "title": "Inventory Management Process", - "type": "process", - "description": "Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored.", - "status": {"state": "operational"}, - "props": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": [ - { - "role-id": "maintainer", - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - ], - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server." - } - ] - }, - { - "uuid": "4938767c-dd8b-4ea4-b74a-fafffd48ac99", - "title": "Configuration Management Guidance", - "type": "guidance", - "description": "Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization.", - "status": {"state": "operational"}, - "props": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": [ - { - "role-id": "maintainer", - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - ], - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are configured to publish log events to the logging server." - } - ] - } - ], - "inventory-items": [ - { - "uuid": "c9c32657-a0eb-4cf2-b5c1-20928983063c", - "description": "The logging server.", - "props": [ - { - "name": "asset-id", - "value": "asset-id-logging-server" - } - ], - "responsible-parties": [ - { - "role-id": "asset-administrator", - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - }, - { - "role-id": "asset-owner", - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - } - ], - "implemented-components": [ - {"component-uuid": "e00acdcf-911b-437d-a42f-b0b558cc4f03"}, - {"component-uuid": "795533ab-9427-4abe-820f-0b571bacfe6d"} - ] - } - ] - }, - "control-implementation": { - "description": "This is the control implementation for the system.", - "implemented-requirements": [ - { - "uuid": "aaadb3ff-6ae8-4332-92db-211468c52af2", - "control-id": "au-1", - "statements": [ - { - "statement-id": "au-1_smt", - "uuid": "7ad47329-dc55-4196-a19d-178a8fe7438d" - }, - { - "statement-id": "au-1_smt.a", - "uuid": "f3887a91-9ed3-425c-b305-21e4634a1c34", - "by-components": [ - { - "component-uuid": "795533ab-9427-4abe-820f-0b571bacfe6d", - "uuid": "a74681b2-fbcb-46eb-90fd-0d55aa74ac7b", - "description": "The legal department develops, documents and disseminates this policy to all staff and contractors within the organization.", - "set-parameters": [ - { - "param-id": "au-1_prm_1", - "values": ["all staff and contractors within the organization"] - } - ] - }, - { - "component-uuid": "941e2a87-46f4-4b3e-9e87-bbd187091ca1", - "uuid": "4f873ce6-dd49-4a46-bd4a-5041c22665f1", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "set-parameters": [ - { - "param-id": "au-1_prm_1", - "values": ["all IT staff who administer this system when the staff member is assigned and annually through training"] - } - ] - }, - { - "component-uuid": "fa39eb84-3014-46b4-b6bc-7da10527c262", - "uuid": "ea85a624-cd21-4c63-abe0-f66087e97241", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "set-parameters": [ - { - "param-id": "au-1_prm_1", - "values": ["all IT staff who administer this system when the staff member is assigned and annually through training"] - } - ] - }, - { - "component-uuid": "4938767c-dd8b-4ea4-b74a-fafffd48ac99", - "uuid": "b5e5823a-844f-4306-a5ab-7e110679e0d5", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "set-parameters": [ - { - "param-id": "au-1_prm_1", - "values": ["all IT staff who administer this system when the staff member is assigned and annually through training"] - } - ] - } - ] - }, - { - "statement-id": "au-1_smt.a.1", - "uuid": "6fe632bd-33aa-4eea-a507-a37f0d212085", - "by-components": [ - { - "component-uuid": "795533ab-9427-4abe-820f-0b571bacfe6d", - "uuid": "2d0a7b08-da7f-4691-b99c-8fd9df02b25c", - "description": "This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board\u2019s directive memo dated January 1, 2012." - } - ] - }, - { - "statement-id": "au-1_smt.a.2", - "uuid": "dbe9af68-1cd9-4ff1-965b-8f887351d411", - "by-components": [ - { - "component-uuid": "941e2a87-46f4-4b3e-9e87-bbd187091ca1", - "uuid": "dd4fd380-7a2a-4fba-9e98-933ba5cfc04d", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - { - "component-uuid": "fa39eb84-3014-46b4-b6bc-7da10527c262", - "uuid": "3b912d0f-2463-497c-8d8a-72416f38e999", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - { - "component-uuid": "4938767c-dd8b-4ea4-b74a-fafffd48ac99", - "uuid": "226ee2a2-cbdb-498f-8182-94dfa013476c", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - } - ] - }, - { - "statement-id": "au-1_smt.b", - "uuid": "b1773cd6-afc5-4c87-84a7-f182e6be5af9", - "remarks": "N/A" - }, - { - "statement-id": "au-1_smt.b.1", - "uuid": "75873308-f37d-4e89-9c27-29f3dee4b314", - "by-components": [ - { - "component-uuid": "795533ab-9427-4abe-820f-0b571bacfe6d", - "uuid": "23903c59-1327-46f0-9c28-09ec7f144214", - "set-parameters": [ - { - "param-id": "au-1_prm_2", - "values": ["annually, and other times as necessary in response to regulatory or organizational changes"] - } - ], - "description": "The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews." - } - ] - }, - { - "statement-id": "au-1_smt.b.2", - "uuid": "74b5b0f2-9915-4f80-b7cd-379566442ab6", - "by-components": [ - { - "component-uuid": "941e2a87-46f4-4b3e-9e87-bbd187091ca1", - "uuid": "0c45b6e2-f85b-4656-a6cc-2a302d184720", - "set-parameters": [ - { - "param-id": "au-1_prm_3", - "values": ["annually, and other times as necessary in response to regulatory or organizational changes"] - } - ], - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - { - "component-uuid": "fa39eb84-3014-46b4-b6bc-7da10527c262", - "uuid": "094f02ce-4b7a-405c-90a5-ab4d95133f74", - "set-parameters": [ - { - "param-id": "au-1_prm_3", - "values": ["annually, and other times as necessary in response to regulatory or organizational changes"] - } - ], - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - { - "component-uuid": "4938767c-dd8b-4ea4-b74a-fafffd48ac99", - "uuid": "7ec8b7ec-d931-4055-ac74-6d288d636787", - "set-parameters": [ - { - "param-id": "au-1_prm_3", - "values": ["annually, and other times as necessary in response to regulatory or organizational changes"] - } - ], - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews" - } - ] - } - ] - } - ] - } - } -} \ No newline at end of file diff --git a/src/examples/ssp/xml/oscal_leveraged-example_ssp.xml b/src/examples/ssp/xml/oscal_leveraged-example_ssp.xml index 191b0bcc..63483c28 100644 --- a/src/examples/ssp/xml/oscal_leveraged-example_ssp.xml +++ b/src/examples/ssp/xml/oscal_leveraged-example_ssp.xml @@ -6,7 +6,7 @@ CSP IaaS System Security Plan 2021-06-08T13:57:35.068496-04:00 0.1 - 1.0.0 + 1.1.0 Administrator @@ -18,7 +18,7 @@ - + csp_iaas_system Leveraged IaaS System @@ -219,5 +219,13 @@ Cust-A Cust-B Cust-C + + +

NIST Special Publication 800-53 Revision 4: Low Baseline Profile

+ + + + + diff --git a/src/examples/ssp/xml/oscal_leveraging-example_ssp.xml b/src/examples/ssp/xml/oscal_leveraging-example_ssp.xml index 82467de4..27eb0c86 100644 --- a/src/examples/ssp/xml/oscal_leveraging-example_ssp.xml +++ b/src/examples/ssp/xml/oscal_leveraging-example_ssp.xml @@ -6,7 +6,7 @@ Leveraging SaaS System Security Plan 2021-06-08T13:57:35.4515-04:00 0.1 - 1.0.0 + 1.1.0 Administrator @@ -17,7 +17,7 @@ - + saas_system_iaas_customer Leveraging SaaS System @@ -249,5 +249,13 @@ Cust-A Cust-B Cust-C + + +

NIST Special Publication 800-53 Revision 4: Low Baseline Profile

+ + + + + diff --git a/src/examples/ssp/xml/ssp-example.xml b/src/examples/ssp/xml/ssp-example.xml new file mode 100644 index 00000000..4ea1de63 --- /dev/null +++ b/src/examples/ssp/xml/ssp-example.xml @@ -0,0 +1,362 @@ + + + + Enterprise Logging and Auditing System Security Plan + 2021-06-08T13:57:28.355446-04:00 + 1.0 + 1.1.0 + + Legal Officer + + + Enterprise Asset Owners + + + Enterprise Asset Administrators + + + Legal Department + + + IT Department + + + Acme Corp + + + + + d7456980-9277-4dcb-83cf-f8ff0442623b + Enterprise Logging and Auditing System + +

This is an example of a system that provides enterprise logging and log auditing + capabilities.

+ + + + moderate + + + System and Network Monitoring + +

This system maintains historical logging and auditing information for all + client devices connected to this system.

+ + + C.3.5.8 + + + fips-199-moderate + + + fips-199-moderate + + + fips-199-low + + + + + fips-199-moderate + fips-199-moderate + fips-199-low + + + +

This is an example, and is not intended to be implemented as a system

+ + + + +

The description of the authorization boundary would go here.

+ + + + + + System Administrator + + asset-administrator + + + Audit Team + + asset-owner + + + Legal Department + + legal-officer + + + Logging Server + +

Provides a means for hosts to publish logged events to a central server.

+ + + + 96c362ee-a012-4e07-92f3-486ab303b0e7 + + + 3b2a5599-cc37-403f-ae36-5708fa804b27 + + + 833ac398-5c9a-4e6b-acba-2a9c11399da0 + + + + Enterprise Logging, Monitoring, and Alerting Policy + +

Requires all components to send logs to the enterprise logging solution

+
    +
  • +

    Requires all components synchronize their time with the appropriate + enterprise time service, and at what frequency.

    +
    • +
  • +

    Identifies the events that must be captured

    +
    • +
  • +

    Identifies who is responsible/accountable for performing these functions

    +
    • +
+ + + + + + ec485dcf-2519-43f5-8e7d-014cc315332d + + + + System Integration Process + +

Ensures proper integration into the enterprise as new systems are brought into + production.

+ + + + Ensures logs from components in new system are able to published to the + logging server. Ensures log monitoring capabilities recognize new system as + authorized. + + + + 0f0c15ed-565e-4ce9-8670-b54853d0bf03 + + + + Inventory Management Process + +

Describes how new components are introduced into the system - ensures monitoring + teams know about every asset that should be producing logs, thus should be + monitored.

+ + + + Ensures that all host are known and authorized. Ensures that these hosts + publish log events to the logging server. + + + + 0f0c15ed-565e-4ce9-8670-b54853d0bf03 + + + + Configuration Management Guidance + +

Describes how to configure a component to ensure its logs are transmitted to + Splunk in the appropriate format. Also describes how to configure time + synchronization.

+ + + + Ensures that all host are configured to publish log events to the logging + server. + + + + 0f0c15ed-565e-4ce9-8670-b54853d0bf03 + + + + +

The logging server.

+ + + + 833ac398-5c9a-4e6b-acba-2a9c11399da0 + + + 3b2a5599-cc37-403f-ae36-5708fa804b27 + + + + + +

This is a partial implementation that addresses the logging server portion of the + auditing system.

+ + + + +

This is the control implementation for the system.

+ + + + + + +

The legal department develops, documents and disseminates this policy to + all staff and contractors within the organization.

+ + + all staff and contractors within the organization + + + + +

The IT department created and maintains this procedure. This department + disseminates it to all IT staff who administer this system when the + staff member is assigned and annually through training.

+ + + all IT staff who administer this system when the staff member is assigned and annually through training + + + + +

The IT department created and maintains this procedure. This department + disseminates it to all IT staff who administer this system when the + staff member is assigned and annually through training.

+ + + all IT staff who administer this system when the staff member is assigned and annually through training + + + + +

The IT department created and maintains this procedure. This department + disseminates it to all IT staff who administer this system when the + staff member is assigned and annually through training.

+ + + all IT staff who administer this system when the staff member is assigned and annually through training + + + + + + +

This policy explicitly states the purpose and scope of the policy in + Section 1. Roles and responsibilities are described in Section 2. This + section also describes responsibilities for organizational coordination. + Management commitment and compliance statements are made in the board’s + directive memo dated January 1, 2012.

+ + + + + + +

This process aligns with the enterprise Logging, Monitoring, and Alerting + Policy, Version 2.1, October 15, 2018. The following processes work + together to fully implement the policy: System Integration Process, + Inventory Management Process, Configuration Management, Log Review + Process, and Monitoring and Alerting Process

+ + + + +

This process aligns with the enterprise Logging, Monitoring, and Alerting + Policy, Version 2.1, October 15, 2018. The following processes work + together to fully implement the policy: System Integration Process, + Inventory Management Process, Configuration Management, Log Review + Process, and Monitoring and Alerting Process

+ + + + +

This process aligns with the enterprise Logging, Monitoring, and Alerting + Policy, Version 2.1, October 15, 2018. The following processes work + together to fully implement the policy: System Integration Process, + Inventory Management Process, Configuration Management, Log Review + Process, and Monitoring and Alerting Process

+ + + + + +

N/A

+ + + + + +

The legal department reviews this policy annually, and other times as + necessary in response to regulatory or organizational changes. The legal + department updates the policy as needed based on these reviews.

+ + + annually, and other times as necessary in response to regulatory or organizational changes + + + + + + +

The IT department reviews this process annually, and other times as + necessary in response to regulatory or organizational changes. The IT + department updates the policy as needed based on these reviews.

+ + + annually, and other times as necessary in response to regulatory or organizational changes + + + + +

The IT department reviews this process annually, and other times as + necessary in response to regulatory or organizational changes. The IT + department updates the policy as needed based on these reviews.

+ + + annually, and other times as necessary in response to regulatory or organizational changes + + + + +

The IT department reviews this process annually, and other times as + necessary in response to regulatory or organizational changes. The IT + department updates the policy as needed based on these reviews

+ + + annually, and other times as necessary in response to regulatory or organizational changes + + + + + + + + +

NIST Special Publication 800-53 Revision 4: Moderate Baseline Profile

+ + + + + + + \ No newline at end of file diff --git a/src/fedramp.gov/xml/README.md b/src/fedramp.gov/xml/README.md deleted file mode 100644 index d2640c1f..00000000 --- a/src/fedramp.gov/xml/README.md +++ /dev/null @@ -1,3 +0,0 @@ -# Content Moved - -All 800-53 OSCAL source code files for [FedRAMP](https://fedramp.gov) have been moved to their official location [in the `src/baselines/rev4/xml` directory of the GSA/fedramp-automation repository](https://github.com/GSA/fedramp-automation/tree/master/src/baselines/rev4/xml). \ No newline at end of file diff --git a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml index 4b8194ef..49993842 100644 --- a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 4 HIGH IMPACT BASELINE 2021-06-08T13:57:29.649957-04:00 2015-01-22 - 1.0.0 + 1.1.0 Document Creator @@ -1240,8 +1240,9 @@

NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal Information Systems and Organizations

 - + + + diff --git a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml index fa269563..d277a629 100644 --- a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 4 LOW IMPACT BASELINE 2021-06-08T13:57:30.075459-04:00 2015-01-22 - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ fcde62b1-8cce-4a57-a26b-b07ad2865ae1 - + ac-1 ac-2 @@ -742,12 +742,13 @@ - +

NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal Information Systems and Organizations

 - + + + diff --git a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml index 6cf3007d..015512b9 100644 --- a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 4 MODERATE IMPACT BASELINE 2021-06-08T13:57:30.476461-04:00 2015-01-22 - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ 316876e2-5c7b-4a60-a488-2ed977238f04 - + ac-1 ac-2 @@ -1099,12 +1099,13 @@ - +

NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal Information Systems and Organizations

 - + + + diff --git a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml index cbd11c88..9b4c8dc2 100644 --- a/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml +++ b/src/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal Information Systems and Organizations 2021-06-08T13:57:28.91745-04:00 2015-01-22 - 1.0.0 + 1.1.0 diff --git a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_HIGH-baseline_profile.xml b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_HIGH-baseline_profile.xml index 65c7e4b2..4c4cdcec 100644 --- a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_HIGH-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_HIGH-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 5 HIGH IMPACT BASELINE 2021-06-08T13:57:33.585986-04:00 Final - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ c748c806-1d77-4695-bb40-e117b2afa82e - + ac-1 ac-2 @@ -410,4 +410,14 @@ true + + + +

NIST Special Publication 800-53 Revision 5: Security and Privacy Controls for Federal Information Systems and Organizations

+ + + + + + diff --git a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_LOW-baseline_profile.xml b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_LOW-baseline_profile.xml index 189b05f4..c1c9f01f 100644 --- a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_LOW-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_LOW-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 5 LOW IMPACT BASELINE 2021-06-08T13:57:33.97549-04:00 Final - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ 984e6c07-b5b6-4ab6-b22b-283609c325e6 - + ac-1 ac-2 @@ -189,4 +189,14 @@ true + + + +

NIST Special Publication 800-53 Revision 5: Security and Privacy Controls for Federal Information Systems and Organizations

+ + + + + + diff --git a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_MODERATE-baseline_profile.xml b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_MODERATE-baseline_profile.xml index 7440ccef..b630d754 100644 --- a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_MODERATE-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_MODERATE-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 5 MODERATE IMPACT BASELINE 2021-06-08T13:57:34.337491-04:00 Final - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ cde369ce-57f8-4ec1-847f-2681a9a881e7 - + ac-1 ac-2 @@ -327,4 +327,14 @@ true + + + +

NIST Special Publication 800-53 Revision 5: Security and Privacy Controls for Federal Information Systems and Organizations

+ + + + + + diff --git a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_PRIVACY-baseline_profile.xml b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_PRIVACY-baseline_profile.xml index b9e5ce7c..c6de8113 100644 --- a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_PRIVACY-baseline_profile.xml +++ b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_PRIVACY-baseline_profile.xml @@ -6,7 +6,7 @@ NIST Special Publication 800-53 Revision 5 PRIVACY BASELINE 2021-06-08T13:57:34.707994-04:00 Final - 1.0.0 + 1.1.0 Document Creator @@ -33,7 +33,7 @@ 11f1de66-89ba-499d-903e-56418e95af9d - + ac-1 ac-3.14 @@ -136,4 +136,14 @@ true + + + +

NIST Special Publication 800-53 Revision 5: Security and Privacy Controls for Federal Information Systems and Organizations

+ + + + + + diff --git a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_catalog.xml b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_catalog.xml index 5dc5a349..475b965a 100644 --- a/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_catalog.xml +++ b/src/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5_catalog.xml @@ -4,7 +4,7 @@ Electronic Version of NIST SP 800-53 Rev 5 Controls and SP 800-53A Rev 5 Assessment Procedures 2022-09-20T13:02:56.5306901-04:00 5.2.1 - 1.0.0 + 1.1.0